Transfer an Award to/from UC Davis

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NIH Awards

NSF Awards

Awards from Other Sponsors

 

National Institutes of Health (NIH)

Below are some handy tips and tools to help your new faculty member begin the process of transferring their NIH projects:

    1. If the new faculty member has not already done so, it’s most important to contact the Program Director at NIH regarding their NIH project(s) and explain to them that they’ve accepted a new position and identify that Institution, additionally, identifying when the appointment start date is effective.  In addition, explain that they would like to initiate a request to transfer their NIH project(s) to their new institution.
    2. Instructions and forms are available on the NIH website and in the Grant Application (PHS 398) Instructions.
    3. More important, the new faculty member will need to get specific instructions from the Program Director on how to transfer any not yet funded pending NIH proposal(s).  Typically (but this may vary), the previous University signs a relinquishing statement for that proposal and a new proposal package is submitted directly to the Program Director under the new University, reflecting the current salaries, fringe benefits, and indirect costs for that new University.
    4. Once the faculty member has reviewed the information and discussed the information with the Program Director, have them contact their Department Administrator in their Administrative Department who will reach out to the Sponsored Programs Office with the information needed to assist with the transfer application process.

National Science Foundation (NSF)

Disposition of a grant when a PI/PD (Project Director) transfers from one organization to another organization (PAPPG VII.B.2.f.) 

(i) Policy. When a PI plans to leave an organization during the course of an award, the organization has the prerogative to nominate a substitute PI or request that the award be terminated and closed out. In those cases where the PI’s original and new organizations agree, NSF will facilitate a transfer of the award and the assignment of remaining unobligated funds to the PI’s new organization. This should normally be done with a tripartite agreement (involving NSF, the PI’s original organization and new organization), or by a subaward arrangement between the PI’s original and new organizations, subject to NSF’s consent. (See AAG Chapter II.B.3.)

(ii) Procedures. When a PI plans to leave an organization during the course of an award, the PI or the SPO, shall notify the cognizant NSF Program Officer. If the project is to continue with the original organization, the cognizant NSF Program Officer should advise the recipient to nominate a substitute PI (see Chapter VII.B.2.e). If the project is to be continued at the PI’s new organization, and if NSF and both organizations agree, formal notification of the impending transfer can be electronically initiated by either the PI or the PI’s organization. The amount transferred has to be equal to or less than the unobligated balance.

The request shall include a:

    • Brief summary of progress to date.
    • Description of work yet to be accomplished.
    • Completed online transfer request, including total estimated disbursements to date (transfer amount will be automatically calculated, based on the amount entered in total estimated disbursements). The original organization is responsible for including in the total estimated disbursements, any anticipated costs yet to be incurred against the original award.
    • Detailed line item budget for the transfer amount and any outstanding continuing grant increments.

If funding is requested to support a postdoctoral researcher, then the request must include the requisite mentoring plan as described in Chapter II.D.2.i(i). The plan must be uploaded under “Mentoring Plan” in the Supplementary Documentation section of Research.gov. The PI must report on the mentoring activities provided to the individual(s) in annual and final project reports.

The original organization concurs with the transfer of the award by electronically forwarding the request to the new organization.

The new organization completes the request by providing a detailed budget for the transfer amount agreed to by both organizations. The AOR of the new organization must sign and submit the request via use of NSF’s electronic systems. Submission of the request constitutes agreement by the new organization to assume responsibility for completion of the project effort and to administer the award (as originally awarded) from the transfer date to completion in accordance with any special terms and conditions and the applicable general terms and conditions that normally govern NSF awards made to the new organization. Special terms and conditions, as appropriate, cited in the original award will convey to the new recipient organization.

NSF will assign a proposal number at the time of submission. This proposal number will become the new award number when the transfer is approved by an NSF Grants and Agreements Officer.

(iii) Fund Transfer. Upon receipt of the above material, NSF will review the request and, if approved, deduct the specified transfer amount from the original award and re-establish it under a new award number at the new organization. Award notification by the NSF Grants and Agreements Officer will constitute NSF approval of the award transfer. The award notification also will specify the applicable award terms and conditions that govern the award.

(iv) Monetary Discrepancies. Upon transfer of the award to the new organization, any monetary discrepancies must be resolved between the original and the new recipient. NSF will not intervene in any disputes between the two organizations regarding the transferred amount.

(v) Equipment Transfers. Equipment purchased with NSF funds for use in a specific project should remain available for use for the duration of the project. PIs who are in the midst of projects that included funding for equipment and who will continue the project at a new organization with NSF support, should arrange with their original organization to have the equipment transferred with them. Shipping costs for such equipment may be charged to the original or transferred award as an allowable cost. Budgets should not include funds to “buy” equipment that had been previously obtained with Federal funds.

(vi) Possible Alternatives to the Transfer Process. When the amount of time and funds remaining in a project are modest, and if both the original and new organizations are in agreement, the original organization may issue a subaward to the new organization for completion of the project. This and other possible alternatives should be discussed with the NSF Grants and Agreements Officer.

Other Sponsors

Read the sponsor guidance for transferring an award. Contact [email protected] if you need further assistance.