Transfers of NIH/Public Health Service awards

When a PI decides to transfer to or from UVA, it is important that their research funding transfer with them as efficiently as possible.  The PI moving to a new institution should notify both the funding agency and the grants offices in both institutions to initiate this process.  Transfers of continuing awards requires the submission of a transfer application by the new institution.  The transfer application is reviewed administratively to determine (1) if the transfer is appropriate and (2) the level of NIH funding to be sent to the new institution.  Decisions to authorize transfer of grants are based upon the following criteria:

• The original grantee institution is willing to relinquish the grant;
• The facilities and resources at the new institution allow for the successful performance of the project; and that
• The investigator plans no significant changes in research objectives or increases in the direct costs previously authorized by the agency.

The agency may decide to terminate the original grant and and forward the replacement application for peer review against other new applications.  Budget periods with fewer than 6 months remaining, or awards in a no-cost extension phase, will be only be transferred only under very unusual circumstances.

To request continued support at a new institution and to accomplish close-out at the original institution, the following must be submitted:

From the investigator’s current institution

• Form PHS 3734, Official Statement Relinquishing Interest and Rights in Public Health Service Research Grant  Research Grant.  A relocation application will not be processed until this form, signed by the proper institutional officials, has been received at NIH, Grants Management Branch.  This form provides the effective date of relinquishment, estimated direct and F&A costs for the current budget period only, and a statement of intent concerning the transfer of equipment. (Do not include automatic carryover amounts from prior year unobligated balances on the relinquishing statement unless identified separately).
• Form HHS 568, Final Invention Statement and Certification.  This form should be submitted to the Grants Management Branch no later than 90 days following termination of the grant at the original institution.  This report covers the entire period of the grant and must list all inventions that were developed during the performance of work on the supported project (whether or not previously reported).  Each statement will require the signature of the principal investigator and an official authorized to sign on behalf of the original grantee organization.
• Financial Status Report.  This form should be submitted to the Grants Management Branch no later than 90 days after the end of the final budget period at the original institution.  The final report of expenditures covers the final budget period, must have no unliquidated obligations, and must indicate the exact balance of unobligated funds.  At UVA The Office for Sponsored Programs is responsible for submitting this form.
• Equipment Transfer is addressed in part by the Official Relinquishing Statement, listing equipment purchased with the grant funds with an acquisition cost of $5,000 or more, which will be transferred with the project.

In addition to PHS requirements, UVA also has procedures for the transfer of equipment (UVA policy, SOM policy) when such transfer will further the departing faculty member’s research and not handicap the UVA department or other faculty. The PI must prepare and submit a University of Virginia Equipment Inventory Change Request (P-1).  All equipment items must be referenced by the UVA Asset Tag #, a brief description of the item, its current location on Grounds as well as the proposed new location must be provided.  Please note: if the source of funds from which the item was initially purchased as well as the original purchase price and current market value are also requested so that we can ensure that the equipment transfer is allowable.  An approved list showing All equipment the investigator is transferring (purchased either from research grants or with other funds) must be submitted to the Office of Grant and Contract Administration for further administrative action.  This list should be endorsed by the Department Chair, and the SOM Assistant Dean for Research Administration, indicating their approval and include kind of equipment, purchase price, source of funds for purchase and UVA equipment inventory number.

From the new investigator’s new institution

• Form PHS 398, Grant Application Forms.  The new institution must submit an application with “CHANGE OF GRANTEE INSTITUTION” typed in capital letters across the top of the face page and budget pages.  This application should be sent to the responsible Grants Management official at the awarding institute.  If the original award was the result of a modular application, modular procedures also apply to the request for change of grantee.  It should include the following:
• • Face Page;
  • For applications made under modular procedures:  Narrative budget information, including total direct costs for the current budget period, and if future budget periods remain, information regarding the number of modules should be based upon the previously recommended levels.  In the event of a mid-budget transfer, the initial budget should be based upon the direct costs being relinquished by the original institution as reflected on Form PHS 3734. (Do not include carryover amounts from the previous year on the narrative budget for the initial budget period. If there are any carryover amounts, provide a separate statement on the narrative budget justification, Note: carryover funds should be included in Box 9 of the final FSR);
  • For applications made under awards other than modular procedures – A detailed budget for the initial (transfer) budget period and, when future commitments exist, categorical budgets for those periods. Follow instructions above for mid-budget transfer.
  • Biographical sketches for all new key personnel;
  • Updated other support pages for all new key personnel;
  • Resource page describing the facilities at the new institution and the probable effect of the move on the project;
  • List of equipment (which was purchased in whole or in part with grant funds and has an acquisition cost of $5,000 or more) to be transferred from the original grantee institution. The listing in the application represents the new institution’s acceptance of title to equipment transferred and accountability for it at the end of the newly established project period;
  • A progress report summary, which will serve in lieu of a final progress report at the original grantee institution. The progress report should be a brief presentation of the accomplishments on the research project during the reporting period.
  • A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.
  • Completion of all assurances identified on the CHECKLIST in the PHS 398, and as required by policy, Human, and Animal subjects, Debarment and Suspension, Lobbying, Indirect Costs, etc.
• Application requesting the transfer of previously recommended support may be    submitted without regard to the deadline dates indicated in the PHS 398 instructions.  The application should, however, be submitted as early as possible to allow for administrative review (approximately 4- 6 weeks before requested start at the new grantee institution).

This procedure specifically refers to the transfer of PHS/NIH research grants.  Other agencies have their own procedures for grant transfers.  It is also important to note that there are many other issues to address when moving to a new institution, such as the transfer of equipment, intellectual property and other materials. New faculty coming to UVA should consult our “new faculty” page.  Departing faculty should follow the UVA Provost’s departure checklist.   Please contact the Office of Grants and Contracts directly concerning departing or arriving so the office can assist you in the transfer process.  Please contact your departmental contact via e-mail or by calling 434-924-8426.