A grant is always awarded to the PI’s institution. Therefore, before a grant can be transferred to a new institution the grant must be:
1. Relinquished from the PI's Current Institution
2. Applied for from the PI's New Institution
If You Have A Faculty Member With a Current Grant Award Leaving UND
1. If the faculty member has an NIH grant award that he/she would like to take with them to their new institution,
he/she needs to request prior approval for the transfer of the legal and administrative responsibility from one institution to another before the expiration date of the approved project period. A request for a change of grantee organization must include submission of a Relinquishing Statement and a Final Invention Statement and Certification from UND.*
The UND Grants & Contracts Administration office must complete the NIH Relinquishing Statement. This form is located at URL: http://grants.nih.gov/grants/phs3734.pdf. The Relinquishing Statement provides NIH and the new institution an estimated unexpended balance, as well as a list of equipment costing $5,000 or more which will be transferring to the new institution with the grant. NIH can not award a grant to the new institution until UND has relinquished it. Therefore, it is important to complete the Relinquishing Statement as soon as possible after a faculty member has left UND - if not before.
The faculty member must complete the Final Invention Statement and Certification form. This form is located at URL: http://grants.nih.gov/grants/hhs568.pdf.
If the faculty member has a non-NIH grant award that he/she would like to take with them to their new institution, the faculty member will need to be in contact with the sponsor's program officer as different awarding agencies require different relinquishing documentation. The award document may also discuss the relinquishing requirements, so make sure that you review this document as well.
Whether the faculty member has an NIH grant award or not, the sponsor as well as the new institution will need an estimated unexpended balance as well as a relinquishing statement or form from UND.
2. Once the relinquishing documentation has been completed, it must be approved and signed by the faculty member leaving UND, as well as the UND Research Development & Compliance Office. These signatures insure that the faculty member and UND have reviewed the documentation and have agreed that this grant award should be transfered to the faculty member's new institution. Since the grant is always awarded to the PI’s institution, UND is not obligated to transfer the award to new faculty member's new institution.
3. Once the relinquishing documentation has been reviewed and signed, it needs to be sent to the sponsor as well as the faculty member's new institution. The sponsor uses this documentation to remove UND as the awardee, and the new institution uses this documentation to prepare a new proposal to the sponsor (if this is required).
4. You may receive a confirmation from the sponsor stating that the award has been relinquished from UND. This documentation needs to be filed in the Grants & Contracts Administration Office.
If You Have A Faculty Member With a Current Grant Award Coming to UND
1. You will need to get the name of the contact person at the PI’s former institution. This contact person is usually a Grant or Contract Officer, or someone in the Sponsored Project Office.
2. You will need to contact the former institution to obtain the estimated dollars to be transferred for current budget year. If the faculty member is transfering an NIH award, this estimated funding will be shown on the NIH Relinquishing Statement submitted by the former institution. If the faculty member is transfering a non-NIH award, the former institution will need to provide us with some other documentation such as a budget or other formal document.
Once we have the estimated dollars to be transfered for the current budget year, the new faculty member can work with the Research Administration office to develop a UND budget and budget justification (see below for tips on completing the current year budget).
3. You will need to contact the former institution to obtain a copy of the most recent award notice for the award to be transfered to UND. This award notice may indicate the total dollars allocated for succeeding years of the current project period, as well as the name of the current program officer and grant officer.
4. Once you have gathered the most recent award notice and put together a budget and budget justification, if the award to be transfered is an NIH award, the new faculty member will need to work with Research Administration to complete a proposal which will be submitted from UND. This proposal is done via Grants.gov, and is done so NIH can award the project to UND. Once the proposal is completed, it needs to be routed through the proper channels just like a regular proposal. If the award to be transfered is a non-NIH award, the new faculty member needs to contact the sponsor to see if a new proposal is to be sent from UND, or what their requirement are.
5. UND should receive a new award document or some other form of notification that the award has been transfered from the former institution to UND. This documentation needs to be filed in the Grants & Contracts Administration Office.
Tips on completing the budget for the current budget period
You will need to talk with the sponsor's grant officer to determine how the sponsor wants the direct costs and facilities and administrative costs allocated on the award transfered to UND:
- Some sponsors request that you back UND's F&A Costs (Indirect Costs) out of the TOTAL DOLLARS transferred. The remainder is the direct costs is available for the current budget period.
- Some sponsors request that you allocate the direct dollars available ONLY, adding UND's F&A Costs (Indirect Costs) to that amount.
It is important to check with the sponsor BEFORE the new faculty member starts to work on the budget and budget justification.
Once you have determined the total direct costs available for the first budget period, you must allocate that amount WITHIN THE MONTHS REMAINING IN THE CURRENT BUDGET PERIOD. If the budget form has start and end dates, be sure to enter these months in the “Start” and “End” date boxes shown on the form.
For succeeding years of the grant, budget the DIRECT costs originally awarded, adding UND's F&A Costs (Indirect Costs) to that.
If the original application was an NIH modular application, on the modular budget form put the remaining direct cost dollar amount in the “Initial Budget Period” EVEN THOUGH IT IS NOT AN EVEN MODULE. Complete the remainder of the form with the direct cost dollars awarded in the original NIH Notice of Grant Award (NOGA).
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* For more information on transfering an NIH award to a new institution, the following is an excerpt from the NIH Grants Policy Statement (12/03):
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