What are the Grant Transfer Procedures?

Grants are awarded to institutions, not individuals. Therefore, the relinquishing institution must agree to transfer awards if/when its PI moves to another institution. One of the services provided by ORS includes assistance in transferring grants to UIC from other institutions (when a new PI is arriving at UIC) or from UIC to other institutions or entities (when a PI is leaving UIC).  In all cases, it is recommended that a PI and his/her departmental administrator begin the formal process of requesting the transfer of your grant at least sixty days in advance of your move to the new institution. The timing of your transfer request can have significant implications. Also, the awarding agency must approve all grant transfers from one organization to another.  Rules and regulations on grant transfers vary widely from funding agency to funding agency. 

A “Request for PI Award Transfer/Relinquishment” form must be completed and submitted to ORS along with any applicable agency specific transfer form(s).

Do you have an NIH grant to transfer?

When an investigator transfers and requests continued support for a previously approved project at a new location, the NIH requires that a transfer application be submitted through the new institution. This application will receive an administrative review by grants management and program staff to determine if the transfer is appropriate and to determine the level of NIH funding. The decision to authorize transfer of the grant will be based upon the following criteria:

  • the project has been relinquished by the original institution;
  • the facilities and resources at the new location allow for the successful performance of the project; and
  • the investigator plans no significant changes in research objectives and level of expenditures from those described in the previously approved project. If the proposed change of institution does not meet these criteria, competitive review will be required.

NOTE: It is recommended that the PI contact the Program Official to discuss the feasibility of the move; the Program Official will then review the request approve or disapprove the scientific information on the new application.

From the Original Grantee Institution, please submit: 

  1. Relinquishing Statement - A transfer application will not be processed until this form, signed by the proper institutional officials, has been received by the National Institute of Health (NIH).  This form provides the effective date of relinquishment, estimated unexpended Direct Costs and Facilities and Administrative (F&A) Costs balances from the current budget period (carry-over of funds from previous budget periods should not be included in these amounts),  and lists any transfer of equipment of an acquisition cost of $5,000 or more.
  2. Final Invention Statement
  3. Final Financial Report – Must be submitted within 90 days following the relinquishing date of the project. Financial reports are prepared and submitted to the sponsor by the Grants and Contracts Office.

From the New Institution, please submit:

  1. Application face page (PHS Form 398).
  2. A progress report for the current year, including a statement regarding the goals of the upcoming year. This is required for anniversary transfers and is strongly encouraged for mid-year transfers.
  3. A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, appropriate details should be provided.
  4. If the application involves Multiple Principal Investigators, include a revised Multiple PD/PI leadership plan indicating how the transfer will affect the governance and organization of the leadership team.
  5. A resources page including a description of the facilities at the new institution and the probable effect of the move on the project.
  6. Budget pages. If the grant is transferring in the middle of a budget period, a partial year direct cost budget, at the relinquished direct cost level is required. For grants transferring on their anniversary date, a full year budget, at the committed direct cost level is required. Future year budget pages should also be provided at the committed direct cost level. For modular grants, only narrative budget information, including total direct costs and F&A costs is required.
    1. Important to Note: Generally, the negotiated F&A cost rate for the new institution will be applied to the direct costs for the grant, regardless if the rate is higher or lower than that of the old institution. If there are major increases in F&A costs in the current grant year, increases in the award will be contingent upon availability of funds. Future year F&A costs will be provided at the appropriate negotiated rate.
  7. Updated biographical sketches for new key personnel.
  8. Updated other support pages for all key personnel, if applicable.
  9. A checklist page.  Be sure to indicate the application type as “Change of Grantee Institution and provide the NIH Grant number.
  10. Human and Animal Assurances and IRB and IACUC approval dates, if applicable.
  11. Human subjects’ education certification for key personnel, if applicable.
  12. A list of equipment, as presented on the old institution’s Relinquishing Statement, to be transferred. Such a listing in the application represents acceptance of title to the transferred equipment.

Non-Modular/Categorical Grant Award:

  • Mid-year Transfer: Please submit a detailed budget for the transfer budget period and include a budget for future year commitments if applicable. (Note: The transfer budget (DC + F&A) should not exceed the Total Costs relinquished from the previous institution).
  • Anniversary Date Transfer: Please submit a detailed 12-month budget for the noncompeting budget period and include future year commitments if applicable. (Note: Future year commitments should be based on the previously established Direct Cost levels).

Modular Grant Award:

  • Mid-year TransferPlease submit a modular budget for the transfer budget period and include a budget for future year commitments if applicable.
  • Anniversary Date Transfer: Please submit a modular budget for the noncompeting budget period and include future year commitments if applicable. (Note: Future year commitments should be based on the previously established Direct Cost levels).