• NIH Change in Grantee Organization

Introduction
Awards are made by sponsors, to institutions in full consideration of the skills and talents of the Principal Investigator (PI) managing the project. Periodically situations arise when a PI is no longer available to carry on the project. For example, a PI may have changed direction in research activity; a temporary or permanent leave of absence may be necessary for health or other reasons; a PI may have accepted a position at another institution and is leaving the University. The sponsor must be informed immediately in writing when such an event occurs. The sponsor will want to evaluate the circumstances and determine if another Rutgers University PI can meet the project goals, if another institution will take up the work (leading to an early termination for our institution) or if the project will be moved to another institution to follow the current PI should he/she be leaving.

All notifications to sponsors must be in writing and co-signed by an ORSP official. Verbal conversations are not considered official notification. The RU department is advised to gauge spending carefully to avoid unallowable expenses during any transition– When the PI is not managing the project, continuing expenses will be questioned by the sponsor or by auditors.

Not informing the sponsor of a PI change has led to serious problems in the past. This can have costly consequences to the Department and University.

Procedure: Internal Changes in Principal Investigator

In the event that a Rutgers University grant/contract must be transferred internally from one PI to another, please follow the procedure outlined below.

• The Principal Investigators involved in a grant/contract transfer must notify their ORSP Grant Specialist of the intended transfer through submission of a completed ORSP Internal Grant Transfer Request Memo. This document must be signed by the Relinquishing and Accepting PI’s, as well as their respective Deans and Department Chairs.
• A change of PI letter (or electronic system notification) must also be submitted to the Sponsor and co-signed by ORSP.

Procedure: Transfer of a Grant/Contract

Transfer To Rutgers

Grants are awarded to institutions, not individuals. For this reason, the grantee institution must “relinquish” the grant and equipment (if any) to Rutgers. Also, the sponsor must approve all grant transfers from one organization to another.
Instructions

1.  Work with the grants officer at the grantee institution to contact the sponsor’s grant officer assigned to the project and request the following items:
   • transfer/relinquishing forms
   • mailing address
   • special instructions specific to your situation (if any)

   Example: For NIH grants, contact the NIH Grant Management Officer (GMO) named on the award document. For NSF grants, contact the Program Officer named on the award document. The NSF grant transfer process is conducted through Fastlane.

2. Complete the necessary sponsor forms for award and/or equipment transfer.
   Tips:
   • The grantee institution is responsible for submitting final financial reports to the sponsor. Grants can not be transferred from one institution to another until the financial reports are submitted.
   • If transferring equipment, check with the grantee institution to determine its policy for transferring grant-related equipment.
3. The following documents must be submitted to the Office of Research and Sponsored Programs (ORSP) in order for Rutgers to accept the grant transfer and a grant account to be set up.
   • copy of any relinquishing statement signed by the grantee institution
   • a full proposal including:
     • completed and signed RU Endorsement Form
     • budget—should reflect the balance shown on the relinquishing statement and incorporate RU F&A rates

   Note: If there are carry forward balances or the grant is transferring mid-year and the sponsor will not adjust the F&A rates, please contact ORSP for consultation prior to the submission.

4. After receiving approval from the ORSP, mail the revised proposal, budget, and any additional forms directly to the program or grants officer assigned to the project.

   Warning: Do not mail the proposal to the general office where grant applications are received.

PIs leaving Rutgers University and Transferring Grants to Another Institution

Grants are awarded to institutions, not individuals. For this reason, Rutgers must “relinquish” the grant and equipment (if any) to the new institution. Also, the awarding agency must approve all grant transfers from one organization to another.
Instructions

Coordinate with the assigned Grants Specialist within ORSP to contact the sponsor’s grant officer assigned to the project and request the following items:

• transfer/relinquishing forms
• mailing address
• special instructions specific to your situation (if any)

Example: For NIH grants, contact the NIH Grant Management Officer (GMO) named on the award document. For NSF grants, contact the Program Officer named on the award document. The NSF grant transfer process is conducted through Fastlane.

1. Complete the necessary sponsor forms for award and/or equipment transfer.
   Tips:
   • While completing forms, work in conjunction with the department to which the award was made and DGCA to determine and agree upon account balances. DGCA is responsible for submitting final financial reports to the sponsor. Grants can not be transferred from one institution to another until the financial reports are submitted.
   • Route any documents requiring “institutional signatures” to ORSP for review and sign off—deans, department chairs, etc. are not authorized to relinquish grants or equipment on behalf of Rutgers University.
2. Complete any additional requirements outlined by the agency or the institution to which the grant is transferred.

If you have questions, please contact the ORSP Grant Specialist assigned to the grant/contract.