PI Changes and Award Transfers

PI Changes and Award Transfers

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 or able to continue the project. For example, a PI may have changed direction in research activity, the PI may require a temporary or permanent leave of absence, or the PI accepts 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 PI can meet the project goals or if the project will be moved to another institution to either follow the current PI should he/she be leaving or another institution/PI that might be better suited to continue the work (this will result in early termination for our institution).                                           

All notifications to sponsors must be in writing and co-signed by an ORSP official. Verbal conversations are not considered official notification. The Rutgers department is advised to gauge spending carefully to avoid unallowable expenses during any transition. When the PI is no longer managing the project, continuing expenses will be questioned by the sponsor or by the auditors. Not informing the sponsor of a PI change can have costly consequences to the Department and University.

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 PIs, 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 the ORSP.

Transfer of Award(s) To Rutgers Instructions

When transferring an award(s) from another institution, please utilize the following guidelines to ease the transition of your award to Rutgers.

Step #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
  • Contact information
  • 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.

Step #2: Complete the necessary sponsor forms for award and/or equipment transfer.

  • The grantee institution is responsible for submitting final financial reports to the sponsor. Grants cannot 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.

Step #3: The following documents must be submitted to ORSP in order for Rutgers to accept the grant transfer and a grant account can be set up in DGCA.

  • 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 Rutgers’ 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 your Grant Specialist for consultation prior to the submission.

Step #4: After receiving approval from the ORSP; the revised proposal, budget, and any additional forms are submitted directly to the program or grants officer assigned to the project either by the Grants Specialist or the PI (sponsor dependent).

Transfer of Award(s) To A Different Institution

If you will be transferring your award(s) from Rutgers to another Institution, please utilize the following guidelines to ease the transition of your awards to your receiving Institution. Please note that the awarding agency must approve all grant transfers from one organization to another. Therefore, coordinate with your Grants Specialist to contact the sponsor’s awards officer assigned to the project and request the following items:

  • Transfer/relinquishing forms

  • Contact information

  • 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.

Step #1: Complete the necessary sponsor forms for award and/or equipment transfer.

  • While completing forms, work in conjunction with the departmental business office and DGCA to determine and agree upon account balances. DGCA is responsible for submitting final financial reports to the sponsor. Grants cannot be transferred from one institution to another until the financial reports are submitted.
  • Route any documents requiring “institutional signatures” to your Grants Specialist for review and execution Please note: Deans, Department Chairs, etc. are not authorized to relinquish grants or equipment on behalf of Rutgers.

Step #2: Complete any additional requirements outlined by the agency or the institution to which the award is being transferred.

If you have any questions/concerns regarding any of the information included in this document, please contact your Research Contract/Grant Specialist for further assistance.