Procedure Library

Departing PI Award Disposition

Purpose

Complete appropriate dispositions for a faculty member, as a named Principal Investigator (PI) for a sponsored award leaves the University, to either transfer the award to another institution, to another investigator, or terminate.

Applicability

When the PI leaves the University for any reason, including transfer and retirement, action must be taken on the award. PIs named on a grant or contract are responsible to the University and to the sponsor for performance of the funded activities, financial stewardship, and submission of reports.

Typical actions on an award include requests for transfer to the PI's new institution, termination, or request for a change of PI. For more information, review the information on Institutional Transfers.

Instructions

1. The exiting PI should work with his/her department chair and/or dean to determine the desired disposition of the award: transfer, change PI, or terminate.
   1. Note: Not all awards can be transferred. For example, a clinical study or a training grant would normally remain at the University with a new PI. Contact OSP for guidance.
   2. Determine the desired timing of an award transfer, which can be the PI's departure date or anniversary date of the award.
2. When available, the previous PI will coordinate with OSP to contact the sponsor to assure that the sponsor agrees with the desired disposition, and to confirm documentation required for the University to initiate the change.
3. Submit a formal request for the award disposition. Each request must be initiated and signed by the PI and/or the department chair and dean.
   • Transferring awards and equipment to another institution requires the prior written approval of the department chair and dean. A Relinquishing Memo signed by the PI and the department chair is directed to the dean for approval, and the approved document is forwarded to OSP. The memo must list each award and the equipment that the PI wishes to transfer. If the transfer involves equipment, the PI needs to also complete a Retirement Transfer Form and send it with the signed Relinquishing Memo to Property Accounting.
   • A request for change of PI must be submitted using the Change of PI form. The approved form is forwarded to OSP.
   • A request to terminate an award must be submitted through the department chair and dean and routed through OSP before submission to the sponsor. Contact OSP for guidance.
4. Sponsor approval of the request must be received by OSP in writing from the sponsor.
   
   1. OSP will share the approval information with Grants and Contracts Accounting (GCA) and update the records as appropriate for the change that has been approved.
5. The PI is responsible for submitting all required reports, including final progress reports and invention reports, before leaving the University.
   
   1. NOTE: If the PI leaves and is unable to submit the reports this responsibility falls to the department. OSP recommends that department administrators and chairs ask for the final progress report before the PI transfers, if they see this as a possibility.
   2. If the transfer involves lab animals, contact IACUC to discuss updating your protocol.
   3. If applicable, close out material transfer agreements and coordinate arrangements directly with Technology Licensing.
6. Work with the department administrators to reconcile expenses and timely submit financial reports.
   1. The department administrator must work with OSP to submit the relinquishing statement.
   2. The department administrator must work with GCA to submit the final financial report and/or final invoice.

Related Policies and Procedures

• Resources > Forms > Institutional Transfers
• Resource > Forms > Institutional Transfers > Outgoing Faculty > NIH Transfer Process
• Resource > Forms > Institutional Transfers > Outgoing Faculty > NSF Transfer Process
• Resources > Forms > Relinquishing Memo
• Resources > Forms > Change of PI Form