Procedure Library

Departing PI - Award Disposition

Purpose

Ensure appropriate disposition of sponsored awards when a Principal Investigator (PI) leaves the University. Actions may include transferring the award to another institution, assigning a new PI, or terminating the award. 

Applicability

When a PI departs the University for any reason - including transfer, retirement, or resignation - official action must be taken on their sponsored awards. As the named PI, they are responsible to both the University and the sponsor for project performance, financial stewardship, and timely submission of required reports.

Typical disposition options include:

• Transferring the award to the PI's new institution
• Requesting termination of the award
• Requesting a change of PI

For additional details, consult the University guidance on Institutional Transfers.

Instructions

1. Determine the Desired Disposition
   The departing PI should work with their department chair and/or dean to decide whether the award will be transferred, reassigned to a new PI, or terminated.
   Note: Some awards cannot be transferred (e.g., clinical studies, training grants). Contact OSP for guidance.
2. Confirm Transfer Timing
   Identify the preferred effective date for any transfer - either the PI's departure date or the award anniversary date.
3. Consult with OSP and Sponsor
   When possible, the departing PI should work with OSP to notify the sponsor, confirm the sponsor's willingness to accept the proposed disposition, and identify required documentation.
4. Submit the Formal Request
   All disposition requests must be initiated and signed by the PI and/or the department chair and dean.

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Disposition Types and Required Actions

1. Transfer of Award and/or Equipment
   • Transfers require written approval from the department chair and dean.
   • A Relinquishing Memo, signed by the PI and chair, must be submitted to the dean and then forwarded to OSP.
   • The memo must list each award and any equipment to be transferred.
   • If equipment is included, the PI must also complete a Retirement Transfer Form and submit it to Property Accounting along with the signed memo.
2. Change of PI
   • Submit a Change of PI form. 
   • After department and dean approval, submit the form to OSP for review.
3. Termination of Award
   • Requests to terminate an award must be submitted through the department chair and dean, then routed through OSP before sponsor submission.
   • Contact OSP for guidance on required documentation. 

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Final Approvals and Closeout

• Sponsor approval must be received in writing by OSP.
• OSP will notify Grants & Contracts Accounting (GCA) and update award records.
• The departing PI must submit all required reports - including final progress and invention reports - before leaving the University.
  • If the PI is unable to submit these reports, the responsibility falls to the department. OSP recommends obtaining a final progress report from the PI before their departure whenever possible.
• Departments must work with:
  
  • OSP to submit the relinquishing statement
  • GCA to submit the final financial report and/or final invoice

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Additional Considerations

• Lab animals: contact OACC to update protocols.
• Material transfer agreements: Coordinate directly with Technology Licensing.
• Financial reconciliation: Work with department administrators to reconcile expenses and ensure the timely submission of financial reports.

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