NIH Transfer Process

All NIH transfers begin at the institution the PI is leaving, and it is his/her responsibility to initiate the process. Prior to changing institutions, the PI must notify the granting agency and the exiting institution’s Office of Sponsored Projects (or equivalent).

Outgoing transfer of an NIH award from the University of Utah requires:

1. 1. Prior written approval INTERNALLY from the University via the Relinquishing Memo (one per award) before the University/OSP can begin the formal NIH Change of Grantee/transfer process.
2. 2. Prior written approval EXTERNALLY from the NIH which requires a complete package of materials outlined below

• A change of grantee that involves the transfer of a grant to or between a foreign institution or international organization must also be approved by the appropriate NIH Institute or Center's Advisory Council or Board.
• A grant to an individual may not be transferred. However an individual fellowship may be transferred to a new institution. The transfer process will be the same as for a change a change of grantee organization. A Change in an individual fellow's department or sponsor within the same organization is not considered a change of grantee organization.
• In addition, if a mentor (i.e. K-series) or an "expert" (i.e. some R03s) is required by the conditions of the award, then that individual at the new institution must be identified and indicate his/her willingness to accept the grantee. NIH must approve this mentor. If the proposed change of institution does not meet these criteria, competitive review will be required.

Generally, it takes 90 days following the revised expiration date for the relinquishing institution to complete the close-out process. It can then take another 30-90 days for the award to be relinquished and for a new application to be submitted through the new institution. It can be another 2-3 months before a new award is made to the receiving institution. Overall, the process can take up to a year so it's important to review the process and work closely with both sponsored projects offices.

Exiting Institution STEPS

1. STEP 1: When/if exiting the University of Utah, the PI and department must complete the Relinquishing Memo (one per award) and submit the signed version to OSP, as outlined here
2. STEP 2: After sending the signed Relinquishing Memo to OSP, the following should be prepared by the exiting PI/department and must be submitted to NIH from OSP:
   • Form PHS 3734, Official Statement Relinquishing Interests and Rights in a Public Health Service Grant (PDF): A relocation application will not be processed until this form, signed by the proper institutional official, has been received by NIH. This form provides the effective date of relinquishment, estimated direct and indirect cost balances and a statement of intent concerning the transfer of equipment. [Please note: If the transfer is occurring prior to the Type 1 award being issued, a letter from the exiting institution's authorized official may be substituted for the PHS 3734.] NIH will not issue an award to the new institution until NIH receives a relinquishing statement from the exiting institution. 
     
     Form 3734 should be completed as soon as possible and always before the PI moves. While some grantees will wait until all charges are cleared, this significantly delays the process. If there is an underestimation of expenditures, the awards will be revised.
     
     
3. STEP 3:  The following should be prepared by the exiting PI/department and submitted according to standard closeout processes
   
   
   • Standard Form 425, Federal Financial Report (PDF): This form must be submitted within 90 calendar days following termination of the project.
   • Form HHS 568, Final Invention Statement and Certification (PDF): This form must be submitted within 90 calendar days following termination of the project.

New Institution STEPS

The NIH Change of Grantee Institution Policy requires that a transfer application be submitted through the new institution. This application will receive administrative review 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 information:

1. 1. The project has been relinquished by the University of Utah
   2. The facilities and resources at the new location allow for the successful performance of the project
   3. The PI plans no significant change in research objectives and level of expenditures from those described in the previously approved project

1. STEP 1: The PI should work with the new institution to update their eRA Commons profile affiliation. See UU instructions

2. STEP 2: The PI transferring should coordinate with the new institution to provide the following to NIH:

   Form PHS 398, Grant Application: The new institution must submit an electronic application using the Change of Grantee Organization opportunity found on the Parent Announcement post-award administrative action announcements. This application must contain the following information:
   1. SF 424 (R&R) Cover Component
   2. SF 424 (R&R) Project Performance Site Location(s)
   3. SF 424 (R&R) Other Project Information:
      1. Certification of IRB/IACUC approval, including assurance numbers, if applicable
      2. Facilities and Other Resources, including probable effect of the move on the project
      3. Detailed list of any equipment purchased with grant funds to be transferred to the new organization (inclusion of the list in the transfer application from the new organization indicates its acceptance of title to that equipment)
   4. SF 424 (R&R) Senion/Key Person Profile
      1. Updated biographical sketches for the PD/PI and existing senior/key personnel and biographical sketches for any proposed new senior/key personnel
      2. Updated "other support" page(s) as necessary
   5. PHS 398 Research Plan: If transferring on the anniversary date, include the progress report for the current year including a statement regarding the goals for the upcoming year. For all transfer applications include also a  statement indicating whether the overall research plans/aims have changed from the original submission, and, if so, provide updated information.
   6. R&R Budget forms applicable for activity code (current and future years)
      1. If the grant is transferring in the middle of a budget period, a partial year direct budget, at the relinquished direct cost level is required. For grants transferring on their anniversary date or within 90 days of the end of the budget period, 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;
      2. Generally the negotiated F&A cost rate on file with the DHHS 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. PHS 398 Cover Page Supplement
   8. PHS 398 Checklist
   9. Special justification when requesting the transfer of a budget period with less than 6 months remaining.
      
      NIH also expects that requests for change in recipient institution, as outlined in 8.1.2.7, should include mention as to whether the change in recipient institution is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions) involving the PD/PI. The NIH expects both the relinquishing and applicant organizations to disclose whether a Change of Recipient Organization is occurring within the context of an ongoing or recent investigation of misconduct of any kind, including but not limited to professional misconduct or research misconduct (see: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-20-124.html).
3. STEP 3: If transferring into the University of Utah, the PI has the option of establishing a preliminary project in anticipation of the award.