Outgoing Award Transfers

To initiate a transfer, first submit either a completed: Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement and Equipment form or Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement and Equipment with Subawards/Subcontracts form, as applicable, to the Contract & Grant Officer (CGO) assigned to your department. The CGO will then submit the request, using a process defined by each sponsor. If the sponsor approves the request, UCR will begin the process of closing out the Award. At the same time, the new institution will submit a proposal to the sponsor for the remaining funds. After completing both the closeout and proposal review stages, the sponsor will issue a new award to the new institution.

PLEASE BE ADVISED THAT THE AWARD TRANSFER PROCESS IS NOT QUICK; it can easily take two to three months. Typically, such actions require the combined efforts of the PI, the sponsor’s representative, the PI’s department, CGO, and Extramural Funds Accounting (EMF). Thus, it is important to allocate sufficient time to the transfer process (i.e., the request should be made well in advance of the expected start date at the new institution).

There are several factors to consider, including, but not limited to, the following:

1. Will the grant be transferred, or will a replacement PI be named at UCR?
2. If the Award is staying at the UCR, will there be a subaward issued to the new institution of the separating PI?
3. If the Award is transferring and there are project staff members staying at UCR, will there be a new subaward issued back to UCR from the new institution?
4. Are there subawards on the current award being transferred? If so, all active subawards thereunder will need to be closed out prior to the relinquishment of the Award.
5. What will be the relinquishment date? (Often, it is listed as the date of separation from UCR)?
6. Has the PI stopped spending against the Award? Note: The unobligated balance that is to be transferred to the new institution must be firm in order to submit either the Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement form or the Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement with Subawards/Subcontracts form, as applicable, to the CGO.
7. Are there any cost share obligations under the Award? Will the new institution agree to take these on?
8. Has there been any intellectual property developed?
9. Is there any equipment, associated with this Award, which needs to be transferred to the new institution?
10. Are there any compliance protocols (e.g., IRB, IACUC, or IBC) to close out?
11. Is there a lab to be closed?
12. Will any related project staff members, such as graduate students, transfer to the new institution with the PI?

• General Process for Transferring an Award

  General Process for Transferring an Award

  It is important to notify your CGO as soon as possible regarding the forthcoming separation of a PI from UCR to facilitate the timely transfer of Award(s) pursuant to all UCR and sponsor requirements, and to assist with possible options for a particular Award.

  If an Award is to be transferred, all spending must discontinue as soon as practical. An Award cannot be relinquished by UCR until all expenditures, including payroll, have been posted to the general ledger.

  The transferring PI should meet with the department chair and departmental analyst to develop a transition plan. This plan should address what will happen to all open Awards and must be approved by the Dean’s Office.

  The Outgoing PI Transfer Checklist can serve as a guide as to what needs to be completed.

  Develop the necessary documentation for each Award. The information below is not exhaustive, but is an attempt to highlight the more common issues/concerns.

• Awards Remaining at UCR

  Awards Remaining at UCR

  Prepare a change of PI request. If the replacement PI was already included on the initial eCAF, the CGO will obtain approval via email from the replacement PI’s Chair confirming their concurrence of the change. If the replacement PI was not included on the eCAF, then a “paper eCAF” will need to be completed to capture the regulatory and departmental approvals necessary to revise the lead PI for the Award. A justification for the change in PI, including any sponsor required documents (e.g., biographical sketch, current and pending support, etc.), will need to be forwarded to the CGO for sponsor’s approval. These documents will be sponsor-specific, and the request will need to be submitted by the CGO. Typically, the justification should be addressed to the sponsor’s grants specialist, signed by both the old and new PI, and developed on department letterhead.

  If a portion of the funding will be provided to the new institution as an outgoing subaward, a subaward package signed by an authorized official of the new institution will be required as well as any necessary sponsor prior approvals.

• Awards Transferred out of UCR

  Awards Transferred out of UCR

  Prepare a Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement form for each Award the PI intends to transfer.

  Prepare a Request for Approval to Transfer an Active Grant/Contract/Cooperative Agreement with Subawards/Subcontracts form for each Award the PI intends to transfer which has active subaward/subcontracts thereunder.

  The heading below titled “Process/Information for Specific Sponsors” provides specific details for UCR’s most common sponsors. If you do not see the sponsor of your award listed, please contact your CGO for guidance.

  For sponsors that require a letter of request: prepare a letter addressed to the sponsor’s grants specialist/contracting officer/program manager on departmental letterhead signed by the PI. Since the Award was issued to UCR, please leave a place for the CGO to add a signature block for the authorized official who will sign on behalf of UCR. This relinquishment letter should contain the following:

  • The sponsor's award number
  • The effective date of relinquishment
  • The relinquished amount as of the date of transfer
  • Justification for the need to transfer the award
  • Send documentation to the assigned CGO for review and approval. The CGO will review, sign, and forward the request to the sponsor for their review.

  Repeat this process for all Awards affected by the PI transfer.

• Note on Transfer of Contracts

  Note on Transfer of Contracts

  While federal grants may often be transferred between institutions based on the relocation of a PI, contracts are not typically transferable; instead, contracts may be terminated completely and re-issued to a new institution. Likewise, sponsors may require that UCR retain the original contract and name a replacement PI and issue a new subcontract to the PI’s new institution. Regardless of the award type, the process outlined above should be followed. Any questions regarding this process may be directed to the assigned CGO.

• Note on Transfer of Awards with Existing Subawards/Subcontracts

  Note on Transfer of Awards with Existing Subawards/Subcontracts

  When a subaward/subcontract is involved on a current project, a termination date must be established between UCR and the subrecipient and a firm unobligated balance determined. Contact your CGO to coordinate these efforts. Once the original subaward/subcontract between UCR and subrecipient has terminated, and the Award has been transferred to the new institution, a new subaward/subcontract will need to be initiated by the new institution based on their internal processes.

• Process/Information for Specific Sponsors

  Process/Information for Specific Sponsors

  National Institutes of Health (NIH)
  • How to Transfer an NIH Grant
  • NIH Grants Policy Statement

  NOTE: NIH expects both UCR and the new institution to disclose whether the Award transfer is occurring within the context of an ongoing or recent investigation of misconduct of any kind, including, but not limited to, professional or research misconduct.

  National Science Foundation (NSF)
  • FastLane Transfer Request Instructions
  • NSF Policy

  National Aeronautics and Space Administration (NASA)
  • NASA How-to Guide
  • NASA FAQ

  Office of Naval Research (ONR)
  • Contact the Program Officer
  • ONR Award Closeout 

  United States Department of Agriculture (USDA) & National Institute of Food and Agriculture (NIFA)
  • https://nifa.usda.gov/sites/default/files/resource/NIFA-OGFM-FAQs-20200521.pdf

  • To transfer an award: The PI should prepare a letter of request with supporting documentation and submit it to your CGO who will review and forward it to USDA, as appropriate. The request should include the following: 1) A copy of the replacement PI curriculum vita; 2) a letter of commitment with a signature from the replacement PI; and 3) a Current and Pending Support Form for the replacement PI. If the replacement PI is already a co-PI in the award, only the letter and updated current and pending support form are necessary.

  • To name a replacement PI: The authorized representative must request, in writing (on official letterhead), USDA’s approval of the replacement PI. The request should include the following: 1) A copy of the replacement PI’s curriculum vita; 2) a letter of commitment with a signature from the replacement PI; and 3) a Current and Pending Support Form for the replacement PP. If the replacement PI is already a co-PI in the award, only the letter and updated current and pending support form are necessary.

  Space Telescope
  • Requests for transfer must be submitted, via STGMS (https://stgms.stsci.edu/), during the grant period of performance. Requests made after the grant expires are subject to denial. If the request is approved, the sponsor will issue a Grant Amendment containing the approved changes.

  • Review applicable General Grant Provisions associated with the project for further guidance.

  Department of Defense (DoD)
  • Contact your assigned CGO. 

  Note: Transfer of DoD awards is rare. (DoDGARs, §33.30(D)(3), https://www.govinfo.gov/content/pkg/CFR-2011-title32-vol1/xml/CFR-2011-title32-vol1-subtitleA-chapI-subchapC.xml

  Department of Education
  • Contact the Program Officer

  Department of Energy (DOE)
  • Contact the Program Officer

  Department of the Interior
  • Contact the Program Officer

  ***If the sponsor is not listed above, please consult with your CGO for guidance.***