Award Relinquishment or Transfers for Departing Faculty
NIH prior approval is required for the transfer of the legal and administrative responsibility for a grant-supported project or activity from one legal entity to another before the expiration date of the approved project period.
With Change of Recipient Organization requests, timing is critical and NIH expects to be notified at least three months prior to the date of transfer. Any notification after this time could cause delays that could adversely impact research. Please also consider that transfer applications that come in close to the end of the Fiscal Year may be deferred for processing until after fiscal year close.
The first step in this process is to contact the Program Officer (PO) to discuss the feasibility of the transfer (NIH usually will not consider or approve transfers of a grant in a no-cost extension, except under an extraordinaty circumstance). If no concerns are raised by your PO, then the next step is to contact the Grants Management Specialist (GMS) assigned to the award. The GMS can assist with questions about the submission of required documentation, such as the relinquishing statement and transfer application.
NIH Award Transfers are not guaranteed. Once the transfer documentation is received, NIH grants management and program staff will conduct an administrative review of the request to determine if the transfer is appropriate, and to determine the level of NIH funding that will be awarded to the new recipient. The decision to authorize transfer of the grant will be based upon the following criteria:
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The project has been relinquished by the original organization.
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The facilities and resources at the new location allow for the successful performance of the project.
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The investigator plans no significant changes in research objectives and level of expenditures from those described in the previously approved project.
After the PI discusses the transfer with NIH, the Office of Sponsored Programs, Office of Grants Management, and Intellectual Property Partners are expected to submit the following documentation:
- Relinquishing Statement (PHS Form 3734) or signed letter in lieu of the form (only if transfer is taking place prior to award
of competitive application). If applicable, include a list of equipment that is transferring
to the new institution. This form gives information about the date the investigator
proposes to leave the old institution and proposes to start at the new institution.
It provides an estimated amount of funds to be relinquished in the current grant year.
The relinquishment statement can be submitted electronically through eRA Commons.
Important to Note: The Form 3734 requests “the unexpended balance on the termination date of _____calculated on the basis of the total amount awarded for the grant year.” A common error is to include the total balance from all grant years (including carryover); however, this estimate should come ONLY from funds awarded in the budget period being relinquished.
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. - Final Invention Statement (PHS Form 568).
- A final Federal Financial Report (FFR) is required for grant closeout and is due 120 days after the end of the competitive segment.
Helpful Links
Informational materials are required from both the original recipient Relinquishing Statement and the proposed new recipient Transfer Application.
Additional information on the Change of Recipient Organization is also available in the section entitled "Prior Approval Requirements" in the NIH Grants Policy Statement.