Grant Transfer Instructions for NIH/PHS Research Grants

When a PI makes the decision to transfer either to or from the UVA a critical concern is that their research funding transfers with them in a timely manner.

The PI is contemplating moving to a new institution should notify both the funding agency as well as their current and new institution to start this process as far in advance of their new appointment as is possible. 

The NIH requires that when continued support for a previously approved projects at a new location is needed that a transfer application be submitted through the new institution on a completed application Form PHS 398 (Please remember to use the most current forms!).  The transfer application will receive an administrative review to determine if the transfer is appropriate and to determine the level of NIH funding to be sent to the new institution.

Decisions to authorize transfer of grants are based upon the following criteria:

 1.  The original grantee institution is willing to relinquish the grant;

 2.  The facilities and resources at the new location allow for the successful performance of the project; and that

3.  The investigator plans no significant changes in research objectives and the direct costs do not exceed the levels previously authorized.          

If departing from the previously recommended project, or if any other condition above is not met, the original grant will be terminated and the replacement application will be peer reviewed and compete for available funds along with other new applications. Budget periods with fewer than 6 months remaining, or awards in a no-cost extension phase will be only be transferred only under very unusual circumstances.  Please remember that grants are made to the institution rather than to the individual PI as such the entity to whom the grant was awarded has the discretion to determine whether or not the grant will be transferred to the new institution or a new PI will be appointed. 

To request continued support at a new institution and to accomplish close-out at the original institution, the following must be submitted:

From the Grantee Institution

  1. Form PHS 3734, Official Statement Relinquishing Interest and Rights in Public Health Service Research Grant  Research Grant, download at web site: http://grants.nih.gov/grants/forms.htm.  A relocation application will not be processed until this form, signed by the proper institutional officials, has been received at NIH, Grants Management Branch.  This form provides the effective date of relinquishment, ESTIMATED Direct and Indirect costs for the current budget period only, and a statement of intent concerning the transfer of equipment. (DO NOT INCLUDE AUTOMATIC CARRYOVER AMOUNTS FROM PRIOR YEAR UNOBLIGATED BALANCES ON THE RELINQUISHING STATEMENT unless identified separately).                                                     

  2. Form HHS 568, Final Invention Statement and Certification, download at web site: http://grants.nih.gov/grants/forms.htm.  This form should be submitted to the Grants Management Branch no later than 90 days following termination of the grant at the original institution.  This report covers the entire period of the grant and must list all inventions that were developed during the performance of work on the supported project (whether or not previously reported).  Each statement will require the signature of the principal investigator and an official authorized to sign on behalf of the original grantee organization.

  3. Financial Status Report.  This form should be submitted to the Grants Management Branch no later than 90 days after the end of the final budget period at the original institution.  The final report of expenditures covers the final budget period, must have no unliquidated obligations, and must indicate the exact balance of unobligated funds.  At UVA The Office for Sponsored Programs is responsible for submitting this form.

4.   Equipment Transfer is addressed in part by the Official Relinquishing Statement       listing equipment purchased with the grant funds and had an acquisition cost of   $5,000 or more, which will be transferred with the project.

    In addition to PHS requirement, UVA also has procedures for the transfer of equipment when such transfer will further the departing faculty members research and not handicap the department or other faculty. The PI needs to prepare and submit a University of Virginia Equipment Inventory Change Request (P-1).  All equipment items must be referenced by the UVA Asset Tag #, a brief description of the item, its current location on Grounds as well as the proposed new location must be provided.  Please note: if the source of funds from which the item was initially purchased as well as the original purchase price and current market value are also requested so that we can ensure that the equipment transfer is allowable.  An approved list showing All equipment the investigator is transferring (purchased either from research grants or with other funds) must be submitted to the Office of Grant and Contract Administration for further administrative action.  This list should be endorsed by the Department Chair, and the SOM Assistant Dean for Research Administration, indicating their approval and include kind of equipment, purchase price, source of funds for purchase and UVA equipment inventory number.

From the New Grantee Institution

1.   Form PHS 398, Grant Application Forms available at web site: http://grants.nih.gov/grants/forms.htm.  The new institution must submit an application with "CHANGE OF GRANTEE INSTITUTION" typed in CAPITAL letters across the top of the face page and budget pages.  This application should be sent to the responsible Grants Management official at the awarding institute.  If the original award was the result of a modular application, modular procedures also apply to the request for change of grantee.  It should include the following:

  • Face Page;

  • For applications made under modular procedures - Narrative budget information, including total direct costs for the current budget period, and if future budget periods remain, information regarding the number of modules should be based upon the previously recommended levels. In the event of a mid-budget transfer, the initial budget should be based upon the direct costs being relinquished by the original institution as reflected on Form PHS 3734. (Do Not include carryover amounts from the previous year on the narrative budget for the initial budget period. If there are any carryover amounts, provide a separate statement on the narrative budget justification, Note: carryover funds should be included in Box 9 of the final FSR);

  • For applications made under awards other than modular procedures - A detailed budget for the initial (transfer) budget period and, when future commitments exist, categorical budgets for those periods. Follow instructions above for mid-budget transfer.

  • Biographical sketches for all new key personnel;

  • Updated other support pages for all new key personnel;

  • Resource page describing the facilities at the new institution and the probable effect of the move on the project;

  • List of equipment (which was purchased in whole or in part with grant funds and has an acquisition cost of $5,000 or more) to be transferred from the original grantee institution. The listing in the application represents the new institution's acceptance of title to equipment transferred and accountability for it at the end of the newly established project period;

  • A progress report summary, which will serve in lieu of a final progress report at the original grantee institution. The progress report should be a brief presentation of the accomplishments on the research project during the reporting period.

  • A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.

  • Completion of all assurances identified on the CHECKLIST in the PHS 398, and as required by policy, Human, and Animal subjects, Debarment and Suspension, Lobbying, Indirect Costs, etc.

2.   Application requesting the transfer of previously recommended support may be    submitted without regard to the deadline dates indicated in the PHS 398 instructions.  The application should, however, be submitted as early as possible to allow for administrative review (approximately 4- 6 weeks before requested start at the new grantee institution).

This memo addresses the transfer of PHS/NIH research grants.  Other agencies and or foundations have their own procedures for grant transfers.  It is also important to note that there are many other issues to address when moving to a new institution, such as the transfer of equipment, intellectual property and other materials. Please contact the Office of Grants and Contracts directly when a faculty member is planning to leave UVA or is recruited to your Department so that Office of Grants and Contracts can assist you in the transfer process.  Please contact your Grants Administrator via e-mail or by calling 924-8426.