PI Transfer/Departure/Change of Status
Complete a PI Departure, Request for Grant Transfer, or Request for Approval of Adjunct, Visiting, Emeritus or Retired Faculty as PI form if a Principal Investigator will be leaving his/her UI position or will be transitioning to an Emeritus, Visiting or Adjunct status.
This form is used only for federal and non-federal sponsored projects (funds 500/510) to notify the Division of Sponsored Programs (DSP), Grant Accounting Office (GAO), Human Subjects Office (HSO), Institutional Animal Care and Use Committee (IACUC), and Environmental Health and Safety (EHS) of the status of an individual project when the PI's position at the UI changes. This includes the following actions for any of their sponsored agreements:
Transferring a grant to a new institution (not an option for contracts);
Ending/early termination with PI’s departure;
Requesting a change in PI for the project to stay at the UI (requires new UI Routing Form. Proposal Type: Change of PI);
Requesting an adjunct, visiting or emeritus appointment for the PI in order for the project to stay at the University of Iowa.
Important Note: A separate form is required for each project. It is recommended that the department initiate the PI Departure, Request for Grant Transfer, or Request for Approval of Adjunct, Visiting, Emeritus or Retired Faculty as PI form at least 90 days prior to the PI's change in position.
If a PI has internal, departmental, or unfunded sources that support research with humans, animals, or a wet lab, complete the Internal/Unfunded PI Transfer/Departure Form. Except for the source of funding, the same conditions as noted above apply for the completion of this form.
Workflow path and approvals
The form will be initiated by the PI's department through workflow. The form can also be found at DSP e-Forms. The form will automatically route to the PI, Departmental Research Administrator, Dean & DEO for approval and then to GAO for review. GAO approval is only an indication that the form has been completed accurately and appropriate documentation is attached to proceed with the requested action. This will prompt DSP to take the appropriate and necessary action based upon the request and information contained on the form. Additional offices may contact you based on the nature of your project and answers to questions on the form.
Transferring Grants and Contracts to and from UI
Because grants and contracts are awarded to institutions, rather than directly to Principal Investigators, certain institutional procedures are required when a PI wishes to transfer funded work to a different institution. Generally, the original institution must formally relinquish the award and any remaining funding; the new institution must formally accept the award and associated terms and conditions; and the funding agency must approve the transfer to new institution.
Transfers to the UI
Principal Investigators relocating to The University of Iowa and wishing to continue their sponsored projects may seek approval to transfer their active awards to UI. In such cases, PIs must notify the current institution and sponsoring agency as soon as possible, allowing time to complete institutional and agency-specific requirements in relation to the transfer request. The University of Iowa must be notified in a timely manner as well – at least ninety (90) days in advance of the desired transfer date whenever possible – and will work with the original institution and sponsoring agency to put approvals and arrangements in place. Specifically, investigators wishing to transfer awards to the UI must:
- Submit a transfer request to the funding agency and complete any sponsor-specific requirements for closing the project at the original institution and securing approval for the transfer to UI.
- Notify the current institution and complete any institution-specific requirements for transferring the award and associated equipment.
- Contact the UI departmental research administrator for assistance with the process for approving the transfer and activating the award at UI.
- Notify the department of any UI documentation or other materials required by the sponsor.
- Provide the department with contact information for communicating with the original institution and sponsoring agency. Likewise, ensure the original institution and sponsoring agency are provided UI contacts as well.
- Complete the University of Iowa Routing Form, channeling the project application for departmental and collegiate approvals and processing through the Division of Sponsored Programs, 2 GILH.
- Be sure the Routing Form describes any needs for additional space, personnel, or other institutional resources, and any requirements to fulfill cost-sharing commitments.
- Include a copy of the sponsor award notice and corresponding terms and conditions, seeking UI’s formal agreement to accept and oversee the award.
- Initiate any required approvals for work involving human subjects, vertebrate animals, and any other compliance requirements.
Once institutional and sponsor approvals are formally in place, the UI will process the award and establish an account.
Transfers from the UI
Principal Investigators (PIs) leaving The University of Iowa may, in some instances, transfer externally funded projects to the new institution.
PIs are largely responsible for the award-transfer process, and must:
- Initiate the process in a timely manner by working with their departmental research administrator to complete a 'PI Departure, Request for Grant Transfer, or Request for Approval of Adjunct, Visiting, Emeritus or Retired Faculty as PI' form (preferably 90 days in advance of the transfer date).
- Arrange to subcontract a portion of the funded work, when applicable, to the UI.
- Address the issue of continued support of any UI graduate students and postdoctoral fellows supported under the project
- Request transfer of associated equipment purchased under the award or provided by the sponsor.
- Arrange for the new institution to assume any cost-sharing obligations.
- Initiate Data Transfer/Use Agreements to the new organization, when applicable
- Complete final reports to close the project at UI, including patent/invention reports, technical reports, and any other non-financial final reports required by the UI or sponsor. Note: the UI Grant Accounting Office will see to the financial reporting.
- Ensure the transfer is completed in accordance with all applicable federal, university, and sponsor regulations.
Departmental Research Administrators work with the Grant Accounting Office to conclude transactions and make any necessary adjustments to award accounts for departing PI.
The Grant Accounting Office reviews the relinquishing amounts for reasonableness/accuracy, conducts the final accounting/financial reporting and arranges the return or transfer of remaining funds in accordance with specific sponsor guidelines.
The Division of Sponsored Programs reviews and endorses the non-financial paperwork involved with each transfer and submit the necessary information to the sponsor.
Questions on the transfer process may be directed to the DSP staff member assigned to the grant or contract.