A. Grant Transfers FROM Duke
When a Principal Investigator (PI) intends to relocate to a new Institution with an awarded grant, it is the PI's responsibility to work with his/her department to submit a request through the Office of Research Administration (ORA) for the relinquishment of that grant. As awarded grants are issued to Duke University and not the PI, Duke University has the ultimate authority to determine if the grant is retained or relinquished to the PI's new Institution for each grant transfer request in consideration.
The following items need to be considered when a grant is being transferred from Duke:
- The Department can consult with ORA to verify the associated award terms and conditions allow the grant to be transferred.
- The Department ensures that the appropriate transfer documentation is provided to the appropriate offices/units (ORA, PAFM, Plant Accounting, etc.) in accordance with Sponsor and Duke requirements.
- The Department checks for active subcontract agreements. If subcontract agreements exist on awarded grant, notification will be provided in accordance with the termination clause stated in the agreement. GFCT assists with subcontract modifications.
- The Department to review and adjust effort commitments of personnel, communicating with other departments as necessary.
- The Department will create a subcontract application when Duke remains a subcontract site for part of the scope of work, following current application process.
When a determination is made for a grant to be relinquished to the PI's new Institution:
- ORA will work with the PI and owning org department to request approval from the Sponsor to relinquish and transfer the selected awarded grant.
- The PI and owning org department will need to provide the new Institution with the appropriate project information (initial proposal, initial award statement, latest progress report, and completed relinquishment documents) in order for the new Institution to submit the transfer application in accordance with their application procedures.
Please note: It is important to allocate enough time to accommodate the transfer process as requests submitted for Sponsor approval must be made prior to the expected start date at the new Institution. Furthermore, the absence of timely notification may create further delays as it is typical to have a gap of several months while waiting for the receipt of a revised award with new end date for Duke support and the release of award at the new Institution with transfer start date.
B. Grant Transfers TO Duke
When a PI intends to relocate to Duke University with an awarded grant, please follow the guidance provided in the PI Transfer TO Duke checklist below.
- Utilizing the approved unobligated balance by the original Institution, a detailed budget will need to be provided
- When transferring on the anniversary date/budget period start date, the appropriate Duke approved F&A rate should be used.
- When transferring mid-budget period:
- If F&A rate (indirect cost) transferring in is higher than Duke rate, please utilize the appropriate Duke approved rate and rebudget F&A difference in applicable/allowable direct cost categories
- If F&A rate (indirect cost) transferring in is lower than Duke rate, the lower F&A rate from the prior institution may be used for remainder of the current budget period, but the appropriate Duke approved F&A rate must be applied to the next budget period forward.
The owning org department will need to perform two steps before a transfer application can be initiated in the Sponsored Projects System (SPS):
- The Owning Department will need to request a Duke Unique ID for the new PI.
- A Principal Investigator (PI) Status Request form may be needed to be submitted via Administrative Action.
Once the above steps have been performed the department may proceed with the creation of the SPS record for the transfer application.
Transfer TO Duke guidance document: