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, OSP, 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. ORC 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.
In addition, other Duke offices are instrumental to the closeout of a PI's research portfolio and will need time to provide their services for a smooth transfer. Refer to the Duke Relevant Offices section located on the right column of this page for respective links.
B. Grant Transfers TO Duke
When a PI intends to relocate to Duke University with an awarded grant, it is the PI's responsibility to provide his/her new owning org department the following grant information:
- Intended academic appointment start date
- Copy of initial proposal
- Copy of initial award statement
- Copy of latest progress report
- Copy of completed relinquishment documents from original Institution
- Copy of scope of work (needed only if transferring the grant requires human subject/ vertebrate animal assurance approval or changes the scope)
- Utilizing the approved unobligated balance by the original Institution, a detailed budget will need to be provided
- 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, please utilize the lower prior institution rate for remainder of the current budget period and apply the appropriate Duke approved rate for the next budget period forward.
- Indicate if biohazardous materials or recombinant DNA will be involved for IBC involvement
- Provide scope of work with related protocol for vertebrate animals and human subjects as applicable - if human subjects are involved, work with the DOCR (Duke Office of Clinical Research) to receive CITI certification confirmation letters for pertinent personnel
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 will need to be submitted via e-mail to the appropriate / assigned ORA specialist.
Once the above steps have been performed the department may proceed with the creation of the transfer application within SPS attaching the following information within the Internal Documentation under the Actions menu:
- Copy of initial proposal, initial award statement, latest progress report, and relinquishment documents from original Institution
- CITI confirmation letters demonstrating active human subject training for all personnel working with human subjects (when applicable)
- Duke Proposal Approval Form (DPAF) signed by new PI
When the SPS record is routed to the Pending Central Approval (PCA) state, the ORA will review and submit the application to the Sponsor.
Transfer TO Duke guidance document: