Faculty Transfer

A Principal Investigator (PI) may transfer into or out of UK either after a proposal has been submitted or after a grant has been funded. The following procedures should be followed for the various situations. Also, see the section titled "Equipment Transfer."

Note that faculty and other investigators who are planning to leave the University should refer to "Memorandum of Understanding Between a Departing Investigator and the University of Kentucky." This is a guide for researchers and a required document.

Proposal transfer

In:

Pointer The PI should contact the sponsor Program Officer to discuss the transfer.
Pointer The PI's former institution will submit a letter or form to the agency relinquishing the proposal.
Pointer Any proposal pending at an agency must be resubmitted from UK with a budget, a signed Internal Approval Form, Financial Disclosure form(s), and any other materials required by the sponsor.
Pointer If necessary, the Office of Sponsored Projects (OSPA) Research Administrator (RAs) will find out to whom the new proposal materials should be submitted. In addition to the internal UK documents mentioned above, other materials, such as a new cover page, certifications and representations, sponsor budget page may be required.

Out:

Pointer The PI and department chair must determine if the proposal should stay at UK or be relinquished.
Pointer If the University relinquishes the proposal, a relinquishing letter should be submitted internally to OSPA with signatures from the PI, department Chair, and Dean. Upon receipt of this letter, the RA will prepare a letter withdrawing the proposal, obtain the appropriate signature, and submit it to the sponsor.
Pointer If it is decided that the proposal should remain and the PI simply replaced, a letter of explanation with signatures of the PI, the new PI and OSPA should be submitted to the agency along with the new PI’s curriculum vitae. The new PI should submit a Disclosure of Financial Interest form to OSPA if this wasn’t done previously. In addition, if the new PI is not in the same department as the previous PI, a revised Internal Approval Form will be necessary.

Grant transfer

In:

Pointer The PI should contact the sponsor Program Officer to discuss the transfer.
Pointer The PI's former institution will submit to the agency a letter or form relinquishing the grant.
Pointer The grant must then be resubmitted through UK with the materials required by the sponsor, which can include: a brief summary of progress to date, a description of work yet to be accomplished, and a budget for the amount to be transferred.
Pointer Internal UK documentation must also be submitted, including an Internal Approval Form, Disclosure of Financial Interest form, and a copy of the proposal if possible.

Out:

Pointer The PI and department chair must determine if the grant should stay at UK or be relinquished.
Pointer If the grant is to be transferred, the PI will provide the necessary information by completing the "Memorandum of Understanding Between a Departing Investigator and the University of Kentucky." (See the "Equipment Transfer" section for more information.) OSPA will prepare a letter or form to the sponsor relinquishing the grant. If the letter or form includes an estimate of the remaining balance of funds, this amount must be verified by a department or college business person and Sponsored Projects Accounting. (The National Science Foundation and National Institutes of Health have specific forms for transfers which include an estimate of the remaining balance.) If required by the sponsor, RAs should request an invention statement from the outgoing PI.
Pointer OSPA will reduce the budget and change the ending date on the account by preparing a PADR.
Pointer Departments should prepare revised DOEs for all faculty involved in the project.
Pointer If UK chooses not to relinquish the grant, but simply replace the PI, a letter of explanation signed by the PI and OSPA will be submitted to the sponsor, along with any materials required by the sponsor (usually the new PI’s vitae). The RA will determine if new internal documentation is needed. If the department Chair and Dean have co-signed the justification letter, then an IAF may not be required.

Important tips

Pointer Federal contracts and fellowships are rarely transferred.
Pointer Training grants are not transferred.
Pointer Some sponsors have a minimum amount of time which must be remaining in the grant before it will be transferred.

University of Kentucky | UK Research
Updated October 24, 2012 | Questions/Corrections to Sean Scott