Outgoing PI Transfer Checklist

CRO/Dept works with PI to compile a list of active and recently closed awards, department managed agreements, e.g. Testing Service Agreements (TSA),  or non-monetary agreements (e.g. Zero Dollar Collaborative Agreement (CRA),  Data Use Agreements (DUA))  where the faculty member held the PI and Co-PI roles. This list is then utilized as part of the dialogue between the PI and Department Head to confirm if the award(s), where the faculty member was the PI, will transfer to the new institution, remain at NCSU or be closed. See Template section for example template. 

 If not already handled in step one, PI to prompt a meeting with their College Research Office and applicable Department individuals where each award will be discussed and next steps will be determined by all parties. As part of this step, the PI needs to notify any faculty where he/she was a Co-PI on their award, so they can take the necessary next steps. 

• CRO/Dept will review the award terms/conditions and sponsor guidelines to confirm the award(s) can transfer and the required steps to prompt the transfer of the awards. Please note NCSU can recommend/request the grant transfer; however, the Sponsor has to agree/approve of the request before it can take effect. 
  • As part of this step it should be discussed whether or not NC State University will receive a subaward as part of the transfer. 
• PI will provide CRO/Dept with Sponsored Programs Office contact at the new institution to facilitate the transfer of the awards. 
• For each award, PI will work with Department contact to close-out the award within the financial system and submit any final reports/deliverables, e.g. Final Technical/Progress Report. 
• CRO/Dept will prepare the necessary transfer paperwork, per sponsor guidelines working with University C&G to submit the Final Financial Report and SPARCS to submit any required “relinquishment statements”. Specific sponsor guidance to be added in near future.
  • NIH relinquishment statement
  • NSF change of institution

• PI will indicate who the new PI is intended to be and will clarify if a subaward will be issued to the institution they are transferring as part of the award. Please note NCSU can recommend/request the new PI; however, the Sponsor has to agree/approve of the request before it can take effect. 
• CRO/Dept will obtain the necessary documentation from the old and new PI in order to submit the request through our internal systems (Project Modification Request – PMR) for sponsor approval of the Change in PI request.
  • If a subaward will be requested for the PI at his/her new institution, PI/New Institution will provide the necessary documentation to the CRO/Dept to include in the request to the sponsor. 

• For each award, PI will work with Department contact to close-out the award within the financial system and submit any final technical reports and other close-out documentation, e.g. final invention statement. 
• Dept/CRO will work with SPARCS to notify the sponsor per the award terms/conditions and sponsor guidelines. 
• Failure to submit final reports, could result in future delays to awards at the individual’s new institution. Therefore, NC State University reserves the right to notify the relevant funding agency of a PI’s change in institution. 

Contacts

• College Research Office
• Faculty Member’s Department

Resources

• Sponsor Resources
• Research Administrators Detailed Checklist

PI works with their Department’s Asset Management Coordinator to compile a list of all equipment assigned to the PI and identify the funding source, e.g. purchased on active ledger 5 project, purchased with start-up/state funds, purchased with discretionary, etc. 

PI meets with the Department Head to discuss what will happen with each piece of equipment not tied to an active ledger 5 project. Please note at the time a ledger 5 project ends, the title to the piece of equipment should have been determined based upon the award terms and conditions.

Per Reg 07.40.01: “As required by both the State of North Carolina and NC State University, all university property, capital or non-capital, must be disposed of through the Surplus Property process administered by the Materials Support department. Materials Support is the only university office with the delegated authority to dispose of obsolete and surplus property.” 

PI works with Asset Management Coordinator in regards to next steps with each piece of equipment, not tied to an active ledger 5 project, e.g. re-assign to new faculty member, prompt a “negotiated sale” of the equipment to the new institution, dispose of the equipment, etc. 

PI works with CRO/Dept, as part of the grant transfer process, to transfer the active grant purchased piece(s) of equipment to the new institution. This will involve a contact at the new institution, department’s Asset Management Coordinator and University Contracts & Grants (Univ C&G), among other parties.

Contacts

• Department’s AM Coordinator
• College Research Office

Resources

• Property Tracking and Disposition Manual (chapter 4 is most relevant)
• Asset Management

Contacts

• Environmental Health and Safety
• PI’s Department

Resources

• Laboratory On-Boarding/ Off-Boarding Program (LOOP)

PI to work with the Department and COI Office, if he/she has any FCOI management plans in place, to make sure those are considered appropriately in the disposition of any data, material, equipment or research.

PI to work with the Department and IRB Office, if she/he has any active IRB protocols to ensure protocols are revised or closed as appropriate.

Protocols – PI to work with the Department and IACUC Office, if she/he has any active IACUC protocols to ensure protocols are revised or closed as needed. If intending to transfer animals, please see the material transfer section below, as animals are considered “materials”.

PI to work with relevant Animal Facilities if animals are relocating to a new institution. 

• Guidelines for Departing Investigators

PI to work with the Exports Controls Office if she/he is on any projects subject to a Technology Control Plan (TCP).

For investigators departing to foreign institutions, consult with the Export Control Office if intending to transfer material, data or equipment to the foreign institution.  

1. CRO/Dept TEARS Coordinator(s) will generate an “effort report” for the PI and the research team that will be departing the University, if their leaving occurs prior to the standard effort reporting cycle. If the individual is a 9 month faculty member, she/he will potentially need both a summer and academic certification. 
2. PI and research team, that will be departing the University, will confirm the grants and effort, so documentation can be shared with the Department Head, during the next effort reporting cycle, for them to certify for the PI. If the individual is a 9 month faculty member, she/he will potentially need both a summer and academic “certification”. 

Contacts

• Conflicts of Interest (COI) | Research Administration and Compliance
• IRB | Research Administration and Compliance
• IACUC: Animal Care and Use (IACUC) | Research Administration and Compliance
• Animal Facilities:  COS Animal Facilities, CVM Animal Facilities
• Export Controls Office | Research Administration and Compliance
• Department TEARS Coordinators and University Contracts & Grants – Effort Reporting
• PI’s Department

Resources

• Effort Reporting/TEARS

When data or materials will be transferred from NC State to an institution with which it is not already negotiating an agreement (e.g. when award is fully relinquished/transferred, or any transfer to another 3rd party entity), a separate agreement will be required. Data Use Agreements will require a separate PINS record, and are handled by SPARCS. Material Transfer Agreements for relinquished awards are handled by the Office of Technology Licensing.

When data or materials will be transferred to an institution that NC State is also entering into a funded agreement with (e.g. NC State is subawarding to another institution, or vice versa), SPARCS will work to include relevant data or material transfer terms in the subaward itself, rather than requiring a separate agreement.

Contacts

• Office of Research Commercialization
• SPARCS, College Research Office
• PI’s Department

Resources

• Data Use Agreement
• Material Transfer Agreement

Contacts

• Department and College IT Offices
• OIT Research Storage, E: oit_research_storage@help.ncsu.edu
• OIT Google Team, E: oit_google@help.ncsu.edu

Contacts

• College Research Office
• PI’s Department