When an investigator transfers from Tufts to another institution and requests continued support for a previously approved project at the new location, the sponsor determines what is required to accomplish this. NIH is the only federal agency that has explicit forms and instructions for the transfer process. NSF has a similar, more general process, and corporations and foundations have their own procedures. As always, anyone wishing to transfer a grant should check with the appropriate Tufts Office of Research Administration associate director to be sure the transfer is performed correctly.
NIH Transfer Process
The NIH requires that a transfer application be submitted through the new institution. This application will receive administrative review to determine if the transfer is appropriate and to determine the level of NIH funding. The decision to authorize transfer of the grant will be based upon the following information:
- The project has been relinquished by Tufts
- The facilities and resources at the new location allow for the successful performance of the project
- The investigator plans no significant change in research objectives and level of expenditures from those described in the previously approved project.
In addition, if a mentor (i.e. K-series) or an “expert” (i.e. some R03s) is required by the conditions of the award, then that individual at the new institution must be identified and indicate his/her willingness to accept the grantee. NIH must approve this mentor. If the proposed change of institution does not meet these criteria, competitive review will be required.
To request continued support at a new institution and to accomplish closeout at Tufts, the following must be submitted to NIH:
From Tufts:
From the Original Grantee Institution
Form PHS 3734, Official Statement Relinquishing Interests and Rights in a Public Health Service Grant: A relocation application will not be processed until this form, signed by the proper Tufts institutional officials (that is, the Office of Research Administration), has been received by NIH. This form provides the effective date of relinquishment, estimated direct and indirect cost balances and a statement of intent concerning the transfer of equipment. [Please note: If the transfer is occurring prior to the Type 1 award being issued, a letter from the Tufts Office of Research Administration may be substituted for the PHS 3734.] NIH will not issue an award to the new institution until NIH receives a release statement from Tufts.
Standard Form 269, Financial Status Report: This form must be submitted within 90 calendar days following termination of the project.
Form HHS 568, Final Invention Statement and Certification: This form must be submitted within 90 calendar days following termination of the project.
The PI transferring from Tufts should coordinate with the new institution to provide the following to NIH:
Form PHS 398, Grant Application: The new institution must submit an application with “CHANGE OF GRANTEE INSTITUTION” typed in capital letters across the top of the front page. This application must contain the following information:
A description of the facilities at the new institution and the probable effect of the move on the project.
A detailed budget for the initial (transfer) budget period and, when future commitments exist, categorical budgets for those periods. Each budget should be based upon the previously recommended level(s). In the event of a mid-budget period transfer, the initial budget should be based upon the direct costs being relinquished by Tufts as reflected on Form PHS 3734.
A list of equipment (which was purchased in whole or in part with grant funds and had an acquisition cost of $1,000 or more) to be transferred from Tufts. Such a listing in the application represents the new institution’s acceptance of title to the transferred equipment.
A progress report that will serve in lieu of a final progress report for Tufts.
A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.
Biographical sketches of all new professional personnel to be associated with the project.
Other support pages for all key personnel.
Special justification when requesting the transfer of a budget period with less than 6 months remaining.
Applications should be submitted as early as possible to allow for administrative review at Tufts, the new institution and NIH to avoid delay in transferring the grant.
The new institution will submit this application to the NIH.