DEFINITION: “Transfer of Sponsored Project(s)”
When faculty at another institution accept a position at ASU, they often want to bring grants/contracts along with them. The process of getting approval from the sponsor, the former institution and ASU is commonly known as the “Transfer of Sponsored Project(s)”.
All Transfers of Sponsored Projects to ASU, including charitable gifts/grants, are managed by ASU/ORSPA.
INCOMING FACULTY NOTIFICATIONS
ASU Research Advancement (RA) staff may be notified directly by their unit or the incoming faculty member and/or they will be copied on an email from OKED Operations welcoming the new faculty member to ASU.
INTRODUCTION TO ASU RA TEAM
It is strongly recommended that each unit develop a process for how they wish to welcome new faculty members. At a minimum, it is recommended that the RA staff contact the new faculty member to introduce themselves and/or their team, to provide an overview of services provided, to set up user accounts (FastLane, eRA Commons, Pivot, ASU Experts, etc.) and to offer to answer any questions the faculty member may have.
1. Discuss the request to transfer project(s) with their chair and/or dean.1
2. Contact the sponsor(s) for guidance on transferring award(s)
3. Contact the former institution’s Sponsored Projects Office to
a. Advise the intent to transfer project(s)
b. Relay the guidance provided by the sponsor
c. Seek guidance from the former institution on internal process related to transfers
d. Develop a plan for the transfer
i. Will it transfer at the beginning of a new funding year?
ii. Will it move during a funding year?2
iii. Will any money be subcontracted back to the former institution?
Available options will depend on what the sponsor will allow but the PI should have a sense of what would be best prior to contacting the sponsor.
1Granting agencies make awards to the institution, not to the individual PI. It is the former institution’s prerogative to allow transfer or to name a replacement PI at that institution. The PI must contact his/her former institution and granting agency directly to discuss options. If the institution will not relinquish the award, the PI may request the former institution subcontract a portion of the funds to ASU.3 The former institution may or may not be agreeable. ASU cannot intercede.
2Transferring a grant can take a significant amount of lead-time to implement. Factor this into consideration when determining the start date for the funds transferring to ASU. Stop spending on grants transferring mid current spending period as early as possible. Outstanding financial issues can delay the transfer between institutions. For additional guidance, speak with the former institution’s sponsored projects office.
3Subcontracting a portion of funds from the former institution to ASU is not considered a transfer of project. It is a new award which follows the standard ASU polices and proposal development process.
> ACTIONS TO BE TAKEN BY PI IN CONJUNCTION WITH ASU RA
Transfer projects will follow the process outlined in the Develop Proposal Work Instructions. Listed below are some helpful hints to get the process started:
1. Confirm that the PI has notified the sponsor and the former institution’s unit and sponsored projects office of their departure. If not, provide the PI the information discussed in “Actions to be Taken by PI at Former Institution”.
2. Confirm with the PI that approval from the sponsor and the former institution to relinquish the project to ASU has been granted. If not, direct the PI to the former institution’s sponsored project’s office.
3. Obtain the program officer/contact information for the sponsor and the former institution’s sponsored projects administrator.
4. Contact the former institution’s sponsored projects administrator for
• Any sponsor instructions they have received for transfer of the project.
• Copies of the award notices and the formal relinquishing statement. (REQUIRED)
• The balance of funds being transferred to ASU
5. Request that the PI provide
• Any submitted technical reports
• A copy of the proposal(s) submitted related to the project
• A list of the project objectives that have been completed
• A list of the project objectives that will be completed at ASU
• Any other technical/scientific/programmatic items the sponsor requires ASU submit to affect the transfer
• Confirmation of the original award period of performance to ensure that the transfer request
includes all anticipated years of funding.
6. For projects requiring special reviews (human subjects, animals, biosafety, conflicts of interest, and exports/security clearances), see the New and Departing Investigator page on the Office of Research Integrity and Assurance (ORIA) website. Approvals from prior institutions don’t “follow” the investigator to ASU. All required approvals must be in place prior to beginning work at ASU.
7. If the project involves the transfer of equipment, advise the PI to:
• Discuss the transfer and any needed space required to house it with the unit chair and/or dean.
• Provide the sponsor’s guidance related to use of the transferred equipment, after the project ends.
• Advise PI that all transferred equipment must be notified to Property Control
8. Create and Route Funding Proposal (FP) within ERA: Transfer into ASU Proposal4
9. If the PI will subaward a portion of funds back to the former institution to allow specific objectives to be completed there, include the former institution's budget as a subaward in the ERA grants budget.
10. For the ERA grants budget F&A rate, refer to the F&A Wizard, Transfer in Project
4The FP should NOT be processed as an ATF. The proposal requires PNT attention and must not bypass the normal review process.
PROPOSAL REVIEW AND APPROVAL
1. As with all proposals, transfer proposals must follow the standard routing and approval process. For further information, refer to the ERA Grants Workflow Tutorial
2. The transfer proposal must be forwarded to PNT for review and approval prior to submission. RA will provide a copy of the original notice of award and any other relevant materials to the assigned Proposal GCO
3. RAs must advise PNT of any communications with the transfer institution that impacts the preparation and submission of the transfer proposal
4. PNT will rely on information provided by the transfer institution to the unit to complete its review
5. PNT will submit the proposal to the sponsor for review5
5Submission of the transfer proposal does not constitute an award. Accounts are only set up upon receipt of an award to ASU from the sponsoring agency
PRE-AWARD AT-RISK REQUEST (if needed)
RA: An ASU At-Risk Request Form should be completed and submitted using the instructions on the form.
Discuss with direct manager. If questions remain, contact firstname.lastname@example.org