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Business Office, School of Medicine

G. TRANSFER OR TERMINATION OF INVESTIGATORS
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A. FEDERAL GRANT PRIOR APPROVAL CATEGORIES

B. FEDERAL DEMONSTRATION PROJECT AWARDS

C. PHS EXPANDED GRANT AUTHORITIES FOR RESEARCH ACTIVITIES AT GRANTEE ORGANIZATIONS

D. OTHER AWARDS NOT ELIGIBLE FOR EITHER FEDERAL DEMONSTRATION PROJECT OR EXPANDED GRANT AUTHORITIES

E. BUSINESS OFFICE, SCHOOL OF MEDICINE

F. INVESTIGATOR RESPONSIBILITIES

G. TRANSFER OR TERMINATION OF INVESTIGATORS

H. EQUIPMENT PURCHASING, INVENTORY AND DISPOSITION

I. EQUIPMENT LOANS

J. OTHER ADMINISTRATIVE POLICIES AND PROCEDURES


G. TRANSFER OR TERMINATION OF INVESTIGATORS

1. Applications Submitted by Faculty with Terminal Appointments
2. Awarded Grants or Contracts Affected by Transfer or Termination

3. Change of Principal Investigator or Co-Investigator

4. Transfer of Grant or Contract

5. Transfer of Unexpended Balances

6. Transfer of Equipment

a. Rules:
b. Suggested Format for Equipment Transfer Requests to Department Director/Dean for Equipment Purchased from Grants/Contracts That are Being Transferred:

1. Applications Submitted by Faculty with Terminal Appointments
Institutional endorsement of grant applications is taken as a commitment by that institution to provide the space and other facilities required for the conduct of the research. Consequently, once it has been determined that a faculty member has a terminal appointment which ends prior to or during the requested project period, his/her application will be endorsed only provisionally. The application will be accompanied by a letter indicating the special circumstances under which the grant is submitted. The investigator must provide the sponsor with notification of commitment from his/her new institution prior to the meeting of the project's first review group.

2. Awarded Grants or Contracts Affected by Transfer or Termination
A Principal Investigator who intends to transfer to another institution should discuss with the Department Director or Division Chief whether the grant/contract should be transferred to the new institution, terminated, or retained at Johns Hopkins under a new Principal Investigator.

3. Change of Principal Investigator or Co-Investigator
Any change of Principal Investigator or other key personnel whose expertise is critical to the project should be addressed by a prior approval letter describing the changes proposed (see Sections V.B.3., V.C.1. and V.D.1.). The letter should be signed by both the old and new P.I.s as well as by departmental and institutional officials.

Termination of project should be addressed by a letter of intent to terminate, to be sent to the sponsor with departmental and institutional signature and concurrent or eventual submission of the official statement relinquishing interests (PHS 3734) if the project is a Public Health Service grant.

4. Transfer of Grant or Contract
An investigator intending to transfer a PHS award to another institution must notify PHS approximately two months before the date of transfer. A letter requesting permission to transfer the award must be countersigned by the P.I., department chairman, and J.H.U. institutional official. This process takes place subsequent to the investigator's submission of a letter of resignation to his Departmental Chairman. The termination of employment must correspond to the proposed date of grant transfer.

Since the Institution must signify its willingness to terminate the grant and relinquish all claims to any unexpended balance, the grant transfer request will be carefully reviewed to assess its full impact on the collaborating investigators. If the grant proposed for transfer involves support of other collaborating investigators who intend to remain at the Institution, the Institution may not be willing to transfer the grant, or may be willing to only transfer a portion of the grant via a subcontract.

Before termination, the P.I. of a PHS grant - working with the department administrator - prepares a Relinquishing Interests Statement (PHS 3734) which specifies the estimated unexpended balance and the equipment to be transferred, and a Final Invention Statement (HHS form 568). The serial number for each item of equipment must be included on the Relinquishing Interests Statement. These statements, along with a letter to the Assistant Dean for Research Administration verifying the accuracy of the reported unexpended balance, are reviewed and signed by J.H.U. financial and administrative officials. Similar arrangements must be made for other sponsors; exact instructions will be obtained by the ORA from the sponsor at the investigator's request.

For NIH grants, the investigator should work with the new institution to prepare a Change of Grantee Information application (done on a PHS 398 form) which must include the following:

A list of transferred equipment which will represent the new institution's acceptance of title and responsibility of accountability.
A revised research plan, if applicable. If no changes in the research plan are being proposed, a copy of the original plan will be acceptable. Where major changes are being proposed, the application may be subject to competitive review.
A revised budget including complete justification for all changes from the originally approved level.

A new Resources and Environment page.

Human Subject and/or Animal Welfare Assurances and certification of institutional committee review and approval, if applicable. This information is included on the face page of the application.

A statement describing the anticipated effect the move might have on your research project. For example, will there be a disruption to the research while a new laboratory is being set up? Are the facilities and services commensurate with those available at the current institution? Do you anticipate difficulty in locating suitable personnel? Does the new location afford certain advantages not previously available? etc...


Note that some sponsors will not permit transfer at mid-budget year, but require instead subcontracting to the new institution. Some private sponsors will not permit transfers at all, while others require transfer of the grant/contract if the investigator relocates.

5. Transfer of Unexpended Balances
Both J.H.U. and the sponsor must approve transfer of unexpended balances of currently active grants and contracts to a new institution. Generally, an anticipated balance is discussed. This figure may be used by the new institution in preparing the Change of Grantee Institution application. Only the actual balance is transferred, usually after the sponsor receives the final financial status report from JHU. Balances on terminated grants and contracts, as well as gift accounts, are not transferred.

When the Change of Grantee Institution award is issued to the P.I.'s new institution, a revised notice of grant award will be issued to terminate the project at JHU. Final adjustments to the Change of Grantee Institution award and JHU termination award may be required after the sponsor receives the final financial status report on the grant account.

6. Transfer of Equipment
Title to property purchased with sponsored funds usually is vested in the University. The University is obliged to use this property for the stated purpose of the grant as long as the project is active at this institution. When the project is no longer active here, the University must use the property for other research projects or dispose of it according to specified procedures.

a. Rules:
When an investigator transfers to another institution, the following rules govern transfer of equipment:

  • Equipment purchased from institutional (general) funds will not be transferred.
  • Equipment purchased from ongoing grants/contracts is usually moved along with the transfer of these grants/contracts to the new institution, if the equipment is needed for continuation of the project.
  • Equipment and supplies which were purchased from grants/contracts which have terminated or will terminate by the time of investigator transfer will not be transferred.
  • Equipment retained by the University may be sold to the new institution if the Department and Dean's Office agree. When approved, the proceeds are credited to research in the JHU department where the grant was originally funded.


The University must in any case relinquish its interest in equipment acquired under grants or contracts before such equipment is transferred. The investigator should prepare a list of equipment to be relocated and forward the list to his/her Department Director using the format suggested. The Executive Vice Dean will consider the recommendation of the Department Director. If approval is granted, an Equipment Information Form (C-824) must be completed to account for each item of equipment transferred. This form can be found in the J.H.U. Facilities Management Manual, or call the Office of Equipment and Space Accounting (Ext. 6-6124).

b. Suggested Format for Equipment Transfer Requests to Department Director/Dean for Equipment Purchased from Grants/Contracts That are Being Transferred:
Equipment Description Serial # Sponsor Name Grant or Contract Number J.H.U. Budget # Date Grant/Contract Terminates


 

 

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