Departing PI Award Disposition

Research, Sponsored Projects   |   Approved October 9, 2015

Purpose

Complete appropriate dispositions for a faculty member, as a named Principal Investigator (PI) for a sponsored award leaves the University of Maryland, Baltimore (UMB), to either transfer the award to another institution, to another investigator, or terminate.

Applicability

When the PI leaves UMB for any reason, including transfer and retirement, action must be taken on the award. PIs named on a grant or contract are responsible to UMB and to the sponsor for performance of the funded activities, financial stewardship, and submission of reports. 

Typical actions on an award include request for transfer to the PI’s new institution, termination, or request for a change of PI. For more information, review the Sponsored Programs Administration (SPA) websites on Faculty Transfers – Outgoing and Final Reports and Closeout.

Instructions

1. Determine the desired disposition of the award:  transfer, change PI, or terminate.
   • Note: Not all awards can be transferred. For example, a clinical study or a training grant would normally remain at UMB with a new PI. Contact your SPA team for guidance.
   • Determine the desired timing of an award transfer, which can be a PI’s departure date or anniversary date of the award.
2. The PI will contact the sponsor to assure that the sponsor agrees with the desired disposition, and to confirm documentation required from UMB to initiate the change.
3. If applicable, notify subrecipients of the anticipated change and obtain final invoices.
4. Submit the Departing PI Award Disposition Notification to notify SPA and SPAC of anticipated actions. Then submit a formal approval request for the award disposition. Each request must be initiated and signed by the PI.
   • Transferring awards and equipment to another institution requires the prior written approval of the department chair, the dean and SPA. A memo of request signed by the PI and the department Chair is directed to the Dean for approval, and the approved document is forwarded to SPA. The memo must list each award and also any equipment that the PI wishes to transfer.
   • A request for change of PI must be submitted through Kuali Research.
   • A request to terminate an award must be submitted through the department Chair and signed by SPA before submission to the sponsor. Contact your SPA team for guidance.
5. Sponsor approval of the request must be received by SPA in writing from the sponsor.
   1. SPA will share the approval information with Sponsored Projects Accounting and Compliance (SPAC).
   2. SPA will update Kuali Research and SPAC will update eUMB Financials as appropriate for the change that has been approved.
6. Submit all required reports, including final progress reports and invention reports, before leaving UMB.
   • If applicable, close out material transfer agreements with the Center for Clinical Trials and Corporate Contracts
   • If applicable, close out human subjects and animal protocols and see related EHS procedures.
7. Work with the department administrator to reconcile expenses and timely submit financial reports.
   1. The department administrator must work with SPAC to submit relinquishing statement, financial report, and/or final invoice.