PI Transfer Resources

Steps Related to PI Transfers

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Start Here

Complete the PI Transfer Web Submission Form

Start Online Form Now
For ALL Sponsored Projects
Complete these items for sponsored project awards and/or proposals:

Complete and submit Active Projects: Awards and Proposals Form to ocg@colorado.edu.

Determine if current proposals need to be transferred to new institution.

Complete and submit all reports up to transfer date.

Complete effort certficiation prior to departure date.

Coordinate with CCO Area Accountant to reconcile accounts and expenditures, complete financial reports, closeout awards.

Work with OCG Subcontract Officer for awards with subs to ensure de-obligations and closeouts are completed.

Work with CCOCost Share Accountant to reconcile account, cost share obligations and certify to Sponsor.
Retention of Award
These items apply when the award stays at CU Boulder:

Obtain courtesy appointment if Departing PI is to remain on award as CU's PI with Department Chair/Dean approval.

Department Chair needs to name a replacement CU PI if the award is remaining at CU and the Departing PI will not remain as CU PI.

If Departing PI will continue to work as sub-award Co-PI, Sponsor approval is required.

Obtain necessary subcontract/transfer documentation.

Newly assigned CU Boulder PI needs to coordinate with OCG to initiate subcontract process.

Departing PI coordinates with new institution to create required subcontract proposal documents.
Relinquishment of Award
These items apply when the award transfers to the new institution:

Determine if award is eligible for transfer per the Sponsor's policies and/or terms and conditions.

Gain all approvals from both institutions, including Department Chair/Dean, Institute/Center Directors and OCG.

Prepare the necessary transfer documentation.

Departing PI must coordinate with their new institution to prepare and submit any required proposal documents.
Termination of Award
These items apply when no transfer is applicable:

Determine the final balance of the award with CCO Area Accountant.

After final balance determined, work with OCG Grant or Contract Officer to complete internal relinquishment letter with Departing PI and Department Chair/Director signature.

OCG Grant or Contract Officer will work with Sponsor to obtain formal relinquishment of award.

Standard closeout procedures will be initiated after the award is terminated.

Departing PI is responsible for all deliverables up to the date of award termination.
Labs/Facilities, Property, Equipment or Supplies
Complete the following forms and actions if Departing PI is responsible for a lab/facility or would like to transfer any CU Boulder property, other equipment or supplies:

Complete List of Tagged Fixed Assets and/or Untagged Non-Consumable Property Form and submit to OCG Property Compliance Officer and EH&S.

Complete List of Untagged Consumable Material and/or Supplies Form and submit to OCG Property Compliance Officer and EH&S.

Work with OCG Property Officer to determine if equipment is eligible for disposal or for transfer internally or externally.

CU Discoveries or transfer Tangible Research Materials:

Complete an inventory of all Tangible Research Materials and CU Discoveries and submit to OCG Contract Administrator and EH&S.

Items obtained elsewhere: CU may need to terminate or transfer contractual responsibilities to new institution.

Items developed solely at CU: Work with OCG Contract Administrator to execute MTA between CU and new institution.
Environmental Health & Safety/Biosafety
Work with Environmental Health & Safety (EH&S) to begin the Laboratory Closeout Process.

Close out any active IBC, RAD protocols or applications.

Work with Biosafety Officer to ensure proper transfer or destruction of material(s).

Complete EH&S Clearance Checklist for Lab Closure.
Export Control
Departing PI must sign Export Control Exit Certification stating they will not distribute controlled devices, software, and/or information.

Departing PIs with Active Licenses:

Work with Export Controls Office to arrange transfer of active protocols to another investigator at CU Boulder, or

Close the protocol, or

Arrange for resubmittal of license application under new institution registration.

Departing PIs with Technology Control Plans:

Arrange for transfer of active protocols to another investigator at CU, or

Close the protocol.
Animal Subjects
Disposition of Protocol:

Arrange for transfer of active protocols to another investigator at CU, or

Close the protocol, or

Arrange for review/approval of the protocol at new institution.

Disposition of Animals:

Arrange for transfer of animals to another CU PI/protocol, or

Arrange for transfer of animals to another institution.
Human Subjects
Work with CU Boulder's IRB to discuss transition plan with regard to management of human research subjects.

Termination of the Project:

Departing PI may choose to terminate the protocol if work on the project is complete or the research project is not to be continued.

Transition of Project to New CU Boulder Researcher:

If research (enrollment, follow-up, or analysis) is ongoing at CU Boulder, Departing PI or Department Chair/Dean will need to assign new CU Researcher.

If Departing PI plans to stay on as a collaborator:

Secure new human subject research approval at new institution or obtain additional consent of the subject, dependent on scope of work.

Work with CU IRB and OCG to determine if additional agreements (such as data use agreements, tissue transfer agreements, etc.) are needed between CU Boulder and the New Institution.
Personnel Actions
Complete Human Resource Exit Checklist.

If applicable, set up temporary 0% appointment.
Intellectual Property
Ensure all CU discoveries and IP matters covered by a patent application or issued patent are resolved, including licensed technology.

Ensure any co-inventions with other institutions are appropriately managed.

Sign acknowledgement statement that Departing PI has disclosed all Discoveries to CU Technology Transfer Office required under CU IP policy through their end-date and provide copy to OCG Compliance.
Other Contractual Obligations
Terminate or transfer responsibilities for other contractual obligations to the new institution. (e.g. no cost collaborations, bailment agreements, data use agreements, non-disclosure agreements).

Inform Sponsor of the change and inform OCG of agreed upon plans.

Notify Facility Security Officer (FSO) in OCG if CU holds an active security clearance for Departing PI.

Start Here

Complete the PI Transfer Web Submission Form

Start Online Form Now
For ALL Sponsored Projects
Complete these items for sponsored project awards and/or proposals:
- Complete and submit Active Projects: Awards and Proposals Form to ocg@colorado.edu.
- Determine if current proposals need to be transferred to new institution.
- Complete and submit all reports up to transfer date.
- Complete effort certficiation prior to departure date.
- Coordinate with CCO Area Accountant to reconcile accounts and expenditures, complete financial reports, closeout awards.
- Work with OCG Subcontract Officer for awards with subs to ensure de-obligations and closeouts are completed.
- Work with CCOCost Share Accountant to reconcile account, cost share obligations and certify to Sponsor.
Retention of Award
These items apply when the award stays at CU Boulder:
- Obtain courtesy appointment if Departing PI is to remain on award as CU's PI with Department Chair/Dean approval.
- Department Chair needs to name a replacement CU PI if the award is remaining at CU and the Departing PI will not remain as CU PI.
- If Departing PI will continue to work as sub-award Co-PI, Sponsor approval is required.
- Obtain necessary subcontract/transfer documentation.
- Newly assigned CU Boulder PI needs to coordinate with OCG to initiate subcontract process.
- Departing PI coordinates with new institution to create required subcontract proposal documents.
Relinquishment of Award
These items apply when the award transfers to the new institution:
- Determine if award is eligible for transfer per the Sponsor's policies and/or terms and conditions.
- Gain all approvals from both institutions, including Department Chair/Dean, Institute/Center Directors and OCG.
- Prepare the necessary transfer documentation.
- Departing PI must coordinate with their new institution to prepare and submit any required proposal documents.
Termination of Award
These items apply when no transfer is applicable:
- Determine the final balance of the award with CCO Area Accountant.
- After final balance determined, work with OCG Grant or Contract Officer to complete internal relinquishment letter with Departing PI and Department Chair/Director signature.
- OCG Grant or Contract Officer will work with Sponsor to obtain formal relinquishment of award.
- Standard closeout procedures will be initiated after the award is terminated.
- Departing PI is responsible for all deliverables up to the date of award termination.
Labs/Facilities, Property, Equipment or Supplies
Complete the following forms and actions if Departing PI is responsible for a lab/facility or would like to transfer any CU Boulder property, other equipment or supplies:
- Complete List of Tagged Fixed Assets and/or Untagged Non-Consumable Property Form and submit to OCG Property Compliance Officer and EH&S.
- Complete List of Untagged Consumable Material and/or Supplies Form and submit to OCG Property Compliance Officer and EH&S.
- Work with OCG Property Officer to determine if equipment is eligible for disposal or for transfer internally or externally.
CU Discoveries or transfer Tangible Research Materials:
- Complete an inventory of all Tangible Research Materials and CU Discoveries and submit to OCG Contract Administrator and EH&S.
- Items obtained elsewhere: CU may need to terminate or transfer contractual responsibilities to new institution.
- Items developed solely at CU: Work with OCG Contract Administrator to execute MTA between CU and new institution.
Environmental Health & Safety/Biosafety
- Work with Environmental Health & Safety (EH&S) to begin the Laboratory Closeout Process.
- Close out any active IBC, RAD protocols or applications.
- Work with Biosafety Officer to ensure proper transfer or destruction of material(s).
- Complete EH&S Clearance Checklist for Lab Closure.
Export Control
- Departing PI must sign Export Control Exit Certification stating they will not distribute controlled devices, software, and/or information.
Departing PIs with Active Licenses:
- Work with Export Controls Office to arrange transfer of active protocols to another investigator at CU Boulder, or
- Close the protocol, or
- Arrange for resubmittal of license application under new institution registration.
Departing PIs with Technology Control Plans:
- Arrange for transfer of active protocols to another investigator at CU, or
- Close the protocol.
Animal Subjects
Disposition of Protocol:
- Arrange for transfer of active protocols to another investigator at CU, or
- Close the protocol, or
- Arrange for review/approval of the protocol at new institution.
Disposition of Animals:
- Arrange for transfer of animals to another CU PI/protocol, or
- Arrange for transfer of animals to another institution.
Human Subjects
- Work with CU Boulder's IRB to discuss transition plan with regard to management of human research subjects.
Termination of the Project:
- Departing PI may choose to terminate the protocol if work on the project is complete or the research project is not to be continued.
Transition of Project to New CU Boulder Researcher:
- If research (enrollment, follow-up, or analysis) is ongoing at CU Boulder, Departing PI or Department Chair/Dean will need to assign new CU Researcher.
If Departing PI plans to stay on as a collaborator:
- Secure new human subject research approval at new institution or obtain additional consent of the subject, dependent on scope of work.
- Work with CU IRB and OCG to determine if additional agreements (such as data use agreements, tissue transfer agreements, etc.) are needed between CU Boulder and the New Institution.
Personnel Actions
- Complete Human Resource Exit Checklist.
- If applicable, set up temporary 0% appointment.
Intellectual Property
- Ensure all CU discoveries and IP matters covered by a patent application or issued patent are resolved, including licensed technology.
- Ensure any co-inventions with other institutions are appropriately managed.
- Sign acknowledgement statement that Departing PI has disclosed all Discoveries to CU Technology Transfer Office required under CU IP policy through their end-date and provide copy to OCG Compliance.
Other Contractual Obligations
- Terminate or transfer responsibilities for other contractual obligations to the new institution. (e.g. no cost collaborations, bailment agreements, data use agreements, non-disclosure agreements).
- Inform Sponsor of the change and inform OCG of agreed upon plans.
- Notify Facility Security Officer (FSO) in OCG if CU holds an active security clearance for Departing PI.

Main menu

PI Transfer Resources

Steps Related to PI Transfers

Start Here

For ALL Sponsored Projects

Retention of Award

Relinquishment of Award

Termination of Award

Labs/Facilities, Property, Equipment or Supplies

Environmental Health & Safety/Biosafety

Export Control

Animal Subjects

Human Subjects

Personnel Actions

Intellectual Property

Other Contractual Obligations

Start Here

For ALL Sponsored Projects

Retention of Award

Relinquishment of Award

Termination of Award

Labs/Facilities, Property, Equipment or Supplies

Environmental Health & Safety/Biosafety

Export Control

Animal Subjects

Human Subjects

Personnel Actions

Intellectual Property

Other Contractual Obligations

Links to Documents & Forms

Main menu

Search

PI Transfer Resources

Steps Related to PI Transfers

Start Here

For ALL Sponsored Projects

Retention of Award

Relinquishment of Award

Termination of Award

Labs/Facilities, Property, Equipment or Supplies

Environmental Health & Safety/Biosafety

Export Control

Animal Subjects

Human Subjects

Personnel Actions

Intellectual Property

Other Contractual Obligations

Start Here

For ALL Sponsored Projects

Retention of Award

Relinquishment of Award

Termination of Award

Labs/Facilities, Property, Equipment or Supplies

Environmental Health & Safety/Biosafety

Export Control

Animal Subjects

Human Subjects

Personnel Actions

Intellectual Property

Other Contractual Obligations

Links to Documents & Forms