Transferring a Relinquished Grant (Incoming)

Change of Grantee Institution - Incoming Transfer

1. The PI’s affiliation must be updated in eRA Commons to include VUMC
2. The department must provide OSP with a change of institution application in one of two formats:
   1. PHS398 or PHS416-1 paper application forms or
   2. Electronically (S2S) using PA-16-285, accessible through the NIH page
3. All documentation listed below must be included in the proposed change of grantee application (either paper or electronic)

Paper Application Minimum Requirements (submitted by VUMC):

• PHS398 face page
• Budget pages for current and future years*: Budget should not exceed the direct costs, plus applicable F&A costs, previously recommended for any budget period. For transfers occurring in the middle of a budget period, the budget for the initial year may be based on the total costs relinquished only if the recipient has been instructed to do so by the awarding IC. For these applications, recipients will also need to include the “Other Project Information” and the “Senior/Key Personnel” components.
  • *For awards resulting from modular applications, the application package should include narrative budget information for the current budget period (and if applicable, for future budget periods), including total direct costs and the basis for computing F&A costs.
• Updated biographical sketches for the PD/PI and existing senior/key personnel for the current year, including a statement regarding the goals for the upcoming year. For all transfer applications, a statement indicating whether the overall research plans/aims have changed from the original submission must also be included, and in the event of changes, updated information must be provided. Applicants are also required to include Other Support when necessary.
• Resource page, including any likely effects on the project as a result of the transfer
• Checklist
• Certification of IRB/IACUC approval, including OHRP and OLAW assurance numbers, if applicable
• Detailed list of any equipment purchased with grant funds that require transfer to VUMC; any equipment included on this list as part of VUMC’s incoming transfer application indicates VUMC’s acceptance of title(s) to that equipment 

Electronic Application Minimum Requirements (submitted by VUMC):

• SF 424 (R&R) Cover Component
• SF 424 (R&R) Project Performance Site Location(s)
• SF 424 (R&R) Other Project Information:
  • Certification of IRB/IACUC approval, including OHRP and OLAW assurance numbers, if applicable
  • Facilities and Other Resources, including probable effects of the transfer on the project
  • Detailed list of any equipment purchased with grant funds that require transfer to VUMC; any equipment included on this list within VUMC’s incoming transfer application indicates VUMC’s acceptance of title(s) to that equipment
• SF424 (R&R) Senior/Key Person Profile:
  • Updated biographical sketches for the PD/PI and existing senior/key personnel and biographical sketches for any proposed new senior/key personnel
  • Updated Other Support pages (active and pending), as necessary
• Budget pages applicable to the project activity code for both current and future years
  • For those budgets submitted in a modular format for the original award, use the R&R Detailed Budget form for all electronic applications.
    • Recipients may either complete all fields within the R&R Detailed Budget as appropriate, or complete only the following sections:
      • Section A – “Senior/Key Person”
      • Section F – “Other Direct Costs,” Item 8
      • Section H – “Indirect Costs”
    • Narrative budget information should be submitted for the current budget period and future budget periods (where applicable), including direct costs and the basis for computing F&A costs.
  • Note:
    • Budgets should not exceed the direct costs plus applicable F&A costs for any budget period
    • For transfers during the course of a budget period, the budget for the initial year may be based on the total relinquished costs only if the recipient has been instructed to do so by the awarding IC.
• PHS 398 Research Plan
  • If an anniversary date transfer, include the progress report for the current year, including a statement regarding the goals for the upcoming year. For all transfer applications, also include a statement indicating whether the overall research plans or aims have changed from the original submission and provide updated information, if applicable.
• PHS 398 Cover Page Supplement
• PHS 398 Checklist
• Where applicable:
  • PHS 398 Career Development Supplement Form
  • PHS 398 Fellowship Supplemental Form
  • SBIR/STTR Information

Source: NIH