Departure of a Principal Investigator

 / Components / Resources / PI / Department / SPA / SFR
Notification
Resignation letter or notification / Forward to department research administrator; include contact information for new institution. Contact Co-PIs, decision on what happens to their participation, if child acct-will that close, transfer or become a subcontract from new institution? / Verify last day with PI and with transfer institution if applicable. Connect with any other units where there may be child accts or people on payroll on the PI's projects.
Notification
Sponsor notification / Determine plan for existing awards, forward any notification to department research administrator / Verify plans and check allowability with regards to various projects. Notify SPA. / Ensure department approval of transfer, submit request for transfer to agency, know if agency allows PI transfers or if they consider it closing an award.
Notification
Sponsor notification / If PI is turning over grant to someone else at the U then letter to sponsor from New/Old PI needs to be approved by heads and deans of both units and sent to SPA for submission to the sponsor.
Follow Conditional Next Steps A. / Naming a new PI at the UMN rather than transferring the award to another institution requires a PRF in addition to the letter.
Follow Conditional Next Steps A. / Process NOGA indicating new PI and project with DeptID if necessary. / Receive NOGA.
Notification
Sponsor notification / If PI is taking the grant to new institution then letter to sponsor from PI needs to be approved by Head and send to SPA for submission to the sponsor.
Follow Conditional Next Steps B. / Begin process to finalize and relinquish grant. Respond to new institution as requests are received.
Follow Conditional Next Steps B. / Process NOGA indicating early termination. Ensure Property, Equipment and Patents documents are submitted to sponsor. / Initiate review of transactions for final invoice/report with academic department.
Notification
Sponsor notification / If sabbatical/medical leave, letter to sponsor notifying sponsor and impact to science. If someone new needs to be named must be sponsor approved.
Follow Conditional Next Steps A. / Notify SPA and monitor. / Submit letter to sponsor.
Notification
Sponsor notification / If terminating the award then letter to sponsor from PI needs to be approved by head and sent to SPA for submission to the sponsor.
Follow Conditional Next Steps B. / Begin process to finalize and relinquish grant. Respond to new institution as requests are received.
Follow Conditional Next Steps B. / Process NOGA indicating early termination. Ensure Property, Equipment and Patents documents are submitted to sponsor.
Conditional Next Steps A
Protocols / If new PI is not listed on the Protocol, initiate process to add new PI to Protocol. / Verify new PI added to protocol.
Conditional Next Steps A
Lab Cleanup (including specimens, chemicals, hazardous waste) / Notify new PI of any existing specimens. / Division of Health & Safety; research safety officer coordinates disposal/transfer; establish what department/unit pays for clean up.
Conditional Next Steps A
Existing Subawards / Notify subaward PI of new PI. / Issue modification if necessary.
Conditional Next Steps A
Progress reports / Forward previous progress reports to new PI, unit admin and Grant Coordinator. / For NIH grants update other support pages and personnel page. / Where applicable, submit to sponsor with AOR approval.
Conditional Next Steps A
Proposal & Award Documents / Forward proposal & awards documents to new PI, including significant communications regarding project.
Conditional Next Steps A
General Concerns / Confirm staffing decisions with department. / If new project will be established, start finalizing costs on old project including any payroll issues.
Conditional Next Steps B
Protocols / Notify the IRB & IACUC office to close protocol or protocol will expire at end of next annual period.
Conditional Next Steps B
Lab Cleanup (including specimens, chemicals, hazardous waste) / If taking specimens with, coordinate a MTA, if abandoning, follow protocol for proper disposal. / Division of Health & Safety; research safety officer coordinates disposal/transfer; establish what department/unit pays for clean up.
Conditional Next Steps B
Existing Subawards / Notify subaward PI that U of M PI is leaving or terminating the award. / Contact sub to submit final invoice. / Review for missing invoices and receipt of final invoice. Release encumbrance. Send termination modification to sub. / Verify with GA if final invoice has been paid.
Conditional Next Steps B
Progress reports / If applicable, complete progress report and submit to sponsor.
Conditional Next Steps B
Staff / Notify departmental office of plans for all staff/students. / Timelines, layoffs, termination letters, payouts, watch for Visas. End Cost share/pay of Co-PIs if applicable.
Conditional Next Steps B
Effort Certified / Certify Effort when requested. / Contact PI to certify their effort and their staff if applicable. If PI unable/won't certify effort, contact unit Effort Coordinator.
Conditional Next Steps B
Capital Equipment
Policy & Procedure / Determine which equipment will transfer and which will remain at the U of M. / Generate master list of equipment associated with PI. Inventory Services also can provide a list of equipment associated with a PI as a starting point.
Capital equipment acquired on Active Projects may transfer with the approval of sponsor.
Capital equipment acquired on Inactive Projects may transfer with the approval of the Dean/Department Head & Inventory Services.
In scenarios where new institution is purchasing equipment (i.e., inactive projects or non sponsored funds), price(s) must be negotiated and sold at Fair Market Value or Net Book Value (whichever is greater). Invoice for sale of equipment in EFS and charge sales tax.
Complete the Capital Equipment Asset Disposal form #1393 and obtain the required signatures for all the scenarios listed. / Submit any forms required by sponsor / Verify asset transfer is complete, begin closeout process.
Conditional Next Steps B
Final Financial Report/Invoice / Review final report/invoice. / Review final report/invoice. / Check that F&A is in line, Submit Financial Report/ Invoice, PAYROLL COSTS.
Conditional Next Steps B
Relinquishing statement/amount / Review relinquishing statement/amount. / Coordinate the relinquishing statement amount with SFR and submit to SPA.
Please Note: NIH relinquishing, this is an estimate but it should be as close to
correct as possible. For NSF, the amount to transfer is the final
amount, little chance of revision once it is submitted to agency. / Confirm amount with SFR and submit relinquishing statement to Sponsor. / SFR reviews and signs off on relinquishing statement.
Other Considerations
Program Income / Ensure all Program Income has been deposited and reported. / Ensure all Program Income has been distributed and reported.
Other Considerations
Cost Share/Match / Review cost share/match obligations. / Ensure all cost share/match obligations have been met and funded. End cost share of Co-PIs if applicable. / Report cost share/match obligations and inform department of any situations of under cost share. Confirm cost share/match has been funded.
Other Considerations
Disputes / Notify academic staff, Grant Administrator or Grant Accountant as soon as any issues arise. / Notify PI, Grant Administrator or Grant Accountant as soon as any issues arise. / Serve as liaison between sponsor and department to ensure expectations are met. / Work with PI, Academic Unit and Sponsor to resolve issues related to reports, invoices or un-paid invoices.

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