Policy for Departing Faculty Leaving RFUMS
With or Without Extramural Funding
2007 Approved by University Research Committee
Steps in the Exit Procedure:
- Faculty member informs his/her Chair. Chair informs Dean of their College and the VP for Research, RFUMS.
- The VP for Research informs all regulatory departments (IACUC, EHS, etc.) so that they can follow their procedures to close down the faculty member’s laboratory. The closure of the laboratory must occur at least 2 weeks prior to the faculty member’s departure date to allow for corrective actions to be taken (Radiation spills, etc.).
- If the Faculty member is leaving a grant with the University, then the following steps must be followed:
- The faculty member must check with OSR to follow university procedures for grant transfers (1) in order to assign the grant to another faculty member at RFUMS.
- All equipment purchased from the grant(s) must be inventoried through OSR and Purchasing in order to follow the requirements of each respective funding agency. For example, some equipment may have to be returned to a funding agency. ( All equipment purchased with grant funds must either stay with the University or be returned to the funding agency. )
- The individual the grant is being transferred to, must have all information provided to them regarding the support material for the grant (lab books, location of reagents, lab procedures, etc.).
- If the Faculty member is having the grant transferred with them to another institution, then the University procedures for grant transfer must be followed (1). All equipment purchased from the grant(s) must be inventoried through OSR and Purchasing in order to follow the requirements of each respective funding agency. For example, some equipment may have to be returned to a funding agency. (Typically, equipment purchased with grant funds are transferred with the grant to another institution; however, final decision rests with the University (joint decision by the Dean of the faculty member, the VP for Research, and the President with input from the department Chair.
(1) Policy of Rosalind Franklin University of Medicine and Science regarding the transfer of grants.
Awards are made to institutions, not directly to PIs. Federal agencies require prior approval from the relinquishing institution before an award can be transferred to the PI’s new institution. One of the services provided by OSR includes assistance in transferring grants to Rosalind Franklin University of Medicine and Sciences from other institutions (when a PI is arriving at RFUMS) or from RFUMS to other institutions or entities (when a PI is leaving RFUMS). In all cases, it is recommended that a PI and his/her departmental administrator consult with their OSR research administrator at least ninety days before spending needs to begin at the new location.
To initiate grant transfers, provide OSR with a list of all existing awards and all pending grant proposals, annotated to show the budget period and project period begin and end dates; the name of the agency(ies); award number(s); and the names and phone numbers of the agency program officers and grants management staff. In the case of incoming grant transfers, the OSR will need the components of a regular proposal including the signed routing sheet. It is also helpful to include copies of the proposal submitted to the agency if the award is still pending or the actual award notices, including award terms and conditions, a copy of the most recent monthly financial statement, and, if known, the name and phone number of the grants administrator in the grants office of the other institution.
OSR staff will first determine whether the terms of the grant allow it to be transferred, and then will work with their counterparts at the relinquishing institution (or, in the case of departing PIs, the new institution), as well as agency personnel to actually effect the transfer. In the case of NIH grants, the relinquishing institution must sign an official PHS Relinquishment Statement (available at OSR) indicating the estimated unexpended balance as of the date of transfer, and itemizing the equipment that will move with the PI to the new institution. Normally equipment purchased on an ongoing grant is expected by the agency to move with the PI to the new institution; transfer of items of equipment purchased on previous grants and/or using institutional funds are subject to negotiation between the PI and his/her department chair.
Rules and regulations on grant transfers vary widely from funding agency to funding agency. Grant transfers (and transfers of contracts) can be quite complex, especially those involving subcontracts, -graduate students who are continuing their education at the original institution, awards having co-PIs, or awards ending within a six month window. Consultation with OSR staff at least ninety days in advance of the transfer date is strongly encouraged to ensure a smooth transition.