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Note: When human subjects will be involved in a project, what are the human subject assurance and IRB requirements? Please click on "OHRP (Office for Human Research Protections)" to access OHRP's website for information, instructions, and assurance forms.


What is required for a proposed change of Principal Investigator?
What is required if a Principal Investigator transfers to another institution and wants to request transfer of a grant?
How do I submit a prior approval request?
What is required for a second no-cost extension request?

What is required for a proposed change of Principal Investigator?
The following is required when a grantee institution is proposing a replacement Principal Investigator (P.I.) on an active grant:

Letter signed by the current P.I. and the proposed P.I. and an authorized institutional business official documenting the following:
  1. Change in the P.I. from Dr. _______ to Dr. ________.
  2. Reason for the change.
  3. Proposed effective date of the change.
  4. Level of effort the proposed replacement P.I. will devote to the project.
  5. The proposed P.I.'s involvement, if any, in the project to date.
  6. Any budget changes that will result from the change in P.I.

Proposed P.I.'s Biosketch.
Proposed P.I.'s current research support (use format found in the PHS 398 or SF424 application kit).
Proposed P.I.'s Social Security # (last four digits only) and birth date.

The countersigned letter should be submitted to the appropriate Grants Management Specialist, with a copy to the NINR Program Director, at least two weeks prior to the proposed effective date.
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What is required if a Principal Investigator transfers to another institution and wants to request transfer of a grant?

ACTIVE GRANT [FUNDED]:
When a Principal Investigator (PI) transfers to another institution, since the grant legally belongs to the grantee institution, it has the first option of nominating a replacement PI for the NINR Program Director's consideration. If the grantee institution does not wish to exercise this option, the PI may request transfer of the grant in accordance with the instructions below. However, approval of the request should not be presupposed. A determination will be made by the NINR Program Director and the Grants Management Specialist based on the information submitted. September transfers are particularly difficult to process in a timely manner due to end of fiscal year considerations. Therefore, it is important that the Principal Investigator contact the Grants Management Specialist and/or Program Director as early as possible regarding a proposed transfer.

From the Original Grantee Institution
For an eligible grant, the unobligated balance on the final Financial Status Report (FSR) from the original grantee will be transferred to the account of the new institution by the Office of Financial Management (OFM), NIH. These funds are not automatically available as an additional authorization to the new grantee unless the final FSR reflects automatic carryover, if allowable. The new grantee is notified by OFM in writing, with a copy to the awarding unit, concerning the availability of the unobligated balance. If automatic carryover is not allowable, or has not been reflected on the final FSR, prior approval from the awarding unit is necessary to affect a carryover of the unobligated balance. In this case, a revised Notice of Grant Award will be issued to reflect the action. Please visit this link for more information


From the Proposed New Grantee Institution
Please visit this link for more information.

Submission of an original and two copies of transfer application pages (PHS Form 398) with CHANGE OF GRANTEE INSTITUTION typed across the top of the face page. The application must include, but is not limited to:

  • An application Face Page [Form (AA)**];
  • Description/Performance Site(s)/Key Personnel [Form (BB)**];
  • Detailed Budget for Initial Budget Period [Form (DD)**];
  • Budget for Entire Proposed Period of Support [Form (EE)**];
  • Updated Biographical Sketches for key personnel [Form (FF)**];
  • Updated Other Support pages for key personnel [Example (GG)**];
  • A Resources page [Form (HH)**];
  • Transfer of equipment: If the move includes the transfer of equipment purchased with grant funds, the application must include a detailed list. This list, as part of the transfer application, is an acceptance of title by the new institution. [This is the same list contained in the Relinquishing Statement.];
  • A Checklist page [Form (II)**];
  • For an ANNIVERSARY DATE TRANSFER, a progress report for the current year, including a statement regarding the goals for the upcoming year;
  • For a PARTIAL YEAR TRANSFER, an updated current progress report. This should include a statement regarding the goals for the remaining period of committed support;
  • A statement indicating whether the overall research plans/aims have changed since funding of the most recent competing application. If the research plans/aims have changed, updated information must be provided. If there are no changes, additional information is not necessary; and
  • Approved IRB/IACUC assurances, if applicable.


** - Forms available online here

Should the proposed transfer of this grant cause the creation of a consortium(s), please contact the appropriate Grants Management Specialist as additional guidance may apply.
There should be no significant change in the research objectives or the level of budget. In addition, it is the responsibility of the institution to maintain a reasonable spending pattern and rate, and a transfer must not be presupposed.
Funds may not be expended at the proposed new institution prior to the effective date of transfer as reflected on the Notice of Grant Award without prior approval from NINR.

All completed forms must be sent directly to the appropriate Grants Management Specialist.

PENDING COMPETING APPLICATION [NOT YET AWARDED]:

When the proposed Principal Investigator (PI) of a pending application (not yet awarded) transfers to another institution and the application is subsequently selected for funding, since the application legally belongs to the applicant institution, it has the first option of nominating a replacement PI for the NINR Program Director's consideration. If the applicant institution does not wish to exercise this option, the proposed PI may request that the application be funded at her/his new institution in accordance with the instructions below. However, approval of the request should not be presupposed. A determination will be made by the NINR Program Director and the Grants Management Specialist based on the information submitted. September transfers are particularly difficult to process in a timely manner due to end of fiscal year considerations. Therefore, it is important that the proposed Principal Investigator contact the Grants Management Specialist and/or Program Director as early as possible regarding a proposed transfer. (Budgets are not required for modular applications.)


From the Original Applicant Institution
Submission of an Official Statement Relinquishing Rights to a PHS Grant (PHS Form 3734)* or a formal countersigned letter in lieu of this form relinquishing rights to the grant application. For a renewal application (Type 2), please include a list of equipment that would be transferred to the new institution.


From the Proposed New Applicant Institution
Submission of an original and two copies of transfer application pages (PHS Form 398, see below) with CHANGE OF INSTITUTION typed across the top of the face page. The application must include, but is not limited to:

  • Application Face Page [Form (AA)]*;
  • Description/Performance Site(s)/Key Personnel [Form (BB)]**;
  • Detailed Budget for Initial Budget Period [Form (DD)]**;
  • Budget for Entire Proposed Period of Support [Form (EE)]**;
  • Updated Biographical Sketches for all key personnel [Form (FF)]**;
  • A statement indicating whether the overall research plans/aims have changed from the original submission (including the date of the original submission). If the research plans/aims have changed, updated information must be provided. If there are no changes, additional information is not necessary;
  • Updated Other Support pages for all key personnel [Example (GG)]**;
  • A Resources page [Form (HH)]**;
  • List of equipment purchased with grant funds to be transferred to the new institution, {renewal applications only (Type 2)};
  • A Checklist page [Form (II)]**; and
  • Approved IRB/IACUC assurances, if applicable.

*Click here for PHS 3734 form pages (PDF - Requires Acrobat Reader to view. Download available here.)

**Click here for PHS 398 form pages
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How do I submit a prior approval request?
Requests requiring NINR prior approval, e.g., second no-cost extensions of the project; change of Principal Investigator; change(s) in key personnel; change of project scope; etc., must
  1. be submitted in writing, or via email from an authorized institutional business official (i.e., Office of Sponsored Programs)
  2. be signed by both the Principal Investigator/Fellow and the authorized institutional official (or forwarded via email from the PI to the business official), and
  3. reference the complete grant number (e.g., 1 R01 NR 01234-01).

NINR rarely approves a 3rd no cost extension and does not encourage submission of these requests.

Requests must be sent via email to the appropriate Grants Management Specialist, or via mail to the following address:

Office of Grants and Contracts Management
National Institute of Nursing Research
National Institutes of Health
One Democracy Plaza
6701 Democracy Blvd, Suite 710
Bethesda, MD 20892-4870


To enhance the decision-making responsibility shared by Grants Management and Scientific Program Staff, a copy of the letter should be sent to the Program Director.
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What is required for a second no-cost extension request?
For second no-cost extension requests, a letter, signed by the Principal Investigator and an authorized institutional official, must be received by the appropriate Grants Management Specialist, Office of Grants and Contracts Management, no later than 30 days prior to the grants Project Period End Date. The correspondence must explain the need for an additional no-cost extension, document the activities to be completed, specify the amount of remaining grant funds, and include a detailed description of the proposed use of unexpended funds (either a detailed budget or narrative description). Updated IACUC and IRB approvals must be provided if required. The request for the second no-cost extension must be evaluated and approved by the Office of Extramural Activities and, when granted, is for purposes other than completion of manuscripts. The request may be submitted via email from an authorized institutional business official. Additional no-cost extension beyond the 2nd will not be considered.
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Page last updated Jun 04, 2008
 
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