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NIDDK Instructions Requesting Relocation (Transfer) of Research Projects (K-series and R-series)

When an investigator transfers and requests continued support for a previously approved project at a new location, the NIH requires that a transfer application be submitted through the new institution. This application will receive administrative review to determine if the transfer is appropriate and to determine the level of NIH funding. The decision to authorize transfer of the grant will be based upon the following information: (1) the project has been relinquished by the original institution, (2) the facilities and resources at the new location allow for the successful performance of the project, and (3) the investigator plans no significant change in research objectives and level of expenditures from those described in the previously approved project. In addition, if a mentor (i.e. K-series) or an ‘expert’ (i.e. some R03s) is required by the conditions of the award, then that individual must be identified and indicate his/her willingness to accept the grantee. The program staff at the NIDDK must approve this mentor. If the proposed change of institution does not meet these criteria, competitive review will be required.

To request continued support at a new institution and to accomplish closeout at the original institution, the following must be submitted:

1. From the Original Grantee Institution
   
   
   1. Form PHS 3734, Official Statement Relinquishing Interests and Rights in a Public Health Service Grant. ¹ A relocation application will not be processed until this form, signed by the proper institutional officials, has been received by the NIDDK. This form provides the effective date of relinquishment, estimated Direct and Indirect cost balances and a statement of intent concerning the transfer of equipment.
      
      
   2. Standard Form 269, Financial Status Report. This form must be submitted within 90 days following termination of the project.
      
      
   3. Form HHS 568, Final Invention Statement and Certification. This form must be submitted within 90 days following termination of the project.
      
      
2. From the New Institution
   
   
   1. Form PHS 398, Grant Application (available from institution business office). The new institution must submit an application with “CHANGE OF GRANTEE INSTITUTION” typed in capital letters across the top of the front page. This application must contain the following information:
      
      
      1. A description of the facilities at the new institution and the probable effect of the move on the project.
         
         
      2. A detailed budget for the initial (transfer) budget period and, when future commitments exist, categorical budgets for those periods. Each budget should be based upon the previously recommended level(s). In the event of a mid-budget period transfer, the initial budget should be based upon the direct costs being relinquished by the original institution as reflected on Form PHS 3734.
         
         
      3. A list of equipment (which was purchased in whole or in part with grant funds and had an acquisition cost of $1,000 or more) to be transferred from the original grantee institution. Such a listing in the application represents the new institution’s acceptance of title to the transferred equipment.
         
         
      4. A progress report that will serve in lieu of a final progress report for the original institution.
         
         
      5. A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.
         
         
      6. Biographical sketches of all new professional personnel to be associated with the project.
         
         
      7. Other support pages for all key personnel.
         
         
      8. Special justification when requesting the transfer of a budget period with less than 6 months remaining.
         
         
   2. Applications should be submitted as early as possible to allow for administrative review.
      
      
   This application should be sent to:
   NIDDK File Room
   Attention: DEAS Staff
   6707 Democracy Boulevard, MSC 5456
   Bethesda, MD 20892

¹ If the transfer is occurring prior to the Type 1 award being issued, a letter from the institution business office may be substituted for the PHS 3734.