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Transfers

Transferring an NIH Grant: How to transfer an award to or from VUMC

A grant is always awarded to the PI’s INSTITUTION. Therefore, before a grant can be transferred to a new institution the grant must be:

1. Relinquished from the Current Institution
2. Applied for from the New Institution

If You Have Faculty Leaving Vanderbilt

You must complete a Relinquishing Statement. This form is located at URL: http://grants.nih.gov/grants/phs3734.pdf

Note that the Relinquishing Statement requests an estimated unexpended balance, as well as a list of equipment costing $5,000 or more which will be transferring to the new Institution with the grant.

NIH can not award a grant to a new Institution until the original Institution has relinquished it. Therefore, it is important to complete the Relinquishing Statement as soon as possible after a faculty member has left Vanderbilt - if not before.

Once you have completed the Relinquishing Statement, it must be approved and signed by:

1. The Department of Finance - Steve Todd
2. The Office of Grants & Contracts Mgmt (GCM) - Melinda Cotten

Once GCM has approved and signed the statement you must send it to the Grants Management Specialist at NIH.

Be sure to phone the specialist and verify the address before mailing the relinquishing statement.

If You Have Faculty Arriving At Vanderbilt

You will need:

1. Name of contact person at PI’s former Institution.
2. Estimated dollars to be transferred for current budget year. NOTE: try to get an estimate as early as possible so that you may begin figuring the budget.
3. A copy of the Relinquishing Statement submitted by the former Institution - with the estimated dollar amount to be transferred. NOTE: If the final amount on the FSR differs from the relinquishing statement, the award letter will be adjusted accordingly.
4. A copy of the most recent Notice of Grant Award for the grant. This will indicate the total dollars allocated for succeeding years of the current project period - as well as the name of the current Grants Management Specialist. NIH assigns Specialist by Institution. Be sure to phone the current Specialist to ask who handles grants for Vanderbilt at that Institute.

A Transfer application is completed on the NIH 398 forms. The Administrative portion is identical to a New or Competing application: Complete the Face Page, Budget pages, Budget Justification, Resource and Checklist page. The Scientific portion should be a brief progress report, explaining the move to the new institution and detailing what was accomplished at the old institution before the move.

Completing the budget for the current budget period

You will need to talk with the NIH Grants Management Specialist to determine how they want the direct costs and facilities and administrative costs allocated. SOME Institutes request that you back Vanderbilt’s indirect costs out of the TOTAL DOLLARS transferred. The remainder is the direct costs available for the current budget period. OTHER Institutes request that you allocate the direct dollars available ONLY, adding Vanderbilt’s F & A (i.e. Indirect Costs) to that amount. It is important to check with the NIH Institute BEFORE you submit your transfer application.

Once you have determined the total direct costs available for the first budget period, you must allocate that amount WITHIN THE MONTHS REMAINING IN THE CURRENT BUDGET PERIOD. Be SURE to enter these months in the “FROM” and “THROUGH” date boxes in the upper right hand corner of the page.

For succeeding years of the grant, budget the DIRECT costs originally awarded, adding Vanderbilt’s F&A to that.

IF THE ORIGINAL APPLICATION WAS A MODULAR APPLICATION, use the Modular Budget page. Put the remaining direct dollar amount in the “Initial Budget Period” EVEN THOUGH IT IS NOT AN EVEN MODULE. Complete the remainder of the form with the direct dollars awarded in the original NOGA.

Requesting a Center Number

Because a transfer application is for a grant that has already been funded by NIH, we know that the application will be funded. Therefore, send the pink center request form with the application SO THAT YOU WILL HAVE A CENTER NUMBER IN PLACE WHEN THE AWARD LETTER ARRIVES.