REG 10.10.07 – Transfer of Projects

Authority: Vice Chancellor for Research and Innovation

History: First Issued: April 16, 1993. Last Revised: October 9, 1995.

Related Policies: 
NCSU REG10.10.02 – Equipment Transfer and Loans

Contact Info: Vice Chancellor for Research and Innovation (919-515-2117)

1. General

The following procedures give a sequence of events that must occur in order for a project to be transferred from NC State University to another qualifying organization. Understand that transfers always cause delays in the pursuit of timely results from sponsored scholarly projects, hence the sooner the transfer process is begun the sooner the funds will be available at the new institution

The decision to release a project conducted by a faculty/staff member of NC State University resides with the Department Head, Dean, and University Administration. The normal time required to complete all transfer considerations within the University and negotiations with the funding agency is approximately six months.

2. Steps to be taken when the decision has been made to leave NC State University

2.1. Plan the move and begin preparation to request transfer authorizations from Sponsored Programs and Regulatory Compliance Services (SPARCS). A preliminary meeting is recommended to include the principal investigator(s), Department Head, Associate Dean and the Associate Vice Chancellor for Research Administration-SPARCS, the Senior Research Analyst, the Assistant Director of Operations in Contracts and Grants and the appropriate College Research Office (CRO) officials designated by the Associate Dean.

2.2. Prepare an inventory of all projects (using MS-Excel) under the leadership of the departing faculty member. This list should include the following: the SPARCS Log number; PeopleSoft number; sponsor name; project title; project investigators’ names; Program Officer name and contact information; contract officers (sponsor) name and contact information (include e-mail address for these); planned disposition (transfer, re-assign PI, terminate, etc.) The list should include all projects under the direction of the transferring faculty member, not just the ones planned for transfer.

2.3. Request authorization to transfer projects by sending an electronic copy (using MS-Excel) of the inventory and disposition of projects prepared in sequence 2 above. The CRO should send the request to the Associate Vice Chancellor for Research Administration/SPARCS and the Senior Research Analyst by e-mail. Paper copies are not acceptable, this document must be submitted by e-mail.

2.4. SPARCS will review each agreement to determine the appropriate actions to take on each of the transferring faculty member’s projects. This determination will include evaluating the appropriateness of the requested disposition. If the requested disposition is determined non-compliant with the terms of the relevant agreement, SPARCS will notify the CRO and offer alternative solutions, if any.

2.5. Once SPARCS has finalized the review of the project inventory and updated the spreadsheet with any adjustments to the project disposition, a copy will be forwarded to Contracts and Grants along with a copy to the CRO advising the CRO to notify both Contracts and Grants and SPARCS of the cut-off date for fiscal matters. This date is the date of last expenditure on the project and is recommended to be no later than 90 days prior to the planned termination.

2.6. Closeout requests will be generated by Contracts and Grants for financial closeout and directed as usual to the College Research Office. CRO should work with the investigator to determine how the investigator can continue work at NC State, paying for needed supplies and personnel (graduate students in particular) until the effective date of the termination (of employment, projects or both). This function is called Project Consolidation and is an important element in a successful and timely transfer. Examples of funding sources that an investigator should consider during the project consolidation effort are residual balances in fixed price accounts, institutional funds relevant to the various projects or other trust fund accounts. Only externally sponsored projects may be eligible for transfer; fixed price residuals, state or institutional funds or other trust fund balances may not be transferred to other institutions. Then the CRO must notify the Assistant Director of Operations in Contracts and Grants and the Senior Research Analyst in SPARCS of the dates at which the transferring projects can be closed to further expenditure activity.

2.7. Program and contract officers will be notified by SPARCS of the projects to be transferred using the appropriate form sets promulgated by the sponsor via other prudent means deemed necessary to document the planned activities. All communications must be in or followed-up in writing (preferably e-mail) and filed in the project files.

2.8. SPRACS will contact the new institution advising of intent to transfer. SPARCS will determine who at the new institution is the appropriate individual to work with and will establish a rapport with that individual for future contacts. The SPARCS will notify the transferring faculty member of the appropriate contacts so if not already done, the investigator can begin the process of securing internal approvals through the appropriate administrative chain at the new institution.

2.9. The investigator must contact their program officer to plan for submission of final technical reports on the terminating NC State agreements. Technical reports are required on all projects, not just those being transferred. Two copies of the technical reports must be submitted to SPARCS.

2.10. Contracts and Grants will submit final financial documents (i.e., final financial status reports, final invoice, etc) to the sponsor for consideration and payment. No further reconciling items or expenditures may affect the accounts after this point.

2.11. Contracts and Grants will provide SPARCS with a complete copy of the final fiscal reports/invoice and to the extent not readily available in these documents, provide the residual unexpended balance remaining after the final fiscal documents are filed.

3. Transferring Projects, Proposals to NC State University from an external agency.

3.1. The process for transferring projects to NC State University would normally be handled in a like manner as transferring projects from NC State.

3.2. The College Research Office should notify the SPARCS personnel of the new faculty member’s date of arrival and proposals being transferred (this would include all proposals under consideration and not yet funded). Proposals will be processed through normal University channels for faculty prior to their arrival.

3.3. The transferring investigator should provide the names and numbers of his/her current institutional personnel handling the transfer to the SPARCS office. Contact will be made to determine the status of the transfer and if or when contact should be made by SPARCS to the Sponsor to discuss the transfer.

4. Transfer of equipment associated with project transfers

See NCSU REG10.10.02 – Equipment Transfer and Loans for the instructions for the transfer of equipment