Authority: Vice Chancellor for Research and Innovation
History: First Issued: April 16, 1993. Last Revised: July17, 2018
Contact Info: Vice Chancellor for Research and Innovation (919-515-2117)
This regulation describes the conditions and the steps that must occur in order for a sponsored project to be transferred from NC State University (NC State) to another qualifying organization. Such transfers may occur in concert with changes in key personnel employment. Transfers frequently cause delays in the pursuit of timely results from sponsored scholarly projects, thus the transfer process should begin as soon possible so that the funds will be available at the new institution.
Additional guidance for transfers of sponsored projects between NC State and other institutions is provided on the Sponsored Programs & Regulatory Compliance (SPARCS) web site at https://research.ncsu.edu/sparcs/policies-and-procedures/sops/pi-transfer/ .
Where a sponsored project transfer from NC State to another institution is occasioned by a change in employment, Department Heads are reminded of their responsibilities for faculty off-boarding. 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.
2. RESEARCHERS LEAVING NC STATE
Below describes the processes and steps to be taken when faculty researchers are leaving NC State:
2.1. Plan the move and begin preparation to request transfer authorizations from sponsors.
2.2. Prepare an inventory of all projects under the leadership of the departing faculty member and those for which the faculty member was named key personnel or mentor. For projects where the faculty member is the Principal Investigator, determine which projects will be transferred, which terminated, and which retained by NC State under the direction of a new Principal Investigator (approved by the sponsor). For projects where the departing faculty member is key personnel or mentor, ensure appropriate notification to primary Principal Investigators and mentees.
2.3. Request authorization to transfer projects, change Principal Investigator or terminate awards via Project Modification Request.
2.4. SPARCS will review each agreement to determine the appropriate actions to take on each of the transferring faculty member’s projects, coordinating with Contracts and Grants if appropriate. 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 award, SPARCS will notify the College Research Office and offer alternative solutions, if any.
2.5. Financial closeout requests will be generated by Contracts and Grants and directed as usual to the College Research Office.
2.6. Any sub-agreements from projects to be transferred or terminated must be terminated via a fully executed amendment and final invoices paid.
2.7. The researcher is responsible for any technical reports required by the sponsor and certification of the current effort reporting cycle.
2.8. 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.
3. TRANSFER OF PROJECTS TO NC STATE
The process for transferring projects to NC State is similar to the process for submitting a new sponsored project proposal. Transferring researchers will work with their College Research Office to route proposals through normal university channels and processes.
4. TRANSFER OF EQUIPMENT
See NCSU REG 10.05.16 – Equipment Acquisition, Management, Transfer and Loans for the instructions for the transfer of equipment