• Changes in PI status
• PIs transferring departments
• Changes in effort
• Changes in key personnel

• substantially changes effort,
• takes a short-term leave of absence,
• takes a long-term leave of absence, or
• leaves the University and
  • transfers the project to another university or institution,
  • appoints a new PI, or
  • terminates the project.

Substantially changes effort
A change in effort is an indicator that the project's scope might have altered. Sponsors must approve changes in the scope of the project.
 
Sponsors define 'substantially' differently. A change in effort of more than 5% needs to reported in the effort certification system. Consult the sponsor's policy and the SPA grant administrator for details.
 
Short-term leave of absence
The PI can take a leave of absence up to three months without needing a replacement. To avoid confusion and to ensure smooth management, the sponsor should still be informed.
 
Long-term leave of absence
Any absence over three months, e.g., a sabbatical, requires an interim PI. The PI's letter to the sponsor must include a justification and description of the substitute's qualifications.
 
The PI must also provide written notification to any compliance committees.
 
If the PI leaves the University
The project is either transferred to the PI's new institution, a new PI is appointed, or the project may be terminated.
 

• If the PI transfers to another institution:
  Legally, the project is awarded to the University and stays here if the PI leaves. In most circumstances, however, the University allows transfer of the project to the PI's new workplace if the sponsor and the new institution agree. Since sponsors' guidelines vary regarding transferring projects and equipment to new institutions, contact SPA for guidelines specific to the particular sponsor.
   
  To begin the process, the PI must notify the sponsor in writing of his/her intention to leave the University and his/her desire to continue the project elsewhere. This letter should include a conservative dollar amount estimate of the amount to be transferred, and must identify the equipment to be transferred. This letter must be signed by the PI, the department head, and dean (if required by collegiate policy), and forwarded to SPA.
   
  The sponsor will initiate procedures to close out the project at the University. SPA will work with the PI and the sponsor to facilitate this process. The sponsor will also inform the PI of the steps necessary to re-issue the award to a new institution. It is possible that this process will require a new, competitive application submitted on behalf of the PI by the new institution.
   
  To transfer equipment, a Property Disposal/Off-campus Request (BA1393) must be initiated by the PI, endorsed by the department head and dean, and forwarded to Inventory Services for evaluation and recommendation.
   
  The review and recommendation of a request for external transfer of equipment takes into consideration the following points:
  • source of funds,
  • special title restrictions or contingencies,
  • continued research support, and
  • nature of use.
  
  Transfer of equipment acquired on the sponsored project will not usually require reimbursement to the University. However, moving costs are the responsibility of the PI, the sponsor and the new institution. Equipment acquired with non-sponsored funds may require a reimbursement to the University at a depreciated amount before title can be transferred.
   
  Equipment transfer questions may be referred to Inventory Services at (612) 626-8222.
   
  Animals: If necessary, animals can be transferred to the other institution. These transfers must be reviewed and approved by RSPP. To request a transfer, fill out the Request for Transfer of Animals and send it to the committee. The committee veterinarian will review the request. If it is controversial-if it involves primates, for example-the veterinarian will pass it on to the full committee. Once approved, the transfer form should be attached to the PI's protocol.
   
  For copies of the transfer form, call the animal ordering desk at (612) 624-6169.
   
  Chemicals, biological or radioactive materials, and equipment with radioactive sources: These transfers must be reviewed and approved by DEHS, who will assist in permit modification if necessary. DEHS can also recommend proper packaging for legal shipment. Contact DEHS at (612) 626-6002 for further information.
   
  Human subjects: Notify RSPP if the project involves human subjects.
   
  
• If a new PI is appointed:
  If circumstances warrant, the University may choose to request continuance of the project under the leadership of another PI. The original PI or the department head must propose a substitute PI by writing the sponsor, supplying details regarding the qualifications and experience of the substitute, and countersigned by SPA.
   
  
• If the project is terminated:
  The sponsor may choose to terminate the project and will initiate closing procedures.

If the PI Transfer Departments 
If the PI changes departments within the University, a new account number will have to be assigned to identify the new department with the project. To accomplish this, the PI must draft a letter that lists the affected departments and the effective date of the transfer. This letter must then be signed by the department heads and deans of the old and new departments and sent to the responsible grant administrator in SPA. The grant administrator will make the necessary changes in the financial system and issue a new Notice of Grant Award (NOGA) for the project. This document will state the effective date of the new account number.

If the PI is submitting a continuing renewal application that lists the new department, the PI can have the PRF signed by both department heads and deans in lieu of a formal letter.

The PI must be careful to use the new account number after this effective date; the department is responsible for correcting any charges to the old account. 

Changes in Effort

If the effort on the pre-printed effort statement is incorrect, make the changes to the statement and use the Historical Salary Adjustment (HSA) to move payroll expenses. See the effort policy for instructions changing the statement.

Changes in Key Personnel
NIH: If key personnel change, the new individuals must complete the Reponsible Conduct in Research training.