Transferring Projects to a New Institution

The following table provides a sequence of events that must occur in order for a project to be transferred from NCSU to another qualifying organization. The proposed timeline under "When to Do It" is a best case scenario. Understand that transfers always cause delays in the pursuit of timely results from sponsored scholarly projects, hence the sooner you begin the transfer process the sooner the funds will be available at the new institution. Following is a key to some of the terms used in this table: CRO = College Research Office (or College Business Office); SPARCS = Sponsored Programs and Regulatory Compliance Services (pre award and all negotiations and signatory). The individual in SPARCS designated to handle transfers is the Administrative Officer for Audits and Assessments, currently Debbie Hunt who can be reached by e-mail at debbie_hunt@ncsu.edu; C&G = Contracts and Grants Office (post award). The individual who will coordinate C&G's efforts in the transfer is the Assistant Director of Operations, Julie Brassfield.

Seq

What to Do

When to Do It

Who Does It

1

PLAN the move and begin preparation to request transfer authorizations from Sponsored Programs and Regulatory Compliance Services. A preliminary meeting is recommended to include the PI, Department Head, Associate Dean and the Associate Vice Chancellor for Research Administration/SPARCS, the Administrative Office for Audits and Assessments, the Assistant Director of Operations in Contracts and Grants and the appropriate College Research Office (CRO) officials designated by the Associate Dean.

6 Months Prior

PI, Dept Head, CRO, SPARCS

2

Prepare an INVENTORY using MS-Excel of all projects under the leadership of the departing faculty member. This list should include the following: SPS Log Number; PeopleSoft Project Number; Sponsor Name; Project Title; Project Investigators Names; Program Officer Name and Contact Information; Contract Officers (Agency) Name and Contact Information (include e-mail addresses for these); Planned Disposition (transfer, re-assign PI, terminate, etc.). This list should include all projects under the direction of the transferring faculty member, not just the ones planned for transfer. Include in the inventory any subagreements that should be terminated and when.

5 - 6 Months Prior

PI should work with Departmental Contract Manager, CRO and SPARCS

3

REQUEST authorization to transfer projects by sending an electronic copy prepared in MS Excel of the inventory and disposition of projects prepared in sequence 2 above. The CRO should send the request to Associate Vice Chancellor for Research Administration/SPARCS and the Research Analyst by e-mail. Paper copies are not acceptable.  This document must be submitted by e-mail to matt_ronning@ncsu.edu
and debbie_hunt@ncsu.edu.  Other information that will need to be provided to SPARCS:

• Desired Effective Date
• Department Head and Dean’s approval for transfers, in writing.
• Progress and/or Final Technical Reports
• Letter of Resignation
• Equipment Transfer permission/inventory, if applicable

5 Months Prior

CRO Only

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.

4.5 Months Prior

SPARCS

5

Once SPARCS has finalized the review of the project inventory and updated the spreadsheet with any adjustments to project disposition, a copy will be FORWARDED TO C&G along with a copy to the CRO advising the CRO to notify both C&G and SPARCS of a 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.

4 Months Prior

PI or CRO

6

Initiate termination of standing (i.e. recurring) procurement actions and request TERMINATION OF ALL SUBCONTRACTORS from SPARCS by sending an e-mail to both matt_ronning@ncsu.edu  and debbie_hunt@ncsu.edu, with a copy to sps@ncsu.edu.

4 Months Prior

CRO, Departmental Contracts Manager, PI and C&G

7

Closeout requests will be generated by Contracts and Grants for financial closeout and directed as usual to the College Research Office. CRO MUST ensure that all subagreements have been properly terminated pursuant to step number 6 above and must not sign off on close-out statements for subaccounts unless and until the subrecipient has issued a final, close-out invoice.

4 Months Prior

C&G and CRO

8

CRO should work with PI to determine how the PI can continue work at NCSU, paying for needed supplies and personnel (grad 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 a PI 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 Research Analyst in SPARCS of the dates at which the transferring projects can be closed to further expenditure activity.

3.5 Months Prior

CRO

9

PROGRAM AND CONTRACT OFFICERS will be notified by SPARCS of the projects to be transferred using the appropriate form sets promulgated by the sponsor or 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.

3 Months Prior

SPARCS

10

SPARCS will contact 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 PI can begin the process of securing internal approvals through the appropriate administrative chain at the new institution.

2 - 3 Months Prior

SPARCS and PI

11

PI must contact their Program Officer to plan for submission of FINAL TECHNICAL REPORTS on the terminating contracts. Technical Reports are required on all projects, not just those that are being transferred. Two copies of the technical reports must be submitted to SPARCS.

.5 - 3 Months Prior

PI

12

C&G 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 - 3 Months Prior

C&G

13

C&G 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.

Concurrent with Seq. 11

C&G