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NIDDK Instructions for Requesting Relocation (Transfer) of K-Series Projects

When an investigator moves from one institution to another, and wishes to transfer a funded career development award to the new location, the NIH requires that a transfer application be submitted by the new institution.  This application will receive administrative review by both program and grants management staff to determine if the transfer is appropriate. The decision to authorize transfer of a career development award will be based upon the following information:

  1. The grant has been relinquished by the original institution, 
  2. The facilities and resources at the new location allow for the successful performance of the project, and 
  3. The investigator plans no significant change in research objectives or career development activities from those supported at the original institution.  In addition, the mentor at the new institution must indicate his/her willingness to accept the grantee. The program staff at the NIDDK must approve this mentor. 

If the proposed change of institution is not approved by NIDDK staff, competitive review may be required.

To request continued support at a new institution and to accomplish closeout at the original institution, the following must be submitted:

A. From the Original Applicant Institution

1. pdf iconForm PHS 3734 (PDF, 75KB): Official Statement Relinquishing Interests and Rights in a Public Health Service Grant.1  relocation application will not be processed until this form, signed by the proper institutional officials, has been received by the NIDDK. This form provides the effective date of relinquishment, estimated Direct and Facilities & Administrative (F&A) cost balances from the current budget period (carryover funds from previous budget periods should not be included in these amounts), and a statement of intent concerning the transfer of equipment.

2. Financial Status Report. NIH financial expenditure data must be submitted electronically through the eRA Commons.  Paper submissions via the SF 269 are no longer allowable.

3. pdf iconForm HHS 568 (PDF, 83KB): Final Invention Statement and Certification. This form must be submitted within 90 days following termination of the project.

1If the transfer is occurring prior to the Type 1 award being issued, a letter from the institution business office may be substituted for the PHS 3734.

B. From the New Institution

1.Form PHS 398, Grant Application (available from institution business office). The new institution must submit an application with “CHANGE OF GRANTEE INSTITUTION” typed in capital letters across the top of the front page. This application from the proposed grantee institution should include, at a minimum:

a. A description of the facilities at the new institution and the probable effect of the move on the project.

b. A detailed budget for all years with appropriate justification.

c. A Resources page (including a description of the facilities at the new institution and the probable effect of the move on the project).

d. A complete research plan including a statement concerning whether the original plan has changed.  If changed, provide appropriate details.  Also, describe any significant changes to the career development plan as it is to be implemented at the new institution. 

e. Biographical sketches of all new professional personnel to be associated with the project, including the new mentor(s).

f. Updated other support pages for all key personnel.

g. Certification of IRB and/or IACUC approval(s), if applicable.

h. Human subjects education certification for key personnel, if applicable.

i. Updated/new Human Subjects Research section, if applicable.  Be sure to address all of the required points, as in your original application.

j. Updated copy of Data and Safety Monitoring Plan (DSMP) for all clinical research studies, if applicable.  Please note that a named Safety Officer, who is not directly involved in the proposed clinical study, must be included in the updated DSMP.

k. If applicable, address the required five points for the use of vertebrate animals.  This section of the application needs to include information about the animal facilities at the new institution. 
Sample: pdf iconhttp://grants.nih.gov/grants/olaw/VASchecklist.pdf (PDF, 64KB see page 5)

l. If applicable, include a copy of a model organism (e.g. transgenic mice) sharing plan from the new institution.  All NIH applications that will produce new, genetically modified variants of model organisms and related resources are expected to include a sharing plan or to state why such sharing is restricted or not possible.  Examples of Plans for Sharing of Model Organisms and Related Resources are available at: http://grants.nih.gov/grants/policy/model_organism/

m. Submit a plan for your training in the Responsible Conduct of Research (RCR) at the new institution.  Please submit a document (numbered 1 through 5) that addresses ALL of the required five points.  For specific details see either the SF424 application instructions or the recent NIH Guide Notice on RCR policy.

n. Checklist page.

o. If applicable, a list of equipment (which was purchased in whole or in part with grant funds and had an acquisition cost of $5,000 or more) to be transferred from the original grantee institution. Such a listing in the application represents acceptance of title to the transferred equipment.  NIH may request additional information necessary to accomplish its review of the request.

p. For mentored K awards include letters from (1) your new mentor(s) that details his/her role; (2) your new Department Chair detailing the institutional commitment; and (3) your original mentor(s) if he/she will remain involved with your career development award.

New letters of recommendation are not required.

C. Applications should be submitted as early as possible to allow for administrative review.   NIDDK accepts transfer applications (with signatures) via email (as a PDF document) to the grants specialist listed on your eCommons page.