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Transfer of Awards to the University of Louisville

An increasing number of faculty members are transferring to the University of Louisville and bringing with them grants and contracts that were originally awarded to their former institution.  In an attempt to assist everyone with the transfer process, below is an outline of documentation required when transferring a National Institutes of Health award.  The process for other sponsors including Private Non-Profit Agencies vary and will be addressed on an individual basis. 


From The Original Grantee Institution:


1. Official Relinquishing Statement

2. Provision of the effective date of relinquishment (should be on Relinquishing Statement)

3. Estimated unexpended Direct and F&A Cost balances from the current budget period  (Carryover from previous budget periods should not be included in these amounts)

4. Statement of Intent concerning the transfer of any equipment


From The New Grantee Institution (UofL):

(At the top of each page you should include "Change of Grantee Institution" in the header)

1. New face page signed by UofL authorized official (PHS 398 form page)

2. Description of the facilities at UofL (using the PHS 398 form page)

3. Detailed budget for the initial (transfer) budget period

4. When future commitments exist, categorical budgets for those periods

NOTE:  Each budget should be based upon the previously recommended levels.  If we are transferring mid award year and the previous institution had a lower F&A rate than UofL, we will honor that rate for the remainder of that year; however, we will apply our current negotiated F&A rate for all remaining years.  If the previous institution had a higher F&A rate we apply our rate for all future years with excess F&A in the first mid award year redistributed as direct costs.

5. For a mid award year transfer, the initial budget should be based upon the unobligated balance being relinquished by the original institution as reflected on the Relinquishing Statement.

6. If the grant currently includes salary support for the PI or any other transferring member(s) of the project and continued salary support is not required at UofL, a statement regarding the proposed rebudgeting of these funds is required

7. List of equipment to be transferred from the original grantee institution

8. Progress report which will serve in lieu of a final progress report for the original institution

9. Statement concerning the current research plan and an indication of whether the original plan has changed.  If changed, provide appropriate details

10. Biographical sketches of all new key personnel associated with the project

11. Other support pages for all key personnel associated with the project

12. A new checklist applying UofL's current F&A rate

13. Special justification is required to request the transfer of a grant with less than 6 months remaining in the project

14.  A completed and signed Proposal Clearance Form



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