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NIDA

Change of Recipient Institution (Transfer) for NIDA Grants and Cooperative Agreements

Change of Recipient Institution (Transfer) Purpose and Background

A request for a change of recipient institution is subject to the prior approval of NIDA program and grants management staff and must occur prior to the expiration of the competitive segment. We strongly encourage you to contact both your NIDA Program Officer and your NIDA Grants Specialist as soon as you begin planning to make a move. The timing of your transfer request can have significant implications. The telephone number and email address of your NIDA Program Officer and your NIDA Grants Specialist are available in the eRA Commons, on your Notice of Award, and are also available here, at NIH NED.

A change of recipient request normally will be permitted only when all of the permanent benefits attributable to the original grant can be transferred, including equipment purchased in whole or in part with grant funds. In reviewing a request to transfer a grant, NIH will consider whether there is a continued need for the grant-supported project or activity and the impact of any proposed changes in the scope of the project.

NIDA recommends that you begin the formal process of requesting the transfer of your grant at least sixty days in advance of your move to the new institution. Failure to provide timely notification may result in disapproval of the request or a delay in processing.

A change of recipient organization may be requested when the original recipient has agreed to relinquish responsibility for the grant before the expiration of the approved project period. The project, under the same Principal Investigator, may be supported at a new organization for a period up to the remainder of the previously approved project period in an amount not to exceed that previously recommended for direct costs, plus the applicable facilities and administrative (F&A) costs for the new organization for the remaining project period. However, the total amount for the new organization will be contingent on the availability of funds.

A request to transfer a grant requires the submission of information, signed by Authorized Organization Representatives (AORs), from both the current recipient organization and the proposed new recipient organization. It is recommended that all items be submitted electronically, however, they are also accepted in PDF via email to the NIDA grants management specialist.

Submitting a Change of Recipient Request:

FROM THE ORIGINAL RECIPIENT INSTITUTION

The current recipient institution must submit an "Official Statement Relinquishing Interests and Rights in a Public Health Service Research Grant."

  • It is recommended that this be submitted electronically thru the eRA Commons.
  • Hard copy forms of PHS 3734 are available in Word at PHS 3734 or in PDF at PHS 3734.

The original Recipient is also required to provide the HHS Final Invention Statement (HHS 568) and (after the revised award has been issued) a Final Financial Status Report (FFR).

FROM THE NEW RECIPIENT INSTITUTION:

There are two ways to submit a change of recipient institution request:

  1. Apply electronically through Grants.gov
  2. Apply using the PHS 398 forms, submitted to NIDA via email in PDF format.

Apply electronically through Grants.gov: from the proposed new recipient institution. Use the Type 7 Parent FOA PA-16-285 in Grants.gov and include, at a minimum, the following:

  1. SF 424 (R&R) Cover Component
  2. SF 424 (R&R) Project/Performance Site Location(s)
    • SF 424 (R&R) Other Project information: Certification of IRB/IACUC approval, including OHRP and OLAW assurance numbers, if applicable.
  3. SF 424 Other Project Information
    • Complete sections for human subjects, vertebrate animals as appropriate and include assurance number(s) and applicable IRB and/ or IACUC approval date(s).
    • Facilities and Other Resources, including probable effect of the move on the project
    • Detailed list of any equipment purchased with grant funds to be transferred to the new organization (inclusion of this list in the transfer application from the new organization indicates its acceptance of title to that equipment).
  4. SF 424 Research & Related Senior/Key Person Profile:
    Updated biographical sketches for the PD/PI and existing senior/key personnel and biographical sketches for any proposed new senior/key personnel, and updated "other support" page(s) as necessary.
  5. Updated "other support" page(s) for all key personnel
  6. R&R Detailed Budget Form
    • The R&R Detailed Budget form must be used, regardless of the form used for the initial application for current award.  The budget should be based on the direct costs relinquished by the original recipient organization, unless otherwise instructed by the awarding IC.
    • Even if the budget for the original award was submitted in a modular format, the R&R Detailed Budget form must be used for an electronic application for change of recipient organization.  For these awards, recipients may either complete all of the fields in the R&R Detailed Budget as appropriate or, they may complete only the costs for the PD/PI (Section A), and include the remainder of the direct costs under Section F (Other Direct Costs) Item 8, and Section H (Indirect Costs).
    • Budgets should not exceed the direct costs (plus applicable F&A costs) previously recommended for any budget period.
    • For transfers in the middle of the budget period, the budget request should be based on the relinquished direct costs and the new organization's F&A rate.
      • If the transfer reflects an increase in F&A, the transfer award may be based on the total costs relinquished.
      • The determination will be made at time of award, based on the availability of funds.
  7. A progress report.
    • This should be included in the Research Plan under a separate heading if this will be an anniversary date transfer.
  8. PHS398 Research Plan - For all transfer applications include also a statement indicating whether the overall research plans/aims have changed from the original submission, and, if so, provide updated information. If not, include the original research plan.
  9. PHS 398 Cover Page Supplement
    And, as applicable:
    • PHS 398 Career Development Supplemental Form, including the identification of a primary mentor at the proposed new recipient institution for mentored career awards
    • PHS 398 Fellowship Supplemental Form
    • SBIR/STTR Information

Apply using the PHS 398 forms, submitted to NIDA via email in PDF format: The PDF application from the proposed new recipient institution should include, at a minimum, the following:

  1. PHS 398 Face page
  2. Resources Format Page: A resources page including a description of the facilities at the new organization and an assurance that and the facilities and resources at the new organization will allow for successful performance of the project.
  3. A discussion on the effect of the move on the project, and an assurance that the requested change will have no significant change on the approved research objectives.
  4. Budget pages for the current and future years.
    • Under awards resulting from modular applications, the application should include narrative budget information for the current budget period, including total direct cost and the basis for computing F&A costs and, if applicable, future budget periods.)
    • Budgets should not exceed the direct costs (plus applicable F&A costs) previously recommended for any budget period.
    • For transfers in the middle of the budget period, the budget request should be based on the relinquished direct costs and the new organization's F&A rate.
      • If the transfer reflects an increase in F&A, the transfer award may be based on the total costs relinquished.  The determination will be made at time of award, based on the availability of funds. 
  5. Updated biographical sketches for the PD/PI and existing senior/key personnel and biographical sketches for any proposed new senior/key personnel.
  6. If transferring on the anniversary date, include the progress report for the current year including a statement regarding the goals for the upcoming year. For all transfer applications include also a statement indicating whether the overall research plans/aims have changed from the original submission, and, if so, provide updated information.
  7. Updated "other support" page(s), if necessary.
  8. Resources page, including probable effect of the move on the project.
  9. Checklist page
  10. Certification of IRB/IACUC approval, including OHRP and OLAW assurance numbers, if applicable.
  11. Detailed list of any equipment purchased with grant funds to be transferred to the new organization (inclusion of this list in the transfer application from the new organization indicates its acceptance of title to that equipment).
    And, as applicable:
    • PHS 398 Career Development Supplemental Form, including the identification of a primary mentor at the proposed new recipient institution for mentored career awards
    • PHS 398 Fellowship Supplemental Form
    • SBIR/STTR Information

Please note that NIDA may request additional information necessary to accomplish its review of the request. Acceptance of a relinquishing statement by NIDA does not guarantee approval of a transfer application for the continued funding of a project

NIDA Contacts for Questions

For specific questions about a change of recipient request, contact the NIDA program official or grants management specialist of the parent grant. The telephone number and email address of your NIDA Program Officer and your NIDA Grants Specialist are available in the eRA Commons, on your Notice of Award, and are also available here, at NIH NED.

Also, please see NIH Grants Policy Statement “Change of Recipient Organization

This page was last updated January 2017