Departure of a Principal Investigator
Components /

Resources
Notification
Resignation letter or
notification
Notification
Sponsor notification
Notification
Sponsor notification
PI
Forward to department research
administrator; include contact
information for new institution.
Contact Co-PIs, decision on what
happens to their participation, if
child acct-will that close, transfer or
become a subcontract from new
institution?
Determine plan for existing awards,
forward any notification to
department research administrator
Department
Verify last day with PI and with transfer
institution if applicable. Connect with any
other units where there may be child accts
or people on payroll on the PI's projects.
If PI is turning over grant to someone
else at the U then letter to sponsor
from New/Old PI needs to be
approved by heads and deans of
both units and sent to SPA for
submission to the sponsor.
Naming a new PI at the UMN rather than
transferring the award to another
institution requires a PRF in addition to the
letter.
Verify plans and check allowability with
regards to various projects. Notify SPA.
SPA
Ensure
department
approval of
transfer, submit
request for
transfer to
agency, know if
agency allows PI
transfers or if
they consider it
closing an award.
Process NOGA
indicating new PI
and project with
DeptID if
necessary.
SFR
Receive NOGA.
Follow Conditional Next Steps A.
Follow Conditional Next Steps A.
2/18/2013
Page 1 of 6
Departure of a Principal Investigator
Components /

Resources
Notification
Sponsor notification
PI
If PI is taking the grant to new
institution then letter to sponsor
from PI needs to be approved by
Head and send to SPA for submission
to the sponsor.
Department
Begin process to finalize and relinquish
grant. Respond to new institution as
requests are received.
Follow Conditional Next Steps B.
Follow Conditional Next Steps B.
Notification
Sponsor notification
Notification
Sponsor notification
If sabbatical/medical leave, letter to
sponsor notifying sponsor and
impact to science. If someone new
needs to be named must be sponsor
approved.
Follow Conditional Next Steps A.
If terminating the award then letter
to sponsor from PI needs to be
approved by head and sent to SPA
for submission to the sponsor.
Notify SPA and monitor.
Begin process to finalize and relinquish
grant. Respond to new institution as
requests are received.
Follow Conditional Next Steps B.
Follow Conditional Next Steps B.
Conditional Next
Steps A
If new PI is not listed on the
Protocol, initiate process to add new
PI to Protocol.
SPA
Process NOGA
indicating early
termination.
Ensure Property,
Equipment and
Patents
documents are
submitted to
sponsor.
Submit letter to
sponsor.
SFR
Initiate review of
transactions for
final
invoice/report
with academic
department.
Process NOGA
indicating early
termination.
Ensure Property,
Equipment and
Patents
documents are
submitted to
sponsor.
Verify new PI
added to
protocol.
Protocols
2/18/2013
Page 2 of 6
Departure of a Principal Investigator
Components /

Resources
Conditional Next
Steps A
Lab Cleanup
(including specimens,
chemicals, hazardous
waste)
Conditional Next
Steps A
Existing Subawards
Conditional Next
Steps A
PI
Notify new PI of any existing
specimens.
Department
Division of Health & Safety; research safety
officer coordinates disposal/transfer;
establish what department/unit pays for
clean up.
Notify subaward PI of new PI.
Forward previous progress reports to
new PI, unit admin and Grant
Coordinator.
Proposal & Award
Documents
Conditional Next
Steps A
General Concerns
Conditional Next
Steps B
SFR
Issue
modification if
necessary.
For NIH grants update other support pages
and personnel page.
Progress reports
Conditional Next
Steps A
SPA
Where
applicable,
submit to
sponsor with
AOR approval.
Forward proposal & awards
documents to new PI, including
significant communications
regarding project.
Confirm staffing decisions with
department.
If new project will be established, start
finalizing costs on old project including any
payroll issues.
Notify the IRB & IACUC office to
close protocol or protocol will expire
at end of next annual period.
Protocols
2/18/2013
Page 3 of 6
Departure of a Principal Investigator
Components /

Resources
Conditional Next
Steps B
Lab Cleanup
(including specimens,
chemicals, hazardous
waste)
Conditional Next
Steps B
PI
If taking specimens with, coordinate
a MTA, if abandoning, follow
protocol for proper disposal.
Department
Division of Health & Safety; research safety
officer coordinates disposal/transfer;
establish what department/unit pays for
clean up.
Notify subaward PI that U of M PI is
leaving or terminating the award.
Contact sub to submit final invoice.
Existing Subawards
Conditional Next
Steps B
If applicable, complete progress
report and submit to sponsor.
Progress reports
Conditional Next
Steps B
Notify departmental office of plans
for all staff/students.
Timelines, layoffs, termination letters,
payouts, watch for Visas. End Cost
share/pay of Co-PIs if applicable.
Certify Effort when requested.
Contact PI to certify their effort and their
staff if applicable. If PI unable/won't certify
effort, contact unit Effort Coordinator.
Staff
Conditional Next
Steps B
SPA
SFR
Review for
missing invoices
and receipt of
final invoice.
Release
encumbrance.
Send termination
modification to
sub.
Verify with GA if
final invoice has
been paid.
Effort Certified
2/18/2013
Page 4 of 6
Departure of a Principal Investigator
Components /

Resources
Conditional Next
Steps B
PI
Determine which equipment will
transfer and which will remain at the
U of M.
Capital Equipment
Policy & Procedure
Department
Generate master list of equipment
associated with PI. Inventory Services also
can provide a list of equipment associated
with a PI as a starting point.
SPA
Submit any forms
required by
sponsor
SFR
Verify asset
transfer is
complete, begin
closeout process.
Capital equipment acquired on Active
Projects may transfer with the approval of
sponsor.
Capital equipment acquired on Inactive
Projects may transfer with the approval of
the Dean/Department Head & Inventory
Services.
In scenarios where new institution is
purchasing equipment (i.e., inactive
projects or non sponsored funds), price(s)
must be negotiated and sold at Fair Market
Value or Net Book Value (whichever is
greater). Invoice for sale of equipment in
EFS and charge sales tax.
Conditional Next
Steps B
Review final report/invoice.
Complete the Capital Equipment Asset
Disposal form #1393 and obtain the
required signatures for all the scenarios
listed.
Review final report/invoice.
Final Financial
Report/Invoice
2/18/2013
Check that F&A is
in line, Submit
Financial Report/
Invoice, PAYROLL
COSTS.
Page 5 of 6
Departure of a Principal Investigator
Components /

Resources
Conditional Next
Steps B
PI
Review relinquishing
statement/amount.
Relinquishing
statement/amount
Department
Coordinate the relinquishing statement
amount with SFR and submit to SPA.
Please Note: NIH relinquishing, this is an
estimate but it should be as close to
correct as possible. For NSF, the amount to
transfer is the final
amount, little chance of revision once it is
submitted to agency.
Ensure all Program Income has been
deposited and reported.
Other
Considerations
SPA
Confirm amount
with SFR and
submit
relinquishing
statement to
Sponsor.
Program Income
Other
Considerations
Review cost share/match
obligations.
Ensure all cost share/match obligations
have been met and funded. End cost share
of Co-PIs if applicable.
Notify academic staff, Grant
Administrator or Grant Accountant
as soon as any issues arise.
Notify PI, Grant Administrator or Grant
Accountant as soon as any issues arise.
Cost Share/Match
Other
Considerations
Disputes
2/18/2013
Serve as liaison
between sponsor
and department
to ensure
expectations are
met.
SFR
SFR reviews and
signs off on
relinquishing
statement.
Ensure all
Program Income
has been
distributed and
reported.
Report cost
share/match
obligations and
inform
department of
any situations of
under cost share.
Confirm cost
share/match has
been funded.
Work with PI,
Academic Unit
and Sponsor to
resolve issues
related to
reports, invoices
or un-paid
invoices.
Page 6 of 6