OCG-206 PI Transfer Checklist
02/19
STEP-BY-STEP CHECKLIST
PI Transferring out of CU Boulder
This step-by-step checklist covers a full range of considerations when a CU Boulder Principal Investigator (PI) decides to dissolve or
temporarily change their affiliation with CU Boulder. Not all areas will be applicable to every situation. Reference the full PI Departure
from CU Procedural Statement for more details.
The diagram below provides a broad overview of PI transfer considerations. You will find detailed items in the checklist that correspond
to the Sponsored Projects, Property and Compliance sections below.
ROLES & RESPONSIBILITIES
Various offices, units, and individuals contribute to the transfer
process depending on their role, the Institution’s policies and
decisions made regarding Sponsored projects and lab facilities.
• Departing PI
• Department Unit (Administrators, Dean and/or Chair)
• Central Administration (OCG & Campus Controller's
Office)
• Compliance Units (EH&S, IACUC, OAR, IRB, Export
Controls, etc.)
• Other Units (Property, Venture Partners at
CU Boulder, Human Resources, etc.)
• Sponsor
• New Institution
SPONSORED PROJECTS
Grants and contracts are awarded to the Institution, not to
individual Principal Investigators (PIs). When a PI’s affiliation with
the Institution dissolves, the Institution has the option to retain,
relinquish or terminate the award with the Sponsor.
Retain Award
• Courtesy Appointment
• New PI Assignment
• New Subaward
Relinquish & Transfer Award
• Determine Procedures
• Determine Final Balance
• Relinquishment
• New Institution Proposal
Terminate Award
• Determine Final Balance
• Relinquishment
COMPLIANCE
PROPERTY
The Institution, not the PI, is the
custodian of all property and has the
option to retain, relinquish or dispose of
property. Consideration of title to property
may vary depending on acquisition.
Property includes:
• Capital equipment
• Non-capital property
• Supplies
Considerations:
• Titled
• Value
• Transfer Agreement
• Surplus
• Dispose
Several considerations must be made
regarding the Departing PI's affiliation with the
Institution. Usually this is in respect to the
Institution's compliance policies and
procedures, as well as federal regulations.
Considerations include:
• Animal and/or Human Research
• Environmental Health & Safety
• Export Controls
• Intellectual Property
• Personnel Actions
• Other Contractual Obligations
OCG-206 PI Transfer Checklist
02/19
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Checklist Item Responsibility Point(s) of Contact
Start Here: These items apply to all Departing PIs with Sponsored project awards and/or proposals
Complete Web Submission Form.
Notifies applicable Research Administration Offices that
Researcher is departing CU.
Departing PI or
designated DRA
Office of Contracts & Grants
Complete List of Active Awards/Proposals Form which:
• Documents all active awards/proposals
• Contains Department Chair or Dean signature
Submit form to OCG and Campus Controller's Office.
Departing PI or
designated DRA
Office of Contracts & Grants
Routed to assigned Contract
Officer, Grant Officer and
Proposal Analyst
Campus Controller’s Office
accounting@Colorado.EDU
Routed to assigned Area
Accountant
Determine if proposals currently under consideration by a Sponsor
need to be transferred to New Institution.
Departing PI or
designated DRA
Office of Contracts & Grants
Proposal Analyst assigned to
department can assist with
determinations, as needed
Complete and submit all reports up to the date of transfer. Departing PI or
designated DRA
Office of Contracts & Grants
Compliance Team
ocgcomplianc[email protected]u
Complete Effort Certification and certification for all direct reports,
for all reporting periods required, prior to Departure Date.
This may be ongoing for all projects where Departing PI has a
Courtesy Appointment.
Departing PI or
designated DRA
Campus Controller's Office
epers@colorado.edu
Coordinate with Area Accounting to ensure proper and accurate:
• Reconciliation of accounts and expenditures (including
subs)
• Completion of financial reports
• Closeout of awards
Departing PI or
designated DRA
Campus Controller’s Office
accounting@Colorado.EDU
Routed to assigned Area
Accountant
Office of Contracts & Grants
Compliance Team
ocgcomplianc[email protected]u
Office of Contracts & Grants
Contract, Grant and/or
Subcontract Officers as needed
Work with Subcontract Officer for awards that contain subs to
ensure proper de-obligations and closeouts are complete.
Departing PI or
designated DRA
Office of Contracts & Grants
Subcontract Officer assigned to
department
Work with Campus Controller's Office Cost Share Accountant
to reconcile account, cost share obligations and certify to Sponsor.
Departing PI or
designated DRA
Campus Controller’s Office
Cost Share Accountant
accounting@colorado.edu
Reconcile infoED record
OCG Office of Contracts & Grants
Contract, Grant and/or
Subcontract Officers
OCG-206 PI Transfer Checklist
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Checklist Item Responsibility Point(s) of Contact
RETENTION OF AWARD (These items apply when the award stays at CU Boulder)
Subject to Department Chair/Dean’s approval, obtain Courtesy
Appointment if Departing PI is to remain on award as CU’s PI.
Departing PI or
designated DRA
Office of Contracts & Grants
Assigned Proposal Analyst,
Contract Officer, Grant Officer
and Subcontract Officer for
department
Campus Controller’s Office
accounting@colorado.edu
Departing PI’s New Institution
As applicable, Department Chair needs to name a replacement
CU PI if the award is remaining at CU and the Departing PI will not
remain as CU PI (may be subject to Sponsor approval).
Department Chair
/ Dean
If Departing PI will continue work as Sub-award Co-PI:
• Gain Sponsor approval and submit the request for an
outgoing sub-award.
NOTICE: Departing PI cannot be the PI on the CU Award and PI on sub-
award to the New Institution.
OCG Proposal
Analyst, Grant,
Contract &
Subcontract
Officers
Obtain the necessary subcontract/transfer documentation.
• Forward to OCG for review and submission to the Sponsor.
Departing PI or
designated DRA
Newly assigned CU Boulder PI and DRA will need to coordinate
with OCG Proposal Analyst and Grant/Contract Officer to initiate
the subcontract process, including revision to the prime budget.
Departing PI or
designated DRA
Departing PI should coordinate with New Institution to create
required subcontract proposal documents.
Departing PI or
designated DRA
RELINQUISHMENT OF AWARD (These items apply when the award transfers to the New Institution)
Determine if award is eligible for transfer to another institution
per the Sponsor's policies and/or terms and conditions.
OCG Grant /
Contract Officers
Office of Contracts & Grants
Assigned Contract Officer or
Grant Officer for department
Campus Controller’s Office
accounting@colorado.edu
Departing PI’s New Institution
Gain all approvals from both institutions, as applicable, including
Department Chair/Dean, Institute/Center Directors, and OCG.
Departing PI or
designated DRA
Prepare the necessary transfer documentation.
• Forward to OCG for review and submission to the Sponsor.
NOTICE: Once the award has been terminated, standard closeout
procedures will be initiated (including signed relinquishment letter from
Department Chair/Dean once final balance is determined).
Departing PI or
designated DRA
Departing PI must coordinate with their New Institution to prepare
and submit any required proposal documents associated with
the award that the New Institution will be receiving.
Departing PI or
designated DRA
TERMINATION OF AWARD (These items apply when no transfer is applicable)
Determine the final balance of the award with Area Accounting
NOTICE: The same cost categories as detailed in the Relinquishment of
Award should be considered.
Departing PI or
designated DRA
Campus Controller’s Office
accounting@colorado.edu
Once final balance has been determined, work with OCG Grant or
Contract Officer assigned to the Department to
complete internal
relinquishment letter with Departing PI and Department
Chair/Director signature.
Departing PI or
designated DRA
Office of Contracts & Grants
Assigned Contract Officer or
Grant Officer for department
OCG Grant/Contract Officer will work with Sponsor to obtain formal
relinquishment of the award.
OCG Grant /
Contract Officers
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Checklist Item Responsibility Point(s) of Contact
OCG-206 PI Transfer Checklist
02/19
TERMINATION OF AWARD - CONTINUED
Once the Award has been terminated, standard closeout
procedures will be initiated.
Departing PI is responsible for all deliverables required up to the
date of award termination.
Departing PI or
designated DRA
OCG Grant /
Contract Officers
CONSIDERATIONS FOR LABS/FACILITIES (CU Boulder Property, Equipment & Supplies)
Complete the forms and actions identified in this section if Departing PI is responsible for a lab/facility or would like to transfer
any CU Boulder property, other equipment or supplies.
Complete List of Tagged Fixed Assets and/or Untagged Non-
Consumable Property Form for tagged equipment and/or
untagged non-consumable property.
Complete List of Untagged Consumable Material and/or
Supplies Form for all other items in the lab.
• Have Department Chair or Institute Director sign the forms.
• Submit to OCG Property and EH&S.
Departing PI or
designated DRA
Office of Contracts & Grants
Property Compliance Officer
ocgproperty@colorado.edu
Environmental Health & Safety
EHSbio@colorado.edu
EHS@colorado.edu
Work with OCG Property Officer to determine if equipment is
eligible for disposal or for transfer internally or externally.
NOTICE: Approval from Sponsor may be needed prior to disposal or
transfer of items.
Department Chair
OCG Property
Officer
Office of Contracts & Grants
Property Compliance Officer
ocgproperty@colorado.edu
Complete the forms and actions identified in this section if Departing PI has any CU Discoveries or would like to transfer
Tangible Research Materials to New Institution.
Complete an inventory of all Tangible Research Materials and
CU Discoveries using the
Tangible Research Materials and CU
Discoveries Form.
Submit a copy to OCG Contract Administrator and Environmental
Health & Safety.
Departing PI or
designated DRA
Office of Contracts & Grants
Assigned Contract Administrator
for department
ocgcontracts@colorado.edu
Environmental Health & Safety
EHSbio@colorado.edu
EHS@colorado.edu
Items obtained elsewhere: CU may need to terminate or transfer
contractual responsibilities to New Institution.
Items developed solely at CU: Work with OCG Contract
Administrator to execute MTA between CU and New Institution.
Departing PI or
designated DRA
OCG Contract
Administrator
ENVIRONMENTAL HEALTH & SAFETY/BIOSAFETY (Laboratory Closeout)
Work with EH&S to begin the
Laboratory Closeout Process.
Departing PI or
designated DRA
Environmental Health & Safety
EHSbio@colorado.edu
EHS@colorado.edu
Office of Contracts & Grants
Assigned Contract Administrator
for department
ocgcontracts@colorado.edu
Close out any active IBC, RAD protocols or applications
As needed, work with Biosafety Officer to ensure proper transfer
or destruction of material(s).
NOTICE: May require an MTA – see Tangible Research Materials transfer
steps in the previous section.
Complete EH&S Clearance Checklist for Lab Closure
OCG-206 PI Transfer Checklist
02/19
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Checklist Item Responsibility Point(s) of Contact
EXPORT CONTROL
Departing PI must sign Export Control Exit Certification stating
they will not distribute controlled devices, software, and/or
information.
Any electronic devices need to be wiped/cleared.
Department Chair Export Controls Office
OEC-[email protected]du
Departing PIs with Active Licenses
Work with Export Control Office to arrange for transfer of active
protocols to another investigator at CU Boulder, or
Departing PI or
designated DRA
Close the protocol, or
Arrange for resubmittal of license application under New Institution
registration.
Departing PIs with Technology Control Plans
Arrange for transfer of active protocols to another investigator at
CU, or
Departing PI or
designated DRA
Close the protocol
ANIMAL SUBJECTS
Disposition of Protocol
Arrange for transfer of active protocols to another investigator at
CU, or
Departing PI or
designated DRA
IACUC
iacucoffice@colorado.edu
Close the protocol, or
Arrange for review/approval of the protocol at New Institution
Disposition of Animals
Arrange for transfer of animals to another CU PI / protocol, or Departing PI or
designated DRA
Office of Animal Resources
oaroffice@colorado.edu
Arrange for transfer of animals to another institution.
NOTICE: May require an MTA – see Tangible Research Materials transfer
steps in the previous section.
Departing PI or
designated DRA
Office of Contracts & Grants
Assigned Contract Administrator
for department
ocgcontracts@colorado.edu
HUMAN SUBJECTS
Work with CU Boulder’s IRB to discuss transition plan with
regard to management of human research projects.
Departing PI or
designated DRA
CU Boulder Institutional Review
Board (IRB)
irbadmin@colorado.edu
Office of Contracts & Grants
Assigned Grant Officer,
Contract Officer or Contract
Administrator for department
Office of Contracts & Grants
Compliance Team
ocgcomplianc[email protected]u
Termination of the Project
Departing PI may choose to terminate the protocol if work on the
project is completed or the research project is not to be continued.
Departing PI or
designated DRA
Transition of Project to New CU Boulder Researcher
If research (enrollment, follow-up, or analysis) is ongoing at CU
Boulder, Departing PI or Department Chair/Dean will need to
assign new CU Researcher.
Departing PI or
designated DRA
OCG-206 PI Transfer Checklist
02/19
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Checklist Item Responsibility Point(s) of Contact
Transition of Project to New CU Boulder Researcher - Continued
If Departing PI plans to stay on as a collaborator:
• Secure new human subject research approval at New
Institution or obtain additional consent of the subject,
dependent on scope of work.
• Work with CU IRB and OCG to determine if additional
agreements (such as data use agreements, tissue transfer
agreements, etc.) are needed between CU Boulder and the
New Institution.
NOTICE: Any data or human tissue samples that Departing PI plans to
transfer must be listed on the Tangible Research Materials and CU
Discoveries List.
Departing PI or
designated DRA
CU Boulder Institutional Review
Board (IRB)
irbadmin@colorado.edu
Office of Contracts & Grants
Assigned Grant Officer,
Contract Officer or Contract
Administrator for department
PERSONNEL ACTIONS
Complete Human Resource Exit Checklist
If applicable, set up temporary 0% appointment.
Departing PI or
designated DRA
INTELLECTUAL PROPERTY
Ensure all CU discoveries and IP matters covered by a patent
application or issued patent are resolved, including licensed
technology.
Departing PI or
designated DRA
Venture Partners at CU Boulder
vpcontact@colorado.edu
Office of Contracts and Grants
IP Legal Counsel
Office of Contracts & Grants
Compliance Team
ocgcomplianc[email protected]u
Ensure any co-inventions with other institutions are appropriately
managed.
Sign acknowledgement statement that Departing PI has disclosed
to Venture Partners at CU Boulder
all Discoveries, including all
inventions and software programs, required under CU IP policy
through their end-date.
Provide copy to OCG Compliance.
OTHER CONTRACTUAL OBLIGATIONS
Terminate or transfer responsibilities for other contractual
obligations to the New Institution. (e.g. no cost collaborations,
bailment agreements, data use agreements, non-disclosure
agreements)
Inform Sponsor of the change and inform OCG of agreed upon
plans.
Departing PI or
designated DRA
Office of Contracts & Grants
Assigned Contract Officer for
department
Notify Facility Security Officer (FSO) in OCG if CU holds an active
security clearance for Departing PI.
Departing PI or
designated DRA
Office of Contracts & Grants FSO
or Assistant FSO
OCG-206 PI Transfer Checklist
02/19
Glossary of Terms
Departing PI referenced in this document includes any faculty or staff engaging in sponsored projects in a Key Personnel role that
plans to dissolve their affiliation with CU Boulder. This term is not limited to just the named Principal Investigators on a sponsored
project.
Courtesy Appointment is an appointment for a PI who has awards staying at CU Boulder to support students, Research Associates or
Professional Research Assistants. Typically a 0% appointment receiving no salary.
Property includes all items acquired under a Sponsored project, such as: supplies, materials, capital and non-capital equipment,
computers, and electronic devices.
CU Discoveries means any inventive idea and/or its reduction to practice which relates to, but is not limited to: new processes or
methods of producing a new and useful industrial result; any composition of matter, including chemical and biological compounds; any
new devices; any new plant; any new design in connection with the production or manufacture of an article; any new computer
hardware and/or software programs; any know-how supporting these inventive ideas, systems, devices, compositions, programs or
processes; and any new use or improvement of existing systems, devices, compositions, programs, or processes.
Tangible Research Property means a tangible physical or biological entity that is, or may be, useful in research. Examples include
models, devices, designs, avatars, computer software, storage media containing machine instructions, text, tissues, serum, fluids,
organs, cell lines, antibodies, recombinant materials, chemical compounds and compositions, formulations, plant varieties, laboratory
notebooks, clinical information, records, and data related to discoveries. Tangible Research Property does not include Intellectual
Property that is considered Educational Material (Regent Policy 5k).
