Prior approval must be sought from the Agency for Healthcare Research and Quality (AHRQ) before a change of grantee institution occurs. A transfer application should be submitted at least two to three months prior to the PI's actual move to the new institution to ensure that the transaction, if approved, can be completed by the date of transfer. Transfers that are not requested in a timely manner may jeopardize funding of the project.

Note that the original grantee is not required to relinquish the grant simply because the PI changes institutions. The grantee may, instead, seek AHRQ's prior approval for a change of PI.

If the original grantee decides to relinquish the grant and allow it to transfer, information is needed from both the original grantee and the "new" grantee, as follows:

From the Original Grantee Institution:

• Completed Form Public Health Service (PHS) 3734 "Official Statement Relinquishing Interests and Rights in PHS Research Project" (Go to: http://grants1.nih.gov/grants/phs3734.pdf; PDF Help).
  
  The form must be signed by an authorized institutional official. The original grantee is also required to submit the final Financial Status Report and the Final Inventions Statement, but these are not due until 90 days after the end of the final budget period. Only the Form PHS 3734 is required prior to transfer.

From the New Grantee Institution:

• A complete PHS 398 or Standard Form (SF) 424 R&R application.
  Please type "CHANGE OF GRANTEE INSTITUTION" across the top of the face page. The application needs to contain all of the information requested in the standard (i.e., not modular) PHS 398 or SF 424 R&R instructions. Photocopies of the original application may be substituted for those sections of the application that will not change as a result of the transfer (e.g., often, large portions of the Research Plan are unchanged and can be photocopied from the original. Any sections that change, however, such as the "Resources and Environment" and human subjects sections, need to be changed in the new application. If there will be a change in scope to the project due to the move, peer review of the application may be required). Send the original and 2 copies.
• A detailed budget for the initial (transfer) budget period and, when future commitments exist, detailed budgets for those periods. Each budget should be based upon the previously recommended direct cost level(s). In the event of a mid-budget period (or "partial year") transfer, the initial direct costs budget should be based upon the direct costs being relinquished by the original institution as reflected on Form PHS 3734.
• Special justification when requesting the transfer of a budget period with less than 6 months remaining
• If the grant currently includes salary support for the PI or any other transferring member of the project and continued salary support is not required at the new institution, a statement regarding the proposed rebudgeting of these funds is required.
• A description of the facilities at the new institution and a brief description of the probable effect of the move on the project.
• A list (under Resources and Environment) of all equipment to be transferred from the original grantee institution which was purchased in whole or in part with grant funds. Such a listing in the application represents the new institution's acceptance of title to the transferred equipment.
• A comprehensive progress report which will serve in lieu of a final progress report from the original institution, in addition to the overall research plan of the project as detailed in the PHS 398 or SF 424 R&R instructions.
• A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.
• Biographical sketches of all new key personnel to be associated with the project.
• Up-to-date other support for all key personnel.
• Institutional Review Board (IRB) approval if human subjects are involved. Generally, the grant will not be transferred until this is in place.
• For K awards--A statement from a qualified sponsor at the new institution in accordance with instructions in the grant application.

The above information is to be sent to the AHRQ grants management specialist listed on the Notice of Award.

The application will receive administrative review to determine if the transfer is appropriate and to determine the level of AHRQ funding. The decision to authorize transfer of the grant will be based upon the following criteria: (1) the project 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 and level of expenditures from those described in the previously approved project. If the proposed change of institution does not meet these criteria, competitive review will be required.

The project may be supported at the new (or 'gaining') institution in an amount not to exceed that previously approved for DIRECT COSTS for the remaining project period Applicable F&A, based on the gaining institution's negotiated facilities and administrative (F&A) rate agreement, will be awarded provided funds are available and that any total cost cap imposed by the Funding Opportunity Announcement under which the award was originally issued is not exceeded.

Note: When a transfer involves a partial year, the total amount awarded for direct costs at both institutions may not exceed the total direct cost funding level for that single budget period. For example, if the awarded direct costs for the budget period issued in FY2010 amount to $100,000 and the losing institution indicates in its Relinquishment Statement that it has $40,000 of direct costs available for transfer, then the gaining institution's direct cost budget cannot exceed $40,000. The award of F&A to the gaining institution will be based on the gaining institution's negotiated federal F&A rate agreement and the availability of funds. If the gaining institution is not entitled to all of the F&A costs relinquished by the losing institution, then those funds will revert to the Federal government.

Unless the transfer grant (or a subsequent non-competing continuation award resultant of the transfer) involves current fiscal year funds, a Notice of Award to transfer a grant will generally not be issued during the month of September; transfer applications received after July 15 will be reviewed and action taken after October 1.