To be completed by a Principal Investigator on a grant or contract prior to departure.
KUSM-W Office of Research: (316) 293-2617/ / √ / N/A
Alert your Department Chair and the Research Institute of your intent to transfer a grant or contract to another institution.
Complete and submit any final invention statements to sponsors as required.
Prepare and submit all required progress reports and final reports.
Request that your department or school prepare a relinquishing statement or similar sponsor document.
Confirm and document ownership of all identified equipment being claimed.
Prepare request to sponsor for transfer of any equipment if required.
Confirm and document ownership of all samples being claimed.
Prepare request to sponsor for transfer of any samples if required.
Provide original documents to the appropriate department administrator and ensure copies have been made of documents that will be leaving the University.
Ensure the University has up-to-date copies of all needed proposals and reports.
Notify collaborating institutions in writing, on any awards with subcontracts that the award will be transferring.
Financial Responsibilities:
- Prepare a budget for remaining months at the University to ensure that correct amounts of funds are left at the University to cover any outstanding balances.
- Review and certify any final expenditures made to the grant or contract.
- Resolve any outstanding commitments and budget deficits.
Material Transfer Agreements (MTA):
- Ensure proper closeout of existing material transfer agreements and confidential disclosure agreements.
- Review terms of MTA and ensure materials are handled accordingly.
- Materials to be transferred to another institution will likely require a new MTA to be processed between the providing entity and the receiving entity.
- Obtain permission from the provider before materials are transferred.
Confidentiality Agreements:
- Ensure proper closeout of existing confidential disclosure agreements.
- Review terms of confidentiality agreements to ensure that any information provided is handled accordingly.
- Information to be transferred to another institution will likely require a new MTA to be processed between the providing entity and the receiving entity.
- Obtain permission from the provider before transferring information covered by the agreement.
Research Contracts: Coordinate with sponsored program contracting staff to ensure proper closeout of contracts.
Appendix B: HUMAN SUBJECT RESEARCH
To be completed by a Faculty Investigator working on a human subject research protocol.
Institutional Review Board - Human Subjects Research Program
(316) 293-2610/ / √ / N/A
Assess transferability of research to new institution.
Submit application through the new institution’s IRB.
Submit a management plan for any currently enrolled research subjects (e.g. withdrawing subjects from research who do not wish to be transferred to the new institution) to IRB with closure form.
Consult with IRB if any specimens or health information from subjects will be transferred. If applicable, obtain a HIPAA authorization from the current subjects to transfer data.
Notify FDA or NIH as needed regarding the transfer of an IND or the Certificate of Confidentiality.
For any de-identified research data approved for transfer, ensure all personal identifiers are removed and deleted or destroyed prior to transfer.
Research Projects Being Retained:
- If remaining on the project, apply for voluntary or adjunct faculty appointment
- If a new PI will be appointed, work with department to identify new PI and getting sponsor approval for change in PI.
- Submit IRB personnel change request
- Modify protocol and obtain signatures of new PI.
- Modify consent form so that subjects have new PI contact information.
Research Projects Being Terminated:
- Submit closure form to IRB.
- Implement plan for archiving/retaining data.
- Notify participants as appropriate.
Appendix C: TRANSFER OF EQUIPMENT, DATA, RECORDS, ETC.
To be completed by a Faculty member intending to transfer materials to another institution.
KUSM-W Office of Research: (316) 293-2617/
KUMC Privacy Official: (913) 588-0940/
KUMC Property Accounting: (913) 588-5271/ / √ / N/A
Provide notice to the Department Chair and research sponsor, if necessary, of intent to transfer materials.
Review inventory and confirm ownership of materials seeking to transfer.
- Identify the source of funding used to the purchase the items. Equipment purchased on a grant that is still active is likely the property of the funding agency.
- If equipment was purchased on startup or bridging funds, grants that have expired or other KUMC resources, it is the property of KUMC. Contact KUMC Property Accounting in Institutional Finance the new institution desires to purchase it.
If approved to transfer de-identified data, ensure all personal identifiers are removed and deleted or destroyed prior to transfer.
Material Transfer Agreements (MTA):
- Ensure proper closeout of existing material transfer agreements and confidential disclosure agreements.
- Review terms of MTA and ensure materials are handled accordingly.
- Materials to be transferred to another institution will likely require a new MTA to be processed between the providing entity and the receiving entity.
- Obtain permission from the provider before materials are transferred.
Appendix D: PATENTS/INVENTIONS
To be completed by a Faculty member with an interest in patents or inventions.
KU Innovation and Collaboration: (913) 588-5711
Conflict of Interest: (316) 293-2610 / √ / N/A
Notify your Department Chair and the Vice Chancellor for Research of your intent to transfer any patents or inventions.
Review the Technology Transfer Revenue Distribution Policy.
Review the Management of Inventor Conflict of Interest Policy.
1(Rev. 3/13/2017)