Award Transfers

Early Termination or Relinquish Award

All sponsored grants and contracts are awarded to the Board of Trustees of Northern Illinois University, not directly to Principal Investigators.

If a PI leaves NIU, the university will determine on a case-by-case basis whether it will retain, transfer, or terminate the award. As the grantee institution, NIU must approve the relinquishment of an award to formally transfer it to the PIs new institution. The awarding agency must also approve all transfers.

Award transfers can be a complex and time-intensive process, requiring close coordination between SPA, the PI, their department, and potentially, other campus units. An award transfer is not simply a name change on the award documents.

There are many factors to consider when a PI with an award leaves NIU, including:

• Will the grant be transferred, or will a new PI be named at NIU?
• If the award will stay at NIU, will there be a subaward issued to the PI's new institution?
• If the award is transferred and there are project staff members or students remaining at NIU, will there be a new subaward issued back to NIU from the PI's new institution?
• Are there subawards on the current award? All active subawards will need to be closed out prior to the transfer.
• What will be the relinquishment date (generally, the last day at NIU)?
• What is the unobligated balance to be transferred to the new institution? This is the amount unspent/unencumbered at the relinquishment date and may involve some estimates by the PI working closely with the department and their SPA Grants and Contracts Associate.
• Are there any cost-share obligations under the award? Will the new institution agree to take these on?
• Has there been any intellectual property developed?
• Is there any equipment associated with this award that is to be transferred to the new institution?
• Are there any compliance protocols (IRB, IACUC, etc.) to close out?
• Is there a lab to be closed?  
• Will any related project staff members, such as graduate students, transfer to the new institution with the PI?

General Process

Stop all spending on the award as soon as is practical. NIU cannot relinquish an award until all expenditures made at the university have been paid and posted to the PeopleSoft grant account. This can take some time and is why planning with the Grants and Contracts Associate is critical.

Submit the  SPA Award Transfer form (PDF) to SPA at asosp@niu.edu at least 60 days prior to departure. The transferring PI should meet with their department chair and college to develop a transition plan using the form and factors listed on this page in mind.

Upon receiving the form, the SPA Award Acceptance and Award Management teams will work closely with the PI to develop the necessary documentation for each award depending on the transition plan.

Steps for Awards Staying at NIU

If the award will stay at NIU:

• Prepare a change of PI request for submission to the agency.
• Prepare outgoing subaward documentation, if applicable, to the PIs new institution.

Steps for Awards Leaving NIU

If the award will be leaving NIU, prepare the transfer/relinquishment materials as specified by the sponsor. The SPA Award Acceptance team will work with the Grants and Contracts Associate to address agency requirements and submit all necessary documentation.

For sponsors that require a letter of request, prepare, on departmental letterhead and signed by the PI, a letter addressed to the sponsor’s grants specialist or contracting officer and program manager. Remember that the award belongs to NIU, so there must be a signature block for the Authorized Organizational Representative (AOR).

This relinquishment letter should contain the following:

• The sponsor's award number
• The effective date of relinquishment
• The relinquished amount as of the date of transfer
• Justification for the need to transfer the award

For sponsors that require submission of the request through an electronic portal, the Award Acceptance team will submit the request as the AOR.