Principal Investigator (PI) Transfer Checklist
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Area |
Checklist |
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Responsibility |
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Assigned -Staff -Students -Property/ Equipment |
Work with Department Head/Director (DH) to develop a proposed transition plan for assigned staff, students and |
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PI & DH DH
PI/DH and
Human Resources
Property Management (PM)
OSP
DH |
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Department Head agrees with or modifies plan |
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Plan should address the following: |
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-transfer of staff/students to another Investigator at MSU, or |
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-follow procedures to discontinue employment of staff and student employees |
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-Disposition or transfer of property/equipment (see below) |
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- Determine how sponsored program projects will be handled, e.g. terminated, transferred, etc. (see below) |
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-Turn-in/transfer lab keys; computers; office equipment, etc. |
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Human Subjects |
Arrange for transfer of active protocols to another investigator at MSU, or |
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PI and Office of Research Compliance (ORC) |
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Close the protocol, or |
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Arrange for review/approval of the protocol at new institution |
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Animal Subjects |
1. Disposition of Protocol |
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PI and ORC and PM, if any one animal costs over $5,000 |
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-Arrange for transfer of active animal protocols to another investigator at MSU, or |
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-Close the protocol, or |
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-Arrange for review/approval of the protocol at new institution |
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2. Disposition of Animals |
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-Arrange for the transfer of animals to another MSU PI/protocol, or |
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-Arrange for the transfer of animals to another Institution |
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| Disposition of Equipment | Contact Property Management office for list of assigned equipment and determine appropriate disposition instructions. | PM | |
| Determine title to equipment before any disposition or transfer of equipment. Any disposition must be approved using Property Transfer Request Form. | PM | ||
| If new institution is willing to purchase and MSu is willing to sell, a fair market value must be determined. | PM | ||
| If transfer of equipment to a new institution is approved by MSU, shipping should be arranged and paid by new institution. | PI/PM | ||
| If equipment is staying on campus, arrange for internal transfer (other PI) or other disposition of equipment and associated maintenance records (if applicable). | PI/DH/PM | ||
| Check with Office of Research Compliance (ORC) and Hazardous waste office regarding equipment used to store chemicals, biological agents, or radioactive materials. | Pi/ORC/Hazardous Waste | ||
| Intellectual Property, Material Transfer Agreements & Data Management | Ensure all IP matters covered by a patent application or issued patent are resolved. | PI/Technology Transfer Office | |
| Submit IP Disclosure Form for any previously undisclosed intellectual property. | |||
| Ensure any co-inventions with other institutions are appropriately managed. | |||
| Terminate or transfer MTA responsibilities to new institution (if materials can be transferred). | ORC | ||
| Export Controls | Ensure all restricted material currently under a technology control plan is transferred to a new responsible individual or disposed of properly. Notify and/or work with Office of Research Compliance. | PI/ORC | |
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Proposal and Award Management
Transfer
Terminate
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Notify Fiscal Manager in OSP that a PI is departing MSU as soon as possible and no later than 30 days in advance of departure. | PI | |
| Determine the disposition of any pending proposals (for example, withdrawing the MSU proposal, and resubmitting the proposal and budget through the new institution) | PI/OSP | ||
| If MSU agrees to award transfer to new institution, contact Sponsor and coordinate request and timing of award transfer. | PI/OSP | ||
| If award will remain at MSU until end date, arrange for a change in PI at MSU and initiate request for change to Sponsor; or initiate award termination. | DH/OSP | ||
| Determine what actions will be taken regarding Sponsor requirements for award transfer. | OSP | ||
| Ensure salary certification requirements have been met prior to faculty departure from MSU. | DH | ||
| Coordinate with OSP to ensure propoer and accurate reconciliation of accoutns, completion of financial reports, and close-out of awards. | PI/DH/OSP | ||
| Coordinate with PM to update custody and/or location of equipment in fixed asset records system. | OSP/PM | ||
| Return unexpended start-up, retention, or other funds to funding source. | DH | ||
| Ensure technical and patent reports are complete and have been submitted prior to faculty departure from MSU. | |||
| Other Contractual Commitments | Terminate or transfer responsibilities for other contractual arrangements (e.g., no cost collaborations, equipment loan agreements, data use agreements, non-disclosure agreements) to the move to new institution; inform sponsor of the change and inform OSP of agreed upon plans for the disposition.) | PI/DH/OSP | |
| Coordinate with other party to amend or terminate agreements as necessary. | |||
| Transportation of Materials | Upon approval, ensure proper transportation of reserach materials to new institution. | PI/ORC/Hazardous Waste Management | |
| When vacating lab space, all remaining chemicals, radioactive materials, biological materials, human pathogens, controlled substances must be properly transferred or disposed of. | |||
| HR Actions/Checklists | Complete action items on Separation/Termination (insert link) | PI | |
| Data Retention and Management | Ensures that the PI has developed an inventory of research data and other materials developed while at MSU and that MSU retains copies of research data developed by the PI and hi/her lab while at MSU. | PI/DH | |
| Informs PI of the MSU's data management policy and requirement to provide sponsors with copies of data as needed. MSU's policy is based on the NIH definition of "data", which is defined as recorded information, regardless of the form or media on which it may be recorded, and includes writings, films, sound recordings, pictorial reproductions, drawings, designs, or other graphic representations, procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data files, data processing or computer programs (software), statistcal records, and other research data. | DH | ||
| Record Retention | Ensure appropriate/required records are retained by MSU. | PI/DH |
