Frequently Asked Questions

When a Principal Investigator (PI) changes institutions, any grant on which they are a named PI does NOT automatically change institutions with them.

AHRQ prior approval is required for the transfer of the legal and administrative responsibility for a grant-supported project from one legal entity to another, before expiration of the approved project period. Approval is not automatic.

For transfers prior to award, the original applicant must submit an official letter relinquishing all rights to the application to AHRQ.

A transfer application should be submitted to AHRQ at least 2 to 3 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 in that they may result in disapproval of the request, significant delays in processing, or loss of funding.

Note that the original recipient institution is not required to relinquish the grant simply because the PI changes institutions. With the exception of Career Development Awards or individual Fellowship awards, the original recipient may, instead, seek AHRQ's prior approval for a change of PI. The recipient organization determines whether it wishes to propose retention of the project under a different PI or relinquishes the project for possible award to another eligible legal entity.

AHRQ’s decision to authorize transfer of a 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.

If the original recipient institution decides to relinquish the grant and allow it to be considered for transfer to another eligible organization, information is needed from both the original recipient and the proposed "new" recipient, as follows:

From the Original Recipient Institution:

• Completed Form Public Health Service (PHS) 3734 "Official Statement Relinquishing Interests and Rights in PHS Research Project" (PDF).
  Note that the estimated unexpended balance to be reported on the relinquishing statement is to include only funds from the budget period being relinquished, it is not to include the total balance from all grant years (e.g., prior year unobligated funds). The form must be signed by an authorized institutional official. The form should be submitted electronically through the eRA Commons by a signing official. Acceptance of a relinquishing statement by AHRQ does not guarantee approval of a transfer application.
• Note that the original grantee institution is also required to submit a final Federal Financial Report and Final Inventions Statement, but these are not due until 90 days after the end date of the final budget period. Only the Form PHS 3734 is required prior to transfer.

From the Proposed "New" Recipient Institution:

A complete Standard Form (SF) 424 R&R application, in PDF format.

Please indicate "CHANGE OF GRANTEE INSTITUTION" in capital letters across the top of the face page. The application needs to contain all of the information requested in the standard (i.e., not modular) SF 424 R&R instructions. Portions of the original application may be inserted 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 copied from the original application. Any sections that change, however, such as the "Resources and Environment" and human subjects sections, need to be changed in the transfer application. If there will be a change in scope to the project due to the move, peer review of the application may be required). The application is to include:

• A detailed budget for the initial (transfer) budget period and, when future year commitments exist, detailed budgets for future budget periods. Each budget period request is to be based upon the originally committed DIRECT cost funding level(s). In the event of a mid-budget period (or "partial year") transfer, the initial budget is to be based upon the DIRECT costs being relinquished by the original institution as reflected on Form PHS 3734.
• Note that HHS grants policy requires that the grant recipient perform a substantive role in the conduct of the planned project or program activity and not merely serve as a conduit of funds to another party or parties. If consortium/contractual activities represent a significant portion of the overall project, the proposed “new” grant recipient must justify why it, rather than the party(s) performing this portion of the overall project, should be the recipient and what substantive role it will play. Justification can be provided in the Specific Aims or Research Strategy section of the PHS398 Research Plan Component sections of the SF424 (R&R) application. There is no budget allocation guideline for determining substantial involvement; determination of substantial involvement is based on a review of the primary project activities for which grant support is provided and the organization(s) that will be performing those activities.
• When requesting the transfer of a budget period with less than 3 months remaining, provide a justification for the request. Note that transfers proposed to occur within 3 months of the end date of the budget period may be negotiated instead to correspond with the anniversary date of the next budget period.
• If the original grant includes salary support or any other budget support that is not required at the new institution, a statement regarding the proposed rebudgeting of these funds is required and will be assessed by AHRQ staff to determine if the funds may be retained.
• 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 statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide details.
• In addition to the overall research plan of the project as detailed in the SF 424 R&R instructions, include a comprehensive progress report describing progress made on the project from the beginning of the project period through the date of the transfer application; this will serve in lieu of a final progress report from the original institution.
• Biographical sketches of all key personnel associated with the project.
• Current 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.
• sIRB plan if appropriate.
• For K awards—A statement from a qualified sponsor at the new institution in accordance with instructions in the grant application.

The above information, in PDF format, is to be emailed to the Awarding Agency Contact listed under item 9 of the Notice of Award. Do not try to submit the information via the eRA Commons, and do not send a courtesy copy to the assigned AHRQ Program Official (PO). The Awarding Agency Contact (aka Grants Management Specialist), upon reviewing the transfer application, obtaining additional information if necessary, and determining that the transfer application is complete, will forward it to the PO for review and recommendation. The application will be reviewed to determine if the transfer is appropriate and to determine the level of AHRQ funding.

The project may be supported at the “new” institution in an amount not to exceed the amount previously approved for DIRECT COSTS for each budget period remaining in the project period. Applicable indirect costs, based on the “new” institution's most recent federally-negotiated facilities and administrative (F&A) cost rate agreement, will be awarded provided funds are available and that any total cost cap imposed by the Notice of Funding Opportunity (NOFO) 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 FY2022 amount to $100,000 and the original institution indicates in its Relinquishment Statement that it has $40,000 of direct costs available for transfer, then the “new” institution's direct cost budget cannot exceed $40,000. The award of indirect costs to the “new” institution will be based on the “new” institution's federally negotiated F&A rate agreement, availability of funds, and with the total cost cap imposed by the NOFO in mind, because the total costs awarded to the “new” institution, combined with the total costs that remain at the original institution, may not exceed any NOFO-imposed total cost cap. If the “new” institution is not entitled to all of the indirect costs relinquished by the original 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 (NOA) to transfer a grant will generally not be issued during the month of September; transfer applications received after July 15 that do not involve current fiscal year funds for the transfer or for the subsequent non-competing continuation award resultant of the transfer will be reviewed and action taken after October 1.

Please contact the Awarding Agency Contact listed under item 9 of the last NOA issued to the original recipient to discuss any issues or concerns prior to submission of the transfer application.

Many organizations throughout the world assess health care technology. The International Network of Agencies for Health Technology Assessment (INAHTA) provides a forum for them to cooperate and share information from different cultures. As of September 2016, there were 52 member agencies in 33 countries, and AHRQ is a member from the United States.

The INAHTA website provides profiles about the background, mission, working methods, dissemination activities, current projects, and future plans of the various organizations. Go to: http://www.inahta.org.

All of these terms refer to arrangements made by the applicant/grantee with parties outside of its own organization.

• A consortium agreement is appropriate when the collaborating party will be performing substantive programmatic work. The investigator at the consortium institution provides scientific input which could affect the direction of the project. Under this arrangement the parent applicant organization must obtain and include in the application separate budgets and budget justifications for each consortium institution involved.
• A contractual arrangement is a process whereby a grantee enters into a written agreement with a third party for the acquisition of property or services or the conduct of prescribed activities or functions under the grant. A contractor does not perform substantive programmatic work. Detailed budget information and justification should be included in the application.
• A consultant is an individual hired to give professional advice or services for a fee. The term "consultant" also includes a firm that provides paid professional advice or services. Generally, the consultant does not carry out programmatic activities. The consultant's role is limited to being advisory and consultative or carrying out a service, such as writing a report, for a fee. Describe the services to be performed by the consultant (s) in the budget justification section of the application. Include the number of days or hours of anticipated consultation, the expected rate of compensation per day or hour, travel, per diem, and other related costs for each consultant. Include a letter from the consultant agreeing to participate in the project, stating services to be provided, and stating the number of days/hours and the consultant's fee per day/hour.

Note that a written agreement between the applicant and the third party should be in place for consortium, contractual or consultant arrangements. Such agreements should protect the interests of all involved parties. Grantees are responsible for the direction of the project and are accountable to the Federal Government for all grant activities, including those of third parties. The Federal Government will not intervene in disputes between grantees and third parties.

If your grant is under expanded authorities, the grantee institution has the authority to automatically carry over non-restricted unobligated funds from one budget period to the next. This carry over must be indicated in the Remarks section of the Federal Financial Report (FFR). If the unobligated balance exceeds 25% of the total costs awarded in the budget period, a written explanation of this large balance and plan for its use in the subsequent budget period must be submitted to the attention of the grants management specialist named on the Notice of Award (N0A) for Agency for Healthcare Research and Quality (AHRQ) review if this information was not already addressed in the appropriate non-competing continuation application. Unexpended restricted funds may not be automatically carried over under expanded authorities.

If your grant is not under expanded authorities, or if your grant is under expanded authorities and has unexpended restricted funds, and you wish to utilize unobligated funds from one budget period during the next budget period you will need to submit a written request, endorsed by an authorized institutional official, to the attention of the grants management specialist named on the NOA. The request needs to include the amount of unexpended funds being requested for carry over (both direct costs and indirect costs), an explanation of why the funds remain unexpended, a statement of research activities to be accomplished if the carryover is approved, the period of time during which the activities will be performed, and a detailed budget page and budget justification for use of the funds. Approval will not generally be given until the appropriate FFR has been submitted and accepted and indicates the availability of sufficient unobligated funds.

Carryover requests should be submitted as soon as possible after submission of the FFR to maximize the amount of time in the next budget period in which funds can be expended. Carryover funds should not be expended unless/until prior approval is granted. If funds are expended prior to receiving AHRQ approval, it is at the grantee's own risk.

Yes, unless otherwise instructed in the terms of awarded included on the Notice of Award, all AHRQ Federal Financial Reports (FFRs) (annual and final) due after December 20, 2012, are to be submitted using the electronic FFR system in the eRA Commons.

Go to the Post-Award Grant Administration page for additional information.

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The Privacy Act requires that Government Agencies:

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The Patient Safety Act recognizes that aggregation of patient safety and health care quality data can be made easier by the use of common data definitions and data formats. To facilitate the collection and reporting of information as envisioned by the Patient Safety Act, AHRQ developed, and continues to expand, Common Formats for use in multiple health care settings by health care providers and Patient Safety Organizations (PSOs). Common Formats can be used by any organization and provider, not just those working with a PSO.

Currently, the Common Formats are available for three settings of care: acute care hospitals, nursing homes, and community pharmacies.

AHRQ's most recent development in this areas is Common Formats for Surveillance—Hospital, which are designed to provide, through retrospective review of medical records, information that is complementary to that derived from event reporting systems. These Formats will facilitate improved detection of events and calculation of adverse event rates in populations reviewed. Previously, Common Formats have been designed to support only traditional event reporting.

To learn more about the Common Formats, go to https://www.pso.ahrq.gov/common.

To access the most current versions of the Common Formats, go to https://www.psoppc.org.