Principal Investigator Leaving University Policy
Purpose
The purpose of this policy is to provide an analysis framework to assist relevant stakeholders in determining the best course of action for completing or modifying contract or grant obligations when a Principal Investigator (PI) leaves the University.
Scope
This policy applies to contracts, grants, and all other research and teaming agreements conducted by academic units or when a PI is member of an academic unit and that PI notifies the University their intent to leave the University.
Policy History
I. Effective Date: May 18, 2026
II. Approval: May 18, 2026
III. History:
-
Approved in its original form: May 18, 2026
IV. Maintenance of Policy: Vice President for Academic Research, Office for Academic Research
Definitions
Principal Investigator (PI): The individual designated by UD, the grantee, and approved by the sponsoring agency, who holds primary responsibility for the design, conduct, management, and reporting of a research project, grant, or sponsored program within a university or research institution.
Contract, grant, or other research related agreement: Any agreement with another party for research services regardless of how titled or compensated.
Policy
Contracts and Grants are awarded to the University and not the PI. Thus, a formal process is necessary for the University to transfer a contract or grant to another institution. Such a transfer is not automatically granted and several factors must be analyzed to determine if the University should transfer a contract or grant.
During the course of research efforts sponsored by outside entities, a current PI on a research effort may express their intention to leave the University, there also may be an arrangement with outside sponsor and the University that has terms relevant to the PI’s departure. The University must decide if it is appropriate to keep the contract or grant at the University and transfer the contract or grant to another PI, transfer the contract or grant to another Institution at the University, or terminate the contract or grant.
The policy will help identify relevant stakeholders, provide an analysis framework for when the University should ask to keep the grant or allow the grant to move with the PI, and provide adequate time for analysis and contractual arrangements.
Of course, business considerations and institutional reputation are important in such a decision, but also the notion that work should be performed by a person and institution capable of performing the work in manner that fulfills the university’s general obligation of performing quality research and scholarship.
The following framework will have two threshold questions that may steer the analysis so far in one direction that further analysis is not necessary. However, a significant portion of cases will need to go through the full framework to ensure a prudent decision is made.
First Steps and Threshold Questions
Once a PI notifies the University that they are leaving the University, or is incapable of performing their duties as PI, the PI shall contact the relevant department chair, and the Faculty Separation Checklist (Reference Document 1) shall be prepared by the Department Chair. The Chair then requests that Office of Academic Research pull all pending contracts and grants for funded research and get assistance in interpreting remaining contractual obligations, and assess the relationship with the funding agency because most funding agencies require agency approval for changing the PI on a research effort.
With the completed checklist, the analysis of remaining contractual obligations, and the assessment of the funding agency relationship the relevant Chair, relevant Dean, and Vice President for Academic Research shall meet and discuss these relevant factors, and take necessary steps to preserve the funding agency relationship, if warranted.
If the PI wishes to transfer the grant to their new institution, the PI must fill out a Change of Institution Request Form (Reference Document 2). Such request will only be granted if the following analysis confirms it is prudent to do so and is in the best interest of the University.
If the University is not in a position to perform the work adequately, the decision to allow the sponsored work to travel with exiting PI shall be made if the PI can adequately complete the work at their new institution. In the event that neither the exiting PI nor the University can do the work adequately, the Vice President for Academic Research shall make alternate arrangements with the granting agency, which could include termination of the award.
When analyzing whether a PI and institution combination can adequately perform the work and thus it is prudent for the University to retain the work, the primary relevant factors are:
- Technical expertise and ability, referencing work history
- Adherence to contract terms
- Compliance issues
- Obligations to students
In the case that both the existing PI and the University can adequately do the work, and the PI indicates that they wish to transfer the award to their new institution, both secondary and tertiary factors should be analyzed and accorded weight based on the value of the particular situation by the relevant Chair and relevant Dean.
Secondary Factors
- The relationship with the funding agency and whether the transfer would affect that relationship
- The financial impact to the University
- Any action that would negatively affect the relationship with a funding agency, and thus possibly affect future awards, or any significant financial impact would weigh heavily in finding the contract should stay at the University.
- If the relationship with the funding agency will not be harmed and the financial impact to the University is low, the University may look to the following list of tertiary factors, to see if these factors tip the balance in one direction or the other.
Tertiary Factors
- Reputational gain for performing research/reputational loss for losing grant
- Development of faculty and students that may be lost
- Loss of UD resources that were used to get the grant, and set up the research
- Additional impact to students
- Impact to other UD employees
- Timing of the situation
- Unspent funds
- If the change will impact scope of research
- Other outstanding items and considerations from the Faculty Separation Checklist
Decision
After reviewing all factors, taking into account conversation with all relevant parties, the Vice President for Academic Research will render a final decision and work with the funding agency, Office of Academic Research, and the departing PI as necessary to implement the decision.
After the decision is rendered, the Vice President for Academic Research shall communicate the decision to the relevant Chair and relevant Dean. The relevant Dean then shall ensure the Faculty Separation Checklist is complete. The PI shall cooperate in all necessary steps of the Faculty Separation Checklist.
Reference Documents
- Faculty Separation Checklist
- Change of Institution Request Form
- PI Change Decision Outline