Faculty Off-Boarding: Research & Sponsored Projects

When a faculty member separates from ECU through resignation, termination, retirement, or due to their passing, several sponsored project and research-related systems and processes must be addressed.

Disposition of Active, Externally Sponsored Projects

Per ECU’s policy, Disposition of Externally Sponsored Projects for Principal Investigators Who Depart University Employment, sponsored project awards are made to ECU, not to individual investigators; therefore, any transfer of an award requires the University’s formal agreement to relinquish the project. The sponsor must also approve the project to transfer from one organization to another.

The departing PI’s Department Chair is responsible for organizing a meeting among the PI, the Associate Dean for Research (ADR), and the Chief Research Officer (CRO) to review the disposition of awards. This discussion should clarify which awards will remain at ECU and which will transfer to the new institution. Once decisions are reached, they should be documented and shared with all participants, with a copy provided to the ORA Financial Analyst. See below for administrative processes to be completed for each award.

Procedures for Sponsored Project Awards to Remain at ECU

  1. The identified/selected new ECU PI for each project will need to be updated in eTRACS through the Change Request (CR) process and approved by the sponsor.
    1. The departing PI’s hub should initiate the CR(s) in eTRACS and include the new PI’s current CV/resumé and other sponsor-required documents.
    2. The Office of Research Administration (ORA) will submit the prior approval request to the sponsor to change the PI.
    3. If/when approved by the sponsor, ORA will process the PI CR in eTRACS and update the Banner fund associated with the award.
  2. If the departing PI will maintain a role on the project once they’ve moved to their new institution through a subaward mechanism, the new PI will work with their hub to secure any required prior approvals from the sponsor for the subaward and retrieve subaward materials from the new institution.
  3. As applicable, the new ECU PI and the departing PI will work with the Institutional Review Board and the Institutional Animal Care and Use Committee for any needed protocol amendments.

Procedures for Project Awards to be Transferred to New Institution

  1. The PI will complete and route an eTRACS Change Request (CR) for each transferring project award, requiring the approval of the Department Chair, ADR, and the CRO.
  2. The PI will work with the department administrator and the FA on closing out all financial matters for transferring sponsored projects.
    1. PI will notify any current subawardees of the changed status of the PI’s employment and revised end date of agreement with ECU. The department administrator will submit Subaward Modification CRs in eTRACS to terminate the subaward agreements.
    2. Hub/Department will be directed to terminate all spending and ePAFs.
    3. ORA Post-Award will route PI Attestation CR in eTRACS.
    4. Transfers of non-standard property, including but not limited to animals, glassware, and other non-consumable supplies, must receive prior approval from CRO or designee.
  3. Prior to departure from ECU, the PI must prepare and submit any project related documents as may be required by the sponsor (to be reviewed, approved, submitted by ORA).
  4. As applicable to the project:
    1. If equipment (as defined by the monetary threshold definition at the time of the award) purchased with grant funds under an active project is to be transferred, the PI will work with ECU Fixed Assets to transfer ownership of the equipment to the new institution.
    2. If the departing PI has interest in procuring and transferring grant-funded equipment from a closed project, they are required to seek approval from their department to do so and, if approved, work with ECU Fixed Assets on the purchase/transfer process.
    3. The PI will work with ECU’s Institutional Review Board or Institutional Animal Care and Use Committee to close all active protocols. See below sections, Human Participant Research Protocols and Animal Participant Research Protocols, for additional guidance.
    4. The PI must prepare and submit final invention statements to ECU Office of Licensing and Commercialization for signature after verification (innovation@ecu.edu).
  5. The PI will work with their new institution to complete the transfer of the project to that institution. If the project will be restructured to now include a subaward back to ECU, the departing PI will work with the subaward ECU PI and hub staff on required documents to be submitted with the transfer proposal to sponsor.

Intramurally Sponsored Research (i.e. startup funds)

If the departing faculty member has current research or other funds that will not be spent before departure, they must contact the fund provider to arrange for return of funds.

Animal Participant Research Protocols

Faculty should contact the Institutional Animal Care and Use Committee (IACUC) Office (iacuc@ecu.edu or 252-744-2436).

Human Participant Research Protocols

For research projects that are Institutional Review Board (UMCIRB) approved or exempt, the investigator has two options:

  1. Close the study in ePIRATE via a Final Report.
  2. Amend the study to assign a new ECU PI. The departing investigator may remain on study as a sub-investigator at ECU, but either an IRB reliance will be needed with their new institution, or an Individual Investigator Agreement would be required (if they are not affiliated with an institution that has an IRB).

Intellectual Property

A faculty member’s departure from ECU does not change ownership or inventorship of intellectual property created with ECU resources or within the scope of ECU employment. Such property remains ECU-owned under the ECU’s Patent Policy, Copyright Regulation, and applicable laws. Faculty should inform their new institution of any ECU-developed intellectual property. If improvements are made after joining a new institution, ECU’s Office of Licensing and Commercialization must be contacted to establish an interinstitutional agreement for ownership, rights, and revenue distribution. Revenue from licensed ECU-owned intellectual property will continue to be shared per ECU’s income distribution policy, regardless of employment status. Faculty are strongly encouraged to contact the office.

Research Data and Records

Research data is the recorded factual material commonly accepted in the scientific community as necessary to validate research findings, including but not limited to documents (paper and electronic), notebooks (paper and electronic), image files, and protocols. All research data generated at ECU is property of the University. For more detail and information, see Research Data and Records.

If desired, the faculty member may request through a Data Transfer Agreement that ownership of the original data be transferred to them or another institution to support continuation of the project. However, the faculty member must provide the department chair with copies of the original research data and records for permanent archiving and provide copies of the data and records to collaborators and co-investigators.

Research Specimens

As with data, physical objects or specimens produced or obtained by the faculty member while at ECU are considered property of the University; requests to transfer specimens to another institution must be processed through a Material Transfer Agreement.

Termination of Other Existing Research Agreements

Departing faculty must notify the Office of Licensing and Commercialization and the Office of Research Administration to review and, if needed, terminate active agreements such as MTAs, DUAs, CDAs, NDAs, in-licenses, or equipment transfers. These agreements often include ongoing obligations that must be closed or reassigned to ensure compliance. Early communication helps protect university assets, maintain contractual integrity, and ensure a smooth transition.