Principal Investigator Separation Process

When a UTHealth Houston researcher resigns or retires from the University, there must be a plan for the orderly transfer or closure of all research responsibilities. This process applies to all Principal Investigators (PIs), whether or not they are faculty members. When the separating researcher is a PI on a grant, IRB study, AWC study or any other research project, additional activities must be completed to ensure a smooth transition.

Objectives of the PI Separation Process:

• Transfer or Terminate Sponsored Projects: Ensure compliance with funding agency guidelines (federal, state, or private) for project closure or transfer.
• Animal and Human Subject Research: Guarantee the continued safety and care of animals and human subjects involved in ongoing studies.
• Institutional Assets: Account for and manage university property, equipment, and supplies.
• Hazardous Materials Disposal: Ensure proper decontamination and disposal of hazardous materials (chemicals, biological agents, radioactive materials).
• Research Data: Confirm the proper oversight and transfer or retention of research data.
• Regulatory Compliance: Close out or transfer FDA INDs, FDA IDEs, and ClinicalTrials.gov records per federal regulatory requirements.
• Technology Management: Address issues related to technology management, intellectual property, and conflicts of interest (COI) plans.

Steps to Complete the PI Separation Process:

1. Complete the PI Separation Checklist:
   The PI and department representatives should fill out the PI Separation Checklist 2025. The checklist should include responses to key questions related to sponsored projects, data transfer, equipment, and other institutional responsibilities. The checklist must be signed by the following individuals:
• The Departing Principal Investigator
• Department Representative
• Department Chair
  
  
2. Submit the Checklist:
   The signed checklist should be submitted via email to Dr. Amala Rougeau at the Office of Research Operations (research@uth.tmc.edu) for processing.
   
   
3. Review by Institutional Entities:
   Upon submission, the checklist will be routed to the relevant institutional entities (e.g., Sponsored Projects, IRB, SHERM, AWC, etc.) for review. These entities will ensure that all necessary actions have been taken and may raise any issues that need to be addressed.
   
   
4. Obtain Final Approval:
   Once all actions have been reviewed and approved by the relevant departments, the Office of Research Operations will forward the checklist to the Senior Vice President for Academic and Faculty Affairs for the final signature, officially concluding the PI separation process. You will be forwarded the final signed form for your records.