/Office for Research and Innovation
Sponsored Programs and Grants Management

PI Joining SBU

When a faculty member who is serving as Principal Investigator (PI) of a sponsored research award transfers to SBU, SBU/OSP needs certain documentation and approvals to accept award transfers or subawards from the previous institution. 

The SBU Department Administrator and/or the PI should use the SBU Incoming PI – Award Transfer Checklist to guide them through the most common requirements that are needed to complete the transfer. The checklist outlines what is needed from the relinquishing Institution (e.g., contact information and grant related documentation) as well as hyperlinks to the compliance offices responsible for reviewing and approving human subject and animal research, biohazardous materials and the use of radioactive materials.

In general, PIs who are transferring to Stony Brook University (SBU) from another institution and wish to also transfer their active awards (e.g., grants/contracts) to SBU should follow this process:

SBU Appointment

Prior to the PI’s appointment start date, the PI should obtain a Net ID. (Three to four months lead time is recommended.) The PI will need to work with administrative staff affiliated with the hiring SBU School/College to obtain this ID and follow other subsequent steps in this process.

Award Transfer

Before an award transfer can take place, the PI’s current/previous institution must relinquish the award with the sponsor’s approval, and the transfer balance must be finalized by the PI’s current/previous institution.  Award transfers most frequently follow one of two options: 

  • Option 1: Full transfer of remaining award to SBU

When the remaining award is to be transferred in its entirety to SBU, the PI’s previous employer must formally relinquish the award and provide the sponsor with the unobligated balance. The PI may be required to submit a new SBU proposal to the sponsor. The sponsor then awards the project to SBU. Regardless of whether the sponsor requires a transfer proposal, a myResearch funding proposal is required for institutional approval to accept the transferred award. If a portion of the work remains at the prior institution, they will be required to submit a proposal to SBU that would be incorporated into the SBU proposal submitted to the sponsor. Once the award is received by SBU, a subward will be negotiated with the prior institution for their component of the project. 

  • Option 2: Subaward to SBU

When only a small portion of the work is to be transferred, the award may remain at the former institution. A new principal investigator must be named at the former institution (with the approval of the sponsor) and the original PI needs to create a proposal through myResearch Grants for submission to their former institution which will then issue a subcontract to SBU.

  • After the award has been relinquished, the PI will need to work with their Administrative Staff to upload a new funding proposal (FP) request in myResearch Grants.This is a list of myResearch Grants proposal documents for each transferred award:
    • The original RFP or link to the funding announcement
    • The full original proposal.
    • A truncated scope of work with just the remaining work to be carried out at SBU, or a new scope.
    • A project budget for the remaining funds being transferred.
          • Include documentation of the sponsor’s Indirect Cost Policy if applicable
      • For federal proposals, SBU’s federally negotiated F&A and composite fringe benefit rates should be applied to the budget.
      • Documentation of any cost-sharing commitments made at the proposal stage that will need to be assumed by SBU
    • If subawards are involved, obtain a completed  Subrecipient package (Subrecipient Commitment Form, statement of work, budget and budget justification, facilities and resources description, DHHS rate agreement) for each Subrecipient and upload to the myResearch FP.
    • Any correspondence with PI’s previous institution containing relevant background information
    • Any correspondence with sponsor’s instructions / guidance for submitting the proposal and/or transferring the award
    • Contact information for the sponsor

The PI must also meet all SBU administrative requirements (including IACUC, IRB, IBC etc., approvals) before a transferred award can be accepted. These approvals can be pending at the time of the myResearch FP and/or submission to the sponsor. However, the award cannot be set up internally until such approvals are current.

Federal regulations and SBU’s Disclosure of External Interests & Commitments Policy require Researchers (as defined in the Policy) applying for or receiving federal sponsored research funding to complete a Disclosure Profile (financial and external commitments disclosure) at the application stage in the myResearch Conflict of Interest module.

In most cases, equipment purchased with funds awarded on an active grant will transfer with the PI when changing Institutions. All equipment transfers to SBU need to be coordinated with Property Control in the Office of Procurement.

 

 

OSP will review the information provided and work with the sponsor as needed to transfer the award to SBU and/or negotiate the terms of the award prior to the transfer. To support project activities during the transfer, an advance award may be requested by the PI with their SBU department approval.

Note for NIH awards:  If transferring an NIH award, the incoming PI will need to have their eRA Commons ID affiliated with SBU. In order to do this, complete the NIH eRA Commons ID Request Form.

Note: Sponsor requirements vary. Please follow these specific guidelines for NIH and NSF award transfers.