/Office for Research and Innovation
Offices of Sponsored Programs and Grants Management

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Awards: Receipt & Setup

When the sponsor has reached a decision, RFSUNY/SBU will be informed through either a notice of award letter or a regret letter. If the proposal is to be funded, then the sponsor sends notice to RFSUNY/SBU that contains the terms and conditions that RFSUNY/SBU must accept to receive the funding.

Following the receipt of a sponsored award notice and/or an agreement indicating an intention to fund, OSP is responsible for approving terms and conditions of awards/agreements and ensuring relevant information is available for continued award set up. Following the approval, the OSP Grants and/or Contracts Specialists will then transfer the award documents and actions to the Account Establishment and Maintenance Unit (AEMU) which consisting of staff from OSP, who will continue with the set up process. The AEMU team is responsible for establishing awards in Oracle (NOTE: it takes 24 business hours for the information to run in Oracle and get captured in RF Report Center and ERAS before the system generates an internal award/project/task number). Once an account is active (including advance accounts) and the overnight action is completed, the AEMU team will electronically notify the Principal Investigator (PI), and co-investigators (CoPIs), and designated departmental administrators of the assigned award/project number(s) so the PI can begin spending on the award. 

AEMU is working closely with the OSP Specialists and OGM Analysts on processing and transitioning several complex actions into Oracle (e.g.  budget increases/reductions, sponsor approved budget revisions, change in PI/CoPIs, approved carry-forwards or no cost extensions, consolidating compliance approvals such as export control, COI, IRB, IACUC etc., IFR &Cost Share efforts).

AEMU also is responsible for establishing & managing all Internal Awards & Start-ups - Seed Grants, TROs, IDC, Royalty, RSR, CPMP & SBF Accounts.   The unit works closely with the Budget Office for the distribution of IDC & royalty funds. Through communication with RF Central Office and other campuses, AEMU manages SBU project  for awards set up at other SUNY campuses. Lastly, AEMU works closely with OGM to establish and manage all the Staffing Services Payroll & Service & Facility Accounts.

Contact the staff in AEMU at osp_aemu@stonybrook.edu 

Because the contractual relationship in a grant or contract is between the sponsor and RFSUNY/SBU, not the sponsor and an individual, it is essential that the terms and conditions of an award comply with RFSUNY/SBU policy. It is the responsibility of OSP to review all award terms and conditions and, if necessary, negotiate changes to insure compliance.

Terms and Conditions in Brief

The terms and conditions of an award define the relationship between the sponsor and the University, clarifying each party's obligations. Terms often include:

Administrative terms – Examples:  insurance, indemnity or termination

  •   award amount and payment terms
  •   budget and project periods
  •   procedures for making programmatic and budgetary changes
  •   the use of program income
  •   reporting requirements – financial, property

Project related terms

  •   responsible personnel - for the sponsor and RFSUNY/SBU
  •   statement of work
  •   reporting requirements - technical, invention

Institutional considerations

  •   ownership of intellectual property
  •   confidentiality requirements
  •   foreign national restrictions
  •   publication restrictions

It is the responsibility of OSP to negotiate the terms of an award. This may be a simple process such as in the case of federal assistance awards (grants and cooperative agreements) where the relationship between the government and research universities is already formulated. In contrast, it may take months to negotiate an agreement with a corporate sponsor or a federal contract or subcontract.

The number and complexity of these terms will vary greatly depending upon the source and type of the award. A foundation may provide six, simply worded conditions, while a federal contract may include forty complex acquisition regulations.

Some awards will arrive with the full text of the terms and conditions. OSP will distribute copies to the PI. Most federal awards only reference the awarding agency's regulations or policy manuals, the relevant Code of Federal Regulations, or the applicable Federal Acquisition Regulation. These documents are available on-line. Award documents and the accompanying OSP Award Notice should be reviewed carefully for special terms and conditions which may supplement or override an agency's general regulations.

Awards Requiring Negotiation

Many awards received by OSP contain terms and conditions that do not conform to university policies and/or state law. These terms must be modified before the university can accept the award. If the award is issued as a contract, the CA team will conduct the negotiation with the sponsor. OSP strives for speedy negotiations but the timeliness of contract modification is also dependent on the amount of time sponsors require to review modifications and seek approvals for changes. A timeframe of several weeks is likely if contract issues are complex.

Pre-Award Costs and Advanced Accounts

If award documentation is delayed, procedures are available to obtain an advance account for a limited period of time. After the award information is verified by a representative of the sponsoring agency with the authority to commit funds, OSP may authorize set up of an account. Many federal agencies allow pre-award costs up to 90 days prior to the start date of a grant. Notification of the advanced account number will come by email from the Office of Sponsored Programs’ AEU.

Access

https://www.stonybrook.edu/eras/

About

The Electronic Record of Authorized Signatures (E-RAS) is used to identify individuals with authorization to encumber or commit account funds (delegates).   E-RAS is not used to grant access to the  RF Business System.

Frequently Asked Questions

What happens if there are changes in a delegate? 

Whenever a change in delegate occurs, the PI must make the appropriate changes in E-RAS Online.

How can I add an authorized signatory to my research award?

1. Obtain the SBID or NetID of your Delegates.

2. Log on to E-RAS.

3. Click on the account number that you wish to add a Delegate to.

4. Click on the Add/Remove button.

5. Fill-in the Level of Authority if necessary.

6. Repeat for each of your Delegates.

7. Click on the Done button.

8. Click on the Save and Confirm button at the top of the screen

Refer to the  Advance/At-Risk Account Set up and Extension Procedures and Policy for detailed information on the process, when an advance is/is not allowable, backstopping procedures, how to request an advance on new and/or existing awards, and more.

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Based on information that the PI and department have learned about the status of a proposal prior to the receipt of a formal notice of award, they may choose to request an Oracle account in advance of an award. To initiate this process a department should:

Send a Request to OSP via email. In order for OSP to advance funding, please complete  the template below, and either send it back to us and cc your (Chair, Dean,Provost) or have your (Chair, Dean,Provost) directly send/email us their consent.

Dear OSP,

 I agree to provide backstopping in the amount of $____________( direct and indirect costs), for the project entitled (insert title) _____________________________under PI name_______________________, under Sponsor name ( ex. NSF) _______________for existing Award No.__________ or ( indicate new award) ________________for the period of (start date)_______ through (end date)_______ and authorize and understand that account (insert RF non sponsored account numbers) __________________will be charged to pay expenditures incurred, only if for whatever reason the funding is not received.

  • To minimize the financial risk for the department or school, OSP may contact the sponsor to confirm that an award is forthcoming and to verify the award start date.
  • If the level of risk is low AND the basic compliance requirements are in place (confirmation of fCOI training, compliance certifications in place) OSP will establish an account for the project.

Please keep in mind, this request does NOT allow spending to begin prior to the start date of the award. When dealing with contracts, start date may be tied to the month the contract is actually issued. Such situations create much greater risk for the department.

The period of time between submission of a proposal and receipt of an award varies greatly. With federal agencies in particular, it can easily take nine to twelve months before we learn whether a proposal will be funded or not.

During this time, however, several things might happen. For instance, the sponsor may request additional supporting documentation or institutional information. Any additional items submitted to a sponsor should be reviewed and signed by your authorized official in OSP.  The countersignature indicates institutional concurrence with the information being provided.

Revising the Proposed Budget for the Sponsor

When sponsors decide to fund a project below or above the requested budget level, there are several possibilities:

  • Some sponsors will simply make the award at the new amount and expect the PI to make any necessary adjustments. The PI must prepare a revised budget and submit it to OSP before the award can be processed and spending initiated.
  • Some sponsors will prepare a revised line item budget and make it part of the award.
  • Most often, the sponsor will contact OSP or the PI and request a revised budget for the new amount before making the award. This revised budget must be reviewed and approved by OSP before submission to the sponsor.

If the reduction is significant, the PI may not be able to carry out the project as originally intended. If this is the case, it is appropriate to submit a revised statement of work to the sponsor along with the revised budget figures.

Updated Documents

Many changes can take place between the time a proposal is submitted and a sponsor reaches a funding decision. Often, sponsors will come back to the University and request updated documents before issuing an award. NSF, for instance, may request that updated documents be uploaded into FastLane to address such changes. On the other hand, NIH uses a "just-in-time" procedure to collect documents not submitted with the original proposal but that they require prior to issuing the award. These documents will include other support (current and pending), certification of IRB approval, verification of IACUC approval, and evidence of compliance with the education in the protection of human subjects requirements.

At that point, the PIs will need to log onto the agency specific systems, such as FastLane at NSF or eCommons at NIH to check the proposal status. If the sponsor does not have or does not allow access to an on-line system, the PI will have to initiate an inquiry about the status of the proposal directly with the sponsor.