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.