Incoming PI Transfer Checklist

CRO/Dept works with PI to compile a list of active awards on which the faculty member intends to continue to contribute (whether in a PI role, Co-PI role, or otherwise). This list is then utilized as part of the dialogue between the PI and Department Head to confirm if the award(s) will be transferred to NC State in full (whether via new sponsor contract/agreement, or other sponsor mechanism), or in part (via subaward). 

PI should prompt a meeting with their College Research Office and applicable Department individuals in which each award will be discussed and next steps will be determined by all parties. For each award, the PI, in collaboration with the Department and CRO will need to confirm a mutual understanding with the PI’s former institution of how the award will or won’t be transferred (in full or in part) to NC State. In most cases, the incoming faculty member will connect the Department and CRO with an appropriate research administration contact at their prior institution.  Where possible, the Department or CRO should work with the incoming PI and/or prior institution research administration contact to receive copies of relevant award documentation (e.g. award notices, RFA) to confirm NC State can accept the incoming award.

Contacts

• College Research Office
• Faculty Member’s Department

Resources

• Sponsor Resources
• Effort Reporting/TEARS

• If the incoming award includes outgoing subawards to other institutions those subawards will be new subawards for NC State budgetary purposes, and will be subject to F&A recovery on subawards.
• If the incoming PI intends to bring any members of their lab and/or performers on the project with them from their prior institution, the PI should (1) consider how the previously budgeted costs of those performers may be different at NC State and adjust the budget accordingly; and (2) should contact their College or Department Human Resources Office for assistance.
• If funders have specific budget transfer requirements the parties will need to work to manage (e.g. NIH residual funds in ASAP require coordination with SPARCS and Contracts and Grants; NSF transfer budget is provided via Research.gov, requiring coordination with SPARCS for review).
• If required, document any F&A under-recovery or waiver that is allowable under institution policy or route any required exemption requests.

Contacts

• College Research Office
• Faculty Member’s Department

Resources

• Sponsor Resources

Contacts

• College Research Office
• Faculty Member’s Department

Resources

• Sponsor Resources
• How to Set Up a Proposal Record in PINS

• Step 1: PI works with their Department’s AM (Asset Management) Coordinator to compile a list of all incoming equipment.
• Step 2: PI or Department AM Coordinator will notify the NC State Asset Management Office of the incoming equipment transfer, allowing Asset Management to collect the required information about the equipment and initiate the tagging process. 
• Step 3: PI, with CRO and/or Department support, will communicate with the originating institution to determine (1) whether an equipment transfer agreement will be required; (2) if any renovations, repairs and/or maintenance will need to occur on the equipment; and (3) who will handle the shipment and appropriate insurance related to the movement of equipment from the previous institution to the new institution. 

Note: The foregoing steps rely on the incoming PI’s prior institution taking appropriate steps to confirm the ability to transfer the equipment to the new institution per the terms and conditions of the award.  PI, Department AM Coordinator and CRO should work with prior institution contacts as necessary.

Contacts

• Department’s AM Coordinator
• College Research Office

Resources

• Asset Management Property Tracking and Disposition Manual
• Asset Management

Contacts

• Environmental Health and Safety
• PI’s Department

Resources

• Laboratory On-Boarding/ Off-Boarding Program (LOOP)

Once Incoming PI has a Unity ID, they should submit a COI Disclosure in RED.  If the incoming PI has any External Professional Activities (EPA) that they intend to continue once they start at NC State, including performance on projects that are not being transferred to NC State, they will complete a disclosure for each EPA.

PI will work with the Department and IRB Office, if any incoming projects require an IRB protocol.  Contact IRB Office for assistance.

If any incoming projects have an IACUC Protocol or will involve animal subjects research, PI should contact IACUC for protocol assistance.  PI should determine whether any animals will be transferred to NC State, or if they are not transferring, how they will be otherwise addressed.

Note: Animal facilities at NC State are managed at the College level.  For incoming PIs with animal housing and husbandry needs, be sure to coordinate with the relevant college animal facility program:

College of Veterinary Medicine – Lab Animal Resources 

College of Science – Biological Resources Facility (Covers Centennial Toxicology as well)

For investigators in other colleges that have lab animal needs, please coordinate with the appropriate Associate Deans for Research. 

The IACUC will require (1) an IACUC submission in the RED system for proposed animal work and (2) a letter from the college to state that space and resources are available to support the incoming funded work prior to issuing a letter of support to any Funding agency.

PI should work with the Export Controls Office if PI is on any projects subject to a Technology Control Plan (TCP).

For PIs coming from foreign institutions, consult with the Export Controls Office when transferring material, data and/or equipment to NC State.  

PI (and associated project team members) may be required to complete RCR training if required by sponsors of any incoming projects (e.g. USDA-NIFA, NSF, NIH).  Contact the RCR Administrator for assistance with RCR compliance, either by taking RCR training at NC State or obtaining approval for alternatives (e.g. training received at originating institution).

If the incoming federal research program has specific data and/or security requirements, PI to work with CRO and Research Security.

Contacts and Resources

• Conflicts of Interest (COI) | Research Administration and Compliance
• IRB | Research Administration and Compliance
• IACUC: Animal Care and Use (IACUC) | Research Administration and Compliance
• Animal Facilities:  COS Animal Facilities, CVM Animal Facilities
• Export Controls Office | Research Administration and Compliance
• Research Security
• Department TEARS Coordinators and University Contracts & Grants – Effort Reporting
• PI’s Department

When data or materials will be transferred from an institution with which NC State is not already negotiating an agreement (e.g. prior institution when award is fully relinquished/transferred, or from a 3rd party), a separate agreement will be required. Separate Data Use Agreements will require a separate PINS record as well, and are handled by SPARCS. Separate Material Transfer Agreements will, in most cases, be handled by the Office of Technology Licensing.

When data or materials will be transferred from an institution with which NC State is also entering into a funded agreement (e.g. subawarded portion of the award to incoming PI), SPARCS will work to include relevant transfer terms in the subaward itself.

Note: Relevant materials and/or data should not be transferred prior to the full execution of a Material Transfer Agreement or Data Use Agreement governing such transfer.

Contacts

• Office of Research Commercialization
• SPARCS, College Research Office
• PI’s Department

Resources

• Data Use Agreement
• Material Transfer Agreement