UAlbany PACS Portal 


Contact the Pre-award staff at [email protected] with questions or concerns. Register for the PACS Portal.

 

Principal Investigator (PI) Eligibility

eligibility
PI Eligibility Policy

As of September 1, 2024, serving as a Principal Investigator, Co-Principal Investigator or Investigator (collectively called PI) on externally funded sponsored projects requires a determination of eligibility to serve as a PI from the Division for Research & Economic Development.

Automatic Eligibility

Individuals who are full-time employees at the University (State or RF funded) in the following titles are automatically eligible to serve as a PI:

  • Tenured or Tenure Track Professor, Associate Professor or Assistant Professor
  • Tenured or Tenure Track Librarian, Associate Librarian, Senior Assistant Librarian or Assistant Librarian
  • Research Professor, Associate Research Professor or Assistant Research Professor

Requires Request for Eligibility

Individuals not automatically eligible who would like to serve as a PI must complete the PI Eligibility Determination Form and submit it via email to [email protected].

Individuals, regardless of title, who have served as a PI prior to September 1, 2024, do not need to reapply for PI eligibility.

Students

Students may request PI eligibility if they are applying for an externally sponsored fellowship that requires them to serve as a PI. In these cases, students must complete the PI Eligibility Determination Form (linked above) and submit it via email to [email protected].

Please contact the Sponsored Programs Administration (SPA) Pre-Award staff at 518-442-3196 or [email protected] if you have questions about PI eligibility or the PI Eligibility Determination Form.

Definitions

Principal Investigator (PI): A University at Albany faculty or staff member who bears responsibility for the intellectual leadership of a project. The PI accepts overall responsibility for directing the research, financial oversight and compliance with relevant University policies and sponsor terms and conditions. 

Multiple PI and Co-PI: Some sponsors use the term Co-PI or Multiple PI to indicate the role has equal responsibility and authority as the lead PI (for example, NIH uses the term Multiple PI, and NSF uses the term Co-PI). Other sponsors, such as the USDA, use the term to represent that the individual has more authority than a co-investigator but not equal authority as the PI. Additional sponsors use the term to represent an alternative title for a non-lead PI on a multi-PI project. Not all sponsors use this role.

Sponsored Project: Any externally funded research, training, evaluative testing or public service project directed by UAlbany faculty or staff, as part of their University work, that requires UAlbany to perform a specified program or deliver a specified product.

Responsibilities

The following individuals are responsible for understanding UAlbany’s rules and protocols for PI eligibility: 

  • Provost and other Vice Presidents 

  • Deans and Associate Deans 

  • Department Chairs 

  • Principal Investigators (PIs) 

  • SPA staff 

A Principal Investigator’s responsibilities include: 

  • Obtaining eligibility to serve as PI before applying for sponsored project funding 

  • Complying with these rules and all other applicable UAlbany, Research Foundation and SUNY policies 

A department chair’s responsibilities include: 

  • Ensuring faculty and staff are aware of and understand these rules 

  • Approving sponsored project application submissions only if the identified PIs are eligible to serve 

  • Ensuring the sponsored project is in keeping with the research mission of the University 

  • Ensuring that the necessary space, equipment, facilities, qualified personnel and other required resources will be available through the completion of this project  

Note: If a project is funded and the PI leaves the University prior to its completion, the endorsing academic department agrees to ensure the project is completed.

A dean’s responsibilities include: 

  • Approving PI eligibility for students and for employees with Emeritus, Adjunct or Visiting Professor status 

  • Ensuring the sponsored project is in keeping with the research mission of the University 

  • Ensuring that the necessary space, equipment, facilities, qualified personnel and other required resources will be available through the completion of this project  

Note: If a project is funded and the PI leaves the University prior to its completion, the endorsing school or college agrees to ensure the project is completed.

The Vice President for Research and Economic Development’s responsibilities include: 

  • Approving PI eligibility for professional staff 

  • Approving exceptions to PI eligibility 

SPA staff’s responsibilities include: 

  • Submitting sponsored project funding applications only if the identified PIs are eligible to serve

Proposal Timeline

All proposal materials are due to SPA five business days before the sponsor’s deadline. Note: Deadlines for limited solicitations differ.
 

timeline
Step 1: Submit Proposal Request Form at least 20 business days before sponsor deadline

Eligible PIs must submit the Proposal Request Form at least 20 business days before the sponsor’s deadline. 

After submitting the form, you’ll receive an email within two business days with the following information: 

  • The Research Administrator assigned to your proposal 

  • A PACS record number 

  • A suggested timeline for preparing various documents 

  • A deadline for SPA to receive all documents (must be received at least five business days before the sponsor deadline) 

  • A Sponsor Site ID number, if applicable

Step 2: Design project & prepare proposal documents
  • Identify internal and external collaborators. Complete a Subrecipient Commitment Form for any external collaborators. Provide your Research Administrator with the contact information of your internal and external collaborators. 

  • Draft your budget and budget justification — including personnel, fringe rates, Facilities & Administrative (F&A) Rates, supplies, equipment, travel, cost-sharing, etc. 

  • Register for the sponsor’s submission portal. For example: NIH RegistrationNSF Account Registration & Management or Proposal Central

  • Use the Data for Sponsor Forms section to complete required elements. 

  • Complete one biosketch for each senior personnel, following the sponsor’s formatting guidelines. Use the SciENcv tool for this step. 

  • Complete one Other Support document for each senior personnel, following the sponsor’s formatting guidelines. Use the SciENcv tool for this step. 

  • Complete project-related documents as required by the sponsor. For example, many sponsors require a Project Summary, Project Description, Facilities & Resources, etc. 

  • Complete all research and regulatory compliance steps, including training, Conflict of Interest Disclosures, data use agreements and institutional approvals (IRB, IACUC, etc.). Note: Approvals are required to accept an award and start a project. 

  • Obtain Office of Environmental Health & Safety approval for any projects that involve biological, chemical, radiological substances or equipment, or any hazardous materials or substances. 

  • Review institutional data resources and requirements for finding, storing and managing your data. 

  • Obtain department chair approval for any special circumstances (such as course release, space requests, etc.). 

Step 3: Submit final proposal documents for Pre-award Review at least 5 business days before sponsor deadline

Email the following documents to your assigned Research Administrator at least five business days before the sponsor's submission deadline: 

  • Final Budget and Budget Justification, including outside collaborators 

  • Any supplemental documents required by the sponsor 

  • Final Data Management Plan 

  • Final Project Description (narrative, research strategy, etc.) 

  • Executive Summary 

  • References Cited 

  • Letters of Support 

The Research Administrator will ensure all appropriate documents are loaded into the PACS Portal. Then institutional approvers (such as department chairs, deans, directors, etc.) will review and approve the proposal using the portal.

Step 4: Submit the Proposal to the Sponsor

The Research Administrator and PI will work together to ensure the proposal has been properly uploaded to the sponsor’s submission portal. 

Facilities & Administrative (F&A) Rates, Fringe Rates & Others

Facilities and Administrative (F&A) Rates are federally approved rates for reimbursement of facilities and administrative costs on sponsored projects. Recovered F&A costs allow the University to expand its research capacity, infrastructure and services.

UAlbany's F&A rates must be applied unless the agency has a published policy on F&A restrictions. The Sponsored Program Administration makes the final determination on appropriate F&A rates applicable to each project. 
 

fa-rates
F&A Rates

Access the most current negotiated rate agreement.

The rates in this chart are subject to Modified Total Direct Costs (MTDC). However, there may be other sponsor rates that are applicable to a different base.
 

Type of RateRates for July 1, 2023, to June 30, 2024Provisional Rates for July 1, 2024, to June 30, 2025Provisional Rates for July 1, 2025, to June 30, 2026Provisional Rates for July 1, 2026, to June 30, 2027
On-campus Research56.5%56.5%56.5%56.5%
Off-campus Research26.0%26.0%26.0%26.0%
On-campus Instruction55.0%55.0%55.0%55.0%
Off-campus Instruction26.0%26.0%26.0%26.0%
Department of Defense Contract: On-campus Research60.5%60.5%60.5%60.5%
Department of Defense Contract: Off-campus Research30.0%30.0%30.0%30.0%
Other Sponsored Activities: On-campus33.0%33.0%33.0%33.0%
Other Sponsored Activities: Off-campus26.0%26.0%26.0%26.0%
What are Modified Total Direct Costs (MTDC)?

Modified Total Direct Costs (MTDC) are all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and sub-awards and subcontracts up to the first $25,000 of each sub-award or subcontract — regardless of the period of performance of the sub-awards and subcontracts under the award.

Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs and with the approval of the relevant agency for indirect costs.

The Modified Total Direct Costs (MTDC) base excludes: 

  • Equipment 

  • Tuition and fees 

  • Facilities rental 

  • Sub-awards after the first $25,000 

  • Patient care 

  • Participant support 

  • Alterations and renovations totaling $15,000 or more

What about Off-campus Rates?

An off-campus rate is applicable to projects largely conducted at facilities not owned or operated by the University, which include charges for facility rental as a direct expenditure.  

Subawards, consultants and vendor services are not considered under this off-campus determination. Convenience, telecommuting, conferences and summer travel are not justifications for the off-campus determination. 

What happens when a sponsor restricts F&A rates?

If an agency has a published policy with a restricted F&A rate lower than UAlbany’s current F&A rate, and the agency doesn’t specify how the rate is to be applied, the agency’s lower, restricted F&A rate will be applied to Total Direct Costs (TDC). 

If the agency does not have a published policy, exceptions to UAlbany’s F&A rates are rarely granted but can be requested. You must contact Pre-award Research Administrator at least 10 business days before the proposal submission deadline. 

Acceptable policy documentation of a restricted F&A policy includes the sponsor’s RFP, the sponsor’s guidelines, or an email or letter obtained from an authorized representative of the sponsor stating they have an approved, uniformly applied rate for all funded projects.

Animal Facility Rates

For proposals after July 1, 2024: 

SpeciesFY25 - 
July 1, 2024
*FY26 - 
July 1, 2025
*FY27 -
 July 1, 2026
*FY28 - 
July 1, 2027
*FY29 - 
July 1, 2028
Mice$0.78 $0.81 $0.84 $0.88 $0.91 
Rats$0.86 $0.89 $0.93 $0.97 $1.01 

*4% escalation used to project future years. Each June an updated escalation table will be posted based on an updated cost analysis 

Review detailed information on the use of animals (IACUC).

Fringe Rates

Budgeting with Fringe Rates 

Access the Research Foundation fringe benefit rates for Fiscal Year 2025.

The approved fringe benefit rates must be used in all applications that request salary support beyond June 30, 2024.

For fiscal years beginning on or after July 1, 2025, we recommend the approach outlined in the tables below. Note: Rates that have not yet been approved can be used according to sponsor guidelines.


Regular Employees

YearRate
202639.50%
2027 (Not approved)40.00%
2028 (Not approved)41.00% 
2029 (Not approved)42.00%


Graduate Student Employees

YearRate
202613.50%
2027 (Not approved)14.00%
2028 (Not approved)14.50%
2029 (Not approved)15.00%


Undergraduate Student Employees

YearRate
20265.50%
2027 (Not approved)5.50%
2028 (Not approved)5.50%
2029 (Not approved)5.50%


Summer-only Employees

YearRate
202614.50%
2027 (Not approved)14.50%
2028 (Not approved)14.50%
2029 (Not approved)14.50%


Post-doctoral Employees

YearRate
202633.00%
2027 (Not approved)30.00%
2028 (Not approved)28.00% 
2029 (Not approved)27.00%


SUNY Employees (IFR)

YearRate
202662.68%
2027 (Not approved)64.84%
2028 (Not approved)67.27%
2029 (Not approved)69.75%
Other Rates

National Science Foundation (NSF) Consultant: Fair market value 

National Institutes of Health (NIH) Salary Maximum: $212,100 

UAlbany Tuition & Fee Charges

Per Diem & Mileage

Foreign Per Diem

Data for Sponsor Forms

data
Codes & ID Numbers

ASAP Recipient ID Number for NIFA Awards: 1123150  

Automated Clearinghouse (ACH): 2019 

CAGE Code: 3GPU9

DUNS: 152652822 

E-Verify ID: 298807 

Federal Interagency Committee on Education (FICE): 002835 

Federal Tax Employer ID (EIN/TIN): 14-1368361  

FIPS Code: 000-U017E-24 

FWA for the Protection of Human Subjects: FWA00001970 (expires November 29, 2028)

NAICS Code: 541715 

New York State Employer Registration: 3744 

New York State Vendor ID Number: 1000013735 

NIH Entity ID Number: 1-141368361-A1 

NSF Institutional Code: 002385700 

OLAW Animal Welfare Assurance D16-00376: A3621-01 (expires July 31, 2028)

SAM Unique Entity ID (UEI) for RFSUNY, UAlbany: NHH3T1Z96H29 (registration expires December 18, 2024)

SAM Unique Entity ID (UEI) for the University at Albany: G27VCK35DJB3 (registration expires June 4, 2025)

State & Federal Legislative Districts

New York State Assembly District: 109 

New York State Senatorial District: 46

United States Congressional District: 20 

Filing, Acceptance & Certification Dates

Department of Education Assurance of Compliance (date last filed): January 18, 2007 

CAS Disclosure Statement (last submitted to DHHS): October 31, 2017 

CAS Acceptance Letter: April 4, 2018 

NASA Assurance (date last filed): March 1, 2019 

ONR Property Control System Accreditation: February 1995 

Procurement System Certification: April 19, 1985 

RF Incorporation Date: February 15, 1951 

Annual Report on Possible Research Misconduct (date last filed): February 22, 2020 

Addresses & Phone Numbers

Send payments to: The Research Foundation for SUNY, Treasurer's Office, PO Box 9, Albany, NY 12201-0009 

Audit Agency: Department of Health & Human Services (DHHS), Cohen Building, Room 1067, 330 Independence Ave., SW, Washington, DC 20201 

Other Audit Contact: KPMG LLP, 515 Broadway, Albany, NY 12207-4735 (Also reachable at 518-427-4735

F&A Cost Negotiator: Ryan McCarthy, Division of Cost Allocation, 26 Federal Plaza, New York, NY 10278 (Also reachable at 212-264-2069

Office of Naval Research: ONR Boston Regional Office, 496 Summer St. Room 103, Boston, MA 02210-2108 (Also reachable at 617-753-4002