| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Review, interpret, and disseminate policies from sponsors | X | X | |||||
| Review, interpret, and disseminate policies from research compliance oversight agencies (Human Subjects, Biosafety, IACUC, etc.) | X | ||||||
| Serve as expert resource on knowledge of policies and act as liaison with sponsors or oversight agencies | X | X | X | ||||
| Develop institutional training curricula | X | X | X | ||||
| Provide training in areas of research compliance | X | X | X | ||||
| Monitor effectiveness of training programs | X | X | X |
Roles and Responsibilities
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Advise PI on funding search tools and use | X | ||||||
| Identify funding opportunities | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Provide proposal forms and application materials | X | ||||||
| Prepare technical proposal and identify the need for subcontracts/subagreements | X | ||||||
| Prepare proposal budget and budget justification | X | ||||||
| Provide help to PI on budget preparation | X | X | |||||
| Communicate changes in fringe benefit rates | X | ||||||
| Request matching/cost share funds and/or identify in-kind contributions | X | ||||||
| Identify Program income | X | ||||||
| Approve departmental matching funds | X | ||||||
| Approve Dean's matching funds | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Prepare and route Proposal Transmittal Form | X | ||||||
| Help PI prepare and route Proposal Transmittal Form | X | ||||||
| Review and approve proposal for scientific merit, resource utilization, etc. prior to submission to Sponsored Projects | X | X | |||||
| Approve F&A split(s) | X | ||||||
| Identify and approve on- and off-campus space needs for project and request modifications | X | ||||||
| Review proposals for completeness and adherence to sponsor and other regulations, including Uniform Guidance | X | ||||||
| Determine appropriate F&A rate | X | ||||||
| Approve proposals | X | ||||||
| Submit proposals electronically | X | ||||||
| Submit proposals (paper versions) | X | ||||||
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Comply with federal, state, and University policies governing sponsored programs and misconduct in research | X | ||||||
| Identify conflicts of interest and provide appropriate disclosures | X | ||||||
| Complete appropriate forms for all relevant compliance committees and ensure compliance in accord with protocol applications | X | ||||||
| Review COI disclosures and approve management plans and ensure compliance | X | ||||||
| Perform required review and approval of protocol | X | ||||||
| Conduct investigations into adverse events | X | ||||||
| Maintain records on protocol approvals (including continuations, amendments, and revisions) | X | ||||||
| Prepare reports of expired protocols | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Negotiate and accept awards and determine project type | X | ||||||
| Communicate all terms and conditions to PI/Project Director | X | ||||||
| Negotiate and establish subcontracts | X | ||||||
| Approve pre-award chart strings | X | ||||||
| Establish pre-award chart strings | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Establish restricted award chart strings | X | ||||||
| Communicate restricted award chart string details to PI and department | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Conduct sponsored project and provide oversight for all project activity | X | ||||||
| Review programmatic changes to the project | X |
| At the Outset | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
|---|---|---|---|---|---|---|---|
| Confirm availability of project funds | X | X | |||||
| Maintain local oversight of project budget | X | X | |||||
| Set up payroll on awards | X | ||||||
| Hire and/or terminate project personnel | X | ||||||
| Track current and pending effort commitments | X | ||||||
| Ensure award expenditures comply with OMB Uniform Guidance and University and state policies | X | ||||||
| Receive contractor invoice(s) | X | ||||||
| Coordinate the Single audit and all other audits | X |
| During Project Period | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
|---|---|---|---|---|---|---|---|
| Review and Certify Annual Payroll Reports | X | ||||||
| Provide local oversight for Payroll Report certification | X | ||||||
| Document cost transfer requests | X | ||||||
| Request re-budgeting, carry-forward, changes in personnel, no-cost extensions, etc. to sponsor for administrative or programmatic changes | X | ||||||
| Obtain sponsor approvals for re-budgeting | X | ||||||
| Approve re-budgeting requests not under expanded authorities | X | ||||||
| Propose resolution of award overdrafts | X | ||||||
| Review and approve cost transfers and resolutions to overdrafts | X | ||||||
| Receive contractor invoice(s) | X | ||||||
| Approve work done by subcontractor | X | ||||||
| Monitor receipt of program income | X | ||||||
| Identify and evaluate issues related to program income | X | ||||||
| Use monthly reports for financial monitoring and identify and resolve errors | X | X | |||||
| Approve carry-forward and endorse requests to sponsor for administrative or programmatic changes initiated by PI | X |
| Post-Award Accounting Actions | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
|---|---|---|---|---|---|---|---|
| Prepare and submit invoices to sponsors and letter of credit draws, manage accounts receivable | X | ||||||
| Report cost sharing on projects | X | ||||||
| Process payment of all invoices from subcontractors and providers | X | ||||||
| Submit all interim and certify all final financial reports | X | ||||||
| Coordinate the Single audit and all other audits | X | ||||||
| Resolve payment problems with sponsors | X | ||||||
| Subrecipient monitoring | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Provide information for or submit all interim and final technical reports in accordance with award terms and conditions | X | X | |||||
| Notify PI of account termination | X | ||||||
| Identify uncollectibles, inactivate or close out accounts | X | ||||||
| Relinquish awards | X | ||||||
| Work with departments and PIs/Program Directors when reports are delinquent | X | X | |||||
| Retain the scientific data | X | ||||||
| Retain Grant Document of Record | X | ||||||
| Retain Financial Information | X |
| PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
|---|---|---|---|---|---|---|---|
| Maintain institutional database of proposals and awards | X | X | |||||
| Request Residual Balances | X | ||||||
| Invention, patent, licensing, commercialization-Innovation Gateway | X |
Budget Tools
SPA has new One Source friendly budget templates that incorporate account codes into the budget development process. The idea is this will reduce the number of budget errors in the financial system once the project is awarded. We have a simple budget and a detailed budget. Please feel free to use them when developing your proposal. More information on the use of these budget templates can be found here.