Roles and Responsibilities

 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Review, interpret, and disseminate policies from sponsorsXX
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 agenciesXXX
Develop institutional training curriculaXXX
Provide training in areas of research complianceXXX
Monitor effectiveness of training programsXXX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Advise PI on funding search tools and useX
Identify funding opportunitiesX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Provide proposal forms and application materialsX
Prepare technical proposal and identify the need for subcontracts/subagreementsX
Prepare proposal budget and budget justificationX
Provide help to PI on budget preparationXX
Communicate changes in fringe benefit ratesX
Request matching/cost share funds and/or identify in-kind contributionsX
Identify Program incomeX
Approve departmental matching fundsX
Approve Dean's matching fundsX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Prepare and route Proposal Transmittal FormX
Help PI prepare and route Proposal Transmittal FormX
Review and approve proposal for scientific merit, resource utilization, etc. prior to submission to Sponsored ProjectsXX
Approve F&A split(s)X
Identify and approve on- and off-campus space needs for project and request modificationsX
Review proposals for completeness and adherence to sponsor and other regulations, including Uniform GuidanceX
Determine appropriate F&A rateX
Approve proposalsX
Submit proposals electronicallyX
Submit proposals (paper versions)X
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Comply with federal, state, and University policies governing sponsored programs and misconduct in researchX
Identify conflicts of interest and provide appropriate disclosuresX
Complete appropriate forms for all relevant compliance committees and ensure compliance in accord with protocol applicationsX
Review COI disclosures and approve management plans and ensure complianceX
Perform required review and approval of protocolX
Conduct investigations into adverse eventsX
Maintain records on protocol approvals (including continuations, amendments, and revisions)X
Prepare reports of expired protocolsX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Negotiate and accept awards and determine project typeX
Communicate all terms and conditions to PI/Project DirectorX
Negotiate and establish subcontractsX
Approve pre-award chart stringsX
Establish pre-award chart stringsX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Establish restricted award chart stringsX
Communicate restricted award chart string details to PI and departmentX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Conduct sponsored project and provide oversight for all project activityX
Review programmatic changes to the projectX
At the OutsetPIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Confirm availability of project fundsXX
Maintain local oversight of project budgetXX
Set up payroll on awardsX
Hire and/or terminate project personnelX
Track current and pending effort commitmentsX
Ensure award expenditures comply with OMB Uniform Guidance and University and state policiesX
Receive contractor invoice(s)X
Coordinate the Single audit and all other auditsX
During Project PeriodPIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Review and Certify Annual Payroll ReportsX
Provide local oversight for Payroll Report certificationX
Document cost transfer requestsX
Request re-budgeting, carry-forward, changes in personnel, no-cost extensions, etc. to sponsor for administrative or programmatic changesX
Obtain sponsor approvals for re-budgetingX
Approve re-budgeting requests not under expanded authoritiesX
Propose resolution of award overdraftsX
Review and approve cost transfers and resolutions to overdraftsX
Receive contractor invoice(s)X
Approve work done by subcontractorX
Monitor receipt of program incomeX
Identify and evaluate issues related to program incomeX
Use monthly reports for financial monitoring and identify and resolve errorsXX
Approve carry-forward and endorse requests to sponsor for administrative or programmatic changes initiated by PIX
Post-Award Accounting ActionsPIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Prepare and submit invoices to sponsors and letter of credit draws, manage accounts receivableX
Report cost sharing on projectsX
Process payment of all invoices from subcontractors and providersX
Submit all interim and certify all final financial reportsX
Coordinate the Single audit and all other auditsX
Resolve payment problems with sponsorsX
Subrecipient monitoringX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Provide information for or submit all interim and final technical reports in accordance with award terms and conditionsXX
Notify PI of account terminationX
Identify uncollectibles, inactivate or close out accountsX
Relinquish awardsX
Work with departments and PIs/Program Directors when reports are delinquentXX
Retain the scientific dataX
Retain Grant Document of RecordX
Retain Financial InformationX
 PIDept. Adm.Dept. HeadDeanSPA Pre-AwardSPA Post-AwardCompliance
Maintain institutional database of proposals and awardsXX
Request Residual BalancesX
Invention, patent, licensing, commercialization-Innovation GatewayX

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 foundĀ here.