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Sponsored Projects Training Program

Roles and
Responsibilities

Objectives
Clearly

articulate roles of all


individuals in the grant lifecycle
Facilitate broader understanding
Ensure effective cradle to grave
grants management
Provide appropriate support of
individuals working in the grant
lifecycle
Mitigate compliance risks
Sponsored Projects Training
Program

Overview
Issues

Lack of clarity in job requirements


Duplication of effort
Tasks not carried out until problems arise

Lack of ownership for tasks


Impossible to assess required skills and
knowledge and provide critical grant
training
Risks

Compliance
Audit findings
Inefficiencies
Sponsored Projects Training
Program

Overview
Solution

Clearly delineate roles and


responsibilities
Ensure those engaged in grant
lifecycle understand their functions

Sponsored Projects Training


Program

Roles
Principal Investigator (PI)
Department Head/Chair
Dean
Business Unit Administrator
VP for Research and Dean of

Graduate College
VP for Finance and Administration
Office of Sponsored Programs, PreAward Services (PAS)
Grant and Contract Administrative
Services (GCA)
Sponsored Projects Training
Program

Principal Investigator
Defined
Must

participate to a significant
intellectual degree in sponsored
project
Bears primary responsibility for
all essential aspects of work
being carried out
May delegate tasks to business
and support staff; but ultimately
responsible for project
Sponsored Projects Training
Program

PI Responsibilities
Programmatic

Responsibilities

Diligently pursue project aims


Manages project personnel
Monitors sub-recipient performance
Initiates required project changes
Request prior approval when necessary

Maintains and retains project data and


materials
Completes progress reports
Initiates timely requests for prior approval for
changes when required
Requests no-cost extensions when
appropriate
Sponsored Projects Training
Program

PI Responsibilities
Compliance

Responsibilities

Satisfies regulatory research


requirements
Ensures accurate and timely effort
reporting for project personnel
Discloses conflicts of interest when
required
Ensures scientific integrity of project
Discloses project inventions and
complies with University intellectual
property policy
Sponsored Projects Training
Program

PI Responsibilities
Administrative/fiscal

responsibilities

Initiates guaranteed funding/advanced account


requests
Monitors projects financial status
Manages project within budget limits
Approves expenditures
Assures expenses incurred are allowable,
reasonable, and allocable to project
Seeks prior approval for budget changes
Approves sub-recipient invoices
Ensures that cost-share requirements are met
Reviews final financial statements
Assists GCA with AR collections as needed
Sponsored Projects Training
Program

Department Head Defined


University

official with managerial


and fiscal responsibilities for a
designated area
Has supervisory responsibility
over individuals in the area
managed who:
Are engaged in sponsored projects
Provide administrative support for
those engaged in sponsored projects
Sponsored Projects Training
Program

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Department Head
Responsibilities
Responsibilities

Reviews and approves proposal budget and


justification
Mentors faculty investigators
Approves unit cost share and match from unit
funds
Approves faculty effort on all sources of support
Manages workload plans for unit faculty
Ensures research plan is consistent with unit
strategic plan and the overall University mission
Provides unit oversight for compliance with
regulatory research requirements

Sponsored Projects Training


Program

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Department Head
Responsibilities
Responsibilities

(cont.)

Ensures unit adherence to University


policies and procedures
Reviews and approves proposal routing
form for effort allocation, space usage,
quality, role of project as it relates to the
department mission
Requests exemptions regarding who may
be eligible to be a PI
Reviews and approves the use of
departmental space
Sponsored Projects Training
Program

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Department Head
Responsibilities
Responsibilities

(cont.)

Approves pre-award arrangements


Authorizes the use of unit funds for
establishment of a guaranteed
funding/advanced account

Provides unit oversight for the assignment


Hires and appoints individuals to the project

Provides unit oversight for compliance in:


Effort reporting, reporting of program income,
and all other award terms and conditions

Sponsored Projects Training


Program

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Dean Defined
Deans

support and promote


highest quality research for
respective college/school
Responsible for collegiate planning
Aligning plans for educational,
research, and other activities in their
college/school
Ultimate

accountability for
management of resources
Sponsored Projects Training
Program

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Dean Responsibilities
Responsibilities

Approves proposal submissions on behalf


of the college
Ensures adequate administrative support
for research and other sponsored projects
Approves college commitments for cost
sharing/matching
Reviews and approves space & facilities
commitments
Approves requests to Pre-Award Services
for exceptions to PI eligibility
Sponsored Projects Training
Program

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Deans Responsibilities
Responsibilities

(cont.)

Provides college oversight for


compliance with academic and
regulatory research requirements
Facilitates pre- and post-award research
administration between departments
and deans office
Assists with compliance with technical
and financial reporting, as necessary
Conducts inquiry under Scientific
Misconduct Policy
Sponsored Projects Training
Program

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Business Unit Admin


Defined
Provides

financial, human
resource, reporting and other
administrative support services
for Principal Investigators
Has a general understanding of:
Federal and other sponsor policies
and regulations
University policies and procedures
College guidelines as they pertain to
University grants and contracts
Sponsored Projects Training
Program

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Bus Unit Admin


Responsibilities

Responsibilities

Assists PI in proposal submission


Confirms chart strings for cost share
commitments
Assists PI in preparation of Guaranteed
Funding/advanced account requests
After award notification received, meets with PI
to make necessary setup entries
Sets up cost share chart string with budget entry
Determines personnel on grant and make
necessary salary distribution changes
Sets up automatic monthly expenditure reports,
if appropriate
Sponsored Projects Training
Program

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Bus Unit Admin


Responsibilities

Responsibilities (cont.)

Assists PI with recruitment efforts for


personnel
Enters requisitions for purchases
Assists PI with pur-card reallocations
Assists PI with travel and expense reports
Makes necessary journal entries to correct
expenses on grant
Resolves budget checking errors on
sponsored projects
Meets quarterly with PI to review grant
expenditures and effort reports
Makes any necessary prospective distribution or
other changes
Sponsored Projects Training
Program

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Bus Unit Admin


Responsibilities
Responsibilities

(cont.)

Monitors cost share commitments on a


quarterly basis and assists PI to ensure
commitments are met
Makes necessary notifications to change
default chartstrings or move pur-card
expenses to new chartstring
90 days prior to grant expiration
Meets with PI to review spending plans to
avoid any last minute changes or transfers

30 days prior to grant expiration


Runs Close Out report and assists in resolving
any outstanding issues
Sponsored Projects Training
Program

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Bus Unit Admin


Responsibilities
Responsibilities

(cont.)

20 to 30 days after grant ends


Runs Close Out report and correct any errors

30 days after grant ends


Lets Grant and Contract Administrative
Services know the grant is ready for the final
financial report

Serves as resource to PI for any financial or


human resource issue

Sponsored Projects Training


Program

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VP for Research Defined


Universitys

chief official
responsible for direction,
guidance, and support of the
Universitys research mission

Sponsored Projects Training


Program

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VP for Research
Responsibilities

Responsibilities

Shapes the Universitys research


strategic plan and oversees its
implementation
Promotes interdisciplinary research
activities
Oversees Pre-Award Services and other
offices that make up the administrative
infrastructure supporting the
Universitys research mission
Sponsored Projects Training
Program

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VP for Finance Defined


Universitys

chief official
responsible for the financial
position and transactions of the
University
Oversees accounting and internal
controls for all departments of
the University

Sponsored Projects Training


Program

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VP for Finance
Responsibilities
Responsibilities

Oversees financial transactions and


position of the University
Grant and Contract Administrative
Services (GCA)
Universitys effort management
system
Negotiation of Universitys Facilities
and Administration rate with federal
agencies
Sponsored Projects Training
Program

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Pre-Award Services
Defined

Reviews and provides institutional


endorsement for all proposals to
external sponsors
Assures compliance with University
policies and sponsor terms and
condition
Institutional authority for the
negotiation and acceptance of financial
support grants and contracts
(contractually binding)
Authorizes post-award actions
necessitating agency approval
Sponsored Projects Training
Program

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Pre-Award Services
Responsibilities
Responsibilities

Disseminates funding opportunity information


Reviews proposals for compliance with
university policies and sponsor proposal
guidelines
Approves and authorizes submission of
proposals on behalf of the institution
Provides policy guidance and assistance with
all aspects of:

Proposal budget development


Administrative forms
Sponsor-required certifications and representations,
Compliance requirements
Sponsored Projects Training
Program

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Pre-Award Services
Responsibilities
Responsibilities

(cont.)

Reviews, negotiates, and approves terms


and conditions of award
Confirms PI acceptance of project terms and
conditions
Approves and expedites pre-award
arrangements
Coordinates with Office of Technology
Transfer for Intellectual Property provisions
Maintains database of University-wide
proposal and award activity
Provides tools for electronic routing and
submission of proposals
Sponsored Projects Training
Program

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Pre-Award Services
Responsibilities
Responsibilities

(cont.)

Writes and endorses subawards


Confirms approval of regulatory
compliance involving humans, animals,
recombinant DNA
Notifies sponsors of post-award
modifications approved under expanded
authorities
Provides training on sponsored project
policies and submission tools

Sponsored Projects Training


Program

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Grant and Contract


Administrative Services
Enters an awards accounting
(GCA)
Defined
information in the Universitys financial

system
Performs all invoicing for awards
Monitors activities to ensure compliance
with appropriate federal, sponsor, and
University regulations and policies
Provides guidance to the University
research community on these issues
Coordinates sponsored project audit
activities
Sponsored Projects Training
Program

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GCA Responsibilities
Responsibilities

Sets up and maintains award, project and


contract information in financial system
(PeopleSoft)
Prepares invoices
Draws cash from letters of credit
Prepares interim and final financial
reports
Manages cash, including:
Bank reconciliation activities
Deposits and posts sponsor payments
Engages in accounts receivable (AR) collections
Sponsored Projects Training
Program

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GCA Responsibilities
Responsibilities

(cont.)

Reviews project financial activity for


compliance with federal, sponsor, and
University policies and regulation
Approves cost transfer activities
Closes out awards, in conjunction with PI,
business unit administrator, and Pre-Award
Services
Final financial report
AR reconciliation
Soft and hard close of award in PeopleSoft
Sponsored Projects Training
Program

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GCA Responsibilities
Responsibilities

(cont.)

Provides guidance and training to research


community about financial compliance issues,
federal regulations, and award-specific
financial terms & conditions
Establishes University post-award
administration policies & procedures
Monitors Subrecipients
Coordinates sponsored project audit activities,
including the annual A-133 audit

Sponsored Projects Training


Program

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Additional Resources
Roles

and Responsibilities in
Sponsored Projects website:

https://www.uvm.edu/~ospuvm/?Page=roles/de
fault.php

Sponsored Projects Training


Program

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Conclusion
Outlined

roles and responsibilities


for all parties within the grant
lifecycle
Facilitate more efficient grants
management processes
Mitigate compliance risks

Sponsored Projects Training


Program

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Questions/Contact Info
Deans

Offices

Office

of Sponsored Programs, Pre-Award


Services

http://www.uvm.edu/~ospuvm/
Main Campus Office & Funding Information,
340 Waterman Building, 6-3360
Health Sciences Office, 231 Rowell Building, 64067

Grant

and Contract Administrative Services

http://www.uvm.edu/~gcaacct/
223 Waterman Building, 6-1459

Sponsored Projects Training


Program

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