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| Training and Education | |||||||
|---|---|---|---|---|---|---|---|
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| Review, interpret, and disseminate policies from sponsors | X | X | |||||
| Review, interpret, and disseminate policies from research compliance oversight agencies | 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 | ||||
| Identifying Funding Opportunities | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| Advise PI on funding search tools and use | X | ||||||
| Identify funding opportunities | X | ||||||
| Proposal Preparation | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | 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 | ||||||
| Proposal Review, Approval, and Submission | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | 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 OSP | 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 OMB A-21 | X | ||||||
| Determine appropriate F&A rate | X | ||||||
| Approve proposals | X | ||||||
| Submit proposals electronically | X | ||||||
| Submit proposals (paper versions) | X | ||||||
| Compliance Issues | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | 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 | ||||||
| Pre-Award Negotiation and Acceptance | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | 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 accounts | X | ||||||
| Establish pre-award account | X | ||||||
| Award Set-Up | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| Establish restricted award account | X | ||||||
| Communicate restricted award account details to PI and department | X | ||||||
| Conducting the Project | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| Conduct sponsored project and provide oversight for all project activity | X | ||||||
| Review programmatic changes to the project | X | ||||||
| Post-Award Financial | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| At the Outset | |||||||
| 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 A-21 and University and state policies | X | ||||||
| During Project Period | |||||||
| Certify effort reports (PARs) | X | ||||||
| Provide local oversight for effort 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 rebudgeting | |||||||
| 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 | ||||||
| C&G Accounting Actions | |||||||
| 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 A-133 audit and all other audits | X | ||||||
| Resolve payment problems with sponsors | X | ||||||
| Subrecipient monitoring | X | ||||||
| Project Close Out | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | 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 | ||||||
| Other | |||||||
| PI | DEPT ADM | DEPT HEAD | DEAN | OSP | C&G | COMPLIANCE | |
| Maintain institutional database of proposals and awards | X | X | |||||
| Request Residual Balances | X | ||||||
| Invention, patent, licensing, commercialization | X |
