Roles and Responsibilities

1. SPTP Roles and Responsibilities Sponsored Project Training Program Beverly Blakeney, Richard Fanus & Jennifer Gagnon

2. 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 Project Training Program

3. 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 Project Training Program

4. Overview • Solution • Clearly delineate roles and responsibilities • Ensure those engaged in grant lifecycle understand their functions Sponsored Project Training Program

5. Roles • Principal Investigator (PI) • Department Head/Chair • Dean • Business Unit Administrator • VP for Research and Dean of Graduate College • VP for Finance and Administration • Sponsored Project Administration (SPA) Sponsored Project Training Program

6. 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 Project Training Program

7. 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 Project Training Program

8. 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 Project Training Program

9. PI Responsibilities • Administrative/fiscal responsibilities • Initiates guaranteed funding/advanced account requests • Monitors project’s 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 SPA with AR collections as needed Sponsored Project Training Program

10. 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 Project Training Program

11. 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 Project Training Program

12. 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 Project Training Program

13. 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 Project Training Program

14. 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 Project Training Program

15. 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 SPA for exceptions to PI eligibility Sponsored Project Training Program

16. 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 dean’s office • Assists with compliance with technical and financial reporting, as necessary • Conducts inquiry under Scientific Misconduct Policy Sponsored Project Training Program

17. 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 Project Training Program

18. 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 Project Training Program

19. 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 Project Training Program

20. 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 Project Training Program

21. 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 SPA know the grant is ready for the final financial report • Serves as resource to PI for any financial or human resource issue Sponsored Project Training Program

22. VP for Research Defined • University’s chief official responsible for direction, guidance, and support of the University’s research mission Sponsored Project Training Program

23. VP for Research Responsibilities • Responsibilities • Shapes the University’s research strategic plan and oversees its implementation • Promotes interdisciplinary research activities • Oversees Sponsored Project Administration and other offices that make up the administrative infrastructure supporting the University’s research mission Sponsored Project Training Program

24. VP for Finance Defined • University’s chief official responsible for the financial position and transactions of the University • Oversees accounting and internal controls for all departments of the University Sponsored Project Training Program

25. VP for Finance Responsibilities • Responsibilities • Oversees financial transactions and position of the University • University’s effort management system • Negotiation of University’s Facilities and Administration rate with federal agencies Sponsored Project Training Program

26. Sponsored Project Administration (SPA) 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 actions necessitating agency approval • Establishes University sponsored project administration policies and procedures Sponsored Project Training Program

27. Sponsored Project Administration (SPA) Defined (continued) • Enters an award’s accounting information in the University’s 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 Project Training Program

28. SPA: Pre-Award 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 Project Training Program

29. SPA: Pre-Award 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 Commercialization for Intellectual Property provisions • Maintains database of University-wide proposal and award activity (InfoEd) • Provides tools for electronic routing and submission of proposals Sponsored Project Training Program

30. SPA: Pre-Award 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 Project Training Program

31. SPA: Post-Award 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 Project Training Program

32. SPA: Post-Award 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 • Final financial report • AR reconciliation • Soft and hard close of award in PeopleSoft Sponsored Project Training Program

33. SPA: Post-Award 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 Project Training Program

34. Additional Resources • Roles and Responsibilities on Sponsored Project Administration website: http://www.uvm.edu/spa/?Page=rolesandresponsibilities.html Sponsored Project Training Program

35. Conclusion • Outlined roles and responsibilities for all parties within the grant lifecycle • Facilitate more efficient grants management processes • Mitigate compliance risks Sponsored Project Training Program

36. Questions/Contact Info • Dean’s Offices • Sponsored Project Administration • 217 Waterman Building • 656-3360 • http://www.uvm.edu/spa/ Sponsored Project Training Program