roles and responsibilities sponsored project training program beverly blakeney, richard fanus &...

Roles and Responsibilities

Sponsored Project Training Program

Beverly Blakeney, Richard Fanus & Jennifer Gagnon

Sponsored Project Training Program 2

ObjectivesClearly 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


OverviewIssues

◦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 trainingRisks

◦Compliance◦Audit findings◦ Inefficiencies


OverviewSolution

◦Clearly delineate roles and responsibilities

◦Ensure those engaged in grant lifecycle understand their functions


RolesPrincipal Investigator (PI)Department Head/ChairDeanBusiness Unit AdministratorVP for Research and Dean of

Graduate CollegeVP for Finance and Administration Sponsored Project Administration

(SPA)


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


PI ResponsibilitiesProgrammatic 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


PI ResponsibilitiesCompliance 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


PI ResponsibilitiesAdministrative/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


Department Head DefinedUniversity 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


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


Department Head ResponsibilitiesResponsibilities (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


Department Head ResponsibilitiesResponsibilities (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


Dean DefinedDeans 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


Dean ResponsibilitiesResponsibilities

◦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


Deans ResponsibilitiesResponsibilities (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


Business Unit Admin DefinedProvides 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


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


Bus Unit Admin ResponsibilitiesResponsibilities (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



◦ 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



◦ 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


VP for Research DefinedUniversity’s chief official

responsible for direction, guidance, and support of the University’s research mission


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


VP for Finance DefinedUniversity’s chief official

responsible for the financial position and transactions of the University

Oversees accounting and internal controls for all departments of the University


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 Administration (SPA) DefinedReviews 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 Administration (SPA) Defined (continued)Enters an award’s accounting

information in the University’s financial system

Performs all invoicing for awardsMonitors 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


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



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



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


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



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



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


Additional ResourcesRoles and Responsibilities on

Sponsored Project Administration website:

http://www.uvm.edu/spa/?Page=rolesandresponsibilities.html




ConclusionOutlined roles and responsibilities

for all parties within the grant lifecycle◦Facilitate more efficient grants

management processes◦Mitigate compliance risks


Questions/Contact InfoDean’s OfficesSponsored Project Administration

◦217 Waterman Building◦656-3360◦http://www.uvm.edu/spa/

http://www.uvm.edu/spa/