1. 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 Program2

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 3Sponsored Project Training Program

4. Overview Solution ◦ Clearly delineate roles and responsibilities ◦ Ensure those engaged in grant lifecycle understand their functions 4Sponsored 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) 5Sponsored 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 6Sponsored 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 7Sponsored 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 8Sponsored 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 9Sponsored 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 10Sponsored 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 11Sponsored 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 12Sponsored 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 13Sponsored 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 14Sponsored 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 15Sponsored 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 16Sponsored 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 17Sponsored 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 18Sponsored 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 19Sponsored 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 20Sponsored 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 21Sponsored Project Training Program

22. VP for Research Defined University’s chief official responsible for direction, guidance, and support of the University’s research mission 22Sponsored 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 23Sponsored 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 24Sponsored 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 25Sponsored 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 26Sponsored 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 27Sponsored 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 28Sponsored 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 29Sponsored 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 30Sponsored 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 31Sponsored 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 32Sponsored 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 33Sponsored Project Training Program

34. Additional Resources Roles and Responsibilities on Sponsored Project Administration website: http://www.uvm.edu/spa/?Page=rolesandresponsibilities.ht ml Sponsored Project Training Program34

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

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