Roles and Responsibilities

1
Roles and Responsibilities
SPTP

• Sponsored Projects Training Program

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

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

4
Overview

• Solution
• Clearly delineate roles and responsibilities
• Ensure those engaged in grant lifecycle
  understand their functions

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
• Office of Sponsored Programs, Pre-Award Services
  (PAS)
• Grant and Contract Administrative Services (GCA)

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

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

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

9
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

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

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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

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

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

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

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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

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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

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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

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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

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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

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

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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

22
VP for Research Defined

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

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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

24
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

25
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

26
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

27
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

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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

29
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

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Grant and Contract Administrative Services (GCA)
Defined

• Enters an awards accounting 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

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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

32
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

33
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

34
Additional Resources

• Roles and Responsibilities in Sponsored Projects
  website
• https//www.uvm.edu/ospuvm/?Pageroles/default.ph
  p

35
Conclusion

• Outlined roles and responsibilities for all
  parties within the grant lifecycle
• Facilitate more efficient grants management
  processes
• Mitigate compliance risks

36
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,
  6-4067
• Grant and Contract Administrative Services
• http//www.uvm.edu/gcaacct/
• 223 Waterman Building, 6-1459