Sponsored Project Training Program
Roles and Responsibilities
Beverly Blakeney, Richard Fanus & Jennifer Gagnon
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
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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
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Overview

Solution
◦ Clearly delineate roles and responsibilities
◦ Ensure those engaged in grant lifecycle
understand their functions
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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)

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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

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PI Responsibilities

Programmatic Responsibilities
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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
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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
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PI Responsibilities

Administrative/fiscal responsibilities
◦
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◦
◦
◦
◦
◦
◦
◦
◦
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
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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
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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
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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
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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 SPA 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 dean’s
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.)
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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
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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
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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
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VP for Research Defined

University’s chief official responsible for
direction, guidance, and support of the
University’s research mission
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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
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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
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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
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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
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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
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SPA: Pre-Award Responsibilities
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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:
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Proposal budget development
Administrative forms
Sponsor-required certifications and representations,
Compliance requirements
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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
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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
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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
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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
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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
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Additional Resources

Roles and Responsibilities on Sponsored
Project Administration website:
http://www.uvm.edu/spa/?Page=rolesandresponsibilities.ht
ml
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Conclusion

Outlined roles and responsibilities for all
parties within the grant lifecycle
◦ Facilitate more efficient grants management
processes
◦ Mitigate compliance risks
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Questions/Contact Info
Dean’s Offices
 Sponsored Project Administration

◦ 217 Waterman Building
◦ 656-3360
◦ http://www.uvm.edu/spa/
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