East Carolina University Sponsored Projects Administration Roles and Responsibilities Matrix By Responsibility

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1 (See legend at end of matrix.) East Carolina University Sponsored Projects Administration Roles and Responsibilities Matrix By Responsibility This matrix is designed to provide general guidance on administrative matters related specifically to sponsored projects and is not a complete description of all campus business practices. When processing any transactional documents or approvals, the normal business practices, forms and hierarchy of approvals must be followed. Nothing in this matrix is intended to convey a waiver of established business practices or other, Dean, Division requirements that may not be reflected in this presentation. Roles / Responsibilities Overview 1 Participate in university research policy formulation 2 Oversee the research administration process and education/training in the responsible conduct of research 3 Review, interpret and disseminate policies from federal and non-federal funding agencies 4 Circulate policies and procedures from federal and non-federal sponsors and locally implement internal practices. 5 Keep current with policies related to compliance activities and assess and communicate their effect on the University 6 Disseminate, interpret and implement ECU policies related to grants and contracts 7 Prepare and negotiate F&A cost rate proposal 8 Communicate F&A rate to University personnel = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 1

2 9 Identify faculty or faculty groups able to respond to initiatives announced by various funding agencies 10 Coordinate programs where the Institution is restricted in number of allowable submissions 11 Work with the Congressional delegation to promote the University s areas of priority for funding 12 Maintain database of proposal submissions and awards and provide reports to administrators for tracking funding trends and determining resource allocation 13 Assist with implementation of electronic proposal processing systems 14 Act as liaison with granting agencies, facilitating proposal development and promoting interaction with interested faculty 15 Maintain RAMSeS, research administration database Proposal Development and Budgeting General 16 Review RFA, RFP or program announcement for technical requirements 17 Review RFA, RFP or program announcement for administrative requirements and institutional compliance 18 Provide application materials and guidance for the completions of application kits = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 2

3 19 Confirm that the proposal meets requirements outlined in the application guidelines 20 Ensure that the applicant has attended required training courses 21 Ensure that the applicant is eligible to be a principal investigator and verify their salary 22 Ensure that project personnel are eligible (e.g., foreign nationals) 23 Assures that the proposed project is appropriate in nature and scope 24 Assures that the proposed project has qualified personnel 25 Assures that the proposed project has adequate space Technical Proposal = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 3 26 Prepare technical proposal 27 Identify the need for subcontracts 28 Identify and request on or off-campus space needed in addition to that already assigned to the 29 Process requests for additional or offcampus space (+ current space) 30 Prepare the appropriate forms for the IRB,, Biosafety committee, HIPPA, etc. 31 Identify significant conflicts of interest, prepare COI disclosures Proposal Budget 32 Develop and prepare proposal budget and budget justification (including modular)

4 33 Provide help as needed to s and others on preparation of budgets (including modular) and other forms 34 Review Budget and justification for allowability, reasonability and compliance with ECU and sponsor policies 35 Provide guidance to for justification of items in the proposal budget 36 Request matching funds or identify inkind contributions 37 Propose cost sharing through contributed effort 38 Ensure that Cost Accounting Standards are being followed 39 Verify that correct facilities and administrative rate (F&A) is used in proposals 40 Obtain a facilities and administrative reduction/waiver, if appropriate 41 Collect and prepare, C&P, Resources/Facilities, Biosketches, other forms. 42 Disclose any conflict of interest issues 43 Collect letters of support and/or letters of intent from subawardees Proposal Review, Approval and Processing 44 Approve request for additional current space 45 Approve request for modifications or renovations to current space (depending on funding) = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 4

5 46 Prepares eipf in RAMSeS, including attachments of all application and other relevant documents 47 Route and approve complete proposal in RAMSeS 48 Approve technical proposal 49 Approve proposal budget and its justification (including modular budgets) 50 Determine that cost sharing through contributed effort is appropriate 51 Confirm that matching funds and cost sharing is documented and approved 52 Review application for correct administrative information = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 5 53 If applicable, approve release time 54 Review personnel time commitments 55 Review conflict of interest issues 56 Negotiate collaborative project splits 57 Work with Materials Management to develop Small Business Subcontracting Plan 58 Submits Small Business Subcontracting Plan with proposal 59 Prepares letters of collaboration/teaming agreements 60 Authorizes letters of collaboration/teaming agreements 61 Evaluate and approve requests for F&A rate reductions or waivers 62 Assure that proposals comply with the policies and procedures of the sponsor and institutions

6 63 If applicable, review any accompanying agreements 64 If applicable, obtain consortium letters Sign as the institutional official on behalf of the institution assuring institutional oversight 65 Submit fully approved applications electronically to sponsors 66 Copy and mail final copies to sponsor Award Acceptance and Establish Account Preaward 67 Request preaward fund setup (Letter of guarantee-log) in RAMSeS 68 Establish preaward funds (PAN) 69 Approve in RAMSeS preaward costs and commitment of department funds if project not funded 70 Review and approve LOG in RAMSeS Negotiation 71 Negotiate and approve the project scope 72 Develop and negotiate subcontracts in response to request 73 Initiate subawards via submission of subcontract checklist 74 Assist OSP as needed to obtain information during award negotiations 75 Ensure subaward compliance with FFATA and A Negotiate, approve, and notify the of the project terms and conditions = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 6

7 77 Modify the project budget in line with the award budget provided by the sponsor 78 Notify the department chair and OSP about any changes in project scope and budget 79 Notify the appropriate regulatory office if changes to project scope will affect approved protocols Acceptance 80 Receive the Notice of Grant Award 81 Accept the agreement on behalf of ECU 82 Notify the that the award has been received and send copy of the Notice of Grant Award to the and Business Administrator 83 Review the Notice of Grant Award 84 Agrees to all terms and conditions, regarding performance clauses 85 Establish the project fund in the financial system 86 Notify the and administration that the account is established 87 Establish budget in accounting system 88 Assures and provides documentation of certifications of approvals to sponsor (e.g., IRB, ) Financial Management of Awards Budget and Cash Management 89 Attest to the allowability, reasonableness, allocability and consistency of all expenditures at the time expenditures are requested 90 Initiate request for rebudgeting = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 7

8 91 Review monthly financial reports 92 Process financial transaction requests 93 Assist in resolving payment problems with late or non-payment by funding agencies, in conjunction with the s 94 Provide institutional oversight on rebudgeting and cost transfers 95 Process payment of approved subcontractor invoices 96 Monitor subcontractor performance, progress and reporting requirements. 97 Approve or recommend approval of carry forward or unexpended funds 98 Perform overall cash management 99 Establish policy and procedures that ensure the accuracy and timeliness of all financial transactions posting to the general ledger 100 Initiate purchases 101 Initiate the process of documenting cost sharing and/or matching 102 Process cost transfer requests 103 Approve cost transfer requests 104 Identify and propose resolution of overdrafts 105 Approve payments of final subcontractor invoices 106 Prepare documents and provide information for rebudgeting 107 Prepare the documents for cost transfers = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 8

9 108 Prepare documents and provide information for internal and external purchasing 109 Maintain local oversight for the project budget and the allowability and reasonableness of all expenditures 110 Review rebudgeting requests and either approve them or return them for issue resolution 111 Evaluate and approve cost transfer requests 112 Provide institutional oversight related to documenting cost sharing and/or matching 113 Review transactions based on dollar amounts, expense category, level of risk, and other specified criteria 114 Generate financial reports based on unusual trends, patterns, etc. 115 Oversee policy formation for cost transfers 116 Oversee policy formulation and provide institutional oversight to resolve overdrafts 117 Prepare and submit invoices to sponsors (except fixed fee clinical trials) 118 Prepare and submit invoices to sponsors for fixed fee, clinical trials 119 Receive payments from sponsors and deposit them in University accounting Financial Reporting = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 9

10 120 Act as liaison with sponsors and auditors during financial compliance reviews, audits or other financial management examinations 121 Determine and evaluate the impact on the University of any changes in federal, state or other sponsor financial regulations or audit standards 122 Provide information for and prepare financial reports for internal use 123 Provide information for and prepare financial reports to external sponsors. 124 Review, approve, sign financial correspondence to sponsors 125 Use monthly reports for financial monitoring and identify and resolve errors on the account in a timely manner 126 Provide timely and accurate financial information/reports through the general ledger systems Non-Financial Management of Awards 127 Responsibility for compliance oversight of technical aspects of research activities 128 Day-to-day management of scientific activities and conduct of the sponsored project 129 Hire or assign research personnel for project 130 Prepare documentation for appointment of individuals to project 131 Complete and submit technical reports = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 10

11 132 Participate in negotiation when reports are incomplete, deliverables are unacceptable to the sponsor or when other problems arise. 133 Initiate material transfer agreements 134 Complete the progress report for noncompetitive renewals 135 Encourage, support, and attest to appropriate education in proper conduct of research by departmental personnel 136 Provide oversight on implementation of University, state and federal policies and regulations at the department level 137 Provide local oversight over appointment of individuals to the project 138 Review programmatic changes to the project and provide local oversight 139 Provide institutional endorsement to the sponsor for requests for administrative or programmatic changes initiated by the principal investigator 140 Review and approve incoming materials transfer agreements 141 Negotiate, process and approve subcontracts Effort Reporting 142 Complete effort report 143 Provide information for compliance with effort reporting policy 144 Distribute effort reports 145 Provide local oversight for effort certification = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 11

12 146 Ensure compliance with effort reporting policy Inventions = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) Disclose invention information 148 Review invention disclosure information 149 Evaluate disclosure forms and notify the 150 Provide invention disclosure and patent application progress reports to sponsors (e.g., Edison) 151 Prepare patent applications and file them with USPTO 152 Initiate and approve licensing agreements subject to COI 153 Distribute payments pursuant to contract (e.g., milestone, royalty) Award Close-Out 154 Resolve overdrafts 155 Approve resolution of overdrafts 156 Complete and submit Transfer forms 157 Prepare and submit final financial report 158 Review and accept final financial report 159 Provide information for closing reports 160 Notify the of the need for completion and dispatch of the final technical report 161 Retain the scientific data 162 Resolve issues related to late payment and problems with collection of awarded funds 163 Establish policies and procedures governing late payments and the removal of uncollected receivables/costs.

13 164 Implement policies and procedures governing late payments and the removal of uncollected costs 165 Provide oversight for record retention and ownership of scientific data 166 Provide oversight for record retention and ownership of financial data 167 Delete or inactivate the fund Compliance 168 Comply with ECU policies on misconduct in research, conflict of interest, drug-free workplace, lobbying, etc. 169 Identify potential or actual conflicts of interest 170 Review proposals to determine whether the potential COI may reasonably be thought to directly and significantly affect the design, conduct, or reporting of the sponsored research or educational activities 171 Determine what conditions or restrictions, if any, should be imposed to manage, reduce, or eliminate the conflict of interest 172 Inform the, Head, and Dean of decisions related to conflicts 173 Promote compliance with ECU policies and procedures and applicable laws and regulations, and improve operational efficiencies 174 Provide institutional oversight for adherence to protocols and policies for research involving live animals and human subjects = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 13

14 175 Provide institutional oversight for adherence to protocols and policies if the research involves recombinant DNA, infectious agents or biological toxins 176 Adhere to chemical, biological, physical and radiation safety requirements, and notify the appropriate office if accidents occur 177 Adhere to the policies and procedures for using investigational new drugs for clinical research 178 Direct the research compliance training initiatives throughout the University 179 Conduct periodic reviews of institutional policies 180 Provide training within schools to ensure compliance with changing regulations 181 Work with Deans and other research administrators to promote awareness and importance of responsible conduct of research, and compliance with Federal and professional guidelines 182 Act as liaison with federal regulatory agencies during external compliance reviews (non-financial) 183 Determine and evaluate the impact of any changes in federal and other sponsor regulations on the University (nonfinancial) 184 Review current practices to identify research compliance risks 185 Develop policies and procedures designed to communicate compliance requirements and limit compliance risk = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 14

15 186 Prepare training content and curricula, conduct compliance training, monitor the delivery of the training and assess the effectiveness of the training 187 Monitor compliance requirements and develop communication and training related to Conflict of Interest 188 Monitor compliance requirements and develop communication and training related to research involving animal subjects 189 Monitor compliance requirements and develop communication and training related to research involving recombinant DNA, infectious agents or biological toxins 190 Monitor compliance requirements and develop communication and training to communicate other financial and nonfinancial compliance requirements 191 Assist with the determination of appropriate responses to incidents of non-financial compliance and ensure consistent response to these incidents 192 HIPPA (Train and monitor) 193 Respond to financial audit findings 194 Coordinates and primary liaison for A133 audit and other sponsored projects audits, desk reviews and site visits. = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 15

16 Definitions: : Principal Investigator Admin: administrative staff assigned to assist Principal Investigator : Department Office: School/College Office or equivalent OSP: Office of Sponsored Programs OGC: Office of Grants & Contracts OTT: Office of Technology Transfer F&A: Vice Chancellor of Finance & Administration : Vice Chancellor of Research & Graduate Studies : Office of Research Compliance Administration : As appropriate, human investigations committee, animal care and use committee, environmental safety committee : University Research Committee/Assistant for Research or other faculty advisory group. : Various other units outside of those specifically cited that may be involved with selected issues including but not limited to: Chancellor, General Counsel; Executive Committee; Academic Affairs; Institutional Planning, Assessment and Research; Materials Management; Accounts Payable; Travel Office; Government & Community Relations; Information Technology; Facilities Management; Environmental Health and Safety; Internal Audit; Development Office, etc. i Admin: As defined by School/College/Division; will vary across campus but intended to designate the position, office or individuals normally providing local support to the. = Primary Responsibility; Driver to address or resolve issue = Involved or participates in resolution (11/2011 last update) 16