ROLES AND RESPONSIBILITIES* FOR EXTERNAL AWARDS MADE TO DAVIDSON COLLEGE Responsible (individual ultimately responsible for getting the work done) Accountable (signatory authority; expected to justify actions taken or decisions made) Consulted (subject matter expert involved before decisions are made) Informed (kept up-to-date on progress of task) PI Identification of Funding Opportunities Search for opportunities Provide guidance on funding opportunities Proposal Preparation Write technical narrative Identify subcontractors and request budget and workscope materials Develop budget Identify need for cost sharing funds Evaluate requests for F&A waivers or reductions Coordinate space arrangements Provide expert guidance on proposal preparation Complete the Proposal Routing Form Page 1 of 9
Regulatory Requirements Complete compliance forms: Institutional Review Board, Animal Care and Use, etc. Complete conflict of interest disclosure form Review conflict of interest disclosure form and facilitate institutional oversight Proposal Review and Approval Confirm that proposal meets sponsor requirements Review proposal before sending to OGC Verify that cost sharing in proposal is listed on External Grants Prior Approval Record Review proposed cost sharing for appropriateness Provide institutional review and approval of proposal Proposal Submission Submit proposal to sponsors after institutional approval Page 2 of 9
Award Acceptance Accept sponsor notification of grant or contract award Review terms and conditions Negotiate terms and conditions with sponsor Approve award terms and conditions Award Set-Up Confirm that regulatory compliance requirements have been met Modify proposed budget Prepare post-award summary documents Review and discuss postaward documents Establish account number in general ledger Page 3 of 9
Conducting the Project - Financial Prepare financial transactions Initiate re-budgeting requests Approve re-budgeting requests Initiate no-cost extensions Approve no cost extensions (or forward to sponsor) Ensure that cost sharing is documented Initiate purchases Review and approve financial transactions Use financial reports to monitor and oversee expenditures Reconcile accounts on a quarterly basis Coordinate resolution of issues on oversight reports Invoicing and Financial Reporting Prepare and submit the invoice or financial report Page 4 of 9
Accounts Receivable Management Receive and deposit payments from sponsors Produce draw request (federal awards) Monitor and pursue the collections of overdue payments from sponsors Conducting the Project - General Review and approve incoming MTAs Complete invention disclosure form Ensure integrity of notebooks and data Prior Approvals Initiate prior approvals for changes to project Approve or forward to sponsor prior approvals for changes to project Ensure regulatory compliance offices are notified of changes to project Page 5 of 9
Subcontracts and Subawards Oversee programmatic aspects of subcontract/subaward Prepare, negotiate, and sign subcontracts/subawards Review and approve subcontract invoices Subrecipient monitoring Technical Reports Prepare and submit technical reports to sponsor Maintain the official copy of the technical report Personnel and Effort Certification Initiate hiring and appointment process Maintain the effort certification database and reporting system Complete necessary adjustments to award charges and/or payroll distribution Obtain necessary supervisory reviews and approvals Ensure accuracy of completed effort certification reports Page 6 of 9
Resolve problems or follow up on certifications not submitted Project End and Closeout Identify early close-out situations Ensure all appropriate expenditures have been posted to accounts Prepare final financial invoice/report Approve final financial invoice/report Resolve issues related to unreconciled accounts Ensure that all financial reports have been submitted to sponsor Ensure that all technical reports have been submitted to sponsor Ensure that all final invention reports have been submitted to sponsor Ensure that all patent reports have been submitted to sponsor Inactivate award account(s) in financial accounting system Page 7 of 9
Maintain official project documents for sponsored projects A-133 Audit Coordinate the A-133 audit for the entire College Ongoing Training Provide training to the research community regarding changes to policies and regulations PI: Principal Investigator - The principal investigator is the primary individual in charge of a research grant, cooperative agreement, contract, or other sponsored project. The principal investigator reports to a department head (or other designated official). Department Chair - The department chair is an academic leader with programmatic, managerial and fiscal responsibilities for a designated area, such as a department, program, or center. The department chair reports to the. The Vice President for Academic Affairs/Dean of Faculty is the academic leader who has programmatic, managerial and fiscal responsibilities for Academic Affairs, and who reports to the President. The 's office includes three Associate Deans and two Assistant Deans as well as administrative staff. Associate Dean for Faculty - The Associate Dean for Faculty has the responsibility to oversee research activities in the Office of Grants and Contracts and thus is delegated the authority to act on the 's behalf in matters relating to research. Associate Dean for Academic Administration - The Associate Dean for Academic Administration has the responsibility for matters of budget planning and administration and thus is delegated the authority to act on the 's behalf in matters relating to cost sharing and matching funds for research. Office of Grants and Contracts The Office of Grants and Contracts (OGC) is the only institutional unit legally able to submit proposals to external entities for financial support in the form of a contract, grant, or agreement, and legally able to commit the College on behalf of the Board of Trustees in the event an award is made. The Director of OGC is designated as the Institutional Official and has the authority to sign submitted proposals, to receive awards and to conduct any other official business with funding Page 8 of 9
agencies, whether federal or private. The Grants Assistant provides pre- and post-award services to faculty as well as administrative support for the Human Subjects/Institutional Review Board. The Grants Specialist is a central resource for external grant funding, compliance training and record keeping. The Grants Accountant is responsible for establishing a restricted fund in the accounting system that is specific to each award and providing post-award fiscal monitoring. Business Services Business Services receives award payments and processes accounts payable. Human Resources Human Resources provides support for the hiring of grant-funded positions and administers grant-funded payroll. * Rules for correct use of the RACI matrix: the roles that are responsible and accountable are only ever assigned to one person; sometimes the role that is accountable for a task is also responsible for achieving it in such circumstances the responsible role is omitted since it is implied; except for the previous exception, all roles are mutually exclusive for instance, you cannot have roles that are both responsible and consulted or consulted and informed; the role that is responsible seeks advice from the consulted this involves two-way communication; the role that is responsible updates the informed this is one-way communication. Page 9 of 9