Roles and Responsibilities in Sponsored Program Management at University of Florida

HOBI Grants: Roles and HOBI Grants: Roles and Responsibilities Responsibilities Jamie Sims Research Administration Manager Department of Health Outcomes and Biomedical Informatics University of Florida, College of Medicine

R O L E S A N D R E S P O N S I B I L I T I E S Introduction Introduction The goal of this presentation is to provide a general overview of the roles and responsibilities of key individuals within the management and oversight of sponsored programs. At the end you will be provided with three handouts: Roles and Responsibilities provided by Office of Research Roles and Responsibilities HOBI Cross-Walk Matrix Award Life Cycle

R O L E S A N D R E S P O N S I B I L I T I E S Proposal Proposal Development and Submission Development and Submission The PI should: Work with the Grant/Fiscal managers to develop proposals with sufficient time for review and approval Determine if the level of effort required for a proposed project can be met relative to other effort commitments Meet department, college and sponsor due dates Recognize that the PI s electronic signature in myUFL and the signature on submitted proposal documents demonstrates that the PI will accept responsibility for project performance and reports if the award is made Disclose to the University any conflict of interest and pursue review and management of the award Disclose exchanges of information, items, and/or any international activities for review

R O L E S A N D R E S P O N S I B I L I T I E S Proposal Proposal Development and Submission Development and Submission The Project Manager/ARC should: Provide support to PI's for JITs, progress reports and other sponsor required reporting activities Work with the PI and Grant/Fiscal managers to develop proposals with sufficient time for review and approval by leadership Complete mandatory internal pre-award request prep forms Meet department, college and sponsor due dates Determine if the level of effort required for a proposed project can be met relative to other effort commitments Ensure that budgets, justifications and the scope of work are accurate at the time of submission Work as the liaison between the UF PI and outside constituents for all pre-award documentation

R O L E S A N D R E S P O N S I B I L I T I E S Award Documentation Award Documentation The PI should: Recognize that the PI shares responsibility with the unit s administrative staff for ongoing administrative management of sponsored projects. Not sign an award or agreement except where PI acknowledgment is required. DSP signs as the authorized official for UF. Review the award terms and conditions to confirm project deliverables and reports, as well as any restrictions on expenditures or project guidelines (i.e. no faculty salary, reduced fringe, approval from agency prior to rebudgeting, F&A, etc.). Identify significant dates and activities, such as report due dates, timelines for completion of milestones and requirements for award renewals or extensions (NCE).

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The PI should: Keep accurate and up-to-date project budget(s) and justification(s). Coordinate with the Grant/Fiscal managers to ensure that personnel and other expenditure records are maintained accurately. Verify that any expenditure charged to an award, whether for personnel, supplies, equipment, travel or any other expense, is allocable to the project as well as allowable and reasonable. This may include: Providing an explanation of how the expense directly benefits the specific project (not just your general research) Reviewing and approving all project requisition requests Reviewing and approving Travel Authorization Requests (TAR's) Justifying purchase orders submitted within 120 days of the end of a grant for the acquisition of equipment ($5,000 or greater) for review and approval by Contracts & Grants prior to purchase

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The PI should: Review award expenditures regularly (best practice = monthly) to ensure that expenditures are correct and appropriate in MyInvestigator. This includes maintaining a reasonable and consistent rate of spending. Many agencies are using data analytics and sample awards that have excessive spending patterns or slow rates of spending. These awards may be chosen for audit. Monitor effort to ensure the PI and key personnel are fulfilling the commitments agreed to in the contract. If needed, work with Fiscal/Grants to update distributions as changes become known. Cost analysis has a zero effort tolerance rule so distributions must be updated in real-time to prevent effort reporting and certification intolerances. Including communicating any change of effort more than 25% (increase or decrease) especially if the PI anticipates prolonged absences >90 days. Certify effort each semester for yourself and, when necessary, for project personnel. Per Federal Regulations and University policy effort certification must be completed within 30 days of the certification record for the semester being opened. If effort is not certified within 150 days C&G will suspend spending on projects affected by the delinquent report(s) and salary and fringe expenses will be moved to Departmental accounts.

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The PI should: Review and approve cost transfer requests including documentation that support the transfer. Per University policy: Outside of extraordinary circumstances, any payroll cost transfer requested that includes a semester term that has already been certified will not be approved. Outside of extraordinary circumstances, any non-payroll cost transfer requested 90 days after the expense was originally posted to the project will not be approved. Review and approve subrecipient invoices for payment. The PI is ultimately responsible for any misconduct by the subrecipient. Review and approve other project changes, some of which may require sponsor approval (i.e. rebudgeting, significant changes to a PI s effort on the project, changes to the scope of work etc ). Ensure all cost sharing associated with the project is met and in a timely manner. If the cost sharing includes contributions from third parties, such as school districts, non-profit agencies, state agencies, and/or private individuals, the PI must obtain Chair approval and forward documentation to the Grant/Fiscal managers. Cost sharing must be documented as it occurs the PI should not wait until the project is ending to start documenting cost sharing.

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The Project Manager/ARC should: Oversee conduct of the project, including work of collaborators and sub-recipients Ensure that project staff have completed any training and certification required by the university, by Federal or State regulation, or by the sponsor Maintain program-related records Ensure project time lines are withheld and deliverable dates are met Ensure the PI submits all required program reports Assist in preparation and submission results for publication Monitor and coordinate PI awards across all funding sources (start-up, pre-eminence, extramural, UF internal) Review meeting notes and date in PI designated smart sheet Accountability Timelines Award Stewardship

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The Project Manager/ARC should: Be responsible for post award documentation for subcontract execution and monitoring, including but not limited to verification of payment certifications and expenditure tracking. Maintain overall tracking of staffing FTEs and identify potential funding gaps and overages. Notify department Grant/Fiscal managers of any identified gap funding. Submit purchase orders, requisitions, Travel Authorization Requests, and travel expense reports via the Wizehive system (or delegates and oversees the process as appropriate). Coordinate with the Grant/Fiscal managers to ensure that personnel and other expenditure records are maintained accurately. Maintain accurate and up-to-date project budget(s) and justification(s)

R O L E S A N D R E S P O N S I B I L I T I E S Account Management Account Management The Project Manager/ARC should: Determine that any expenditure charged to an award, whether for personnel, supplies, equipment, travel, or any other expense, is allocable to the project as well as allowable and reasonable. This includes processing your requests through Wizehive. Make sure to provide an explanation on how the expense directly benefits the specific project (not just your general research) Review and obtain PI approval all project requisition requests Review and obtain PI approval on all Travel Authorization Requests (TAR's) Purchase orders submitted within 120 days of the end of a grant for the acquisition of equipment ($5,000 or greater) will require a justification and will be reviewed and approved by Contracts & Grants prior to purchase. Review award expenditures regularly with PI (best practice = monthly) to ensure that expenditures are correct and appropriate in MyInvestigator. Including maintaining a reasonable and consistent rate of spending (many agencies are using data analytics and sample awards that have excessive spending patterns or slow rates of spending for external audit).

R O L E S A N D R E S P O N S I B I L I T I E S Award Closeout Award Closeout Before the project ends (best practice = 3 months prior to the end date), the PI should: Review the project s financial status with the Grant/Fiscal managers Plan for updates and changes to payroll, transitioning either to a renewal period or to award expiration Assure that sub-recipients have submitted or will submit all required deliverables, reports and invoices Request a no-cost extension when allowable and appropriate Request pre-award spending for a renewal or continuation period when appropriate

R O L E S A N D R E S P O N S I B I L I T I E S Award Closeout Award Closeout Before the project ends (best practice = 3 months prior to the end date), the Project Manager/ARC should: Review the project s financial status with the primary PI and/or Chair and grant/fiscal managers Assure that sub-recipients have submitted or will submit all required deliverables, reports and invoices. Assist in planning, and communicating updates/changes to payroll, transitioning either to a renewal period or to award expiration Coordinate request for pre-award spending for a renewal or continuation period when appropriate Plan for updates and changes to payroll, transitioning either to a renewal period or to award expiration Coordinate request for a no-cost extension when allowable and appropriate

R O L E S A N D R E S P O N S I B I L I T I E S Award Closeout Award Closeout When a project expires or is terminated, the PI and Project Manager/ARC should: Meet sponsor s deadline(s) for final reports Submit any required final project report Submit any required final invention report Close out IRB and IACUC protocols Coordinate the return of any remaining participant gift cards Retain the project records for as long as they are useful, but for at least 3 years after submission of the final report (if any) or award termination, whichever is later.

R O L E S A N D R E S P O N S I B I L I T I E S Required Training Required Training In order to enhance the University s good practices in sponsored project accounting operations and to further appropriate stewardship of contracts and grants to all of our Sponsors, the University of Florida has the following training requirements: Training for Investigators, Department Chairs, Deans, and Center/Institute Directors: Two courses are now required: Effort Fundamentals (RSH220) and Cost Principles(RSH260). Investigators who have not successfully completed the course will have Notice of Award actions on their sponsored projects withheld until the training courses are completed. Training for staff: Access to grants transactions and information within myUFL and to reporting tools like MyInvestigator will be removed if the training is not completed. All UF employees who facilitate the development of sponsored project budgets, charging of costs, distribution or allocation of payroll, reporting, or any other fiscal activity for sponsored funds will be required to complete RSH260: Cost Principles. MyInvestigator role access requests should be emailed to HOBI-Fiscal@ufl.edu

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