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General Administration

Identification of Funding Opportunities

Proposal Preparation

Proposal Review and Approval

Proposal Submission

Award Acceptance and Set-up

Regulatory Compliance

Managing the Award

Sponsor Invoicing and Cash Management

Sponsor Reporting

Award Closeout

Footnotes

 

Guide to the Roles and Responsibilities for Externally Sponsored Projects
 

Business Centers

Central Administration

  

PI

COL

BC

OSRAA

Other

Notes

 

General Administration

Provide training and outreach to the University Community in areas such as obtaining funding, managing sponsored projects and financial management

  

X1

X1

X

    

Prepare and negotiate the F&A cost proposal and negotiate final rates

        

FA & A

  

Maintain a proposal database (Cayuse)

      

X

    

Maintain an award database (for tracking actions)

      

X

    

Identify changes to policies impacting research administration and notify the University Community

 

X1

X1

X

ORI / ORD

  

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Identification of Funding Opportunities

Identify database of grant information and make it available to the University community

  

X1

    

ORD

  

Manage OSU limited submission program

        

ORD

  

Identify external funding opportunities

 

X1

    

ORD2

  

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Proposal Preparation

Prepare technical proposal

X3

          

Assure that the proposed project is appropriate in nature and scope, and consistent with departmental and institutional mission

X

          

Assure that the proposed project has qualified personnel and adequate space

X

          

Concurrence that proposed project is appropriate and consistent with OSU mission and that qualified personnel and space are available

  

X

        

Prepare adequate and accurate budget and budget narrative to accomplish the scope of work

X

X1

X1

      

Prepare sponsor specific forms, including any application packages

X

X1

X1

      

Prepare F&A Waiver request

X

          

Request and document approval for cost sharing/matching

X

          

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Proposal Review and Approval

Approve and provide documentation to OSRAA for cost sharing/matching

X

X1

X1

      

Review and approve F&A cost reductions or waivers

  

X

        

Provide justification for costs generally considered to be indirect to be charged as direct costs

X

          

Review requests for costs generally considered to be indirect to be charged as direct costs

  

X1

X1

      

Approve requests for costs generally considered to be indirect to be charged as direct costs

      

X

    

Prepare/Negotiate Non‐Disclosure Agreements

      

X

OCCD

  

Prepare/Negotiate Teaming Agreements

      

X

OCCD

  

Negotiate Material Transfer Agreements (MTAs)

        

OCCD

  

Approve Proposal (Cayuse) making all certifications and indicating concurrence with all commitments

     

X

    

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Proposal Submission

Provide authorized institutional signature on all proposals

      

X

    

Submit all proposals on behalf of the University

     

X4

    

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Award Acceptance and Set-up

Negotiate award documents to ensure award conditions are appropriate for the University

      

X

OCCD

( for Industry )

  

Agree to all terms and conditions, with emphasis on performance clauses (includes frequency of technical reports, special professional staff hourly reports, deliverables, termination conditions, etc.) in consultation with PI

      

X

OCCD

( for Industry )

  

Request advanced setup of “Pending Index” by providing an alternate funding source to guarantee expenses

X

          

Review and approval of “Pending” Index requests

  

X

X

X

OCCD

( for Industry )

  

Serves as institutional signatory to execute awards and contracts

      

X

OCCD

( for Industry )

  

Assign Grant/Fund/Index numbers for sponsored awards (award setup)

     

X

    

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Regulatory Compliance

Prepare and submit protocols for research involving human subjects, research animals and bio‐safety hazards

        

ORI

  

Assure that compliance requirements are met on an ongoing basis

        

ORI

  

Assure and provide documentation of certifications and representations to sponsor (for approval of research animals and bio‐safety hazards following committee approval)

        

ORI

  

Assure compliance with federal regulations and state statutes regarding disclosure of potential conflicts of interest

        

ORI

  

Assure compliance with export control laws

     

X

ORI ( is lead )

  

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Managing the Award

Provide oversight of sponsored project policies and administration

      

X

    

Provide oversight and financial management of specific awards

      

X

    

Initiate hiring of personnel and/or complete funding change forms to charge personnel to sponsored project

X

          

Review and approve personnel funding change forms and process changes

    

X

( HR )

     

Assure appropriateness, reasonableness and allowability of expenditures

X

  

X

X

OCCD

( for Industry )

  

Manage expenditures to not exceed available award balance

X

  

X

      

Review and reconcile award expenditures

X

  

X

      

Review expenditure in certain restricted budget categories and dollar thresholds (e.g. travel, food and beverage, over $2K) on pre and post audit basis

    

X5

      

Identify potential requests/needs for rebudgeting, prior approval requests or payroll reallocations

    

X

      

Initiate requests for rebudgeting, cost transfers and payroll reallocations

X

          

Serve as administrative point of contact with sponsor

      

X

OCCD

( for Industry )

  

Process cost transfers and reallocations

    

X

      

Approve cost transfers and reallocations

      

X

    

Assure timely resolution of overexpenditures and revenue shortfalls including transfer of overexpenditures to nonsponsored funds

      

X

    

Review overspent sponsored funds and receivables outstanding for greater than 90 days

      

X

OCCD

( for Industry )

  

Work with PI on clearing over‐expenditures

      

X

OCCD

( for Industry )

  

Review and process award modifications

      

X

OCCD

( for Industry )

  

Prepare and review subagreements

      

X

OCCD

( for Industry )

  

Monitor and oversee subrecipients as outlined in the University Subrecipient Monitoring Policy

      

X

    

Prepare and review subagreement modifications (in consultation with PI)

      

X

OCCD

( for Industry )

  

Receive subrecipients’ invoices, review for allowbility, comparison to subaward budget and forward to BC

      

X

OCCD

( for Industry )7

  

Review and approve subaward invoices

X

          

Process subaward invoices

X

  

X

      

Track cost sharing expenditures

    

X

X

    

Manage Effort Reporting Process including distribution and collection of reports

    

X

X

    

Review PI and project personnel effort reports and certify effort charged to sponsored projects

X

          

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Sponsor Invoicing and Cash Management

Draw funds on letters of credit and reconcile cash receivables

      

X

    

Prepare and submit invoices to sponsors based on expenditures posted to the Banner Financial System

      

X

    

Provide additional back‐up documentation for Sponsor invoices as required per the terms of the agreement

    

X

      

Ensure proper application of sponsor payments

      

X

    

Monitor and pursue the collections of overdue payments due from sponsor

     

X6

    

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Sponsor Reporting

Prepare and submit financial reports as required

      

X

    

Provide additional backup documentation or explanation for expenditures as needed prior to financial report submission

    

X

      

Provide technical reports and provide other deliverables as required

X7

          

Provide invention reports and disclosures

X7

          

Provide accounting summary/verification of cost sharing

     

X

    

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Award Closeout

Prepare and submit financial and closeout reports and documents as required

      

X

    

Prepare and submit technical closeout reports

X

          

Ensure all appropriate documentation has been submitted and is in the file

      

X

    

Maintain financial and contract records as required by award (record retention)

      

X

    

Maintain project records as required by award (data)

X

          

Uniform Guidance and other audit/review point of contact and reporting

     

X

    

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Footnotes
Exceptions

1College or Business-Center specific, and not University-wide

2Certain non-profit foundations (e.g., Keck Foundation) are also coordinated with OSUF

3Some colleges provide grant-writing or editorial support for their specific units

4Some sponsors require the PI to submit a proposal after OSRAA approval

5Some Business Centers do this monthly and some do this quarterly

6Could also involce consultation with PI or Business Center staff, and OCCD for industry

7OCCD providing consultation on industry agreements as needed
Legend

OCCD - Office for Commercialization and Corporate Development

ORD - Office of Research Development

ORI - Office of Research Integrity

OSRAA - Office for Sponsored Research and Award Administration

FA & A - Financial Accounting & Analysis
PDF

For a PDF version of this webpage please click here: Roles and Responsibilities Document

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