Sponsored Projects Roles and Responsibilities

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Home > Policies, Regulations, and Compliance > Sponsored Projects Roles and Responsibilities

Sponsored Projects Roles and Responsibilities

Overall responsibility for submitting proposals and for executing and administering awards rests with the Regents of the University of Minnesota. However, many of these responsibilities are delegated to various units and individuals within the institution. The University has adopted an institutional oversight model for sponsored projects.

The Oversight Model establishes lines of authority within the University related to financial transactions on sponsored accounts. The model evolved from analysis of the roles and responsibilities of each unit in the University that deals with sponsored funds. The roles and responsibilities analysis established ten principles that defined the foundations for the Oversight Model. Of these, three are fundamental:

Responsibility is defined as the authority to make a decision and be accountable for any outcomes associated with that decision.
To the extent possible responsibility is maintained locally so that decisions are made by individuals with the best information.
Oversight is always distinct from the operating unit that makes the decisions.

RESPONSIBILITY FOR AWARDS MADE TO THE UNIVERSITY OF MINNESOTA

Identification of Funding Opportunities	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Search for opportunities	X
Provide guidance on funding opportunities			X	X					VPR
Proposal Preparation	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Write technical narrative	X
Identify subcontractors and request budget and workscope materials	X
Develop budget	X	X
Identify need for cost sharing funds	X
Evaluate requests for F&A waivers or reductions			X	X					VPR
Coordinate space arrangements		X
Provide expert guidance on proposal preparation						X
Complete the Proposal Routing Form	X	X
Regulatory Requirements	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Complete compliance forms: Institutional Review Board, Animal Care and Use, Dept of Health and Safety	X	X
Complete conflict of interest disclosure form	X
Review conflict of interest disclosure form and facilitate institutional oversight			X	X					ORA
Proposal Review and Approval	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Confirm that proposal meets sponsor requirements	X
Review proposal before sending proposal to SPA		X
Verify that cost sharing in proposal is listed on PRF		X
Review proposed cost sharing for appropriateness			X	X
Programmatic review of proposal and sign Proposal Routing Form - CANNOT BE DELEGATED			X	X
Provide institutional review and approval of proposal						X
Proposal Submission	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Send proposal to sponsors after institutional approval						X

Preaward	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Request preaward or advance account	X
Consider appropriateness of request and if approved, provide nonsponsored account number		X	X
Establish preaward or advance account						X
Monitor preaward or advance account		X				X
Award Acceptance	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Accept sponsor notification of grant or contract award						X
Review terms and conditions	X					X
Negotiate terms and conditions with sponsor						X
Approve award terms and conditions	X
Award Set-Up	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Confirm that regulatory compliance requirements have been met						X
Modify proposed budget	X					X
Prepare award summary documents (NOGA)						X
Approve NOGA	X
Establish account number in general ledger (CUFS)						X

Conducting the Project - Financial	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Prepare financial transactions		X
Initiate re-budgeting requests	X	X
Approve re-budgeting requests					X	X
Initiate no cost extensions	X
Approve no cost extensions (or forward to sponsor)			X			X
Ensure that cost sharing is documented		X					X
Initiate purchases	X
Review and approve financial transactions		X			X
Use financial reports to monitor and oversee expenditures	X	X	X	X				X
Reconcile accounts on a monthly basis		X
Coordinate resolution of issues on oversight reports								X
Audit expenditures								X	Audits
Program Income	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Identify program income	X
Invoice program income		X
Receive and deposit program income							X
Identify use and reportability of program income						X
Monitor program income levels	X		X			X	X	X
Invoicing and Financial Reporting	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Prepare and submit the invoice or financial report							X
Accounts Receivable Management	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Receive and deposit payments from sponsors							X
Produce and record a letter of credit draw request (federal awards)							X
Monitor and pursue the collections of overdue payments from sponsors							X

Conducting the Project - General	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Review and approve incoming MTAs	X					X			OTC
Complete invention disclosure form	X
Ensure integrity of notebooks and data	X
Prior Approvals	PI	DEPT ADM	DEPT HEAD	DEAN	CA	SPA	SFR	OAR	OTHER
Initiate prior approvals for changes to project	X
Approve or forward to sponsor prior approvals for changes to project			X			X
Ensure regulatory compliance offices are notified of changes to project	X
Subcontracts and Subawards	PI	DEPT ADM	DEPT