Every University employee has a responsibility to ensure that University and research funds are used to advance the mission of the University and the academic needs of the students. Remember that a research agreement or contract is between the sponsor and the University. Please take a minute to review your responsibilities as a principal investigator and the responsibilities of the Sponsored Programs Accounting office.
Sponsored Project Responsibilities
Every university employee has a responsibility to ensure that University and research funds are used to advance the mission of the University and the academic needs of the students. Remember that a research agreement or contract is between the sponsor and the University.
Principal Investigator Responsibilities
- Pre-award
- Proposal development and initial budget development
- Conflict of interest disclosure and management
- Subcontractor identification and documentation
- Agreement with all terms and conditions, with emphasis on performance criteria, technical reports, deliverables, and termination conditions.
- Post-award
- Ensure appropriateness and reasonableness of expenditures and determine if allowable
- Manage expenditures within start and end dates, not to exceed the award amount
- Initiate requests for re-budgeting, cost transfers and time extensions
- Approve payment of subcontractor invoices
- Monthly review of interim financial reports
- Ensure that all graduate students and post-docs supported by the project receive training in the responsible conduct of research. For more information see: http://www.mtu.edu/gradschool/administration/academics/resources/rcr
- Document cost share/matching funds if required (including review and approval of in-kind cost share)
- Review and approve project payroll certifications
- Timely financial close-out of project
- Maintain research records, notebooks, etc., as appropriate
- Prepare technical reports and provide other deliverables
- Hire and supervise soft-money personnel as required
- Ensure regulatory compliance in the conduct of the project
- Participate in the collection and funding of outstanding receivables from research sponsors
Department Chair or School Dean
- Approve departmental cost-share and space requirements
- Monitor faculty and staff effort
- Oversee the project administration by principal investigator, including cost and effort reporting and unexpended balances in firm-fixed-price projects
- Participate in negotiations with sponsor when technical reports are incomplete or deliverables are unacceptable to sponsor
- Responsible for costs incurred in excess of the award amount and for disallowed unauthorized expenditures
- Responsible for cost-share shortfalls, both cash and third party in-kind
- Approve substantial modifications or re-budgeting
- Participate in the collection and funding of outstanding receivables from research sponsors
College or School Dean
- Approve college-level cost-share and space requirements
- Participate in negotiations with sponsor when technical reports are incomplete or deliverables are unacceptable
- Approve substantial modifications or re-budgeting (including transfers)
- Participate in the collection and funding of outstanding receivables from research sponsors
Vice President for Research
- Approve university-level cost-share and space requirements
- Provide authorized university signature on proposal submissions
- Responsible for regulatory compliance in sponsored research
- Participate in negotiations with sponsor when technical reports are incomplete or deliverables are unacceptable
- Participate in the collection of outstanding receivables, when technical issues are the reason for non-payment
Sponsored Programs Office
- Negotiate terms and conditions relating to budgets, indirect costs, and other University policies
- Develop and/or approve project budgets prior to transmission to sponsor
- Recommend acceptance of awards on behalf of the University
- Develop and negotiate sub-awards
- Negotiate, authorize, review, and process contract/grant modifications
- Maintain proposal and award database
- Authorize account establishment
- File intellectual property and sub-award interim and close-out documents
Sponsored Programs Accounting Responsibilities
- Establish a research budget and index number in the accounting system
- Review and monitor project expenditures and reallocations, in accordance with University Policies and Procedures, OMB Circulars A-21, or A-110, and with any other general or specific regulations issued by federal , state, and other sponsoring agencies.
- Prepare and submit sponsor’s financial reports and invoices as required according to the sponsored agreement
- Collect outstanding balances due to Michigan Tech from unpaid billings submitted to the external sponsor
- Develop and prepare required Michigan Tech financial reports
- Assist principal investigators in the financial closeout and termination of sponsored projects
- Prepare and submit appropriate close-out documents
- Coordinate audits conducted by external and internal auditors
Dean of Graduate School
- Approve GACS cost-share
Technology and Economic Development
- Review and negotiate intellectual property terms and conditions in sponsored agreements
- Administer Michigan Tech intellectual property policies and procedures
Conflict of Interest Coordinator
- Provide conflict of interest review and, if necessary, develop a mitigation plan
Property Office
- Perform equipment tracking, inventory, and reporting to project sponsors
Purchasing Office
- Track and report minority vendor information (MBE/WBE)