Research

Sponsored Project Responsibilities

This document outlines the project responsibilities for the following:

Sponsored Project Responsibilities

Every university employee has a responsibility to ensure that all funds are used to advance the mission of the University and the academic needs of the students. Sponsored activities are additionally constrained by obligations to those providing the funds to the University. Proposals for sponsored projects are submitted on behalf of the University and all agreements or contracts associated with sponsored projects are 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
  • Completion and submission of a sponsored project proposal transmittal sheet and any associated required paperwork and approvals
  • Agreement with all terms and conditions, with emphasis on performance criteria, technical reports, deliverables, and termination conditions
  • Determination of applicability of research integrity processes (IRB, IBC, IACUC) and completion of required application

Post-award

  • Ensure allowability, appropriateness and reasonableness of expenditures of sponsored funds
  • Manage expenditures within start dates, end dates, and the awarded budget
  • Initiate requests through the Sponsored Programs Office for re-budgeting, cost transfers and time extensions
  • Approve payment of subcontractor invoices
  • Review sponsored project account statements including budget versus actual expenditures, detailed transaction reports, and payroll reports on a monthly basis
  • Ensure that all graduate students and post-docs supported by the project receive training in the responsible conduct of research.  For more information see: Responsible Conduct of Research Training
  • Procure documentation for all cost share/matching funds including review and confirmation of receipt of all in-kind cost share. For more information see: Cost Share Guidelines on Sponsored Projects , Guidelines for External Third Party In-Kind Contributions , and In-Kind Contribution Documentation
  • Review and execute project payroll certifications
  • Timely financial close-out of project as described at Project Close-Out
  • Maintain research records, data, notebooks, etc., as appropriate and in accordance with sponsor requirements and the University’s Research Data Policy
  • Prepare and submit all technical reports and other deliverables
  • Ensure project is staffed appropriately, including hiring and supervising project personnel as needed
  • Ensure regulatory compliance in the conduct of the project
  • Ensure regulatory compliance in the conduct of the project
  • Support the Sponsored Programs Office in the collection and funding of outstanding receivables from sponsors
  • Completion of any research integrity process paperwork (IRB, IBC, IACUC), compliance with research integrity IRB, IBC, IACUC approvals, and compliance with University laboratory operations safety policies and procedures, all relevant State, Federal, and other legal requirements, and conditions imposed by the project sponsor

Department Chair 

  • Approve departmental cost-share and space requirements
  • Monitor faculty and staff effort
  • Oversee project administration and management by the principal investigator, including expenditure processing and unexpended balances in firm-fixed-price projects
  • Support and participate as necessary in negotiations with sponsors and project personnel 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, including both cash and third party in-kind
  • Approve project modifications, including changes to key personnel and budget modifications
  • Participate in the collection and funding of outstanding receivables from research sponsors as provided in the Research and Sponsored Programs Collections Policy and Procedure

College Dean 

  • Approve college-level cost-share and space requirements
  • Support and participate as necessary in negotiations with sponsors and project personnel when technical reports are incomplete or deliverables are unacceptable
  • Approve project modifications, including changes to key personnel and budget modifications
  • Participate in the collection and funding of outstanding receivables from research sponsors as provided in the Research and Sponsored Programs Collections Policy and Procedure

Vice President for Research 

  • Approve university-level cost-share and project space requirements
  • Act as the university’s authorized signatory for proposal submissions 
  • Responsible for oversight of regulatory and agreement compliance in sponsored research

Sponsored Programs Office

  • Negotiate terms and conditions of agreements and contracts related to sponsored projects
  • Develop and approve project budgets prior to transmission to sponsor
  • Recommend acceptance of sponsored project funding awards on behalf of the University
  • Develop and negotiate the terms and conditions of agreements for sub-awards to third parties
  • Negotiate, authorize, review, and process sponsored project agreement modifications
  • Complete and submit interim and close-out documents as required by the project sponsor 
  • Review and approve requests for Graduate Assistant Cost Share funding

Sponsored Programs Accounting Responsibilities 

  • Establish an index number in the accounting system reflecting the awarded budget
  • Review and monitor project expenditures and reallocations, in accordance with University Policies and Procedures, sponsor requirements, and other applicable policies, procedures and regulations
  • Prepare and submit financial reports and invoices to sponsors as required according to the sponsored project agreement
  • Collect outstanding balances due to Michigan Tech from unpaid billings submitted to the external sponsor
  • Develop and prepare required Michigan Tech internal summaries & comparison of sponsored project financial data
  • Assist principal investigators in the financial closeout and termination of sponsored projects
  • Coordinate audits conducted by external and internal auditors

Innovation and Commercialization 

  • Review and negotiate intellectual property terms and conditions in sponsored agreements
  • Administer Michigan Tech intellectual property policies and procedures
  • Support transfer of University-owned intellectual property assets into public use through various strategies including licensing to established companies and supporting development of new startup companies

Conflict of Interest Coordinator 

  • Review conflicts of interest
  • Develop and monitor mitigation plans as necessary

 Property Office 

  • Perform equipment tracking, inventory, and reporting to project sponsors

 Purchasing Office 

  • Track and report required vendor information such as minority and women owned businesses (MBE/WBE), small business contracting, and other details as provided relevant policies, laws or sponsored agreement conditions