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Office of Sponsored
Research Responsibilities
Pre-Award Functions Prior to grant proposal submission,
the Office of Sponsored Research is available to assist
with proposal drafting
and submission, as well as informing the PI of current
Mount Holyoke and funding agency policies regarding budgets,
matching funds, or
other relevant items. In addition, the Office will review
all proposals to ensure that they conform to relevant
College policies on use of
human subjects in research, use of animals in research,
and use of controlled substances or hazardous materials.
With advance notification,
the Office may also provide relevant institutional or comparative
data for proposal text, as well as examples of previously
funded proposals. While the PI is ultimately responsible
for the proposal,
the Office of Sponsored Research will review all proposal
text, and make suggestions for revisions or additional
information to be included.
The Director must sign off on all aspects of the proposal
before giving it to the Dean of Faculty for signoff.
The following three links are provided to assist
PIs in developing a proposal:
The
8 Basic Steps to Submitting an External Grant Application
Grant and Contract
Proposal Signoff Sheet
Financial
Services Budget Worksheet
Post-award Functions
After
a grant has been received, the Office
of Sponsored Research
provides PI's with technical advice on matters of contractual
adherence. When problems arise the Director provides
contact with the sponsoring agency to help resolve
any differences. In addition, the Office is available
to assist in negotiating changes to project scope or
budget, as well as advising the PI on when notifications
of and/or requests for modifications need to be forwarded
to the funding source. For most federal grants, the
Office also processes and endorses requests for extensions
of a grant beyond its original ending date. For some
grants and most subcontracts, the Director is similarly
authorized to sign on behalf of the College for revisions
or extensions. In those cases where the signatory needs
to be another official, the Director will obtain the
necessary signature for the PI.
Grant Accountant
Responsibilities Cash Receipts All
agencies making awards to the College are requested
to transmit funds directly to the Comptroller's
Office in the Office of Financial Services.
If a sponsor mistakenly forwards funds directly
to the investigator the check should be given
to the Grant Accountant. Billings Most
sponsored agreements are cost-reimbursable,
meaning that the College bills the agency on
a periodic basis for expenses that the PI has
incurred on a grant. The Grant Accountant is
responsible for all monthly and quarterly billings
to Federal, state or other sponsoring agencies.
Cash is requested based on expenses that are
incurred during the preceding quarter. Financial
Reporting In addition to completion reports
most funding agencies require a final financial
report. The final "Report of Expenditures"
is prepared by the Grant Accountant and submitted
in a timely manner. Often the report will go
to the Principal Investigator to be included
with the final Project Report. Monthly Accounting
Reports After an account has been established
and an account number assigned, a monthly report
of the transactions and balances of the account
is generated. They are distributed to the PI
unless the the Grant Accountant has been otherwise
instructed. The monthly reports have two uses.
One is to reconcile the PI's records with those
that have been processed by the Comptroller's
Office. The second is to determine the account
balance during the month. For grant awards
with indirect costs, two separate reports are
issued to the PI.
Principal Investigator
Responsibilities Substantive Conduct of Project The
PI is responsible for the conduct of the project in accordance
with the project plan and the research protocols approved
by the granting agency. When there is a significant deviation,
as
defined by the granting agency, the Office of Sponsored
Research must be notified for endorsement and transmittal
to the granting
agency.
Adherence to Terms and Conditions
The Notice of Award informs all investigators
of the terms and conditions of the award. It is expected
that all investigators will familiarize themselves with and
adhere to the
specific terms and conditions of their award. Investigators
should also make themselves aware of the general requirements
of the agency
from which their funding is generated.
Personnel
It is the responsibility of the PI to adhere to
the College policies regarding the appointment of personnel.
All personnel actions should be coordinated with the Office
of Human
Resources.
Budget Management and Monthly Statements
The Comptroller's Office runs monthly statements
for each grant that has been active during the year. This
report is sent to the PI. PI's should review statements monthly
to check
the accuracy of the charges against the budget. Incorrect
or missing charges should be reported to the accountant in
the Comptroller's
Office or the grants administrator. Expenditures that are in excess
of the amount of the award are the responsibility of the PI.
Initiation of Expenditures
The PI prepares all paperwork to initiate charges
against a grant account. Personnel actions, travel documents
and purchase requisitions all originate with the PI. All requisitions
of supplies and equipment must follow the College purchasing
policies
and any specific requirements of the granting agency (for
example, competitive bidding).
Prior Approvals and Notifications, including
No-Cost Extensions
Many sponsored project agreements require prior
approval of any substantive change to the budget, project
period or conduct of work on the project. When such a change
is anticipated
it is necessary to prepare a request outlining any changes
and providing justification. This is then forwarded to the
Office of Sponsored
Research for endorsement and transmittal to the sponsor.
In some instances sponsor approval must be received before
any changes can
be made. As each federal agency and funding source typically
has its own regulations on approvals and notifications,
subject to frequent change, the PI should consult with the
Office of Sponsored
Research or Office of Financial Services well in advance
of any anticipated changes to the budget or scope of work.
Most federal awards allow
for a no-cost extension of the grant, as long as the timing
of the request is in accordance with regulations. Technical Reporting
It is the responsibility of the PI to submit in
a timely fashion Progress Reports and Final Technical Reports.
Final Technical Reports are normally due 90 days after completion
or scheduled
end date. Agencies may withhold payments until technical
reports are received. When an individual grant is awarded,
the grant award
letter normally specifies the types and frequency of reports
required. For institutional grants, the Corporate and Foundation
Relations
staff will typically prepare reports with input from the
Office of Financial Services and the PIs.
Equipment Inventory All equipment received under grants/contracts
is titled to Mount Holyoke College with the PI as the custodian.
The PI must keep inventory records that should contain
the following information. 1) A description of the property 2) Manufacturer's
serial
number, model number or other identifying number 3) Source
of the property, including grant number 4) Acquisition date 5) Percentage
of Federal participation in the cost of the project or
program for
which the property was acquired 6) Location, use and condition
of the property, and 7) Unit acquisition cost. Disposal of equipment
obtained with grants is subject to the regulations of the
particular
funding source, and a PI considering such disposal should
consult with the Office of Sponsored Research for proper procedures.
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