There are three main players in the administration of a research grant: the Principle Investigator or Project Director (PI or PD, that's you), the Grants Accountant (Tax and Compliance Manager Sarah Hintz, x7844) and the Director of Faculty Research Support, sometimes referred to as the Sponsored Research Officer, or SRO (Tess Powers, x6318). This document briefly outlines the roles of each. Please be aware that many activities outlined below are determined by federal regulations.

Your Role

The Principle Investigator or Project Director (PI/PD) is responsible for all aspects of conducting the project. The PI/PD will:

• submit all original award documentation to the Director of Faculty Research Support in the Dean's Office;
• submit any funds received to the Grants Accountant in the Business Office;
• ensure that the project stays within the scope and objectives of the original proposal;
• limit expenditures to the total dollar amount awarded;
• submit all required reports on time;
• provide the Director of Faculty Research Support with copies of all narrative reports and grant-related correspondence;
• comply with all terms and conditions of the grant, including completing Effort Certification reports for all federal grants;
• work with the Director of Faculty Research Support to receive internal approval for any significant deviations from the awarded budget or other terms of the grant, and consult the program officer where appropriate;
• follow all college policies (financial and academic) as well as the policies of the sponsoring agency;
• set up summer student researchers as Student Fellowships (with stipends) and set up AY students as hourly employees to ensure that you provide authorization of payments for research assistants prior to the processing of payments;
• monitor charges to the account on a monthly basis (get training in Self-Service Banner, if necessary).
• keep records for at least 7 years from the date of the final expenditure report, unless an audit, claim or litigation has begun.

Please remember that the PI/PD is the sole "budget administrator" for the grant and authorizes all expenditures posted to the grant. (The one exception is salary for the PI/PD; in this case the Director of Faculty Research Support sends verification to Payroll that the requested salary for the PI/PD is in keeping with the approved grant budget.) All expenses charged to the grant must be necessary to achieve the objectives of the approved grant, allocable to that particular project, and allowable under the terms of the grant. In the event that a grant is overspent, the PI may be responsible for reimbursing those expenditures. If it is determined that the PI is responsible, overspending can be reimbursed to the College by charging the PI's personal research account, through a payroll deduction or by making a payment by cash or check back to the College.

All grant expenditures are processed just as any other College expenditures. This includes travel reimbursement, purchase requisitions, and charges for services. Routine office expenses (supplies, postage, telephone, photocopies, etc.) may not be charged to grants unless they are specifically included in the awarded budget. Save your receipts!

In addition save all records that show that you have approved of a student being paid a particular research stipend or hourly wage for a particular period of time. For student employees hired and paid through Payroll, please print a copy of the online Referral form for your records. For student research stipends paid through Student Accounts, please print a copy of any paperwork you submit requesting the research stipend for your records.

The PI/PD is responsible for all narrative or technical reports. Many sponsoring agencies require annual progress reports; check the specific grant terms and conditions. (If you wish, the Director of Faculty Research Support can send you reminders prior to due dates.) Please forward copies of all narrative reports and correspondence related to the grant to the Director of Faculty Research Support

How the Grants Accountant can help you:

The Grants Accountant is the primary "go-to" person for all financial issues. The Grants Accountant will:

• set up all grants in the accounting system;
• help determine the procedures involved for expending funds on items that are not included in the awarded grant budget;
• process travel reimbursements and advances;
• record approved fringe benefits charges and approved "Facilities and Administration" or "F&A" costs (formerly known as indirect costs) and allocations;
• submit billing to funding agencies
• complete monthly reconciliation of grants
• monitor charges to the account on a quarterly basis;
• request reimbursement from sponsoring agencies for grant-funded expenses;
• authorize major changes to approved budgets or other grant conditions (in accordance with sponsoring agency policy) in consultation with the Director of Faculty Research Support;
• follow standard accounting procedures and strictly adhere to college policies and federal regulations.

The Grants Accountant is available to help prepare all financial reports required by the sponsoring agency. Do not provide any financial information to a sponsor without verification by the Grants Accountant.

How the Director of Faculty Research Support can help you:

The Director of Faculty Research Support is primarily responsible for the pre-award (application) process. However, the Director of Faculty Research Support will also:

• publicize the award to the College and the Office of Communications upon the arrival of the official award notice (often this triggers a call from Communications to discuss a story for the College's web page)
• serve as the primary contact for and monitor of compliance issues, both internal and external
• submit faculty salary requests to payroll, verifying that they are in line with the approved budget
• prepare a draft Effort Certification Report for the previous reporting period, for the PI's review and signature
• help reconcile the PI's financial records with Banner
• help to get approval for significant budget changes requiring communication with the granting agency;
• help file any necessary requests for no-cost extensions
• help to identify sources for on-going project funding.

Most sponsoring agencies allow an extension of the grant termination date, if more time is needed to finish the project. Please be aware that many funders take the expiration dates of grants very seriously. If you need an extension you should be prepared to request it well before the grant period ends - or risk returning unspent funds. Please contact the Director of Faculty Research Support for the appropriate procedures.