Post-Award Roles and Responsibilities
| Post-Award Roles and Responsibilities |
Primary Responsibility | Other Collaborator(s) | Final Approval(s) |
|---|---|---|---|
| Review, negotiate, and accept the terms and conditions of an award or sub-award | OSP | In consultation with Financial Services | AOR/VP, Financial Services |
| Provide PI training, as applicable, on roles and responsibilities relative to grants management at Marymount University (MU) (i.e personnel, programmatic, and budget compliance) | OSP | Financial Services for budgetary and financial compliance | |
| Prepare and distribute “Budget Load Memo” that summarizes the terms and conditions of the grant or other agreement | OSP | Financial Services; in consultation with PI | |
| Confirm that there is compliance regarding regulatory, ethical, and other approvals/requirements | PI | In consultation with OSP | |
| Develop and issue sub-recipient packages (including risk assessments of contracting institutions) (When MU issues sub-award) | OSP | Financial Services ; PI | |
| Conduct and manage the research, program, or project according to the scope and objectives of the proposal and MU requirements | PI | ||
| Manage personnel working on the sponsored project | PI | OSP and Financial Services | |
| Manage the grant budget, which includes authorizing all expenditures (except the PI’s own salary); preparing and submitting requests for payment and personnel; and monitoring spending in each budget line. | PI | Financial Services to support budget monitoring efforts; OSP Budget Analyst for review of funding requests | OSP to confirm allowability of items |
| Submit requests for budget modifications within or across major budget categories (i.e. personnel, travel, supplies etc.) | PI | In consultation with OSP | |
| Review and approve submitted requests for budget modification(s) that do not require sponsor’s approval or require minor changes across spending categories | Financial Services | In consultation with OSP | Financial Services |
| Determine if budget modifications reach a level that require the sponsor’s approval | Financial Services | In consultation with OSP | |
| Submit a budget modification (not associated with changes in the scope of the project) when a sponsor’s approval is required | Financial Services | PI; OSP | Financial Services |
| Submit requests to sponsors to initiate substantial changes to the scope of a project (before initiating any changes); the substantial changes are non-budgetary and require prior approval from the sponsor (i.e. requests for no-cost extensions, changes in Pls etc.) | PI (should prepare request) |
OSP submits the request on behalf of the university | AOR approves proposed modifications |
| Submit a single request which includes a change in the scope of the research, project, or scheduled deliverables and budget (when necessary) | PI (should prepare request) |
OSP receives the request from the PI; Financial Services reviews and approves budget and related financial elements of the request | AOR |
| Act as institutional liaison with sponsors on behalf of Marymount University and the PI | OSP (non-financial issues); Financial Services Post-Award financial issues | ||
| Prepare payment and reimbursement form for grant spending | OSP Budget Analyst | Financial Services for consultation | |
| Prepare invoices and drawdowns for receipt if funds | Financial Services | ||
| Execute cost transfers/journal entries | Financial Services | BO | |
| Conduct periodic monitoring of financial status of project accounts | Financial Services | OSP; In consultation with PI | |
| Monitor sub-recepients’ technical, performance to ensure scope of work is being followed and there is adherence to the timetable. | PI | Financial Services; OSP if satisfactory performance is not being made | |
| Prepare and submit any technical, progress, or special reports as required by a sponsor | PI | OSP as consultant | |
| Prepare and submit fiscal reports as required by sponsor | Financial Services | PI | |
| Distribute and collect effort certification from MU personnel (Each semester-3 times a year) | Financial Services | PI; OSP for consultation | |
| Ensure that effort certification reports for all applicable grant personnel have been completed | PI | Financial Services | |
| Grants Close-Out | |||
| Resolve and budgetary discrepancies within the timeline specified by the funding agency | Financial Services | PI; Budget Analyst | |
| Confirm that all financial, technical, invention, and other required reports have been submitted to sponsor prior to closing the program account | Financial Services | PI; OSP for consultation | |
| Provide a final financial report on grant spending, with final reconciliation of budget(s), and ensure the return of any unspent funds to the sponsor | Financial Services | PI; Budget Analyst | |
| Deactivate award in the financial accounting system | Financial Services | BO | |
| Retain all award documentation in a manner that is consistent with the sponsor’s and MU’s record retention policies | PI, OSP, Financial Services | ||
