Principal Investigator Eligibility

RESPONSIBILITIES

• Principal Investigator/Program Director (PI/PD) is responsible for full compliance with institutional policies and procedures, Florida Statutes, Uniform Guidance, funding agencies guidelines, and award terms and conditions. This includes determining the need for goods, equipment and service costs to meet the requirements of the sponsored project. He/she is also responsible for submitting and approving the request to encumber funds; monthly review and reconciliation of expenditures; identifying any unallowable costs; ensuring that all requests are in compliance; and routed through the appropriate institutional financial systems for processing by the Office of Sponsored Programs (OSP) for review.  The PI is responsible for ensuring that the reporting requirements are fulfilled and will be held accountable for any reporting lapses.

 

• Departments/Division/Colleges/Schools dean and/or designee are responsible for the reviewing and approving of faculty/staff members to serve as a Principal Investigator (PI) for sponsored projects. The departmental administrator(s) are also responsible for the oversight of sponsored projects submission and awards within their respective units to ensure compliance with the sponsoring agency’s guidelines, state and university rules, regulations and laws.

 

• Office of Sponsored Programs (OSP) is responsible for the review and approval of the proposed budget to ensure compliance with the sponsoring agency’s guidelines, state and university rules, regulations and laws. The OSP is also responsible for ensuring proper management and retention of proposal and award documents.

 

• Contracts and Grants (C&G) is responsible for invoicing the sponsoring agency on all expenditure costs on sponsored projects, preparation of fiscal reports and ensuring proper management and retention of fiscal documents.

 

• Organizational Development and Training (ODT) is responsible for the development and coordination of training on regulatory requirements for all individuals with responsibilities in the review and approval of costs charged to sponsored projects, including but not limited to PIs, OSP staff, C&G staff and grant administrators. 

GENERAL PROCEDURES

PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR (PI/PD)

The PI is responsible for proposal development and submission to the OSP to meet agency deadline requirements.  Responsibilities include but are not limited to managing sponsored program, project expenditures, objectives, and reporting requirements upon receipt of award.

Pre-Award Process

1. Identify funding opportunities related to area of expertise.
2. Understands sponsor(s) solicitation guidelines.
3. Prepare all internal forms for submission to the OSP.
4. Submit required registration form(s) to OSP for NSF, NIH and any other agency as required, timely.
5. Complete all required training (FCOI, EXPORT, RCR, etc.).
6. Complete required assurances for proposal submission (IACUC, IRB, Biohazards, etc.).
7. Development of the proposal budget and justification.
8. Prepare proposals for submission and routing through College/School utilizing the Proposal Review Transmittal Form (PRTF).
9. Identify cost share requirements and obtaining departmental and Provost Approvals on the PRTF.
10. Develop proposal to ensure institutional policies and procedures are followed.
11. Review proposal for assurance, accuracy, and compliance prior to submission.
12. Identify consultants, collaborators, and subcontracts and provide supporting documentations and FCOI Subaward Disclosure Form(s).
13. Identify equipment needs and provide required quotes. PI should refer to Procurement procedures regarding the number of quotes required based on dollar amount requested.
14. Obtain required departmental/institutional approvals prior to submission to the OSP.
15. Ensure timely proposal submission to the OSP for electronic or paper submission.

Post-Award Process

1. Assure regulatory compliance with IACUC, IRB, Biohazards, etc.
2. Review and approve personnel documents on sponsored projects.
3. Review and approve expenditure documents on sponsored projects.
4. Review and approve consultants and subcontract invoices.
5. Monitor expenses and reconcile grant expenditures.
6. Review and approve cost transfers.
7. Prepare and initiate budget modification in line with sponsored guidelines.
8. Submit modification to the OSP for review and approval.
9. Prepare all required programmatic and scientific progress reports.
10. Prepare final technical report.
11. Report any inventions or disclosures.
12. Work closely with the OSP and Contracts and Grants to ensure project close-out.
13. Maintain proposal and other data documents in accordance with required record retention.

 

DEPARTMENTS/DIVISION/COLLEGES/SCHOOLS

Departmental administrator(s) are responsible for the following but not limited to:

1. Understanding sponsor(s) solicitation guidelines.
2. Assisting with the submission of required registration form(s) to OSP for NSF, NIH and any other agency as required.
3. Assisting with the development of the proposal budget and justification.
4. Assisting with the preparation of proposals for submission.
5. Reviewing and obtaining required departmental/institutional approvals.
6. Reviewing budget and proposal for cost share requirements.
7. Reviewing proposal so that institutional policies and procedures are followed.
8. Reviewing proposal for assurance, accuracy, and compliance.
9. Assisting with the submission of proposal to the OSP for electronic or paper submission.
10. Processing personnel documents through FAMU financial system.
11. Providing assistance with request for cost transfers.
12. Providing assistance with request for budget modification.
13. Providing assistance with project closeout.
14. Maintaining proposal and sponsored project documents according to record retention

 

OFFICE OF SPONSORED PROGRAMS (OSP)

The OSP provides oversight and assistance to PI/PD in the acquisition and management of external funds.  This includes but is not limited to the following:

• Providing administrative review of proposals prior to submission to funding agencies;
• Assisting in the development of proposals to potential sponsoring agencies;
• Serving as a liaison between faculty and other administrative units within the University and between faculty and funding agencies;
• Negotiating awards and preparing subcontracts to other institutions and organizations; and assuring compliance with Federal, State and University regulations.

Pre-Award

1. Review PI eligibility.
2. Identify funding opportunities and disseminate same via email to colleges and schools.
3. Understanding sponsor(s) solicitation guidelines.
4. Review internal forms for compliance.
5. Register PI’s for NSF, NIH and any other agency as required.
6. Verify completion of required training (FCOI, EXPORT, RCR, etc.).
7. Verify assurances for proposal submission (IACUC, IRB, Biohazards, etc.).
8. Review proposal budget and justification.
9. Identify any cost share requirements and obtain supporting documentation.
10. Review proposal to ensure institutional policies and procedures are followed.
11. Review proposal for assurance, accuracy, and compliance prior to submission.
12. Review consultants, collaborators, and subcontractors’ information and ensure appropriate supporting documentation is obtained including Visual Compliance, Risk Assessment, and Subrecipient Certification Form.
13. Review equipment request and quotes documentation.
14. Review application for required departmental/institutional approvals.
15. Ensure timely proposal submission to agency for electronic or paper submission.

Post Award

1. Set-up project according to Notice of Grant Award(s).
2. Assure regulatory compliance with IACUC, IRB, Biohazards, etc.
3. Review and process personnel documents on sponsored projects.
4. Review and process expenditure documents on sponsored projects.
5. Initiate and execute subcontract(s).
6. Review and approve subcontract invoices and monitoring.
7. Ensure timely subcontractors’ payment and closeouts are completed.
8. Review and process consultant’s invoices.
9. Monitor sponsored project expenditures according to terms and conditions of award.
10. Review and approve cost transfers.
11. Review and approve budget modification in line with sponsored guidelines and obtain Visual Compliance, Risk Assessment, and Subrecipient Certification Form, as applicable.
12. Work with PI to ensure required programmatic and scientific progresses are submitted.
13. Work closely with PI to ensure institutional close-out.
14. Maintain proposal documents in accordance with required record retention.

 

CONTRACTS AND GRANTS (C&G)

The Office of Contracts and Grants is responsible for the following but not limited to:

1. Invoice sponsoring agency for all expenditures charged on sponsored projects.
2. Prepare fiscal reports.
3. Maintain financial reporting information for proper management and retention.

 

ORGANIZATIONAL DEVELOPMENT AND TRAINING (ODT)

ODT is responsible for the advancement and coordination of training on regulatory requirements for all individuals with responsibilities in the review and approval of cost charged to sponsored projects, including but not limited to PIs, OSP staff, C&G staff and grant administrators. 

 

RECORDS

The appropriate record retention guidelines should be followed for the retention and disposition of documents. Generally, documentation should be maintained for three years following the submission of the final financial report unless sponsoring agency requires it to be maintained for a longer time period.