Roles and Responsibilities for Sponsored Research
Review the responsibilities of principal investigators and department administrators at every stage of the grant lifecycle, as well as the steps that Sponsored Programs will take along the way to ensure your proposal is submitted and your grant is executed successfully.
Find your Department Administrator or Central Research Support ContactFind Funding
Solicitation
Principal Investigator | - Review and follow solicitation and sponsor technical and administrative requirements
- Provide sponsor solicitation guidelines, and link to or copy of guidelines/instructions to Department/School Administrator (DA)
- Provide sponsor solicitation guidelines, and link to or copy of guidelines/instructions to Sponsored Programs as soon as known or 10 business days prior to the sponsor’s application deadline”
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Department/School Administrator | - Review solicitation and understand sponsor administrative requirements, identify any atypical requirements (see examples under “Prepare a Proposal” below) and alert the PI and Sponsored Programs (SP)
- Provide sponsor solicitation guidelines, and link to or copy of guidelines/instructions to Sponsored Programs as soon as known or 10 business days prior to the sponsor’s application deadline.
- * Office of Proposal Development may fulfill some of the DA’s role on the Med Campus.
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Central Research Administration | Sponsored Programs Pre-Award- Review solicitation and understand sponsor administrative requirements
- Identify any atypical requirements and missed information and alert Department/School Administrator/Principal Investigator (submission timeline dependent)
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Learn more about finding fundingPrepare a Proposal
Entire Application
Principal Investigator | - Full responsibility for the accuracy and completeness of entire application
- Ensure final versions of all administrative components are ready to submit to Sponsored Programs within 5 business days of the sponsor application deadline
- Ensure final versions of all technical components are ready to submit to Sponsored Programs within 3 business days of the sponsor application deadline
- Sign the Proposal Summary Form (PSF) confirming PI certifications
- Ensure financial conflict of interest is disclosed within BU’s Conflict of Interest (COI) office. This process includes requests for supplemental funding
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Department/School Administrator | - Assemble all pieces of application, including assistance with data entry and completing BU and sponsor forms
- Obtain all subaward proposals or consultants’ letters, if applicable, and incorporate into the proposal.
- Ensure there are no errors that would prevent submission
- Review to ensure that institutional and sponsor guidelines and policies are met, and all internal approvals are obtained (such as costshare, F&A waiver, PI status)
- Obtain all signatures on the PSF
- Submit final versions of all administrative components to Sponsored Programs within 5 business days of the sponsor application deadline
- Submit final versions of all technical components to Sponsored Programs within 3 business days of the sponsor application deadline
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Central Research Administration | Sponsored Programs Pre-Award- Verify all institutional and sponsor guidelines are met and necessary approvals are in place
- Ensure the technical components are included, as per the solicitation (e.g., Specific Aims on an NIH proposal or Intellectual Merits on an NSF proposal).
- Recommend edits to proposal documents that are incorrect or not compliant
- Verify no errors that would prevent submission
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Learn more about proposal developmentScientific Content/Presentation
Principal Investigator | - Full responsibility for entire application
- Produce all documents (including conversion to Adobe PDF for research strategy and other sensitive scientific documents)
- Review of documents 3 days prior to submission to Sponsored Programs
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Department/School Administrator | - Review formatting and page limits on all documents for sponsor required standards
- Ensure all components are included Ensure all the forms are in the most current version, as stipulated by the sponsor
- Ensure there are no errors that would prevent submission
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Central Research Administration | Sponsored Programs Pre-Award- Verify application for any formatting or other issues that would prevent submission
- Verify all institutional commitments are appropriately identified and approved (submission timeline dependent)
- Ensure all non-technical/programmatic sponsor guidelines are met (submission timeline dependent)
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Administrative Content
Principal Investigator | - Provide any requested information
- As applicable, create administrative documents (Facilities, Equipment, Biosketch, Multi-Principal Investigator Plan, Data Sharing Plan, Budget Justification, Postdoc Mentoring Plan, etc.)
- Review and approval of documents 5 days prior to submission to Sponsored Programs
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Department/School Administrator | - Complete any sponsor forms or documents with requested administrative information
- Review all administrative information for adherence to institutional and sponsor guidelines
- Ensure there are no errors that would prevent submission
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Central Research Administration | Sponsored Programs Pre-Award- Verify administrative information for adherence to institutional policy
- Verify administrative information for any issues that would prevent submission
- Ensure all sponsor guidelines are met (submission timeline dependent)
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Budgets
Principal Investigator | - Work with Department/School Administrator to create a budget within Funding Opportunity Announcement, BU policies and Uniform Guidance for the work being done
- As required, provide personnel, roles, effort, other cost categories and dollars, and subaward packages, if any
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Department/School Administrator | - Assist Principal Investigator in developing draft budget
- Ensure the correct indirect cost and fringe rates are applied and all values are calculated correctly
- Ensure salaries are correct/appropriate for project personnel and ensure that the budget amounts are escalated appropriately.
- If there is cost share, prepare a separate budget
- Ensure budget follows sponsor/solicitation guidelines and BU policy (e.g., allowability standards, PI 1% minimum effort, etc.)
- Ensure everything totals properly on all pages and in all years
- Ensure all line items are listed in the budget justification and that the budget justification numbers match the numbers on the budget
- When finalized, enter information into the Proposal Summary Form and the sponsor application (i.e. ASSIST)
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Central Research Administration | Sponsored Programs Pre-Award- Verify correct fringe and indirect cost rate has been selected, the base is correct, and calculations are accurate
- Verify that the budget justification matches the budget (submission timeline dependent)
- Verify costs are appropriate and allowable per sponsor guidelines and BU policies (submission timeline dependent)
- Verify total costs listed on SF424 page 2 match the total costs listed in the Cumulative Budget
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Learn more about budget developmentProposal Review and Submission
Submission
Principal Investigator | - Address any submission errors and warnings resulting from electronic systems
- View submitted applications within the sponsor system to confirm submitted proposal appears as intended
- Submit proposals through any systems, including hard copy submission, requiring direct entry by the Principal Investigator
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Department/School Administrator | - Help the Principal Investigator in addressing any submission errors resulting from electronic systems
- Assist the Principal Investigator in any Principal Investigator-submitted applications, including data and information entry
- Submit proposals directly to the sponsor whenever applicable (e.g., to the Pass Thru Entity).
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Central Research Administration | Sponsored Programs Pre-Award- Submit proposals through sponsor-required electronic systems
- Verify successful submissions through to the funding agency
- Follow-up with the investigator and DA when any submission errors occur
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Learn more about proposal submissionJust in Time (JIT)
Principal Investigator | - Initiate necessary approvals (IRB or IACUC)
- Provide requested information to DA for review.
- Responsible for the accuracy and completeness of the information provided
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Department/School Administrator | - Review provided materials obtained by PI and enters them in the sponsor specific portal (if applicable).
- Notify SP Pre RA when ready for final review and submission in order to meet sponsor deadline
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Central Research Administration | Sponsored Programs Pre-Award- Review and Authorize submission
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Pre-Award Communication
Principal Investigator | - As needed, notify department chair/dean/provost about upcoming proposal and any special considerations (cost sharing, Facilities & Administrative cost waiver, etc.)
- Communicate with co>investigators and encourage them to notify their department chairs (particularly if special considerations are involved)
- Communicate with subcontractors to determine scope of work and budget
- Communicate with Department/School Administrator during preparation process
- Inform SP Pre RA of unfunded proposal notices
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Department/School Administrator | - Communicate with Principal Investigator during preparation to complete the administrative portions of the application and to answer any questions about administrative items
- Contact subcontractors for administrative documents
- Communicate with Sponsored Programs during the review process to address any administrative concerns
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Central Research Administration | Sponsored Programs Pre-Award- Acknowledge when initial documents are received in Sponsored Programs
- Communicate required changes/questions to Principal Investigator
- Communicate the status of application review, approval, and submission process at defined process milestones
- Forward any confirmation or other submission emails from the sponsor
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Award Review and Acceptance
Principal Investigator | - PI will provide concurrence of the final award terms and conditions whenever applicable
- Provide any updated documents
- Make sure all approvals are in place (IRB, IACUC, etc.) before research activities take place.
- Respond promptly to SP during award negotiations
- Coordinate with other offices to ensure compliance with terms and conditions.
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Department/School Administrator | - Provide revised documents (i.e., budget, updated subaward documents, etc.) if required
- Fill out Attachment 3B for FDP agreements Respond promptly to SP during award negotiations
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Central Research Administration | Sponsored Programs Pre-Award- Review terms and conditions to ensure compliance with BU policies and processes obtain PI concurrence when applicable
- Review against original proposal submission.
- May negotiate terms and conditions and/or escalate to other central offices (such as OGC, OTD, Compliance, Global Programs, Risk Management, RFO) when needed.
- Facilitate execution of final award
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Learn more about award review & acceptanceAward Set Up
Award Notification and Set Up
Principal Investigator | - Review budget in Business Warehouse (BW), or with Department/School Administrator, to ensure accuracy
- Ensure compliance approvals are in place (when applicable) before work starts (e.g. IRB, IACUC approvals)
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Department/School Administrator | - Review budget and award set up fields (Cost Center, Sponsor Award Number, etc.) in Business Warehouse to ensure accuracy and notify SP Pre RA with any issues.
- Answers administrative questions as needed
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Central Research Administration | Sponsored Programs Pre-Award Establishes account in the system of record and sends Award Notification (AN) to PI, DA, and related parties Sponsored Programs Post-Award Confirmation of DHHS award set>up in Business Warehouse against PMS, as requested. It must be noted that PMS includes funds that are restricted and does not indicate if there are restriction. PMS does not include BU facing information such as unobligated balances. Other funders do not have the same level of detail for review. Research Finance Operations reviews accuracy of document numbers to ensure billing is to the correct segment of an award |
Learn more about award setupOutgoing Subawards
Principal Investigator | - Confirms and approves issuance of outgoing subaward
- Provide any updated information on subawards
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Department/School Administrator | - Facilitates communication with PI and answers administrative questions as needed
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Central Research Administration | Sponsored Programs Pre-Award- Conducts risk assessment for subrecipients.
- Drafts outgoing subaward agreement incorporating required flow down of terms and conditions.
- Obtains PI authorization and institutional approval.
- Issues subawards to subrecipients for signature
- Documents and distributes fully executed subaward to PI, DA, and related parties
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Learn more about subawardsManage an Award
Post Award Communication
Principal Investigator | - Participate in regular, documented meetings with Department Administrator to review Business Warehouse reports, expenditures, financial reports, and closeouts
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Department/School Administrator | - Participate in regular, documented meetings with Principal Investigators to review Business Warehouse reports, expenditures, financial reports, and closeouts Follow-up with SP Post RA if there are questions about Business Warehouse reports, expenditures, financial reports, and closeouts (including but not limited to over expenditures)
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Central Research Administration | Sponsored Programs Post Award- As requested, interaction with Department Administrators to review Business Warehouse reports, expenditures, financial reports, and closeouts (including but not limited to over expenditures). It is not unusual that the SP Post RA will reach out to a DA after reviewing any transaction posted as part of an after the fact review
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Expenditure Review
Principal Investigator | - Monitor spending to ensure compliance with Notice of Award and sponsor terms and conditions.
- Ensure compliance with BU applicable policies including Sourcing, HR, and Accounts Payable
- Use After the Fact guidelines as a tool to assist in review
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Department/School Administrator | - Monitor spending to ensure compliance with Notice of Award and sponsor terms and conditions
- Ensure compliance with BU applicable policies including Sourcing, HR, and Accounts Payable
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Central Research Administration | Sponsored Programs Post-Award- High level review of items to ensure compliance
- Risk review of Concur travel
- Review of all temporary hires on grants to ensure allowability
- For more information refer to the After the Fact Review section
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Learn more about expenditure reviewSalary Management Personnel Activity Reports
Principal Investigator | - Review and certify the Principal Investigator’s individual Personnel Activity Reports (PARs) and any Personnel Activity Reports for individuals who work on the Principal Investigator’s sponsored projects (as applicable)
- For investigators with salary in excess of the Department of Health and Human Services salary cap (or any other cap dictated by the Sponsor), ensure cost share is listed as appropriate
- Ensure effort percentages sum to 100%
- For faculty certifying 100% effort on research, ensure the explanation is included
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Department/School Administrator | - Review all Personnel Activity Reports (PARs) as required Send Personnel Activity Reports to appropriate individuals for certification Ensure all Personnel Activity Reports are submitted to Sponsored Programs Effort prior to due date
- Ensure effort percentages sum to 100%
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Central Research Administration | Sponsored Programs Post Award- Ensure all Personnel Activity Reports sum up to 100%
- Ensure certified effort is in proper alignment with salary from sponsored funds
- Ensure an appropriate explanation is included for faculty certifying 100% effort on research
- Ensure Personnel Activity Reports for investigators with salary in excess of the Department of Health and Human Services salary cap (or any other cap as dictated by the Sponsor) list cost share appropriately
* These activities are shared between Effort and the SP Post RAResearch Administrator
A Sponsored Programs team member w... |
Learn more about effort reportingSubaward Invoices & Subrecipient Monitoring
Principal Investigator | - Ensure subaward invoice amount is appropriate in relation with technical work timeline (i.e., subrecipient is not invoicing for 80% of the budget when only 20% of the work is complete)
- Ensure technical reports received and reviewed as required
- Review and sign all subaward invoices to approve for payment
- If you believe invoices are incorrect, or not commensurate with work performed, do not approve, and reach out to the SP Post RA.
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Department/School Administrator | - Assist in coordination of subaward invoice review, approval and signature and submission of AP Subaward Disbursement Form. If you believe invoices are incorrect, or not commensurate with work performed, do not approve, and reach out to the SP Post RA.
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Central Research Administration | Sponsored Programs Post Award- Distribute subaward invoices to Principal Investigators for approval
- SP Post RA’s review signed invoices for appropriateness (against budget amounts and performance periods)
- SP Post RA’s approve invoices to move to Accounts Payable for payment.
- SP Post RA’s work with subrecipients and the compliance team when desk reviews/audits are requested.
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Learn more about subawardsEquipment
Principal Investigator | - Ensure original purchase of equipment meets sponsor rules regarding equipment purchases, including prior approvals when required*
- Work with Property Management to receive approval for Fabricated Equipment internal orders
- Ensure that all equipment is in good working order before award closes.
Inform Chair, Section Chief, Department Administrator, and Property Management if and when Principal Investigator plans to leave Boston University to ensure equipment is accounted for accordingly - If you are transferring to Boston University inform Property management of the equipment that you brought with you so BU can account for it properly. This ensures that the property is covered under our insurance
- Insure old, outdated equipment is disposed of accordingly based on Property Management guidelines
* Medical School Faculty purchasing equipment not in an approved budget must obtain approval of the Dean to rebudget
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Department/School Administrator | - Order equipment using the appropriate General Ledger Expenditure Type based on equipment cost dollar threshold (i.e., use 571400 for items greater than $5K)
- Work with Property Management to receive approval for Fabricated Equipment internal orders and ensure all fabrication charges are made to that order
- Ensure old, outdated equipment is disposed of accordingly based on Property Management guidelines
- Notify both Sponsored Programs Pre RA and Research Finance Operations Property Management when a Principal Investigator is leaving the institution
- Notify property management if a PI transfers to BU and brings moveable capital equipment with them
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Central Research Administration | Sponsored Programs Post Award- Approve Moveable Capital Equipment purchase orders accordingly and timely
- Complete Property Reports
Research Financial Operations - Approve Moveable Capital Equipment purchase orders accordingly and timely
- Research Finance Operations tags equipment
- Research Finance Operations completes rolling Equipment Inventory
- Research Finance Operations establishes assets for all Equipment including Fabrications
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Learn more about equipmentAfter the Fact Review (AFR)
Principal Investigator | - Ensure there is an After the Fact review on a regular basis to ensure all expenditures that are charged to the award are appropriate
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Department/School Administrator | - Responsible for completion of the AFR on a regular basis to ensure all expenditures that are charged to the award are appropriate
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Central Research Administration | |
Learn more about after-the-fact reviewAccount & Expenditure Reconciliation
Principal Investigator | - Communicate with Department/School Administrator on any questions that may arise from account review that includes a review of period of performance
- All goods and services must be received prior to the end date in order to be considered within the period of performance. Consumable goods with an aggregate value at $5,000 or more at the end of an award require further documentation to the sponsor.
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Department/School Administrator | - Communicate with Department/School Administrator on any questions that may arise from account review that includes a review of period of performance
- All goods and services must be received prior to the end date in order to be considered within the period of performance. Consumable goods with an aggregate value at $5,000 or more at the end of an award require further documentation to the sponsor.
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Central Research Administration | Sponsored Programs Post Award- Communicate with Department/School Administrator on any questions that may arise from account review that includes a review of period of performance
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Carry Forward
Principal Investigator | - When Carry Forward is automatic there is no action required
- When Carry Forward is not automatic create carry forward request of prior year(s) unspent balance. Carry forward requests cannot exceed the unspent amount as reported on a financial report and are limited to only the amount that can be scientifically justified
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Department/School Administrator | - When Carry Forward is automatic there is no action required
- When Carry Forward is not automatic work with the PI to help create the carry forward request of prior year(s) unspent balance. Carry forward requests cannot exceed the unspent amount as reported on a financial report and are limited to only the amount that can be scientifically justified
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Central Research Administration | Sponsored Programs Pre Award- When Carry Forward is not automatic submit carry forward requests to the sponsor.
Sponsored Programs Post Award - When Carry Forward is automatic Post award will add the amount to the new year at the time the FFR is approved. the addition is to other directs and F&A.
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Learn more about carryoverCost Transfers
Principal Investigator | - Upon review of expenditures, communicate in writing any changes that need to be
- Review and approve greater than 90-day cost transfers as required by BU and federal policy Insert link to cost transfer policy
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Department/School Administrator | - Submit cost transfers on a timely basis > Fill out appropriate forms in entirety based on greater than/less than 90-day rules
- Facilitate Principal Investigator certification when appropriate and required
- Submit re-certified Payroll Activity Reports when needed
- Insert link to cost transfer policy
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Central Research Administration | Sponsored Programs Post Award- Process cost transfers as required in a timely manner
- Review completed forms for accuracy, completeness and allowability
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Learn more about cost transfersAvailable Balance
Principal Investigator | - Responsible for informing DAs of planned expenditures to complete the project
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Department/School Administrator | - Responsible for initiating those transactions in the financial system and ensuring they were processed accurately; please see AFR.
- Responsible for reviewing and confirming that non-subaward commitments are accurate and must work with appropriate offices to close commitments that are not accurate.
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Central Research Administration | Sponsored Programs Post Award- Sponsored Programs Post RA can provide BW reports that show available balance, it is the DA who can assist the PI on the status of non-subaward commitments. SP Post RA has no access to non-subaward open commitments
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Cash Management
Principal Investigator | - Work with RFO when necessary as it relates to Outstanding ARAccounts Receivable
- Work with RFO to ensure billing of non> cost reimbursement awards, that receive cash based on milestones, that milestones have been met and invoices need to be submitted to sponsor for milestone related awards
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Department/School Administrator | - Work with RFO when necessary as it relates to Outstanding AR
- Work with RFO to ensure billing of non- cost reimbursement awards, that receive cash based on milestones, that milestones have been met and invoices need to be submitted to sponsor for milestone related awards
- Work with SP Post RA on confirmation of final balances for final invoices to sponsors for cost reimbursement awards
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Central Research Administration | Sponsored Programs Post Award- Work with the DA to confirm final balances to create final invoice templates that are processed by Research Finance Operations for submission to sponsors for all cost reimbursement awards
Research Financial Operations - Responsible for all non-student billing at BU
- Responsible for the collection of all open Accounts Receivable
- Responsible for the posting of Sponsored Research and Miscellaneous Receivable Payments
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Learn more about cash managementNo Cost Extension (NCE)
Principal Investigator | - Notify DA and SP Pre-RA of intention to request NCE at least 90 days prior to the project end date
- Ensure account balance is not zero or negative.
- Sign the IPAR form
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Department/School Administrator | - Notify SP Pre RA of PI’s intention to request NCE at least 90 days prior to project end date
- Check account balance.
- Fill out the IPAR form
- Inform whether subs also need NCE, as applicable
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Central Research Administration | Sponsored Programs Pre-Award- Double check account balance with SP Post RA
- Reviews request and submits to sponsor.
- Processes NCE through Award setup once approved by Sponsor.
Sponsored Programs Post-Award - Prepare Financial reporting as requested by sponsor to confirm available balance
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Learn more about no cost extensionsClose Out An Award
Financial Reports
Principal Investigator | - For awards that require annual reporting PI is responsible for reviewing accounts 60 days prior to that ending period
- For awards that are ending, or the current competitive segment is ending, PI is responsible for reviewing accounts 60 days prior to the project end date.
- SP Post Award Ending Notification services as a reminder that a close out review should already be under way. of an award ending notification PI works with the Department/School Administrator to conduct a final review of the award balance and expenditures
- In cases where an available unspent balance requires sponsor approval for carryforward spending, coordinate with the SP Pre RA and Department/School Administrator to obtain appropriate documentation for the request
- Submit financial reports when sponsor requires submission from PI (typically these are limited to some foundations)
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Department/School Administrator | - Review Business Warehouse reports for accuracy and appropriateness of salary and non-salary expenditures
- Ensure all expenditures have properly posted to the account
- Confirm all salary has posted and is within the project period Dates
- Closeout all encumbrances
- Assist SP Post RA with the completion of Small Business Subcontracting Plan reports that were in the proposal/award, completed and approved by Sourcing.
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Central Research Administration | Sponsored Programs Pre Award- For awards with carryforward that require sponsor approval please see the carryforward section
Sponsored Programs Post Award - Work with Department Administrator to obtain final confirmation of unspent balance prior to submission of financial reports
- Reduce budgets by confirmed unspent amount as reported on the financial report/final invoice
- Reduce commitments for subawards with unspent balances
- For awards with carryforward that is either automatic or requires sponsor approval see carryforward section
- Submit financial reports unless a sponsor requires PI submission. Financial reports can include Property Reports and Small Business Subcontracting Reports
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Learn more about financial closeoutNon-Financial Reports
Principal Investigator | - Prepare progress reports as required by award document; at a minimum this includes at least a final progress/technical report.
- Disclose inventions to the Technology Development office.
- Confirm inventions to Sponsored Programs for final Invention/Patent Reports to sponsor.
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Department/School Administrator | |
Central Research Administration | Sponsored Programs Pre Award- Submit annual progress reports to the Pass-Thru Entity, as applicable.
- Confirm with the Technology Development office whether there are inventions resulting from an award
- Submit final Invention/Patent Reports to sponsor on behalf of the Principal Investigator and Technology Development (any others?)
Sponsored Programs Pre Award - Complete and submit Property Reports
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Learn more about non-financial closeout