Submitting proposals, executing awards, conducting research, and administrating sponsored projects involves many different people and units throughout the University. While there may be some minor variations in processes among departments and colleges, the matrix below outlines the general process and identifies the appropriate party that has primary responsibility and secondary, if applicable, for different activities throughout the life cycle of a sponsored award. *This list is not exhaustive and may require additional areas when submitting a proposal or administering an award. .
Functions of Sponsored Programs include: Research, Instruction, Public Service, Student Services, Scholarships & Fellowships, and Other.
Key to Responsibility Acronyms
PI = Principal Investigator
DD = Department Dean/VP Chair
DGA = Department Grant Administrator or Department/College
OSP = OSP Communications & General Administration
OSPPRE = OSP Pre Award Team
OSPG&C = OSP Grants and Contracts Team
OSPPOST = OSP Post Award and Financial
OSPCOMP = OSP Post Award Financial Compliance
VPR = Vice President for Research and Assistant Vice President for Research
| Role | Responsible |
|---|---|
| Search for and identify funding opportunities (available search engine – Pivot) | Primary: PI |
| Download full funding opportunity announcements for reference to evaluate the requirements and ensure all necessary components are accounted for | Primary: PI Support: DGA |
| Consult with Department/College to interpret funding opportunity announcements and any possible commitments | Primary: PI Support: DGA |
| Develop timeline for proposal development and submission | Primary: PI Support: DGA |
| Coordinate the proposal process to ensure timely, compliant and accurate submission (this includes any subcontract to another IHE, industry, other) | Primary: PI Support: DGA |
| Develop the project budget and budget justification and discuss any non-standard F & A requests for PI and Co-Pis | Primary: PI Support: DGA |
| Review and approve any non-standard F&A (indirect cost) rate | Primary: VPR Support: PI, DGA |
| Distribute funding opportunity announcements via OSP Weekly | Primary: OSP |
| Review funding opportunity announcements and requirements | Primary: PI Support: DGA |
| Help interpret funding opportunity announcements | Primary: OSPPRE Support: DGA |
| Help determining a sponsored program vs a gift or service agreement | Primary: OSPPRE |
| Manage internal competitions for limited submission opportunities | Primary: OSP |
| Confirm institutional eligibility for sponsors/programs | Primary: OSPPRE Support: OSP |
| Role | Responsible |
|---|---|
| Assist principal investigator with proposal preparation | Primary: DGA |
| Develop the project budget and budget justification | Primary: PI Support: DGA |
| Review and approval of budget before entry into e-grants systems | Primary: OSPPRE |
| Reviews Dean approval of any non-standard F&A (indirect cost) rate | Primary: VPR Support: OSP, OSPPRE |
| Develop proposal narrative and all required sections | Primary: PI Support: DGA |
| Check RFP for any sponsor required templates | Primary: PI Support: DGA |
| Identify and collect subrecipient proposal materials (SOW, institutional letters and budget/budget justification) | Primary: PI Support: DGA |
| When UNLV will be a subaward, complete subrecipient assurance and risk assessment forms required by lead institution | Primary: OSPPRE |
| Identify cost-share funds and provide official approval | Primary: PI Support: DGA |
| Confirm the proposal meets all sponsor requirements for formatting, page length, font, etc. and that all necessary commitments with subrecipient institutions have been secured | Primary: PI Support: DGA, OSPPRE |
| Discuss and finalize F&A split arrangements with all UNLV departments for proposals that involve multiple UNLV investigators | Primary: PI Support: DD |
| Review proposals and specifically those that involve space and/or new programs | Primary: DD |
| Upload all proposal documents and data into sponsor portal, if applicable | Primary: PI Support: DGA |
| Initiate and route required routing form (Cayuse will include electronic routing when deployed, TBD) | Primary: PI Support: DGA |
| Review and approve required routing form for submission of proposal | Primary: OSPPRE Support: DD |
| Oversee institutional policies and procedures governing the submission of proposals to sponsors | Primary: OSPPRE Support: VPR |
| Maintain institutional accounts with sponsor proposal submission systems (e.g., Grants.gov Workspace, NSF Fastlane/Research.gov, , NIH COMMONS/ASSIST, DOD eBRAP, NASA NSPIRES, etc.) | Primary: OSPPRE |
| Review proposal for accuracy and compliance with assurances and University and sponsor guidelines and policies | Primary: PI Support: OSPPRE |
| Troubleshoot issues with sponsor or internal electronic systems as it relates to proposal submissions | Primary: OSPPRE |
| Approve the proposal for submission on behalf of the University and provides authorized official signature, if required | Primary: OSPPRE |
| *[Cayuse Deployment - TBD] Prepare proposal for submission (upload/enter fields required for narrative, budgets, routing form, etc.) | Primary: PI Support: DGA |
| Submits all proposals on behalf of the University unless sponsor requires PI to submit | Primary: OSPPRE |
| Retain proposal document [Cayuse will save these in the cloud - TBD] | Primary: OSPPRE |
| Track proposal status after submission | Primary: PI Support: DGA, OSPPRE |
| Report to department on quarterly reports for proposals submitted | Primary: OSP |
| Develop responses to sponsor requests for additional information (e.g., revised budgets/budget justifications, additional narrative clarifications, Just-in-Time information). Submit additional information to the sponsor for those requests that do not require institutional endorsement or certification | Primary: PI |
| Role | Responsible |
|---|---|
| Receives Notice of Award (issued and sent to either PI or OSP) | Primary: PI Support: OSP, OSPG&C |
| Receives notice of award- Principal Investigator or the Department Administrator - forward to OSP or OSP forwards to PI and Department [award gets uploaded into Workday] | Primary: PI Support: OSPG&C |
| Verify award scope of work and budget | Primary: PI Support: OSPG&C |
| Reviews, approves, and submits to federal agencies, as required, conflict of interest management plans, technology control plans, and export control licensing applications to assure compliance with federal regulations | Primary: PI Support: DD |
| Review award terms and conditions | Primary: OSPG&C Support: PI |
| Negotiate and accept awards on behalf of the University, including modifications to existing awards | Primary: OSPG&C |
| For awards > $3 million and/or > than five years duration, prepare award for chancellor signature | Primary: OSPG&C |
| Establish Workday award set-up and GR budget lines for projects | Primary: OSPG&C |
| Complete and submit technical reports in a timely manner (interim and final) and upload copies into Workday | Primary: PI |
| Initiate request for budget revision | Primary: PI |
| Assist principal investigator with request for budget revision | Primary: DGA |
| Initiate request to OSP for no-cost extension | Primary: PI |
| Official request to sponsor for no cost extension or any other requests that require prior approval | Primary: OSPG&C |
| Request no‐cost extensions in accordance with University and sponsor guidelines and process the no-cost extensions in Workday | Primary: OSPG&C |
| Initiate request for cost transfers (JV) in accordance with University and federal policy and procedure | Primary: PI |
| Monitor and reconcile expenditures to ensure allowability, allocability and reasonableness | Primary: PI Support: DGA |
| Assist with award monitoring | Primary: DGA Support: OSPG&C, OSPPOST |
| Monitor and reconcile balances to ensure spending within budget and to prevent over expenditures | Primary: PI Support: DGA |
| Prepare and submit financial, patent & equipment inventory reports (interim and final) | Primary: OSPPOST |
| Maintain backup documentation related to expenditures within terms and conditions of the award (record retention) | Primary: DGA Support: PI |
| Monitor, track and document cost share commitments | Primary: DGA Support: PI |
| Verify and audit cost share in accordance with award terms and conditions | Primary: OSPPOST Support: OSPCOMP |
| Invoice sponsor for project expenses and perform electronic drawdown of federal funds | Primary: OSPPOST |
| Subaward Processes: | |
| Initiate request for approved subaward agreements | Primary: PI Support: DGA |
| Prepare, negotiate and initiate subaward agreements | Primary: OSPG&C |
| Review and accept subaward terms and conditions | Primary: OSPG&C |
| Initiate request to modify subawards | Primary: PI |
| Prepare, negotiate and execute subaward modifications | Primary: OSPG&C |
| Review and approve subaward invoices | Primary: PI |
| Review subaward invoices to verify funding availability | Primary: PI Support: DGA, OSPPOST |
| Review, approve and submit subaward invoices for payment | Primary: OSPPOST |
| Monitor subrecipient performance during the project; notify OSP immediately if any changes are required | Primary: PI |
| Obtain any technical reports from the subrecipient | Primary: PI |
| Submit FFATA reports | Primary: OSPPOST |
| Verify and audit cost share in accordance with award terms and conditions | Primary: OSPPOST Support: OSPCOMP |
| Invoice sponsor for project expenses and perform electronic drawdown of federal funds | Primary: OSPPOST |
| Begin close out process for ending project - 90 days prior to end date | Primary: OSPG&C Support: PI, OSPPOST |
| Review and prepare for close out in a timely manner | Primary: PI Support: DGA |
| Report to department on quarterly reports for awards received | Primary: OSP Support: DD |
| Role | Responsible |
|---|---|
| Invoice sponsor for project expenses and perform electronic drawdown of federal funds | Primary: OSPPOST |
| Close and inactivate awards/projects in the University financial system | Primary: OSPPOST |
| Initiate and process cost transfers (JV) in a timely manner, in accordance with University and federal policy and procedures | Primary: PI Support: DGA, OSPPOST |
| Approve cost transfers (JV) "over 90 days" past the original expenditures, to remove unallowable costs and over expenditures | Primary: OSPPOST Support: DD, VPR |
| Review and submit A-133/UG Subpart F certifications | Primary: OSPPOST |
| Review, complete and submit closeout checklist in a timely manner | Primary: OSPG&C Support: OSPPOST |
| Audit expenditure balance and award activity to verify financial compliance with University and sponsor regulations and to ensure allowability, allocability and reasonableness | Primary: OSPPOST Support: OSPCOMP |
| Complete any patent & equipment inventory reports (interim and final) | Primary: PI Support: OSPPOST |
| Ensure all expenditures have been posted to the project accounts | Primary: PI Support: DGA |
| Identify overdrawn costs for PI and identify total direct costs for cost transfer | Primary: PI Support: OSPCOMP |
| Ensure overdrafts are resolved within 30 days and initiate cost transfer from GR to unrestricted department PG account | Primary: PI Support: OSPCOMP |
| Report cost share and provide documentation to FRA for financial reporting | Primary: PI Support: OSPPOST, OSPCOMP |
| Work with sponsor to collect and resolve outstanding/unpaid invoices | Primary: PI Support: OSPPOST, OSPCOMP |
| Prepare final financial invoice/report | Primary: OSPPOST |
| Initiate collection activity on past due invoices | Primary: OSPPOST Support: OSPCOMP |
| Assist with collection efforts >90 days on past due invoices as needed | Primary: PI Support: OSPPOST, OSPCOMP |
| Role | Responsible |
|---|---|
| Overall responsibility for programmatic and financial stewardship of award | Primary: PI |
| Reviews if PI eligibility is required | Primary: PI Support: OSPPRE |
| Approves project PI eligibility | Primary: VPR Support: DD, OSP |
| Provide guidance and interpretation of federal regulations, agency specific requirements, and University policies and procedures | Primary: OSPPRE Support: OSPG&C, OSPPOST |
| Provide training as needed | Primary: OSP Support: OSPPRE, OSPG&C, OSPPOST, OSPCOMP |
| Respond to ad hoc audit requests (internal and external) | Primary: OSPCOMP |
| Material Transfer Agreements (incoming) | Primary: OSPG&C |
| Data Use Agreements (outgoing/incoming) | Primary: VPR |
| Property Use Agreement | Primary: VPR |
| Work with external auditors to complete the A‐133/UG Subpart F audit process | Primary: OSPCOMP Support: OSP |
| Maintain quarterly grant queries for colleges and departments | Primary: OSP |
| Role | Responsible |
|---|---|
| Complete all necessary compliance requirements for proposal submission (e.g., outside compensation and/or financial conflict of interest) | Primary: PI Support: DGA |
| Prepares and submits protocols for research involving human subjects, animals, and biosafety hazards | Primary: PI |
| Verifies submission of protocol to appropriate oversight regulatory committees | Primary: PI Support: DGA |
| Follows up to see that approvals are in place before work begins on awards | Primary: OSPG&C Support: DGA |
| Works in conjunction with Office of Economic Development to assure compliance with federal and contractual intellectual property requirements | Primary: OSPG&C Support: OSP |
| Role | Responsible |
|---|---|
| Initiate effort certification process | Primary: OSPCOMP |
| Review and approve effort certification | Primary: PI Support: DD, DGA |
| Manage and verify effort certification submissions | Primary: DGA |
| Verify data within effort certification submissions in accordance with University policies and procedures | Primary:DGA |
| Complete necessary adjustments to award charges and/or payroll (process PAAs) | Primary: DGA Support: PI |
| Resolve problems or follow up on certifications not submitted | Primary: OSPCOMP |