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  3. Grant Roles and Responsibilities

Grant Roles and Responsibilities

Key

Responsibilities

  • Primary (P): Has the primary responsibility/lead, is accountable and does the work/initiates the action.
  • Secondary (S): Secondary responsibility, is accountable and does the work/initiates the action.
  • Informed (I): Should be notified of the action and decision.
  • Consulted (C): May need to provide input in the action or decision.

Roles

  • PRE = SPA Pre-award
  • AT = SPA Award Acceptance Team
  • POST = SPA Post Award
  • RD = RIPS Research Development
  • PI = Principal Investigator
  • DA= Department Administrator
  • CBM = College Business Manager
  • DC = Department Chair
  • Dean = College Dean
  • VPR = Vice President for Research and Innovation Partnerships

Proposal Preparation and Submission

Proposal Development
PRE RD PI DA CBM DC Dean VPR
Strategic positioning I   P     S S S
PI Eligibility C   P     C C S (approves)
Letters of Intent I   P          
Proposal Templates (Non Technical) P P             
Coordinate External Review of Draft Proposal I P S     S S P
Manage limited proposal submission timeline/process P           C
Review RFP/Guidelines S   P          
Interpret RFP/Guidelines P   S          
Prepare proposal checklist P   S          
Prepare proposal submission timeline P   S          
Discuss and evaluate resource needs (e.g.space renovations, buyouts) I   P     C C C
Draft/secure letters of commitment/support C   P          
Create graphics, templates     P          
Determine project budget I   P     C C  
Create Current and Pending Support S P            
Identify potential sources of cost sharing C   P I I C C C
Confirm cost share commitments I   P          
Proposal Document Preparation
PRE PI VPR
Cover page P S
Table of Contents S P
Proposal narrative, summary, specific aims (technical document) P
Budget forms P S
Budget Justification S P
Support documentation (e.g. vendor quotes) I P
Create Biosketches S (formatting for compliance only) P
Create Current and Pending Support S (formatting for compliance only) P
Confirm accuracy of Current and Pending Support S (formatting for compliance only) P
Collaborators and Other Affiliations Form S (formatting for compliance only) P
Prepare Data Management Plans S (formatting for compliance only) P
Facilities and Resources Content S (formatting for compliance only) P
Postdoc and Graduate Student Mentoring plan S (formatting for compliance only) P
List of suggested reviewers/reviewers not to include P
P S
Representations and Certification forms P C
Submission Process
PRE PI DA CBM DC Dean
Review agency submission systems, ensure portal registrations are complete P S        
Compile proposal documents for submission P S (provide as requested)        
Upload proposal documents in electronic system or compile for other submission (portal registration, uploading documents, system checks and validations) P S (provide as requested)        
Submit proposal P S (if sponsor requires PI to submit proposal; provide copy of proposal to PRE) I I C C
Document management (record final proposal and submission in central SPA) P          
Institutional Forms/Processes
PRE PI DA CBM DC Dean VPR
Cost share forms (cost share commitment forms, obtain third party MOU) P S (provides justification if voluntary cost share and all other info to SPA to complete form) I  I C C C
Initiates F&A waiver form P S (provide SPA with justification) I I C C C
Approve F&A waiver P P P
Internal Budget Form P S
Financial Conflict of Interest P        
Verification of conformance to administrative compliance requirements P S          
Research compliance disclosures, protocols (IRB, IACUC, EHS, Lab Safety, etc) I P          
Collaborations
PRE PI
Obtain subrecipient commitment form from collaborators (when NIU=prime) P S (assist if necessary)
Complete and send subrecipient Commitment Form (when NIU=sub) P  
Provide SPA with contact information for subrecipients/contractors S P
Initiate contact to Subrecipient(s) for documentation (budget, scope of work, budget narrative) P  
Ensure subrecipients provide all documentation required by internal deadline set by Pre-award S P
Negotiate collaborator scope of work I P
Negotiate collaborator budget C P

Award Negotiation and Acceptance

Award Negotiation and Acceptance
PRE PI DA CBM DC Dean VPR
Prepare Just in Time documentation S P           
Submit Just in Time Information P  I           
Scope and budget revisions (includes cost share) S  P  I   C    
Obtain compliance approvals (IRB, IACUC, IBC) I  P         
Financial conflict of interest training (PHS)   P           
Review terms and conditions P  S           
Interpret terms and conditions P  I    C C C
Negotiate terms and conditions P  I           
Obtain institutional signature on awards and some non-financial agreements P           
Determine need for advance spending C  P C C C C  
Prepare advance account request S  P           
Approve advance accounts P  S  I I S    
P  I           
Document management (record award in InfoEd) P             

Award Management

Account Setup
AT POST PI DA CBM DC Dean
Initiate set up of FMS cost center node   P    I      
Establish grant account   P           
Create and send notice of grant account   P   I I  I I  I
Complete signature card for budget access to grant account      P        
Establish cost share tracking record    P          
Add grant account to P-Card   S (authorizes) P        
Project Management
AT POST PI DA CBM DC Dean VPR
Initiate hiring paperwork     P S S S S
Enact hiring paperwork     I P P S S
Initiate purchases (Supplies, procurement, travel, etc.)     P S C C    
Enact purchases and other reimbursement actions     I P P S S  
Request working fund/cash advance   S (authorizes) P       
Retain records for P-Card transactions, travel, procurement   P S S        
Create and distribute effort reports   P            
Certify effort reports     P S S S S  
Track and monitor cost share   C P C C C    
Create and distribute cost share certification reports   P   I        
Certify cost share reports     P          
  P            
Meet with PI to review budget vs actuals and confirm expenses are accurate   P S S        
Initiate budget adjustments (rebudgets)   C P I        
Enact budget adjustments in FMS   P            
Ensure allowability of expenses   C P          
Monitor allowability of expenses   P S S        
  P            
  P            
C C (budget) P          
I I P          
Calculate and distribute F&A   P I I I I I I
Initiate payroll distribution changes   I  P I        
Prepare no cost extension requests C
(formatting and compliance)		 C (budget) P          
Prepare agency prior approval requests C
(guide on requirements)		 C (budget) P          
P  I I          
P I I          
Remove unallowable expenses from grant account P S S S S C C
Roll purchase orders for FY     P S        
Project Close-out
AT POST PI DA CBM DC Dean VPR
Request final invoices from vendors and subrecipients   P          
Close purchase orders     P S S      
Create and distribute cost share certification reports   P   I        
Certify Cost Share Reports P
  P            
  P            
C
(formatting and compliance) 		   P          
 C
(formatting and compliance)		 I P          
Prepare final invention statement  C
(formatting and compliance)		   P          
P I S          
Prepare final property report   P C          
Prepare and submit Contractor's Release   P            
Remove unallowable expenses from grant account   P S S S S C C
Collaborations
AT POST PI DA CBM DC Dean VPR
Draft subrecipient agreement P C C          
Execute subrecipient agreement P I I          
Approve scope progress and payment S P          
Enacts payments to subrecipient   P            
Obtains required non financial reports I I            

Contact Us

Sponsored Programs Administration
203 Lowden Hall
Northern Illinois University
DeKalb, IL 60115-2828
815-753-1581

Pre-award and Proposals
asosp@niu.edu

Post-award and Award Management
GrantsFiscal@niu.edu

InfoEd Questions
erahelp@niu.edu

Staff Directory
Organizational Chart

Proposal Intake Form

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