Roles and Responsibilities for Proposal Preparation & Submission

Deans, Department Heads, and Directors

Deans, department heads and directors of institutes and centers are responsible for reviewing and endorsing proposals from the faculty, staff and students under their purview. This administrative endorsement, evidenced by approval of the Electronic Proposal Clearance System (E-PCS) record, indicates that due consideration has been given to the project and it meets University requirements for:

  1. principal investigator (PI) eligibility and qualifications to direct the project;
  2. the substance and merit of the proposed activity including academic appropriateness and desirability;
  3. commitments of faculty and staff effort, and the possible effects of such commitments on the teaching and other obligations of the personnel involved (additional department heads or deans may need to review if PI and Co-Is are from different units);
  4. salary arrangements (rate, annual increases, overall Full Time Equivalent (FTE) must not exceed 1.0 for all activities, summer support, partial or full academic year salary, course release);
  5. requirements for equipment, facilities, space, and administrative support;
  6. compliance with federal, state and University policies and regulations including human subjects, animals, DNA, hazardous materials, conflict of interest, lobbying, etc.;
  7. budget, cost sharing and matching funds are approved and documented in E-PCS record

Principal Investigator (PI)

All faculty automatically have principal investigator (PI) status effective on their date of hire; others may need to request PI status.

The PI is responsible for the oversight and management of the project. The PI works directly with SPS and their DGA.

  1. writing the proposal;
  2. certifying the accuracy and originality of a proposal – May Not Be Delegated
  3. creating and accurately completing an E-PCS record for each proposal;
  4. obtaining appropriate institutional reviews and approvals electronically via the E-PCS record;
  5. performing and monitoring work performed, including oversight on any subagreements;
  6. complying with University policies on misconduct in research, conflict of interest, drug-free workplace, lobbying, etc.; - May Not Be Delegated
  7. complying with grant terms and conditions, as well as agency rules and regulations governing the award and institution; May Not Be Delegated
  8. complying with federal, state and University policies and regulations governing human subjects, animals, DNA, hazardous materials, and other regulatory areas;
  9. hiring and supervising project staff;
  10. ensuring staff do not exceed 1.0 FTE for all activities combined within the institution, certifying level of effort by personnel working on the project; - May Not Be Delegated
  11. fiscal monitoring and financial accountability, including monthly review and reconciliation of account activity;
  12. preparing and submitting all required reports, including interim and final technical, financial, equipment and invention reports;

Departmental Grant Administrator (DGA)

The department or institute grant administrator for a PI or a group of PIs is responsible for:

  1. assisting the PI with the creation and completion of the E-PCS record for the proposal;
  2. assisting the PI with budget preparations;
  3. assisting the PI in preparing and submitting grant proposal applications;
  4. assisting the PI with daily account monitoring and monthly reconciliation;
  5. setting up “shadow” systems for programmatic and fiscal management, to record daily account charges and reconcile monthly with Financial Information System (FIS) account statement, track project-related tasks, monitor personnel or payroll changes, or manage any other project issues as needed;
  6. ordering, encumbering, and paying for all charges for personnel, supplies, travel, equipment, etc. that are in the approved grant budget;
  7. preparing documents for payroll and requisitions, either hard-copy or on-line as appropriate;
  8. assisting as liaison between the PI, SPS, or others on financial and administrative issues;
  9. notifying PI of problems or changes in policies and procedures;

Sponsored Projects Services (SPS)

The Sponsored Projects Services is authorized to review and sign proposals on behalf of the University. SPS reviews a proposal to ensure the following:

  1. the proposal follows program guidelines, includes all required forms, and institutional information is correct;
  2. faculty member is eligible as a PI to submit a proposal;
  3. proposal has been reviewed and endorsed by required department and University administrative officials;
  4. personnel are or will become UO employees, at approvable salary rates
  5. budget has been approved and all revisions made based on preliminary review;
  6. facilities and administrative cost rate is at the appropriate federal rate or at another rate based on sponsor guidelines or University approval for a reduction or waiver of the rate;
  7. budget narrative matches budget and proposed activities;
  8. facilities and equipment are adequately and accurately described, major equipment is fully justified;
  9. biographical sketches or curriculum vitae are complete, current and include all required elements;
  10. verify that UO costs hare or matching funds is entered in E-PCS, with amount and sources, and approvals obtained within the record.
  11. verify letter of commitment with institutional signature , budget, budget justification, scope of work and F&A rate agreement gathered for all subcontracts and subagreements;
  12. verify third-party matching funds or cost share are documented by letters of commitment specifying type, amount and period available; also must be entered in E-PCS record
  13. determine if any compliance issues are involved in the project and if so, verify that the E-PCS record has been marked accordingly (e.g. human subjects or animal research, conflict of interest, etc)
  14. upon receipt of an award, SPS is responsible for reviewing, negotiating, and accepting the official award notice, setting up a grant account in FIS; preparing subagreements and approving modifications to agreements; billing for, requesting and depositing the cash or check in payment of the award; preparing and submitting official interim and final financial reports to the funding agency; monitoring project progress and giving approvals for administrative actions such as pre-award expenditures, re-budgeting, no-cost extensions, etc; preparing and submitting all final close-out documents including patents and inventions (with guidance from Industry, Innovation, and Translation), equipment, and other required reports; coordinating and managing the audit process and preparing appropriate responses to audit issues; assisting PIs and Department Grant Administrators (DGA) with proposal preparation and submission and grant administration issues.
  15. progress reports, inventions, and other elements are included;
  16. verify current and pending support statements of key personnel included