Roles and Responsibilities ASG
It is the responsibility of the ASG/Department Administrator(s) to work closely with the principal investigator to ensure adequate monitoring and compliance with all local, state and federal regulations.
Specifically, the ASG/Department Administrator is responsible for the following tasks during the life of a sponsored program.
Regulatory Oversight and Education
If instances of non-compliance and fraudulent activities exist they will be reported to the appropriate office or hotline number.
Help identify vulnerabilities in research compliance.
Encourage/mandate attendance of training events.
Ensure that faculty and grant administrators are familiar with roles for which they are responsible.
- Act as a liaison with granting agencies, facilitating proposal development and promoting interaction with interested faculty.
- Upon request, facilitate assistance to PI searching for funding opportunities.
- Review sponsor funding announcements through the Research Services Research Funding Library, the Internet, and other means in order to match investigators with potential sources of support if requested.
- Disseminate information on funding opportunities, including application guidelines and forms.
- Identify agency contacts at specific funding sponsors to discuss potential interest/alignment in project
- Provide expert guidance on funding opportunities.
- Notify department staff of intent to submit proposal.
- Review sponsor requirements.
- Complete required UTMB forms, such as the Proposal Routing Form.
- If necessary, identify, request and receive approval for off campus or additional space.
- Provide support to principal investigator in resolution of issues related to proposal development. This task includes, but is not limited to, serving as a resource to the principal investigator, providing expertise, and offering the benefit of professional development training/education in research administration.
- Assist the principal investigator with the development of a restricted gift proposal to support research.
- Prepare General Qualifications if needed
- Follow sponsor and UTMB guidelines for budget preparation and obtain internal administrative approvals.
- Assist principal investigator in developing budget.
- Perform initial review, which includes confirming all fringe benefits are included at the appropriate rate for the duration of the project, and cost sharing is not submitted with the grant proposal unless required by the sponsoring agency.
- PreAward analyst consults with entity grants administrator, as needed, on budget and budget justification development, including budgetary accuracy of personnel costs, effort and appointments, and non-personnel budgeted items.
- Ensure initial documentation of cost sharing as provided in the proposals and as required by sponsors and institutional policy and designates an account on the Proposal Routing Form if there is cost sharing.
- Gather a letter of intent from offsite agency or company providing the in-kind cost sharing.
- Communicate, coordinate and inform appropriate parties of approvals for specific projects prior to proposal submission, including small business awards and inter-institutional IP agreements.
- Obtain required signatures for all proposals, such as principal investigator, department chair(s) and UTMB.
- Forward all required sponsor initiated forms to appropriate office within required timelines for review, approval and submission, along with the grant proposal.
- Confirm/assure that principal investigator and department/grant administrator follow sponsor and UTMB policy and guidelines for proposal preparation, review, approval and submission.
- Identify cost sharing account when mandatory cost sharing exists, and review cost sharing support fund in order to verify funds are available.
- Ensure timely review and approval for those proposals that are mailed to the sponsors, and also work with principal investigators in order to process electronic proposal submissions.
- Ensure application has salary requests reflecting current institutional base salaries, as well as any projected increments or raises.
- Review and concur with grant/contract terms and conditions (and scope of work for outgoing subcontracts).
Project Award & Setup
- Provide Just In Time information to OSP.
- Submit request for pre-award spending.
- Monitor pre-award spending open accounts.
- Serve as an advisor to the principal investigator on financial/administrative matters.
- Meet with principal investigator on a monthly basis to discuss grant activity and provide reports.
- Ensure that restrictions imposed by donors are adhered to and are not changed without the consent of the donor or by court order.
- Ensure gift/grant donor intentions are met.
- Ensure that expenditures charged against said fund are consistent with donor intent, the mission of the university, and do not cause overspending.
- Review terms and conditions, and budget of outgoing subcontract.
Work with GCA on outgoing subcontracts initiated after initial award setup.
- Ensure subawardees meet uniform guidance test and other compliance measures.
- Review changes to existing outgoing subcontract budget and payment clauses.
- Review and monitor all institutional training grants and individual fellowships to ensure students receive the full support allowed by the grant.
- Ensure for NIH or other applicable awards that the salary cap is not exceeded.
- Determine and set up appropriate payroll distributions.
- Approve purchase requisition for the sub agreement in system with the proper amount and recipient.
- Approve subcontract purchase requisition.
- Ensure UTMB policies and procedures and sponsor guidelines related to cost allowability are followed.
- Identify spending trends that would place a grant in a deficit position. Based on that trend, begin resolution immediately.
- Review expenses being applied to grants, and verify whether the expenses are allocable and reasonable.
- Account for salary cost sharing according to UTMB Cost Sharing Policy.
- Initiate allowable purchases of goods and services and purchase or lease of equipment for award.
- Approve purchases as necessary.
- Ensure proper completion of effort reports and appropriate charges in the Human Capital Management (HCM) PeopleSoft.
- Update effort commitment changes in systems.
- Review award finances monthly.
- Resolve rejected purchase requisitions.
- Resolve budget errors on purchase requisitions.
- Resolve rejected outgoing subcontract purchase requisitions.
- Submit cost transfer requests in accordance with the UTMB cost transfer policy.
- Prepare and submit rebudgeting request and relevant documentation, including justifications.
- Work with the principal investigator to help identify and process program income.
- Initiate appropriate transaction to clear payroll suspense accounts within 30 days of activity hitting the suspense account.
- Review expenditures for unallowable expenses using exception reports.
- Ensure all subcontracts/subaward invoices have been paid.
- In the case of milestones/deliverables, provide information to accompany the submission of grant invoices.
- Ensure principal investigator verifies and approves subaward invoices for accuracy (including but not limited to account codes, budget limits, unallowable expenses, F&A calculations).Create checklist.
- Resolve and manage collection and payment issues (Prime and Incoming subcontracts)
- Work with researchers to help ensure completion of the effort reports.
- Communicate and coordinate with principal investigators on deliverables submitted.
- Prepare, submit, and track retroactive salary transfers (RSTs) and DBRs.
- Coordinate the submission of cost sharing information with the submission of a financial report to the sponsor.
- Obtain all close out certifications for all sub agreements.
- Prepare and submit necessary adjustments in a timely manner.
- Maintain all documents related to sponsored project activity base on UTMB or sponsor retention policies.
- Prepare and submit request for no cost extension to GCA 60 days prior to project end date.
- Notify grant-funded individual employees of grant ending.
- Clear encumbrances. Salary encumbrances must be cleared within 10 business days from the last salary transfer. Non-salary encumbrances should be cleared 30 days from the project end date.
- Ensure service center have been notified and cost chart field strings have been updated.
- Move individuals off of terminating grant.
- Clear deficits and unallowable costs.
- Ensure that only appropriate costs are charged to the grant.
- Confirm payment of final outgoing subrecipient invoices, and send requests to GCA to clear PO.
- Principal investigator provides feedback and/or concurrence on final FSR or final invoice.
- Confirm salary certifications have been completed.
- Retain grant and contract financial records for nine years after the last activity on the award as per UTMB policy on records retention.
- Submit salary and non-salary adjustments to GCA if expenses are incurred on an award or removed from an award after the final FSR or final invoice have been submitted.