Responsibilities of All Parties Involved in the Administration of a Project
1. Definition/Role of the Principal Investigator
2. Role of the SDSURF Development Specialist
3. Role of the SDSURF SR Administrator
4. Role of the SRCC Analyst
5. Role of SDSU Administration
1. Definition/Role of the Principal Investigator
A single PI or project director must be identified for every proposal. While there may be any number of “co-investigators,” there must be one individual who is recognized as ultimately responsible for conducting the project or program, completing required reports and deliverables, and is the single point of contact for the potential funding agency and SDSU if the proposal is funded.
In accordance with CSU Executive Order 890, SDSU has defined a PI as: a faculty member of the university, an adjunct faculty member or research faculty member. Faculty may or may not have tenure, while adjunct faculty have no additional support from the university other than approval to submit proposals and conduct research utilizing university resources. Research faculty are not tenured.
Some colleges and departments have specific guidelines on PI status, and the PI should check with her/his department and/or college to ensure that he/she meets any specific eligibility requirements.
Students submitting proposals must be sponsored by a faculty member who acts as the designated PI. The student may be listed as a co-investigator, but may not be the point of contact for the project.
Some colleges and departments may allow an SDSU staff member to serve as a PI, with the approval of the SDSU vice president for research.
In some circumstances, an SDSU Research Foundation management employee member may serve as PI, with the approval of the SDSURF executive director and the SDSU vice president for research.
The PI has responsibility for understanding funding opportunity guidelines when applying for extramural funding. Also, the PI must comply with university policies regarding the review and approval of proposal submissions. To act as a PI, he/she must meet certain criteria which are outlined in CSU Executive Order 890. The PI must be prepared to perform the activities described in the proposed project if the application is chosen for an award, and to work collaboratively with research foundation administrators and sponsor agency staff to ensure successful administration and progress of the awarded project. If the project includes the use of human/animal subjects, environmental health and safety issues, or requires disclosure of significant financial interests or conflicts of interest, the PI must comply with SDSU policies related to these areas.
The PI has dual responsibility for complying with the financial and administrative policies of the award while achieving the technical success of the project. Even though the PI may have administrative staff to assist in the management of sponsored projects, the ultimate responsibility for the successful completion of the scope of work and the management of research dollars rests with the PI.
In addition to completing the scope of work as prescribed in the funded proposal, the PI must responsibly initiate expenditures on the award, insure timely submission of expenses for reimbursement, submit required progress reports, and comply with applicable sponsor rules and regulations during the day-to-day operation of the project and when making any changes to the scope of work or funded budget. SDSU Research Foundation is committed to assisting PIs in the administration of sponsored research and other activities.
The PI will maintain a close working relationship with the SR administrator assigned to manage her/his funds. The PI will also have a good understanding of the procedures associated with initiating financial transactions, making budgetary changes and revising the scope of work. In addition, the PI is responsible for retaining and storage of all programmatic technical materials and reports in accordance with SDSU Research Foundation record retention requirements (see Fund Closeout ).
Satisfactory progress on individual grants and contracts is determined by the funding agency on a project by project basis. Any issues and/or concerns with the performance of a PI regarding adherence to SDSURF policies and procedureswill be initially addressed with the PI by sponsored research administration and/or human resources depending on the issue. If the PI is non-responsive or if the response does not result in adherence to Foundation policies and procedures, the situation will then be referred to the dean of the college and/or the VP for Research as necessary for assistance and resolution. SDSURF relies upon the university’s evaluation procedure for faculty as the formal process for performance evaluations.
2. Role of the SDSURF Development Specialist
The assigned SR development specialist will work collaboratively with the PI throughout the development, submission, and subsequent award (or declination) of proposals. The development specialist will:
- ensure that the PI follows the guidelines of the funding opportunity;
- develop budgets that are prepared accurately and comply with sponsor, university, and RF requirements;
- ensure that proposals are reviewed and approved appropriately;
- ensure that any additional materials or processes are completed after the proposal has been submitted;
- assist with the transition of the proposal to SR administration if the application is chosen for an award.
The SR development specialist will facilitate the review of compliance materials by the Division of Research Affairs or other designated university departments. If the application is declined by the sponsor, the SR development specialist will assist the PI with resubmission of the proposal if he/she decides to resubmit the application.
3. Role of the SDSURF SR Administrator
SDSU Research Foundation has multiple sponsored research administration offices located both on- and off-campus to provide PIs with on-site administrative support. PIs are generally matched with an SR administrator located in the sponsored research administration office closest to their project offices. The assigned SR administrator will typically manage all of the SDSU Research Foundation and The Campanile Foundation funds associated with each PI, allowing the SR administrator to have a better overall picture of a PI’s financial resources and providing PIs with one individual to assist them in the management of their funds.
Throughout a project's duration, the SR administrator establishes and monitors funds, provides PIs with an outline of sponsor regulations, SDSURF policies and procedures and reporting requirements for each fund, and monitors expenditures to ensure compliance with federal regulations, agency specific requirements and SDSU Research Foundation policies and procedures. The SR administrator also ensures fiscal reports are submitted in a timely manner, acts as a liaison between the project and the sponsoring agency, provides interpretation of SDSU Research Foundation and sponsor regulations and policies, and furnishes administrative support to the project and its personnel.
SR administrators also conduct "Orientation Meetings" for new or seasoned PIs to provide an overview of SDSU Research Foundation services available to assist PIs in the start up and management of their projects and/or review the specific requirements of a new award.
4. Role of the SRCC Analyst
The assigned SRCC analyst works collaboratively with the PI, SR development specialist, SR administrator and the SDSU Division of Research Affairs in awarding/prioritizing of new projects. This collaborative effort includes performing status checks on pending proposals as needed and ensuring that compliance related issues such as animal and human subjects, conflict of interest, financial disclosures, and any other compliance matters are current prior to awarding proposals. Analysts also work in tandem with SR development, administration and the PI to develop new subagreements and amendment documents for subrecipient entities.
5. Role of the SDSU Administration
All externally funded grants and contracts are awarded to SDSU Research Foundation on behalf of SDSU faculty. Accordingly, appropriate SDSU administration and research foundation officials are required to review and approve proposals before an award can be accepted. The university’s Proposal Routing Form is the mechanism for obtaining signatures and formal approvals.
The administrators with whom a faculty member must interact during the development and routing process include, at a minimum, her/his department head and dean. They both must sign the routing form. In addition, the director for the Division of Research Affairs, the university’s officially designated representative for grants and contracts, must sign proposals before they leave campus. Although the research foundation obtains this signature for the faculty member, the director of DRA may have substantive questions pertaining to the content of the proposal and may call the faculty member prior to signing the routing form. Faculty members will be informed that there is a highly detailed review of all proposals before they are submitted to funding agencies.
Other SDSU administrators become involved as circumstances require. For example, if an interdisciplinary proposal is being submitted, the department heads and deans of all proposed project directors must sign the routing form. If faculty members from other colleges are serving as co-investigators on projects, these proposals must also be routed to respective department chairs and college deans. Similarly, if the College of Extended Studies will be expected to play a role in the project after it is funded, the CES dean must sign the routing form. Other administration officials who may have to review certain proposals include the following:
- Associate Vice President of Operations, Business and Financial Affairs. This signature is required on proposals that meet specific criteria (see Proposal Routing Policy below Submission Guidelines at http://www.foundation.sdsu.edu/srd/submission_guidelines.html). This signature is obtained by SRD before the proposal is submitted.
- Vice President, Academic Affairs. This signature is obtained by SRD (after proposal submission) when university resources (staff time, equipment, money) are committed to the project as a “match” or cost-share.
- Associate Vice President, Facilities Planning and Operations (SDSU). This signature may be obtained after proposal submission. It is required when additional university space will be needed to conduct a project or if renovation of facilities is contemplated.
- Associate Executive Director, Facilities Management (SDSU Research Foundation). This signature is obtained after proposal submission. It is required when additional or new research foundation space will be needed to conduct a project or if renovation of existing research foundation space is necessary. The amount of square footage, if known, should be identified on the second page of the routing form, along with any special requirements the project may have (chemical hood vents, climate control, etc).
- Institutional Review Board (IRB). The Institutional Review Board must review all projects that intend to use human subjects. Faculty members must submit a protocol to IRB and have the research approved by the board prior to acceptance of an award. Additionally, for National Institutes of Health proposals, faculty and other key personnel must certify that they have been educated on the proper use of human subjects for research projects. Both procedures are conducted independently of the research foundation. SRD routes the grant proposal to the IRB shortly after submission to the funding agency and alerts the PI to submit a human subject protocol via standard e-mail memorandum generated by sponsored research services.
- Institutional Animal Care and Use Committee (IACUC). Faculty members who intend to use animals in their research projects must submit a protocol to the IACUC. Approval must be obtained before an award can be accepted. SRD alerts the PI to submit an animal subjects protocol via standard e-mail memorandum generated by the sponsored research services staff. The IACUC chairperson (or designee) will sign the routing form after the proposal is submitted.
- Conflict of Interest Committee. When the sponsor of a proposed project is a private firm, the faculty member must disclose whether he or she has any financial interest in the firm. This is done on a Form 700-U, which is located on the SDSURF website. The faculty member submits the form, via the research foundation, to the chair of the conflict of interest committee for review and a determination as to whether a conflict of interest exists. The research foundation is responsible for follow-up to ensure the 700-U has been submitted, reviewed and approved by the Conflict of Interest Committee. This process takes place shortly after the proposal has been sent to the funding agency. The U.S. Department of Health and Human Services and the National Science Foundation require that SDSU have a policy on significant financial interests for key personnel on proposals submitted to these agencies. PIs and any key personnel involved in HHS and NSF projects must complete a Financial Disclosure form and submit it to the Division of Research Affairs for review and determination of conflict of interest.
- Other Administrators. In some instances, other administrators may have to sign the routing form after the proposal has been sent to the sponsor. For example, if radioisotopes, toxics, or biohazards will be used on the project, the faculty member must submit applicable Environmental Health and Safety documents to the environmental safety officer. If diving is part of the project, the diving safety officer must receive certification before the project can begin. If patentable items may result from work performed on the project, the signature of the university’s patent administrator will be needed on the routing form. The research foundation’s technology transfer office is also involved in review of patent and intellectual property concerns. In each of these cases, faculty members should briefly explain on the routing form the nature of their work. SRD will route the proposal to the appropriate individuals for signature shortly after submission of the proposal to the sponsor.