| Proposal Preparation | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Work with the PI to identify funding sources | |||||
| Prepare technical proposal | X | ||||
| Assure that the proposed project is appropriate in nature and scope, and consistent with departmental and institutional mission | X | X | |||
| Assure that the proposed project has qualified personnel and adequate space | X | X | |||
| Draft an adequate and accurate budget to accomplish the scope of work | X | X | X | ||
| Request and document approval for cost sharing/matching | X | ||||
| Approve and provide documentation to OSP for cost sharing/matching | X | X | X | ||
| Obtain commitment and documentation from external collaborators | X | X | |||
| Complete Financial Conflict of Interest (FCOI) disclosure forms, no later than at the time of submission for federally funded research and/or PHS funding | X | Investigators (Partially responsible for the design, conduct, or reporting of research) | |||
| Proposal Review and Approval | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Coordinate programs where University is restricted in number of allowable submissions | X | ||||
| Provide oversight for sponsored project proposals, including budget review | X | ||||
| Work together to prepare final proposal budget | X | X | X | ||
| Prepare budget justification/budget narrative | X | ||||
| Review and approve F&A cost reductions or waivers | X | Vice Provost | |||
| Provide justification for costs generally considered to be indirect to be charged as direct costs | X | X | |||
| Review and approve requests for costs generally considered to be indirect to be charged as direct costs | X | ||||
| Prepare/Negotiate Non-Disclosure Agreements | X | ||||
| Prepare/Negotiate Teaming Agreements | X | ||||
| Negotiate Material Transfer Agreements (MTAs) | X | ||||
| Route Internal Approval Form, proposal budget, budget justification and project description for university approval prior to submission | X | ||||
| Sign Internal Approval Form certifying information provided on Representations and Certifications page and all fiscal information | X | ||||
| Sign Internal Approval Form indicating concurrence with all information and commitments included on form | X | ||||
| Notify the OSP of all investigators on the proposal (that is, all individuals who will have responsibility for designing, conducting, or reporting for federally funded research and/or PHS funding.) who are required to disclose FCOI | X | ||||
| Confirm with the Office of Research Integrity that PI and identified JMU investigators have filed a JMU FCOI Disclosure Form | X | ||||
| Confirm with the Office of Research Integrity that identified external investigators have filed a JMU FCOI Disclosure Form or will comply with the conflict of interests policy(ies) of the collaborator at which they are employed | X | ||||
| Disclose international exchanges of information, items, and/or activities for JMU review | X | ||||
| Proposal Submission | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Complete final proposal review | X | X | |||
| Load proposal to applicable e-submission portal | X | X | |||
| Provide authorized institutional signature on all proposals and awards | X | ||||
| Submit all proposals on behalf of the University | X | ||||
| Before Award | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Submit Just-in-Time information to sponsor | X | X | |||
| For federally funded research and/or PHS funding, complete FCOI training before any expenditures are made and at least every four years thereafter while receiving funding | X | Investigators | |||
| Confirm that PI and identified JMU investigators have completed FCOI training | X | ||||
| Confirm that identified external investigators completed FCOI Training through JMU or will comply with the conflict of interests policy(ies) of the collaborator at which they are employed | X | ||||
| If the project involves the use of animals or human subjects, obtain side by side review of project narrative and approved protocol | X | ||||
| Insure award document does not contain terms and special conditions to which the University cannot comply | X | X | University Legal Services | ||
| Negotiate contractual terms and conditions as needed | X | ||||
| Award | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Secure signatures for award acceptance | X | ||||
| Notify appropriate University offices of award | X | ||||
| Project Management | |||||
| Update FCOI disclosures throughout the period of performance. (Annually and within forty-five days of acquiring or discovering any new significant financial interests) | X | Investigators | |||
| Review and approve other project changes, some of which may require sponsor prior approval, such as no-cost extensions; budget reallocations; change in scope; absence or change of PI; pre-award costs; carry-forward of unexpended balances to subsequent funding; equipment, subaward, or foreign travel not in approved budget; etc. | X | ||||
| Request for prior approvals when allowable and appropriate for actions | X | X | |||
| Notify PI and Sponsored Programs Accounting (SPA) of sponsor response to prior approval requests | X | ||||
| Ensure that project staff have training and certification required by the university, by Federal or State regulation, or by the sponsor, such as Responsible Conduct of Research, IRB, and IACUC | X | ||||
| Seek and maintain approvals for human subjects, animal use, biosafety or other research requiring committee and/or other approvals | X | ||||
| Submit all required project reports | X | ||||
| Report inventions to the Office of Technology Transfer | X | ||||
| Prepare and send subawards and consulting agreements upon request of PI | X | ||||
| Review and approve subrecipient and consultant agreement requests | X | ||||
| Award Closeout | OSP | PI | Dept. Admin. | Chair/Dean | Other |
| Assure that subrecipients and consultants have submitted or will submit all required deliverables, reports and invoices | X | ||||
| Meet sponsor’s deadline(s) for final reports | X | X | SPA | ||
| Submit any required final invention report | X | X | |||
| Close out IRB and IACUC protocols | X | ||||
| Retain the project records for as long as they are useful, but for at least 3 years after submission of the final report (if any) or award termination, whichever is later. | X | X |
Subrecipient Monitoring
Principal Investigator
The PI has responsibility for monitoring technical/programmatic activities and progress. They ensure subrecipients adhere to work plan and timeline, review all invoices submitted by subrecipient, and approves prior to payment by Sponsored Programs Accounting (SPA).
Office of Sponsored Programs
OSP has a written process for subrecipient monitoring to ensure compliance with federal, sponsor, and university guidelines and regulations. The OSP staff reviews proposal submissions to assure that the subaward is appropriately budgeted. OSP obtains signed representations, certifications, and assurances from subrecipient as well as collects annual A-133 audit certification letter, prepares and negotiates subaward agreements, ensure subrecipients are not debarred or suspend and are eligible to receive federal funding. OSP shares approved budget and signed agreements to Sponsored Programs Accounting (SPA). The OSP staff interprets policies to ensure compliance and negotiates budget revisions or no-cost extensions.
Sponsored Programs Accounting
SPA processes payments of invoices in accordance with approved subrecipient budgets.
Proposal Preparation
Office of Sponsored Programs
