Regulations, Policies, and Procedures

Oversight of Sponsored Projects
Roles and Responsibilities

The Players

See also:

Principal Investigator

The primary person responsible for the technical and financial aspects of a research grant, cooperative agreement, training or service project, clinical study, contract, other sponsored project or material transfer agreement. Usually a faculty member holding a regular appointment, although other employees may be approved to serve as P.I. in some sponsored projects (see PI Eligibility). The P.I. may be referred to as the project director.

  • Reviews sponsor’s program guidelines
  • Prepares the technical proposal, budget and related materials
  • Identifies subrecipients and consultants
  • Requests cost sharing/matching dollars, if required
  • Satisfies regulatory research requirements (i.e., use of human subjects, animals, sharing of model organisms, data sharing plans [see Sample Language for guidance] etc.)
  • Reviews and signs Proposal Transmittal Form (PTF)—including COI certification
  • Assures that final proposal is endorsed and submitted
  • Negotiates and approves project scope
  • Reviews and approves of terms & conditions of award
  • Conducts the research
  • Oversees scientific integrity of project. Is familiar with University academic fraud policy (PDF) and brings to Dean’s attention any allegations of academic fraud or scientific misconduct. Dean’s office makes a determination as to the merit of the allegations.
  • Communicates with and oversees unit administrator to see that project technical requirements and allocation of resources are fully understood by all parties
  • Oversees budget management
    • Authorizes all expenditures, cost transfers, rebudgeting
  • Manages project personnel
  • Oversees workscope and authorizes payments to consultants and subrecipients
  • Discloses inventions, discoveries, improvements to UChicagoTech
  • Completes interim and final technical reports
  • Updates Assurance, and prepares Disclosure Form if significant financial conflict of interest develops
  • Signs Annual Certification Statements for effort reporting
  • Provides oversight for rebudgeting, cost transfers, and carry forwards
  • Provides information on closing reports
  • Prepares continuation or renewal proposal
  • Retains project data and materials as required

Unit Administrator/Faculty Service Representative (FSR)

An employee responsible for providing administrative support for one or more sponsored projects. This position may include a wide variety of roles and position titles including faculty service representative, account manager, grants & contracts administrator, administrative assistant, pre-award administrator, post-award administrator, account assistant, project assistant, secretary, etc. The role of the Unit Administrator may be very broad, e.g., Faculty Service Representatives (FSRs) support comprehensive pre- and post-award activities for a number of PIs. The particular role and responsibility of a Unit Administrator should be detailed in the position description. A Unit Administrator may have supervisory responsibility for other clerical and administrative staff who support sponsored projects at the University.

  • Has general understanding of Federal regulations and circulars that govern University’s sponsored research
  • Attends classes to remain current on important research topics
  • Obtains and reviews proposal guidelines/forms
  • Alerts URA (and ORS for the BSD) of upcoming proposal deadline
  • Coordinates and communicates with P.I. to understand relationship between project goals and resources
  • Prepares (assists with) proposal budget & other administrative documents
  • Seeks approvals for faculty/staff from other divisions/departments and units
  • Prepares Proposal Transmittal Form (PTF)
  • Assures institutional review and approval of proposal
  • Assures submission of proposal to sponsor
  • Assists with regulatory compliance - drafting protocol documents for review by appropriate committee; monitoring continuing review requirements; facilitating submission of amendments as needed (human subjects, animals, biohazards, etc.) and ensures costs are not incurred without current IRB & IACUC approval.
  • Assists with sponsor inquiries & negotiation of award
  • Facilitates acceptance of award
  • Assists in establishing account in Financial Accounting System (FAS)
  • Assigns correct budget codes and manages the budget
  • Assists with recruitment, appointment and effort assignment for personnel
  • Expedites documentation for purchases, subawards, consulting agreements
  • Obtains PI approval for payments to subrecipients, consultants and other purchases
  • Reconciles monthly ledgers of expenditures
  • Assists with documentation of mandatory and committed voluntary cost sharing and/or matching
  • Provides information to resolve overdrafts
  • Provides information and reviews final financial report
  • Prepares and provides information for closing reports
  • Assists P.I. with development of continuation or renewal proposal

Unit Head

A University official with managerial and fiscal responsibilities for a designated area, such as department chair, center director, institute director.

  • Approves proposal budget and justification
  • Approves cost sharing and matching from departmental funds
  • Provides local oversight for compliance with regulatory research requirements, as necessary
  • Makes recommendations regarding disclosed conflicts of interest
  • Reviews and approves Proposal Transmittal Form
  • Reviews and endorses requests for P.I. eligibility
  • Reviews the salary rates, space and facilities commitments
  • Endorses request for indirect cost waiver
  • Facilitates and assists URA with award negotiation and acceptance of sponsor terms and conditions, as necessary
  • Approves pre-award arrangements and authorizes a guarantee account from which expenditures may be paid if award is not received
  • Provides local oversight for assignment, hiring and appointment of individuals to project
  • Provides local oversight for compliance with effort reporting, reporting of program income, and all other award terms and conditions
  • Monitors invention disclosures by P.I. to UChicagoTech
  • Provides local oversight for records retention and data ownership
  • Works with divisional and central administrative offices to assure compliance with all technical and financial reporting requirements
  • Approves and provides local oversight for continuation or renewal proposals

Dean

A University official with managerial and fiscal responsibilities. Each school, division, or college is administered by a dean under the supervision of the Provost of the University.

  • Provides divisional/unit oversight for proposal budget
  • Delegates oversight on proposal budget development and approval in some areas
  • Approves divisional commitments for cost sharing/matching
  • Reviews and approves space & facilities commitments
  • Endorses requests for indirect cost waivers
  • Reviews and approves Proposal Transmittal Form, per divisional policy
  • Approves requests to Office of the Provost for P.I. eligibility
  • Verifies the correctness of salary rates
  • Provides divisional/unit oversight for compliance with regulatory research requirements, such as human & animal subjects, radiation safety, etc.
  • Reviews and approves all major rebudgeting in proposal negotiation
  • Facilitates pre- and post-award research administration between departments and dean’s office
  • Provides divisional/unit approval for subcontracts, post-award administrative actions requiring institutional approval, per divisional policy
  • Interacts with Comptroller’s office and URA in all areas of compliance with proposal and award terms and conditions, as necessary
  • Assists with compliance with technical and financial reporting, as necessary
  • Provides divisional/unit concurrence in negotiation and acceptance of awards, per divisional policy
  • Provides divisional oversight for compliance with academic research and other regulatory research policies
  • BSD Dean serves as Institutional Animal Care and Use Official
  • Conducts initial inquiry under academic fraud policy (PDF)

CENTRAL OFFICES

Provost

The chief academic and administrative officer for all academic units, including the college, the divisions, schools and centers. The Provost oversees the University’s compliance with all academic research policies.

Deputy Provost for Research

The chief academic official designated by the Provost as the person responsible for the direction and guidance of the University’s research mission. The Deputy Provost for Research oversees all issues related to conflict of interest; reviews and signs off on management letters regarding disclosure of individual conflict of interest; coordinates all matters related to competitive faculty fellowships and awards, and oversees issues pertaining to academic fraud.

Office of the Provost
  • Oversees the formulation and implementation of academic research policies governing all units of the University
  • Approves indirect cost waivers
  • Approves budget cost sharing/matching commitments if unit is not a part of a Division or School
  • Reviews and approves management plans for disclosed conflicts of interest
  • Provides institutional oversight for resolution of potential conflict of interest situations
  • Approves all cases of P.I. eligibility and other matters relating to P.I.’s academic and management eligibility
  • Approves the submission of proposals and acceptance of awards for units reporting to Office of Provost
  • Provides institutional oversight for handling of academic fraud (PDF) allegations and compliance with other regulatory research policies
  • Provides guidance in negotiation of terms and conditions of awards in matters concerning academic policy and affirmative action

VICE PRESIDENT FOR RESEARCH AND FOR NATIONAL LABORATORIES (ANL and Fermi)

University Research Administration (URA)

Office designated by the University with the responsibility to review and provide institutional endorsement for all proposals to Federal and other external sponsors (excluding gifts), assuring compliance with University policies and sponsor terms and conditions. URA is the institutional authority for the negotiation and acceptance of financial support or other contractually-binding obligations in the form of a contract, grant, or agreement, including material transfer agreements and clinical trials. URA is the authorized institutional official for post-award actions necessitating agency approvals: change in P.I., rebudgeting, no-cost extension, etc.

  • Disseminates funding opportunity information to university community
  • Provides policy guidance and assistance with all aspects of proposal budget development, administrative forms, small business subcontracting plans, and all agency-required certifications and representations
  • Negotiates, approves and confirms P.I. acceptance of project terms and conditions, including project budget
  • Receives notification of award
  • Reviews terms and conditions of award, notifies P.I. and administrative offices of new award
  • Approves and expedites pre-award arrangements, i.e. revised budgets, Just-in-Time (JIT) requests
  • Coordinates with Comptroller’s office in all areas of compliance with award terms and conditions, as necessary
  • Informs UChicagoTech of sponsor intellectual property and invention reporting requirements
  • Coordinates Legal Counsel and Risk Management reviews and approvals, as necessary
  • Coordinates with UChicagoTech on negotiation and acceptance of intellectual property provisions on sponsored research agreements involving patents, licensing and commercialization of University-developed inventions (including material transfer agreements (MTAs) and clinical trials)
  • Maintains database of University-wide proposal and award activity
  • Provides leadership for electronic research administration planning and implementation
  • Provides institutional oversight for cost sharing/matching commitments
  • Initiates and endorses all consulting agreements and subawards funded through sponsored projects
  • Confirms approval of regulatory compliance involving humans, animals, recombinant/biohazards, radiation hazards
  • Confirms compliance with University conflict of interest policy
  • Provides institutional oversight for compliance with export control regulations
  • Reviews and assures completion of proposal transmittal form (PTF)
  • Reviews proposals for compliance with university policies and sponsor proposal guidelines and potential award terms and conditions
  • Confirms that proposals to “sensitive” foundations are cleared through Development Office (Foundation Relations) for submission
  • Approves and authorizes submission of proposals on behalf of institution
  • Reviews, negotiates and approves material transfer agreements
  • Reviews, negotiates and approves clinical study agreements
  • Approves rebudgeting, P.I. changes, and other agency-required endorsements for post-award changes
  • Notifies sponsors of post-award modifications approved on campus, under expanded authorities and/or FDP terms and conditions
  • Provides institutional oversight for compliance with interim and final technical reporting requirements
  • Coordinates sponsored programs’ education & training
  • Responsible for official record retention of proposal and non-financial post-award documentation

Office of Legal Counsel

  • Provides guidance pertaining to compliance with applicable laws and regulations, including export controls and trade sanctions
  • May provide assistance or guidance with regard to compliance with sponsor requirements
  • Must review and approve any request for indemnification by the University
  • Advisor on regulatory compliance

Office of the Comptroller

The Comptroller, at the direction of the Board of Trustees has supervision over the financial records and accounts of the University. The Comptroller is responsible for keeping proper books of accounts adequately setting forth the financial condition and transactions of the University and shall devise proper methods of accounting and internal controls for all departments of the University.

Restricted Funds

The unit of the Comptroller’s Office that is responsible for the financial accounting, reporting and collecting of funds for federal and other sponsored project awards. Also, this unit is responsible for preparing the F&A Cost Proposal and negotiating an F&A (Indirect Cost) Rate Agreement with the Federal Government.

Comptroller/Restricted Funds
  • Establishes and maintains sponsored project accounts in FAS
  • Enforces University financial policies and federal and nonfederal grant and contract financial regulations
  • Establishes procedures to comply with the sponsor’s financial terms and conditions for:
  • Reviews expenses to the extent possible for allowability
  • Coordinates the preparation and submission of financial reports to the sponsoring agency
  • Manages project account receivables
  • Monitors overdrafts to ensure their timely resolution
  • Ensures that project accounts are closed in FAS
  • Prepares and negotiates the indirect cost proposal with the University’s cognizant federal agency, the Department of Health and Human Services
  • Coordinates the annual submission and negotiation of fringe benefit rates for federal and all other supported projects
  • Ensures University compliance with the OMB Circular No. A-133 audit requirements
  • Coordinates all sponsored project audit activity

Risk Management, Audit & Safety

  • May provide assistance or guidance with regard to compliance with sponsor requirements, i.e., insurance certification
  • Internal Audit examines and evaluates the controls in place to safeguard University assets, evaluates the effective use of resources, reviews compliance with policies, procedures, laws & regulations
  • Advises units regarding methods to control the risk of fortuitous loss to the University

UChicagoTech

  • Manages intellectual property at the University of Chicago
  • Serves faculty, staff and students by commercializing inventions, ideas and software developed at the University -- to ensure that new knowledge benefits society
  • Protects the rights of the inventors and the University - and then typically works with industry, granting licenses so that a company will develop the discovery and bring it to the market

Other Campus Offices

  • Office of the Comptroller
  • Central Procurement Services
    • Establish, formulate, publish, maintain, and interpret policies and procedures to be followed by all procurement centers of the University
    • Provide that no commitment of funds be made unless "such materials and services are obtained in an effective manner and in compliance with the provisions of applicable Federal Law and Executive Orders
    • Negotiate all procurement terms and execute all purchases and leases of goods and services except where that authority has been delegated to other designated units within the University for specified goods and services or is otherwise prohibited by University By-Laws or Trustee action
    • Department Heads have authorization to issue a University purchase order through the Central Procurement Services purchasing system for an amount up to $5,000.00 and may delegate this authority within their department
    • Individuals may be reimbursed for business related purchases up to $500 provided the individual includes detail documentation describing the purchase and proof of payment. These items become the sole property of the University.
    • See University of Chicago Financial Policy No.1201 for the specific assignment of authority and responsibility for procuring goods and services and Financial Policy No. 1203 for the assignment of authority to approve non-payroll expenditures
  • UHRM
  • Facilities Planning and Management
    • Renovations
  • Office of Foundation Relations
  • Office of the VP and Dean of Students in the University

    (training awards, Research Assistant appointments)

  • University News Office
  • Hospital Safety (702-9999)
  • Medical Legal
  • Argonne National Laboratory

    Argonne is operated by the University of Chicago for the U.S. Department of Energy's Office of Science through the UChicago Argonne, LLC.

    Fermi National Accelerator Laboratory

    Fermilab is managed by the University of Chicago for the U.S. Department of Energy’s Office of Science through the Fermi Research Alliance, LLC.
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