The following grid depicts the roles and responsibilities of the principal investigator, department, Office of Research Affairs, Controller’s Office and other research support offices at Penn State College of Medicine through the grants and contracts lifecycle.
Items marked in bold indicate the group or groups with the primary responsibility for that task.
Identification of Funding Opportunities
Proposal Preparation
Regulatory Requirements
Proposal Review and Approval
Proposal Submission
Pre-Award
Award Acceptance
Award Setup
Conducting the Project Financials
Invoicing Financial Reporting
Accounts Receivable Management
Prior Approvals
Subcontracts and Subawards
Technical Data and Reports
Personnel and Effort Certification
Project End (Transfers and Closeout)
Intellectual Property
Agent Definitions
- Principal investigator (PI): The individual designated by the University, and approved by the Sponsor, who will be responsible for the scientific/technical design, conduct and reporting of a sponsored project.
- Department: The unit within a particular college at the University that provides administrative support for sponsored projects.
- Shared services: The unit that serves as the provider of administrative support for sponsored projects. This applies to departments that have opted for shared-service support vs. providing departmental support.
- Office of Research Affairs (ORA): On behalf of the University, and with the delegation of signature authority on behalf of Penn State College of Medicine, the office that facilities the submission of all sponsored projects proposals; negotiates and executes agreements; provides sponsored projects education and communication; and assists faculty, staff and students in managing projects awarded to the University. Learn more about ORA.
- Controller’s Office: Liaison to University Park Research Accounting; responsible for College of Medicine financial oversight of sponsored project accounts on behalf of the University, submitting financial reports and assisting faculty and support staff in the financial aspects of sponsored awards; has primary responsibility for effort reporting; serves as the primary point of contact for auditors.
- Research Development (RD): Responsible for managing internal funding process, limited-submission down-select process and providing funding opportunity information. Learn more about RD.
- Center for Medical Innovation (CMI): Provides guidance, support and assistance in safeguarding intellectual property and facilitates and promotes technological transfer. Learn more about CMI.
- Purchasing: Establishes and administers procurement contracts; procures facilities, goods and services for best value; ensures University business is conducted in a fair and open environment, in full compliance with applicable laws and regulations.
- Compliance: Handled by a number of offices, including Human Subjects Protection Office (HSPO), Institutional Animal Care and Use Committee (IACUC), Conflict of Interest Review Committee (COI) and Biosafety and Recombinant DNA Subcommittee. Learn more about Compliance.
- Associate Dean for Research (ADR): Responsible for handling requests for F&A waivers and other high-level approvals; currently Dr. Sheila L. Vrana.
Glossary of Terms
- ACE: Account Close or Extension Form
- AURA: Add University Restricted Account Form
- BARA: Budget Amendment for Restricted Accounts Form
- IAF: Internal Approval Form
- IP: Intellectual Property
- ISP: Intent to Submit Proposal Form
- JIT: Just-in-Time
- LOI: Letter of Intent
- SAS: Salary Assignment Schedule