Approver(s):
Authorizes Release:
Responsible Area:
Review Cycle:
Last Review:
Related Policies and Additional References:
Scope
This policy establishes the roles and responsibilities of key stakeholders involved in sponsored projects at St. Mary’s University. Clear delineation of roles ensures effective project development and management, promotes accountability, and enhances the success of sponsored projects. This policy applies to all University-sponsored projects, including research, scholarly, and creative activities where funding is secured to support project objectives. Stakeholders covered by this policy include faculty members, principal investigators (PIs), co-investigators, research administrators, and other individuals or entities contributing to sponsored projects.
Exceptions
None
Policy Outline
C. Principal Investigator (PI)
D. Co-Investigators/Key Personnel
F. Department Chairs and Deans
G. Departmental and Other Administrative Assistance
H. University Research Council (URC)
J. Institutional Responsibility and Support
K. Sponsors and Funding Agencies
A. SPARC
The Office of Sponsored Projects, Academic Research and Compliance (SPARC) supports faculty and staff in obtaining extramural funding for projects and programs concerned with enhancing faculty and student research and development, scholarly and creative activities, capacity building, and innovation. SPARC is the central administrative office responsible for pre-award and post-award activities required by a sponsored project and ensures compliance with all federal, state, sponsor, and institutional policies and regulations in all academic areas. SPARC serves as the Authorized Official Representative for the University and has the authority to represent, correspond, and document on behalf of the University. All requests for agency approval must come from SPARC.
B. Finance Office
The Finance Office is responsible for providing accounting support and filing financial reports as required by the sponsoring agency. The Finance Office works with SPARC and principal investigators to establish account numbers, budget lines, and other financial record-keeping responsibilities for all sponsored projects. The Finance Office is responsible for all accounting activities and files all required financial reports to external funding sources for all grants and awards.
C. Principal Investigator (PI)
The Principal Investigator (sometimes referred to as the Project Director or PD) is responsible for overall proposal development, leadership, management, and execution of the sponsored project. Duties of the PI include developing the project proposal, securing funding, adhering to sponsor requirements and institutional policies, managing project finances, managing project personnel, communicating project outcomes in technical and fiscal reports, and achieving project objectives and goals.
In proposal development, PIs are responsible for engaging research administrators as early in the process as possible and for preparing proposal narratives in sufficient detail and in advance of the submission deadline to allow adequate review. Once a sponsored project has been awarded, PIs serve as the primary technical point of contact for the sponsor and are accountable for the successful implementation and completion of project objectives within established timelines and budgetary constraints.
D. Co-Investigators/Key Personnel
Co-investigators and other key personnel contribute their expertise and effort to the sponsored project under the direction of the PI. Responsibilities of co-investigators may include conducting research, providing technical expertise, mentoring students, and assisting with project administration, management, and reporting. Co-investigators collaborate closely with the PI and other project team members to achieve project goals and deliverables.
E. Research Administrators
Research Administrators provide administrative support and oversight to PIs, co-investigators, and project teams throughout the lifecycle of sponsored projects. Research administrators serve as the primary administrative point of contact for a sponsored project to the funding agency. Their responsibilities include assisting with proposal development, budget preparation, grant submission, contract negotiation, compliance oversight, financial management, and reporting. Research administrators support project staff to ensure that sponsored projects adhere to sponsor requirements, institutional policies, and applicable laws and regulations.
F. Department Chairs and Deans
Department chairs and deans provide leadership and support to faculty members, and PIs engaged in sponsored projects within their respective academic unit. They may assist with resource allocation, personnel management, space allocation, and strategic planning related to sponsored activities.
Department chairs and deans also represent the interests of their academic unit in institutional decision-making processes related to sponsored projects.
G. Departmental and Other Administrative Assistance
Department and other administrative associates are administrative staff that work at the departmental level and coordinate with the department head, Principal Investigators, and school, department, and central administration personnel to support and provide guidance on the administration of compliance, financial, personnel, and other related aspects of sponsored projects.
H. University Research Council (URC)
The URC is comprised of faculty from each school, staff, and other university stakeholders. URC supports sponsored projects by encouraging and supporting research, creative and scholarly activities throughout the University and by providing means for faculty and students to present questions and concerns about research, creative, and scholarly activities to the Office of Sponsored Projects, Academic Research, and Compliance (SPARC).
I. Louis J. Blume Library
The Library can support principal investigators and research teams by assisting with literature reviews, scholarly resource discovery, and access to research databases needed during proposal development. Faculty are encouraged to consult with library staff early in the grant development process to strengthen the research foundation for their proposals. The Library also houses Special Collections and University Archives, which include rare books, archival materials, and university records that support primary source research. In addition, the Blume Library manages the Digital Commons, the institutional repository, which enables faculty to meet grant requirements for open access publication without incurring external fees.
J. Institutional Responsibility and Support
Sponsored projects fall under the Provost and Executive Vice President of Academic Affairs. The University is the recipient of sponsored projects. The University supports the successful development, implementation, and completion of sponsored projects. The university is not responsible for grant activities once the project has ended or terminated with the funding agency unless there is a written agreement.
When a Notice of Intent for a sponsored project proposal has been approved by all stakeholders, the University is understood to have assumed certain general and specific obligations to the investigator, including:
- An appropriate and reasonable adjustment in teaching requirements may be made with the approval of the department chair and the school dean.
- Support from appropriate offices, resources, and stakeholders from across the University.
- Research and Budget to permit a PI to carry out a program for which sponsorship is being sought.
- As available, reasonable administrative support is provided to assist PIs in processing administrative tasks on sponsored projects. Support should fall within the existing responsibilities of the department administrator.
- The appropriate department(s) of the University will provide and maintain adequate space, facilities, utilities, and equipment for the conduct of the sponsored project.
- Notwithstanding other professional responsibilities, an individual’s existing tenure privileges or University salary will not be affected by reason of involvement in approved sponsored projects. Concerns about meeting obligations specified herein shall be addressed with the Provost and relevant stakeholders.
Upon the award acceptance of a sponsored project, the University assumes obligations specified or referred to in the award instrument. In addition, the University accepts the following general obligations to a sponsoring agency:
- Appropriate staffing levels will be maintained to provide adequate control over expenditures of the sponsored funds and property. Staff also will prepare and submit the necessary financial reports as required by the sponsor.
- For such purposes as maintenance of records and financial controls, provision of facilities and space, purchasing procedures, and property control, the University will not discriminate in its policies and administrative controls between its own funds and those obtained from a sponsor.
- Personnel salaries and employee benefits paid from sponsored funds will be consistent with University rates and standards and with the policies of the sponsor.
- Sponsored projects will comply with sponsor terms and conditions. In cases where there is a difference between sponsor terms and conditions and university policy, the most restrictive policy will be followed.
K. Sponsors and Funding Agencies
Sponsors and funding agencies are external organizations that provide financial support for sponsored projects and establish guidelines, terms, and conditions for project implementation. Responsibilities of sponsors may include reviewing proposals, awarding grants or contracts, monitoring project progress, approving budget revisions, and reviewing project outcomes. PIs and research administrators communicate regularly with sponsors to ensure compliance with sponsor requirements and address any issues or concerns that may arise during project implementation.
L. Compliance and Enforcement
All stakeholders involved in sponsored projects are expected to fulfill their respective roles and responsibilities as outlined in this policy. Failure to fulfill these obligations may result in disciplinary actions, financial penalties, loss of funding, or other adverse consequences as determined by institutional policies and sponsor requirements.