Roles and Responsibilities

Receives request for just-in-time (JIT) information and notifies RMG.  If clarification is needed, consults with RPM.  Provides copy of all applicable compliance approvals to RMG.

Prepares Other Support documentation. When necessary, obtains Other Support information from all other participating faculty within Stanford or external to Stanford.  Please refer to the Other Support section located in Proposal Preparation and Submission webpage >>.

For NIH JIT requests, the sponsor requires submission of documents only following an email request from the appropriate Grants Management Specialist (GMS).  NIH advises recipients to not respond to automated messages sent by eRA Commons or to JIT hyperlinks that appear automatically in eRA Commons without receiving an e-mail from GMS.

Reviews and submits all required information to the sponsor.

Important: PI/Department is always responsible for timely filing and obtaining all required/applicable compliance approvals before the award is released and activated.

Definition: throughout the Roles and Responsibilities document, the term “compliance approvals” refers to all applicable internal (Stanford) approvals and clearances required before an award can be released. The following is a list of all potential approvals/clearances with links to specific instructions and/or resources:

Human Subjects (IRB): http://humansubjects.stanford.edu/

Human Subjects training: http://humansubjects.stanford.edu/resources/req_tutorial.html

Cancer-related studies – Scientific Review Center (SRC) review: http://cancer.stanford.edu/trials/srctop.html

Stem Cell Research Oversight (SCRO): http://scro.stanford.edu/

Animal Subjects (APLAC/IACUC): http://labanimals.stanford.edu/

Biohazardous Agents and Recombinant DNA Safety: http://www.stanford.edu/dept/EHS/prod/researchlab/bio/

Radiological Safety: http://researchcompliance.stanford.edu/#c4

Principal Investigator (PI) Training:
New DoResearch PIship webpage >>

Conflict of Interest
Stanford University COI webpage >>

Confirms clearance is received when applicable and confirms compliance approvals are in place.

Reviews terms and conditions for compliance with University policies. If problematic terms and conditions are identified, consults with OSR Contracts. Negotiates grant award terms and conditions with sponsor through guidance and/or direct support from OSR.

Upon RMG’s request, reviews problematic terms or conditions.
Partners with RMG in negotiation with sponsors when necessary.

Note: If contract agreement is sent to RMG, RMG will forward agreement to the appropriate negotiating office for review.  RMG does not participate in negotiation of contracts.

Reviews and negotiates any problematic terms and conditions.

Note: If contract agreement is sent to RMG, RMG will forward agreement to the appropriate negotiating office for review.  RMG does not participate in negotiation of contracts.

Review and negotiate any special terms or conditions related to industrial contracts.

[Step 2]:  Initiates, completes, obtains departmental signatures and forwards the early PTA form (OSR Form#38) to RMG.

Tip: Go to the bottom of this DoResearch Early PTA webpage >>, scroll down to "Related Items" and click on "Documents" to download the OSR Form #38.

[Step 1]:  Advises PI/Department on the appropriateness and timing of the request.

Upon request from the PI or department, verifies anticipated start date and funding status with sponsor.

[Step 3]:  Verifies all applicable compliance approvals have been filed with the appropriate compliance office.  Approves early PTA requests and obtains SOM Controller's approval of guarantee account. Forwards request to OSR Account Setup (grants) or OSR SoM Contracts (contracts and subcontracts) with accompanying documentation as needed.

[Step 4]:  Reviews and approves early PTA forms for contracts. Forwards to OSR Account Set-up where the process is completed.

Initiates request using the SeRA PTA Manager.

Tip: see the DoResearch webpage: PTA Inititation and Setup-SeRA Sponsored PTA Manager training module more >>

Note: by requesting an early account/PTA, the PI/Dept is accountable for covering all incurred expenses in the event the project is not funded,

Advises PI/Department on the appropriateness and timing of the request.

Certain types of projects (PPGs, T32s) receive an extended PTA guaranteed by the SoM automatically, before the next budget period begins. No action is required from the PI/Dept or RMG. A notification is sent by RMG’s Compliance Analyst (currently Mila Dacorro) for this action.

Verifies all applicable compliance approvals [see the above section on compliance >> ]

Reviews and approves early PTA forms for contracts. Forwards to OSR Account Set-up where the process is completed.

Note: OSR Accounting processes and completes all PTA requests within 4 business days from the receipt of all required documentation.

(This process applies to all types of awards described below, unless noted):

1. Receipt of Sponsor Award
2. Negotiation of Award (if necessary)
   Grants, Subcontracts, Contracts, Industrial Contracts (except Clinical Trials)
   
3. Release of Internal Notice of Award (NOA)
4. **New** SeRA PTA Manager: Search tip: DoResearch webpage: PTA Inititation and Setup-SeRA Sponsored PTA Manager module more >>

If award or agreement documentation is sent directly to PI, forwards immediately to RMG.
Participates in any award negotiations, when needed.

Note:  Main department should communicate with other participating departments to address post award management issues.

Receives agreement. Reviews terms and conditions, awarded budget and F&A rates.
Other award issue may include:

• Budget discrepancies: works with PI/Dept to revise proposal budget to match the award.
• Significant budget cuts: addresses the need to revise proposed aims/scope of work and/or proposed efforts.
• Duration changes (e.g. project proposed for 5 years but awarded for only 3): consults with PI/Dept on resulting changes in aims/scope of work.

Communicates changes to the sponsor &/or obtains sponsor approvals when needed.

Notifies OSR award is coming. Initiates early PTA when needed.

If necessary, revises the budget in cooperation with PI/Dept.

Provides proposal information and/or file to OSR.

Negotiates the agreement with the sponsor.

If award or agreement documentation is sent directly to PI, forwards immediately to OSR with a copy to RMG.

If necessary, revises the budget in cooperation with PI/Dept.

Provides proposal information and/or file to OSR.

Negotiates the agreement with the sponsor.

If award or agreement documentation is sent directly to PI, forwards immediately to OSR with a copy to RMG.

If necessary, revises the budget in cooperation with PI/Dept.

Provides proposal information and/or file to Industrial Contracts Office (ICO).

Negotiates the agreement with the sponsor.

Executes the agreement with the sponsor on behalf of the University.

[Step 2]:  Reviews internal NOA, sponsor’s terms and conditions, sponsor’s  website, restrictions, effort commitments, for the purpose of managing the award.

[Step 1]:  Issues internal Notice of Award (NOA).

Negotiates the agreement with the sponsor.

Note: OSR PTA Set-up Group (not presented above) is responsible for completing the PTA set-up process within 4 days from receiving complete documentation.

[Step 2]:  After receiving the internal NOA, submits requisition(s) to Procurement  for all subaward agreement(s) to be initiated, negotiated and awarded.

Tip: Go to the DoResearch webpage for information on the ORA-1122 Subaward Training Module
more >>


[Step 4]:  As needed, responds to requests for additional Statement of Work, effort and other pertinent information.

[Step 1:]: Distributes prime sponsor Notice of Award and subaward proposal documents to Department and OSR .

[Step 3:]:  Receives requisition from Procurement to initiate subaward process. Informs the PI, department, and RMG of the assigned contract officer.

Reports when the subaward contract is sent to the recipient via SPO log.

[Step 5]:  Drafts and negotiates subaward agreements.

Executes subawards on behalf of the University.

Post-award: