Post-Award

Award and Account Setup

Award Management

Project Reporting

Award Closeout

Effort Reporting

Subrecipient Monitoring

CIndirect Cost Rate Development

Internal Controls and Audits

Award and Account Setup

Once a sponsor makes an award to an institution the award document establishes the legal and regulatory parameters for the researcher to access and track funds and other project details. This becomes the primary financial management tool that restricts awarded funds for use on only the funded project. The proper setup of the awarded budget and other details contributes to overall effective management and administration.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with accounting practices for sponsored funds, and unfamiliar with institutional practices for setting up project accounts to manage finances and administrative details. Needs to be trained on the institution’s financial system.

01

Level 1: Beginner

Description: Some familiarity with sponsored fund accounting practices, and able to create a basic account in the institution’s financial system under close supervision. Able to transfer the awarded budget into the financial system, and able to identify and record project report deadlines and other required data elements for the account. Able to transmit new account information to researchers using standard templates and procedures. Able to manage tracking of expenditures against budget for allowability, allocability, and appropriateness.

02

Level 2: Intermediate

Description: Can independently set up new accounts of all types and distinguish among cost reimbursement, fixed price, milestone-based, and other types including cost share. Navigates sponsor guidelines, award documents, and institutional policy to establish a strong basis for ongoing award management. Competently communicates with the researcher to resolve questions and concerns.

03

Level 3: Advanced

Description: Competent in restricted fund accounting practices and capably sets up complex accounts, such as multi-year, multi-investigator projects. Possesses expertise in the institution’s financial system and contributes to establishment and maintenance of staff training. Assists with creation and maintenance of institutional policy and procedure. Assists with resolution of errors.

04

Level 4: Expert

Description: Leads training for staff and researchers on award elements and financial regulations, allocates available unit resources such as people and budget, and develops financial policy and procedure for sponsored funds. Resolves issues and problems related to this function.

Award Management

Effective award management requires attention to sponsor guidelines, institutional policy, regulatory requirements, timeline management, and financial monitoring. Excellent management also requires resource allocation, risk mitigation, and effective communication to achieve project goals within budgetary limits. Both the research team and sponsored programs staff have award management duties.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with roles and responsibilities of those involved in award management, and needs training in related policy, procedure, and use of institutional tools.

01

Level 1: Beginner

Description: With supervision, can review budgeted expenses against actual expenditures, monitor the project timeline and anticipate upcoming deadlines, and process standard forms using standard procedures.

02

Level 2: Intermediate

Description: Independently monitors expenditures to ensure that expenses are reasonable, allocable, and allowable under sponsor policy. Able to determine if sponsor prior approval is needed for budgetary or programmatic changes, monitors and revises budgets including cost sharing, prepares invoices and makes cash draws in accordance with sponsor procedures. Research staff also balances accounts on a regular basis and securely maintains expense documentation.

03

Level 3: Advanced

Description: Reviews and resolves unusual, questionable, or high-risk transactions. Works with researchers, other financial staff, procurement, and other stakeholders to help ensure compliance with financial and programmatic expectations. Assists with training staff and researchers on financial regulations and award management best practices and institutional procedures. Resolves issues and problems related to this function.

04

Level 4: Expert

Description: Leads award management activities. Develops policies and procedures to promote financial compliance and best practices. Engages with researchers, leadership, auditors, and other stakeholders to resolve questions and concerns, and investigates allegations of financial misconduct. May serve as the institutional signatory for invoices and other financial documents.

Project Reporting

Both financial reports and programmatic reports are typically required by sponsors on a periodic basis as well as at the end of the project. These reports support the transparent and accountable review of research projects and associated expenditures. Required reporting also provides a defined time for thorough review of the research trajectory and the budget so that course corrections can be made in a prompt and transparent way. Compliant and thorough reporting paves the way to ongoing and future support of a research program and the institution.

Growth Pathway

0

Level 0: Untrained

Description: Unaware of financial and programmatic practices in research, and needs training on policy, procedure, and institutional resources.

01

Level 1: Beginner

Description: Under close supervision can generate an expense report for a project using the institution’s standard operating procedures. Can communicate with researchers and others using existing templates and procedures.

02

Level 2: Intermediate

Description: Can independently prepare complex financial reports, working collaboratively with financial staff and research staff to address discrepancies and correct errors. Monitors reporting deadlines and alerts researchers to programmatic report deadlines and content requirements.

03

Level 3: Advanced

Description: Reviews financial reports for accuracy and clarity, and resolves questions, concerns, and errors. Ensures revenue has been received and applied to the correct account. Provides training to staff and researchers on policy, procedure, and best practices. Resolves issues and problems related to this function.

04

Level 4: Expert

Description: Leads financial and administrative activities to help ensure that reports are clear, accurate, and submitted on time. Leads development of institutional policy and procedure that supports a culture of accountability and transparency. Interacts with sponsors, leadership, auditors, and other stakeholders to solve problems and improve processes.

Project Reporting

Both financial reports and programmatic reports are typically required by sponsors on a periodic basis as well as at the end of the project. These reports support the transparent and accountable review of research projects and associated expenditures. Required reporting also provides a defined time for thorough review of the research trajectory and the budget so that course corrections can be made in a prompt and transparent way. Compliant and thorough reporting paves the way to ongoing and future support of a research program and the institution.

Growth Pathway

0

Level 0: Untrained

Description: Unaware of financial and programmatic practices in research, and needs training on policy, procedure, and institutional resources.

01

Level 1: Beginner

Description: Under close supervision can generate an expense report for a project using the institution’s standard operating procedures. Can communicate with researchers and others using existing templates and procedures.

02

Level 2: Intermediate

Description: Can independently prepare complex financial reports, working collaboratively with financial staff and research staff to address discrepancies and correct errors. Monitors reporting deadlines and alerts researchers to programmatic report deadlines and content requirements.

03

Level 3: Advanced

Description: Reviews financial reports for accuracy and clarity, and resolves questions, concerns, and errors. Ensures revenue has been received and applied to the correct account. Provides training to staff and researchers on policy, procedure, and best practices. Resolves issues and problems related to this function.

04

Level 4: Expert

Description: Leads financial and administrative activities to help ensure that reports are clear, accurate, and submitted on time. Leads development of institutional policy and procedure that supports a culture of accountability and transparency. Interacts with sponsors, leadership, auditors, and other stakeholders to solve problems and improve processes.

Research Compliance

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Identifying funding opportunities

Lu-1 I-1; I-2

Proposal Development 01

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Growth Pathway

0

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

01

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

02

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

03

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

04

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

Programming/Curriculum:

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Proposal Development 02

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Growth Pathway

0

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

01

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

02

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

03

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

04

Level 0: Untrained

Description: Lorem ipsum dolor sit amet consectetur adipisicing elit. Adipisci unde non doloremque! Minima eveniet cupiditate nemo nihil iure dicta rerum aspernatur dolore libero modi, delectus iste natus dolorum ratione quas.

Programming/Curriculum:

Lavelup: Lorem ipsum dolor sit amet consectetur adipisicing elit.

Lavelup: Lorem ipsum dolor sit amet consectetur adipisicing elit.

Lavelup: Lorem ipsum dolor sit amet consectetur adipisicing elit.

Pre-Award

Identifying Funding Opportunities

Proposal Development

Pre-award Proposal Review and Submission

Award Review, Negotiation, and Acceptance

Pre-award Reporting and Just-In-Time Documents

Subawards

Identifying Funding Opportunities

Overall Description: Identifying funding opportunities involves scanning for and assessing the funding landscape to identify relevant funding programs that align with research interests, sponsor requirements, and the organizational capacity.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with identifying funding opportunities and needs to learn the basics of funding opportunity databases and matching a funding opportunity with a research program.

01

Level 1: Beginner

Description: Has basic understanding of funding databases and search methods. Can assist with preliminary determination of budget needs, funding eligibility requirements, and basic application details.

02

Level 2: Intermediate

Description: Can independently search databases, sponsor websites, and other resources to match researcher and sponsor interests and disseminate relevant opportunities to those with potential interest. Able to assist researchers with options for approaching a sponsor.

03

Level 3: Advanced

Description: Proactively monitors funding programs most closely aligned with the research organization’s funding priorities. Able to coach researchers and others on funding search techniques and analysis of funding opportunities.

04

Level 4: Expert

Description: Maintains relationships with appropriate sponsors, monitors changes in sponsor priorities, promotes funding information events, manages limited submission programs, and oversees a program of funding information dissemination and training.

Proposal Development

Proposal development involves the planning, facilitating, and crafting of detailed and persuasive documents that outline the aims, methods, and significance of a research project to secure funding from external sources, all while adhering to sponsor requirements.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with proposal development strategies and needs to learn the basics of navigating funding agency guidelines and understanding proposal requirements.

01

Level 1: Beginner

Description: Has basic understanding of funding agency guidelines and can assist with simple proposal formatting, forms creation, and submission tasks under close supervision.

02

Level 2: Intermediate

Description: Competently assists researchers in developing proposals; can handle most aspects of proposal preparation and submission with minimal guidance. May advise the researcher on drafts.

03

Level 3: Advanced

Description: Independently manages and facilitates complex proposals including proposal writing teams, coordinates internal and external reviews and deadlines, and provides expert advice on improving proposal quality, structure, compliance, and communication of shared interests. May provide editorial services.

04

Level 4: Expert

Description: Leads and innovates proposal development strategies across institutions, provides training and guidance to other staff, and excels in managing multiple proposals and writing teams across various funding agencies with high success rates. Oversight of strategic initiatives and large center/multidisciplinary/multi-institution proposal coordination and editing.

Pre-Award Proposal Review and Submission

Proposal review and submission includes the critical review and analysis of primarily a proposal’s administrative elements to ensure accuracy and compliance with sponsor guidelines, then submitting the completed proposal to the sponsor using the appropriate method by the deadline.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with proposal elements, proposal budgets, institutional requirements, or proposal submission portals. Must learn how to read guidelines, check proposals against those guidelines, and review budgets for accuracy and compliance.

01

Level 1: Beginner

Description: With close supervision, can review and interpret guidelines and check proposals for compliance. Can review basic budgets and can assist with institutional signatures/approvals. Able to upload documents into proposal submission portals.

02

Level 2: Intermediate

Description: Able to independently review most proposals for compliance with guidelines, laws, and regulations. Can develop most types of budgets using standard elements and calculations. Able to navigate proposal submission portals and electronic research administration submission tools, and manage multiple proposals for multiple deadlines, including institutional approvals.

03

Level 3: Advanced

Description: Independently supports and advises on complex multi-investigator, multi-institutional proposals, develops complex budgets, and reviews terms and conditions requiring acceptance upon proposal submission. Advises researchers and others on policy, law, and regulation surrounding sponsored funding.

04

Level 4: Expert

Description: Provides training and guidance to staff and researchers on all proposal elements, develops proposal review and submission policy for the institution, and resolves issues and problems related to this function. Ensures adequate staffing levels by justifying requests for additional staff.

Award Review, Negotiation, and Acceptance

Funding awarded to an institution from a sponsor requires review of terms, conditions, laws, and regulations applicable to the funding, negotiation of terms and conditions, if necessary, and finally institutional acceptance of the funding agreement.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with laws and regulations that apply to government funding, and with contract funding for research. Needs to learn the legal framework and norms for funding from governments, nonprofits, and industry.

01

Level 1: Beginner

Description: With supervision, able to review standard notices of awards for grant funding, checking award elements such as award period and budget against proposal elements.

02

Level 2: Intermediate

Description: Able to review notices of awards for grant funding and resolve any issues by working with the sponsor and researcher. Able to review and advise on noncomplex awards from nongovernmental sponsors, keeping the researcher informed of progress. Able to process accepted awards using data elements necessary for award and account setup.

03

Level 3: Advanced

Description: Adept at thorough analysis of all types of awards, including complex awards and Federal Acquisition Regulations (FAR)-based contracts. Uses local guidance and judgment to seek opinions from legal counsel, technology transfer staff, and others to resolve specific items or engage in negotiations. Understands the FAR and FAR supplements and its applicability to different types of contract recipients based on the type of work contemplated.

04

Level 4: Expert

Description: Trains staff in advanced contract review and negotiation that leads to mutually beneficial agreements in a timely fashion. Leads complex contractual negotiations that include legal counsel, tech transfer, research security, procurement, or other units or institutions. Uses judgment and experience to bring terms that are contrary to an institution's standard position to senior officials. Thorough understanding of the FAR, DFARS (Defense Federal Acquisition Regulation Supplement), etc. and its flow down provisions. Negotiation of master agreements and complex contracts and teaming contracts. May serve as the institutional signatory.

Pre-Award Reporting and Just-In-Time Documents

Sponsors may request additional documents or details prior to making an award, such as revised project budgets, evidence of human subjects or animal use approvals, scope changes, preliminary data, or documents in support of a virtual or in-person site visit.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with Just-In-Time (JIT) requests or other requests for data or information, and unfamiliar with the procedures or portals for submitting the requested items.

01

Level 1: Beginner

Description: Able to gather and submit standard JIT documents to the sponsor within an acceptable time frame, under close supervision.

02

Level 2: Intermediate

Description: Able to calculate revised budgets, identify and manage non-standard requests, and communicate with applicable research risk committees and researchers to ensure submission of accurate and compliant information.

03

Level 3: Advanced

Description: Independently satisfies complex requests such as requests for institutional data. Communicates with the researcher for programmatic requests. Communicates with the sponsor about requests requiring follow up.

04

Level 4: Expert

Description: Guides staff and researchers in responding to sponsor requests to ensure professional and timely submission of information responsive to the request. Advises onsite visit strategy and participates in the visit as necessary to provide support and information. Monitors timely submission of JIT requests.

Subawards

Subawardees (also called Subrecipients) carry out major components of a project and are usually, but not always, involved at the proposal stage. Working with subawards involves determination of subaward status, verifying compliance with laws and regulations, gathering documents and approvals from the subaward institution, and establishing formal subagreements if funding is awarded.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with the roles or responsibilities of subawardees or the processes necessary to ensure accountability and compliance. Must learn the basics of reviewing and accepting subaward documentation.

01

Level 1: Beginner

Description: Has basic understanding of subaward requirements in a sponsored project. With supervision, able to gather, review, and process subaward documents from standard research institutions in accordance with established procedures.

02

Level 2: Intermediate

Description: Independently gathers and reviews subaward documents from standard and nonstandard subawardees and analyzes risks. Interacts with subawardee staff and researchers to answer questions and resolve problems. If funded, prepares subaward agreement using standard procedures.

03

Level 3: Advanced

Description: Analyzes documents from nonstandard subawardees to ensure they meet the definition of a subawardee and suggests alternative paths if they do not; identifies options if subawardee is determined to be other than low risk. Ensures consistency and accuracy of subawards for multi-institutional projects. If funded, prepares subaward agreements that require deviation from standard procedures. Ability to negotiate award terms & conditions. Understands Federal Acquisition Regulations and supplements, e.g. DFARS, DEARS, etc. and flow down provisions.

04

Level 4: Expert

Description: Provides training for staff, researchers, and subawardees on regulations and policies governing subawards, and ensures institutional compliance. Develops institutional policies and procedures for subaward review, risk analysis, and establishment of subaward agreements. Negotiates terms and conditions when necessary and serves as institutional authority and reference related to award acceptance questions. Determines applicability of new FAR, DFARS, etc. clauses and alternates.

Management

Identifying Funding Opportunities

Proposal Development

Pre-award Proposal Review and Submission

Award Review, Negotiation, and Acceptance

Pre-award Reporting and Just-In-Time Documents

Subawards

Identifying Funding Opportunities

Overall Description: Identifying funding opportunities involves scanning for and assessing the funding landscape to identify relevant funding programs that align with research interests, sponsor requirements, and the organizational capacity.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with identifying funding opportunities and needs to learn the basics of funding opportunity databases and matching a funding opportunity with a research program.

01

Level 1: Beginner

Description: Has basic understanding of funding databases and search methods. Can assist with preliminary determination of budget needs, funding eligibility requirements, and basic application details.

02

Level 2: Intermediate

Description: Can independently search databases, sponsor websites, and other resources to match researcher and sponsor interests and disseminate relevant opportunities to those with potential interest. Able to assist researchers with options for approaching a sponsor.

03

Level 3: Advanced

Description: Proactively monitors funding programs most closely aligned with the research organization’s funding priorities. Able to coach researchers and others on funding search techniques and analysis of funding opportunities.

04

Level 4: Expert

Description: Maintains relationships with appropriate sponsors, monitors changes in sponsor priorities, promotes funding information events, manages limited submission programs, and oversees a program of funding information dissemination and training.

Proposal Development

Proposal development involves the planning, facilitating, and crafting of detailed and persuasive documents that outline the aims, methods, and significance of a research project to secure funding from external sources, all while adhering to sponsor requirements.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with proposal development strategies and needs to learn the basics of navigating funding agency guidelines and understanding proposal requirements.

01

Level 1: Beginner

Description: Has basic understanding of funding agency guidelines and can assist with simple proposal formatting, forms creation, and submission tasks under close supervision.

02

Level 2: Intermediate

Description: Competently assists researchers in developing proposals; can handle most aspects of proposal preparation and submission with minimal guidance. May advise the researcher on drafts.

03

Level 3: Advanced

Description: Independently manages and facilitates complex proposals including proposal writing teams, coordinates internal and external reviews and deadlines, and provides expert advice on improving proposal quality, structure, compliance, and communication of shared interests. May provide editorial services.

04

Level 4: Expert

Description: Leads and innovates proposal development strategies across institutions, provides training and guidance to other staff, and excels in managing multiple proposals and writing teams across various funding agencies with high success rates. Oversight of strategic initiatives and large center/multidisciplinary/multi-institution proposal coordination and editing.

Pre-Award Proposal Review and Submission

Proposal review and submission includes the critical review and analysis of primarily a proposal’s administrative elements to ensure accuracy and compliance with sponsor guidelines, then submitting the completed proposal to the sponsor using the appropriate method by the deadline.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with proposal elements, proposal budgets, institutional requirements, or proposal submission portals. Must learn how to read guidelines, check proposals against those guidelines, and review budgets for accuracy and compliance.

01

Level 1: Beginner

Description: With close supervision, can review and interpret guidelines and check proposals for compliance. Can review basic budgets and can assist with institutional signatures/approvals. Able to upload documents into proposal submission portals.

02

Level 2: Intermediate

Description: Able to independently review most proposals for compliance with guidelines, laws, and regulations. Can develop most types of budgets using standard elements and calculations. Able to navigate proposal submission portals and electronic research administration submission tools, and manage multiple proposals for multiple deadlines, including institutional approvals.

03

Level 3: Advanced

Description: Independently supports and advises on complex multi-investigator, multi-institutional proposals, develops complex budgets, and reviews terms and conditions requiring acceptance upon proposal submission. Advises researchers and others on policy, law, and regulation surrounding sponsored funding.

04

Level 4: Expert

Description: Provides training and guidance to staff and researchers on all proposal elements, develops proposal review and submission policy for the institution, and resolves issues and problems related to this function. Ensures adequate staffing levels by justifying requests for additional staff.

Award Review, Negotiation, and Acceptance

Funding awarded to an institution from a sponsor requires review of terms, conditions, laws, and regulations applicable to the funding, negotiation of terms and conditions, if necessary, and finally institutional acceptance of the funding agreement.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with laws and regulations that apply to government funding, and with contract funding for research. Needs to learn the legal framework and norms for funding from governments, nonprofits, and industry.

01

Level 1: Beginner

Description: With supervision, able to review standard notices of awards for grant funding, checking award elements such as award period and budget against proposal elements.

02

Level 2: Intermediate

Description: Able to review notices of awards for grant funding and resolve any issues by working with the sponsor and researcher. Able to review and advise on noncomplex awards from nongovernmental sponsors, keeping the researcher informed of progress. Able to process accepted awards using data elements necessary for award and account setup.

03

Level 3: Advanced

Description: Adept at thorough analysis of all types of awards, including complex awards and Federal Acquisition Regulations (FAR)-based contracts. Uses local guidance and judgment to seek opinions from legal counsel, technology transfer staff, and others to resolve specific items or engage in negotiations. Understands the FAR and FAR supplements and its applicability to different types of contract recipients based on the type of work contemplated.

04

Level 4: Expert

Description: Trains staff in advanced contract review and negotiation that leads to mutually beneficial agreements in a timely fashion. Leads complex contractual negotiations that include legal counsel, tech transfer, research security, procurement, or other units or institutions. Uses judgment and experience to bring terms that are contrary to an institution's standard position to senior officials. Thorough understanding of the FAR, DFARS (Defense Federal Acquisition Regulation Supplement), etc. and its flow down provisions. Negotiation of master agreements and complex contracts and teaming contracts. May serve as the institutional signatory.

Pre-Award Reporting and Just-In-Time Documents

Sponsors may request additional documents or details prior to making an award, such as revised project budgets, evidence of human subjects or animal use approvals, scope changes, preliminary data, or documents in support of a virtual or in-person site visit.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with Just-In-Time (JIT) requests or other requests for data or information, and unfamiliar with the procedures or portals for submitting the requested items.

01

Level 1: Beginner

Description: Able to gather and submit standard JIT documents to the sponsor within an acceptable time frame, under close supervision.

02

Level 2: Intermediate

Description: Able to calculate revised budgets, identify and manage non-standard requests, and communicate with applicable research risk committees and researchers to ensure submission of accurate and compliant information.

03

Level 3: Advanced

Description: Independently satisfies complex requests such as requests for institutional data. Communicates with the researcher for programmatic requests. Communicates with the sponsor about requests requiring follow up.

04

Level 4: Expert

Description: Guides staff and researchers in responding to sponsor requests to ensure professional and timely submission of information responsive to the request. Advises onsite visit strategy and participates in the visit as necessary to provide support and information. Monitors timely submission of JIT requests.

Subawards

Subawardees (also called Subrecipients) carry out major components of a project and are usually, but not always, involved at the proposal stage. Working with subawards involves determination of subaward status, verifying compliance with laws and regulations, gathering documents and approvals from the subaward institution, and establishing formal subagreements if funding is awarded.

Growth Pathway

0

Level 0: Untrained

Description: Unfamiliar with the roles or responsibilities of subawardees or the processes necessary to ensure accountability and compliance. Must learn the basics of reviewing and accepting subaward documentation.

01

Level 1: Beginner

Description: Has basic understanding of subaward requirements in a sponsored project. With supervision, able to gather, review, and process subaward documents from standard research institutions in accordance with established procedures.

02

Level 2: Intermediate

Description: Independently gathers and reviews subaward documents from standard and nonstandard subawardees and analyzes risks. Interacts with subawardee staff and researchers to answer questions and resolve problems. If funded, prepares subaward agreement using standard procedures.

03

Level 3: Advanced

Description: Analyzes documents from nonstandard subawardees to ensure they meet the definition of a subawardee and suggests alternative paths if they do not; identifies options if subawardee is determined to be other than low risk. Ensures consistency and accuracy of subawards for multi-institutional projects. If funded, prepares subaward agreements that require deviation from standard procedures. Ability to negotiate award terms & conditions. Understands Federal Acquisition Regulations and supplements, e.g. DFARS, DEARS, etc. and flow down provisions.

04

Level 4: Expert

Description: Provides training for staff, researchers, and subawardees on regulations and policies governing subawards, and ensures institutional compliance. Develops institutional policies and procedures for subaward review, risk analysis, and establishment of subaward agreements. Negotiates terms and conditions when necessary and serves as institutional authority and reference related to award acceptance questions. Determines applicability of new FAR, DFARS, etc. clauses and alternates.