The Institutional Oversight Model establishes lines of authority within the University related to financial transactions on sponsored accounts. The model evolved from analysis of the roles and responsibilities of each unit in the University that deals with sponsored funds. This analysis established three principles that define the foundations for the model:

• Responsibility is defined as the authority to make a decision and accountability associated with that decision.

• To the extent possible, responsibility is maintained locally, so that decisions are made by individuals with the best information.

• Oversight is always separate from the operating unit that makes the decisions.

Thus, the PIs are responsible for making the appropriate financial decisions regarding their projects. The University provides them with the tools to do so and maintains oversight over the process.

What are the tools?

Certified Approver Program

Certified Approvers (CAs) are individuals who have the authority to process certain financial documents on sponsored accounts that previously required review and approval by grant administrators in SPA. CAs have passed a two-part test, have been nominated by their department heads, and have been appointed by their dean or associate dean for research. In addition, in order for a college to appoint a CA, the college must have in place a conflict resolution plan to resolve local disagreements and protect the CA in event of disagreements with PIs.

Financial Reports on the Web

These reports provide access to timely reports using the data warehouse. These reports are formatted for various audiences (e.g., PIs have agency-specific expense category reports) and for needs specific to sponsored projects (e.g., a report on spending rates on specific accounts).

Financial FormsNirvana

The web-based system automatically routes and approves certain financial documents. It also flags potential violations of OMB Circular A-21, shows current balances on-screen prior to approval of transactions, and posts transactions to the University's general ledger system quickly and automatically.

Electronic Grants Management System

EGMS is a web-based proposal preparation and award system developed by the University. The components include proposal preparation and routing, an other support database, and an expertise database. Researchers also use EGMS to submit proposals through Grants.gov.

Education and Training

The University has developed a two-part course on the Responsible Conduct of Research. This course is required for PIs and other faculty and staff are encouraged to attend. Training Services also has sponsored projects administration and financial management classes.

How is oversight conducted?

The office of Oversight, Analysis, and Reporting (OAR) is responsible for providing reports to the Vice President for Research, deans, unit heads and principal investigators on unusual or irregular activities related to sponsored projects. The office is also responsible for administration of the Certified Approver Program and for maintaining currency of knowledge of federal, state and University policies. The office monitors the effectiveness of electronic sponsored project management tools and provides advice to the Vice President for Research on systemic and continuous improvement in the quality of sponsored project management.