Sharon, Per the NIH Policy guide. The second paragraph is where the emphasis is stated. I have also provided you information from our Project Administration Guide. Hope this helps! NIH Guide: Principal Investigator. The PI (who also may be known as the PD) is the individual, designated by the grantee, responsible for the scientific or technical aspects of the grant and for day-to-day management of the project or program. The PI is not required to be an employee of the grantee. However, because the grant, if awarded, is made to the organization, the applicant organization must have a formal written agreement with the PI that specifies an official relationship between the parties even if the relationship does not involve a salary or other form of remuneration. If the PI is not an employee of the applicant organization, NIH will assess whether the arrangement will result in the organization being able to fulfill its responsibilities under the grant, if awarded. The PI is a member of the grantee team responsible for ensuring compliance with the financial and administrative aspects of the award. This individual works closely with designated officials within the grantee organization to create and maintain necessary documentation, including both technical and administrative reports; prepare justifications; appropriately acknowledge Federal support of research findings in publications, announcements, news programs, and other media; and ensure compliance with other Federal and organizational requirements. NIH encourages the PI to maintain contact with the NIH PO with respect to the scientific aspects of the project and the GMO concerning the business and administrative aspects of the award. SDSURF PAG: 1. Role of the Principal Investigator The Principal Investigator (PI) has the dual responsibility for complying with the financial and administrative policies of the award while achieving the technical success of the project. Even though the PI may have administrative staff to assist in the management of sponsored projects, the ultimate responsibility for the successful completion of the scope of work and the management of research dollars rests with the PI. In addition to completing the scope of work as prescribed in the funded proposal, the PI must responsibly initiate expenditures on the award, insure timely submission of expenses for reimbursement, submit required progress reports and comply with applicable sponsor rules and regulations during the day-to-day operation of the project and when making any changes to the scope of work or funded budget. SDSU Research Foundation is committed to assisting PIs in the administration of sponsored research and other activities. The PI should maintain a close working relationship with the SR administrator assigned to manage his/her funds. The PI should also have a good understanding of the procedures associated with initiating financial transactions, making budgetary changes and revising the scope of work. In addition, the PI is responsible for retaining and storage of all programmatic technical materials and reports in accordance with SDSU Research Foundation record retention requirements (see Fund Closeout). Satisfactory progress on individual grants and contracts is determined by the funding agency on a project by project basis. Any issues and/or concerns with the performance of a PI regarding adherence to San Diego State University Research Foundation policies and procedures will be initially addressed with the PI by Sponsored Research Administration and/or Human Resources depending on the issue. If the PI is non-responsive or if the response does not result in adherence to Foundation policies and procedures, the situation will then be referred to the Dean of the College and/or the VP for Research as necessary for assistance and resolution. The Foundation relies upon the university's evaluation procedure for faculty as the formal process for performance evaluations. Sandra Sandra M. Nordahl, CRA Manager, Sponsored Research Administration San Diego State University Research Foundation 5250 Campanile Drive San Diego, CA 92182-1934 619.594.4172 (voice) 619.582.9164 (fax) e-mail: xxxxxx@foundation.sdsu.edu -----Original Message----- From: Research Administration List [mailto:xxxxxx@hrinet.org] On Behalf Of Sharon McFarlane Sent: Wednesday, July 01, 2009 10:40 AM To: xxxxxx@hrinet.org Subject: [RESADM-L] Ultimate responsibility Hello All, Can anyone point me to where in the OMB circulars or the NIH grants policy statement where it states that the Principal Investigator is ultimately responsible for the overall management of the grant (including financial management). Thanks Sharon McFarlane Manager, Office of Research and Sponsored Programs UMDNJ-New Jersey Medical School PO Box 1709 185 South Orange Avenue Newark, NJ 07101-1709 973-972-0281 fax: 973-972-3585 ====================================================================== Instructions on how to use the RESADM-L Mailing List, including subscription information and a web-searchable archive, are available via our web site at http://www.hrinet.org (click on "Listserv Lists") ====================================================================== ====================================================================== Instructions on how to use the RESADM-L Mailing List, including subscription information and a web-searchable archive, are available via our web site at http://www.hrinet.org (click on "Listserv Lists") ======================================================================
