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

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 subscription information and a web-searchable archive, are available
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