Principal Investigator Responsibilities
Specific responsibilities include:
A. Ensuring that the scope of work and deliverables are completed in a quality manner, on time, and within budget.
B. Defining tasks and developing the project work plan.
C. Implementing the work plan, including all aspects of the project.
D. Preparing professional progress/performance reports in collaboration with the project team, in advance of deadlines and in the specific format required by grantor. Many progress/performance reports are submitted through agency portals (such as Research.gov for NSF) and your GCS and the Office of Sponsored Programs can assist in submission. Principal Investigators must know what is expected of the performance reports. Reports should be written in a professional business tone, be complete and understandable to program officers, and convey a positive image of GVSU. The reports often include:
- Project narrative.
- Ongoing performance assessment and quality improvement of study processes.
- External evaluator report.
- Status of program objectives, obstacles encountered, demographics, etc.
- Financial reports.
E. Coordinating evaluation of the grant project and working with external evaluators.
F. Complying with regulations regarding:
- Institutional Review Board for the Protection of Human Subjects (also known as the IRB)
- Financial conflict of interest.
- Research misconduct.
- Federal and state grant administration.
- Data management, including data security, confidentiality, and any regulatory requirements.
- Data safety and monitoring if required.
G. Adhering to all GVSU fiscal policies and procedures, including meeting deadlines for reports and invoice submission.
H. Spending all project funds according to budget.
I. Reviewing financial reports monthly and understanding financial activity during that reporting period.
J. Monitoring sub-awardees by
- Maintaining active lines of communication with sub-awardees.
- Ensuring sub-awardee performance goals are achieved.
- Reviewing sub-awardee technical reports.
- Reviewing invoices to ensure charges are reflective of work performed.
K. Approving invoices in a timely manner and forward to Grants Accounting.
L. Developing materials for communication and dissemination, as appropriate.
M. Ensuring proper record retention.
N. Hiring and training grant personnel.
O. Monitoring the budget along with the grant accountant.
P. Purchasing equipment and supplies (work with procurement, or IT)
Principal Investigators should monitor the following aspects of their project. If there are partners (vendors or sub-awardees), answer questions A through H for each partner.
A. Are activities related to accomplishment of objectives progressing on schedule?
B. Is there any indication of a failure to perform with any vendors or sub-awardees? Any significant problems?
C. Is the budget significantly underspent or overspent, either by line item or total?
D. If any budget amendments are needed, did you involve the Office of Sponsored Programs?
E. Is there documentation of the grantor’s approval of any and all amendments?
F. Have some project activities been adversely affected by slow startup or unfilled positions?
G. If the project serves participants:
- Have all the required participant eligibility requirements been followed?
- Is the project achieving the number of participants in proposal projections?
H. If the project involves human subjects and research, has the GVSU Institutional Review Board approved the research protocols?
I. Are the grant project key personnel and/or project team working together effectively and productively?
J. Has the project established and is it maintaining a data system to collect appropriate data needed to document success, report performance, and evaluate the project?
K. Has the project implemented the evaluator or program officer recommendations?
L. Is the project supplanting, co-mingling funds, or making unauthorized expenditures? (Note: This is illegal.)
M. If matching funds or in-kind contributions are required, is appropriate data being compiled that can be presented to an auditor?
N. Does the project follow GVSU’s standard administrative procedures?
O. Are reports of high quality and submitted on time?
P. Is work proceeding cooperatively and are key individuals informed about problems, planned changes, and communications with the sponsor?