Research Management Group– (RMG)

Roles and Responsibilities

Fellowships

Proposal Preparation and Submission

Proposal Inititation
Pre-proposals
Foundation Clearance
Waivers
Budgets
Budget justifications
Proposals Involving Human and/or Animal Subjects
SU-42FL Proposal Routing Form
Conflict of Interest
Sponsor Proposal Application Forms
Other Support
Institutional Review and Signature
Submission

Award Negotiation

Just-in-Time Requests and Other Support
Special Terms and Conditions
Early PTA Requests (on Exception Basis ONLY) - N/A for NIH NRSA

Award Acceptance and Activation

Fellowship Award Activation

Post-Award Management and Compliance Oversight

Official Records
PTA Management
Effort Tracking and Other Support
Research Compliance
Award Invoicing
Requests for Sponsor Approvals

Progress/Interim Reports, Continuation Proposals and No-Cost Extensions

Progress Reports and Continuation Proposals
Other Support
Financial Reports
No-Cost Extensions (NCX)

Closeout

Pre-Expiration Review
Award Closeout
Early Terminations
Final Reports

Proposal Preparation and Submission

**Proposal initiation**
Fellow	Department	RMG Fellowship Office
Contacts RMG Fellowships Office in advance for planned proposals. Provides RMG with Funding Opportunity Announcement informatio and project title.	Tracks upcoming sponsor deadlines and reminds Fellows of those deadlines.	Notifies Fellow and department of internal requirements and deadlines. Facilitates timely and compliant proposal submission.
For electronic submissions, initiates online entry and uploads proposal file.

**Pre-proposals**
Fellow	RMG Fellowship Office
Prepares and submits pre-proposals and letters of intent. Forwards those requiring institutional signature to RMG Fellowship Office. Provides copy of all others to RMG Fellowship Office.	For those requiring institutional signature, reviews and countersigns pre-proposals and letters of intent.

**Foundation Relations Clearance**
Fellow and/or Department	RMG Fellowship Office
Obtains clearance from the Office of Faculty Foundation Relations when submitting proposals to restricted foundations .	Verify clearance has been obtained.

**Waivers**
Type	Fellow	Department	RMG Fellowship Office
Facilities & Administrative (F&A; formerly Indirect) Costs		Supplies alternate PTA if required for charge.	Reviews sponsor policy on F&A costs and verifies non-profit status.

**Budgets**
Fellow	Department	RMG Fellowship Office
In collaboration with the Mentor and Department, develops the project budget.	As needed, provides assistance to fellow.	Reviews and approves proposal budget for compliance with sponsor requirements and statuatory limits.

**Budget Justifications**
Fellow	Department	RMG Fellowship Office
Composes the budget justification.	Works with fellow to ensure that mandatory statements are included, and that effort is expressed in the proper units.	Reviews budget justification for consistency with budget. Ensures that mandatory statements are included, and that effort is expressed in the proper units.

**Proposals Involving Human and/or Animal Subjects**
Fellow	Department
Prepares and submits human subjects and animal subjects protocols.	Verifies that fellow has taken CITI training for research involving human subjects. Assists fellow as needed to complete submission of human subjects and animal subjects protocols.

**SU-42FL Proposal Routing Form**
Fellow	Department	RMG Fellowship Office
Initiates, completes, and signs SU-42FL form.	Confirms and approves SU-42FL. Manages internal department routing.	Reviews and approves completed SU-42FL.

**Conflict of Interest**
Fellow	RMG Fellowship Office
On the SU-42FL Conflict of Interest Supplemental Form as required by Stanford's Conflict of Interest policy.	Notifies Conflict of Interest Administrator (Barbara Flynn, barbara.flynn@stanford.edu) of positive disclosure.

**Sponsor Proposal Application Forms**
PI and/or Mentor	Department	RMG Fellowship Office
Prepares all sponsor forms.
Obtains required institutional letters of support from Chair, Dean, etc.
Obtains all required signatures before forwarding to Fellowship Office.
	Obtains all paperwork and forwards to Fellowship Office.	Reviews all forms for completeness and correctness.

**Other Support**
Fellow and/or Department	RMG Fellowship Office
Maintains and provides complete Other Support including effort, when required at proposal time.	Reviews Other Support for completeness and consistency with SPIDERS records.

**Institutional Review and Signature**
Fellow and/or Department	RMG Fellowship Office
Submits complete and final proposals to RMG in accordance with Stanford University's internal deadline policy .	Reviews and signs proposals as the Institutional Official on behalf of Stanford University.

**Submission**
RMG Fellowship Office	Fellow
Submits electronic proposals when the sponsor requires submission by Institutional Official.	Copies and mails paper proposals.

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Award Negotiation

Just-in-Time Requests and Other Support
Fellow and/or Department	RMG Fellowsip Office
Receives request for just-in-time information and notifies the School of Medicine Fellowship Office
Prepares and submits human subjects and animal subjects protocols.	Assists Fellow as needed to complete submission of human subjects and animal subjects protocols.
Prepares other support documentation.
Prepares cover letter to sponsoring agency.
Prepares budget if requested.
Submits all just-in-time information to Fellowship Office for review and submission to Sponsoring Agency.	Review information for institutional compliance. Submit, as institutional official. Other Support, IRB/IACUC approvals, human subjects training certifications, and any other required information.

Special Terms and Conditions
RMG Fellowsip Office	OSR Contracts
Reviews and Identifies special terms and conditions for compliance with University policies; consults with OSR Contracts when problematic terms or conditions are contained in Sponsor Notice of Award.	Reviews and negotiates any special terms or conditions.

Early PTA Requests (on Exception Basis ONLY) – N/A for NIH NRSA
Department	RMG Fellowship Office	OSR Accounting
Initiates and completes early PTA request and forwards to Fellowship Office.	Verifies anticipated start date and funding status with sponsor. Approves early PTA requests and obtains School Controller's approval of guarantee account. Forwards request to OSR Account Setup with accompanying documentation as needed.	Reviews early PTA requests and accompanying documentation. Sets up the PTA within four business days.

Award Acceptance and Activation

Fellowship Award Activation
RMG Fellowship Office	Fellow and/or Department	OSR Accounting
Receives Fellowship Notice of Award from sponsor. Reviews and negotiates terms and conditions, budget, and Infrastructure, consulting with Fellow as needed. Accepts awards on behalf of Stanford University.	Participates in any award negotiations.
Confirms compliance approvals.	Obtains any outstanding compliance approvals (Human/Animal Subjects).
Confirms registration status in Peoplesoft.	Registers fellow in PeopleSoft.
Issues internal Notice of Award (NOA). Distributes with copy of all pertinent documentation to Fellow, Faculty Mentor, Department, and other central offices and departments as applicable.	Reviews internal NOA terms and conditions, restrictions, and other award management requirements.	Reviews award documentation from Fellowship Office.
Initiates ePTA and routes to department.	Completes and approves ePTAs and routes to OSR Accounting.	Sets up PTA within four business days. Distributes electronic notification of budget baseline to Faculty Mentor, Fellowship Manager and award manager.

Post-Award Management and Compliance Oversight

**Official Records**
Department	RMG Fellowship Office	OSR Contracts	OSR Accounting
Maintain copies of proposals and award documention.	Maintain official auditable grant proposal and award documentation for the University.		Maintain official accounting files including financial reports to sponsors.

**PTA Management**
Department	RMG Fellowship Office	OSR Contracts	OSR Accounting
Manages PTA in accordance with sponsor’s regulations, terms and conditions, University policy, and federal regulations.	Provides oversight for PTA management in accordance with sponsor’s regulations, terms and conditions, University policy, and federal regulations
Consults Fellowship Office as needed for clarification.	Interprets issues arising with regard to grant terms and conditions, sponsor requirements, and federal regulations.	Interprets contractual issues and responds to inquiries regarding sponsor requirements	Reviews award documents and tracks and submits any interim financial reports required by sponsor.

**Effort Tracking and Other Support**
Department	RMG Fellowship Office
Notify Fellowship Office of any change in status (promotions, department change, or resignation). Changes in effort may require sponsor approval, and must be coordinated through the Fellowship Office.

**Research Compliance**
Fellow
Renews or updates applicable IRB, animal, SCRO, and/or cancer center/SRC protocols as needed.

**Award Invoicing**
ORA Accounts Receivable	Department
Prepares, reviews, and submits invoices in coordination with department as required by sponsor terms and conditions.	Reviews and approves invoices per the terms and conditions of the award.

**Requests for Sponsor Approvals**
Fellow/Department	RMG Fellowship Office
Composes official requests to sponsors and sends to Fellowship Office.	Reviews and countersigns requests to sponsor as Institutional Official. Releases any necessary NOAs when approval received.

Progress/Interim Reports, Continuation Proposals, and No-Cost Extensions

**Progress Reports and Continuation Proposals**
RMG Fellowship Office	Department	Fellow
Notify Fellow and department per sponsor requirements for continuation proposals and annual progress reports.		Tracks progress report deadlines for sponsors.
Verify fellow registration status in Peoplesoft.	Update fellow's status in Peoplesoft, verifying that effort committed on original proposal matches effort reported and charged.	Assembles, paginates, copies, and mails proposal (paper submissions).
	When required by sponsor, works with fellow to prepare budget.	Prepares budget when required by sponsor.
Provide review and institutional signature when required for paper and/or electronic submission.		Assembles, paginates, copies and mails final progress report (paper submission).

**Other Support**
RMG Fellowship Office	Department	Fellow
Reviews Other Support for consistency with sponsor's content and format requirements.	Assists fellow in preparing Other Support documents.	Prepare updated Other Support.

**Financial Reports**
Department	OSR Accounting
Coordinates with OSR for financial reporting.	Prepares interim financial reports using standard forms or sponsor’s forms if mandated.

**No-cost Extensions (NCX)**
Department	Fellow	RMG Fellowship Office
Assists fellow in composing No-Cost extension request.	Composes no-cost extension request and submits to Fellowship Office for countersignature.	Reviews and countersigns no-cost extension requests and submits to sponsor.
If award is near or in closeout, prepares and submits Early PTA Form (OSR Form 38).	Reviews and approves Early/Extended PTA Forms. Routes through SoM Controller's Office for guarantee account verification, and forwards to OSR PTA Setup Team.	Reviews and approves Early/Extended PTA Forms. Routes through SoM Controller's Office for guarantee PTA verification, and forwards to OSR PTA Setup Team.
		Releases Notice of Award (NOA) when request is approved.

Closeout

**Pre-Expiration Review**
OSR Accounting	Department/Fellow	RMG Fellowship Office
Transmits notifications of upcoming closeouts to departments, Fellowship Office, and Faculty Mentor, following the Closeout Strategy.	Tracks end dates of grant and contract awards.
	For fellowships where a no-cost extension is pending with the sponsor but is not yet confirmed in writing, completes an Early PTA Form (OSR Form 38) and forwards to Fellowship Office. Notifies OSR Closeout Accountant. Completion and approval of the No-Cost Extension Request Form does NOT remove an award from closeout.	Reviews and approves the Extended PTA Form. After routing through the SoM Controller's Office, forwards to OSR Account Setup or OSR Contracts as appropriate.

**Award Closeout**
Department/Fellow	OSR Accounting	RMG Fellowship Office
Finalized expenditure review and completes any needed journals. Clears overdrafts to cost-sharing PTAs.
Works with OSR Accounting to close awards within 90 days of award end date.	Closes award within 90 days of award end date.
For NIH-NRSA Individual Fellowships-completes Termination Notice and routes to Fellowship Office for review.	Approves Termination Notice and sends to NIH via US Mail and emails PDF copy to NIH and Fellowship Office.	Reviews Termination Notice for Accuracy and forwards to OSR Accountant.

**Early Terminations**
Department/Fellow	RMG Fellowship Office	OSR Accounting
Notifies Fellowship Office of Early Termination. Creates letter to Sponsoring Agency anf forwards to Fellowship Office for countersignature.	Reviews Early Termination letter and countersigns. Returns to fellow to mail.
	Generates Early Termination NOA and routes to OSR Setup Team and OSR Accounting.	Completes Final FSR for early termination and sends to sponsor with a PDF copoy emailed to Fellowship Office.

**Final Reports**
Fellow	RMG Fellowship Office
Submits final progress, technical, patent, and/or invention reports to the sponsor as required.	Provides institutional signature as needed on final reports. Responds to sponsor inquiries and requests for final reports.
	When Fellow reports inventions but does not provide information, RPM will obtain from OTL the docket numbers, titles, previous reporting dates to sponsor, etc. per sponsor's reporting requirements.
Sends copies of all final reports to Fellowship Office for file.	Sends institutional files to OSR Accounting for consolidation with accounting files.

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