Principle Investigators Expectations

Externally-funded projects always have a “Principal Investigator” (PI) or a “Project Director” (PD). Many may also have Co-Principal Investigators (Co-PI) or Co-Project Directors (Co-PD).

These individuals are responsible, on behalf of the university, for both technical and fiscal management of the project in accord with sponsor guidelines, university guidelines and applicable law. In fulfilling these responsibilities, there is assistance from various university departments.

Failure to comply with these responsibilities may result in the sponsor, and/or Central Michigan University (CMU), restricting an account, delaying funds, or denying future funding.

The PI/PD and Co-PI/Co-PD are responsible for:

As the PI you are expected to be familiar with and adhere to all sponsor guidelines, university policy and procedures, federal and state laws, and regulations for those projects; including reading and understanding the award documents and contracts.

For federally funded grants and agreements, you are responsible for understanding the relevance of the “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” or 2 CFR 200 (Uniform Guidance) rulebook.

As soon as possible, notify your Office of Sponsored Programs (OSP) Post-Award team member if any major changes are identified that may require sponsor approval. OSP can help determine if the change is allowable and OSP is responsible to lead these conversations with the sponsor.  Changes could include, but are not limited to:

  • No-cost extension requests
  • Budget modifications
  • Project or technical revisions that will change the project’s scope
  • Prolonged absences, including retirement or separations from CMU, for PIs, Co-PIs, or Key Senior Personnel

  • IRB, IACUC and/or IBC approval must be obtained prior to starting any related work. All policies and procedures relating to human, animal or biosafety research must be followed. It is the PIs responsibility to ensure they remain compliant with IRB, IACUC, and/or IBC requirements throughout the life of the project.
    • IRB and IBC: OSP requires a valid approval letter on file prior to starting any related work
    • IACUC: OSP requires a valid approval letter during the entire project, or time which research is being conducted.
  • CMU or sponsor required trainings, administered in CITI, must be completed by requested date or prior to expiring. Trainings may include:
    • Good Clinical Practice (GCP)
    • Conflict of Interest Training for Public Health Services (PHS) funding
    • Research Security Advanced Refresher course for projects with NIH funding (direct or flow through) when submitting the other support details
    • Responsible and Ethical Conduct of Research (RECR) (may be listed as RCR training and by college/unit)
    • Other Support Training

  • Managing project personnel
  • Overseeing the scope of work and ensuring deliverables are completed on schedule
  • Completing required progress reports
    • If financial information is requested, contact the Grant Accounting Office (GAO). The GAO is the only office that can provide this information.
    • Provide copies of submitted progress reports to OSP and GAO.

  • Verifying purchases are allowable, allocable, reasonable, and attributable expenses related to the project, as indicated in the approved budget and within the funding period. These purchases must follow all CMU and sponsor guidelines as well.
  • Ensuring expenditures are applied to grants in a timely manner (see GAO website for additional information).
  • Completing the necessary procedures to hire and terminate any employee(s) hired under grant funding in a timely manner.
  • Ensuring personnel effort applied to the grant is for the actual time worked. Compensation for anticipated effort is prohibited, and personnel may not exceed 100% of the employee’s total compensated activities including teaching, research, creative endeavors or service.
  • Avoiding co-mingling of sponsor funds with other sources of revenue (including other external or internal awards).
  • Contacting OSP Post-Award staff prior to making restricted purchases (foreign travel, technology or equipment items, contracted services) to ensure all sponsor and university prior approvals are obtained and documented.
  • Providing appropriate documentation to support cost-sharing, or matching, requirements to GAO for applicable projects.
    • Some sponsored programs require awarded funds to be matched with nonfederal funds, or that CMU participates in the cost of the project (proportionately applied or a specified amount).
    • Cost-sharing, or matching, is defined as all contributions, including cash and third-party in-kind, that meet the following criteria:
      • Verifiable
      • Not included as contribution for any other federally assisted project/program
      • Necessary and reasonable for accomplishment of objectives
      • Allowable and provided for in the approved sponsor budget
  • Reviewing a budget report monthly and contacting your administrative team (if applicable) or your Grant Accountant with any questions or discrepancies regarding expenses. If you have access to SAP and need assistance generating SAP reports, please contact GAO to learn more.

Submitting all final reporting required (narrative, final invention reports, property clearance, etc.) and providing copies to OSP Post-Award staff and GAO.

  • OSP Post-Award will assist with any reports requiring an authorized signature.

Cayuse certification

The PI/PD, Co-PI/Co-PDs, and Key Senior Personnel will receive an email from Cayuse to confirm certification in accordance with the information above and the following:

As a PI/PD or Co-PI/Co-PD for this award I understand and certify that:

  • I acknowledge that I have read and reviewed the award documents and any applicable terms and conditions
  • I acknowledge that I have read, and agree to adhere to, CMU's Expectations and Responsibilities for PIs/PDs and Co-PIs/Co-PDs 
  • I am able to commit the amount of effort initially proposed for the duration of this award, or have negotiated an appropriate amount of effort to complete the work as proposed
  • I acknowledge and agree to produce any deliverables, reports, etc. as determined by the terms and conditions of this award 
  • I understand that there may be trainings, other certifications, registrations, etc. that may be required by either the sponsor or university
  • I have identified and, if applicable, disclosed any perceived Conflicts of Interest pursuant to this award in accordance with my institution's Conflict of Interest policy
  • I have obtained, or have planned to obtain when necessary, any authorizations or protocols required for work with Human Subjects, Animal Subjects, rDNA, Hazardous Materials, etc.
  • I have reviewed the awarded budget for this award and acknowledge that the work as-proposed or as-negotiated can be performed pursuant to the current budget
  • I certify that I will review my project budget on a monthly basis to ensure accuracy, compliance, and timely identification of any discrepancies
  • I understand my responsibilities for the oversight and direction of this project
  • I certify that, per section 10632 of the CHIPS and Science Act of 2022, I am not a party to a malign foreign talent recruitment program (MFTRP) that meets any of the criteria in section 10638(4)(A)(i)-(ix) of said Act.

-OR-

As a Key Senior Person for this award I understand and certify that:

  • I acknowledge that I have read and understand the relevant portions of the award documents and applicable terms and conditions as they relate to my role on this project.
  • I acknowledge that I have read, and agree to adhere to, CMU’s expectations and responsibilities applicable to Key Senior/Key Personnel.
  • I confirm that I am able to commit the level of effort proposed for my role on this award, or have communicated any necessary adjustments.
  • I acknowledge my responsibility to contribute to the work of the project and to support the timely completion of any deliverables or reports associated with my role.
  • I understand that there may be trainings, certifications, registrations, or other compliance requirements required by the sponsor or the university, and I agree to complete them as applicable.
  • I have identified and, if applicable, disclosed any perceived Conflicts of Interest related to this award in accordance with institutional policy.
  • I have obtained, or will obtain as necessary, any required authorizations or protocols related to my work (e.g., Human Subjects, Animal Subjects, rDNA, Hazardous Materials).
  • I understand that I am responsible for conducting my portion of the project in accordance with applicable sponsor requirements, institutional policies, and standards of responsible conduct of research.
  • I understand that the Principal Investigator retains overall responsibility for the oversight and management of this project.
  • I certify that, per section 10632 of the CHIPS and Science Act of 2022, I am not a party to a malign foreign talent recruitment program as defined in section 10638(4)(A)(i)-(ix) of said Act.
  • I agree to promptly communicate to the Principal Investigator any changes that may impact my effort, compliance status, or ability to fulfill my role.

Certification is required prior to a grant account being opened to receive expenses.

Grant manager's handbook

We are in the process of updating our website to include the most recent version of this document. At this time, please reach out to the Post-Award team if you would like a copy.