Roles & Responsibilities in Research

Proposal development staff, also known as Kuali aggregators, work in your department or school/college’s grants office. These staff provide administrative support to help Principal Investigators (PIs) develop grant proposal budgets. They also provide guidance on solicitation requirements, sponsor guidelines, and university policies and procedures. Once the proposal has been routed for internal approvals, it is assigned to an OPAS reviewer. The Kuali aggregator will work with the reviewer and PI to correct any errors or missing information.

If your department or college does not have any available proposal development staff, please complete a UMass Proposal Preparation Services (UMPPS) request form to request support from a UMPPS developer.

Office of Pre-Award Services (OPAS) reviewers carefully vet proposals after they have been approved by PIs, department chairs, and deans prior to submission to the sponsor. They will review the proposal for compliance with sponsor guidelines and UMass policies and procedures. The OPAS reviewer alerts the PI and proposal development administrator to any issues or concerns that arise during the review and help to ensure a successful submission to the sponsor. They also manage sponsor requests for revised budgets or other information following a submission. OPAS reviewers carry caseloads based on sponsor. See the OPAS staff directory for more information and assignments. 

Office of Post-Award Management (OPAM) administrators negotiate and accept awards on behalf of the university. They also manage award modifications and award-related communication with the sponsor. See the OPAM staff directory for more information and assignments.

Research Accounting (RA) assists the research community in exercising fiscal responsibility of sponsored award funds in accordance with guidelines, terms, & conditions of the award. The RA team establishes a speedtype for the award, and then manages the billing, reporting, & accounting of the award. This includes working with the Office of Post-Award Management (OPAM), Principal Investigators, Researchers, Business Managers, Sponsors, and Auditors.

Department/college post-award staff handle the day-to-day transactions for personnel and non-personnel costs charged to awards. They also provide updates to PIs on spending and availability of funds.

A Principal Investigator or PI is the individual responsible for the preparation, conduct, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project.

Many funders, including most federal sponsors, require that the university submit proposals. Proposals that are submitted by the university must follow university policies and procedures. In such cases, a proposal development record must be routed in Kuali and an eligible Principle Investigor (PI) or co-PI must be included. The sponsor’s guidelines and any terms and conditions must be reviewed by the Office of Pre-Award Services prior to submission.

Please consult with your department administrator or department chair to learn about local resources.

Before you begin to develop a proposal, it is important to be sure you are eligible to serve as a Principal Investigator at UMass Amherst.

Anyone holding the following positions may be designated as PIs in applications for sponsored projects:

1. All tenured and tenure-track assistant, associate, and full professors and librarians
2. All research assistant professors, research associate professors, research professors, extension specialists, and clinical professors
3. All adjunct, visiting, emeritus (retired), or other faculty at UMass Amherst who have the approval of their department and the approval of the dean of the relevant school or college.​​​​ PIs in this category should either include a Co-PI from appointment types described in 1 and 2 above; or provide a signed memo where the chair and dean shall accept full fiscal and administrative liability and responsibility for the actions of the Principal Investigator included in this category.
4. All post-doctoral fellows who have the approval of their department and the approval of the dean of the relevant school or college. The post-doctoral fellow’s mentor must be included as a Co-PI.
5. All professional staff who are not also students with the approval of their department and the approval of the dean of the relevant school, college, or Vice Chancellor.

*Please note that the information above is intended as an FAQ only and may not be exhaustive. Please read Roles and Responsibilities of Principal Investigators and Co-Investigators, as approved by the Research Council and the Faculty Senate, for more information.

Any UMass Amherst researcher who is eligible to be a PI is also eligible to be a Co-PI. Collaborators from other institutions who do not hold appointments at UMass Amherst may nominally be listed as Co-PIs of a particular sponsored project if they serve as PI of a subaward; however, non-UMass Amherst faculty or staff would not be considered to be co-PIs of UMass Amherst. Individual collaborators from other institutions (excluding UMass-system faculty or staff) may also serve as consultants on sponsored projects, when appropriate, without PI or co-PI status. See: Collaborations and Required Documentation.

Undergraduate and graduate students may not be designated as PIs for any award managed by the university. When a sponsor’s guidelines require that a student to be listed as the PI in the proposal, the student’s mentor/advisor will be the PI of record in Kuali and will be responsible for the conduct and oversight of the project. For S2S applications, see this guide for proposals requiring graduate students as PIs.

Student (pre-doctoral) researchers should consult with their faculty advisor before submitting applications for fellowships or grants, whether or not the sponsor requires the institution to manage the award. Often, the advisor will need to be named on the application and/or provide a reference. 

Please consult with your department administrator or department chair to learn about local resources and assistance available for routing proposals in Kuali. In addition, the Office of Professional Development in the Graduate School can provide information about funding opportunities, writing workshops, and other support.

See also Graduate Student Fellowships for more information.

All post-doctoral fellows who have the approval of their department and the approval of the dean of the relevant school or college may be designated as a PI. The post-doctoral fellow’s mentor or advisor must be included as a Co-PI in Kuali. 

Post-doctoral researchers should consult with their faculty mentor before submitting applications for fellowships or grants. Often, the mentor will also need to be named on the application and/or provide a reference. 

Please consult with your department administrator or department chair to learn about local resources and assistance available for routing proposals in Kuali. The Office of Professional Development in the Graduate School can provide information about funding opportunities, writing workshops, and other support.

Emeritus (retired) faculties are eligible to be Principal Investigators as long as both the Department Head and Dean approve during Kuali proposal routing. Access to Kuali is restricted to faculty and staff with active appointments. For questions, submit a ticket to the R&E Help Desk.

Emeritus status is available only to those faculty who have permanently retired from the University. Normally, it is granted only to those with ten or more years of service to the University and who have attained the rank of full professor. Emeritus status is awarded by the Chancellor only upon recommendation by the Provost.