Responsibility Matrix

Jump to:

 

Proposal Preparation

Identification of Funding Opportunities: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Search for opportunities X                
Provide guidance on funding opportunities     X X         VP

 

Proposal Preparation: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Write technical narrative X                
Identify subcontractors and request budget and workscope materials X                
Develop budget X X              
Identify need for cost sharing funds X                
Evaluate requests for F&A waivers or reductions     X X         VP
Coordinate space arrangements   X              
Provide expert guidance on proposal preparation           X      
Complete the Proposal Routing Form X X              

 

Regulatory Requirements: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Complete compliance forms: Institutional Review Board, Animal Care and Use, Dept of Health and Safety X X              
Complete conflict of interest disclosure form X                
Review conflict of interest disclosure form and facilitate institutional oversight     X X          

 

Proposal Review and Approval: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Confirm that proposal meets sponsor requirements X                
Review proposal before sending proposal to SPA   X              
Verify that cost sharing in proposal is listed on PRF   X              
Review proposed cost sharing for appropriateness     X X          
Programmatic review of proposal and sign Proposal Routing Form—cannot be delegated     X X          
Provide institutional review and approval of proposal           X      

 

Proposal Submission: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Send proposal to sponsors after institutional approval           X      

 

Preaward

General Tasks: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Request preaward or advance account X                
Consider appropriateness of request and if approved, provide nonsponsored account number   X X            
Establish preaward or advance account           X      
Monitor preaward or advance account   X       X      

 

Award Acceptance: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Accept sponsor notification of grant or contract award           X      
Review terms and conditions X         X      
Negotiate terms and conditions with sponsor           X      
Approve award terms and conditions X                

 

Award Setup: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Confirm that regulatory compliance requirements have been met           X      
Modify proposed budget X         X      
Prepare award summary documents (NOGA)           X      
Approve NOGA X                
Establish account number in general ledger           X      

 

Conducting the Project—Financial

General Tasks: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Prepare financial transactions   X              
Initiate rebudgeting requests X X              
Approve rebudgeting requests         X X      
Initiate no cost extensions X                
Approve no cost extensions (or forward to sponsor)     X     X      
Ensure that cost sharing is documented   X         X    
Initiate purchases X                
Review and approve financial transactions   X     X        
Use financial reports to monitor and oversee expenditures X X X X       X  
Reconcile accounts on a monthly basis   X              
Coordinate resolution of issues on oversight reports               X  
Audit expenditures               X Audits

 

Program Income: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Identify program income X                
Invoice program income   X              
Receive and deposit program income             X    
Identify use and reportability of program income           X      
Monitor program income levels X   X     X X X  

 

Invoicing and Financial Reporting: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Prepare and submit the invoice or financial report             X    

 

Accounts Receivable Management: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Receive and deposit payments from sponsors             X    
Produce and record a letter of credit draw request (federal awards)            

X

    
Monitor and pursue the collections of overdue payments from sponsors             X    


 

Conducting the Project

General Tasks: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Review and approve incoming MTAs X         X     Tech. Comm.
Complete invention disclosure form X                
Ensure integrity of notebooks and data X                

 

Prior Approvals: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Initiate prior approvals for changes to project X                
Approve or forward to sponsor prior approvals for changes to project     X     X      
Ensure regulatory compliance offices are notified of changes to project X                

 

Subcontracts and Subawards: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Oversee programmatic aspects of subcontract/subaward X                
Prepare, negotiate, and sign subcontracts/subawards           X      
Review and approve subcontract invoices X         X      
Subrecipient monitoring           X      

 

Technical Reports: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Prepare and submit technical reports to sponsor X                
Maintain the official copy of the technical report X                

 

Personnel and Effort Certification: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Initiate hiring and appointment process X                
Maintain the effort certification database and reporting system           X      
Complete necessary adjustments to award charges and/or payroll distribution   X              
Obtain necessary supervisory reviews and approvals   X              
Ensure accuracy of completed effort certification reports X                
Resolve problems or follow up on certifications not submitted           X      


 

Project End & Closeout

General Tasks:  PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Identify early close-out situations X X       X      
Ensure all appropriate expenditures have been posted to accounts   X              
Prepare final financial invoice/report             X    
Approve final financial invoice/report X X              
Resolve issues related to unreconciled accounts             X    
Ensure that all financial reports have been submitted to sponsor             X    
Ensure that all technical reports have been submitted to sponsor X         X   X  
Ensure that all final invention reports have been submitted to sponsor           X     Tech. Comm.
Ensure that all patent reports have been submitted to sponsor                 Tech. Comm.
Inactivate award account(s) in financial accounting system             X    
Maintain official project documents for sponsored projects X X       X      

 

A-133 Audit: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Coordinate the A-133 audit for the entire University.             X    

 

Ongoing Training: PI DEPT ADM DEPT HEAD DEAN CA SPA SFR RIC OTHER
Provide training to the research community regarding changes to policies and regulations                 VP