Responsibilities Matrix
Proposal Development Activities
| Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) | Associate Deans for Research/ College Staff | |
| Establish and enhance strategic partnerships with other research-related universities, agencies, foundations and sponsors | X | Primary (1) | |||
| Communicate funding opportunities, workshops and research events through newsletters and website | X | Primary (1) | |||
| Identify funding opportunities PIVOT, Grants.gov, COS, etc. |
X | X | Primary (1) | X | |
| Develop and organize research teams and facilitate proposal development of large, complex proposals (multidisciplinary, multi-institutional) | X | X | Primary (1) | X | |
| Develop multi-disciplinary research development workshops | Primary (1) | X | |||
| Assist with revision and editing of multi-PI, complex proposals | X | X (1) | |||
| Secure university resource commitments Approval must be secured in writing by responsible administrator |
Primary | X | X (1, 2) |
Pre-Award Activities
| Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) | |
| Understanding of sponsor's rules and guidelines All must know these |
X | X | X | Primary |
| Secure university resource commitments Approval must be secured in writing by responsible administrator |
Primary | X | X | |
| Prepare budget, including subaward documentation Format and upload for submission should be done by the DBA under the PI's guidance |
Primary | X | X | X |
| Technical content of the proposal This is the exclusive responsibility of the PI |
Primary | |||
| Prepare proposal elements for submission - format and upload | X | X | Primary | X |
| Review proposal for institutional assurances, ensure completeness of proposal | Primary | |||
| Intellectual Property Assessment | X | Primary (OIPM*) |
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| Review proposal to ensure University rules are followed | X | Primary | ||
| Upload proposal to sponsor Follow sponsor's requirements, and ensure FCOI is on file |
X | Primary | ||
| Approve proposal on behalf of institution | Primary | |||
| Prepare and submit all compliance protocols (IRB, IACUC, safety) Upon notification of potential funding |
Primary | X | ||
| Submit "Just in time" information to sponsor | Primary | X |
Post-Award Activities
| Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) | |
| Understanding of award terms and conditions All parties need to know the terms and conditions in order to manage the award |
X | X | X | Primary |
| Negotiate/accept award terms and conditions In consultation with PI, DOR makes decision |
Primary | |||
| Finalize budgets for awards PI must review and approve |
X | X | Primary | |
| Establish and amend awards in grant management system | Primary | |||
| Final compliance review | Primary (ORPCC*) | |||
| Load budgets into PeopleSoft Cost center set-up |
Primary | |||
| Process personnel documents to allocate charges DBA can process documents with PI input |
X | Primary | ||
| Process non-personnel expenditure documents DBA can process documents with PI input |
X | Primary | ||
| Effort reporting Quarterly |
Primary | X | X | X |
| Subcontracting activities, including: | Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) |
| > Initiate/develop/register/execute subcontract PI must have input into this process |
X | Primary | ||
| > Request PO to encumber subcontract | Primary | |||
| > Receive, process subcontract invoices DOR receives and processes |
Primary | |||
| > Approve subcontract invoices, identify problems PI approves work, DBA approves appropriate charge and communicates problems to PI and DOR |
Primary | X | ||
| > Close-out subcontract DBA should report on expenditures |
X | X | Primary | |
| Prepare programmatic/scientific progress reports | Primary | |||
| Monitor budget v. expenses With good tools, DBA can monitor budgets and report to PI |
X | Primary | X | |
| Budget revisions, modifications, and no-cost extensions PI initiates and seeks approval from sponsor if necessary |
X | Primary | ||
| Maintain compliance protocol approvals and FCOI disclosure Annually |
Primary | X | ||
| Review expenditure requests PI and DBA do the programmatic and financial review |
Primary | X | ||
| Approve expenditure requests DOR does sponsor policy review and approval, when necessary |
Primary | |||
| Identify need for and request cost transfer PI and DBA identify when a transfer is needed |
Primary | X | ||
| Approve and process cost transfer DBA processes the document and DOR approves |
X | Primary | ||
| Project management, including: | Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) |
| > Preparation/submission of financial status reports | X | X | Primary | |
| > Preparation/submission of invoices or periodic billing | X | X | Primary | |
| > Account receivable follow-up The circumstances that would require PI or DBA involvement with A/R follow-up should be defined |
X | X | Primary | |
| > Receipt and deposit of checks/fund transfers for DOR projects | Primary (3) | |||
| > Preparation of letter-of-credit draws | Primary (3) | |||
| Initiate request for modification, change to grant/contract | Primary | X | ||
| Process request to sponsor for project modifications/approvals, such as no-cost time extensions, funds carryover | X | Primary | ||
| Closeout activities, including: | Principal Investigator (PI) | Department Business Administrator (DBA) | College Research Administrator (CRA) | Division of Research (DOR) |
| > Financial reporting/invoicing | X | X | Primary | |
| > Programmatic reports | Primary | |||
| > Intellectual property reporting | X | Primary (4) | ||
| > Fixed asset/property reporting | X | Primary (5) |
*OIPM: Office of Intellectual Property Management
*ORPCC: Office of Policies, Compliance and Committees
(1) Completed by the Office of Research Development
(2) Office of Contracts and Grants
(3) Via the Division of Administration and Finance
(5) Report completed by the Property Management Office of the Division of Administration and Finance