Roles and Responsibilities | Research Enterprise Services (NU-RES)

The “Roles and Responsibilities Matrix” is provided to help define the roles and responsibilities of those involved in the identification, assembly, and submission of sponsored project proposals through the close of the awards. As further areas are addressed, the tasks and resources will be expanded.

This Matrix identifies common lifecycle award activities and provides guidance regarding the responsible parties; It is not meant to be prescriptive or exhaustive and is subject to change.

R – Responsible: the party ultimately responsible for ensuring the task is completed (person who actually DOES the work).

A – Accountable: answerable for the correct and thorough completion of the task (person is obligated to make sure the work is done, and is correct).

C – Consulted: a party whose opinion may be sought or acts as a subject matter expert.

I – Informed: a party kept apprised of the task being completed and its outcome.

NU-RES Administration (RA)

(** Task initiated with a Transaction Form)

Interpreting Funding Opportunities

Proposal Preparation
Collaboratively work in interpreting funding agency guidelines to determine institutional and PI eligibility (all award types)	C
Manage limited submission process	I
Review and understand funding agency instructions for proposal preparation	I
Identify, indicate & obtain approval for cost sharing in proposal	I
Identify & indicate need for institutional approvals for project (e.g. IRB, IACUC, IBC)	I
Develop administrative pages of proposal	C
Ensure Faculty is not over maximum allowed effort	I
Identify subcontractors/collaborators & collect necessary paperwork	I
Develop & revise budget; ensure budget accuracy	C
Proposal Review and Approval
Provide institutional review & approval of proposal & budget	A/R
Review proposed cost sharing commitment for compliance with University policy & funding agency terms	A
Review & Approve non-standard F&A (indirect cost) rate	C
Identify potential export control matters, when necessary, obtain additional review	I
Review & confirm potential institutional approvals stated in proposal (e.g. IRB, IACUC, IBC)	A
Review subcontractors’ proposal & check for their institutional approval (SOI)	A
Review and confirm subrecipient versus contractor determination, as applicable	A
Review and confirm independent contractor/vendor/sub-recipient determination, as applicable	C
Review proposal to ensure post doctoral fellow salary requirements are met pertaining to agency guidelines	A
Make revisions & corrections to proposal after institutional review & prior to submission	I
Proposal Submission
Submit proposals to funding agencies on behalf of institution	A/R
Just-in-Time and Other Post-Submission Activities
Initiate institutional approvals for project as needed (e.g. IRB, IACUC, IBC)	I
Prepare/collect paperwork for funding agency (JIT); e.g. Other Research Support report	C
Review, approve & submit paperwork to funding agency (JIT)	A
Review COI/FCOI / Research Certification	A
Confirm if COI/FCOI needs to be reported to funding agency	A
Request advance account, if needed	A (AIR)**
Set up advance accounts in Banner	I
Negotiation of Agreements
Request Agreement review and approval	C
Negotiation of Award agreements and related NDA’s, MTA’s, DUA’s, etc	A/R
Notice of Award, Review, and Acceptance
Receive NOA; inform PI and College; complete intake assessment	A/R
If award obligation is less than proposed amount, prepare award obligation budget	C
If awarded budget is significantly different from the proposal, determine if change of scope, rebudgeting, or cost sharing is required	C
Resolve outstanding compliance matters; Obtain needed internal approvals (e.g. IRB, IACUC, IBC, etc.)	C
Review the award obligation budget, terms & conditions of the final award	A/R
Accept terms & conditions of the award on behalf of the University (create AOS)	A/R
Develop management plan for COI/FCOI as needed	I
If required by funding agency, notify funding agency of management plan for COI/FCOI	A/R
Record award information in Coeus/Banner and upload award notice / initial agreement	A/R-Coeus
Award Set-Up
Work with appropriate office to request and approve Professional Service Agreements	C
Set up accounts in Banner (subactivities) & issue memo to PI of account setup	I
Input budget into Banner, which triggers input into General Ledger	I
Subcontracting Out
Request subrecipient agreement	C
Conduct risk assessment	A/R
Draft agreement and send to subrecipient	A/R
Negotiate terms with subrecipient	A/R
Review & approve final subaward document	A/R
Establish Purchase Order for subrecipient	A/R
Receive subrecipient’s invoice (s) , route for approval, and review for allowability	R
Review subrecipient’s invoice (s) against achievement of project goals/costs in line with sub budget	C
Coordinate issue resolution with subrecipients (scientific)	I
Coordinate issue resolution with subrecipients (financial)	C
Request amendments, providing revised budgets & SOWs as needed	C
Draft, negotiate & execute amendments	A/R
Confirm completion of subrecipient programmatic work	C
Collect Subrecipient final reports, & any other close-out info required by funding agency	I
Award Management
Overall responsibility for financial management of award	C
Overall responsibility for financial oversight of award	C
Overall responsibility for compliance with non-financial award terms	C
Overall responsibility for oversight of non-financial award terms	R
Coordinate administrative issue resolution with funding agencies	A/R
Coordinate reporting concerns (e.g. late reports) with funding agencies	A/R (all others)
Initiate prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	C
Review and approve prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	A/R
Submit Prior Approval to agency if applicable	R
File Conflict of Interest Disclosure (COI) on an annual basis	A
File Financial Conflict of Interest Disclosure (FCOI) on an annual basis and within 30 days of acquiring new financial interest	C
Program Income: Identify, manage billing & reporting	C
Property Management
Comply with funding agency property terms	C
Request prior approval from funding agency for equipment purchases, when required	A
Preparation and Submission of Progress and Technical Reports
Prepare technical/programmatic reports	C
Review progress/technical reports requiring SO approval	A
Submit technical RPPR reports to funding agencies-no SO Approval required	I
Maintain official copies of technical reports in Database	I
Report new technology, patents, inventions or other intellectual property to CRI	I
Review/submission of all patent and invention reports to funding agency, as applicable	A (Submit)
Close-Out Process
Submit final technical/programmatic report to funding agency when SO approval required	A
Review/Submit final invention statement, as applicable	R
Confirm receipt of all final documents and invoices received from sub recipients as applicable	A
Single Audit / Uniform Guidance
Respond to auditors’ transactional requests, complete the audit questionnaire & participate in any audit interview with the PI	C
Special Considerations for Federal Contracts
Complete Small Business Plan, when required (Contracts in excess of 650K)	A
Complete Small Business Plan financial report SF294 and SF295	C
Coordinate e-Verify process with HR	A
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	C
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	C

NU-RES Finance (RF)

*(** Task initiated with a Transaction Form)*

Proposal Review and Approval

Proposal Preparation
Ensure Faculty is not over maximum allowed effort	I
Review & Approve non-standard F&A (indirect cost) rate	I
Just-in-Time and Other Post-Submission Activities
Set up advance accounts in Banner	R
Notice of Award, Review, and Acceptance
Review the award obligation budget, terms & conditions of the final award	C
Record award information in Coeus/Banner and upload award notice / initial agreement	A/R-Banner
Award Set-Up
Request and approve Companion Account for auditable cost share	A
Set up accounts in Banner (subactivities) & issue memo to PI of account setup	A/R
Identify & Schedule financial report timelines	A/R
Identify & Set up receivable milestones & frequency	A/R
Input budget into Banner, which triggers input into General Ledger	A/R
Subcontracting Out
Conduct risk assessment	C
Negotiate terms with subrecipient	C
Receive subrecipient’s invoice (s) , route for approval, and review for allowability	A
Review subrecipient’s invoice (s) against achievement of project goals/costs in line with sub budget	C
Collect Subrecipient final reports, & any other close-out info required by funding agencyt	C
Award Management
Overall responsibility for financial management of award	C
Overall responsibility for financial oversight of award	R
Overall responsibility for compliance with non-financial award terms	C
Overall responsibility for oversight of non-financial award terms	C
Coordinate administrative issue resolution with funding agencies	I
Coordinate reporting concerns (e.g. late reports) with funding agencies	A/R (financial)
Review and approve prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	C
Process award changes in Banner Account	R
Monitor spend or burn rate (financial projections)	I
Monitor & reconcile balances to prevent under or over expenditure	I
Review award expenditures for allowability, allocability & reasonableness through award & close-out (e.g. PI salary cap, allocation methodology, etc.)	A
Retain documentation to support allocation of expenditures	I
Cost Transfers: Initiate journal & if needed, complete cost transfer form	C
Cost Transfers: approve under 120 days	A
Cost Transfers: approve over 120 days	A

Program Income: Identify, manage billing & reporting	A
Property Management
Comply with funding agency property terms	I
Initiate and substantiate request for equipment	C
Request prior approval from funding agency for equipment purchases, when required	C
Safeguard and Maintain government & university titled equipment purchases	I
Conduct inventory of all equipment	C
Request disposition, move, transfer, or sale of equipment	C
Prepare & submit property reports to funding agency, when required	R
Financial Reporting for all funding agencies
Departments notified of upcoming final financial reports	A/R
Final invoices, cost sharing & financial status reports prepared	R
Approve final figures & supporting documentation for cost sharing reporting	A
Submit invoices & financial status reports to funding agencies	A/R
Cash Management
Accounts receivable management	A/R
Deposit checks and identify incoming ACH/Wire transfers	A/R
Post Revenue to fund	A/R
Request letter of credit draw requests by funding agency and post to GL	A/R
Monitor & pursue the collections of overdue payments from funding agencies	A/R
Certification of Time and Effort
Verify accuracy of effort certification reports	C
Make sure that certifications required by RF are provided	I
Preparation and Submission of Progress and Technical Reports
Allocate program income to accounts	A/R
Work with department to determine funding agency process for cash balances	A/R
Refund cash balance, when required by funding agency	A/R
Close-Out Process
Confirm receipt of all final documents and invoices received from sub recipients as applicable	C
Identify accounts requiring close-out	A/R
Reconcile account to ensure cost sharing commitment has been fulfilled	A
Ensure expenditures/cost transfers have been posted to accounts	A
Resolve issues for unreconciled accounts	A

Approve any write off account receivables	A/R
Perform residual balance transfers to accounts if allowed	A/R
Return funds to funding agency when required	R
Transfer any interest income	R
Inactivate award account(s)	A/R
Single Audit / Uniform Guidance
Coordinate the Single Audit under Uniform Guidance	A/R
Respond to auditors’ transactional requests, complete the audit questionnaire & participate in any audit interview with the PI	A/R
Special Considerations for Federal Contracts
Complete Small Business Plan financial report SF294 and SF295	A

Principal Investigator (PI)

*(** Task inititated with a Transaction Form)*

Interpreting Funding Opportunities

Proposal Preparation
Obtain potential funding opportunities	A/R
Collaboratively work in interpreting funding agency guidelines to determine institutional and PI eligibility (all award types)	A
Manage limited submission process	A
Review and understand funding agency instructions for proposal preparation	R
Identify, indicate & obtain approval for cost sharing in proposal	R
Identify & indicate need for institutional approvals for project (e.g. IRB, IACUC, IBC)	R
Develop & revise technical narrative	R
Develop administrative pages of proposal	A
Ensure Faculty is not over maximum allowed effort	R
Identify subcontractors/collaborators & collect necessary paperwork	R
Develop & revise budget; ensure budget accuracy	A
Proposal Review and Approval
Review and approve before sending proposal to RA	R
Provide institutional review & approval of proposal & budget	C
Review proposed cost sharing commitment for compliance with University policy & funding agency terms	C
Review & Approve non-standard F&A (indirect cost) rate	CI
Identify potential export control matters, when necessary, obtain additional review	A/R
Review & confirm potential institutional approvals stated in proposal (e.g. IRB, IACUC, IBC)	R
Review subcontractors’ proposal & check for their institutional approval (SOI)	R
Review and confirm subrecipient versus contractor determination, as applicable	R
Review and confirm independent contractor/vendor/sub-recipient determination, as applicable	R
Review proposal to ensure post doctoral fellow salary requirements are met pertaining to agency guidelines	R
Make revisions & corrections to proposal after institutional review & prior to submission	R
Proposal Submission
Submit proposals to funding agencies on behalf of institution	I
Just-in-Time and Other Post-Submission Activities
Initiate institutional approvals for project as needed (e.g. IRB, IACUC, IBC)	R
Prepare/collect paperwork for funding agency (JIT); e.g. Other Research Support report	R
Review, approve & submit paperwork to funding agency (JIT)	R
Review COI/FCOI / Research Certification	R
Confirm if COI/FCOI needs to be reported to funding agency	C
Request advance account, if needed	R
Set up advance accounts in Banner	A (At Risk); I (AIR)
Negotiation of Agreements
Request Agreement review and approval	R
Negotiation of Award agreements and related NDA’s, MTA’s, DUA’s, etc	C
Notice of Award, Review, and Acceptance
NOA received; PI and College informed; intake assessment completed	I
If award obligation is less than proposed amount, prepare award obligation budget	A
If awarded budget is significantly different from the proposal, determine if change of scope, rebudgeting, or cost sharing is required	R
Resolve outstanding compliance matters; Obtain needed internal approvals (e.g. IRB, IACUC, IBC, etc.)	R
Review the award obligation budget, terms & conditions of the final award	R
Accept terms & conditions of the award on behalf of the University (create AOS)	C
Develop management plan for COI/FCOI as needed	R
If required by funding agency, notify funding agency of management plan for COI/FCOI	C
Record award information in Coeus/Banner and upload award notice / initial agreement	I
Award Set-Up
Work with appropriate office to request and approve Professional Service Agreements	A
Request and approve Companion Account for auditable cost share	I
Set up accounts in Banner (subactivities) & issue memo to PI of account setup	I
Subcontracting Out
Request subrecipient agreement	A
Conduct risk assessment	C
Draft agreement and send to subrecipient	I
Negotiate terms with subrecipient	C
Review & approve final subaward document	I
Establish Purchase Order for subrecipient	I
Receive subrecipient’s invoice (s) , route for approval, and review for allowability	I
Review subrecipient’s invoice (s) against achievement of project goals/costs in line with sub budget	R
Coordinate issue resolution with subrecipients (scientific)	A/R
Coordinate issue resolution with subrecipients (financial)	A/R
Request amendments, providing revised budgets & SOWs as needed	A
Draft, negotiate & execute amendments	C
Confirm completion of subrecipient programmatic work	A/R
Collect Subrecipient final reports, & any other close-out info required by funding agency	A
Award Management
Conduct research & provide programmatic oversight of all award activities	A/R
Overall responsibility for financial management of award	A
Overall responsibility for financial oversight of award	A/R
Overall responsibility for compliance with non-financial award terms	A/R
Overall responsibility for oversight of non-financial award terms	I
Coordinate administrative issue resolution with funding agencies	C
Coordinate reporting concerns (e.g. late reports) with funding agencies	C
Initiate prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	R
Review and approve prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	I
Submit Prior Approval to agency if applicable	A
Process award changes in Banner Account	A
File Conflict of Interest Disclosure (COI) on an annual basis	R
File Financial Conflict of Interest Disclosure (FCOI) on an annual basis and within 30 days of acquiring new financial interest	R
Review award budget & create spending and procurement plan	R
Generate requisitions for procurement of vendor services	R
Monitor spend or burn rate (financial projections)	A
Monitor & reconcile balances to prevent under or over expenditure	A
Review award expenditures for allowability, allocability & reasonableness through award & close-out (e.g. PI salary cap, allocation methodology, etc.)	C
Retain documentation to support allocation of expenditures	R
Cost Transfers: Initiate journal & if needed, complete cost transfer form	A
Cost Transfers: approve under 120 days	R
Cost Transfers: approve over 120 days	R
Program Income: Identify, manage billing & reporting	R
Property Management
Comply with funding agency property terms	R
Initiate and substantiate request for equipment	R
Request prior approval from funding agency for equipment purchases, when required	R
Safeguard and Maintain government & university titled equipment purchases	R
Conduct inventory of all equipment	A
Request disposition, move, transfer, or sale of equipment	R
Prepare & submit property reports to funding agency, when required	A
Financial Reporting for all funding agencies
Departments notified of upcoming final financial reports	I
Final invoices, cost sharing & financial status reports prepared	A
Approve final figures & supporting documentation for cost sharing reporting	C
Submit invoices & financial status reports to funding agencies	I
Cash Management
Accounts receivable management	C
Monitor & pursue the collections of overdue payments from funding agencies	C
Certification of Time and Effort
Review, correct & maintain back-up to support annual certifications	R
Verify accuracy of effort certification reports	R
Initiate necessary adjustments to award charges and/or payroll distribution	A
Make sure that certifications required by RF are provided	R
Preparation and Submission of Progress and Technical Reports
Work with department to determine funding agency process for cash balances	I
Refund cash balance, when required by funding agency	I
Prepare technical/programmatic reports	A/R
Review progress/technical reports requiring SO approval	R
Submit technical RPPR reports to funding agencies-no SO Approval required	R
Maintain official copies of technical reports in Database	A/R
Report new technology, patents, inventions or other intellectual property to CRI	A/R
Submission of invention report through iEdison	R
Review/submission of all patent and invention reports to funding agency, as applicable	R
Close-Out Process
Prepare final technical/programmatic report	A/R
Submit final technical/programmatic report to funding agency when SO approval required	R**
Prepare final invention statement, as applicable	A/R
Review/Submit final invention statement, as applicable	A
Confirm receipt of all final documents and invoices received from sub recipients as applicable	R
Reconcile account to ensure cost sharing commitment has been fulfilled	C
Ensure expenditures/cost transfers have been posted to accounts	I
Resolve issues for unreconciled accounts	C
Approve any write off account receivables	I
Collaborate to fund overspent grants	I
Perform residual balance transfers to accounts if allowed	I
Inactivate award account(s)	I
Single Audit / Uniform Guidance
Respond to auditors’ transactional requests, complete the audit questionnaire & participate in any audit interview with the PI	C
Special Considerations for Federal Contracts
Complete Small Business Plan, when required (Contracts in excess of 650K)	R
Complete Small Business Plan financial report SF294 and SF295	R
Coordinate e-Verify process with HR	R
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	R
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	R

College/Department

*(** Task initiated with a Transaction Form)*

Interpreting Funding Opportunities</tr

Proposal Preparation
Obtain potential funding opportunities	C
Collaboratively work in interpreting funding agency guidelines to determine institutional and PI eligibility (all award types)	R
Manage limited submission process	C
Review and understand funding agency instructions for proposal preparation	A
Identify, indicate & obtain approval for cost sharing in proposal	A
Identify & indicate need for institutional approvals for project (e.g. IRB, IACUC, IBC)	A
Develop & revise technical narrative	A
Develop administrative pages of proposal	R
Ensure Faculty is not over maximum allowed effort	A
Identify subcontractors/collaborators & collect necessary paperwork	A/R
Develop & revise budget; ensure budget accuracy	R
Proposal Review and Approval
Review and approve before sending proposal to RA	A/R
Provide institutional review & approval of proposal & budget	R
Review proposed cost sharing commitment for compliance with University policy & funding agency terms	R
Review & Approve non-standard F&A (indirect cost) rate	A/R
Identify potential export control matters, when necessary, obtain additional review	I
Review & confirm potential institutional approvals stated in proposal (e.g. IRB, IACUC, IBC)	I
Review subcontractors’ proposal & check for their institutional approval (SOI)	R
Review and confirm subrecipient versus contractor determination, as applicable	R
Review and confirm independent contractor/vendor/sub-recipient determination, as applicable	A/R
Review proposal to ensure post doctoral fellow salary requirements are met pertaining to agency guidelines	C
Make revisions & corrections to proposal after institutional review & prior to submission	A
Proposal Submission
Submit proposals to funding agencies on behalf of institution	R
Just-in-Time and Other Post-Submission Activities
Initiate institutional approvals for project as needed (e.g. IRB, IACUC, IBC)	A
Prepare/collect paperwork for funding agency (JIT); e.g. Other Research Support report	A
Review, approve & submit paperwork to funding agency (JIT)	C
Review COI/FCOI / Research Certification	C
Confirm if COI/FCOI needs to be reported to funding agency	R
Request advance account, if needed	A (At Risk) **
Set up advance accounts in Banner	I
Negotiation of Agreements
Request Agreement review and approval	A**
Negotiation of Award agreements and related NDA’s, MTA’s, DUA’s, etc	C
Notice of Award, Review, and Acceptance
NOA received; PI and College informed; intake assessment completed	I
If award obligation is less than proposed amount, prepare award obligation budget	R
If awarded budget is significantly different from the proposal, determine if change of scope, rebudgeting, or cost sharing is required	A
Resolve outstanding compliance matters; Obtain needed internal approvals (e.g. IRB, IACUC, IBC, etc.)	A
Review the award obligation budget, terms & conditions of the final award	R
Accept terms & conditions of the award on behalf of the University (create AOS)	I
Develop management plan for COI/FCOI as needed	A/R
If required by funding agency, notify funding agency of management plan for COI/FCOI	R
Record award information in Coeus/Banner and upload award notice / initial agreement	I
Award Set-Up
Work with appropriate office to request and approve Professional Service Agreements	R
Request and approve Companion Account for auditable cost share	R
Set up accounts in Banner (subactivities) & issue memo to PI of account setup	I
Identify & Schedule financial report timelines	C
Identify & Set up receivable milestones & frequency	C
Input budget into Banner, which triggers input into General Ledger	C
Subcontracting Out
Request subrecipient agreement	R**
Conduct risk assessment	I
Draft agreement and send to subrecipient	I
Negotiate terms with subrecipient	I
Review & approve final subaward document	I
Establish Purchase Order for subrecipient	C
Receive subrecipient’s invoice (s) , route for approval, and review for allowability	I
Review subrecipient’s invoice (s) against achievement of project goals/costs in line with sub budget	A
Coordinate issue resolution with subrecipients (financial)	C
Request amendments, providing revised budgets & SOWs as needed	R**
Draft, negotiate & execute amendments	C
Confirm completion of subrecipient programmatic work	I
Collect Subrecipient final reports, & any other close-out info required by funding agency	R
Award Management
Overall responsibility for financial management of award	R
Overall responsibility for financial oversight of award	R
Overall responsibility for compliance with non-financial award terms	C
Overall responsibility for oversight of non-financial award terms	A
Coordinate administrative issue resolution with funding agencies	C
Coordinate reporting concerns (e.g. late reports) with funding agencies	C
Initiate prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	A/R**
Review and approve prior approval requests (e.g. change of scope, carry forward, additional Subs, no cost extension, rebudget, F&A changes, etc.)	R
Submit Prior Approval to agency if applicable	C
Process award changes in Banner Account	C
File Conflict of Interest Disclosure (COI) on an annual basis	C
File Financial Conflict of Interest Disclosure (FCOI) on an annual basis and within 30 days of acquiring new financial interest	R
Review award budget & create spending and procurement plan	A/R
Generate requisitions for procurement of vendor services	A/R
Monitor spend or burn rate (financial projections)	R
Monitor & reconcile balances to prevent under or over expenditure	R
Review award expenditures for allowability, allocability & reasonableness through award & close-out (e.g. PI salary cap, allocation methodology, etc.)	R
Retain documentation to support allocation of expenditures	A/R
Cost Transfers: Initiate journal & if needed, complete cost transfer form	R
Cost Transfers: approve under 120 days	I
Cost Transfers: approve over 120 days	A/R
Program Income: Identify, manage billing & reporting	C
Property Management
Comply with funding agency property terms	C
Initiate and substantiate request for equipment	A
Request prior approval from funding agency for equipment purchases, when required	C**
Safeguard and Maintain government & university titled equipment purchases	A
Conduct inventory of all equipment	R
Request disposition, move, transfer, or sale of equipment	A
Prepare & submit property reports to funding agency, when required	C
Financial Reporting for all funding agencies
Departments notified of upcoming final financial reports	I
Final invoices, cost sharing & financial status reports prepared	I
Approve final figures & supporting documentation for cost sharing reporting	R
Submit invoices & financial status reports to funding agencies	I
Cash Management
Accounts receivable management	I
Monitor & pursue the collections of overdue payments from funding agencies	I
Certification of Time and Effort
Review, correct & maintain back-up to support annual certifications	A/R
Verify accuracy of effort certification reports	A/R
Initiate necessary adjustments to award charges and/or payroll distribution	R
Make sure that certifications required by RF are provided	A
Preparation and Submission of Progress and Technical Reports
Allocate program income to accounts	C
Work with department to determine funding agency process for cash balances	C
Refund cash balance, when required by funding agency	I
Prepare technical/programmatic reports	C
Review progress/technical reports requiring SO approval	C
Submit technical RPPR reports to funding agencies-no SO Approval required	A
Maintain official copies of technical reports in Database	C
Report new technology, patents, inventions or other intellectual property to CRI	C
Submission of invention report through iEdison	I
Review/submission of all patent and invention reports to funding agency, as applicable	C
Close-Out Process
Prepare final technical/programmatic report	C
Submit final technical/programmatic report to funding agency when SO approval required	I
Prepare final invention statement, as applicable	C
Review/Submit final invention statement, as applicable	I**
Confirm receipt of all final documents and invoices received from sub recipients as applicable	R
Identify accounts requiring close-out	I
Reconcile account to ensure cost sharing commitment has been fulfilled	R
Ensure expenditures/cost transfers have been posted to accounts	R
Resolve issues for unreconciled accounts	R
Approve any write off account receivables	I
Collaborate to fund overspent grants	A/R
Perform residual balance transfers to accounts if allowed	C
Return funds to funding agency when required	A
Transfer any interest income	A
Inactivate award account(s)	I
Single Audit / Uniform Guidance
Respond to auditors’ transactional requests, complete the audit questionnaire & participate in any audit interview with the PI	C
Special Considerations for Federal Contracts
Complete Small Business Plan, when required (Contracts in excess of 650K)	C
Complete Small Business Plan financial report SF294 and SF295	C
Coordinate e-Verify process with HR	C
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	I
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	I

CRI

*(** Task initiated with a Transaction Form)*

Notice of Award, Review, and Acceptance
If award obligation is less than proposed amount, prepare award obligation budget	C
Subcontracting Out
Negotiate terms with subrecipient	C
Collect Subrecipient final reports, & any other close-out info required by funding agency	C
Preparation and Submission of Progress and Technical Reports
Report new technology, patents, inventions or other intellectual property to CRI	C
Submission of invention report through iEdison	A
Review/submission of all patent and invention reports to funding agency, as applicable	A (Review) I (Submit)
Close-Out Process
Prepare final invention statement, as applicable	C
Review/Submit final invention statement, as applicable	I

OGC

*(** Task initiated with a Transaction Form)*

Proposal Review and Approval
Identify potential export control matters, when necessary, obtain additional review	C
Review and confirm independent contractor/vendor/sub-recipient determination, as applicable	C
Negotiation of Agreements
Negotiation of Award agreements and related NDA’s, MTA’s, DUA’s, etc	C
Notice of Award, Review, and Acceptance
NOA received; PI and College informed; intake assessment completed	C
If award obligation is less than proposed amount, prepare award obligation budget	C
Review the award obligation budget, terms & conditions of the final award	C
Develop management plan for COI/FCOI as needed	C
Award Set-Up
Work with appropriate office to request and approve Professional Service Agreements	C
Request and approve Companion Account for auditable cost share	C
Subcontracting Out
Negotiate terms with subrecipient	C
Draft, negotiate & execute amendments	R
Special Considerations for Federal Contracts
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	C
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	C

ORC, IRB, IACUC, IBC, etc.

*(** Task initiated with a Transaction Form)*

Proposal Preparation
Identify & indicate need for institutional approvals for project (e.g. IRB, IACUC, IBC)	C
Proposal Review and Approval
Identify potential export control matters, when necessary, obtain additional review	C
Review & confirm potential institutional approvals stated in proposal (e.g. IRB, IACUC, IBC)	C
Just-in-Time and Other Post-Submission Activities
Initiate institutional approvals for project as needed (e.g. IRB, IACUC, IBC)	C
Review COI/FCOI / Research Certification	C
Confirm if COI/FCOI needs to be reported to funding agency	C
Notice of Award, Review, and Acceptance
Resolve outstanding compliance matters; Obtain needed internal approvals (e.g. IRB, IACUC, IBC, etc.)	C
Review the award obligation budget, terms & conditions of the final award	C
Develop management plan for COI/FCOI as needed	RC: C
If required by funding agency, notify funding agency of management plan for COI/FCOI	RC: C
Subcontracting Out
Conduct risk assessment	RC: C
Award Management
Overall responsibility for financial management of award	C
Overall responsibility for financial oversight of award	C
Overall responsibility for compliance with non-financial award terms	C
Overall responsibility for oversight of non-financial award terms	C
File Conflict of Interest Disclosure (COI) on an annual basis	C
File Financial Conflict of Interest Disclosure (FCOI) on an annual basis and within 30 days of acquiring new financial interest	A
Review award expenditures for allowability, allocability & reasonableness through award & close-out (e.g. PI salary cap, allocation methodology, etc.)	C
Cost Transfers: approve over 120 days	C: RC
Single Audit / Uniform Guidance
Coordinate the Single Audit under Uniform Guidance	C & I: RC
Respond to auditors’ transactional requests, complete the audit questionnaire & participate in any audit interview with the PI	C & I: RC
Special Considerations for Federal Contracts
Coordinate e-Verify process with HR	C: RC
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	I
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	I

Other Offices

*(** Task initiated with a Transaction Form)*

Interpreting Funding Opportunities

Proposal Preparation
Obtain potential funding opportunities	C: Research Dev
Manage limited submission process	R: SVPR & Research Development
Identify, indicate & obtain approval for cost sharing in proposal	C:SVPR as applicable
Proposal Review and Approval
Review and confirm independent contractor/vendor/sub-recipient determination, as applicable	I: HR/ Procurement
Just-in-Time and Other Post-Submission Activities
Review COI/FCOI / Research Certification	I: Compliance
Confirm if COI/FCOI needs to be reported to funding agency	I: Compliance
Set up advance accounts in Banner	A (AIR): Provost
Award Set-Up
Request and approve Companion Account for auditable cost share	C: SVPR as applicable
Award Management
Review award budget & create spending and procurement plan	C: Procurement
Generate requisitions for procurement of vendor services	C: Procurement
Property Management
Comply with funding agency property terms	A: Accounting/ Property Mgt
Initiate and substantiate request for equipment	C: Procurement
Safeguard and Maintain government & university titled equipment purchases	C: Procurement
Conduct inventory of all equipment	R: Property Mgt C: Procurement
Prepare & submit property reports to funding agency, when required	C: Procurement
Certification of Time and Effort
Initiate necessary adjustments to award charges and/or payroll distribution	C: HR/Payroll
Special Considerations for Federal Contracts
Complete Small Business Plan, when required (Contracts in excess of 650K)	C: Procurement
When FISMA is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	A: ITS
When NIST is included, work with IS to develop a security plan when required by the RFP or resulting contract, including addressing potential additional costs	A: ITS

Roles & Responsibilities Matrix (PDF chart).

Last Updated on November 15, 2024