Roles and Responsibilities

Source: Roles and Responsibilities Matrix - April 24, 2012

Research Administration: Roles and Responsibilities Matrix

This Matrix seeks to identify commonly encountered pre- and post-award activities and to provide guidance regarding the responsible parties for each. Please note: This Matrix is not meant to be prescriptive or exhaustive and is subject to change.

OTD's roles and responsibilities are listed as they relate to Industry Sponsored Research. Where OTD has Primary Responsibility, PI/Dept. has the Supporting role. For the Close-Out Process, OTD has the Support Role for Federal Awards.

 

PRE-AWARD ROLES AND RESPONSIBILITIES

 
R = Primary Responsibility - Responsible for action/implementation of tasks; S = Support/Consult as necessary

RESEARCH ADMINISTRATION PROCESS 

SPA/RES. ADMIN.

COST ANALYSIS

OSP

PI/ DEPT

OTD

ORC

Identification of Funding Opportunities

Assist PI in interpreting eligibility for funding (including risk assessment)

S

   

R

R

 

Assist PI in obtaining and interpreting guidelines

S

   

R

R

 

Proposal Preparation

Obtain and understand sponsor instructions for proposal preparation

S

   

R

R

 

Identify and indicate Cost Sharing in proposal

S

S

 

R

S

 

Identify and indicate approvals needed for proposal

S

   

R

   

Provide guidance to PI on proposal preparation

S

   

R

R

 

Develop and revise technical narrative

     

R

R

 

Develop administrative pages of proposal

S

   

R

R

 

Identify presence of provost criteria

S

   

R

R

 

Ensure Faculty is not over maximum allowed effort

S

S

 

R

 

S

Identify subcontractors/collaborators and collect necessary paperwork

S

   

R

R

 

Develop and revise budget in partnership with PI; ensure budget accuracy

S

   

R

S

 

Proposal Review and Approval

Review and approve before sending proposal to SPA/Res. Admin.

     

R

S

 

Provide institutional review & approval of proposal and budget

R

         

Send to Provost Office for review and approval when required

R

     

R

S

Review proposed Cost Sharing commitment for compliance with University policy and sponsor terms.

R

S

 

R

S

 

Review non-standard F&A (indirect cost) rate

R

         

Approve non-standard F&A (indirect cost) rate. (Dental School Financial Dean Approves)

 

R

       

Review proposal to ensure approvals are properly identified for approval follow-up

R

     

S

S

Review subcontractors’ proposals and check for their institutional approval

R

         

Make revisions and corrections to proposal after institutional review

S

   

R

R

 

Proposal Submission

Submit proposals to sponsors

R

   

S

R

 

Record proposal submission for tracking

R

         

Pre-award Activities

Prepare/collect additional paperwork for sponsor (JIT)

     

R

R

R

Review, approve and submit additional paperwork to sponsor (JIT)

R

     

R

R

Request advance account if needed

S

   

R

   

Approve and set up advance accounts

R

     

S

 

 

POST-AWARD ROLES AND RESPONSIBILITIES

 
R = Primary Responsibility - Responsible for action/implementation of tasks; S = Support/Consult as necessary

RESEARCH ADMINISTRATION PROCESS

SPA/RES. ADMIN.

COST ANALYSIS

OSP

PI/ DEPT

OTD

ORC

Notice of Award, Review, and Acceptance

Record award information in GMAS and upload document

R

         

Review award notice for correctness

R

   

S

S

 

Review and negotiate administrative terms and conditions in award notice

R

   

S

R

S

Review and negotiate on IP issues

R

   

S

R

 

Review and negotiate financial (including reporting and invoicing) terms and conditions in award notice

R

 

S

 

R

 

Review and negotiate Service, Consultant, Data Use, and Lease Agreements

S

   

R

   

If awarded budget is different from that proposed, determine if change of scope, rebudgeting, or cost sharing is required

S

S

 

R

   

Approve proposed Cost Sharing

 

R

       

Accept terms and conditions of the award on behalf of the University

R

     

R

 

Review the approved budget, terms and conditions of the award

     

R

R

S

Upload final award document into GMAS

R

         

Send award notice to PI/department

R

     

R

 

Award Set-Up

Obtain needed internal approvals (e.g., Human subjects) (Dept). Verify internal approvals on proposal are received (SPA).

R

   

R

   

Request specific sub-activity allocation amounts

S

   

R

   

Identify amounts to be issued to subcontractors for GMAS setup

S

   

R

   

Prepare and submit cost sharing form

S

   

R

   

Review and approve cost sharing form

 

R

       

Prepare segment revision to set up award and accounts, issue action memo

R

         

Schedule financial reports and receivables in GMAS

   

R

     

Schedule non-financial reports in GMAS

     

R

   

Upload budget to general ledger

     

R

   

Subcontracting out

Create amendment record in GMAS

R

   

S

   

Draft agreement and send to subrecipient

R

   

S

   

Negotiate terms with subrecipient

R

   

S

 

S

Review and approve final subcontract document, upload to GMAS

R

         

Issue action memo setting up account for subcontractor

R

         

Award Management

Coordinate administrative issue resolution with sponsors

R

   

S

R

 

Coordinate financial issue resolution with sponsors

S

 

R

S

R

S

Coordinate administrative issue resolution with subcontractors

R

   

S

 

S

Coordinate financial issue resolution with subcontractors

S

 

R

R

 

S

UPAS or Re-budgeting: Initiate request (for change of scope, additional Subcontracts, F&A affected)

     

R

   

UPAS or Re-budgeting: Approval request

R

         

No-Cost Extensions: Initiate request

S

   

R

R

 

No-Cost Extensions: Approve request

R

         

Process award changes

R

     

R

 

Identifies subcontract amendments and follow-up on status

R

   

R

   

Cost Sharing: Post and Track on GL

 

S

 

R

   

Ensure complete and accurate documentation for any key personnel changes that arise (including new/old PI signature, sponsor approval)

S

S

 

R

S

S

Trainee Appointments: Prepare and submit via XTRAIN

S

   

R

   

Trainee Terminations: Prepare in XTRAIN

     

R

   

Trainee Terminations: Submit via XTRAIN

R

         

Review award expenditures for allowability & allocability

S

S

S

R

   

Retain documentation to support allocation of expenditures

     

R

 

S

Audit the allowability and allocability of expenditures

   

R

     

Reconcile accounts on a monthly basis

     

R

   

Cost transfers: Initiate journal and approval paperwork if needed

     

R

   

Cost transfers: Approve under 90 days

   

R

     

Cost transfers: Approve over 90 days

 

R

R

     

Carry Forward - Automatic: process in GMAS

   

R

S

   

Carry Forward - Sponsor approved: process in GMAS

R

   

S

S

 

Invalid Code Combination Report: monthly review and resolution

 

S

S

R

   

Program Income: Identify, report, and ensure posting to appropriate account codes

   

S

R

   

Program Income: Manage reporting and billing

   

S

R

   

Financial Reporting for all Sponsors

Identify the need to bill & create invoice

   

R

S

S

 

Identify the need for submission of a financial status report

   

R

S

   

Notify departments of upcoming final financial reports

   

R

     

Prepare invoices, cost sharing, and financial status reports

   

R

S

   

Oversight by primary managing org to coordinate with Part-of Accounts and Subcontract contacts for compliance, billing, and reporting

     

R

   

Obtain Department/PI approval and signoff on final figures and supporting documentation for cost sharing reporting

     

R

   

Provide institutional approval on financial reports (OSP) including Relinquishing Statements (SPA)

S

 

R

S

   

Submit invoices and financial status reports to sponsors

   

R

S

   

Track submission of invoices and financial status reports

   

R

     

Upload financial reports submitted to sponsor and supporting documentation to GMAS for audit purposes.

   

R

     

Cash Management

Accounts Receivable Management

   

R

S

S

 

Manage cash (handling of checks, etc.) and deposits of checks

   

R

S

   

Produce and record a letter of credit draw request for a specific funding agency

   

R

     

Monitor and pursue the collections of overdue payments from sponsors

S

 

R

S

   

Allocate income to accounts at closeout process

   

R

     

Preparation and Submission of Technical Reports

Identify the need for submission of technical reports

     

R

S

 

Prepare technical reports

     

R

S

 

Submit technical reports to sponsors

     

R

R

 

Maintain official copies of technical reports in GMAS

S

   

R

S

 

Certification of Time and Effort

Create and distribute certifications to faculty (monthly)

     

R

   

Review, correct, and provide back-up to support monthly and annual certifications and review to faculty members

     

R

   

Verify accuracy of and sign salary certification reports

     

R

   

Retain copies of certifications and backup documentation

 

R

 

R

   

Complete necessary adjustments to award charges and/or payroll distribution

     

R

   

Print and distribute annual effort certification reports

 

R

       

Reviews effort certifications for accuracy, adds notes to clarify, distributes to faculty and collects signed forms & return to Cost Analysis

     

R

   

Review for appropriate signatures, log, file and maintain original forms

 

R

       

Maintain control log to ensure that all certifications are received and follow-up on overdue certifications.

 

R

       

Close-Out Process

Identify close-out accounts/situations & GMAS Account Disabling

   

R

S

   

Identify unresolved close-out-related items and communicate to affected parties

   

R

S

   

Reconcile account to ensure Cost Sharing commitment has been fulfilled

 

S

S

R

   

Ensure expenditures/cost transfers have been posted to accounts

   

S

R

   

Unreconciled Accounts: Prepare report and resolve account issues

S

 

R

R

   

Interest Income Transfer: OSP will notify Tub of interest income to be transferred.

 

S

R

S

   

Ensure that all Financial Reports have been submitted to sponsor and available on GMAS Document Repository

   

R

     

Ensure that all Final Invention Reports have been submitted to sponsor

R

   

R

R

 

Ensure that all Patent Reports have been submitted to sponsor

R

   

R

R

 

Account Disabling: Inactivate award account(s)

   

R

S

   

Maintain official award documents for sponsored projects (see Record Retention Policy)

R

         

A-133, A-110, A-21

Comply with circulars and sponsor conditions for compliance

R

 

R

R

 

R

Coordinate the A-133 audit for the entire University

   

R

     

When selected, responsible for responding to A-133 auditors transactional requests, completing the audit questionnaire, and participating in the audit interview with the PI

 

R

R

R

   

Serve as liaison to OSP on coordination of SPH and HMS A-133 Audit

 

R

     

S