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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*)
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

(4) Report completed by OIPM

(5) Report completed by the Property Management Office of the Division of Administration and Finance