Roles & Responsiblities Matrix

The Roles & Responsiblities Matrix provides a reference as to whom is responsible for various functions in the award cycle. Note: If you wish to save or print this document please view the PDF version of the R & R Matrix.

Identification of Funding Opportunities
Proposal Preparation
Proposal Review and Approval
Proposal Submission
Award Acceptance
Award Set-Up
Award Maintenance
Program Income
Preparation and Submission of Financial Status Reports
Preparation and Submission of all Technical Reports
Certification of Time and Effort
Closing of Accounts
A-133 Audit
Retrieval of Federal, Sponsor, and University Policy/Regulat
Ongoing Training
Notes

Research Administration Process	SPA	FOA	OSP	PI	DEPT
Identification of Funding Opportunities
Search for opportunities (See note 1)	SPA			PI
Distribute opportunity information (See note 1)	SPA
Store application forms and retrieve as necessary	SPA
Provide expert guidance on funding opportunities	SPA
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Proposal Preparation
Develop and revise technical narrative				PI
Develop and revise budget					DEPT
Provide guidance to PI on proposal preparation (See note 2)	SPA				DEPT
Provide guidance to departments on proposal preparation (See note 2)	SPA
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Proposal Review and Approval
Review and approve before sending proposal to SPA					DEPT
Provide institutional review of proposal	SPA
Identify cost sharing					DEPT
Review proposed cost sharing for compliance with terms and conditions and approve proposed cost sharing	SPA
Determine the appropriateness of the grantee	SPA
Make revisions and corrections to proposal after institutional review (See note 3)				PI	DEPT
Provide institutional approval of proposal	SPA
Record proposal information for tracking (See note 4)	SPA		OSP
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Proposal Submission
Mail proposals to sponsors (See note 14)	SPA			PI	DEPT
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Award Acceptance
Receive notification of grant or contract award	SPA
Send notification to department and other administrative departments	SPA
Negotiate terms and conditions with sponsor (See note 5)	SPA
Review and approve terms and conditions				PI
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Award Set-Up
Record award information for tracking (See note 4)	SPA		OSP
Prepare award summary documents	SPA
Request specific sub-activity values					DEPT
Prepare and submit cost sharing form to FOA					DEPT
Review and approve the cost sharing form		FOA
Assign account number	SPA
Activate account number			OSP
Upload budget to general ledger					DEPT
Prepare and negotiate subcontracts	SPA
Identify mandatory investment of sponsored accounts	SPA
Request voluntary investment of sponsored accounts					DEPT
Approve and manage the investment of sponsored accounts		FOA
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Award Maintenance
Coordinate issue resolution with sponsors (See note 6)	SPA		OSP
Initiate re-budgeting requests to SPA					DEPT
Approve re-budgeting requests	SPA
Initiate no cost extensions					DEPT
Approve no cost extensions	SPA
Process award changes (See note 4)	SPA		OSP
Track cost sharing		FOA
Sub recipient monitoring (See note 13)				PI	DEPT
Prepare trainee appointment documents (such as NRSA appointment documents)					DEPT
Review and submit trainee appointment documents (except for DMS and MD PHD)	SPA
Review and approve expenditures for allowability and allocability				PI
Oversee expenditures for allowability and allocability					DEPT
Retain documentation to support allocation of expenditures					DEPT
Audit the allowability and allocability of expenditures			OSP
Reconcile accounts on a monthly basis					DEPT
Produce the Invalid Code Combination Report (See note 7)			OSP
Resolve issues on the Invalid Code Combination Report					DEPT
Oversee the resolution of items on the Invalid Code Combination Report		FOA
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Program Income
Identify program income					DEPT
Identify/report program income on continuation agreements				PI
Post program income to appropriate account code					DEPT
Report program income on financial status report			OSP
Invoicing and Billing for all Sponsors (See note 12)
Identify the need to bill			OSP
Create the invoice			OSP
Provide institutional approval			OSP
Track submission of invoices			OSP
Department approval and signoff on final invoice				PI
Debit in lieu of non-federal IDC		FOA
Notify departments of upcoming billings			OSP
Accounts Receivable Management
Manage cash (handling of checks, etc.)			OSP
Produce and record a letter of credit draw request based on the disbursement of cash for expenses of awards for a specific period of time for a specific funding agency			OSP
Monitor and pursue the collections of overdue payments from sponsors (See note 8)			OSP
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Preparation and Submission of Financial Status Reports
Identify the need for submission of a financial status report			OSP
Notify departments of financial reports that are close to due date			OSP
Prepare financial status reports			OSP
Obtain agreement from PI on final figure				PI
Submit financial status reports to sponsors			OSP
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Preparation and Submission of all Technical Reports
Identify the need for submission of a technical report					DEPT
Prepare and approve technical reports				PI
Submit technical reports to sponsor				PI
Maintain the official copy of the technical report					DEPT
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Certification of Time and Effort
Prepare and distribute monthly effort certification reports					DEPT
Prepare annual effort certification reports for PI/faculty			OSP
Distribute annual effort certification reports		FOA
Obtain necessary supervisory reviews and approvals and complete the document					DEPT
Ensure accuracy of completed effort certification reports				PI
Review effort certification reports completed by departments		FOA
Resolve problems or follow up on certifications not submitted		FOA
Complete necessary adjustments to award charges and/or payroll distribution					DEPT
Retain/store the documentation supporting the certification process		FOA
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Closing of Accounts
Identify close-out situations (See note 9)			OSP
Determine whether there are unresolved items that need to be resolved before closing account and communicate to impacted parties			OSP
Ensure expenditures/cost transfers have been posted to accounts (See note 10)			OSP		DEPT
Prepare consolidated report			OSP
Resolve issues related to unreconciled accounts (See note 10)			OSP		DEPT
Oversee the resolution of unreconciled accounts and make necessary entries for unreconciled accounts that are 12 months past end date		FOA
Ensure that all financial reports have been submitted to sponsor			OSP
Ensure that all technical reports have been submitted to sponsor				PI
Ensure that all final invention reports have been submitted to sponsor				PI
Ensure that all patent reports have been submitted to sponsor				PI
Inactivate award account(s) in financial accounting system			OSP
Maintain official award documents for sponsored projects			OSP
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A-133 Audit
Comply with circulars and sponsor conditions for compliance at the transaction level					DEPT
Coordinate the A-133 audit for the entire University.			OSP
Serve as liaison to OSR on coordination of the HMS piece of the University's A-133 audit.		FOA
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Retrieval of Federal, Sponsor, and University Policy/Regulations
Store all relevant policies/regulations either in hard copy or electronic format (See note 11)	SPA	FOA	OSP
Monitor and update documents for changes (See note 11)	SPA	FOA	OSP
Communicate changes to HMS personnel (See note 11)	SPA	FOA	OSP
Retrieve policies/regulations as needed (See note 11)	SPA	FOA	OSP
Interpret regulations, policies, and procedures (See note 11)	SPA	FOA	OSP
Develop HMS policies and procedures (See note 11)	SPA	FOA	OSP
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Ongoing Training
Provide training to the research community regarding changes to policies and regulations (See note 11)	SPA	FOA	OSP

Notes

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The Principal Investigator (PI) is ultimately responsible for identifying funding opportunities but SPA assists in this process by periodically sending lists of opportunities to the PIs.

A PI who needs assistance with the preparation of a proposal should normally seek advice from the department or financial administrator for the PI's department. However, the PI may also contact SPA with questions regarding the preparation of a proposal. If a department or financial administrator needs assistance with the preparation of a proposal, he or she should call SPA.

The PI and the department administrator(s) work together to make any necessary fundamental changes to the proposal. SPA may make minor changes to the proposal with verbal approval from the PI.

Because the University and Medical School have separate systems to manage sponsored projects, both SPA and OSR track proposal and award information. The GMAS system will eventually eliminate the need for duplicative entry of proposal and award information. GMAS is scheduled to be implemented by spring 2003.

When negotiating the terms and conditions of an award, the SPA representative should be in frequent discussion with the PI to ensure that the PI is aware of and approves the terms and conditions.

SPA and OSR are responsible for coordinating issue resolution with the sponsors. To determine which unit has responsibility, identify the topic and look for who has responsibility for that topic in the roles and responsibilities matrix.

OSR will continue to produce the Invalid Code Combination Report but the departments can also access this report through the HUDINI reports "Sponsored" menu.

OSR is responsible for monitoring the collections of overdue payments for sponsored projects. When OSR determines that HMS is unable to collect the payment, OSR coordinates with other units to resolve any issues related to the inability to collect the payment. These units may include, but are not limited to, General Counsel, FOA, SPA, and the departments.

While many units track the end dates of awards to determine when awards need to be closed out, OSR has the ultimate responsibility for identifying close out situations and working through the tasks that need to be completed to close an award.

The department must ensure that all expenditures/cost transfers have been posted and that the accounts are reconciled, but OSR will assist them in completing these tasks when department initiates need for assistance or upon OSR discovery of need for cost transfer and post audit review.

FOA, SPA and OSR share responsibility for these tasks. Depending on the topic of the regulation, policy, procedure or training, one of the units will have primary responsibility. For example, SPA would be responsible for regulations on proposal submission, OSR would be responsible for regulations on financial status reports and FOA would be responsible for regulations on effort reporting. To determine which unit has responsibility, identify the topic and look for who has responsibility for that topic in the roles and responsibilities matrix. In some circumstances, responsibility for training or policy development may not follow the matrix. However, the matrix should be used as a starting point for which office to contact with questions.

These tasks will move to OSR after certain interdependencies or milestones are completed with regard to cleanup of current backlog.

The PI has the primary responsibility for the monitoring of sub recipients. The Department assists the PI with this task, and OSR and SPA ensure that the University's sub recipient monitoring procedures are compliant.

While the department has the ultimate responsibility for mailing the proposal to the sponsor, the PI may request that SPA mail the proposal oh his or her behalf. SPA can facilitate the request if the original proposal and final research plan is delivered to SPA with all necessary corrections and copies by 9 am at least one day prior to the deadline.

Roles & Responsiblities Matrix

Identification of Funding Opportunities

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Proposal Preparation

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Proposal Review and Approval

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Proposal Submission

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Award Acceptance

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Award Set-Up

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Award Maintenance

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Program Income

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Preparation and Submission of Financial Status Reports

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Preparation and Submission of all Technical Reports

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Certification of Time and Effort

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Closing of Accounts

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A-133 Audit

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Retrieval of Federal, Sponsor, and University Policy/Regulations

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Ongoing Training

Notes

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