Roles & Responsibilities Matrix
The Roles & Responsibilities Matrix is a cornerstone document aligning roles and responsibilities over the lifecycle of a sponsored project and is required by .
The Roles & Responsibilities Matrix is available in the table below. View the complete background, process, and timeline for the development of the Roles and Responsibilities Matrix.
Matrix Helpful Hints
Key to Responsibility Acronyms
- PI = Principal Investigator
- OCG = Office of Contracts and Grants
- CCO = Campus Controller's Office
- RIO = Research & Innovation Office
- VP = Venture Partners
- IP = Intellectual Property
- IFR = Industry & Foundation Relations
- COI = Conflict of Interest Office
- IRB = Institutional Review Board
- IACUC = Institutional Animal Care and Use Committee
- PAO = Property Accounting Office
The roles outlined in this matrix can happen in parallel with other roles and the order represented here is not exact.
Preparing to Submit a Proposal | |
| Locate funding opportunity | Primary: PI Support: RIO, IFR - for industry research |
| Read and interpret proposal guidelines | Primary: PI Support: OCG, IFR - for industry research, Compliance Offices |
| Prepare Non-Disclosure Agreements, as needed | Primary: OCG Support: PI, IFR for industry research, IP, VP |
| Prepare Teaming Agreements, as needed | Primary: OCG Support: PI, IFR - for industry research |
| File Annual | Primary: PI Support: Compliance Offices |
Proposal Development | |
| Obtain and understand sponsor instructions for proposal preparation | Primary: PI Support: OCG, Dept. Administrator |
| Identify Cost Sharing in proposal and obtain cost share approval from Department | Primary: PI Support: OCG, Dept. Administrator |
| Identify and indicate approvals needed for proposal | Primary: OCG Support: PI |
| Completion of Proposal Submission Request (PSR) Form | Primary: PI Support: Dept. Administrator |
| Provide guidance to PI on proposal preparation | Primary: OCG Support: Dept. Administrator, VP, IFR - for industry research |
| Develop and revise technical narrative, Bio sketches, current and pending | Primary: PI Support: Dept. Administrator |
| Develop administrative pages of proposal | Primary: OCG Support: Dept. Administrator |
| Ensure required effort available, if awarded | Primary: PI Support: CCO |
| Identify subcontractors/collaborators | Primary: PI |
| Request and collect necessary Subcontractor Budget, Statement of Work (SOW), Commitment Form and Sole Source Justification | Primary: PI Support: OCG, Dept. Administrator |
| Draft Budget [Proposal Development module in Â鶹ӰԺ eRA will empower PIs to create budgets] | Primary: OCG Support: PI, Dept. Administrator |
| Review Budget | Primary: PI Support: OCG, Dept. Administrator, IFR - for Industry research |
| Revise Budget in partnership with PI | Primary: OCG Support: PI, Dept. Administrator |
Proposal Review and Approval | |
| Review proposal package, including cost-share requirements, before sending proposal and completed Proposal Submission Review (PSR) Form to OCG at least 5 Business Days in advance of submission deadline | Primary: PI Support: Dept. Administrator |
| Provide institutional review and approval of proposal and budget | Primary: OCG |
| Review proposed Cost Sharing commitment for compliance with University policy and sponsor terms | Primary: OCG Support: PI, CCO |
| Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum or IDC Waiver | Primary: OCG, IFR - for industry research |
| Submit to OCG F&A (Indirect Cost) rate waiver approval requests | Primary: PI, IFR - for industry research Support: OCG |
| Review subcontractors’ proposals and check for their institutional approval | Primary: OCG Support: PI |
| Make revisions and corrections to proposal after institutional review | Primary: PI Support: OCG |
| Identify issues, if any | Primary:PI Support: OCG |
| Obtain necessary | Primary: PI Support: Dept. Administrator, Compliance Offices |
| Initiate approvals | Primary: PI Support: Dept. Administrator |
| Initiateapprovals | Primary: PI Support: Dept. Administrator |
| Initiate | Primary: PI Support: Dept. Administrator, Compliance Offices |
| Initiate | Primary: PI Support: Dept. Administrator |
Proposal Submission | |
| Submit proposals to sponsors (OCG must be involved in all proposal submissions.) | Primary: OCG Support: PI |
| Record proposal submission in Â鶹ӰԺ eRA | Primary: OCG |
Pre-award Activities | |
| Prepare/collect additional paperwork for sponsor (i.e., Just In Time (JIT)) | Primary: OCG Support: PI, Dept. Administrator |
| Review and submit additional paperwork to sponsor (JIT) | Primary: OCG Support: PI |
| Request pre-award spending account if needed, including Budget and Period of Performance (PoP) | Primary: PI Support: Dept. Administrator |
| Approve pre-award spending account | Primary: OCG |
| Set up pre-award spending account | Primary: CCO |
Notice of Award, Review, and Acceptance | |
| Record award information in Â鶹ӰԺ eRA system | Primary: OCG |
| Review award | Primary: OCG |
| Review and negotiate terms and conditions in award | Primary: OCG |
| Review nonstandard Intellectual Property (IP) terms, and negotiate IP issues | Primary: OCG Support: VP |
| Review and negotiate financial (including reporting and invoice) terms and conditions in award notice | Primary: OCG Support: CCO |
| Assess whether awarded budget is different from that proposed and determine if rebudgeting is necessary | Primary: OCG Support: PI |
| If awarded budget is different from that proposed, notify OCG if change in Statement of Work (SOW) required | Primary: PI Support: OCG |
| Review the approved budget, identifying separate projects/budgets if needed | Primary: PI, Dept. Administrators Support: OCG |
| Accept terms and conditions of the award on behalf of the University; sign on behalf of Regents | Primary: OCG |
| Upload final award document into Â鶹ӰԺ eRA | Primary: OCG |
Award Set-up | |
| Obtain needed internal approvals (e.g., Human subjects, Export Control, Cybersecurity, Biosafety, IACUC) | Primary: PI Support: Dept. Administrator, OCG |
| Verify internal approvals required are in place prior to project set-up | Primary: OCG Support: PI, Dept. Administrator |
| Verify current year DEPA is on file | Primary: OCG Support: PI |
| Enter initial award data in Â鶹ӰԺ eRA | Primary: OCG |
| Set up Cost Sharing SpeedType | Primary: CCO |
| Schedule technical/final reports in Â鶹ӰԺ eRA (accuracy is critical at set up to facilitate efficient closeout) | Primary: OCG |
| Schedule other non-financial reports in Â鶹ӰԺ eRA - i.e., milestones (accuracy critical at set-up to facilitate efficient closeout) | Primary: OCG |
| Send requests for project(s) setup | Primary: OCG |
| Schedule financial reports | Primary: CCO |
| Assign Project Number (auto-assigned in Â鶹ӰԺ eRA) | Primary: CCO |
| Make Evaluation of Exchange Transaction and document | Primary: CCO |
| Verification of Project Budget and correlate to Budget Account Codes | Primary: CCO |
| Enter award data into Peoplesoft | Primary: CCO |
| Create SpeedType in Peoplesoft and e-mail notification results | Primary: CCO |
| Create distribution code | Primary: CCO |
| Create Budget Journal Entry in Peoplesoft | Primary: CCO |
Subcontracting Out | |
| Create Subcontract record in Â鶹ӰԺ eRA | Primary: OCG |
| Create Purchase Order Requisition in Marketplace for Subcontract | Primary: Dept. Administrator |
| Complete and submit Sole Source Justification and Sub Review Form | Primary: PI Support: Dept. Administrator |
| Gather SOW, Budget, Budget Justification, Sub Commitment Form, Rate Agreement (if not included in proposal) | Primary: Dept. Administrator Support: PI, OCG |
| Draft agreement and send to subrecipient | Primary: OCG |
| Negotiate terms with subrecipient | Primary: OCG |
| Review and approve final subcontract document, upload to Â鶹ӰԺ eRA | Primary: OCG |
| Notify PI and Department of execution of subagreement | Primary: OCG |
| Issue/Approve Purchase Order for Subcontract | Primary: OCG |
| Receive, review and approve Subcontractor's invoice and authorize payment | Primary: PI Support: Dept. Administrator |
| Coordination with OCG and Procurement Service Center (PSC) on Subcontractor issues | Primary: Dept. Administrator Support: PI |
| Coordinate issue resolutions (e.g., invoicing schedule, billing questions, deliverable scheduling, No-Cost Extension requests) with subcontractors | Primary: PI Support: OCG, Dept. Administrator |
| Coordinate financial issue resolution with subcontractors | Primary: PI Support: Dept. Administrator |
| Request amendments to subcontract as needed, providing budget revisions, as needed | Primary: PI Support: Dept. Administrator |
| Provide marked up Purchase Orders documenting amendments | Primary: Dept. Administrator Support: PI, OCG |
| Draft, negotiate, and finalize amendments | Primary: OCG |
| Provide copies of Subcontract Amendments to PI and Department | Primary: OCG |
| Confirm completion of Subcontractor's work, receipt of Final Invoice and cost share fulfillment | Primary: PI Support: Dept. Administrator |
| Transmit out Subcontractor closeout documents | Primary: OCG |
| Collect Subcontractor closeout documents and finalize | Primary: OCG Support: PI, Dept. Administrator |
Award Management - Financial | |
| Overall responsibility for financial and programmatic stewardship of award | Primary: PI |
| Review Project Budget and create Spending and Procurement Plan | Primary: PI Support: Dept. Administrator |
| Generate requisitions in purchasing systems | Primary: Dept. Administrator Support: PI |
| Initiate Re-budgeting request with OCG where Sponsor Authorization is required - (For change of scope, additional Subcontracts, F&A affected) | Primary: PI Support: Dept. Administrator |
| Prepare revised budget | Primary: PI Support: Dept. Administrator |
| Review and submit re-budgeting request to sponsor | Primary: OCG |
| Monitor project spend rate | Primary: PI Support: CCO, Dept. Administrator |
| Notify sponsor of anticipation of 75% spend, if notification is required, and copy CCO and OCG | Primary: PI Support: CCO, Dept. Administrator |
| Approve | Primary: CCO |
| : Post and Track on General Ledger (GL) | Primary: Dept. Administrator Support: CCO |
| Ensure fulfillment of cost share commitments | Primary: PI Support: CCO, Dept. Administrator |
| Request appointment in HRMS | Primary: Dept. Administator Support: PI |
| Monitor award expenditures for allowability, allocability, and reasonableness throughout Period of Performance | Primary: PI, Dept. Administrator |
| Ensure proper documentation exists and is retained to support appropriateness of expenditures | Primary: PI, Dept. Administrator |
| Identify changes to approved Budget that require sponsor approval and notify OCG | Primary: PI Support: Dept. Administrator |
| Review deviations in expenditures | Primary: PI Support: CCO, Dept. Administrator |
| Spot audit expenditures | Primary: CCO |
| Review accuracy of account codes/cost allocations/suspensions | Primary: Dept. Administrator Support: CCO |
| Reconcile accounts on a monthly basis | Primary: Dept. Administrator |
| : Initiate journal entry and provide supporting documentation for department approval | Primary: Dept. Administrator |
| Cost transfers: Review request and approval | Primary: CCO Support: Dept. Administrator |
| Initiate Carryforward (when sponsor approval required) request to Department Administrator | Primary: PI Support: Dept. Administrator |
| Request Carryforward from sponsor | Primary: OCG Support: CCO |
| Program Income: Identify, report, and ensure posting to appropriate account codes | Primary: Dept. Administrator Support: PI, CCO |
| Monitor and reconcile balances to ensure spending within budget and to prevent overexpenditure | Primary: PI Support: CCO, Dept. Administrator |
| Approve payment of subcontract invoices | Primary: PI Support: Dept. Administrator |
| Verify final subcontractor invoice receipt | Primary: PI Support: Dept. Administrator |
Award Management - Non Financial | |
| Conduct the research project and provide oversight and stewardship on all research activities | Primary: PI |
| Initiate , if needed | Primary: PI Support: Dept. Administrator, VP |
| Review programmatic changes to project | Primary: PI Support: OCG |
| Coordinate administrative and award term issue resolutions with sponsor | Primary: OCG Support: PI, Dept. Administrator |
| Prepare and finalize Materials Transfer Agreements | Primary: OCG Support: PI, IP, VP |
| Notify OCG of changes to key personnel | Primary: PI Support: Dept. Administrator |
| Request change of key personnel from sponsor | Primary: OCG Support: PI |
| Identify need for No-Cost Extensions and submit request to OCG | Primary: PI Support: Dept. Administrator |
| Review and Submit No-Cost Extension notifications/requests | Primary: OCG |
| Notify OCG of any anticipated award changes (scope, schedule, etc) | Primary: PI |
| Negotiate award changes (deliverables, schedule, scope) | Primary: OCG Support: PI |
| Provide deliverables as required, on schedule | Primary: PI Support: Dept. Administrator |
| Ensure that all effort reports are certified as required | Primary: PI Support: CCO, Dept. Administrator |
Award Management - Non Financial -- Property | |
| Review and understand sponsor's property terms in the award (each department should have an individual whose job scope includes property liaison) | Primary: PI, OCG Support: Dept. Administrator |
| For fabrications, submit online and email a new chartfield request to CCO Property Accounting Office (PAO) | Primary: Dept. Administrator Support: CCO, OCG |
| Identify need for Property and notify OCG and Department Administrator | Primary: PI |
| Initiate and substantiate request for equipment and submit to OCG Property | Primary: PI Support: Dept. Administrator |
| Request prior approval from sponsor for equipment purchases, when required | Primary: OCG Support: PI, Dept. Administrator |
| Request purchases in Marketplace and attach all relevant documentation | Primary: Dept. Administrator Support: PI |
| Approve Marketplace equipment and property purchases > $10K and review after-the-fact equipment and property purchases between $5-9,999K to ensure contractual obligations are met | Primary: OCG, Dept. Administrator |
| Review cost transfers involving equipment and property expenses to ensure all contractual obligations are met. CCO is responsible for giving final approval for all cost transfers. | Primary: OCG, CCO, Dept. Administrator Support: PI |
| Track government or sponsor titled equipment purchases | Primary: OCG Support: Dept. Administrator |
| Confirm physical receipt of government or sponsor titled equipment, and notify OCG Property immediately | Primary: Dept. Administrator Support: PI, OCG |
| Verify functionality of government or sponsored titled equipment; advise OCG Property if equipment is not functioning correctly after testing | Primary: PI Support: Dept. Administrator, OCG |
| Track receipt of University titled sponsored projects equipment | Primary: Dept. Administrator Support: PI, CCO |
| Enter equipment into Asset Management System | Primary: CCO Support: OCG |
| Receive government furnished property from sponsor and notify OCG Property immediately | Primary: PI Support: Dept. Administrator, OCG |
| Assign tag numbers to all equipment and generate tags (CCO assigns tag numbers to all University titled equipment, OCG assigns tag numbers to Government or Sponsor titled property and deliverables, CCO prints all tags) | Primary: CCO Support: OCG |
| Attach government titled sponsored projects equipment tags to equipment (must be done within 3 business days of physically receiving the property) | Primary: OCG Support: Dept. Administrator |
| Attach University titled sponsored projects equipment tags to equipment | Primary: Dept. Administrator Support: CCO |
Continually monitor location/ functionality of all equipment. Notify department property administrator of any changes. Department will notify appropriate office. *Notify OCG Property immediately if any government or sponsor titled equipment needs repairs. | Primary: PI Support: Dept. Administrator |
| Request prior approval for repairs involving government or sponsor titled equipment | Primary: OCG Support: PI, Dept. Administrator |
| Update project records for government titled equipment | Primary: OCG Support: CCO |
| Conduct annual and closeout inventory of government titled equipment | Primary: OCG, Dept. Administrator Support: PI |
| Request disposition of government or sponsor titled equipment at closeout | Primary: OCG Support: Dept. Administrator |
| Submit Property Disposal Request Form for any tagged equipment or untagged non-capital property that needs to be disposed, donated, cannibalized, or transferred | Primary: Dept. Administrator Support: CCO, OCG |
| Submit Off-Campus Equipment Agreement Form prior to any tagged equipment or untagged non-capital property leaving campus (OCG will determine if a Bailment Agreement is needed) | Primary: Dept. Administrator Support: CCO, OCG |
| Prepare and submit property reports to sponsor when needed | Primary: OCG |
Financial Reporting/Billing for Sponsors | |
| OCG ensures contracts include billing terms and conditions | Primary: OCG Support: CCO |
| CCO confirms the billing terms, conditions and payment method written in the agreements from OCG | Primary: CCO |
| Create invoice | Primary: CCO |
| Establish engagements with sponsor billing and payment systems | Primary: CCO |
| Generate Monthly Spend Reports | Primary: PI, Dept. Administrator |
| Review Monthly Spend Reports | Primary: PI, Dept. Administrator |
| Identify the need for submission of a financial status report | Primary: CCO Support: PI, Dept. Administrator |
| Notify departments of upcoming final financial reports | Primary: CCO |
| Obtain supporting documentation for cost sharing and prepare and submit cost-share report | Primary: CCO Support: PI, Dept. Administrator |
| Provide institutional approval on deobligations/relinquishments | Primary: OCG Support: CCO |
| Prepare and submit invoices and financial status reports to sponsors | Primary: CCO |
| Upload and submit financial reports to sponsor along with required supporting documentation for audit purposes | Primary: CCO Support: Dept. Administrator |
| Submit Sponsor required financial reports | Primary: CCO Support: Dept. Administrator |
Cash Management | |
| Accounts Receivable Management | Primary: CCO |
| Manage cash (handling of checks, etc.) and deposits of checks | Primary: CCO Support: Dept. Administrator |
| Process Letter of Credit drawdown for a specific federal funded agency | Primary: CCO |
| Record Letter of Credit draw for a specific federal funded agency | Primary: CCO |
| Monitor and pursue the collections of overdue payments from sponsors | Primary: CCO |
| Refund excess cash back to sponsor and provide proper documentation | Primary: CCO |
Property, Technical and Other Reports | |
| Identify reporting requirements and due date and prepare for submission the following: | |
| Annual and final technical report/summary of research; notify OCG of submission | Primary: PI Support: OCG, Dept. Administrator |
| Quarterly, annual, or final financial report | Primary: CCO |
| Quarterly, annual, or final property report | Primary: OCG Support: PI, Dept. Administrator |
| When there is new technology, patents, inventions | Primary: PI Support: VP |
| Submission of all technology, patent, and invention reports | Primary: OCG |
| Contract-specific monthly financials | Primary: Dept. Administrator |
| Technology Control Plan reports when required | Primary: Compliance Offices |
| Foreign National reporting | Primary: PI Support: Dept. Administrator |
| Maintain official copies of progress reports | Primary: PI Support: OCG, Dept. Administrator |
Certification of Time and Effort | |
| Complete effort reports in a timely manner | Primary: PI |
| Track current and pending effort commitments | Primary: PI Support: Dept. Administrator |
| Ensure compliance with effort reporting policy | Primary: CCO, Dept. Administrator |
| Provide local oversight for effort certification | Primary: Dept. Administrator |
| Provide guidance in interpretation of CU Policies and Federal Regulations as well as monitor compliance with reporting requirements | Primary: CCO |
| Provide training/presentations on activity reporting policies and procedures | Primary: CCO |
| Notify OCG of changes in effort requiring sponsor approval | Primary: PI Support: Dept. Administrator |
| Request sponsor approval if effort changes and must have sponsor approval | Primary: OCG Support: PI, Dept. Administrator |
| Oversee activity planning, confirmation process, and overall compliance with this policy in his/her department | Primary: PI |
| Final responsibility for the financial management of their sponsored projects | Primary: PI |
| Understand and comply with sponsor requirements for notifications regarding changes in personnel activity | Primary: PI |
| Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work provided to certify staff | Primary: PI |
| Communicates with Project Directors on multidisciplinary/multi institutional awards to ensure commitment of activity has been met | Primary: PI |
| Notify department administrators to make accounting adjustments as needed and ensure that minimum mandatory requirements are met | Primary: PI |
| Provide notifications of reduction or charges in activity to departmental administrators | Primary: PI |
Closeout Process | |
| Identify awards ready for closeout | Primary: OCG, CCO Support: PI, Dept. Administrator |
| Send closeout notices to department 90 days before project end date | Primary: CCO |
| Reconcile account to ensure Cost Sharing commitment has been fulfilled | Primary: CCO Support: Dept. Administrator |
| Review budget deviations at closeout; all expenses must be final within period required for timely closeout | Primary: CCO Support: PI, OCG, Dept. Administrator |
| Coordinate with department to inactivate cost share SpeedType(s) | Primary: CCO Support: Dept. Administrator |
| Ensure expenditures/cost transfers have been posted to correct accounts in a timely manner | Primary: Dept. Administrator Support: PI |
| Review and approve cost transfers | Primary: CCO |
| Review system financial reports for allowable/budgeted expenses and resolve issues | Primary: PI, Dept. Administrator Support: CCO |
| Contact department to coordinate appropriate action for interest bearing account resolution | Primary: CCO Support: Dept. Administrator |
| Ensure final property inventory is complete and accurate | Primary: PI Support: OCG, Dept. Administrator |
| Transfer residuals on fixed price agreements | Primary: CCO Support: PI, OCG, Dept. Administrator |
| Refund excess cash back to the sponsor and provide proper documentation | Primary: CCO |
| Maintain official financial documents for sponsored projects per Records Retention requirements | Primary: CCO, Dept. Administrator |
| Certify | Primary: PI Support: CCO, Dept. Administrator |
| Fabrication subclass reviewed | Primary: PI Support: CCO, Dept. Administrator |
| Encumbrances are reviewed/closed | Primary: PI, Dept. Administrator Support: OCG, CCO |
| Subcontractor encumbrances removed | Primary: OCG Support: Dept. Administrator |
| Identify any inventions and make disclosure to VP | Primary: PI Support: VP |
| Prepare all except for invention information | Primary: OCG Support: VP |
| Ensure all inventions/patents have been identified, included on forms and forms signed | Primary: OCG Support: PI, Dept. Administrator |
| Verify final financials, final invoice, and payments received; file with project documents | Primary: CCO Support: PI, OCG |
| Prepare Release of Claims and Assignments | Primary: OCG Support: CCO |
| Submit Release of Claims and Assignments | Primary: OCG |
| Ensure that all Financial Reports have been submitted to sponsor and available for audit | Primary: CCO Support: Dept. Administrator |
| Ensure that all required award closeout documentation has been submitted to sponsor, is filed electronically with project documents, and is available for audit | Primary: OCG |
| Inactivate PeopleSoft project SpeedTypes and enter retire date | Primary: CCO |
| Confirm completion of subcontractor's work and receipt of final invoice | Primary: PI Support: Dept. Administrator |
| Transmit out subcontractor closeout documents (to PI and then Agency's Certification) | Primary: OCG Support: PI, Dept. Administrator |
| Collect subcontractor closeout documents and finalize (Agency, Marketplace with Department and CCO) | Primary: OCG Support: Dept. Administrator |
| Submit to OCG Subcontract--PI certification for closeout | Primary: PI Support: Dept. Administrator |
| Review subcontractor's release of claims | Primary: OCG Support: PI, Dept. Administrator |
| Review final invoice with final financial statements for closeout purposes | Primary: CCO Support: OCG |
| Confirm subcontracts are closed prior to closing the prime | Primary: OCG |
Audit Preparation | |
| Coordinate the A-133 audit for the entire University | Primary: CCO |
| When selected, responsible for responding to A-133 auditors transactional requests, completing the audit questionnaire, and participating in the audit interview with the PI | Primary: CCO |
| Coordinate the CPSR Audit for the entire University | Primary: PI Support: PSC, OCG, Dept. Administrator |
| Serve as liaison to sponsors on audit requests and visits | Primary: CCO Support: OCG |