Roles and Responsibilities Matrix

Roles and Responsibilities Matrix

Adopted April 2015

The Roles and Responsibilities Matrix for Research Administration at CUBoulder seeks to identify commonly encountered activities and to provide

guidance regarding the responsible parties for each within sponsored

research.

The Matrix was created in accordance with Regent Administrative Policy

Statement 1012.

Note that this Matrix is not meant to be prescriptive or exhaustive and is

subject to change.

ROLE DESIGNATIONS LEGEND

Property

Accounting Office

(PAO)

Support/Consult, as necessary

S = SUPPORT currently

SF = SUPPORT in FUTURE

Research

Compliance

Offices: Export,

COI, IRB, IACUC

Technology

Transfer Office

(TTO)

Department

Administrator

RESEARCH ADMINISTRATION PROCESS

Sponsored

Projects

Accounting (SPA)

Principal

Investigator (PI)

Adopted April 2015

Office of

Contracts and

Grants (OCG)

Primary Responsibility for action/implementation of tasks:

P = PRIMARY currently

PF = PRIMARY in FUTURE

Office of Industry

Collaboration (OIC)

(For industry

research only)

Research Administration: Roles and Responsibilities Matrix

Pre Award

Preparing to Submit a Proposal

P

P

S

S

P

S

S

Obtain and understand sponsor instructions for proposal preparation

Identify Cost Sharing in proposal and obtain cost share approval from Department

Identify and indicate approvals needed for proposal

Completion of Proposal PI Checklist/Intake Form

Provide guidance to PI on proposal preparation

Develop and revise technical narrative, Bio sketches, Current and Pending

Develop administrative pages of proposal

Ensure required Effort available, if awarded

Identify subcontractors/collaborators

Request and collect necessary Subcontractor Budget, Statement of Work (SOW), Commitment Form and

Sole Source Justification

P

P

S

P

S

S

P

P

S

Notify Office of Industry Collaboration of proposal with Industry (non federal/non federal flowthrough)

S

P

S/ PF

with

eRA

P

Locate funding opportunity

Read and interpret proposal guidelines

Prepare Non-Disclosure Agreements, as needed

Prepare Teaming Agreements, as needed

File Annual DEPA

P

P

S

S

S

S

S

S

Proposal Development

Draft Budget [Proposal Development module in Boulder eRA will empower PIs to create budgets]

S

S

S

S

S

P

P

P

P

P

S

S

S

S

S

Page 2 of 13

Review Budget

Revise Budget in partnership with PI

P

S

Property

Accounting Office

(PAO)

S

Research

Compliance

Offices: Export,

COI, IRB, IACUC

S

Support/Consult, as necessary

S = SUPPORT currently

SF = SUPPORT in FUTURE

Office of Industry

Collaboration (OIC)

(For industry

research only)

S/PF

with

eRA

Department

Administrator

P/ SF

with

eRA

Technology

Transfer Office

(TTO)

Sponsored

Projects

Accounting (SPA)

RESEARCH ADMINISTRATION PROCESS

Office of

Contracts and

Grants (OCG)

Adopted April 2015

ROLE DESIGNATIONS LEGEND

Primary Responsibility for action/implementation of tasks:

P = PRIMARY currently

PF = PRIMARY in FUTURE

Principal

Investigator (PI)

Research Administration: Roles and Responsibilities Matrix

S

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

Provide institutional review and approval of proposal and budget

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

Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum

Submit to OCG F&A (Indirect Cost) rate waiver approval requests

Review subcontractors¡¯ proposals and check for their institutional approval

Make revisions and corrections to proposal after institutional review

Identify export control issues, if any

Obtain necessary export control review

Initiate Institutional Review Board (IRB) approvals

Initiate Institutional Animal Care and Use Committee (IACUC) approvals

Initiate Technology Control Plan

Initiate biosafety reviews

P

S

P

S

P

S

P

P

P

P

P

P

P

P

S

P

S

P

S

S

P

P

S

S

S

S

S

S

S

Proposal Submission

Submit proposals to sponsors (OCG must be involved in all proposal submissions.)

Record proposal submission in Boulder eRA

S

P

P

S

P

Pre-award Activities

Prepare/collect additional paperwork for sponsor (i.e., Just In Time (JIT))

S

Page 3 of 13

ROLE DESIGNATIONS LEGEND

Review and submit additional paperwork to sponsor (JIT)

Request pre-award spending account if needed, including Budget and Period of Performance (PoP)

Approve pre-award spending account

Set up pre-award spending account

S

P

Property

Accounting Office

(PAO)

Support/Consult, as necessary

S = SUPPORT currently

SF = SUPPORT in FUTURE

Research

Compliance

Offices: Export,

COI, IRB, IACUC

Technology

Transfer Office

(TTO)

Department

Administrator

RESEARCH ADMINISTRATION PROCESS

Sponsored

Projects

Accounting (SPA)

Principal

Investigator (PI)

Adopted April 2015

Office of

Contracts and

Grants (OCG)

Primary Responsibility for action/implementation of tasks:

P = PRIMARY currently

PF = PRIMARY in FUTURE

Office of Industry

Collaboration (OIC)

(For industry

research only)

Research Administration: Roles and Responsibilities Matrix

P

S

P

P

Post Award

Notice of Award, Review, and Acceptance

Record award information in Boulder eRA system

Review award

Review and negotiate terms and conditions in award

Review nonstandard Intellectual Property (IP) terms, and negotiate IP issues

P

P

P

P

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

P

Assess whether awarded budget is different from that proposed and determine if re-budgeting is

necessary

If awarded budget is different from that proposed, notify OCG if change in Statement of Work (SOW)

required

Review the approved budget, identifying separate projects/budgets if needed

Accept terms and conditions of the award on behalf of the University; sign on behalf of Regents

Upload final award document into Boulder eRA

S

P

P

S

S

P

P

P

Award Set-Up

Obtain needed internal approvals (e.g., Human subjects, Export Control, Biosafety, IACUC)

Verify internal approvals required are in place prior to project set-up

Verify current year DEPA is on file

Enter initial award data in Boulder eRA

Set up Cost Sharing SpeedType

P

S

S

P

P

P

P

Page 4 of 13

Schedule technical/final reports in Boulder eRA (Accuracy is critical at set up to facilitate efficient

closeout.)

Schedule other non-financial reports in Boulder eRA - i.e., milestones (Accuracy is critical at set-up to

facilitate efficient closeout.)

Send requests for project(s) setup

Schedule financial reports

Assign Project Number (auto-assigned in Boulder eRA)

Make Evaluation of Exchange Transaction and document

Verification of Project Budget and correlate to Budget Account Codes

Enter award data into Peoplesoft

Create SpeedType in Peoplesoft and e-mail notification results

Create distribution code

Create Budget Journal Entry in Peoplesoft

Input project number and SpeedType in Boulder eRA (until 9.2 implementation); project # assignment will

be automated in Boulder eRA

Property

Accounting Office

(PAO)

Research

Compliance

Offices: Export,

COI, IRB, IACUC

Support/Consult, as necessary

S = SUPPORT currently

SF = SUPPORT in FUTURE

Office of Industry

Collaboration (OIC)

(For industry

research only)

Technology

Transfer Office

(TTO)

Department

Administrator

Sponsored

Projects

Accounting (SPA)

RESEARCH ADMINISTRATION PROCESS

Office of

Contracts and

Grants (OCG)

Adopted April 2015

ROLE DESIGNATIONS LEGEND

Primary Responsibility for action/implementation of tasks:

P = PRIMARY currently

PF = PRIMARY in FUTURE

Principal

Investigator (PI)

Research Administration: Roles and Responsibilities Matrix

P

P

P

P

P

P

P

P

P

P

P

P

Subcontracting Out

Create Subcontract record in Boulder eRA

Create Purchase Order Requisition in Marketplace for Subcontract

Complete and submit Sole Source Justification and Sub Review Form

Gather SOW, Budget, Budget Justification, Sub Commitment Form, Rate Agreement (if not included in

proposal)

Draft agreement and send to subrecipient

Negotiate terms with subrecipient

Review and approve final subcontract document, upload to Boulder eRA

Notify PI and Department of execution of subagreement

Issue/Approve Purchase Order for Subcontract

P

P

S

P

S

S

P

P

P

P

P

P

Page 5 of 13

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