Roles and Responsibilities Matrix

Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Overall responsibility for programmatic and financial stewardship of award●
Routing of PI eligibility form●●●
Approves project PI eligibility●●
Provide guidance and interpretation of federal regulations, agency specific requirements, and University policies and procedures●●●●●●●
Deliver Research Administration training across campus●●●●●●
Respond to ad hoc audit requests (internal and external)●●
Work with external auditors to complete the Uniform Guidance 2 CFR 200 Subpart F audit process●
Create and maintain central grants management queries used to monitor award activity●
Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Initiate proposal preparation process●
Assist principal investigator with proposal preparation●●
Coordinate the proposal process to ensure timely, compliant and accurate submission●●●●
Assists the principal investigator in the preparation of large, interdisciplinary, and/or multi institutional proposals by providing guidance and unobtrusive project management supervision not typically provided by the lead college/department and OSP●●
Attends and actively participates in conceptual proposal development and follow up meetings for large, interdisciplinary, and/or multiinstitutional projects●●
Provides secure document management for large proposal files with shared server space for proposal team members●
Launch Proposal Approval Webform for routing●
Comply with Research Office 3-Business Day Internal Proposal Deadline Policy●●●
Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Prepares and submits protocols for research involving human subjects, animals, and biosafety hazards●
Verifies submission of protocol to appropriate oversight regulatory committees●●●●
Act as a liaison between the principal investigator and the Research Office●
Supports the functions of regulatory committees to assure compliance with federal requirements regarding the responsible conduct of research (human subjects, animal care, export controls and trade sanctions, research misconduct, and COI)●
Works in conjunction with UD Environmental Health and Safety Office with respect to research material use, storage, transportation, and disposition to assure compliance with federal requirements in biochemical, environmental, and radiation safety●●
Works in conjunction with UD Office of Economic Innovation and Partnerships to assure compliance with federal and contractual intellectual property requirements●●
Discloses existence of research staff conflict of interest and/or use of controlled technology or select agents for subject research effort●
Develops and submits conflict of interest mitigating management plan(s), and/or technology control plan(s) or export controls licensing application background materials●●●●
Approval and Maintenance of Conflict of Interest Mgt and/or Technology Control Plan (if required)●●●
Submits notification of plans for foreign travel on UD business●●
Reviews and provides travel briefings for foreign travel requests.●
Prepares and submits Export Control Certifications for J-1 and H1-B visa visiting scholars and hires●●●
Reviews and signs off on Export Control Certifications for J-1 and H1-B Visa applications●
Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Reviews, approves, and submits to federal agencies, as required, conflict of interest management plans, technology control plans, and export control licensing applications to assure compliance with federal regulations
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Initiate and Launch Pre- Award Request Webform
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Negotiate and sign awards on behalf of the University, including modifications to existing awards
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Establish speedtype and chartfield setup for projects
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Prepare and distribute the Chart of Account to the Principal Investigator and the Departmental Research Administrator
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Close and inactivate awards/projects in the University financial system
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Complete and submit technical reports in a timely manner (interim and final)
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Review and submit Technical reports when required by the sponsor
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Initiate request for budget revision
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Assist principal investigator with request for budget revision
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Review and Submit Budget revision request to Sponsor (if prior approval is indicated)
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Initiate request for no cost extension
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Assist PI with No Cost Extention Request and submit request to Research Office
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Review, submit, and process no cost extensions in accordance with University and sponsor guidelines
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Submit prior approval requests to the sponsor, when AOR submission is required by sponsor
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Initiate request for cost transfers (Journal Voucher) in accordance with University and federal policy and procedures
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Process cost transfers (JV) in a timely manner, in accordance with University and federal policy and procedures (UG 2CFR 200 Subpart E)
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Approve cost transfers (JV) "over 90 days" past the original expenditures, to remove unallowable costs and over expenditures
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Monitor and reconcile expenditures to ensure allowability, allocability and reasonableness
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Assist with award monitoring
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Monitor and reconcile balances to ensure spending within budget and to prevent over expenditures
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Prepare and submit financial, patent & equipment inventory reports (interim and final)
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Maintain backup documentation related to expenditures within terms and conditions of the award (record retention)
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Monitor, track and document cost share commitments
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Verify and audit cost share in accordance with award terms and conditions
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Review, complete and submit closeout checklist in a timely manner
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Audit expenditure balance and award activity to verify financial compliance with University and sponsor regulations and to ensure allowability, allocability and reasonableness
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Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Request Subaward and provide updated documents (as needed)●●
Prepare Subaward Request and associated documents for submission to Subaward Specialist●
Prepare and initiate routing/approvals of subaward agreements●
Prepare Risk Assessment Review and escalate to Subaward Manager/AVPR, as necessary●
Review, negotiate, and accept subaward terms and conditions●●●●
Initiate Subaward (initial PO and amendment) in UD Exchange (UDX)●
Review and approve Subaward UDX requests●●
Initiate UDX Change Request to modify subawards; Additional funding, NCE, Change in Terms & Conditions●●
Prepare and initiate routing/appprovals of subaward amendments ●●
Review, negotiate, and accept subaward amendment terms and conditions●●
Receive, review, and route subaward invoice for approval●●●
Review subaward invoices to verify funding availability, frequency of submission, allowable-allocabable and reasonable●●
Manage technical and financial performance of the subawardee ●●
Review and submit UG Subpart F certifications●
Submit FFATA reports●
Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Initiate effort certification process
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Review and approve effort certification
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Manage and verify effort certification submissions
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Verify data within effort certification submissions in accordance with University policies and procedures
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Principal InvestigatorChair/DirectorCollege Dean/VPDept Research AdminContract & Grants AnalystSponsored Research AccountantSubrecipient SpecialistSponsored Programs SpecialistResearch DevelopmentFinancial Research ComplianceResearch and Regulatory AffairsResearch Administration Training ManagerSystems AnalystResearch Office Billing Team
Prepare and submit billing for all sponsored research awards
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Initiate collection activity on past due invoices
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Assist with collection efforts on past due invoices as needed
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