Roles and Responsibilities Matrix

 PIDept ChairDean/VPResearch AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
Overall responsibility for programmatic and financial stewardship of award
Approves project PI eligibility
Provide guidance and interpretation of federal regulations, agency specific requirements, and University policies and procedures
Provide training as needed
Respond to ad hoc audit requests (internal and external)
Work with external auditors to complete the A‐133/UG Subpart F audit process
Create and maintain central grants management queries used to monitor award activity
 PIDept ChairDean/VPDept Research AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
Initiate proposal submission
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
 PIDept ChairDean/VPDept Research AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
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 Partnership 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)
 PIDept ChairDean/VPDept Research AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
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
Negotiate and accept awards on behalf of the University, including modifications to existing awards
Prepare and distribute the notice of award to the Principal Investigator and the Research Administrator
Establish speedtype and chartfield setup for projects
Close and inactivate awards/projects in the University financial system
Complete and submit technical reports in a timely manner (interim and final)
Initiate request for budget revision
Assist principal investigator with request for budget revision
Initiate request for no‐cost extension
Process no‐cost extensions in accordance with University and sponsor guidelines
Initiate request for cost transfers (JV) in accordance with University and federal policy and procedures
Process cost transfers (JV) in a timely manner, in accordance with University and federal policy and procedures (OMB circular A‐21/UG Subpart E)
Approve cost transfers (JV) "over 90 days" past the original expenditures, to remove unallowable costs and over expenditures
Monitor and reconcile expenditures to ensure allowability, allocability and reasonableness
Assist with award monitoring
Monitor and reconcile balances to ensure spending within budget and to prevent over expenditures
Prepare, negotiate and initiate subaward agreements
Review and accept subaward terms and conditions
Initiate Subaward PO webform (initial PO and PO Amendment)
Review and approve Subaward PO webform (initial PO and PO Amendment)
Initiate request to modify subawards
Prepare, negotiate and execute subaward modifications
Review and approve subaward invoices
Review subaward invoices to verify funding availability
Review, approve and submit subaward invoices for payment
Manage subaward performance
Review and submit A-133/UG Subpart F certifications
Submit FFATA reports
Prepare and submit financial, patent & equipment inventory reports (interim and final)
Maintain backup documentation related to expenditures within terms and conditions of the award (record retention)
Monitor, track and document cost share commitments
Verify and audit cost share in accordance with award terms and conditions
Initiate purchase order request for approved subaward agreements
Review, complete and submit closeout checklist in a timely manner
Audit expenditure balance and award activity to verify financial compliance with University and sponsor regulations and to ensure allowability, allocability and reasonableness
 PIDept ChairDean/VPDept Research AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
Initiate effort certification process
Review and approve effort certification
Manage and verify effort certification submissions
Verify data within effort certification submissions in accordance with University policies and procedures
 PIDept ChairDean/VPDept Research AdminContract & Grants SpcSponsored Research AccountantSubrecipient SpecialistResearch DevelopmentResearch Compliance
Prepare and submit billing for all sponsored research awards
Initiate collection activity on past due invoices
Assist with collection efforts on past due invoices as needed
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