Roles and Responsibilities Matrix
| PI | Dept Chair | Dean/VP | Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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 |
| PI | Dept Chair | Dean/VP | Dept Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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 | ● |
| PI | Dept Chair | Dean/VP | Dept Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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) | ● | ● | ● |
| PI | Dept Chair | Dean/VP | Dept Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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 |
| PI | Dept Chair | Dean/VP | Dept Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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 |
| PI | Dept Chair | Dean/VP | Dept Research Admin | Contract & Grants Spc | Sponsored Research Accountant | Subrecipient Specialist | Research Development | Research 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 |