UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
I. GENERAL RESEARCH ADMINISTRATION ACTIVITIES AND SUPPORTStrategic
Direct and guide the Institution's research mission üNurture technology related relationships and partnerships with industry and government. ü ü
Compliance - General Develop and implement a comprehensive research compliance program üDisseminate compliance information and new regulations to the research community ü üServe as advisor to research administration units on key compliance topics ü üComply with Institution policies on misconduct in research ü ü üComply with federal, state and Institution policies and regulations governing sponsored programs ü ü ü ü ü ü ü ü üDetermine appropriate responses to incidents of non-compliance ü ü üAct as liaison with federal regulatory agencies during external compliance reviews üServe as expert resources on knowledge of federal and other sponsor regulations ü ü üReview current practices to identify research compliance risks ü üCommunicate and network with peer institutions ü ü ü ü ü üMonitor federal compliance requirements to develop & implement compliance audit workplans ü üCoordinate the A-133 audit ü üCoordinate all financial audits ü üCoordinate pre-award audits ü
Cost Reimbursement1410 Prepare and negotiate F&A cost rate proposal ü ü
Prepare and negotiate fringe benefit rate ü ü1410 Communicate F&A rate to Institution personnel ü ü1410 Calculate Service Center recharge rates ü1410 Approve Service Center recharge rates ü1410 Review revenue & expenses of each service center for
compliance with federal regulations ü1410 Conduct audits of service centers for compliance with
University Policy ü
RolesDepartment/School Central
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1410 Monitor Service Center billing activities ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Pre-Proposal SupportIdentify funding opportunities ü üMaintain database of proposal submissions üProvide reports to administrators for tracking funding trends üAssist with implementation of sponsor electronic grant processing systems ü
II. PROPOSAL DEVELOPMENT AND BUDGETINGGeneral1405 Identify those types of expenses needed to conduct the
project as proposed and awarded ü1310 Ensure that all proposal submissions to GCA indicate
eligible individuals as PI, co-PI or program director and have received the appropriate prior approvals ü
1310 Verify that all proposal submissions contain an eligible individual as PI, co-PI or program director and ensure that the eligible individual(s) have requisite training, resources, and effort to devote to the sponsored project ü ü ü üVerify that there is some level of effort included in proposal per regulations ü ü üIdentify and communicate required training courses for PI
1310 Approve any exceptions to PI eligibility requirements ü ü ü1403 Provide guidance to PIs and business managers in drafting
sponsored project proposals that include administrative or clerical salaries or other departmental expenses required to support the proposed project üProvide proposal forms and application materials ü üEnsure that the proposal gets to Preaward by internal deadline ü üReview and agree to proposal or application terms and conditions, as well as agency rules and regulations ü üConfirm that the entire proposal meets administrative requirements outlined in the application instructions ü ü ü
Technical ProposalPrepare technical proposal üIdentify the need for subcontracts ü üIdentify and request on- or off-campus space needed in addition to that already assigned to the PI ü üRequest modifications or renovations to on-campus space if necessary ü ü ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Request modifications or renovations to off-campus space if necessary ü ü üComplete the appropriate forms from the IRB, IACUC, Chemical and Biological Safety Committee, or Radiation Safety Committee, etc. ü üIdentify conflicts of interest and commitment and prepare COI disclosures üPresent proposal for review/approval by appropriate external peer review group üConduct department or administrative unit review of proposal relative to scientific merit, resource utilization or other department-specific concerns ü ü
Proposal BudgetPrepare proposal budget and budget justification commensurate with sponsor and Institution policies
ü ü1403 Provide guidance and assistance as needed to PIs and others
for proposal and budget preparationü ü
1311 Ensure that salary letters are provided on an annual basis to faculty indicating the approved institutional base salary
ü ü ü1311 Retain copies of appointment and salary letters for audit
purposesü
1311 Ensure all requests for salary support in sponsored project proposals are based on the individual's correct institutional base salary ü
1311 Review proposal budgets for accurate salary requests ü1316 Provide reasonable estimates of effort in order to carry out
the aims of the proposals and fullfill other University obligations ü
1316 Provide a minimum of 1% or more in all proposals (unless sponsor policies permit otherwise) üVerify available PI effort for project ü ü ü
1316 For 9-month faculty, receive prior approval of the chair and dean/provost in order to earn up to three full summer months of salary on sponsored projects for effort expended on those awards during the summer ü
1403 Consult with GCA regarding the appropriateness of including administrative and clerical salaires and other departmental expenses in proposals ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Request cost sharing funds according to Institution policy. üRequest matching funds or identify in-kind contributions according to Institution policy ü
1308 Identify and evaluate issues related to program income ü ü ü ü1308 Verify that budget items are in accordance with OMB
Circular A-21 (which also includes cost accounting standards) ü ü ü
1308 Select the appropriate facilities and administrative rate and fringe benefit rate ü ü
1308 Request a facilities and administrative cost waiver, if appropriate ü ü
1308 Approve a facilities and administrative cost waiver, if appropriate ü ü
1308 Review proposal for anticipated program income ü1308 Contact sponsor to discuss anticipated program income, if
necessary ü1308 Determine use of reportable program income ü1308 Provide institutional oversight to record and report program
income ü1308 Verify that program income is recorded correctly ü ü ü1308 Make decisions about how to handle situations when total
program income offset is greater than total expenditures ü1308 Determine whether program income is reportable or non-
reportable ü1308 Report program income to sponsor in financial reports ü1308 Identify sources of actual and potential program income at
the proposal stage ü ü ü1308 Complete required program income sections in grant
proposal, as necessary ü ü1308 Develop plan for using program income ü1308 Discuss anticipated program income with the department
administrator ü1308 Address account balance issues at final project termination ü1308 Assist PI in calculation prices ü1308 Bill for products or services which produce program income
ü1308 Reconcile revenue invoiced or submitted against financial
reports ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1308 Monitor levels of Program income in account and any limits that are set by the sponsor ü
1308 Properly deposit income received in accordance with the University's revenue policy ü
1308 Monitor expenditure levels in project to ensure that program income is spent first ü
1308 Reconcile revenue invoiced or submitted against financial reports ü ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
III. PROPOSAL REVIEW, APPROVAL AND PROCESSING1311 Review and approve proposals (including budgets)
requesting funding from external sponsors üReview proposals to ensure that they are consistent with the Institution mission/policies ü ü
1316 Review proposed sponsored activity to assure other activities required of faculty member will not conflict with proposed effort commitment üReview and accept proposals with special requests (e.g., multiple departments) ü ü üApprove request for additional space or modifications or renovations to existing space ü üApprove technical proposal ü üApprove proposal budget and its justification ü
1316 Approve department funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing ü
1316 Approve Dean's funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing üConfirm that matching funds and cost sharing are documented and approved üOversee (with respect to assurance) that budget items are in accordance with A-21 and the cost accounting standards üReview proposals to ensure that they commit an appropriate level of Institution resources ü
1310 Ensure all eligibility approvals are in place for Ps, co-PIs or prgram directors üEnsure that proposals comply with the policies and procedures of the sponsor ü
1310 Approve proposals as appropriate prior to submission to Preaward ü ü üEvaluate requests for F&A rate reductions or waivers üApprove F&A rate and waiver (if necessary) üCheck the final application for completeness ü ü
1316 Ensure proposals submitted to sponsors are reviewed in accordance with University and sponsor requirements üSign as the Institutional Official on behalf of the institution assuring institutional oversight üMail/submit the proposal to sponsor ü ü
IV. AWARD ACCEPTANCE AND ESTABLISH ACCOUNTPreaward
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Request preaward accounts, if necessary ü üApprove commitment of department funds if project not funded üApprove and establish pre-award account ü ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
NegotiationNegotiate and approve the project scope ü üRequest subcontract ü üDevelop and negotiate subcontracts in response to PI request üNegotiate, approve, and notify the PI of the project terms and conditions üNotify the appropriate regulatory office if changes to project scope will affect approved protocols ü ü
Acceptance and Set-UpReceive the Notice of Grant Award üEvaluate whether award is a gift or grant üReview the Notice of Grant Award ü ü ü
1403 Interpret sponsored projects terms and conditions with respect to the appropriateness of direct charging administrative or clerical salaries and other departmental types of costs üAccept the agreement on behalf of the Institution üNotify the PI that the award has been received and send copy of the Notice of Grant Award to the PI and Unit Business Administrator and School Administrator as appropriate üEstablish the project account and cost sharing account if necessary in the financial system and notify the PI and Business Office ü
1316 Review awards to ensure that appropriate cost sharing accounts are created for both mandatory and voluntary committed cost sharing üKey in the budget into the system ü Track award data ü ü ü
V. FINANCIAL MANAGEMENT OF AWARDSBudget and Cash Management
Establish appropriate security in general ledger ü üInitiate non-salary purchases üPrepare single source justification for purchases, if necessary
ü üSet up payroll on grants ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1311 Ensure that entries into Labor Distrubution are correct based on an individual's institutional base salary ü
1316 Ensure that sponsor imposed salary caps are calculated correctly and salaries are recorded properly in a cost sharing account ü
1316 Provide PIs with salary distribution and effort commitment information to facilitate charging instructions for sponsored projects ü
1403 Assist departments in determining appropriate treatment of direct vs. F&A types of costs ü ü
1405 Assist the PI in reviewing the terms and conditions of the sponsored agreement and University policy to determine if an expense is specifically prohibited from being charged to the award ü ü üVerify that expenditures meet A-21 requirements at the time they are requested üPerform periodic review of grant transactions for appropriateness and adherence to federal, state and local regulations ü ü ü üEstablish policy and procedures that ensure the accuracy and timeliness of all financial transactions posting to the general ledger ü üInitiate request for rebudgeting and prepare documentation ü ü üReview rebudgeting requests and either approve them or return them for issue resolution ü
4209 Maintain responsibility for all equipment purchased ü ü ü ü4209 Ascertain that the sale, transfer or release of equipment is
satisfactory to the school or department ü ü ü ü4209 Report all changes in status of equipment to GCFA ü ü ü ü4209 Determine the rights of any sponsor with regard to
equipment ü4209 Determine that the title of equipment rests with the
University ü4209 Determine limitations upon the University's right to dispose
of the equipment ü4209 Execute the instrument of transfer of title (not involving a
sale) of equipment to other institutions ü4209 Maintain a Moveable Equipment Inventory (MEI) which
lists all equipment by department ü4209 Conduct a complete equipment inventory every two years ü4209 Approve the sale of transfer of equipment to other
Institutions ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Receive subcontractor invoices üApprove that work was done by subcontractor üApprove and process payment of subcontractor invoices ü üEnsure that A-133 reports are received from sub-recipients üApprove or recommend approval of carry forward of unexpended funds for specific awards üInitiate the process of documenting cost sharing and/or matching ü üReport cost sharing on sponsored awards ü ü üProvide institutional oversight related to documenting cost sharing and/or matching ü ü
1305 Approve cost transfer requests for compliance with Institution policy ü ü
1305 Provide institutional oversight on cost transfers
ü1305 Provide guidance in interpretation of federal requirements
with respect to cost transfers ü ü ü1305 Monitor cost transfer activity and review transaction
documentation for compliance ü1305 Provide training on procedures and certify individuals to
prepare and approve cost transfer transactions ü1305 Require cost transfers to be reversed if they are unjustified,
or are inadequately justifies or documented if appropriate. ü1305 Terminate access to cost transfer transaction processing for
individuals with repeated unacceptable, inadequately documented or justified cost transfers if appropriate. ü
1305 Resolve questions regarding cost transfers ü1305 Communicate with the dept business office to enable
charges to be made correctly to the appropriate awards ü1305 Review reports of sponsored program expenses regularly to
identify errors in a timely manner and communicate required changes to the business office promptly ü
1305 Request transfers of costs to sponsored projects which represent allocation of expenses or corrections of errors ü
1305 Provide written authorization for required cost transfers ü1305 Maintain queries to be used by departments to monitor
award activity ü1305 Provide PI with timely monthly financial reports ü1305 Assist PI in financial report reviews ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1305 Ensure costs transfers requested by PI are performed promptly ü
1305 Advise PI about University policies and procedures, sponsor policies and procedures and regulations regarding the process of cost transfers ü
1305 Ensure that the preparer and the approver for cost transfers is not the same individual ü ü
1305 Ensure complete justifications of cost transfers ü1305
Ensure retention of complete documentation of cost transfers ü üReview proposed resolution of overdrafts and either approve them or return them for issue resolution ü üMaintain local oversight for the project budget üReview monthly financial reports to ensure compliance with A-21 requirements (allowable, allocable, reasonable) ü üPrepare and submit invoices to sponsors üPrepare and process letters of credit draws üPrepare and submit billings for clinical trials üReconcile bank accounts where deposits are made and draws are received üReceive payments from sponsors and deposit them in Institution accounts üResolve payment problems with late or non-payment by funding agencies ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Financial & Management ReportingProvide timely and accurate financial information/reports using the general ledger üUse monthly reports for financial monitoring and identify and resolve errors on the account in a timely manner üProvide interim financial reports to the sponsor and notify the principal investigator üPrepare financial report for submission to sponsor üCertify the financial report before submission to sponsor ü ü
1301 Ensure compliance with the award budget ü1410 Review the rates, revenues and expenses of each SSF and
Recharge Center for compliance with federal regulations, and reaonsableness of the fund balance ü
1410 Determine the treatment of F&A costs and equipment costs for each ISP ü
1301 Finalize charges with internal service providers and provide new charging instructions for ongoing expenses ü
1301 Prepare requests for no-cost-extension or carry forward request to sponsor and submit them thru GCA with a copy to GCFA ü ü
1301 Assist in resolving collection issues ü1301 Clear all custom commitments and all outstanding
procurement commitments prior to filing of final financial report ü
1301 Retain financial records according to the Records Retention Policy ü
1301 Notify PI and Business Office when award end date is within 60 days ü
1301 Review awards for unallowable costs, overdrafts, and remaining balances ü ü ü
1301 Review facilities and administrative charges ü ü ü1301 Closes the Oracle project sponsored account once all
financial obligations have been satisfied ü1301 Remove accounts receivable balances from the general
ledger after verification that all cash has been collected or drawn ü
VI. NON-FINANCIAL MANAGEMENT OF AWARDSScientific/Program Management
Conduct the sponsored project üComplete and submit timrly interim technical/progress reports ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
Initiate material transfer agreements ü ü üReview and approve incoming materials transfer agreements üComplete the progress report for non-competitive renewals ü üProvide oversight for all research activity üProvide local oversight over appointment of individuals to the project ü üInitiate programmatic changes to the project üReview programmatic changes to the project üProvide institutional endorsement to the sponsor for requests for administrative or programmatic changes initiated by the principal investigator ü
Effort Reporting1315 Distribute effort reports ü1315 Complete effort report ü1315 Track current and pending effort commitments ü ü1315 Provide information to facilitate compliance with effort
reporting policy ü ü ü1315 Provide local oversight for effort certification ü ü1315 Collect and maintain official records of effort reporting ü ü1315 Develop and implement activity reporting policies and
procedures ü1315 Provide guidance in interpretation of federal requirements ü1315 Generate activity reports for department administrators to
distribute ü1315 Monitor compliance with reporting requirements ü1315 Provide training on activity reporting policies and
procedures. ü1315 Review proposed activity and submit requests for sponsor
approval or revisions to effort commitments ü1315 Oversee the activity planning, confirmation process, and
overall compliance with this policy in his/her department ü1315 Oversee distribution of activity reports to faculty and PI;
provides information on personnel charged to grants ü1315 Advise faculty and staff on activity reporting polices and
procedures and how to apply them ü ü1315 Collect certified reports from faculty, PI and others and
retain them according to institutional document retention policies. ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1315 Oversee execution of accounting adjustments to ensure federal funds are charged appropriately based on activity ü
1315 Monitors to ensure minimum mandatory activity requirements are met ü
1315 Have final responsibility for the financial management of their sponsored projects ü
1315 Understand and comply with sponsor requirements for notifications regarding changes in personnel and activity ü
1315 Ensure that commitments of activity for all awarded personnel on federal grants on awards are met within the flexibility allowed in the sponsor's guidelines ü
1315 Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work was provided to certify staff ü
1315 Certifies effort in a timely manner ü1315 Communicates with project directors on
multidisciplinary/multi institutional awards to ensure commitment of activity has been met ü
1315 Certify personal activity in a timely manner and if designated by PI, certify the activity of their staff personnel ü
1315
Notify departmental administrators to make accounting adjustments as needed and ensure that minimum mandatory activity requirements are met ü
1315 Provide notifications of reduction or changes in activity to departmental administrators ü
1316 Assist PI with the preparation of requests to sponsors regarding the reduction of effort ü
1316 Review and approve University requests for reducations of effort as required by sponsor terms and conditions ü
1315 Obtain approval for resulting budgetary changes as needed ü1315 Ensure compliance with effort reporting policy ü üVII. AWARD CLOSE-OUT1301 Notify the PI of the need for completion and submission of
the final technical report ü ü1301 Prepare and submit timely final technical/progress reports ü ü1301 Work with units on delinquent reports when notified by
agency ü ü1301 Resolve overdrafts ü ü ü ü1301 Approve resolution of overdrafts ü ü ü ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Business Internal Controller's Clinical
Policy Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office
RolesDepartment/School Central
1301 Provide information for closing financial reports ü1301 Review, certify and accept final financial report ü1301 Prepare and approve the final financial report and notify the
PI ü1301 Request from sponsor that remaining balances be carried
forward ü1301 Provide information on other closing reports, such as for
patents and on equipment ü ü1301 Retain the scientific data ü1301 Maintain the official Institution record ü ü ü ü1301 Resolve issues related to late payment and problems with
collection of awarded funds ü1301 Review and provide guidance for completion of patent
reports ü ü ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
I. GENERAL RESEARCH ADMINISTRATION ACTIVITIES AND SUPPORTStrategic
Direct and guide the Institution's research mission
Nurture technology related relationships and partnerships with industry and government.
Compliance - GeneralDevelop and implement a comprehensive research compliance programDisseminate compliance information and new regulations to the research communityServe as advisor to research administration units on key compliance topicsComply with Institution policies on misconduct in research
Comply with federal, state and Institution policies and regulations governing sponsored programsDetermine appropriate responses to incidents of non-compliance Act as liaison with federal regulatory agencies during external compliance reviewsServe as expert resources on knowledge of federal and other sponsor regulationsReview current practices to identify research compliance risksCommunicate and network with peer institutions
Monitor federal compliance requirements to develop & implement compliance audit workplansCoordinate the A-133 audit
Coordinate all financial audits
Coordinate pre-award audits
Cost Reimbursement1410 Prepare and negotiate F&A cost rate proposal
Prepare and negotiate fringe benefit rate
1410 Communicate F&A rate to Institution personnel
1410 Calculate Service Center recharge rates
1410 Approve Service Center recharge rates
1410 Review revenue & expenses of each service center for compliance with federal regulations
1410 Conduct audits of service centers for compliance with University Policy
Development AVP orOffice RCC ORA
ü
ü
üü
ü
ü
ü
ü
ü üü
üü
üüü
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1410 Monitor Service Center billing activities
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Pre-Proposal SupportIdentify funding opportunities
Maintain database of proposal submissions
Provide reports to administrators for tracking funding trendsAssist with implementation of sponsor electronic grant processing systems
II. PROPOSAL DEVELOPMENT AND BUDGETINGGeneral1405 Identify those types of expenses needed to conduct the
project as proposed and awarded1310 Ensure that all proposal submissions to GCA indicate
eligible individuals as PI, co-PI or program director and have received the appropriate prior approvals
1310 Verify that all proposal submissions contain an eligible individual as PI, co-PI or program director and ensure that the eligible individual(s) have requisite training, resources, and effort to devote to the sponsored projectVerify that there is some level of effort included in proposal per regulationsIdentify and communicate required training courses for PI
1310 Approve any exceptions to PI eligibility requirements
1403 Provide guidance to PIs and business managers in drafting sponsored project proposals that include administrative or clerical salaries or other departmental expenses required to support the proposed projectProvide proposal forms and application materials
Ensure that the proposal gets to Preaward by internal deadlineReview and agree to proposal or application terms and conditions, as well as agency rules and regulationsConfirm that the entire proposal meets administrative requirements outlined in the application instructions
Technical ProposalPrepare technical proposal
Identify the need for subcontracts
Identify and request on- or off-campus space needed in addition to that already assigned to the PIRequest modifications or renovations to on-campus space if necessary
Development AVP orOffice RCC ORA
RolesOther
ü
üü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Request modifications or renovations to off-campus space if necessaryComplete the appropriate forms from the IRB, IACUC, Chemical and Biological Safety Committee, or Radiation Safety Committee, etc.Identify conflicts of interest and commitment and prepare COI disclosures Present proposal for review/approval by appropriate external peer review groupConduct department or administrative unit review of proposal relative to scientific merit, resource utilization or other department-specific concerns
Proposal BudgetPrepare proposal budget and budget justification commensurate with sponsor and Institution policies
1403 Provide guidance and assistance as needed to PIs and others for proposal and budget preparation
1311 Ensure that salary letters are provided on an annual basis to faculty indicating the approved institutional base salary
1311 Retain copies of appointment and salary letters for audit purposes
1311 Ensure all requests for salary support in sponsored project proposals are based on the individual's correct institutional base salary
1311 Review proposal budgets for accurate salary requests
1316 Provide reasonable estimates of effort in order to carry out the aims of the proposals and fullfill other University obligations
1316 Provide a minimum of 1% or more in all proposals (unless sponsor policies permit otherwise)Verify available PI effort for project
1316 For 9-month faculty, receive prior approval of the chair and dean/provost in order to earn up to three full summer months of salary on sponsored projects for effort expended on those awards during the summer
1403 Consult with GCA regarding the appropriateness of including administrative and clerical salaires and other departmental expenses in proposals
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Request cost sharing funds according to Institution policy.
Request matching funds or identify in-kind contributions according to Institution policy
1308 Identify and evaluate issues related to program income
1308 Verify that budget items are in accordance with OMB Circular A-21 (which also includes cost accounting standards)
1308 Select the appropriate facilities and administrative rate and fringe benefit rate
1308 Request a facilities and administrative cost waiver, if appropriate
1308 Approve a facilities and administrative cost waiver, if appropriate
1308 Review proposal for anticipated program income
1308 Contact sponsor to discuss anticipated program income, if necessary
1308 Determine use of reportable program income
1308 Provide institutional oversight to record and report program income
1308 Verify that program income is recorded correctly
1308 Make decisions about how to handle situations when total program income offset is greater than total expenditures
1308 Determine whether program income is reportable or non-reportable
1308 Report program income to sponsor in financial reports
1308 Identify sources of actual and potential program income at the proposal stage
1308 Complete required program income sections in grant proposal, as necessary
1308 Develop plan for using program income
1308 Discuss anticipated program income with the department administrator
1308 Address account balance issues at final project termination
1308 Assist PI in calculation prices
1308 Bill for products or services which produce program income
1308 Reconcile revenue invoiced or submitted against financial reports
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1308 Monitor levels of Program income in account and any limits that are set by the sponsor
1308 Properly deposit income received in accordance with the University's revenue policy
1308 Monitor expenditure levels in project to ensure that program income is spent first
1308 Reconcile revenue invoiced or submitted against financial reports
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
III. PROPOSAL REVIEW, APPROVAL AND PROCESSING1311 Review and approve proposals (including budgets)
requesting funding from external sponsorsReview proposals to ensure that they are consistent with the Institution mission/policies
1316 Review proposed sponsored activity to assure other activities required of faculty member will not conflict with proposed effort commitmentReview and accept proposals with special requests (e.g., multiple departments)Approve request for additional space or modifications or renovations to existing spaceApprove technical proposal
Approve proposal budget and its justification
1316 Approve department funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing
1316 Approve Dean's funds to be used for matching funds, mandatory cost sharing and voluntary cost sharingConfirm that matching funds and cost sharing are documented and approvedOversee (with respect to assurance) that budget items are in accordance with A-21 and the cost accounting standardsReview proposals to ensure that they commit an appropriate level of Institution resources
1310 Ensure all eligibility approvals are in place for Ps, co-PIs or prgram directors Ensure that proposals comply with the policies and procedures of the sponsor
1310 Approve proposals as appropriate prior to submission to Preaward
Evaluate requests for F&A rate reductions or waivers
Approve F&A rate and waiver (if necessary)
Check the final application for completeness
1316 Ensure proposals submitted to sponsors are reviewed in accordance with University and sponsor requirementsSign as the Institutional Official on behalf of the institution assuring institutional oversightMail/submit the proposal to sponsor
IV. AWARD ACCEPTANCE AND ESTABLISH ACCOUNTPreaward
Development AVP orOffice RCC ORA
RolesOther
ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Request preaward accounts, if necessary
Approve commitment of department funds if project not fundedApprove and establish pre-award account
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
NegotiationNegotiate and approve the project scope
Request subcontract
Develop and negotiate subcontracts in response to PI requestNegotiate, approve, and notify the PI of the project terms and conditionsNotify the appropriate regulatory office if changes to project scope will affect approved protocols
Acceptance and Set-UpReceive the Notice of Grant Award
Evaluate whether award is a gift or grant
Review the Notice of Grant Award
1403 Interpret sponsored projects terms and conditions with respect to the appropriateness of direct charging administrative or clerical salaries and other departmental types of costsAccept the agreement on behalf of the Institution
Notify the PI that the award has been received and send copy of the Notice of Grant Award to the PI and Unit Business Administrator and School Administrator as appropriateEstablish the project account and cost sharing account if necessary in the financial system and notify the PI and Business Office
1316 Review awards to ensure that appropriate cost sharing accounts are created for both mandatory and voluntary committed cost sharingKey in the budget into the system
Track award data
V. FINANCIAL MANAGEMENT OF AWARDSBudget and Cash Management
Establish appropriate security in general ledger
Initiate non-salary purchases
Prepare single source justification for purchases, if necessary
Set up payroll on grants
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1311 Ensure that entries into Labor Distrubution are correct based on an individual's institutional base salary
1316 Ensure that sponsor imposed salary caps are calculated correctly and salaries are recorded properly in a cost sharing account
1316 Provide PIs with salary distribution and effort commitment information to facilitate charging instructions for sponsored projects
1403 Assist departments in determining appropriate treatment of direct vs. F&A types of costs
1405 Assist the PI in reviewing the terms and conditions of the sponsored agreement and University policy to determine if an expense is specifically prohibited from being charged to the awardVerify that expenditures meet A-21 requirements at the time they are requestedPerform periodic review of grant transactions for appropriateness and adherence to federal, state and local regulations Establish policy and procedures that ensure the accuracy and timeliness of all financial transactions posting to the general ledgerInitiate request for rebudgeting and prepare documentation
Review rebudgeting requests and either approve them or return them for issue resolution
4209 Maintain responsibility for all equipment purchased
4209 Ascertain that the sale, transfer or release of equipment is satisfactory to the school or department
4209 Report all changes in status of equipment to GCFA
4209 Determine the rights of any sponsor with regard to equipment
4209 Determine that the title of equipment rests with the University
4209 Determine limitations upon the University's right to dispose of the equipment
4209 Execute the instrument of transfer of title (not involving a sale) of equipment to other institutions
4209 Maintain a Moveable Equipment Inventory (MEI) which lists all equipment by department
4209 Conduct a complete equipment inventory every two years
4209 Approve the sale of transfer of equipment to other Institutions
Development AVP orOffice RCC ORA
RolesOther
ü
ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Receive subcontractor invoices
Approve that work was done by subcontractor
Approve and process payment of subcontractor invoices
Ensure that A-133 reports are received from sub-recipients
Approve or recommend approval of carry forward of unexpended funds for specific awardsInitiate the process of documenting cost sharing and/or matchingReport cost sharing on sponsored awards
Provide institutional oversight related to documenting cost sharing and/or matching
1305 Approve cost transfer requests for compliance with Institution policy
1305 Provide institutional oversight on cost transfers
1305 Provide guidance in interpretation of federal requirements with respect to cost transfers
1305 Monitor cost transfer activity and review transaction documentation for compliance
1305 Provide training on procedures and certify individuals to prepare and approve cost transfer transactions
1305 Require cost transfers to be reversed if they are unjustified, or are inadequately justifies or documented if appropriate.
1305 Terminate access to cost transfer transaction processing for individuals with repeated unacceptable, inadequately documented or justified cost transfers if appropriate.
1305 Resolve questions regarding cost transfers1305 Communicate with the dept business office to enable
charges to be made correctly to the appropriate awards1305 Review reports of sponsored program expenses regularly to
identify errors in a timely manner and communicate required changes to the business office promptly
1305 Request transfers of costs to sponsored projects which represent allocation of expenses or corrections of errors
1305 Provide written authorization for required cost transfers1305 Maintain queries to be used by departments to monitor
award activity1305 Provide PI with timely monthly financial reports1305 Assist PI in financial report reviews
Development AVP orOffice RCC ORA
RolesOther
ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1305 Ensure costs transfers requested by PI are performed promptly
1305 Advise PI about University policies and procedures, sponsor policies and procedures and regulations regarding the process of cost transfers
1305 Ensure that the preparer and the approver for cost transfers is not the same individual
1305 Ensure complete justifications of cost transfers1305
Ensure retention of complete documentation of cost transfersReview proposed resolution of overdrafts and either approve them or return them for issue resolutionMaintain local oversight for the project budget
Review monthly financial reports to ensure compliance with A-21 requirements (allowable, allocable, reasonable)Prepare and submit invoices to sponsors
Prepare and process letters of credit draws
Prepare and submit billings for clinical trials
Reconcile bank accounts where deposits are made and draws are receivedReceive payments from sponsors and deposit them in Institution accounts Resolve payment problems with late or non-payment by funding agencies
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Financial & Management ReportingProvide timely and accurate financial information/reports using the general ledger Use monthly reports for financial monitoring and identify and resolve errors on the account in a timely mannerProvide interim financial reports to the sponsor and notify the principal investigator Prepare financial report for submission to sponsor
Certify the financial report before submission to sponsor
1301 Ensure compliance with the award budget
1410 Review the rates, revenues and expenses of each SSF and Recharge Center for compliance with federal regulations, and reaonsableness of the fund balance
1410 Determine the treatment of F&A costs and equipment costs for each ISP
1301 Finalize charges with internal service providers and provide new charging instructions for ongoing expenses
1301 Prepare requests for no-cost-extension or carry forward request to sponsor and submit them thru GCA with a copy to GCFA
1301 Assist in resolving collection issues
1301 Clear all custom commitments and all outstanding procurement commitments prior to filing of final financial report
1301 Retain financial records according to the Records Retention Policy
1301 Notify PI and Business Office when award end date is within 60 days
1301 Review awards for unallowable costs, overdrafts, and remaining balances
1301 Review facilities and administrative charges
1301 Closes the Oracle project sponsored account once all financial obligations have been satisfied
1301 Remove accounts receivable balances from the general ledger after verification that all cash has been collected or drawn
VI. NON-FINANCIAL MANAGEMENT OF AWARDSScientific/Program Management
Conduct the sponsored project
Complete and submit timrly interim technical/progress reports
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
Initiate material transfer agreements
Review and approve incoming materials transfer agreements Complete the progress report for non-competitive renewals
Provide oversight for all research activity
Provide local oversight over appointment of individuals to the project Initiate programmatic changes to the project
Review programmatic changes to the project
Provide institutional endorsement to the sponsor for requests for administrative or programmatic changes initiated by the principal investigator
Effort Reporting1315 Distribute effort reports
1315 Complete effort report
1315 Track current and pending effort commitments
1315 Provide information to facilitate compliance with effort reporting policy
1315 Provide local oversight for effort certification
1315 Collect and maintain official records of effort reporting
1315 Develop and implement activity reporting policies and procedures
1315 Provide guidance in interpretation of federal requirements1315 Generate activity reports for department administrators to
distribute1315 Monitor compliance with reporting requirements1315 Provide training on activity reporting policies and
procedures.1315 Review proposed activity and submit requests for sponsor
approval or revisions to effort commitments1315 Oversee the activity planning, confirmation process, and
overall compliance with this policy in his/her department1315 Oversee distribution of activity reports to faculty and PI;
provides information on personnel charged to grants1315 Advise faculty and staff on activity reporting polices and
procedures and how to apply them1315 Collect certified reports from faculty, PI and others and
retain them according to institutional document retention policies.
Development AVP orOffice RCC ORA
RolesOther
ü
ü
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1315 Oversee execution of accounting adjustments to ensure federal funds are charged appropriately based on activity
1315 Monitors to ensure minimum mandatory activity requirements are met
1315 Have final responsibility for the financial management of their sponsored projects
1315 Understand and comply with sponsor requirements for notifications regarding changes in personnel and activity
1315 Ensure that commitments of activity for all awarded personnel on federal grants on awards are met within the flexibility allowed in the sponsor's guidelines
1315 Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work was provided to certify staff
1315 Certifies effort in a timely manner1315 Communicates with project directors on
multidisciplinary/multi institutional awards to ensure commitment of activity has been met
1315 Certify personal activity in a timely manner and if designated by PI, certify the activity of their staff personnel
1315
Notify departmental administrators to make accounting adjustments as needed and ensure that minimum mandatory activity requirements are met
1315 Provide notifications of reduction or changes in activity to departmental administrators
1316 Assist PI with the preparation of requests to sponsors regarding the reduction of effort
1316 Review and approve University requests for reducations of effort as required by sponsor terms and conditions
1315 Obtain approval for resulting budgetary changes as needed1315 Ensure compliance with effort reporting policy
VII. AWARD CLOSE-OUT1301 Notify the PI of the need for completion and submission of
the final technical report1301 Prepare and submit timely final technical/progress reports
1301 Work with units on delinquent reports when notified by agency
1301 Resolve overdrafts
1301 Approve resolution of overdrafts
Development AVP orOffice RCC ORA
RolesOther
UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013
KEYPI=Principal InvestigatorGCFA=Grants and Contracts Fin'l AdminGCA = Grants and Contracts AdminRCC=Research Compliance Committee RA=Office of Research AdministrationOCR=Office of Cooperative Research
Policy Responsibilities
1301 Provide information for closing financial reports
1301 Review, certify and accept final financial report
1301 Prepare and approve the final financial report and notify the PI
1301 Request from sponsor that remaining balances be carried forward
1301 Provide information on other closing reports, such as for patents and on equipment
1301 Retain the scientific data
1301 Maintain the official Institution record
1301 Resolve issues related to late payment and problems with collection of awarded funds
1301 Review and provide guidance for completion of patent reports
Development AVP orOffice RCC ORA
RolesOther
ü