Roles & Responsibilities Matrix
The Roles & Responsibilities Matrix is a cornerstone document aligning roles and responsibilities over the lifecycle of a sponsored project and is required by .
The Roles & Responsibilities Matrix is available in the table below. View the complete background, process, and timelineÌýfor the development of the Roles and Responsibilities Matrix.
Matrix Helpful Hints
Key to Responsibility Acronyms
- PI =ÌýPrincipal Investigator
- OCG = Office of Contracts and Grants
- CCO = Campus Controller's Office
- RIO = Research & Innovation Office
- VP = Venture Partners
- IP = Intellectual Property
- IFR = Industry & Foundation Relations
- COI = Conflict of Interest Office
- IRB = Institutional Review Board
- IACUC = Institutional Animal Care and Use Committee
- PAO = Property Accounting Office
The roles outlined in this matrix can happen in parallel with other roles and the order represented here is not exact.
Preparing to Submit a Proposal | Ìý |
| Locate funding opportunity | Primary: PI Support: RIO, IFR - for industry research |
| Read and interpret proposal guidelines | Primary: PI Support: OCG, IFR - for industry research, Compliance Offices |
| Prepare Non-Disclosure Agreements, as needed | Primary: OCG Support: PI, IFR for industry research, IP, VP |
| Prepare Teaming Agreements, as needed | Primary: OCG Support: PI,ÌýIFR - for industry research |
| File Annual | Primary: PI Support: Compliance Offices |
Proposal Development | Ìý |
| Obtain and understand sponsor instructions for proposal preparation | Primary: PI Support: OCG, Dept. Administrator |
| Identify Cost Sharing in proposal and obtain cost share approval from Department | Primary: PI Support: OCG, Dept. Administrator |
| Identify and indicate approvals needed for proposal | Primary: OCG Support: PI |
| Completion of Proposal Submission Request (PSR) Form | Primary: PI Support: Dept. Administrator |
| Provide guidance to PI on proposal preparation | Primary: OCG Support: Dept. Administrator, VP, IFR - for industry research |
| Develop and revise technical narrative, Bio sketches, current and pending | Primary: PI Support: Dept. Administrator |
| Develop administrative pages of proposal | Primary: OCG Support: Dept. Administrator |
| Ensure required effort available, if awardedÌý | Primary: PI Support: CCO |
| Identify subcontractors/collaboratorsÌý | Primary: PI |
| Request and collect necessary Subcontractor Budget, Statement of Work (SOW), Commitment Form and Sole Source Justification | Primary: PI Support: OCG, Dept. Administrator |
| Draft Budget [Proposal Development module in Boulder eRA will empower PIs to create budgets] | Primary: OCG Support: PI, Dept. Administrator |
| Review Budget | Primary: PI Support: OCG, Dept. Administrator, IFR - for Industry research |
| Revise Budget in partnership with PI | Primary: OCG Support: PI, Dept. Administrator |
Proposal Review and Approval | Ìý |
| 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 deadlineÌý | Primary: PI Support: Dept. Administrator |
| Provide institutional review and approval of proposal and budget | Primary: OCG |
| Review proposed Cost Sharing commitment for compliance with ³Ô¹ÏÍø policy and sponsor terms | Primary: OCG Support: PI, CCO |
| Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum or IDC Waiver | Primary: OCG,ÌýIFR - for industry research |
| Submit to OCG F&A (Indirect Cost) rate waiver approval requests | Primary: PI,ÌýIFR - for industry research Support: OCG |
| Review subcontractors’ proposals and check for their institutional approval | Primary: OCG Support: PI |
| Make revisions and corrections to proposal after institutional review | Primary: PI Support: OCG |
| Identify issues, if any | Primary:PI Support: OCG |
| Obtain necessary | Primary: PI Support: Dept. Administrator, Compliance Offices |
| Initiate approvals | Primary: PI Support: Dept. Administrator |
| Initiateapprovals | Primary: PI Support: Dept. Administrator |
| Initiate Technology Control Plan | Primary: PI Support: Dept. Administrator, Compliance Offices |
| Initiate biosafety reviewsÌý | Primary: PI Support: Dept. Administrator |
Proposal Submission | Ìý |
| Submit proposals to sponsors (OCG must be involved in all proposal submissions.) | Primary: OCG Support: PI |
| Record proposal submission in Boulder eRAÌý | Primary: OCG |
Pre-award Activities | Ìý |
| Prepare/collect additional paperwork for sponsor (i.e., Just In Time (JIT)) | Primary: OCG Support: PI, Dept. Administrator |
| Review and submit additional paperwork to sponsor (JIT) | Primary: OCG Support: PI |
| Request pre-award spending account if needed, including Budget and Period of Performance (PoP) | Primary: PI Support: Dept. Administrator |
| Approve pre-award spending account | Primary: OCG |
| Set up pre-award spending account | Primary: CCO |
Notice of Award, Review, and Acceptance | Ìý |
| Record award information in Boulder eRA system | Primary: OCG |
| Review award | Primary: OCG |
| Review and negotiate terms and conditions in award | Primary: OCG |
| Review nonstandard Intellectual Property (IP) terms, and negotiate IP issues | Primary: OCG Support: VP |
| Review and negotiate financial (including reporting and invoice) terms and conditions in award notice | Primary: OCG Support: CCO |
| Assess whether awarded budget is different from that proposed and determine if rebudgeting is necessary | Primary: OCG Support: PI |
| If awarded budget is different from that proposed, notify OCG if change in Statement of Work (SOW) required | Primary: PI Support: OCG |
| Review the approved budget, identifying separate projects/budgets if neededÌý | Primary: PI, Dept. Administrators Support:ÌýOCG |
| Accept terms and conditions of the award on behalf of the ³Ô¹ÏÍø; sign on behalf of Regents | Primary: OCG |
| Upload final award document into Boulder eRA | Primary: OCG |
Award Set-up | Ìý |
| Obtain needed internal approvals (e.g., Human subjects, Export Control, Cybersecurity, Biosafety, IACUC)Ìý | Primary: PI Support: Dept. Administrator, OCG |
| Verify internal approvals required are in place prior to project set-up | Primary: OCG Support: PI, Dept. Administrator |
| Verify current year DEPA is on file | Primary: OCG Support: PI |
| Enter initial award data in Boulder eRA | Primary: OCG |
| Set up Cost Sharing SpeedType | Primary: CCO |
| Schedule technical/final reports in Boulder eRA (accuracy is critical at set up to facilitate efficient closeout) | Primary: OCG |
| Schedule other non-financial reports in Boulder eRA - i.e., milestones (accuracy critical at set-up to facilitate efficient closeout) | Primary: OCG |
| Send requests for project(s) setup | Primary: OCG |
| Schedule financial reportsÌý | Primary: CCO |
| Assign Project Number (auto-assigned in Boulder eRA) | Primary: CCO |
| Make Evaluation ofÌý Exchange Transaction and document | Primary: CCO |
| Verification of Project Budget and correlate to Budget Account CodesÌý | Primary: CCO |
| Enter award data into Peoplesoft | Primary: CCO |
| Create SpeedType in Peoplesoft and e-mail notification results | Primary: CCO |
| Create distribution code | Primary: CCO |
| Create Budget Journal Entry in Peoplesoft | Primary: CCO |
Subcontracting Out | Ìý |
| Create Subcontract record in Boulder eRA | Primary: OCG |
| Create Purchase Order Requisition in Marketplace for Subcontract | Primary: Dept. Administrator |
| Complete and submit and Sub Review FormÌý | Primary: PI Support: Dept. Administrator |
| Gather SOW, Budget, Budget Justification, Sub Commitment Form, Rate Agreement (if not included in proposal) | Primary: Dept. ÌýAdministrator Support: PI, OCG |
| Draft agreement and send to subrecipient | Primary: OCG |
| Negotiate terms with subrecipient | Primary: OCG |
| Review and approve final subcontract document, upload to Boulder eRA | Primary: OCG |
| Notify PI and Department of execution of subagreement | Primary: OCG |
| Issue/Approve Purchase Order for Subcontract | Primary: OCG |
| Receive, review and approve Subcontractor's invoice and authorize paymentÌýÌý | Primary: PI Support: Dept. Administrator |
| Coordination with OCG and Procurement Service Center (PSC) on Subcontractor issues | Primary: Dept. Administrator Support: PI |
| Coordinate issue resolutions (e.g., invoicing schedule, billing questions, deliverable scheduling, No-Cost Extension requests) with subcontractors | Primary: PI Support: OCG, Dept. Administrator |
| Coordinate financial issue resolution with subcontractors | Primary: PI Support: Dept. Administrator |
| Request amendments to subcontract as needed, providing budget revisions, as needed | Primary: PI Support: Dept. Administrator |
| Provide marked up Purchase Orders documenting amendmentsÌý | Primary: Dept. Administrator Support: PI, OCG |
| Draft, negotiate, and finalize amendments | Primary: OCG |
| Provide copies of Subcontract Amendments to PI and Department | Primary: OCG |
| Confirm completion of Subcontractor's work, receipt of Final Invoice and cost share fulfillment | Primary: PI Support: Dept. Administrator |
| Transmit out Subcontractor closeout documents | Primary: OCG |
| Collect Subcontractor closeout documents and finalize | Primary: OCG Support: PI, Dept. Administrator |
Award Management - Financial | Ìý |
| Overall responsibility for financial and programmatic stewardship of award | Primary: PI |
| Review Project Budget and create Spending and Procurement Plan | Primary: PI Support: Dept. Administrator |
| Generate requisitions in purchasing systems | Primary: Dept. Administrator Support: PI |
| Initiate Re-budgeting request with OCG where Sponsor Authorization is required - (For change of scope, additional Subcontracts, F&A affected) | Primary: PI Support: Dept. Administrator |
| Prepare revised budget | Primary: PI Support: Dept. Administrator |
| Review and submit re-budgeting request to sponsor | Primary: OCG |
| Monitor project spend rate | Primary: PI Support: CCO, Dept. Administrator |
| Notify sponsor of anticipation of 75% spend, if notification is required, and copy CCO and OCGÌý | Primary: PI Support: CCO, Dept. Administrator |
| Approve Ìý | Primary: CCO |
| Cost Sharing: Post and Track on General Ledger (GL) | Primary: Dept. Administrator Support: CCO |
| Ensure fulfillment of cost share commitments | Primary: PI Support: CCO, Dept. Administrator |
| Request appointment in HRMS | Primary: Dept. Administator Support: PI |
| Monitor award expenditures for allowability, allocability, and reasonableness throughout Period of PerformanceÌý | Primary: PI, Dept. Administrator |
| Ensure proper documentation exists and is retained to support appropriateness of expenditures | Primary: PI, Dept. Administrator |
| Identify changes to approved Budget that require sponsor approval and notify OCG | Primary: PI Support: Dept. Administrator |
| Review deviations in expendituresÌý | Primary: PI Support: CCO, Dept. Administrator |
| Spot audit expenditures | Primary: CCO |
| Review accuracy of account codes/cost allocations/suspensions | Primary: Dept. Administrator Support: CCO |
| Reconcile accounts on a monthly basis | Primary: Dept. Administrator |
| Cost transfers: Initiate journal entry and provide supporting documentation for department approval | Primary: Dept. Administrator |
| Cost transfers: Review request and approval | Primary: CCO Support: Dept. Administrator |
| Initiate Carryforward (when sponsor approval required) request to Department Administrator | Primary: PI Support: Dept. Administrator |
| Request Carryforward from sponsor | Primary: OCG Support: CCO |
| Program Income: Identify, report, and ensure posting to appropriate account codes | Primary: Dept. Administrator Support: PI, CCO |
| Monitor and reconcile balances to ensure spending within budget and to prevent overexpenditure | Primary: PI Support: CCO, Dept. Administrator |
| Approve payment of subcontract invoices | Primary: PI Support: Dept. Administrator |
| Verify final subcontractor invoice receipt | Primary: PI Support: Dept. Administrator |
Award Management - Non Financial | Ìý |
| Conduct the research project and provide oversight and stewardship on all research activities | Primary: PI |
| Initiate Materials Transfer Agreements, if needed | Primary: PI Support: Dept. Administrator, VP |
| Review programmatic changes to project | Primary: PI Support: OCG |
| Coordinate administrative and award term issue resolutions with sponsor | Primary: OCG Support: PI, Dept. Administrator |
| Prepare and finalize Materials Transfer Agreements | Primary: OCG Support: PI, IP, VP |
| Notify OCG of changes to key personnel | Primary: PI Support: Dept. Administrator |
| Request change of key personnel from sponsor | Primary: OCG Support: PI |
| Identify need for No-Cost Extensions and submit request to OCGÌý | Primary: PI Support: Dept. Administrator |
| Review and Submit No-Cost Extension notifications/requests | Primary: OCG |
| Notify OCG of any anticipated award changes (scope, schedule, etc) | Primary: PI |
| Negotiate award changes (deliverables, schedule, scope) | Primary: OCG Support: PI |
| Provide deliverables as required, on schedule | Primary: PI Support: Dept. Administrator |
| Ensure that all effort reports are certified as required | Primary: PI Support: CCO, Dept. Administrator |
Award Management - Non Financial -- Property | Ìý |
| Review and understand sponsor's property terms in the award (each department should have an individual whose job scope includes property liaison) | Primary: PI, OCG Support: Dept. Administrator |
| For fabrications, submit Ìýonline and email a new chartfield request to CCO Property Accounting Office (PAO) | Primary: Dept. Administrator Support: CCO, OCG |
| Identify need for Property and notify OCG and Department Administrator | Primary: PI |
| Initiate and substantiate request for equipment and submit to OCG Property | Primary: PI Support: Dept. Administrator |
| Request prior approval from sponsor for equipment purchases, when required | Primary: OCG Support: PI, Dept. Administrator |
| Request purchases in Marketplace and attach all relevant documentation | Primary: Dept. Administrator Support: PI |
| Approve Marketplace equipment and property purchases > $10K and review after-the-fact equipment and property purchases between $5-9,999K to ensure contractual obligations are met | Primary: OCG, Dept. Administrator |
| Review cost transfers involving equipment and property expenses to ensure all contractual obligations are met. CCO is responsible for giving final approval for all cost transfers. | Primary: OCG, CCO, Dept. Administrator Support: PI |
| Track government or sponsor titled equipment purchases | Primary: OCG Support: Dept. Administrator |
| Confirm physical receipt of government or sponsor titled equipment, and notify OCG Property immediately | Primary: Dept. Administrator Support: PI, OCG |
| Verify functionality of government or sponsored titled equipment; advise OCG Property if equipment is not functioning correctly after testing | Primary: PI Support: Dept. Administrator, OCG |
| Track receipt of ³Ô¹ÏÍø titled sponsored projects equipmentÌý | Primary: Dept. Administrator Support: PI, CCO |
| Enter equipment into Asset Management System | Primary: CCO Support: OCG |
| Receive government furnished property from sponsor and notify OCG Property immediately | Primary: PI Support: Dept. Administrator, OCG |
| Assign tag numbers to all equipment and generate tags (CCO assigns tag numbers to all ³Ô¹ÏÍø titled equipment, OCG assigns tag numbers to Government or Sponsor titled property and deliverables, CCO prints all tags) | Primary: CCO Support: OCG |
| Attach governmentÌýtitled sponsored projects equipment tags to equipment (must be done within 3 business days of physically receiving the property) | Primary: OCG Support: Dept. Administrator |
| Attach ³Ô¹ÏÍø titled sponsored projects equipment tags to equipment | Primary: Dept. Administrator Support: CCO |
Continually monitor location/ functionality of all equipment. Notify department property administrator of any changes. Department will notify appropriate office. *Notify OCG Property immediately if any government or sponsor titled equipment needs repairs. | Primary: PI Support: Dept. Administrator |
| Request prior approval for repairs involving government or sponsor titled equipment | Primary: OCG Support: PI, Dept. Administrator |
| Update project records for governmentÌýtitled equipment | Primary: OCG Support: CCO |
| Conduct annual and closeout inventory of governmentÌýtitled equipment | Primary: OCG, Dept. Administrator Support: PI |
| Request disposition of government or sponsor titled equipment at closeout | Primary: OCG Support: Dept. Administrator |
| Submit Property Disposal Request Form for any tagged equipment or untagged non-capital property that needs to be disposed, donated, cannibalized, or transferred | Primary: Dept. Administrator Support: CCO, OCG |
| Submit Off-Campus Equipment Agreement Form prior to any tagged equipment or untagged non-capital property leaving campus (OCG will determine if a Bailment Agreement is needed) | Primary: Dept. Administrator Support: CCO, OCG |
| Prepare and submit property reports to sponsor when needed | Primary: OCG |
Financial Reporting/Billing for Sponsors | Ìý |
| OCG ensures contracts include billing terms and conditionsÌý | Primary: OCG Support: CCO |
| CCO confirms the billing terms, conditions and payment method written in the agreements from OCG | Primary: CCO |
| Create invoice | Primary: CCO |
| Establish engagements with sponsor billing and payment systems | Primary: CCO |
| Generate Monthly Spend Reports | Primary: PI, Dept. Administrator |
| Review Monthly Spend Reports | Primary: PI, Dept. Administrator |
| Identify the need for submission of a financial status report | Primary: CCO Support: PI, Dept. Administrator |
| Notify departments of upcoming final financial reports | Primary: CCO |
| Obtain supporting documentation for cost sharing and prepare and submit cost-share report | Primary: CCO Support: PI, Dept. Administrator |
| Provide institutional approval on deobligations/relinquishments | Primary: OCG Support: CCO |
| Prepare and submit invoices and financial status reports to sponsors | Primary: CCO |
| Upload and submit financial reports to sponsor along with required supporting documentation for audit purposes | Primary: CCO Support: Dept. Administrator |
| Submit Sponsor required financial reports | Primary: CCO Support: Dept. Administrator |
Cash Management | Ìý |
| Accounts Receivable ManagementÌý | Primary: CCO |
| Manage cash (handling of checks, etc.) and deposits of checks | Primary: CCO Support: Dept. Administrator |
| Process Letter of Credit drawdown for a specific federal funded agency | Primary: CCO |
| Record Letter of Credit draw for a specific federal funded agency | Primary: CCO |
| Monitor and pursue the collections of overdue payments from sponsors | Primary: CCO |
| Refund excess cash back to sponsor and provide proper documentation | Primary: CCO |
Property, Technical and Other Reports | Ìý |
| Identify reporting requirements and due date and prepare for submission the following: | Ìý |
| Annual and final technical report/summary of research; notify OCG of submission | Primary: PI Support: OCG, Dept. Administrator |
| Quarterly, annual, or final financial report | Primary: CCO |
| Quarterly, annual, or final property report | Primary: OCG Support: PI, Dept. Administrator |
| When there is new technology, patents, inventions | Primary: PI Support: VP |
| Submission of all technology, patent, and invention reports | Primary: OCG |
| Contract-specific monthly financials | Primary: Dept. Administrator |
| Technology Control Plan reports when required | Primary: Compliance Offices |
| Foreign National reportingÌý | Primary: PI Support: Dept. Administrator |
| Maintain official copies of progress reports | Primary: PI Support: OCG, Dept. Administrator |
Certification of Time and Effort | Ìý |
| Complete effort reports in a timely manner | Primary: PI |
| Track current and pending effort commitments | Primary: PI Support: Dept. Administrator |
| Ensure compliance with effort reporting policy | Primary: CCO, Dept. Administrator |
| Provide local oversight for effort certification | Primary: Dept. Administrator |
| Provide guidance in interpretation of CU Policies and Federal Regulations as well as monitor compliance with reporting requirements | Primary: CCO |
| Provide training/presentations on activity reporting policies and procedures | Primary: CCO |
| Notify OCG of changes in effort requiring sponsor approval | Primary: PI Support: Dept. Administrator |
| Request sponsor approval if effort changes and must have sponsor approval | Primary: OCG Support: PI, Dept. Administrator |
| Oversee activity planning, confirmation process, and overall compliance with this policy in his/her department | Primary: PI |
| Final responsibility for the financial management of their sponsored projects | Primary: PI |
| Understand and comply with sponsor requirements for notifications regarding changes in personnel activity | Primary: PI |
| Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work provided to certify staff | Primary: PI |
| Communicates with Project Directors on multidisciplinary/multi institutional awards to ensure commitment of activity has been met | Primary: PI |
| Notify department administrators to make accounting adjustments as needed and ensure that minimum mandatory requirements are met | Primary: PI |
| Provide notifications of reduction or charges in activity to departmental administrators | Primary: PI |
Closeout Process | Ìý |
| Identify awards ready for closeoutÌý | Primary: OCG, CCO Support: PI, Dept. Administrator |
| Send closeout notices to department 90 days before project end date | Primary: CCO |
| Reconcile account to ensure Cost Sharing commitment has been fulfilled | Primary: CCO Support: Dept. Administrator |
| Review budget deviations at closeout; all expenses must be final within period required for timely closeout | Primary: CCO Support: PI, OCG, Dept. Administrator |
| Coordinate with department to inactivate cost share SpeedType(s) | Primary: CCO Support: Dept. Administrator |
| Ensure expenditures/cost transfers have been posted to correct accounts in a timely manner | Primary: Dept. Administrator Support: PI |
| Review and approve cost transfers | Primary: CCO |
| Review system financial reports for allowable/budgeted expenses and resolve issues | Primary: PI, Dept. Administrator Support: CCO |
| Contact department to coordinate appropriate action for interest bearing account resolution | Primary: CCO Support: Dept. Administrator |
| Ensure final property inventory is complete and accurate | Primary: PI Support: OCG, Dept. Administrator |
| Transfer residuals on fixed price agreements | Primary: CCO Support: PI, OCG, Dept. Administrator |
| Refund excess cash back to the sponsor and provide proper documentation | Primary: CCO |
| Maintain official financial documents for sponsored projects per Records Retention requirements | Primary: CCO, Dept. Administrator |
| Certify ePERSÌý | Primary: PI Support: CCO, Dept. Administrator |
| Fabrication subclass reviewed | Primary: PI Support: CCO, Dept. Administrator |
| Encumbrances are reviewed/closed | Primary: PI, Dept. Administrator Support: OCG, CCO |
| Subcontractor encumbrances removed | Primary: OCG Support: Dept. Administrator |
| Identify any inventions and make disclosure to VP | Primary: PI Support: VP |
| Prepare all inventions/patent forms except for invention information | Primary: OCG Support: VP |
| Ensure all inventions/patents have been identified, included on forms and forms signed | Primary: OCG Support: PI, Dept. Administrator |
| Verify final financials, final invoice, and payments received; file with project documents | Primary: CCO Support: PI, OCG |
| Prepare Release of Claims and Assignments | Primary: OCG Support: CCO |
| Submit Release of Claims and Assignments | Primary: OCG |
| Ensure that all Financial Reports have been submitted to sponsor and available for audit | Primary: CCO Support: Dept. Administrator |
| Ensure that all required award closeout documentation has been submitted to sponsor, is filed electronically with project documents, and is available for audit | Primary: OCG |
| Inactivate PeopleSoft project SpeedTypes and enter retire date | Primary: CCO |
| Confirm completion of subcontractor's work and receipt of final invoice | Primary: PI Support: Dept. Administrator |
| Transmit out subcontractor closeout documents (to PI and then Agency's Certification) | Primary: OCG Support: PI, Dept. Administrator |
| Collect subcontractor closeout documents and finalize (Agency, Marketplace with Department and CCO) | Primary: OCG Support: Dept. Administrator |
| Submit to OCG Subcontract--PI certification for closeout | Primary: PI Support: Dept. Administrator |
| Review subcontractor's release of claims | Primary: OCG Support: PI, Dept. Administrator |
| Review final invoice with final financial statements for closeout purposes | Primary: CCO Support: OCG |
| Confirm subcontracts are closed prior to closing the prime | Primary: OCG |
Audit Preparation | Ìý |
| Coordinate the A-133 audit for the entire ³Ô¹ÏÍø | Primary: CCO |
| When selected, responsible for responding to A-133 auditors transactional requests, completing the audit questionnaire, and participating in the audit interview with the PI | Primary: CCO |
| Coordinate the CPSR Audit for the entire ³Ô¹ÏÍø | Primary: PI Support: PSC, OCG, Dept. Administrator |
| Serve as liaison to sponsors on audit requests and visits | Primary: CCO Support: OCG |
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