Roles and Responsibilities Matrix

Transcription

1 Roles and Responsibilities Matrix The Roles and Responsibilities Matrix for Administration at CU- Boulder seeks to identify commonly encountered activities and to provide guidance regarding the responsible parties for each within sponsored research. The Matrix was created in accordance with Regent Administrative olicy tatement Note that this Matrix is not meant to be prescriptive or exhaustive and is subject to change.

2 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) reparing to ubmit a roposal re Award Locate funding opportunity Read and interpret proposal guidelines repare Non-Disclosure Agreements, as needed repare Teaming Agreements, as needed File Annual DEA roposal Development Obtain and understand sponsor instructions for proposal preparation Identify Cost haring in proposal and obtain cost share approval from Identify and indicate approvals needed for proposal Completion of roposal I Checklist/Intake Form rovide guidance to I on proposal preparation Develop and revise technical narrative, Bio sketches, Current and ending Develop administrative pages of proposal Ensure required Effort available, if awarded Identify subcontractors/collaborators Request and collect necessary ubcontractor Budget, tatement of Work (OW), Commitment Form and ole ource Justification Notify Collaboration of proposal with Industry (non federal/non federal flowthrough) Draft Budget [roposal Development module in Boulder era will empower Is to create budgets] / F with era age 2 of 13

3 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Review Budget Revise Budget in partnership with I / F with era /F with era roposal Review and Approval Review proposal package, including cost-share requirements, before sending proposal and completed roposal ubmission Review (R) Form to OCG at least 5 Business Days in advance of submission deadline rovide institutional review and approval of proposal and budget Review proposed Cost haring commitment for compliance with University policy and sponsor terms Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum ubmit to OCG F&A (Indirect Cost) rate waiver approval requests Review subcontractors proposals and check for their institutional approval Make revisions and corrections to proposal after institutional review Identify export control issues, if any Obtain necessary export control review Initiate Institutional Review Board (IRB) approvals Initiate Institutional Animal Care and Use Committee (IACUC) approvals Initiate Control lan Initiate biosafety reviews roposal ubmission ubmit proposals to sponsors (OCG must be involved in all proposal submissions.) Record proposal submission in Boulder era re-award Activities repare/collect additional paperwork for sponsor (i.e., Just In Time (JIT)) age 3 of 13

4 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Review and submit additional paperwork to sponsor (JIT) Request pre-award spending account if needed, including Budget and eriod of erformance (o) Approve pre-award spending account et up pre-award spending account Notice of Award, Review, and Acceptance Record award information in Boulder era system Review award Review and negotiate terms and conditions in award ost Award Review nonstandard Intellectual roperty (I) terms, and negotiate I issues Review and negotiate financial (including reporting and invoicing) terms and conditions in award notice Assess whether awarded budget is different from that proposed and determine if re-budgeting is necessary If awarded budget is different from that proposed, notify OCG if change in tatement of Work (OW) required Review the approved budget, identifying separate projects/budgets if needed Accept terms and conditions of the award on behalf of the University; sign on behalf of Regents Upload final award document into Boulder era Award et-up Obtain needed internal approvals (e.g., Human subjects, Export Control, Biosafety, IACUC) Verify internal approvals required are in place prior to project set-up Verify current year DEA is on file Enter initial award data in Boulder era et up Cost haring peedtype age 4 of 13

5 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) chedule technical/final reports in Boulder era (Accuracy is critical at set up to facilitate efficient closeout.) chedule other non-financial reports in Boulder era - i.e., milestones (Accuracy is critical at set-up to facilitate efficient closeout.) end requests for project(s) setup chedule financial reports Assign roject Number (auto-assigned in Boulder era) Make Evaluation of Exchange Transaction and document Verification of roject Budget and correlate to Budget Account Codes Enter award data into eoplesoft Create peedtype in eoplesoft and notification results Create distribution code Create Budget Journal Entry in eoplesoft Input project number and peedtype in Boulder era (until 9.2 implementation); project # assignment will be automated in Boulder era ubcontracting Out Create ubcontract record in Boulder era Create urchase Order Requisition in Marketplace for ubcontract Complete and submit ole ource Justification and ub Review Form Gather OW, Budget, Budget Justification, ub Commitment Form, Rate Agreement (if not included in proposal) Draft agreement and send to subrecipient Negotiate terms with subrecipient Review and approve final subcontract document, upload to Boulder era Notify I and of execution of subagreement Issue/Approve urchase Order for ubcontract age 5 of 13

6 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Receive, review and approve ubcontractor's Invoice and authorize payment Coordination with OCG and rocurement ervice Center (C) on ubcontractor issues Coordinate issue resolutions (e.g., invoicing schedule, billing questions, deliverable scheduling, No-Cost Extension requests) with subcontractors Coordinate financial issue resolution with subcontractors Request amendments to subcontract as needed, providing budget revisions, as needed rovide marked up urchase Orders documenting amendments Draft, negotiate and finalize amendments rovide copies of ubcontract Amendments to I and Confirm completion of ubcontractor's work, receipt of Final Invoice and cost share fulfillment Transmit out ubcontractor closeout documents Collect ubcontractor closeout documents and finalize Award Management - Financial Overall responsibility for financial and programmatic stewardship of award Review roject Budget and create pending and rocurement lan Generate requisitions in purchasing systems Initiate Re-budgeting request with OCG where ponsor Authorization is required - (For change of scope, additional ubcontracts, F&A affected) repare revised budget Review and submit re-budgeting request to sponsor Monitor project spend rate Notify sponsor of anticipation of 75% spend, if notification is required, and copy A and OCG Approve Additional ay Forms Cost haring: ost and Track on General Ledger (GL) Ensure fulfillment of cost share commitments Request appointment in HRM age 6 of 13

7 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Monitor award expenditures for allowability, allocability and reasonableness throughout eriod of erformance Ensure proper documentation exists and is retained to support appropriateness of expenditures Identify changes to approved Budget that require sponsor approval and notify OCG Review deviations in expenditures pot audit expenditures Review accuracy of account codes/cost allocations/suspensions Reconcile accounts on a monthly basis Cost transfers: Initiate journal entry and provide supporting documentation for department approval Cost transfers: Review request and approval Initiate Carryforward (when sponsor approval required) request to Request Carryforward from sponsor rogram Income: Identify, report, and ensure posting to appropriate account codes Monitor and reconcile balances to ensure spending within budget and to prevent overexpenditure Approve payment of subcontract invoices Verify final subcontractor invoice receipt Award Management - Non Financial - - roperty Conduct the research project and provide oversight and stewardship on all research activities Initiate Materials Transfer Agreements, if needed Review programmatic changes to project Coordinate administrative and award term issue resolutions with sponsor repare and finalize Materials Transfer Agreements Notify OCG of changes to key personnel Request change of key personnel from sponsor Identify need for No-Cost Extensions and submit request to OCG age 7 of 13

8 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Review and ubmit No-Cost Extension notifications/requests Notify OCG of anticipated award changes (scope, schedule, etc) Negotiate award changes (deliverables, schedule, scope) rovide deliverables as required, on schedule Ensure that all effort reports are certified as required ROERTY: Review and understand sponsor's property terms in the award (Each department should have an individual whose job scope includes property liaison.) For fabrications, submit fabrication request form and new chartfield request to roperty Accounting Office (AO) Identify need for roperty and notify OCG and Initiate and substantiate request for equipment Request prior approval from sponsor for equipment purchases, when required Request purchases in Marketplace and attach all relevant documentation Approve Marketplace equipment and property purchases >$5K Review and OK cost transfers involving equipment and property expenses Track government titled equipment purchases Verify functionality of government titled equipment Confirm physical receipt of government titled equipment, and notify OCG (Receipt of equipment means that someone has verified physical receipt and functionality of property.) Track receipt of university titled sponsored projects equipment Enter equipment into Asset Management ystem Receive government furnished property from sponsor and notify OCG Assign tag numbers to all equipment and generate tags Attach government titled sponsored projects equipment tags to equipment Attach university titled sponsored projects equipment tags to equipment age 8 of 13

9 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Continually monitor location/ functionality of all equipment. Notify department property administrator of any changes. will notify appropriate office. Update project records for government titled equipment Conduct annual and closeout inventory of government titled equipment Request disposition of government titled equipment at closeout Request disposition of university titled equipment repare and submit property reports to sponsor when needed Financial Reporting/Billing for ponsors OCG ensures contracts include billing terms and conditions A confirms the billing terms, conditions and payment method written in the agreements from OCG Create invoice Establish engagements with sponsor billing and payment systems Generate Monthly pend Reports Review Monthly pend Reports Identify the need for submission of a financial status report Notify departments of upcoming final financial reports Obtain supporting documentation for cost sharing and prepare and submit cost-share report rovide institutional approval on deobligations/relinquishments repare and submit invoices and financial status reports to sponsors Upload and submit financial reports to sponsor along with required supporting documentation for audit purposes. ubmit ponsor required financial reports age 9 of 13

10 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Cash Management Accounts Receivable Management Manage cash (handling of checks, etc.) and deposits of checks rocess Letter of Credit drawdown for a specific federal funded agency Record Letter of Credit draw for a specific federal funded agency Monitor and pursue the collections of overdue payments from sponsors Refund excess cash back to ponsor and provide proper documentation roperty, Technical and Other Reports Identify reporting requirements and due date and prepare for submission: Annual and final technical report/summary of research; notify OCG of submission Quarterly, annual, or final financial report Quarterly, annual, or final property report When there is new technology, patents, inventions ubmission of all technology, patent and invention reports Contract-specific monthly financials Control lan reports when required Maintain official copies of progress reports Certification of Time and Effort Complete effort reports in a timely manner Track current and pending effort commitments Ensure compliance with effort reporting policy rovide local oversight for effort certification rovide guidance in interpretation of CU olicies and Federal Regulations as well as monitor compliance with reporting requirements age 10 of 13

11 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) rovide training/presentations on activity reporting policies and procedures Notify OCG of changes in effort requiring sponsor approval Request sponsor approval if effort changes and must have sponsor approval Oversee activity planning, confirmation process and overall compliance with this policy in his/her department Final responsibility for the financial management of their sponsored projects Understand and comply with sponsor requirements for notifications regarding changes in personnel activity Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work provided to certify staff Communicates with roject Directors on multidisciplinary/multi institutional awards to ensure commitment of activity has been met Notify department administrators to make accounting adjustments as needed and ensure that minimum mandatory requirements are met rovide notifications of reduction or charges in activity to departmental administrators Closeout rocess Identify awards ready for closeout end closeout notices to department 90 days before project end date Reconcile account to ensure Cost haring commitment has been fulfilled Review budget deviations at closeout; all expenses must be final within period required for timely closeout Coordinate with department to inactivate cost share peedtype(s) Ensure expenditures/cost transfers have been posted to correct accounts in a timely manner Review and approve cost transfers Review system financial reports for allowable/budgeted expenses and resolve issues Contact department to coordinate appropriate action for interest bearing account resolution Ensure final property inventory is complete and accurate age 11 of 13

12 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Transfer residuals on fixed price agreements Refund excess cash back to the sponsor and provide proper documentation Maintain official financial documents for sponsored projects per Records Retention requirements Certify eer Fabrication subclass reviewed Encumbrances are reviewed/closed ubcontractor encumbrances removed Identify any inventions and make disclosure to TTO repare all inventions/patent forms except for invention information Ensure all inventions/patents have been identified, included on forms and forms signed Verify final financials, final invoice, and payments received; file with project docs repare Release of Claims and Assignments ubmit Release of Claims and Assignments Ensure that all Financial Reports have been submitted to sponsor and available for audit Ensure that all required award closeout documentation has been submitted to sponsor, is filed electronically with project documents, and is available for audit Inactivate eopleoft project peedtypes and enter retire date Confirm completion of subcontractor's work and receipt of final invoice Transmit out subcontractor closeout documents (to I and then Agency's Certification) Collect subcontractor closeout documents and finalize (Agency, Marketplace with and A) ubmit to OCG ubcontract--i certification for closeout Review subcontractor's release of claims Review final invoice with final financial statements for closeout purposes Confirm subcontracts are closed prior to closing the prime age 12 of 13

13 Administration: Roles and Responsibilities Matrix rimary Responsibility for action/implementation of tasks: upport/consult, as necessary = RIMARY currently = UORT currently F = RIMARY in FUTURE F = UORT in FUTURE REEARCH ADMINITRATION ROCE rincipal Investigator (I) rojects Accounting (A) roperty (AO) Audit reparation Coordinate the A-133 audit for the entire University When selected, responsible for responding to A-133 auditors transactional requests, completing the audit questionnaire, and participating in the audit interview with the I erve as liaison to sponsors on audit requests and visits age 13 of 13