The Roles & Responsibilities Matrix is a cornerstone document aligning roles and responsibilities over the lifecycle of a sponsored project and is required by Regent Administrative Policy Statement 1012.

The Roles and Responsibilities Matrix is available as a PDF document to download and is available in the table below. View the complete background, process, and timeline for the Roles and Responsibilities Matrix.

Matrix Helpful Hints
Key to Responsibility Acronyms
 
  • PI = Principal Investigator
  • OCG = Office of Contracts and Grants
  • SPA = Sponsored Projects Accounting
  • TTO = Technology Transfer Office
  • OIC = Office of Industry Collaboration
  • 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.

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On this page:

Preparing to Submit a Proposal

 
Locate funding opportunity Primary: PI
Support: OCG, OIC - for industry research
Read and interpret proposal guidelines Primary: PI
Support: OCG, OIC, Compliance Offices
Prepare Non-Disclosure Agreements, as needed Primary: TTO
Support: PI, OIC
Prepare Teaming Agreements, as needed Primary: OCG
Support: PI, OIC - for industry research

File Annual Disclosure of External Professional Activites (DEPA)

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Primary: PI
Support: Compliance Offices

Proposal Development

 
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
Identify and indicate approvals needed for proposal Primary: OCG
Support: PI
Completion of Proposal PI Checklist/Intake Form Primary: PI
Support: Dept. Administrator
Provide guidance to PI on proposal preparation Primary: OCG
Support: Dept. Administrator, TTO, OIC - 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 awarded  Primary: PI
Support: SPA
Identify subcontractors/collaborators  Primary: PI
Request and collect necessary Subcontractor Budget, Statement of Work (SOW), Commitment Form and Sole Source Justification Primary: PI
Support: OCG, Dept. Administrator
Notify Office of Industry Collaboration of proposal with Industry (non federal/non federal flow through) Primary: OCG
Support: PI
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, OIC - for Industry research

Revise Budget in partnership with PI

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Primary: OCG
Support: PI, Dept. Administrator

Proposal Review and Approval

 
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 deadline  Primary: PI
Support: Dept. Administrator
Provide institutional review and approval of proposal and budget Primary: OCG
Review proposed Cost Sharing commitment for compliance with University policy and sponsor terms Primary: OCG
Support: PI, SPA
Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum Primary: OCG, OIC - for industry research
Submit to OCG F&A (Indirect Cost) rate waiver approval requests

Primary: PI, OIC - 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 export control issues, if any Primary:PI
Support: OCG
Obtain necessary export control review Primary: PI
Support: Dept. Administrator, Compliance Offices
Initiate Institutional Review Board (IRB) approvals Primary: PI
Support: Dept. Administrator
Initiate Institutional Animal Care and Use Committee (IACUC) approvals Primary: PI
Support: Dept. Administrator
Initiate Technology Control Plan Primary: PI
Support: Dept. Administrator, Compliance Offices

Initiate biosafety reviews 

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Primary: PI
Support: Dept. Administrator

Proposal Submission

 
Submit proposals to sponsors (OCG must be involved in all proposal submissions.) Primary: OCG
Support: PI

Record proposal submission in Boulder eRA 

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Primary: OCG

Pre-award Activities

 
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

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Primary: SPA

Notice of Award, Review, and Acceptance

 
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: TTO
Review and negotiate financial (including reporting and invoicing) terms and conditions in award notice Primary: OCG
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 needed  Primary: OCG
Accept terms and conditions of the award on behalf of the University; sign on behalf of Regents Primary: OCG

Upload final award document into Boulder eRA

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Primary: OCG

Award Set-up

 
Obtain needed internal approvals (e.g., Human subjects, Export Control, Biosafety, IACUC)  Primary: PI
Support: Dept. Administrator
Verify internal approvals required are in place prior to project set-up Primary: OCG
Support: Dept. Administrator
Verify current year DEPA is on file Primary: OCG
Enter initial award data in Boulder eRA Primary: OCG
Set up Cost Sharing SpeedType Primary: SPA
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 reports  Primary: SPA
Assign Project Number (auto-assigned in Boulder eRA) Primary: SPA
Make Evaluation of  Exchange Transaction and document Primary: SPA
Verification of Project Budget and correlate to Budget Account Codes  Primary: SPA
Enter award data into Peoplesoft Primary: SPA
Create SpeedType in Peoplesoft and e-mail notification results Primary: SPA
Create distribution code Primary: SPA
Create Budget Journal Entry in Peoplesoft Primary: SPA

Input project number and SpeedType in Boulder eRA (until 9.2 implementation); project # assignment will be automated in Boulder eRA

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Primary: SPA

Subcontracting Out

 
Create Subcontract record in Boulder eRA Primary: OCG
Create Purchase Order Requisition in Marketplace for Subcontract Primary: Dept. Administrator
Complete and submit Sole Source Justification and Sub Review Form  Primary: PI
Support: Dept. Administrator
Gather SOW, Budget, Budget Justification, Sub Commitment Form, Rate Agreement (if not included in proposal) Primary: Dept.  Administrator
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 payment   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 amendments  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

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Primary: OCG
Support: PI, Dept. Administrator

Award Management - Financial

 
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: SPA, Dept. Administrator
Notify sponsor of anticipation of 75% spend, if notification is required, and copy SPA and OCG  Primary: PI
Support: SPA, Dept. Administrator
Approve Additional Pay Forms  Primary: SPA
Cost Sharing: Post and Track on General Ledger (GL) Primary: Dept. Administrator
Support: SPA
Ensure fulfillment of cost share commitments Primary: PI
Support: SPA, Dept. Administrator
Request appointment in HRMS Primary: Dept. Administator
Support: PI
Monitor award expenditures for allowability, allocability, and reasonableness throughout Period of Performance  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 expenditures  Primary: PI
Support: SPA, Dept. Administrator
Spot audit expenditures Primary: SPA
Review accuracy of account codes/cost allocations/suspensions Primary: Dept. Administrator
Support: SPA
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: SPA
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: SPA
Program Income: Identify, report, and ensure posting to appropriate account codes Primary: Dept. Administrator
Support: PI, SPA
Monitor and reconcile balances to ensure spending within budget and to prevent overexpenditure Primary: PI
Support: SPA, Dept. Administrator
Approve payment of subcontract invoices Primary: PI
Support: Dept. Administrator

Verify final subcontractor invoice receipt

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Primary: PI
Support: Dept. Administrator

Award Management - Non Financial

 
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, TTO
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: TTO
Support: PI
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 OCG  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

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Primary: PI
Support: SPA, Dept. Administrator

Award Management - Non Financial -- Property

 
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 Fabrication Request form and new chartfield request to Property Accounting Office (PAO) Primary: Dept. Administrator
Support: Property Accounting Office
Identify need for Property and notify OCG and Department Administrator Primary: PI
Initiate and substantiate request for equipment 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 > $5K Primary: OCG, Dept. Administrator
Review and OK cost transfers involving equipment and property expenses Primary: OCG, Dept. Administrator
Support: PI
Track government titled equipment purchases Primary: OCG
Support: Dept. Administrator
Verify functionality of government titled equipment Primary: PI
Support: Dept. Administrator
Confirm physical receipt of government titled equipment, and notify OCG (Receipt of equipment means that someone has verified physical receipt and functionality of property.) Primary: Dept. Administrator
Support: PI, OCG
Track receipt of University titled sponsored projects equipment  Primary: Dept. Administrator
Support: PI, Property Accounting Office
Enter equipment into Asset Management System Primary: Property Accounting Office
Support: OCG
Receive government furnished property from sponsor and notify OCG Primary: PI
Support: Dept. Administrator
Assign tag numbers to all equipment and generate tags Primary: Property Accounting Office
Attach government titled sponsored projects equipment tags to equipment Primary: OCG
Support: Dept. Administrator
Attach University titled sponsored projects equipment tags to equipment Primary: Dept. Administrator
Support: Property Accounting Office
Continually monitor location/ functionality of all equipment. Notify department property administrator of any changes. Department will notify appropriate office. Primary: PI
Support: Dept. Administrator
Update project records for government titled equipment Primary: OCG
Support: Property Accounting Office
Conduct annual and closeout inventory of government titled equipment Primary: OCG, Dept. Administrator
Support: PI
Request disposition of government titled equipment at closeout Primary: OCG
Support: Dept. Administrator
Request disposition of University titled equipment Primary: Dept. Administrator
Support: Property Accounting Office

Prepare and submit property reports to sponsor when needed

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Primary: OCG

Financial Reporting/Billing for Sponsors

 
OCG ensures contracts include billing terms and conditions  Primary: OCG
SPA confirms the billing terms, conditions and payment method written in the agreements from OCG Primary: SPA
Create invoice Primary: SPA
Establish engagements with sponsor billing and payment systems Primary: SPA
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: SPA
Support: PI, Dept. Administrator
Notify departments of upcoming final financial reports Primary: SPA
Obtain supporting documentation for cost sharing and prepare and submit cost-share report Primary: SPA
Support: PI, Dept. Administrator
Provide institutional approval on deobligations/relinquishments Primary: OCG
Support: SPA
Prepare and submit invoices and financial status reports to sponsors Primary: SPA
Upload and submit financial reports to sponsor along with required supporting documentation for audit purposes Primary: SPA
Support: Dept. Administrator

Submit Sponsor required financial reports

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Primary: SPA
Support: Dept. Administrator

Cash Management

 
Accounts Receivable Management  Primary: SPA
Manage cash (handling of checks, etc.) and deposits of checks Primary: SPA
Support: Dept. Administrator
Process Letter of Credit drawdown for a specific federal funded agency Primary: SPA
Record Letter of Credit draw for a specific federal funded agency Primary: SPA
Monitor and pursue the collections of overdue payments from sponsors Primary: SPA

Refund excess cash back to sponsor and provide proper documentation

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Primary: SPA

Property, Technical and Other Reports

 
Identify reporting requirements and due date and prepare for submission the following:  
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: SPA
Quarterly, annual, or final property report Primary: OCG
Support: PI, Dept. Administrator
When there is new technology, patents, inventions Primary: PI
Support: TTO
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

Maintain official copies of progress reports

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Primary: PI
Support: OCG, Dept. Administrator

Certification of Time and Effort

 
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: SPA, 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: SPA
Provide training/presentations on activity reporting policies and procedures Primary: SPA
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

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Primary: PI

Closeout Process

 
Identify awards ready for closeout  Primary: OCG, SPA
Support: PI, Dept. Administrator
Send closeout notices to department 90 days before project end date Primary: OCG
Reconcile account to ensure Cost Sharing commitment has been fulfilled Primary: SPA
Support: Dept. Administrator
Review budget deviations at closeout; all expenses must be final within period required for timely closeout Primary: SPA
Support: PI, OCG, Dept. Administrator
Coordinate with department to inactivate cost share SpeedType(s) Primary: SPA
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: SPA
Review system financial reports for allowable/budgeted expenses and resolve issues Primary: PI, Dept. Administrator
Support: SPA
Contact department to coordinate appropriate action for interest bearing account resolution Primary: SPA
Support: Dept. Administrator
Ensure final property inventory is complete and accurate Primary: PI
Support: OCG, Dept. Administrator
Transfer residuals on fixed price agreements Primary: SPA
Support: PI, OCG, Dept. Administrator
Refund excess cash back to the sponsor and provide proper documentation Primary: SPA
Maintain official financial documents for sponsored projects per Records Retention requirements Primary: SPA, Dept. Administrator
Certify ePERS  Primary: PI
Support: SPA, Dept. Administrator
Fabrication subclass reviewed Primary: PI
Support: SPA, Dept. Administrator, Property Accounting Office
Encumbrances are reviewed/closed Primary: PI, Dept. Administrator
Support: OCG, SPA
Subcontractor encumbrances removed Primary: OCG
Support: Dept. Administrator
Identify any inventions and make disclosure to TTO Primary: PI
Support: TTO
Prepare all inventions/patent forms except for invention information Primary: OCG
Support: TTO
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: SPA
Support: PI, OCG
Prepare Release of Claims and Assignments Primary: OCG
Support: SPA
Submit Release of Claims and Assignments Primary: OCG
Ensure that all Financial Reports have been submitted to sponsor and available for audit Primary: SPA
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: SPA
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 SPA) 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: SPA
Support: OCG

Confirm subcontracts are closed prior to closing the prime

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Primary: OCG

Audit Preparation

 
Coordinate the A-133 audit for the entire University Primary: SPA
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: SPA

Serve as liaison to sponsors on audit requests and visits

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Primary: SPA
Support: OCG