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 & Responsibilities Matrix is available in the table below. View the complete background, process, and timeline for the development of the Roles and Responsibilities Matrix.

Matrix Helpful Hints
Key to Responsibility Acronyms
 
  • PI = Principal 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.

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On this page:

Preparing to Submit a Proposal

 
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, IFR - 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, 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 awarded  Primary: PI
Support: CCO
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
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

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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, CCO
Identify non-standard F&A (Indirect Cost) rate requiring an IDC Addendum or IDC Waiver Primary: OCG, IFR - for industry research
Submit to OCG F&A (Indirect Cost) rate waiver approval requests

Primary: PI, IFR - 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: CCO

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: 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 needed  Primary: PI, Dept. Administrators
Support: 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, Cybersecurity, Biosafety, IACUC)  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 reports  Primary: CCO
Assign Project Number (auto-assigned in Boulder eRA) Primary: CCO
Make Evaluation of  Exchange Transaction and document Primary: CCO
Verification of Project Budget and correlate to Budget Account Codes  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

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Primary: CCO

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: CCO, Dept. Administrator
Notify sponsor of anticipation of 75% spend, if notification is required, and copy CCO and OCG  Primary: PI
Support: CCO, Dept. Administrator
Approve Additional Pay Forms  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 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: 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

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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, 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 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: CCO, 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 Tag Request form online 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 University titled sponsored projects equipment  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 University titled equipment, OCG assigns tag numbers to Government or Sponsor titled property and deliverables, CCO prints all tags) Primary: CCO
Support: OCG
Attach government titled sponsored projects equipment tags to equipment (must be done within 3 business days of physically receiving the property) Primary: OCG
Support: Dept. Administrator
Attach University 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 government titled equipment Primary: OCG
Support: CCO
Conduct annual and closeout inventory of government titled 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

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Primary: OCG

Financial Reporting/Billing for Sponsors

 
OCG ensures contracts include billing terms and conditions  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

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Primary: CCO
Support: Dept. Administrator

Cash Management

 
Accounts Receivable Management  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

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Primary: CCO

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: 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

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: 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

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Primary: PI

Closeout Process

 
Identify awards ready for closeout  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 ePERS  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

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Primary: OCG

Audit Preparation

 
Coordinate the A-133 audit for the entire University 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 University Primary: PI
Support: PSC, OCG, Dept. Administrator

Serve as liaison to sponsors on audit requests and visits

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Primary: CCO
Support: OCG