RESPONSIBILITIES MATRIX
Proposal Development Activities
Establish and enhance strategic partnerships with other researchrelated universities, agencies, foundations and sponsors
Communicate funding opportunities, workshops and research events
through newsletters and website
Identify funding opportunities
Principal
Investigator
(PI)
X
Department
Business
Administrator
(DBA)
Associate
Deans for
Research/
College
Staff
College Research
Administrator
(CRA)
Division of
Research
(DOR)
Primary (1)
X
Primary (1)
X
X
Primary (1)
X
X
X
Primary (1)
X
X
X
Primary (1)
X (1)
X (1, 2)
X
X
Primary
PIVOT, Grants.gov, COS, etc.
Develop and organize research teams and facilitate proposal
development of large, complex proposals (multidisciplinary, multiinstitutional)
Develop multi-disciplinary research development workshops
Assist with revision and editing of multi-PI, complex proposals
Secure university resource commitments
uh.edu/research: Responsibilities Matrix
Updated January 2014
1 of 5
RESPONSIBILITIES MATRIX
Pre-Award Activities
Identify funding opportunities
Principal
Investigator
(PI)
X
Department
Business
Administrator (DBA)
X
College Research
Administrator
(CRA)
X
Division of
Research
(DOR)
Primary
X
X
X
Primary
X
X
X
X
X
X
Primary
X
Primary
SPIN, Grants.gov, COS, etc.
Understanding of sponsor's rules and guidelines
All must know these
Secure university resource commitments
Primary
Approval must be secured in writing by responsible administrator
Prepare budget, including subaward documentation
Primary
Format and upload for submission should be done by the DBA under the PI's guidance
Technical content of the proposal
Primary
This is the exclusive responsibility of the PI
Prepare proposal elements for submission - format and upload
Review proposal for institutional assurances, ensure completeness of
proposal
Intellectual Property Assessment
X
X
Review proposal to ensure University rules are followed
Upload proposal to sponsor
X
X
Primary
(OIPM*)
Primary
Primary
Follow sponsor's requirements, and ensure FCOI is on file
Approve proposal on behalf of institution
Prepare and submit all compliance protocols (IRB, IACUC, safety)
Primary
Primary
X
Primary
X
Upon notification of potential funding
Submit "Just in time" information to sponsor
uh.edu/research: Responsibilities Matrix
Updated January 2014
2 of 5
RESPONSIBILITIES MATRIX
Post-Award Activities
Understanding of award terms and conditions
Principal
Investigator
(PI)
X
Department
Business
Administrator (DBA)
X
College Research
Administrator
(CRA)
X
Division of
Research
(DOR)
Primary
All parties need to know the terms and conditions in order to manage the award
Negotiate/accept award terms and conditions
Primary
In consultation with PI, DOR makes decision
Finalize budgets for awards
X
X
Primary
PI must review and approve
Establish and amend awards in grant management system
Final compliance review
Primary
Primary
(ORPCC*)
Primary
Load budgets into PeopleSoft
Cost center set-up
Process personnel documents to allocate charges
X
Primary
X
Primary
Primary
X
X
X
Principal
Investigator
(PI)
X
Department
Business
Administrator (DBA)
College Research
Administrator
(CRA)
Division of
Research
(DOR)
Primary
DBA can process documents with PI input
Process non-personnel expenditure documents
DBA can process documents with PI input
Effort reporting
Quarterly
Subcontracting activities, including:
> Initiate/develop/register/execute subcontract
PI must have input into this process
> Request PO to encumber subcontract
> Receive, process subcontract invoices
Primary
Primary
DOR receives and processes
> Approve subcontract invoices, identify problems
Primary
X
PI approves work, DBA approves appropriate charge and communicates problems to PI and DOR
uh.edu/research: Responsibilities Matrix
Updated January 2014
3 of 5
RESPONSIBILITIES MATRIX
> Close-out subcontract
X
X
Primary
Primary
X
Primary
X
DBA should report on expenditures
Prepare programmatic/scientific progress reports
Monitor budget v. expenses
With good tools, DBA can monitor budgets and report to PI
Budget revisions, modifications, and no-cost extensions
X
Primary
Primary
X
PI initiates and seeks approval from sponsor if necessary
Maintain compliance protocol approvals and FCOI disclosure
Annually
Review expenditure requests
Primary
X
PI and DBA do the programmatic and financial review
Approve expenditure requests
Primary
DOR does sponsor policy review and approval, when necessary
Identify need for and request cost transfer
Primary
X
PI and DBA identify when a transfer is needed
Approve and process cost transfer
X
Primary
DBA processes the document and DOR approves
Project management, including:
> Preparation/submission of financial status reports
> Preparation/submission of invoices or periodic billing
> Account receivable follow-up
Principal
Investigator
(PI)
X
X
X
Department
Business
Administrator (DBA)
X
X
X
College Research
Administrator
(CRA)
Division of
Research
(DOR)
Primary
Primary
Primary
The circumstances that would require PI or DBA involvement with A/R follow-up should be defined
> Receipt and deposit of checks/fund transfers for DOR projects
> Preparation of letter-of-credit draws
Initiate request for modification, change to grant/contract
Process request to sponsor for project modifications/approvals, such as nocost time extensions, funds carryover
Primary (3)
Primary (3)
Primary
X
X
uh.edu/research: Responsibilities Matrix
Updated January 2014
Primary
4 of 5
RESPONSIBILITIES MATRIX
Closeout activities, including:
> Financial reporting/invoicing
> Programmatic reports
> Intellectual property reporting
> Fixed asset/property reporting
Principal
Investigator
(PI)
X
Primary
X
X
Department
Business
Administrator (DBA)
X
College Research
Administrator
(CRA)
Division of
Research
(DOR)
Primary
Primary (4)
Primary (5)
*OIPM: Office of Intellectual Property Management
*ORPCC: Office of Policies, Compliance and Committees
(1) Completed by Office of Research Development
(2) Office of Contracts and Grants
(3) Via the Division of Administration and Finance
(4) Report completed by OIPM
(5) Report completed by the Property Management Office of the Division of Administration and Finance
uh.edu/research: Responsibilities Matrix
Updated January 2014
5 of 5