Roles & Responsibilities Matrix

This is the guide to roles and responsibilities for externally sponsored projects. There is also a downloadable PDF version of this matrix available by clicking here pdf file.

Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Provide training and outreach to the University Community in areas such as obtaining funding, managing sponsored projects and financial management Primary X X
Prepare and negotiate the F&A cost proposal and negotiates final rates X
Maintain a proposal database X
Maintain an award database Primary X
Identify changes to policies impacting research administration and notify the University Community X X (ORIA)
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Identify database of grant information and make it available to the University community X (ORIA)
Identify external funding opportunities X (ORIA) X X X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Initiate a request for proposal assistance X X
Prepare technical proposal per sponsor guidelines X
Assure that the proposed project is appropriate in nature and scope, and consistent with departmental and institutional mission X X
Assure that the proposed project has qualified personnel and adequate space, if space is required department needs to be notified X
COI completed for all named faculty in the proposal prior to submission X X X
PI collaborates with Academic Unit to draft an adequate and accurate budget to accomplish the scope of work. Ensure the budget complies with guidelines and policies set by the Academic Unit, sponsor, and Mason. X X X
Perform a cost analysis of the proposal budget to verify calculations and compliance with sponsor guidelines and Mason policy X
Prepare sponsor specific forms, including grants.gov application packages, sponsor budget templates, current and pending effort verification, etc. X X
Prepare Representations and Certifications as requested by sponsor X
Request and document approval for cost sharing/matching X X
Approve and provide documentation to OSP for cost sharing/matching X X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Respond to questions or comments throughout the review process. X X X
Finalize proposal budget prior to 4 day internal deadline X X
Prepare budget justification/budget narrative. All expenses need to be addressed and calculated correctly. X
Review and approve F&A cost reductions or waivers X Primary
Provide justification for costs generally considered to be indirect to be charged as direct costs X
Review and approve requests for costs generally considered to be indirect to be charged as direct costs X
Prepare/Negotiate Non-Disclosure Agreements X
Prepare/Negotiate Teaming Agreement X
Negotiate Material Transfer Agreements(MTAs) X
Route proposal budget, budget justification and project description for approval via Workflow, preferably prior X
Approve Proposal Routing Form certifying information provided, including completing mandatory reps & certs. X
Submit Conflict of Interest disclosures X
Approve Proposal Routing Form indicating concurrence with all information and commitments included on form X X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Provide authorized institutional signature on all proposals and awards X
Submit all proposals on behalf of the University as designated by University policy X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Negotiate award documents to ensure award conditions are appropriate for the University X
Agree to all terms and conditions, with emphasis on performance clauses (includes frequency of technical reports, special professional staff hourly reports, deliverables, termination conditions, etc.) in consultation with PI Primary X
Request advanced setup of “At Risk” fund by providing an alternate funding source to guarantee expenses
Review and process requests for “At Risk” funds X
Serves as institutional signatory to execute awards and contracts X
Assign Grant and Fund numbers for sponsored awards X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Prepare and submit protocols for research involving human subjects, research animals, chemical, biological, or radioactive hazards X
Assure that compliance requirements are met on an ongoing basis X
Assure and provide documentation of certifications and representations to sponsor (for approval of research animals, radioactive, and bio-safety hazards following committee approval) X X (ORIA / EHS)
Assure compliance with federal regulations and state statutes regarding disclosure of potential conflicts of interest X X (ORIA)
Assure compliance with export control laws X X (ORIA) X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Provide oversight of sponsored project policies and administration Primary X
Provide oversight and financial management of specific awards
Initiate hiring of personnel and/or complete funding change forms to charge personnel to sponsored project
Review and approve personnel funding change forms and process changes X
Initiate student financial aid stipends and tuition waivers
Review and approve student financial aid stipends, tuition waivers, etc. X
Assure appropriateness, reasonableness and allowability of expenditures
Manage expenditures to not exceed available award balance
Review and reconcile award expenditures on a monthly basis
Review expenditure in certain restricted budget categories and dollar thresholds (e.g. travel, food and beverage, over $2K) on pre and post audit basis X
Initiate requests for rebudgeting, cost transfers and payroll reallocations
Review and process cost transfer journals and reallocations X
Assure timely resolution of overexpenditures and revenue shortfalls including transfer of overexpendituresto nonsponsored funds
Meet monthly to review overspent sponsored funds and receivables outstanding for greater than 90 days X X
Work with PI or Department Administrator on clearing overexpenditures and revenue shortfalls X
Review and process non-monetary modifications (substantial changes should be routed for approval through the Dean’s office) X
Prepare and review sub-agreements X
Monitor and oversee subrecipients as outlined in the University Subrecipient Monitoring Policy X
Prepare and review contract and sub-agreement modifications (in consultation with PI) X
Track cost sharing expenditures with appropriate activity codes
Manage Payroll Certification process including distribution and collection of reports X
Review payroll certification reports and certify salary charged to sponsored projects X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Draw funds on letters of credit and all payment management systems X
Reconciles Cash Accounts X
Prepare and submit invoices to sponsors based on expenditures posted to the Banner Financial System X
Provide additional back-up documentation for Sponsor invoices as required per the terms of the agreement X
Applies all sponsor payments X
Confirms application of payments X
Monitor and pursue the collections of overdue payments due from sponsor X
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Prepare and submit financial reports as required X
Provide additional backup documentation or explanation for expenditures as needed prior to financial report submission X
Provide technical reports and provide other deliverables as required X
Provide invention reports and disclosures X (OTT) X
Provide accounting summary/verification of cost sharing to OSP
Central Administration Academic Unit
OSP Fiscal Services VPR Dean Dept. or Center PI
Prepare and submit financial and closeout reports and documents as required X
Prepare and submit technical closeout reports X
Ensure all appropriate documentation has been submitted and is in the file X
Maintain financial and contract records for three yearsfrom submission of final report X
Maintain project records for three years from the submission of final report X