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U Research Award Lifecycle Roles & Responsibilities

The U Research Office partners with stakeholders across the institution to support and steward sponsored awards throughout the award lifecycle. These collaborative touchpoints help ensure effective administration, financial stewardship, and regulatory compliance from proposal development through award closeout.

The charts below identify the individual(s) or unit(s) responsible at each stage in the research administration process. Please note that some colleges offer similar services; check with your unit and area for other resources that may be available.

Roles and Responsibilities Key

R Responsible. Those who complete the task.
A Accountable. The one ultimately answerable for the correct and thorough completion of the deliverable or task; the one who ensures the prerequisites of the task are met and who may delegate the work to those responsible.
C Consulted. Those whose opinions are sought, typically subject-matter experts, and with whom there is two-way communication.
I Informed. Those who are kept up-to-date on progress, often only on completion of the task or deliverable, and with whom there is just one-way communication.
* External factors may change the outcome of this listed activity.

Department Acronym Key

PI
Principal Investigator
TLO
Technology Licensing Office
LIFT
Large Infrastructure Funding Team
OSP
Office of Sponsored Projects
RMC/GCA
Research Management & Compliance - Grant & Contracts Accounting
RMC/RCCP
Research Management & Compliance - Research Costing & Compliance
ORIC
Office of Research Integrity and Compliance
OACC
Office of Animal Care and Compliance
COI
Conflict of Interest
IBC
Institutional Biosafety Committee
IRB
Institutional Review Board
RSO
Research Security Office
EHS
Environmental Health and Safety
DEPT/DIV/ADR
Departmental/Divisional Liasons/Associate Deans for Research
VP
Vice President

 

  • Functional Area / Task PI Pre-Award Office OSP ORIC DEPT/DIV/
    ADR
    Gathers and reviews information on funding programs--private and governmental--that award grants and contracts to support scholarly, instructional, and community service activities; keeps abreast of agency interests and funding patterns. A* R C* R, I R
    Disseminates information on funding programs and sponsors to appropriate university personnel, by means of an email notification system and its newsletter A R R
    Performs database searches for funding opportunities and fellowships on behalf of faculty, graduate students, and staff A R
    Subscribes to web-based services, providing grants databases, grants newsletters, and the Community of Science/Scholars to the university community A R R, I
    Supplies application forms, guidelines, grant program announcements, requests for proposals, and program interests to faculty, students and staff A R R, I
    Provide expert guidance on funding opportunities A R R, I
  • Functional Area / Task PI Pre-Award Office OSP DEPT/DIV/
    ADR    		 Dean/VP
    Furnishes proposal development services such as workshops on proposal writing and grant administration, meetings with visiting agency personnel, and feedback on proposals A R
    Ensure commitment of each investigator time does not exceed a total combined effort above 12 person months or 100% FTE for all sponsored project activity A R I
    Ensures all proposal development activities are funded on appropriate allowable funding sources R R A
    Develop and revise technical narrative A R
    Develop and revise budget A C R
    Provide guidance to PI on proposal preparation R R R R
    Provide guidance to departments on proposal preparation R R

     

  • Functional Area / Task PI OSP DEPT/DIV/
    ADR
    Mail/submit proposals to sponsors A R C
  • Functional Area / Task PI OSP ORIC DEPT/DIV/
    ADR    		 Dean/VP
    Review and approve before sending proposal to OSP A R C
    Proposed project fits within academic framework and resources R A
    Requirements for new or renovated facilities/space have been discussed with the appropriate people R A
    Conflict of Interest Requirements have been met and addressed A C R, A, I C I
    All regulatory compliance activities, if any, are understood and will be managed appropriately R R, A, I R A
    Provide institutional review of proposal A
    Identify cost sharing R A
    Review proposed cost sharing for compliance with terms and conditions and approve proposed cost sharing A R
    Determine the appropriateness of the grantee R R R
    Make revisions and corrections to proposal after institutional review A R
    Provide institutional approval of proposal A
    Record proposal information for tracking A
  • Functional Area / Task PI Pre-Award
    Office    		 OSP RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Identify need / opportunity for advance accounts A R C C
    Complete and route advance account request A R
    Approve advance account A R
    Enter advance account in Peoplesoft system A R R
  • Functional Area / Task PI OSP RMC/RCCP DEPT/DIV/
    ADR    		 Dean/VP
    Receive notification of grant or contract award I I I I I
    Send notification to department and other administrative departments A A
    Negotiate terms and conditions with sponsor A A
    Review and approve terms and conditions A A
    Prepares and executes standard agreements, subcontracts, and other agreements related to extramural funding A A
  • Functional Area / Task OSP RMC/GCA
    Core Finance    		 RMC/RCCP
    Record award information for tracking A I
    Prepare award summary documents A
    Establish accounts in central database and code accounts for budget allocations, funding mechanisms indirect costs, and other fiscal-related codes A
    Activate project number A
    Upload budget to budgetary ledger A
  • Functional Area / Task PI Pre-Award OSP RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance
    Receive award document and notify PI / Award Manager of award receipt A R R
    Review the Notice of Grant Award / award document I R R
    Log incoming award document via eAward and/or OnBase A R R
    Perform initial compliance checks A R R
    Identify barriers to set-up and route to appropriate parties for resolution A R R
    Negotiate and approve project terms and conditions A R R
    Resolve any institutional barriers to setup (commitment, risk, etc.) R R R
    Complete PeopleSoft Award record R R
    Setup budget in PeopleSoft R R
  • Functional Area / Task PI Pre-Award Office OSP
    Confirm need for outgoing subcontract (at notification of new award receipt) A R
    Assemble complete outgoing subaward packet (scope of work, budget, budget justification, etc.) R
    Initiate / Request Purchase Order R
    Perform subrecipient risk assessment and determine risk level R
    Determine additional controls for subawards above a normal risk level R
    Draft and negotiate subaward R R
    Review escalated terms / negotiations outside of standard institutional guidelines R R
    Route document for execution / signature R R
    Sign / execute agreement. R R
    Upload and attach final executed subaward R R
    Notify stakeholders of finalized agreement and monitoring responsibilities I R R
  • Functional Area / Task PI OSP RMC/RCCP DEPT/DIV/
    ADR    		 Dean/VP
    Develops an overall plan for the commitment of grant and contract funds, working with the authorized person(s) in the department, school or college,, and consults other University officers as appropriate A C, I
    Establishes systematic procedures in the department, school or college, for supervision of grant and/or contract accounts C C R A
    Provides administrative support for the management of grant or contract accounts R A
    Central fiscal administration for grants and contracts, cooperative agreements, sub-contracts, and financial assistance agreements negotiated with federal, state, and private sponsors. This body of work includes non-clinical invoicing, reporting, receivables and cash management and closeout C A C
    Track carryforward and any sponsor requirements to utilize in future budget periods A R R
    Clinical invoicing C A A
    Maintain central internal systems for monitoring status of all sponsored projects, for receivables, overdrafts, revenue, effort certification, cost sharing, letters of credit, electronic funding, and financial reporting A
    Approves all expenditures requests to be charged against the grant or contract account A
    Review and approve expenditures for allowability and allocability A R
    Review and manage all sponsor Salary Cap requirements (Also see UofU Institutional Base and Salary Cap) A R R
    Retain documentation to support allocation of expenditures A
    Spot check the allowability and allocability of expenditures A R
    Reviews, on a regular basis, the grant or contract account expenditures with appropriate departmental, college, or newer campus administrator(s) A C
    Coordinate issue resolution with sponsors A A
    Initiate internal award change requests to RMC A R
    Approve internal award change requests A
    Initiate award change requests that require sponsor approval A R
    Submit award change request to sponsor for approval A I
    Process award changes A A
    Certifies cost sharing A
    Track cost sharing A I R C
    Prepare trainee appointment documents (such as NRSA appointment documents) A
    Review and submit agency appointment documents A
    Reconcile accounts on a monthly basis A
    Periodically notify departments of overdraft accounts A I I
    Produce exceptions report and contacts department A I
    Resolve issues on the exception report A R
    Oversee the resolution of items on the exception report A
    In the absence of timely action by department, unilaterally removes unallowable expenses and overdrafts from awards A I
  • Functional Area / Task PI OSP RMC/RCCP ORIC DEPT/DIV/
    ADR
    Obtain proposal documents (SOW, budget, Letter of Support, etc.), from subrecipient and review for applicability at proposal stage A R
    Prepare and submit subaward initiation sheet and proposal documents to OSP once prime award is funded A R
    Review and verify subaward initiation sheet and proposal documents A
    Run Visual Compliance check and initial financial risk assessment on subrecipient organization and PI A C
    Draft and negotiate subcontract agreement, including incorporation of applicable Attachments A
    Review completed subcontract and translate into post-award systems A
    Federal Funding Accountability and Transparency Act (FFATA) Reporting A
    Annually review the subcontractor’s most current audit document, monitor for risk and follow up on any findings A
    Communicate findings to OSP for consideration in future partnerships I A I
    Draft and issue management decision letters (MDL) to subawardees as appropriate; follow up on corrective action plans (CAP) I I A I
    Process and approve subcontract invoices for payment, including review for allowability A C R
    Review technical/progress reports to ensure progress is sufficient A I R
    Submit copy of property, invention and cost-share reports to RMC A R
    Desk audits and/or site visits A C R R
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 RMC/RCCP DEPT/DIV/
    ADR
    Receive subaward invoice A R R
    Perform invoice review to confirm period of performance, budget and financial reconciliation A R R
    Perform invoice review to approve that work done by subcontractor is satisfactory and aligned with financial invoice A R C
    Audit invoice receipt, approval, and payment to ensure PI concurrence and subawardee compliance with terms of agreement. A R
    Perform recurring monitoring tasks for high-risk subawards aligned with associated risk mitigation plan A R
    Conduct annual risk assessment (including review of Single Audit) and identify required risk mitigation strategies (additional controls) A R
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Identify a purchasing need on a research project A R
    Initiate requisition, PO, process travel reimbursement or other corresponding transaction A R R R
    Review and approve transactions on sponsored project IDs. A R
    Compile / document justification and supporting materials if necessary. A R R
    Review and approve for allowability and completeness of documentation (high risk) A R R A, C, I
  • Functional Area / Task RMC/GCA
    Post-Award    		 RMC/RCCP DEPT/DIV/
    ADR
    Identify need for cost transfer R R
    Compile / document justification and supporting materials for cost transfer request R
    Review and approve justification for allowability (low risk) R R
    Escalate / route high-risk transfer requests and paperwork for added approvals R R
    Review and approve for justification of timeliness (late transfers > 120 days) R R
    Review and approve for allowability and completeness of documentation (high risk) R
    Review and approve cost transfer for financial / PeopleSoft R
    Process cost transfer in PeopleSoft using an eJournal. R
  • Functional Area / Task PI Pre-Award Office RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 RMC/RCCP DEPT/DIV/
    ADR
    Initiate time and effort planning and setup conversations during regular cadence of quarterly financial review meetings C R
    Identify any over-the-cap considerations or prior-approval considerations C R C
    Document all planned effort estimates of PI and all research project personnel for upcoming quarter R
    Enter project effort distribution into ePar based on planned estimates R
    Review effort certification forms on a quarterly basis R R
    Distribute effort certification forms on a quarterly basis to certifiers R
    Secondary review by effort certifier A R
    Revise effort form based on actual estimates as needed A R
    Certify effort on a quarterly basis A R
    Escalate instances of non-compliance R
    Alert sponsor of effort variations greater than 25%, if required. R R
    Communicate required revisions to planned estimate based on actual estimates R R
    Calculate required financial adjustment due to estimate change R R
    Affirm cost transfer is allowable and appropriate C R C R
    Complete labor cost transfer request if cost transfer is allowable and appropriate R
    Sign labor cost transfer request to accept financial and oversight accountability R C
    Review & approve Labor Cost Transfer for adequacy of justification and documentation (low risk transfer) R C
    Review & approve Labor Cost Transfer for adequacy of justification and documentation (high risk transfer) R R
    Approve and process Labor Cost Transfer (all risk levels) R C
    Review & approve Labor Cost Transfer (for late transfers) to identify investigator trends R R
    Verify financial accuracy of labor cost transfer R R
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Expenditure Reconciliation R
    Review expense ledgers on a monthly basis R R
    Identify issues requiring resolution R R
    Review expenses during monthly / quarterly check-in I R
  • Functional Area / Task RMC/GCA
    Core Finance
    Prioritize monthly reconciliations based on award's invoice type R
    Review and reconcile ledger (revenue expenses, indirect costs, receivables, cash) based on award interval R
    Identify any necessary corrections required R
    Perform necessary journals or corrections required in PeopleSoft R
    Complete invoicing activities in line with invoicing type R
    Complete reporting activities in line with Utah or granting agency requirements (Financial) R
  • Functional Area / Task RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Query data from Payment Management System or respective draw system R
    Query data from PeopleSoft R
    Complete workbook to reconcile PMS to PeopleSoft and document discrepancies / resolution R
    Facilitate issue resolution to appropriate owner R
    Provide input into any reconciliation discrepancies R R
    Populate letter of credit draw request via PMS R
    Prepopulate corresponding PeopleSoft receivable by Project R
    Review and ensure reconciliation of workbook, PMS and PeopleSoft R
    Approve / execute and draw FFR in PMS R
    Finalize / create PeopleSoft Project-level receivable R
    Save / retain documentation of draw to OnBase R
  • Functional Area / Task PI RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Run PeopleSoft Billing process to generate / issue cost reimbursable (non-LOC) invoices R
    For non-standard invoices, populate in sponsor template, as required R
    For non-standard invoices, gather supporting documentation, as required R
    Provide supplementary supporting documentation, if requested A R
    Send manually generated invoices to sponsor R
    Save all invoice documentation to OnBase R
    Monitor volume/status of all cost reimbursable invoices and perform Q/A sampling R
  • Functional Area / Task RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Pull Milestone data from Clinical Conductor during monthly review R
    Generate receivable for billable item R
    Prepare and issue invoice R
    Save invoice documentation to electronic folder R
    Escalate studies with extended periods of minimal / no activity R
    Record invoice in PeopleSoft R
    Non-Clinical - Milestone Invoicing R
    Collect milestone data from study team R
    Contact GCO to determine if non-clinical milestones have been achieved R
    Provide details regarding non-clinical milestone process and supporting documentation R
    Create receivables in PeopleSoft that align with Excel template/milestones during monthly reconciliation process R
    Generate / issue invoices as required R
    Save invoice documentation to OnBase R
  • Functional Area / Task RMC/GCA
    Core Finance
    Generate receivable for billable item R
    Prepare and issue invoice R
    Save invoice documentation to Onbase R
    Escalate studies with extended periods of minimal / no activity R
    Record invoice in PeopleSoft R
  • Functional Area / Task RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Create receivables in PeopleSoft that align with Excel template/milestones during monthly reconciliation process R
    Run invoice on schedule to release funds in PeopleSoft R
    Save invoice documentation to electronic folder R
    Review unapplied payments to determine if any are associated with the newly created receivable R
    Net Asset Roll Forward reporting R
    Cash Receipting, Application and Management R
    Receive and deposit payment (check or wire) R
    Perform initial review of deposits/payments and apply against receivables R
    Post unidentified payments against the sponsored projects suspense / unapplied account R
    Update inventory of unapplied payments (for review) R C
    Review suspense account/inventory of unapplied payments to identify payments (during monthly reconciliation) R
    Review and troubleshoot remaining unidentified payments R
    Provide insight / assistance to identify unapplied payment (as requested) R R
  • Functional Area / Task PI RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Manage cash (handling of checks, etc.) A
    Produce and record a letter of credit draw request based on the disbursement of cash for expenses of awards for a specific period of time for a specific funding agency A
    Monitor and pursue the collections of overdue payments from sponsors C A C
    Identify aged outstanding payments (during monthly reconciliation) R
    Incorporate past due amount on subsequent invoice; continue on subsequent invoices R
    Initiate collections communication for aged (<90 day) receivable to sponsors R
    Track collection efforts via central documentation procedures R
    Communicate aged receivables to other stakeholders (Research Administration, PI and Leadership) R
    Initiate collections communication for aged (>60 day) receivable to sponsors C R
    Collaborate on collection plan until payment receive or stop work/write-off A R R
    Track, document and manage escalated collection procedures and follow-up tasks R
  • Functional Area / Task Pre-Award Office RMC/GCA
    Post-Award    		 RMC/RCCP
    Develop and distribute initial financial reconciliation of expenses / unobligated balance for interim reports based on award R
    Prepare financial reconciliation to support final reportable expenses and invoice R
    Provide financial reconciliation / final reportable expenses and supporting back-up documentation attached R
    Post cost transfers to PeopleSoft to reflect final reportable expenses R R
    Submit interim reports R
    Submit no cost extensions R
    Submit final report once concurrence is reached / by sponsor deadline R
  • Functional Area / Task PI RMC/RCCP DEPT/DIV/
    ADR
    Prepare and distribute effort certification reports A R
    Obtain necessary supervisory reviews and approvals and complete the document A
    Certifies, or has someone with first-hand knowledge of her/his effort, certify her/his effort and the effort of other employees working on her/his project via the University's Effort Certification System A
    Review effort certification reports completed by PI's or designee A
    Resolve problems or follow up on certifications not submitted A
    Complete necessary adjustments to award charges and/or payroll distribution A
    Retain/store the documentation supporting the certification process A R
  • Functional Area / Task PI RMC/RCCP DEPT/DIV/
    ADR    		 Dean/VP
    Identify close-out situations A
    Determine whether there are unresolved items that need to be resolved before closing account and communicate to impacted parties A R
    Ensure expenditures/cost transfers have been posted to accounts A I R
    Resolve issues related to unreconciled accounts R A
    Oversee the resolution of unreconciled accounts and make necessary entries for accounts that are past closeout period A
    Prepare and submit financial reports, invoices, property reports, and patent reports in accordance with award terms and conditions A
    Ensure that all technical reports have been submitted to sponsor A
    Ensure that all final invention reports have been submitted to sponsor A I R
    Ensure that the Office of Sponsored Projects has submitted all patent reports to sponsor A
    Inactivate award account(s) in financial accounting system A
    Maintain official award documents for sponsored projects A
    Assumes accountability for overdrafts, deficits, uncollectibles, and/or disallowances that occur under a grant or contract account A R
    Consults with principal investigator concerning the resolution of an overdraft, deficit, uncollectible, and/or disallowance incurred under a grant or contract account and is responsible for settling the problem. In the case of uncollectibles and/or disallowances it may be necessary to communicate with RMC for assistance in obtaining an appropriate resolution R A
  • Functional Area / Task PI Pre-Award Office RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 DEPT/DIV/
    ADR
    Perform PeopleSoft closeout financial adjustments (revenue transfers, invoicing clean-up, etc.) R
    Initiate financial closeout checklist (beginning 90 days prior to award end date) R
    Close all open POs C R
    Update the Labor Distribution Template R
    Confirm expenditures are finalized and equal final report / invoice totals A R
    Confirm final $0 balance after final payment R C R
    Freeze PeopleSoft expenditure activity R
    Manage review and approval for award closeouts for greater than $25 overspent R
    Inactivate PeopleSoft Project ID R
    Monitor the project to ensure new transactions are not posted R
    Submit final technical report/deliverable to sponsor A R
  • Functional Area / Task OSP RMC/RCCP ORIC Dean/VP
    Management and oversight of the Institutional Review Board (IRB) R, A
    Management and oversight of the Institutional Animal Care and Use Committee (IACUC) R, A A
    Management and oversight of the Institutional Biosafety Committee (IBC) R, A
    Management and oversight of Radioactive Materials and Radiation Producing Machines
    Management and oversight of the Conflict of Interest Committee R, A
    Management and oversight of the Sub-Recipient Monitoring Program R A I
  • Functional Area / Task PI EHS
    Has knowledge of institutional, local, state, and federal environmental health and safety policies applicable to research A R
    Includes maintaining inventory of materials, safety, standard operating procedures, manages equipment, internal and external inspections, supervising, required training, reporting, and communication A R
  • Functional Area / Task PI OSP ORIC DEPT/DIV/
    ADR    		 Dean/VP
    Know and comply with UofU Conflict of Interest policies A A I A A
    Disclose conflicts of interest and time commitment as required by institutional officials and federal agencies A I
    Comply with any special conditions placed on investigator's role in a project in order to manage, reduce or eliminate a conflict of interest A C R C
    Report, annually, any changes to financial relationships affecting research A C
  • Functional Area / Task PI LIFT Pre-Award Office OSP RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 RMC/
    RCCP    		 ORIC OACC IBC IRB EHS DEPT/
    DIV/
    ADR    		 Dean/
    VP
    Has knowledge of and complies with any and all federal, state, and University laws, regulations, policies and practices pertaining to HRS and EO A R R R R R R R R R R R R R
    Management and oversight, including all NIH, NSF, and other sponsor harassment policies A R R
  • Functional Area / Task PI ORIC
    Adhere to federal regulations, state and local laws, institutional policies, and UofU procedures regarding the safety and protection of human subjects A R
    Includes IRB approval, communication, reporting, recruitment, consent, document management, supervising, training, etc A R
    Prepares and submits human subjects research applications (HSRA) or changes in accordance with federal regulations and university and sponsoring agency policies and procedures. Ensures no research involving human participants begins prior to IRB approval A R
    Submits proposed changes to the HSRA for approval as required and assures that changes are not implemented prior to approval A R
    Reviews protocol at inception and as required thereafter for completeness, accuracy, and improvement opportunities A R
    Ensures the approved HSRA(s) are congruent with the human participant related research described in their grants A R
    Verifies that protocol complies with the terms and conditions of the award and that Institutional Review Board (IRB) protocol approval is in place prior to the start of research A R
    Reports deviations, adverse events, potential non-compliance or unanticipated problems associated with an approved protocol to the IRB A R
    Conducts research in accordance with current, approved human subjects research protocol for the duration of the sponsored project A R
  • Functional Area / Task PI OACC
    Adhere to all federal regulations, PHS policy, state and/or local laws, institutional policies and IACUC procedures regarding humane care and use of animals A R
    Includes IACUC approval, communication, reporting, document management, required training, etc A R
    Bottom line = Responsible use of animals in research A R
    Prepares and submits animal subjects approval forms (ASAFs) or changes in accordance with federal regulations and university and sponsoring agency policies and procedures. Ensures no animal related research begins prior to IACUC approval A R
    Submits proposed changes to the ASAF for approval as required and assures that changes are not implemented prior to approval A R
    Reviews protocol at inception and as required thereafter for completeness, accuracy, and improvement opportunities A R
    Ensures the approved ASAF(s) are congruent with the animal related research described in their grants A R
    Verifies that protocol complies with the terms and conditions of the award and that Institutional Animal Care and Use Committee (IACUC) protocol approval is in place prior to acceptance of award and the start of research A R
    Reports serious violations of approved protocol or any unanticipated adverse outcomes to the IACUC A R
    Conducts research in accordance with current, approved animal studies protocol for the duration of the sponsored project A R
  • Functional Area / Task PI IBC
    Adhere to federal regulations (i.e. NIH guidelines, BMBL), state and local laws, institutional policies, and UofUprocedures regarding the safety and protection of using potentially biohazardous materials A R
    Obtain approval from Institutional Biosafety Committee prior to conducting research using recombinant DNA or infectious disease A R
    Issues also related to proper use of techniques, facility approvals, communication, reporting, training, complying with policy, etc A R
    Ensure that incoming MTA's involving recombinant DNA or infectious agents receive approval from the Institutional Biosafety Committee A R
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 DEPT/DIV/
    ADR
    Identify the need to bill I A C
    Create and submit the invoice A
    Provide institutional approval A
    Track submission of invoices A
    Department approval and signoff on final invoice A R
  • Functional Area / Task PI Pre-Award
    Office    		 OSP RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 RMC/
    RCCP    		 ORIC EHS DEPT/DIV/
    ADR    		 Dean/
    VP
    Provide training to the research community regarding changes to policies and regulations A A A A A A R R R R
  • Functional Area / Task PI OSP DEPT/DIV/
    ADR
    Identify the need for submission of a technical report A R
    Prepare and approve technical reports A
    Submit technical reports to sponsor R A
    Maintain and track the submission dates of the official copy of the technical report A
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 DEPT/DIV/
    ADR
    Identify the need for submission of a financial status report A R
    Prepare financial status reports A R
    Obtain agreement from PI or department on final figure A R
    Submit financial status reports to sponsors A R
  • Functional Area / Task PI RMC/GCA
    Post-Award    		 DEPT/DIV/
    ADR
    Identify program income A R
    Notify RMC of any program income (such as revenue from sales and services of goods developed in conjunction with a sponsored project) A R
    Post program income to appropriate account code C A
    Report program income on financial status report A
  • Functional Area / Task PI ORIC
    Adhere to federal regulations, state (i.e. broadscope license) and local laws, institutional policies, and UofU procedures regarding the safety and protection of using potentially biohazardous materials A R
    Disclose use of radioactive material A
    Follow the safety procedures outlined for materials that contain radioactivity A
  • Functional Area / Task LIFT Pre-Award
    Office    		 OSP RMC/GCA
    Post-Award    		 RMC/GCA
    Core Finance    		 RMC/
    RCCP    		 ORIC
    Store all relevant policies/regulations either in hard copy or electronic format A A A A A A A
    Monitor and update documents for changes A A A A A A A
    Communicate changes to UofU personnel A A A A A A A
    Retrieve policies/regulations as needed A A A A A A A
    Interpret regulations, policies, and procedures A A A A A A A
    Develop UofU policies and procedures A A A A A A A
  • Functional Area / Task PI RMC/RCCP DEPT/DIV/
    ADR
    Comply with circulars and sponsor conditions for compliance at the transaction level A C R
    Coordinate the Single Audit and agency reviews for the entire University A R
  • Functional Area / Task PI OSP
    Agree to disclose inventions to the UofU under the University's policy on Intellectual Property (IP) A
    Ensure compliance with University IP Policy and Federal patent regulations by project personnel A
    Initiate invention disclosure process, obtains appropriate signatures & files Invention Disclosure Form with UofU. Important to make a comprehensive disclosure, includes: Funding sources, prior obligations, prior art knowledge, etc A
    Maintain confidentiality A
    Assist in invention evaluation & marketing invention to industry A
    Preserve & maintains primary data related to inventions A
    Secure a Material Transfer Agreement, approved by UofU and OSP, prior to transfer of research-related materials A R
    Disclose activities in annual review A
    Complete invention portion of Continuing Grant Applications and Final Invention Report A

RACI Roles and Responsibilities Key

Responsible (R) those who complete the task
Accountable (A) the one ultimately answerable for the correct and thorough completion of the deliverable or task; the one who ensures the prerequisites of the task are met and who may delegate the work to those responsible
Consulted (C) those whose opinions are sought, typically subject-matter experts, and with whom there is two-way communication
Informed (I) those who are kept up-to-date on progress, often only on completion of the task or deliverable, and with whom there is just one-way communication
* External factors may change the outcome of this listed activity.

Departments and Acronyms

PI:
Principal Investigator
TLO:
Technology Licensing Office
LIFT:
Large Infrastructure Funding Team
OSP:
Office of Sponsored Projects
RMC/ GCA:
Research Management & Compliance - Grant & Contracts Accounting
RMC/RCCP:
Research Management & Compliance - Research Costing & Compliance
ORIC:
Office of Research Integrity and Compliance
OACC:
Office of Animal Care and Compliance
COI:
Conflict of Interest
IBC:
Institutional Biosafety Committee
IRB:
Institutional Review Board
RSO:
Office of Research Security
EHS:
Environmental Health and Safety
DEPT:
Departmental / Divisional Liasons /Associate Deans for Research
VP:
Vice President