Responsibilities Matrix
General
| Task | PI | DOM RA | OSP | RGC | OTHER / Dept | NOTES |
|---|---|---|---|---|---|---|
| Provide Authorized Organizational Signatures on requested documents | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable | Items for signature route through DOM RA |
Pre-Award
| Task | PI | DOM RA | OSP | RGC | OTHER / Dept | NOTES |
|---|---|---|---|---|---|---|
| Identify Funding Opportunities | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Notify DOM RA (via intake form) of proposal submissions at least 3 weeks prior to the deadline; longer for proposals with subrecipients and/or cost share | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Maintain Biosketches | x | Not Applicable | Not Applicable | Not Applicable | x | PIs may request their admin assistants to help with this. |
| Provide checklist of proposal requirements, as well as any applicable sponsor guidelines and templates available | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Provide the Subrecipients a proposal checklist of requirements, as well as any applicable sponsor guidelines and templates available | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Ensure Subrecipient documents are received on time and in the proper formats | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Provide all required documents requested for submission | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Generate Facilities for proposal | x | Not Applicable | Not Applicable | Not Applicable | x | PIs may request their admin assistants to help with this. There is also a template on the ORSP website. |
| Provide budget details for budget draft | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Draft official budget, verify base salaries used and appointment types | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Determine if costs meet Cost Accounting Standards (CAS) | x | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Draft budget justification based on final internal budget | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Draft is provided based on final budget and areas are highlighted for the PI to fill in. |
| Complete scope/project specific entries on prepared budget justification | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Format/Compliance Review (font size, margins, all documents required, etc.) | x | x | x | Not Applicable | Not Applicable | PI should provide files in compliant formats, DOM RA will review before sending to OSP for final review and approval. |
| Apply minor formatting edits to non-technical documents (facilities, budget, justification, biosketches, etc.) - (when provided in Word Docs by the deadline requested) | x | x | Not Applicable | Not Applicable | x | PIs may request their admin assistants to help with this. |
| Apply minor formatting edits to non-technical documents (facilities, budget, justification, biosketches, etc.) - (when provided in PDF) | x | Not Applicable | Not Applicable | Not Applicable | x | PIs may request their admin assistants to help with this. |
| Apply requested edits to the research strategy/technical files | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Disclose compliance elements (human subjects; animal use; biohazards, etc.) | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Disclose any IP | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Complete eDisclose | x | Not Applicable | Not Applicable | Not Applicable | x | Any key personnel |
| Determine type of application (research, instruction, etc.), which drives F&A rate. | x | Not Applicable | Not Applicable | Not Applicable | x | Occasionally may require OSP to weigh in. DOM RA can provide guidance documents. |
| Notify Pre-Award Admin of changes in project title, period of performance, or compliance items since initial intake form completion | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Review all EPEX responses during proposal routing and notify Pre-Award Admin if any changes are made or need to be made | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Review all Cayuse form responses during proposal routing and notify Pre-Award Admin if any changes need to be made. | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Final approval to submit | x | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable |
| Proposal Submission | Not Applicable | x | x | Not Applicable | Not Applicable | Electronic systems are submitted through OSP; Email submissions are submitted through DOM RA after obtaining OSP approval. |
| Just-in-Time and other administrative tasks prior to award execution (ex: budget revisions, etc.) | x | x | x | Not Applicable | Not Applicable | Significant collaboration of all three groups. |
| Submit for and obtain compliance protocols (IRB, IACUC, Biosafety, etc.) and send to DOM RA for documentation. | x | Not Applicable | Not Applicable | Not Applicable | x | Collaboration of PI and study team. |
| Ensure compliance protocols (IRB, IACUC, Biosafety, etc.) are documented when processing new awards. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Prepare progress reports (RPPRs, etc.) | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Request Other Support files timely that are necessary for RPPR (as early as feasible, no less than 2 weeks prior to the due date) | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | DOM OS files will go to DOM OS Coordinator, External RAS and Subrecipient Other Support files need to be directed appropriately by the Pre-Award admin. |
| Review progress report in full, including confirming OS and All Personnel person months match. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Respond to Sponsor Inquiries | x | x | x | Not Applicable | Not Applicable | Significant collaboration of all three groups. |
| Disclose private consulting for services performed outside of the PI's Emory appointment. | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | PI must report through eDisclose |
| Process Material Transfer Agreements (MTAs), Non Disclosure Agreements (NDAs), Data Use Agreements (DUAs) that are NOT related to a sponsored project | x | Not Applicable | Not Applicable | Not Applicable | x | PI should submit directly to OTT via Emory contractConnect. |
| MTAs, NDAs, or DUAs that are connected to a pending or active sponsored project | x | Not Applicable | x | Not Applicable | Not Applicable | PI should forward to the OSP Contracts team for review and signature. |
Post-Award
| Task | PI | DOM RA | OSP | RGC | OTHER / Dept | NOTES |
|---|---|---|---|---|---|---|
| Notify DOM RA of incoming awards | x | Not Applicable | x | Not Applicable | x | Award receipt may be the first notification |
| Obtain compliance protocols (IRB, IACUC, Biosafety, etc.) | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Negotiate and Execute Awards | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable | OSP coordinates this effort with DOM RA (represents PIs) |
| Initiate award triggered eDisclose report and approval to proceed | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable |
| Review executed awards and Compass budget for accuracy | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Notify PI and DA of received eNOAs, award terms, and speedtypes. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Ensure compliance protocols (IRB, IACUC, Biosafety, etc.) are documented when processing amendments. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Request revised subrecipient documents, as applicable, to intiate subagreements from prime award. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Execute subrecipient agreeements | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable |
| Complete financial transactions to allocate effort of project personnel as budgeted on awarded budget | Not Applicable | x | Not Applicable | Not Applicable | x | DAs should make all EDCs within two business days or DOM RA can complete if timely update is not made (EU only, DOM RA cannot update TEC effort distributions). |
| Determine and monitor overall faculty effort across all projects. | x | Not Applicable | Not Applicable | Not Applicable | x | Not Applicable |
| Notify DOM RA of changes in effort from what was awarded. | x | Not Applicable | Not Applicable | Not Applicable | x | Not Applicable |
| Monitor effort and expenditures | x | x | Not Applicable | Not Applicable | x | Bi-monthly expenditure reviews are sent by post-award RAs. |
| Certify effort on sponsored projects | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Provide details for post-award budget revisions or carryover | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Draft official budget, verify base salaries used and appointment types for revised budgets/carryover requests/NCE budgets | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Determine if costs meet Cost Accounting Standards (CAS) | x | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Draft budget justification based on final internal budget for any budget revisions or NCE budgets required at post-award stage | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Complete scope/project specific entries on prepared budget justification | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | PI reviews for technical piece, DOM RA reviews for period, dollar amount, allowable expenses, etc. |
| Review Subrecipient Invoices | x | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Requests POs for consultants, as applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Requesting No-Cost Extensions | x | x | x | Not Applicable | Not Applicable | PI requests NCE and routes through DOM RA for submission or for OSP to submit. |
| Submit Journals/RSTs, as applicable on sponsored awards | Not Applicable | Not Applicable | Not Applicable | Not Applicable | x | Not Applicable |
| Notify DOM RA of upcoming progress reports due | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | DOM RA should have calendar ticklers setup, but faculty are ultimately responsible for ensuring the progress reports are in the queue for submission. |
| Prepare Technical Portion of Progress Reports | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Prepares All Personnel section of NIH progress reports | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Prepares DOM/FPM Other Support/Current and Pending documents, as requested | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Other Support Coordinator starts the document and sends to the PI and post-award adminsitrator for updates and formatting to the active section. PI final approval and signature required. |
| Confirm All Personnel and OS person months match before sending to pre-award. | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Submit Progress Reports | Not Applicable | Not Applicable | x* | Not Applicable | Not Applicable | *Occasionally a portal will require PI submission. |
| Prepare Financial Reports | Not Applicable | x | Not Applicable | x | Not Applicable | Depends on the sponsor; RGC closeout team prepares all final financial reports. PI/Project teams will need to approve prior to submission. |
| Submit Financial Reports | Not Applicable | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable |
| Prepare and submit invoices | Not Applicable | Not Applicable | Not Applicable | x | x* | *Most clinical trials are invoiced through OCR. Occasionally there will be a dept to invoice situation where DOM RA handles, but this should be rare. |
| Initiate Prior Approval requests | x | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Submit Prior Approval requests | Not Applicable | Not Applicable | x* | x* | Not Applicable | *OSP submits prior approval requests in GrantSolutions and also NCEs for eRA Commons. |
| Initiate Closeout Activities | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Suspense Clearing | Not Applicable | x | Not Applicable | Not Applicable | x | Significant collaboration between the two groups. |
| Effort Pre-Review | Not Applicable | x | Not Applicable | Not Applicable | Not Applicable | Not Applicable |
| Effort Certification | x | Not Applicable | Not Applicable | Not Applicable | x | PIs are ultimately responsible for certifying their effort. Some adminstrators review the forms with the faculty prior to certification. Divisions are responsible for working with their faculty and staff to ensure all certifications are completed. DOM RA will provide regular reports. |
| Complete Project Closeout (including final FFR or final invoice) and inactivate spending on speedtype | Not Applicable | Not Applicable | Not Applicable | x | Not Applicable | Not Applicable |