Roles and Responsibilities

Proposal and Award
Roles and Responsibilities Matrix

The development and submission of proposals, execution and administration of awards, and the conduct of research at UC Riverside involves many people - it is truly a team effort. While there are important variations from School to School, College to College, and Department to Department as to who may perform a given activity within the life cycle of an award, the matrix below identifies the individual(s) having responsibility for such research administration activities.

  • Identification of Funding Opportunities

    Identification of Funding Opportunities

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Identify funding opportunities (For Example: PIVOT and GrantForward) X   X       X  
    Understanding of solicitation guidelines X X X     X X  
    Provide guidance on funding opportunities   X X     X X  
    Limited Submissions             X  
  • Proposal Preparation

    Proposal Preparation

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Write technical narrative X              
    Identify subrecipients/consultants, and request their budget/budget justification, statement of work, etc. X X            
    Develop UCR’s budget and budget justification X X            
    Identify the need for any cost sharing X X            
    Initiate, confirm source(s) of cost sharing, and obtain cost sharing commitment. X              
    Provide approval of cost sharing requests       X X      
    Evaluate requests for F&A exceptions/waivers or reductions           X    
    Coordinate facility/space arrangements X     X X      
    Provide expert guidance on proposal preparation   X X     X X  
    Provide input for the proposal within the Kuali Research Proposal Development module (PD) and route proposal for approval X X   X X      
  • Regulatory Requirements

    Regulatory Requirements

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Complete compliance forms: Institutional Review Board, Animal Care and Use, Biohazardous Use, Stem Cell Use, Dual Use Research of Concern (as applicable). X              
    Complete conflict of interest disclosure(s) within the Kuali COI module. X              
    Verify completion of conflict of interest disclosure form(s) and facilitate institutional oversight.           X    
  • Proposal Review and Approval

    Proposal Review and Approval

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Confirm that proposal adheres to sponsor requirements (e.g., text, margins, font, etc.). Department reviews with sufficient lead time. X X            

    Review proposal before sending proposal to Sponsored Programs.  Department and Grant Facilitators review with sufficient lead time.

    X X X       X  
    Verify that mandatory cost sharing is captured. X X            
    Review proposed cost sharing for appropriateness.   X     X X    
    Conduct programmatic review of proposal. X              
    Conduct alignment review of proposal, budgets, and budget justification. Department reviews with sufficient lead time. X X            
    Certify/approve proposal within the Kuali Research Proposal Development module (PD). X X   X X X    
    Provide institutional review and final approval of proposal on behalf of The Regents.           X    
    Retain copy of proposal (record of retention). X X       X    
  • Proposal Submission

    Proposal Submission

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Send proposal to sponsors after institutional approval is obtained from authorized signatory within Sponsored Programs Administration. X         X    
  • PreAward Spending

    PreAward Spending

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Identify the need for PreAward spending X X            
    Request PreAward Spending via a Kuali Build PreAward Spending Request form. X X            
    Obtain Confirmation of Commitment and upload into the Kuali Build PreAward Spending Request form. X X       X    
    Provide alternative Chart of Account (COA) for use in the event PreAward expenses are unallowable.       X X      
    Consider appropriateness of PreAward request, and approve request       x x X    

    Verify all regulatory approvals are in-place (as appropriate) upon receipt of approval of PreAward Spending Request form, and prior to establishing PreAward in Kuali.

              X    
    Assign and establish PreAward COA in Oracle PPM.               X
    Establish PreAward Budget and Monitor PreAward Spending. X X            
  • Award Acceptance

    Award Acceptance

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Review award terms and conditions for acceptability           X    
    Negotiate terms and conditions with sponsor (if applicable)           X    
    Accept award terms and conditions on behalf of The Regents           X    
  • Award Set-Up and Activation

    Award Set-Up and Activation

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Confirm that regulatory compliance requirements have been met. X X       X    
    Modify proposed budget (in line with funded amount). X X            
    Ensure that cost sharing is documented (if applicable). X X       X    
    Prepare and issue the Campus Award Notice.           X    
    Review award terms and conditions for understanding and compliance X X           X
    Establish award, project(s), and funding in Oracle PPM.               X
    Perform project budget management in Oracle PPM in accordance with sponsor-approved  budget and properly align direct and indirect costs by budget category.   X            
    Ensure the appropriate automated notifications are distributed (e.g., availability of funding, cost sharing requirement, etc.)               X
  • Conducting the Project

    Conducting the Project

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Identify project personnel and prepare personnel transactions. X X            
    Initiate purchases on project. X X            
    Initiate prior approvals for changes to project (e.g., description, PI, etc.). Department facilitates with sufficient lead time. X              
    Review and approve changes to project (or forward to sponsor).           X    
    Initiate re-budgeting requests. Department facilitates with sufficient lead time. X              
    Approve re-budgeting requests (or forward to sponsor).           X    
    Initiate no cost time extensions. Department facilitates with sufficient lead time. X              
    Review, approve and submit no-cost time extension requests to sponsor.           X    
    Adjust award and project dates in Oracle PPM on no-cost time extensions               X
    Use financial reports to monitor and audit costs for allowability and oversee project budget against expenditures and track/complete cost sharing. X X            
    Reconcile financial reports (for example PI Web Reporting System/PIWRS and ledgers) on a monthly basis and ensure unallowable costs are promptly removed. X X            
    Coordinate resolution of issues on deficit reports. X X            
    Ensure regulatory compliance offices are notified of changes to project. X              
    Complete invention disclosure form. X              
    Ensure integrity of notebooks and data. X              
  • Program Income

    Program Income

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Identify program income. X X            
    Invoice/Collect program income.   X            
    Receive and deposit program income.   X            
    Identify use and reportability of program income.   X            
    Monitor program income levels.   X            
  • Invoicing & Financial Reporting and Audit

    Invoicing & Financial Reporting and Audit

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Prepare and submit the invoice or financial report, including reported cost sharing and program income.               X
  • Accounts Receivable Management

    Accounts Receivable Management

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Receive and deposit payments from sponsors.               X
    Produce and record a letter of credit draw request (federal awards).               X
    Monitor and pursue the collections of overdue payments from sponsors.               X
  • Subawards

    Subawards

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Oversee programmatic aspects of subaward. X              
    Complete the Subaward/Subcontract Request Form. X         X    
    Make final determination as to Subrecipient vs. Contractor (per 2 CFR Part
    §200.330).
              X    
    Perform the subrecipient risk analysis.           X    
    Prepare, negotiate, and sign subawards.           X    
    Establish encumbrance on general ledger and process invoiced payments after obtaining PI approval.               X
    Review and approve subaward invoices. X X            
    Perform subrecipient monitoring. X         X    
    Perform Federal Funding Accountability & Transparency Act (FFATA) reporting.           X    
  • Technical Reports

    Technical Reports

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Prepare and submit timely technical reports following sponsor guidelines. X              
    Maintain the official copy of the technical report. X              
  • Personnel and Payroll Certification

    Personnel and Payroll Certification

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Initiate hiring and appointment process. The department will facilitate with sufficient lead time. X              
    Maintain the Payroll Certification database and reporting system.               X
    Identify and complete necessary adjustments to award charges and/or payroll distribution.   X            
    Ensure accuracy of completed payroll certifications. X X            
    Resolve problems or follow up on payroll certifications not submitted.   X   X X     X
  • Project End and Closeout

    Project End and Closeout

      PI Dept. / Unit
    C&G Analyst / Financial
    Manager
    Dept. / School
    Grant Facilitators
    Chair / Director
    Dept. Approver 
    Dean RED -
    Sponsored Programs
    Admin.
    RED -
    Research Devel.
    Acct.
    Identify early close-out situations (e.g., terminations). X         X    
    Ensure all appropriate expenditures have been posted to ledgers, and all costs are allowable and consistent with award terms and conditions. X X            
    Upon Accounting Office's request, provide information necessary to complete final invoicing and financial reporting (e.g. cost sharing, program income, task reports, etc.). X X            
    Resolve outstanding issues (e.g., unspent funds, fund deficits, encumbrance balances, etc.) before preparation of final invoice and financial report. X X           X
    Prepare and submit final invoice and financial report to sponsor, including cost sharing and program income               X
    Ensure that all technical reports have been submitted to sponsor. X              
    Ensure that all final invention reports have been submitted to sponsor. X         X    
    Ensure that all equipment reports have been submitted to sponsor. X             X
    Complete the Subrecipient Release Form and submit to sponsor (if applicable).           X    
    Inactivate chart of accounts in Oracle PPM.               X
    Maintain official project documents for sponsored projects. X         X   X

Role Definitions

Lead Principal Investigator (PI)

The lead principal investigator is the primary individual in charge of a research grant, cooperative agreement, training or public service project, contract, or other sponsored activity. The lead principal investigator reports to a unit head (or designee).

Department/Unit C&G Analyst/ Financial Manager

Administrative staff, at the departmental and dean’s office levels, provide administrative support and guidance for one or more sponsored projects; this includes proposal preparation and packaging. With respect to financial management of sponsored accounts, department administrators prepare, complete and may process financial, human resource and other electronic and paper transaction activities/documents.

Dept/School Grant Facilitators

Administrative staff who provide proposal development and submission support.  Grant Facilitators may also provide proposal preparation coordination/management for multi-PI proposals, and advise college administration about funding trends as they relate to college goals.

Chair/Director/Dept Approver (PI’s Department Head)

The Chair/Director/Dept Approver is an academic leader with programmatic, managerial, and fiscal responsibilities for a designated area, such as a department, division, school, or center. The department head reports to a Dean.

Dean

Deans are academic leaders who have programmatic, managerial, and fiscal responsibilities for a college or school. The Dean’s office, the administrative center for a school or college, may include one or more Associate Deans and administrative staff, who report to the Dean.

RED - Sponsored Programs Administration

The office of Sponsored Programs is the only institutional unit at UCR with delegated authority to (i) submit proposals to extramural entities in support of research, training, instruction and other sponsored activities, and (ii) legally commit the University in the event as award is made, on behalf of The Regents. The head of SPA is the Assistant Vice Chancellor for Sponsored Programs who reports to the Associate Vice Chancellor for Research.

RED – Research Development

The office of Research Development is broadly responsible for grant research, grant editing, coordination of individual and campus-wide external funding opportunities and all aspects of Limited Submission while reporting to the Senior Associate Vice Chancellor for Research.

Accounting

The Accounting Office supports the campus community by providing prompt, reliable accounting and financial services; ensuring accurate financial information and reports are readily available; coordinating external audits; and contributing to the control environment through the development of financial applications and dissemination of information regarding applicable laws, regulations, policies and procedures.

 

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