Roles and Responsibilities Matrix

Departmental Pre-Award Research Administrator

Principal Investigator

Unit Approver and/or Dept/Dean Delegate

URA Pre-Award Research Administrator

Communication

As needed, notify relevant unit staff of upcoming submissions

Respond to PI requests in a timely manner, prioritizing based on urgency

Communicate regularly with the PI throughout the proposal submission process

Work directly with PI to respond to URA proposal review comments, and work directly with URA if there are questions

Notify departmental pre-award research administrator of intent to submit proposal as soon as a decision has been made to pursue the opportunity, and if available, provide Funding Opportunity Announcement

Notify departmental pre-award research administrator of any incoming faculty who may need proposal development support

Provide updated salary information for faculty on an annual basis or as needed

Communicate with departmental grants administrator during proposal review process with review comments in AURA Grants FP

Address departmental grants administrator’s questions regarding pre-award or proposals

Funding Opportunity Review (FOA)

Determine PI eligibility and assist PI in completing PI Status Request Form, if necessary

 Provide proposal checklist and proposal development timeline to PI based on FOA

Contact Research Development Support, if needed 

Identify restrictions, such as limited opportunity submission and assist PI in obtaining required approvals

Complete PI Status Request Form as required, if necessary

Review PI Status Request Form and provide Dept. Head approval

For full proposal review, review proposal and AURA Grants FP against sponsor’s FOA and guidelines

Budget Preparation

Prepare/edit proposal budgets and budget narratives with PI

Provide guidelines to subcontractors and collect appropriate documentation for submission

Send out any cost share requests to the unit for approval

Discuss any indirect cost concerns with the PI and the unit and process IDC Waiver/Variance Request, if necessary

Prepare/edit proposal budgets and budget narratives with departmental pre-award research administrator

Provides subcontractor contact information

Discusses any cost share requests and/or IDC waivers with unit staff and/or the departmental pre-award research administrator

Review any cost share requests and/or IDC waivers and provide approval

Provide salary information to the departmental  pre-award research administrator

Notify the departmental pre-award research administrator of any special unit requirements regarding the budget

Review AURA Budget Grid and proposal budget to be submitted to the sponsor identifying any items that require revision (i.e. IDC rate, fringe benefit rate, appropriate exclusions, budget categorization, direct costs, indirect costs, etc.). Note that the level of review will depend on when the proposal is received by the URA Pre-Award Research Administrator for review.

Application Preparation

Ensure all institutional compliance requirements are met

Assist PI with budget and budget justification creation

Complete non-technical proposal components, including any institutional forms and application forms

Compile technical proposal components

Update Pending section of Current and Pending Support and verify Current section with PI and unit staff

Coordinate Biosketches/CV verification with PI 

 Prepare technical proposal components

Verify Current and Pending Support with pre-award manager and unit staff

Update Biosketches/CVs with departmental pre-award research administrator

Review proposal per Unit Reviewer/Approver Checklist to ensure that all requirements are met in order to approve

Approvals

Create and complete AURA Funding Proposal

Upload all close-to-final or final draft proposal documents if it’s a unit submission or grant sponsor portal access to application if URA submission and route to assigned Unit Reviewer/Approver

Grant URA Pre-Award view access to proposal in sponsor portal, if it’s a URA S2S or URA Non-S2S Submission.

Determine PI eligibility and assist PI in completing PI Status Request Form, if necessary (and secure departmental/divisional and URA approval per instructions)

Obtain appropriate departmental/divisional approvals for limited submissions and/or address any issues regarding limited submissions

Seek approval from unit for any cost share requests

Discuss any indirect cost concerns with the PI and the unit and process IDC Waiver/Variance Request, if necessary

Complete Assurances in AURA

Provide Unit Review and Approval

Provide Institutional Review, Approval, and Endorsement

Submission

Send PDF of final application to PI for review

Submit application to sponsor if unit submission or confirm “ready to submit” if URA submission.

Provide concurrence to submit proposal

If Unit submission, initiate “Other” Ancillary Review to prompt unit to upload submitted proposal to FP once submitted

If URA Submission, initiate “Ready to Submit” Ancillary Review, sending to departmental grants administrator, and once ready, submit proposal 

Post-Submission

Work with PI to Prepare and Route any Just-In-Time (JIT) or post-submission materials requests through AURA as “JIT” activity to URA Pre-Award

Follow up with PI regarding any compliance activities prior to award

Ensure any IACUC and IRB protocols are approved for appropriate FPs, if applicable 

Notify departmental pre-award research administrator of any post-submission materials to be submitted

Provide any IACUC, IRB, or IBC protocol information to pre-award manager as needed 

Provide Unit Review and Approval, as needed

Conduct JIT review and provide departmental grants administrator with any review comments that may need to be addressed

Once reviewed and approved with no outstanding items, submit JIT response to sponsor or provide Departmental Pre-Award Research Administrator with confirmation to proceed with submission if unit submission

Compliance

Ensure any IACUC and IRB protocols are approved at JIT/award stage and linked to appropriate FPs for award distribution (protocols are pending at proposal stage)

Confirm that PI and any relevant key personnel have filed the Annual FCOI Disclosure/COI Annual Assurance for the current Fiscal Year, and the COI CITI Training as applicable

Ensure that PI and any Co-PIs or Multi-PIs, or fellows/primary mentors have submitted FP-specific assurances

Complete Annual FCOI Disclosure/ COI Annual Assurance

Complete COI CITI training every 4 years, if applicable

Complete CITI Human Subjects Training every 3 years, if applicable

Provide any IACUC, IRB, or IBC protocol information to the departmental pre-award research administrator as needed for proposals

Confirm that applicable senior/key personnel have COI Annual Assurance and/or COI CITI Training on file at proposal or JIT stage as necessary