Responsibility Matrix

Successful research administration depends on a strong partnership between Principal Investigators, departments, and the central research office. To help clarify these roles, we have developed a Responsibility Matrix that identifies key responsibilities across the sponsored project lifecycle for projects supported by the Academic Affairs Office of Research. This matrix is intended to promote transparency, consistency, and effective stewardship of sponsored projects. We encourage all Principal Investigators to familiarize themselves with this resource. We encourage all Principal Investigators and Co-Principal Investigators to familiarize themselves with this resource.

P = Primary  (person ultimately responsible for a task and its quality completed within agreed deadline)
C = Contributor (person or team who provides knowledge/information or advice on a task.  Typically 2-way communication)
S = Supplemental Support (person who provides additional support if available)
N = Needs Notification (Person/team who needs to be kept up to date on project quality/execution.  Typically 1-way communication). Department Admin notification is made when departmental administration is involved in proposal preparation and/or award management.
*Admin support can vary by service centers, colleges and departments and by grant/opportunity.  PIs should consult with their unit-level (department/center) leadership to agree on the specific task(s) an admin will support for each grant/opportunity.

PROPOSAL PREPARATION PROPOSAL REVIEW AND SUBMISSION COMPLIANCEAWARD ACCEPTANCE AND ESTABLISHMENTSAWARD MANAGEMENT PROGRAM MANAGEMENT - Non Financial CERTIFICATION OF TIME AND EFFORT AWARD CLOSEOUT

PROPOSAL PREPARATION

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Locate Potential Funding Opportunities P C C   C     C  
Notifies Pre-Award of upcoming solicitation submitting for and provides contact/RFP P       N        
Determines if WSU or the WSU Foundation will submit the proposal         P     C  
Reviews RFP/Solicitations for technical requirements P       C   C   GC = C
Reviews RFP/Solicitations for required components P       C        
Provide guidance to PI on non-technical/scientific proposal preparation requirements C     S P   C   GC = C
Prepares technical proposal P                
Compliance checks for COI/FCOI, HIPAA, RPS, etc. C       P   C   GC = C; IACUC/IRB = C
Identify subcontractors/collaborators P       C        
Identify, indicate and obtain approval for required and voluntary cost sharing P C C   C        
Develops initial budget to accomplish proposed SOW P     S C       Other: Purchasing, HR
Review budget for appropriate salaries, fringes, tuition, indirects, etc.       S P C      
Ensure required effort available, if awarded P C C            
Requests reduced/waiver of indirects P C C   C        
Requests waiver of student requirements P C C   C        
Prepares final version of proposal as required by the sponsor P     N C        

PROPOSAL REVIEW AND SUBMISSION

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Drafts initial routing forms for PI         P        
Completes routing forms and obtains Chair and Dean approval P C C S C        
Obtains Research and VP level approvals on routing forms         P        
Review proposed cost sharing commitment for compliance with University policy and sponsor terms C C C   P C     C= Other University Approvers
Review subcontractors' proposals and check for their institutional approval C       P        
Final proposal package to Pre-Award at least 3 business days in advance of submission deadline P     S C        
Obtains AOR signatures on final proposal and submits proposal N     N P        
Negotiates intellectual property, material transfer and confidentiality ageements C       P       C= GC, IP
Maintains proposal files, ImageNow and FRAPROP         P        
Submit proposals to sponsors C     N P     C  

COMPLIANCE

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Obtain any needed internal approvals (IRB, IACUC, Export Control, Cybersecurity, etc.) P     S C C C    
Reviews and approves IRB/IACUC protocols N     N N       P = IRB/IACUC
Reviews proposals and awards for export concerns         C   P    
Reviews COI disclosures and establishes a COI Management Plan when needed C C C   C       P= GC; C = Provost, EVP & VP
Provides documentation of certification and representations to sponsor N     N P   C   C= GC
Maintains export control documentation and clearance for faculty and staff N       N   P    

AWARD ACCEPTANCE AND ESTABLISHMENT-Notice of Award, Review and Acceptance

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Review terms and conditions P     S          
Review award budget and rates (PI initiated budget adjustments during the awarding process will be handled after award by Post-Award.) C     S P        
Review, negotiate, and accept awards on behalf of WSU N     N P C C   C= GC, IP, VP, EVP, IT Security
Agrees to terms and conditions regarding performance clauses P N N   C       C= GC
Send notification of award to administration N N N N P N     N= Provost, President, VPs, EVP
Send PI Notification email with required compliance notifications N N N   P N C   C= GC
Review and acknowledge PI Notification email P     N N N      
Verify all named personnel have completed training and compliance requirements C     N P   C    

AWARD ACCEPTANCE AND ESTABLISHMENT-Award Set-up

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Conflirm that regulatory compliance requirements have been met C       C P C    
If necessary, request provisional account  P N N S C C      
Approve provisional account requests         N N     P = EVP, BO, BRO
Establish a grant record and financial account based on award documentation           P      
Notify PI that Grant/Fund has been established N     N   P      
Schedule financial/technical/other reports in Banner           P      
Set up deliverable tracking outside of Banner P         N      
Initiate request for subaward P     S C N      

AWARD MANAGEMENT-Financial Management

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Overall responsibility for financial and programmatic stewardship of award P     S   C      
Review project budget and create spending and procurement plan P     S   C     C: Purchasing
Ensure proper documentation exists and is retained to support appropriateness of expenditures C     S   P      
Initiate financial transactions P     S   C      
Monitors budget vs. expense P     S   C      
Reviews and approves expenditures P C C S   C     C = BO, BRO
Request cost transfer P     S   C      
Provide justification for cost transfers P     S   N      
Process & document cost transfers N     N   P      
Initiates requests for budget adjustments P     S   C      
Approves and performs budget adjustments, according to sponsor requirements N     N   P      
Identify need for NCE P       N C      
Request NCE from sponsor C       C P      
Negotiates and awards NCE requests N     N P N      
Executes award modifications, including NCE's N     N P N      
Initiates and prepares continuation applications P       C C      
Reviews and submits continuation applications         P C      
Use financial reports to monitor & oversee expenditures P     S   C      
Review accounts to resolve issues or errors in a timely manner C     S   P      
Reconcile accounts on a monthly basis C     S   P      
Monitor project spend rate P     S   C      
Notify sponsor of anticipated spend, if notification is required C     S   P      
Comply with Uniform Guidance and sponsored requirements P     S C C C   C = Purchasing
Process and verify compliance with COI/FCOI, HIPAA, RPS, etc... for all persons/vendors not identified at time of award C         P C   C = GC
Financial reconciliation, reporting and closeout related to PI transfers C     S   P      
Initiate PI transfers  P C C S N N     C = VP, Provost
Submit PI transfer request to sponsor           P      

AWARD MANAGEMENT-Outgoing Contracts (as applicable)

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Overall responsibility for financial and programmatic stewardship of award P     S   C      
Review project budget and create spending and procurement plan P     S   C     C: Purchasing
Ensure proper documentation exists and is retained to support appropriateness of expenditures C     S   P      
Initiate financial transactions P     S   C      
Monitors budget vs. expense P     S   C      
Reviews and approves expenditures P C C S   C     C = BO, BRO
Request cost transfer P     S   C      
Provide justification for cost transfers P     S   N      
Process & document cost transfers N     N   P      
Initiates requests for budget adjustments P     S   C      
Approves and performs budget adjustments, according to sponsor requirements N     N   P      
Identify need for NCE P       N C      
Request NCE from sponsor C       C P      
Negotiates and awards NCE requests N     N P N      
Executes award modifications, including NCE's N     N P N      
Initiates and prepares continuation applications P       C C      
Reviews and submits continuation applications         P C      
Use financial reports to monitor & oversee expenditures P     S   C      
Review accounts to resolve issues or errors in a timely manner C     S   P      
Reconcile accounts on a monthly basis C     S   P      
Monitor project spend rate P     S   C      
Notify sponsor of anticipated spend, if notification is required C     S   P      
Comply with Uniform Guidance and sponsored requirements P     S C C C   C = Purchasing
Process and verify compliance with COI/FCOI, HIPAA, RPS, etc... for all persons/vendors not identified at time of award C         P C   C = GC
Financial reconciliation, reporting and closeout related to PI transfers C     S   P      
Initiate PI transfers  P C C S N N     C = VP, Provost
Submit PI transfer request to sponsor           P      

AWARD MANAGEMENT-Cost Sharing

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Obtain necessary documentation of cost sharing and/or matching funds P     S   C   C  
Monitor and review that required cost share is met P     S   C      
Initiates transfers from departments of cost share           P      
Certifies cost share P     S   C      
Obtain supporting documentation for cost sharing and prepare and submit cost-share report C     S   P   C  

AWARD MANAGEMENT-Financial Reporting/Billing for Sponsors

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Ensures contracts include appropriate billing terms and conditions         P C      
Establish engagements with sponsor billing and payment systems           P      
Notify departments of upcoming final financial reports           P      
Prepare and submit invoices and financial status reports to sponsors C     N   P      
Prepare and submit financial reports to sponsor along with required supporting documentation for audit purposes N     N   P      

AWARD MANAGEMENT- Cash Management

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Manage cash and receive funds           N     P = AR
Process drawdowns for federal funded agency           P     P = Fin OPs AA
Monitor the collection of overdue payments from sponsors           P      
Pursue the collection of overdue payments from sponsors                 P = AR
Refund excess cash back to sponsor and provide proper documentation           C     P = AR

AWARD MANAGEMENT- Payroll

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Allocate effort of PIs and other personnel to project P     S   C      
Substantiate effort changes over 120 days P     S   C      
Initiate student ePAFs in Self-Service C     P   C      
Review and approve student ePAFs P     S   C     C = HR, Payroll
Initiate hiring paperwork C     P   N     C = HR
Review and approve hiring paperwork P         C     C = HR, BRO
Process corrections and retroactive payroll changes C     S   P      
Monitor effort commitments to ensure compliance with sponsor expectations P         C      
Verify all personnel not named at the time of award have completed training and compliance requirements C     N   P C   C = GC
Restricted party screenings (RPS) on personnel added to payroll           P C    

AWARD MANAGEMENT- Misc.

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Initiate carryforward requests P     S   C      
Complete carryforward request, complying with sponsor requirements and deadlines N         P      
Submit invention disclosure to Tech Transfer P         N      
Prepare negative interim invention reports C         P     C = TechTxf
Prepare positive interim invention reports C         C     P = TechTxf
Submit all interim invention reports N         P     N = TechTxf
Prepare negative interim property reports C         P      
Prepare positive interim property reports C         C     P = Prop Cntrl
Submit interim property reports N         P     C = Prop Cntrl
Identify the occurrence of program income P         C      
Deposit program income C     N   C     P = AR
Prepare and send the report of program income to the sponsor. C     N   P      
Maintains grant files, ImageNow, Payroll, Banner, etc.           P      
Financial Conflicts of Interest reporting C       C P     C = GC

PROGRAM MANAGEMENT -Non Financial

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Conduct and oversee the execution of project aims or statement of work P                
Initiate request for programmatic changes to the project P                
Review and process/execute contractual programmatic changes to the project, when required N     N P N      
Complete interim and final technical/performance reports P     S   N      
Submit interim and final technical/performance reports P         N      
Notify Post Award of changes to key personnel P     S   N      
Request changes of key personnel from sponsor C         P      
Identify need for no-cost extensions  P     S   C      
Submit no-cost extension requests on behalf of WSU C     S   P      
Provide deliverables as required, on schedule P         N      
Notify Post-Award when IRB and IACUC protocols have expired or are terminated N         N     P = IRB/IACUC
Completing annual subaward audit certification requests            P      

CERTIFICATION OF TIME AND EFFORT

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Notify individuals and PIs when effort reporting cycle is open N         P      
Ensure compliance with effort reporting policy P C C     C      
Monitor certification status and send notices regarding uncertified effort N         P      
Complete time and effort reports P         C      
Track current effort commitments P     S   C      

AWARD CLOSEOUT- Communication & Financial Closeout

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Identify awards ready for closeout C         P      
Send closeout notifications to PI 90-60-30 days before project end date N     N   P      
Ensure all cost share is received and documented C     S   P      
Review outstanding expenses and take action as applicable P     S   C      
Review budget deviations at closeout, all expenses must be final within period required for timely closeout C     S   P      
Subcontract financial closeout - close out any subcontracts and ensure closeout reports have been received. C     N   P      
Subcontract programmatic closeout - close out any subcontracts and ensure closeout reports have been received. P     N   C      
Manage payroll, taking applicable actions to remove and reallocate payroll C     S   P     C = Payroll
Close all open POs, releasing encumbrances as necessary C     S   P      
Ensure all sponsored revenue is received, documented, and invoiced as applicable C         P     C = AR
Process corrections for any post-expiration charges C     S   P      
Ensure documentation is in the grant file C         P      
If fixed price, follow policy for fixed price award residual balance transfers C         P     C = EVP, VP, BRO
Perform closing JVs for AR, F&A, etc., as needed           P      
Complete and submit final financial report(s) C     N   P      
Inactivate grant/fund in Banner           P      

AWARD CLOSE OUT-Technical Report

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Prepare the final technical/progress report(s) P     S   C      
Submit final technical, complying with sponsor submission method and deadline P         N      

AWARD CLOSE OUT-Other Deliverables

Task/Responsibility PI Chair Dean Unit-Level Admin Support* Pre-Award/
Contracts		 Post-Award Export Comp WSUFAE Other
Prepare final invention reports, including intellectual disclosures or negative reports as applicable C         C     P = TechTxf
Prepare final property report, if applicable C         C     P = Prop Cntrl
Submit final property report, if applicable N         P     C = Prop Cntrl