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Roles and Responsibilities

PDF version of the Roles and Responsibilities matrix


  • PI – Principal Investigator
  • Dept – Department
  • Dean/VP – College / School Dean or VP
  • OSP-RA – Research Administration
  • OSP-IC – Industry Contracting
  • OSP-SPA – Sponsored Projects Accounting
  • OSP-CAC – Cost Analysis and Compliance
  • OSP-Ops – Operations
  • SPO – Sponsored Programs Office in SOM
  • RCP – Research Compliance Office
  • OCT – Office of Clinical Trials
  • IRB – Institutional Review Board in OHRE
  • IACUC – Institutional Animal Care and Use in OAC
Proposal Preparation
Initiate intent to submit solicited or unsolicited proposal                          
Communicate proposal deadlines, pre-award process and OSP policies to Principal Investigator (PI)                          
Assist with questions regarding eligibility, allowable costs, and other administrative elements of sponsor guidelines                  
Develop technical proposal                          
Develop budget, budget justification and other administrative documents per sponsor guidelines                        
Assist PI and research staff and departments with clinical trial budget and project development                          
Identify subcontractors and obtain statement of work, budget, letter of intent, and other required documents                        
Identify need for cost sharing funds and obtain documentation for cost share support                          
Evaluate requests for F&A waivers or reductions                        
Approve F&A waivers and reductions                          
Coordinate space arrangements identified in the proposal                        
Develop a Small Business Plan – Data to be requested from Procurement                    
Proposal Review and Approval
Determine proposed project fits within academic framework and resources                          
Confirm that proposal meets sponsor requirements (formatting and page limits, etc.)                      
Review proposal2 before internally routing to OSP or SPO                      
Route electronic Internal Processing Form (eIPF) in RAMSeS with final application package at least five (5) business days prior to sponsor deadline                          
Verify that cost sharing in proposal is listed and that all commitments have been secured                    
Ensure regulatory compliance (i.e. IRB, IACUC, IBC, etc.) activities are understood and managed appropriately                      
Provide institutional review and approval of proposal1                        
Make revisions and corrections to proposal after institutional review                    
Review and ensure accuracy of the eIPF                        
1 School of Medicine (SOM) proposals are reviewed by Sponsored Programs Office (SPO) and include: NIH grants and cooperative agreements and limited number of foundations. (See list prepared by OSP/SPO)
2 Development of proposals sponsored by select foundations may be facilitated by the Office of Corporate and Foundation Relations (CFR)
Proposal Submission and Just in Time Requests
Submits all federal,, Cayuse proposals                        
Submits proposal central applications                        
Discuss and determine submission if sponsor is non-federal, pass-through entity, or other non-for-profit organization                    
Comply with requests from sponsor’s to provide additional information (PI other support, University assurances, etc.)                    
Regulatory Requirements – Conflict of Interest
Know and comply with the University’s Conflict of Interest (COI) policy                          
Completes project specific COI disclosure and COI training prior to award setup (training valid for 4 years)                          
Discloses existence of conflict of interest                          
Develops and submits conflict of interest management plan                        
Comply with special conditions placed on project in order to manage, eliminate or reduce conflict                          
Initiates organizational COI statement with Research Compliance Office                      
Report any changes to financial relationships affecting project                          
Institutional oversight and facilitation of individual and organizational conflict of interest                          
Regulatory Requirements – Human Subjects
Comply with federal regulations and University policies regarding safety and protection of human subjects                        
Prepare and submit protocols for research involving human subjects                          
Review and approve research protocols                          
Perform congruency check between protocol and grant                          
Ensure that protocols are kept current throughout the life of the project as required                  
Regulatory Requirements – Institutional Animal Care and Use Committee
Comply with University policies regarding human care and use of animals                        
Prepare and submit protocols for research involving animals                          
Review and approve research protocols                          
Perform congruency check between protocol and grant                          
Ensure that protocols are kept current throughout the life of the project as required                    
Regulatory Requirements – Environmental Health and Safety
Comply with University and federal environmental health and safety policies applicable to research                          
Comply with safety protocols outlined for radioactive materials                        
Comply with safety protocols outlined for hazardous chemical materials                        
Comply with safety protocols outlined for biological materials                        
Obtain approval from Institutional Biosafety Committee (IBC)/EHS Office prior to conducting research using recombinant DNA or infectious disease                          
Ensure that incoming MTA’s involving recombinant DNA or infectious agents receive approval from the (IBC)/EHS Office                          
Processing Financial Guarantees
Request a financial guarantee, a.k.a. Letter of Guarantee (LOG), from the proposal module in RAMSeS                          
Expedite and process financial guarantee                          
Monitor financial guarantee and request an extension, if needed                          
Contract/Award Negotiation and Acceptance
Receive sponsor notification of award, contract or grant; forward to OSP-RA or OSP-IC, as applicable                      
Review agreement and provide input re: negotiation to OSP-RA or OSP-IC                        
Seeks feedback from Office of University Counsel, Risk Management, and other administrative offices as needed                        
Review and negotiate contract terms and conditions with sponsors                        
Accept award terms and conditions and execute award on behalf of the University                        
Review and negotiate (industry, federal and other party) confidentiality agreements and data use agreements                          
Award Set-up
Confirm that approvals for regulatory compliance requirements have been met                          
Provide approved compliance acknowledgement waiver to OSP, if applicable                          
Review award budget and modify if necessary, following terms and conditions of the award                      
Identify technical and financial reporting due dates; identify interim and final invoicing requirements                          
Prepare award setup package and submit to OSP Sponsored Projects Accounting for processing                          
Perform QA on award setup in ConnectCarolina prior to activating contract                        
Create award in RAMSeS and generates award in ConnectCarolina with RAMSeS web service                          
Complete award, project, budgets, contract, and bill plan setup in ConnectCarolina; performs QA review                          
Notify PI and department of award setup via automated RAMSeS email; provides chartfield and Project ID(s)                          
Activate the ConnectCarolina contract                          
Subcontracts and Subrecipient Monitoring
Obtain proposal documents from subrecipient during proposal preparation and for award set-up                        
Submit request to OSP Subaward Team for subcontract; provide statement of work, budget, letter of intent, etc. to Subaward Team (including when sponsor is private industry)                          
Obtain Subrecipient Form from subrecipient; run Visual Compliance check; ensure COI requirements have been met                          
Perform risk assessment of subaward before issuing a subaward agreement                        
Prepare, negotiate, and execute subawards                          
Submit Federal Funding Accountability and Transparency Act (FFATA) reports on the governments Federal Subaward Reporting System (FSRS)                          
Oversee technical/progress reports to ensure progress is sufficient                        
Review and approve subaward invoices                      
Subrecipient monitoring – Review Subrecipient Form and Audits                        
Subrecipient monitoring – Visual Compliance, Office of Foreign Assets Control (OFAC), Department of State Review                          
Subrecipient monitoring – Performs audits on sample of subrecipient invoices on a quarterly basis and at least one invoice annually for all for-profits                          
Subrecipient monitoring – Subaward burn rate and programmatic impact review (subaward > 50% of prime)                      
Prepare Small Business Subcontracting Plan                          
Provide Small Business Subcontracting Plan to Sponsor                          
Prepare and Submit Small Business Subcontracting Plan Reports with data and assistance from procurement                          
Project Management
Prepare personnel transactions                          
Initiate non-personnel transactions on project                          
Review and approve personnel transactions (Effort Coordinator) and higher risk non-personnel transactions on project (Pre-Audit Technician)                          
Provide oversight and assist with registration of clinical trial information, and post results as appropriate, in                          
Communicate with sponsors, CROs and other entities on behalf of the University, researchers and departments on issues related to clinical trials                        
Ensure timeliness of subcontract invoices                      
Initiate all prior approvals (i.e. no cost extensions (NCE), budget revisions, PI changes, etc.) for changes to project                        
Approve or forward all prior approval to sponsor (i.e. NCE, budget revisions, PI changes, etc.) for changes to project                          
Perform sampling of allowable costs on high-risk areas during post-audit reviews                          
Perform review of expenditures for allowability and allocability                
Monitor and track cost share commitments                          
Verify cost share in accordance with award terms and conditions                        
Submit PAATs and cost transfer journals on a timely basis                          
Approve PAATs and cost transfer journals                          
Review financial information and reconcile projects on a monthly basis (monitor posted transactions and reconcile expenses)                        
Personnel and Effort Certification
Initiate hiring and appointment process; allocate to project                        
Maintain effort certification in eCRT                          
Prepare and distribute effort certification reports                          
Review effort statements prior to individual certification                          
PI (and non-PI personnel) with effort on projects certify their own effort report                          
Review effort certification reports completed by departments                          
Complete necessary adjustments to award charges and/or payroll distribution                          
Ensure accuracy of completed effort certification                          
Resolve problems or follow-up on certifications not submitted                        
Invoicing and Billing
Run pre bill report after month end close for cost reimbursable projects                          
Manage billing of projects that are fixed price installments                          
Notify OSP when a fixed price deliverable as been completed and an invoice can be sent                        
Complete and submit invoice to sponsors (Projects beginning with 3, 5); track submission of invoice                          
Complete and submit invoice to sponsors (Projects beginning with 4); track submission of invoice                          
Managing Program Income
Identify program income; notify OSP of any program income on sponsored project                        
Create a program income project ID at time of award setup                        
Receive program income and send to OSP for deposit                          
Deposit/post program income and increase budget                          
Identify use and reporting requirements of program income                        
Monitor program income levels and make award adjustments as necessary                      
Cash Management and Accounts Receivables
Forward payments on projects to OSP                        
Receive and deposit payments from sponsors                          
Produce and record a letter of credit draw request (federal awards)                          
Annually calculate federal interest on projects and refund accrued interest to government                          
Annually calculate interest on non-federal projects and refund accrued interest to sponsor                        
Bank reconciliation for the lockbox and cash monitoring                          
Receive clinical trial payment and send to OSP for deposit                          
Deposit/post clinical trial payment and increase budget                          
Monitor and pursue the collections of overdue payments from sponsors                      
Manage refund process                          
Preparation and Submission of Technical/Progress Reports
Ensure integrity of all research data                          
Identify the need for submission of progress reports                        
Prepare, approve and submit progress reports to sponsor (follow previous responsibilities listed for proposal preparation thru submission)                    
Maintain and track the submission dates of the official copy of the progress report                          
Final Reports and Project Closeout
Identify early close-out situations                        
Ensure all appropriate expenditures/cost transfers have been posted to Project IDs                        
Provide backup documentation on expenditures if required by terms and conditions of the awards                          
Determine whether there are unresolved items needed before closeout and communicate to OSP                        
Audit expenditure and award activity to verify financial compliance with University and sponsor regulations                          
Ensure allowability, allocability, reasonableness and consistency of treatment of costs                    
Prepare final financial invoice/report                          
Resolve issues related to unreconciled Project IDs, award closeout, expense transactions, and cash                      
Verify and report cost share to sponsor                          
Ensure that all financial reports have been submitted to the sponsor                          
Submits final progress reports to sponsor                      
Submit and monitor submission of Final Invention/Patent reports to sponsor                      
Submits fixed assets/property reports to sponsor                        
Assume accountability for overdrafts, deficits, and unallowable costs that occur under project                          
Maintain office project closeout documents for sponsored projects                      
Submit Small Business Report to sponsor                    
Single Audit and Agency Reviews
Comply with Uniform Guidance and sponsor conditions for compliance              
Participate on sponsor audit or specific program audit                  
Coordinate the Single Audit and agency reviews for the University                          
Serves as point of contact and provides support and/or source documentation as requested by auditors                          
Training and Communication
Work with offices within OSP to maintain and update OSP web site                          
Work with offices within OSP to onboard new OSP employees                          
Provide ongoing training on business process changes, new regulations, etc. to OSP                          
Lead the organization of OSP’s Annual Research Symposium                          
Work with offices within OSP to centralize all OSP communication to campus                          
Provide ongoing training to department administrators                          
OSP General Inboxes
Manage and triage SponsoredPrograms inbox (                          
Manage and triage OSPHelp Remedy tickets (                          
Manage and triage OSPBilling inbox (                          
Mange and triage Subaward inbox (                          
Manage and triage Industry Contracting inbox (                          
Mange and triage UNC SOM Sponsored Programs inbox (                          
Month, Quarter and Fiscal Year End Activities
Perform reconciliation – Billed AR Aging = GL AR balances                          
Perform UAR analysis                          
Accrual/Write-off calculation                          
Reconciliation of OSP revenues and expenditures                          
Accrual clean-up of fund balances                          
Calculate Direct Loan balance                          
Research Service Centers (RSC)
Conduct rate reviews for RSCs for compliance with federal guidelines and institutional policies/procedures.                          
Provide training and consultation related to rate setting methodology and financial compliance                          
Submit rate proposal at least every two (2) years to Cost Analysis & Compliance for rate review; update RSC operational plan                          
Management of RSC financials including billings to customers and A/R collections.                          
Monitor fund balance surplus/deficit to ensure adherence to institutional and federal guidelines