Sponsored Programs Roles and Responsibilities Matrix

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Lehigh University 
SPONSORED PROGRAMS ROLES AND RESPONSIBILITIES MATRIX
P = Primary responsibility: Key role, alone or with others as noted S = Supporting: those with primary responsibility commonly depend upon information provided or approval. A - Advisory: provides important guidance as needed to those in primary or supporting roles     
Function OVPR  College / Department  OTHER  
VPR  ORI OTT ORSP College / Dept  PI Research Accounting/
Controller's Office
OGC  
Pre-Award  
Opportunity identification A/S*       A/S P     *VPR communicates internal opportunities, select limited submission and other opportunities, conducts limited submission processes
Intent to Submit, to ORSP         A P      
Confirm PI Eligibility       P S        
Financial Conflict of Interest disclosure   A       P      
fCOI Disclosure review and escalation (if applicable)   S   P A        
Confidential disclosure agreement approval (if applicable) S   P P A A   A/S* *OGC advises on non-standard terms and may take a role in negotiation; reviews those not related to research or tech transfer
Proposal development        S S P      
Identify partners/collaborators           P      
Budget Development       S S P      
Request/Coordinate subrecipient documents         S P      
Letters of support and commitments         S P      
Proposal document preparation         S P      
Populate proposal system with required information/upload documents       S   P      
Proposal approval P*         P     *VPR for internal grants
Review proposed sponsored activity to confirm effort commtiment and space requirements         P        
Final Proposal Review and Submission (AOR/SRO)       P          
Conflict of commitment         S P      
Conflict of interest management   P   A S P      
Regulatory compliance and advisory   S   P S        
Request Advance Account, if necessary           P      
Approve Advance Account and commitment of department funds if project not funded         P        
Review and establish Advance Account       P     S    
Contract review, issuance, negotiation, and approval       P       A/S* *OGC advises on non-standard terms, reviews contracts with certain entities, and may assume a role in negotiation
Award acceptance                  
Adherence to Export Controls and personnel restrictions in conduct of the project   S   A   P   A  
Post-Award  
Award setup, Lehigh index assignment       P     S    
Notification of Award receipt and summary of terms to PI and Dept/College       P          
Subcontract/Subaward draft, negotiation, issuance, and execution       P A A      
Draft Subcontract review and approval         S P      
University-Sponsor interface       P          
University, Collaborator/Subrecipient interface           P      
Initiate material transfer agreements     P            
Review and negotiate intellectual property and licensing rights, terms and agreements     P         A  
Project/Program management           P      
Financial oversight, Monthly review         S P      
Cost Reallocations       S P P S    
Payroll/Tuition       S P S      
Expenses (Initiate purchases and approve payments)         S P      
Receive subcontractor invoices             P    
Approve that work was done by subcontractor           P      
Approve payment of subcontractor invoices         P P      
Track and document cost sharing       S P S      
Report cost sharing on sponsored projects       P     P    
Account overdrafts       S P P S    
Cash management / budget monitoring       S P P S    
Accounts payable (AP) management         P P S    
Initiate request for rebudgeting and prepare documentation       S P P      
Monthly reconciliation of Research OneCard         P        
Perform periodic review of transactions for appropriateness/allowability       P S        
Review and approval of Payroll/Tuition on Sponsored Programs       P          
Review of Research OneCard charges for allowability       P          
Letter of credit draws             P    
Invoicing             P    
Resolve payment problems with late or non-payment of sponsors             P    
Assist in resolving collection issues       P   S      
Direct charging (review of allowability)       P          
Subrecipient monitoring       P S S S    
Establish available effort (commitment review)         P S      
Distribute Effort Reports             P    
Review and Complete Effort Reports           P      
Provide local oversight for effort certification         P        
Financial reporting (Interim and/or Annual)         S S P    
Accounts receivable (AR) management         S S P    
Prior Approval requests       P S S      
Notify PI and Department/College when award end date is within 90 days       P          
No cost extension request / management       S P P      
Audit Response/Management       P S S S    
Compliance reporting  (Interim Progress and Final Technical)       A S P      
Review and provide guidance for completion of patent reports     P            
Financial reconciliation and closeout        P S S S    
Award closeout              P    
Final financial report         S S P    
Invention/IP reporting     S     P      
Nurture technology related relationships and partnerships with industry and government     P            
Determine terms on equipment title for sponsored projects       P          
Approve the sale of transfer of equipment to other institutions         P        
Implementation of Data Management Plans; preservation of data and materials           P      
Administrative record retention / storage       P S S P    
                   
P = Primary responsibility: Key role, alone or with others as noted S = Supporting; those with primary responsibility depend upon information provided, approval, etc. A - Advisory; provides important guidance as needed to those in primary or supporting roles       

Printable Version: Sponsored Programs Roles and Responsibilities Matrix (.xls)