Responsibility Matrix

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Directory of Responsibilities	RSP Staff or Other
Proposal Preparation and Submission
By College and/or Department - Applications from:
College of Natural Sciences, College of Social and Behavioral Sciences	Sarah Bridges
College of Education, College of Humanities and Fine Arts, UNI Library, UNI Museums, College of Business	Hillery Oberle
By Funding Sources - Applications to:
Foundations: John Deere Foundation, R.J. McElroy Trust, Community Foundation of Northeast Iowa, Carver Charitable Trust, Guernsey Charitable Foundation, Maxwell Foundation and Wellmark Foundation	UNI Foundation
Iowa Power Fund	Christy Twait
Black Hawk County Gaming Association, Iowa Arts Council	Hillery Oberle
By Activity:
Editing and Peer Review	Hillery Oberle or Sarah Bridges
Grant seeking education and grant writing advice	Hillery Oberle or Sarah Bridges
Identifies potential funding sources	Hillery Oberle or Sarah Bridges
Required budget review and electronic file review prior to submission	Hillery Oberle or Sarah Bridges
Approves and authorizes proposal for submission	Tolif Hunt, Hillery Oberle or Sarah Bridges
Assures compliance with federal, state and institutional regulations	Michele Mullings-Shand
Questions about potential conflict of interest	Anita Gordon
Approves UNI Matching Funds Program requests	Christy Twait

Award Negotiation and Establishment
Examines incoming award documents for adherence with Office of Sponsored Programs, University and State of Iowa policies and procedures	Tolif Hunt Michele Mullings-Shand
Negotiates award terms and conditions	Michele Mullings-Shand
Works with PI/PDs on contract terms and conditions	Michele Mullings-Shand
Accepts awards on behalf of the University	Tolif Hunt
Transmits executed documents to sponsor	Lori Miller
Ensures audit compliance with A-133	Tolif Hunt
Award modifications	Tolif Hunt Michele Mullings-Shand Lori Miller
New project orientation	Lori Miller

Managing the Award
Sets up accounts/assigns account numbers	Nancy Yuska
Reviews, tracks, and reports cost sharing for awards requiring cost share	Mary Chien
Reviews expenditures in restricted budget categories	Michele Mullings-Shand
Approves Personnel Action Forms (PAF)	Michele Mullings-Shand
Processes cost transfers/journal entries	Nancy Yuska
Reviews and approves requests for no-cost time extensions	Lori Miller
Approves capitalized equipment requisitions	Michele Mullings-Shand
Collects revenue (invoicing, letter of credit, etc) for grant expenditures	Mary Chien
Questions about general accounting and/or project concerns	Michele Mullings-Shand
Requests for additional object codes	Michele Mullings-Shand
Questions about expense allowability and referrals to other departments	Michele Mullings-Shand
Approves scholarships and stipends	Michele Mullings-Shand
Questions about Grants and Contracts Accounting Financial Summary (GCAFS) or other financial reports	Michele Mullings-Shand

Sub-Award
Issues and monitors sub-award agreements	Michele Mullings-Shand Lori Miller
Ensures subawardee is in compliance with A-133	Michele Mullings-Shand
Authorizes payments	Mary Chien
Reporting and Award Close-Out
Prepares and submits financial reports and final invoices to sponsor as required	Mary Chien
Patents, New Technology and Invention Reports	Michele Mullings-Shand
Minority Business Enterprise/Women Business Enterprise reports	Michele Mullings-Shand
Files equipment inventory reports as required by sponsor	Michele Mullings-Shand
Files appropriate financial close-out documents	Mary Chien

Research Services
Maintains IRB (Institutional Review Board) office, processes protocols, communicates with investigators	Anita Gordon
Research integrity and misconduct	Anita Gordon
Research development and support services	Anita Gordon
Reviews and approves human subjects research protocols	Chair and IRB Members
Monitors intuitional policies and guidelines for protection of human subjects in research	Anita Gordon
Liaison with governmental and funding agencies concerned with human protections	Anita Gordon
Coordinates research compliance training and education of faculty, staff and campus community	Anita Gordon
Constitution and support of independent IRB committee and operations	Anita Gordon
Assures the federal government that UNI will maintain an effective system for human subjects protection	Christy Twait
Animal subjects (IACUC)	Anita Gordon Jeff Tamplin

Export Control
Supports the University regarding export control regulations Anita Gordon

Intellectual Property and Technology Transfer
Support Office of Intellectual Property, which oversees patent, licensing, and royalty division applications and agreements	Christy Twait
Supports the development of intellectual property and protection of inventor rights	Christy Twait
Connects individuals to marketing and financial resources to support commercialization	Christy Twait

Miscellaneous
Questions about UNI Grants and Contracts Incentive Funds Program	Christy Twait
Prepares incentive journal entries	Mary Chien
Certifies effort reporting	Michele Mullings-Shand

Office of Research and Sponsored Programs

Quick Links

Responsibility Matrix

Directory of Responsibilities

RSP Staff or Other

Proposal Preparation and Submission

By College and/or Department - Applications from:

By Funding Sources - Applications to:

By Activity:

Award Negotiation and Establishment

Managing the Award

Sub-Award

Reporting and Award Close-Out

Research Services

Export Control

Intellectual Property and Technology Transfer

Miscellaneous