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Monitoring Responsibilities Matrix

(OSP, SPA, and PI)

The following list describes duties and procedures and assigns the responsible party for the activity.

  1. OSP Issue request to subs for A-133 audit reports and provide any findings to SPA. Must ask for current A-133 status each year of active sub-award, not just initial funding period.
  2. OSP Review the System for Awards Management (SAM) ( to ensure the entities is not excluded from receiving federal funding.
  3. OSP If federally-funded RESEARCH and/or PHS funding, confirm that an External Collaborator Certification has been completed or the collaborator is registered in the FDP Institutional Clearinghouse (print documentation for file). If the collaborator certifies that they will comply with JMU conflict of interest policy, check to ensure that all identified collaborator investigators filed a JMU FCOI Disclosure Form and complete training thru JMU.
  4. OSP Issue of award agreement including terms and conditions of Prime award, notification to sub of the option to perform on-site visits and "audits" if necessary, inclusion of certifications, representations, and assurances, and notice of record retention policy (Standard FDP template will contain this information).
  5. OSP Assist PI with budget revisions or no-cost extensions needed for collaborators and issue modifications or amendments.
  6. PI Receipt and review of Technical Performance Reports with copies to OSP.
  7. PI Review of Expenses-to-Budget and approval of collaborator’s invoices prior to forwarding to SPA for payment.
  8. PI Performance of On-site Visits, or regular contact, if necessary.
  9. SPA Receipt and payment of invoices and final invoice from a collaborator following PI review. In the case of inconsistencies, SPA will contact PI/PD to resolve the issue with the collaborator.
  10. SPA Receipt of Cost Share documentation from PI and the collaborator, if applicable.
  11. SPA Time and Effort certifications complete (if applicable for the collaborator.)
  12. SPA Review of A-133 audit reports filed by a collaborator and any audit findings and review of corrective actions cited by a collaborator in response to their audit findings.
  13. SPA Consideration of sanctions on a collaborator in cases of continued inability or unwillingness to have required audits or to correct non-compliant actions.
  14. ALL Appropriate record retention for up to 5 years after project closeout.


For questions about roles and responsibilities or assistance with any activity, please contact the Office of Sponsored Programs. In all cases, the Office of Sponsored Programs will expect the PI to be the first point of contact and to gather the details of any dispute with a collaborator. However, OSP will intervene where appropriate and necessary.


Useful Links:
-Sponsored Programs Accounting
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Last Modified September 10, 2013
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