Research Roles and Responsibilities

I. General Research Administration Activities and Support

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	Strategic
	1.	Direct and guide the University's research mission Primary Responsibility: Vice President for Research Secondary Responsibility: Department Chair Dean's Office Office of the Provost Input Responsibility: Principal Investigator
	2.	Develop and direct new University research centers Primary Responsibility: Principal Investigator Oversight Responsibility: Vice President for Research Input Responsibility: Department Chair Dean's Office Office of the Provost
	3.	Management of existing centers (close, transfer, or merge) Primary Responsibility: Vice President for Research Secondary Responsibility: Dean's Office Input Responsibility: Principal Investigator Office of the Provost
	4.	Identify and enable technology related relationships and partnerships with industry and government Primary Responsibility: Vice President for Research Secondary Responsibility: Technology Transfer Program Corporate Relations Government Affairs Input Responsibility: Principal Investigator Department Chair Dean's Office
	5.	Contribute to national research agenda and policies Primary Responsibility: Vice President for Research Secondary Responsibility: Senior Vice President for Business and Finance Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity
	6.	Make policies with regard to HR (e.g. fringe benefits) Primary Responsibility: Office of Budget Planning, Analysis and Allocation Secondary Responsibility: Human Resources Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance
	Policy
	1.	Review, interpret and disseminate policies from federal and non-federal funding and regulatory agencies (within area of authority Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity Secondary Responsibility: Office of General Counsel Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity Office for Research Advisory Committee Input Responsibility: Principal Investigator Unit Administrator Office for Auditing and Advisory Services Ad Hoc Faculty Committees University Compliance Committee
	2.	Keep current with policies related to compliance activities and assess effect on the University Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Secondary Responsibility: Principal Investigator Dean's Office Office of General Counsel Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity
	3.	Establish policies (within area of authority) Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity Office of the Provost Office for Research Advisory Committee Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Auditing and Advisory Services
	4.	Interpret University policies related to grants and contracts Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity Input Responsibility: Principal Investigator Office of the Provost
	5.	Develop standard procedures for research processes Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Research Safety Office for Research Integrity
	6.	Communicate policies and their effect on University Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Secondary Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity
	7.	Implement University policies related to grants and contracts Primary Responsibility: Principal Investigator Unit Administrator Secondary Responsibility: Department Chair Dean's Office Office of General Counsel Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity
	8.	Monitor adherence to policies Primary Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity Office of the Provost
	9.	Enforce adherence to policies Primary Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Office of the Provost
	10.	Identify issues across all topics for which guidance is necessary Primary Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Vice President for Research Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office of the Provost Office of Financial Operations & Treasurer Payroll
	Training and Education
	1.	Identify regulatory and/or policy issues for which training and education are required Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Secondary Responsibility: Principal Investigator Unit Administrator Input Responsibility: Office for Auditing and Advisory Services
	2.	Coordinate training and education related to research and research support activities Primary Responsibility: Office for Research Integrity Secondary Responsibility: Human Resources Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Vice President for Research Senior Vice President for Business and Finance Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services
	3.	Determine appropriate audience for training and education (role) Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Vice President for Research Senior Vice President for Business and Finance Office for Auditing and Advisory Services
	4.	Determine appropriate individuals in need of training/education Primary Responsibility: Principal Investigator Unit Administrator Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Input Responsibility: Office for Auditing and Advisory Services
	5.	Determine appropriate medium/method for training and education Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Oversight Responsibility: Office for Research Integrity Input Responsibility: Principal Investigator Dean's Office Office for Auditing and Advisory Services Human Resources NU Information Technology/Office for Research Information Systems
	6.	Schedule and deliver training and education Primary Responsibility: Principal Investigator Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Secondary Responsibility: Human Resources Oversight Responsibility: Office for Research Integrity
	7.	Monitor use of and attendance at training and education Primary Responsibility: Principal Investigator Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Oversight Responsibility: Office for Research Integrity Input Responsibility: Office for Auditing and Advisory Services
	8.	Communicate need for and importance of training and education to research community Primary Responsibility: Vice President for Research Secondary Responsibility: Department Chair Dean's Office Senior Vice President for Business and Finance Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Office of the Provost
	9.	Prepare content for training and education Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Center for Comparative Medicine Input Responsibility: Principal Investigator Unit Administrator Department Chair Dean's Office Office for Auditing and Advisory Services
	10.	Identify and prepare instructors ("train the trainer") and determine appropriate complement of subject matter experts for training and education Primary Responsibility: Office for Research Safety Office for Research Integrity Secondary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Auditing and Advisory Services Human Resources
	11.	Establish and administer feedback process and effectiveness measures related to training and education Primary Responsibility: Office for Research Integrity Human Resources Secondary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Input Responsibility: Office for Auditing and Advisory Services
	12.	Develop and implement programs for certification of research administration Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Cost Studies Office for Research Integrity Secondary Responsibility: Office for Auditing and Advisory Services Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance
	Compliance - General
	1.	Develop and implement a comprehensive research compliance program Primary Responsibility: Office for Research Integrity Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance University Compliance Committee Input Responsibility: University Compliance Committee
	2.	Conduct research compliance risk assessment Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Office for Research Integrity Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance Input Responsibility: Principal Investigator University Compliance Committee
	3.	Disseminate compliance information and new regulations to the research community Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity Secondary Responsibility: Unit Administrator Department Chair Dean's Office Vice President for Research Senior Vice President for Business and Finance Office for Auditing and Advisory Services
	4.	Serve as advisor to research community on key compliance topics Primary Responsibility: Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity University Compliance Committee Secondary Responsibility: Unit Administrator Department Chair Dean's Office Vice President for Research Senior Vice President for Business and Finance Office for Auditing and Advisory Services
	5.	Comply with federal, state, other sponsors, and University policies and regulations governing research and sponsored programs Primary Responsibility: Principal Investigator Unit Administrator Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Auditing and Advisory Services Secondary Responsibility: Vice President for Research Oversight Responsibility: Department Chair Dean's Office Vice President for Research Senior Vice President for Business and Finance Office for Research Integrity
	6.	Certify and monitor compliance Primary Responsibility: Principal Investigator Vice President for Research Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Office for Research Integrity Secondary Responsibility: Office for Auditing and Advisory Services Oversight Responsibility: Department Chair Dean's Office
	7.	Determine appropriate responses to incidents of non-compliance Primary Responsibility: Vice President for Research Senior Vice President for Business and Finance Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Animal Care and Use Committee Institutional Review Board Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity Office of the Provost Secondary Responsibility: Office for Auditing and Advisory Services Office of General Counsel Oversight Responsibility: Senior Vice President for Business and Finance Input Responsibility: Department Chair Dean's Office Research Safety Committees
	8.	Act as liaison with federal regulatory agencies during external compliance reviews Primary Responsibility: Principal Investigator Vice President for Research Senior Vice President for Business and Finance Office for Sponsored Research Accounting Services for Research and Sponsored Programs Office for the Protection of Research Subjects Office for Research Safety Technology Transfer Program Cost Studies Office for Research Integrity Office of General Counsel Executive Committee Secondary Responsibility: Office for Auditing and Advisory Services
	9.	Coordinate the A-133 audit and all other financial audits Primary Responsibility: Accounting Services for Research and Sponsored Programs Office for Auditing and Advisory Services Oversight Responsibility: Senior Vice President for Business and Finance
	Service Centers
	1.	Identify need for service center(s) (academic - research support) Primary Responsibility: Principal Investigator Secondary Responsibility: Department Chair Dean's Office Vice President for Research Input Responsibility: Vice President for Research Cost Studies Office for Auditing and Advisory Services Dean's Advisory Committee Office for Research
	2.	Establish "business plan" including resource needs and funding sources Primary Responsibility: Principal Investigator Unit Administrator Secondary Responsibility: Vice President for Research Input Responsibility: Department Chair Dean's Office Cost Studies Office of Budget Planning, Analysis and Allocation Dean's Advisory Committee Office for Research
	3.	Review and approve plan (initial and annual) Primary Responsibility: Department Chair Dean's Office Vice President for Research Secondary Responsibility: Office of Budget Planning, Analysis and Allocation Input Responsibility: Cost Studies
	4.	If recharge activity is involved, determine cost structure and develop recharge rates in accordance with A-21 and University policy (Initial and annual rates) Primary Responsibility: Service Center Oversight Responsibility: Cost Studies Input Responsibility: Cost Studies Service Center Advisory Committee
	5.	Review and approve proposed service center recharge rates (initial and annual) Primary Responsibility: Cost Studies Input Responsibility: Service Center Advisory Committee
	6.	Notify appropriate central offices, faculty and school administration that service center has been established Primary Responsibility: Service Center
	7.	Invoice users on a timely basis and manage service center accounting Primary Responsibility: Service Center Oversight Responsibility: Department Chair Dean's Office Vice President for Research Cost Studies
	8.	Identify need to close service center and close it Primary Responsibility: Department Chair Dean's Office Vice President for Research Input Responsibility: Principal Investigator Cost Studies Service Center Dean's Advisory Committee Service Center Advisory Committee
	Cost Reimbursement
	1.	Prepare F&A cost rate proposal Primary Responsibility: Cost Studies Oversight Responsibility: Senior Vice President for Business and Finance Executive Committee Input Responsibility: Dean's Office Vice President for Research Facilities Management
	2.	Review and give input on F&A cost rate proposal Primary Responsibility: Vice President for Research
	3.	Review and approve F&A cost rate proposal Primary Responsibility: Senior Vice President for Business and Finance Executive Committee Input Responsibility: Dean's Office Office for Research Advisory Committee
	4.	Negotiate F&A cost rate proposal with cognizant agency Primary Responsibility: Cost Studies Input Responsibility: Executive Committee
	5.	Communicate F&A rate to University personnel Primary Responsibility: Vice President for Research Secondary Responsibility: Dean's Office Office for Sponsored Research Accounting Services for Research and Sponsored Programs Cost Studies
	6.	Prepare fringe benefit rate proposal Primary Responsibility: Office of Budget Planning, Analysis and Allocation Secondary Responsibility: Cost Studies Human Resources Oversight Responsibility: Vice President for Research Senior Vice President for Business and Finance
	7.	Review and endorse fringe benefit rate proposal Primary Responsibility: Vice President for Research Senior Vice President for Business and Finance Executive Committee Input Responsibility: Dean's Office Office for Research Advisory Committee General Faculty Committee Graduate School Dean
	8.	Negotiate fringe benefit rate proposal with the cognizant agency Primary Responsibility: Office of Budget Planning, Analysis and Allocation
	9.	Communicate fringe benefit rate to University personnel Primary Responsibility: Senior Vice President for Business and Finance Office of Budget Planning, Analysis and Allocation Human Resources Secondary Responsibility: Dean's Office Office for Sponsored Research Accounting Services for Research and Sponsored Programs Cost Studies
	Pre-Proposal Support
	1.	Identify funding opportunities Primary Responsibility: Principal Investigator Secondary Responsibility: Unit Administrator Department Chair Dean's Office Vice President for Research Office for Sponsored Research Office of Alumni Relations & Development Graduate School Foundation Relations
	2.	Provide funding opportunity search engines on OSR website Primary Responsibility: Office for Sponsored Research
	3.	Provide reports to administrators for tracking funding trends Primary Responsibility: Office for Sponsored Research Secondary Responsibility: Dean's Office
	4.	Act as liaison with granting agencies, facilitating proposal development and promoting interaction (for large multi-disciplinary research opportunities) Primary Responsibility: Principal Investigator Vice President for Research Secondary Responsibility: Department Chair Dean's Office Office for Sponsored Research Foundation Relations Government Relations Office of the President
	5.	Work with the Congressional delegation to promote the University's areas of priority for funding Primary Responsibility: Vice President for Research Secondary Responsibility: Principal Investigator Department Chair Dean's Office Government Relations Office of the President
	6.	Foster new multidisciplinary research initiatives Primary Responsibility: Vice President for Research Secondary Responsibility: Principal Investigator Department Chair Dean's Office Office of the Provost
	7.	Maintain database of proposal submissions and awards and provide information to Schools Primary Responsibility: Office for Sponsored Research Input Responsibility: Principal Investigator Unit Administrator NU Information Technology/Office for Research Information Systems
	8.	Assist with implementation of sponsor electronic grant processing systems such as Fastlane Primary Responsibility: Office for Sponsored Research Secondary Responsibility: NU Information Technology/Office for Research Information Systems Input Responsibility: Principal Investigator Unit Administrator

Strategic

Direct and guide the University's research mission

Develop and direct new University research centers

Management of existing centers (close, transfer, or merge)

Identify and enable technology related relationships and partnerships with industry and government

Contribute to national research agenda and policies

Make policies with regard to HR (e.g. fringe benefits)

Policy

Review, interpret and disseminate policies from federal and non-federal funding and regulatory agencies (within area of authority

Keep current with policies related to compliance activities and assess effect on the University

Establish policies (within area of authority)

Interpret University policies related to grants and contracts

Develop standard procedures for research processes

Communicate policies and their effect on University

Implement University policies related to grants and contracts

Monitor adherence to policies

Enforce adherence to policies

Identify issues across all topics for which guidance is necessary

Training and Education

Identify regulatory and/or policy issues for which training and education are required

Coordinate training and education related to research and research support activities

Determine appropriate audience for training and education (role)

Determine appropriate individuals in need of training/education

Determine appropriate medium/method for training and education

Schedule and deliver training and education

Monitor use of and attendance at training and education

Communicate need for and importance of training and education to research community

Prepare content for training and education

Identify and prepare instructors ("train the trainer") and determine appropriate complement of subject matter experts for training and education

Establish and administer feedback process and effectiveness measures related to training and education

Develop and implement programs for certification of research administration

Compliance - General

Develop and implement a comprehensive research compliance program

Conduct research compliance risk assessment

Disseminate compliance information and new regulations to the research community

Serve as advisor to research community on key compliance topics

Comply with federal, state, other sponsors, and University policies and regulations governing research and sponsored programs

Certify and monitor compliance

Determine appropriate responses to incidents of non-compliance

Act as liaison with federal regulatory agencies during external compliance reviews

Coordinate the A-133 audit and all other financial audits

Service Centers

Identify need for service center(s) (academic - research support)

Establish "business plan" including resource needs and funding sources

Review and approve plan (initial and annual)

If recharge activity is involved, determine cost structure and develop recharge rates in accordance with A-21 and University policy (Initial and annual rates)

Review and approve proposed service center recharge rates (initial and annual)

Notify appropriate central offices, faculty and school administration that service center has been established

Invoice users on a timely basis and manage service center accounting

Identify need to close service center and close it

Cost Reimbursement

Prepare F&A cost rate proposal

Review and give input on F&A cost rate proposal

Review and approve F&A cost rate proposal

Negotiate F&A cost rate proposal with cognizant agency

Communicate F&A rate to University personnel

Prepare fringe benefit rate proposal

Review and endorse fringe benefit rate proposal

Negotiate fringe benefit rate proposal with the cognizant agency

Communicate fringe benefit rate to University personnel

Pre-Proposal Support

Identify funding opportunities

Provide funding opportunity search engines on OSR website

Provide reports to administrators for tracking funding trends

Act as liaison with granting agencies, facilitating proposal development and promoting interaction (for large multi-disciplinary research opportunities)

Work with the Congressional delegation to promote the University's areas of priority for funding

Foster new multidisciplinary research initiatives

Maintain database of proposal submissions and awards and provide information to Schools

Assist with implementation of sponsor electronic grant processing systems such as Fastlane