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Strategic

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  • Primary Responsibility:
  • Cost Studies
  • Input Responsibility:
  • Service Center Advisory Committee

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

  • Primary Responsibility:
  • Service Center

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

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

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

Review and give input on F&A cost rate proposal

  • Primary Responsibility:
  • Vice President for Research

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

Negotiate F&A cost rate proposal with cognizant agency

  • Primary Responsibility:
  • Cost Studies
  • Input Responsibility:
  • Executive Committee

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

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

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

Negotiate fringe benefit rate proposal with the cognizant agency

  • Primary Responsibility:
  • Office of Budget Planning, Analysis and Allocation

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

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

Provide funding opportunity search engines on OSR website

  • Primary Responsibility:
  • Office for Sponsored Research

Provide reports to administrators for tracking funding trends

  • Primary Responsibility:
  • Office for Sponsored Research
  • Secondary Responsibility:
  • Dean's Office

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

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

Foster new multidisciplinary research initiatives

  • Primary Responsibility:
  • Vice President for Research
  • Secondary Responsibility:
  • Principal Investigator
  • Department Chair
  • Dean's Office
  • Office of the Provost

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

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