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Research Roles and Responsibilites
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Role 1 Filter
Role
Dean's Office
Department Chair
Principal Investigator
Unit Administrator
Accounting Services for Research and Sponsored Programs
Animal Care and Use Committee
Cost Studies
Institutional Review Board
Office for Auditing and Advisory Services
Office for Research Integrity
Office for Research Safety
Office for Sponsored Research
Office for the Protection of Research Subjects
Senior Vice President for Business and Finance
Technology Transfer Program
Vice President for Research
Accounting Services
Ad Hoc Faculty Committees
Center for Comparative Medicine
Conflict of Interest Committees
Conflict of Interest Point Personnel
Corporate Relations
Dean's Advisory Committee
Executive Committee
Facilities Management
Financial Systems
Foundation Relations
General Faculty Committee
Government Affairs
Government Relations
Graduate School
Graduate School Dean
Human Resources
Northwestern Center for Clinical Research
NU Information Technology/Office for Research Information Systems
Office for Research
Office for Research Advisory Committee
Office of Alumni Relations & Development
Office of Budget Planning, Analysis and Allocation
Office of Financial Operations & Treasurer
Office of General Counsel
Office of General Counsel
Office of Risk Management
Office of the President
Office of the Provost
Payroll
Purchasing
Research Safety Committees
Service Center
Service Center Advisory Committee
Sponsor Peer Review Committee
University Compliance Committee
University Relations
Level
Primary Responsibility
Secondary Responsibility
Oversight Responsibility
Input Responsibility
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Role 2 Filter
Role
Dean's Office
Department Chair
Principal Investigator
Unit Administrator
Accounting Services for Research and Sponsored Programs
Animal Care and Use Committee
Cost Studies
Institutional Review Board
Office for Auditing and Advisory Services
Office for Research Integrity
Office for Research Safety
Office for Sponsored Research
Office for the Protection of Research Subjects
Senior Vice President for Business and Finance
Technology Transfer Program
Vice President for Research
Accounting Services
Ad Hoc Faculty Committees
Center for Comparative Medicine
Conflict of Interest Committees
Conflict of Interest Point Personnel
Corporate Relations
Dean's Advisory Committee
Executive Committee
Facilities Management
Financial Systems
Foundation Relations
General Faculty Committee
Government Affairs
Government Relations
Graduate School
Graduate School Dean
Human Resources
Northwestern Center for Clinical Research
NU Information Technology/Office for Research Information Systems
Office for Research
Office for Research Advisory Committee
Office of Alumni Relations & Development
Office of Budget Planning, Analysis and Allocation
Office of Financial Operations & Treasurer
Office of General Counsel
Office of General Counsel
Office of Risk Management
Office of the President
Office of the Provost
Payroll
Purchasing
Research Safety Committees
Service Center
Service Center Advisory Committee
Sponsor Peer Review Committee
University Compliance Committee
University Relations
Level
Primary Responsibility
Secondary Responsibility
Oversight Responsibility
Input Responsibility
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Process Filter
General Research Administration Activities and Support
Strategic
Policy
Training and Education
Compliance - General
Service Centers
Cost Reimbursement
Pre-Proposal Support
Proposal Development and Budgeting
General
Technical Proposal
Proposal Budget
Transfer of Awards to Northwestern University
Proposal Review, Approval, and Processing
Protocol Review, Approval, and Monitoring
Human Subjects - IRB
Animal Subjects - ACUC
Safety
Conflicts of Interest - Strategy
Conflicts of Interest - Mechanics
Award Acceptance and Account Establishment
Pre-Award
Grant Acceptance and Account Set-Up
Contract Negotiations and Acceptance
Management of Awards
Budget Management
Animals Only
Financial and Management Reporting
Scientific/Program Management
Human Resource Management
Inventions
Close-Out of Award
Effort Reporting
General/Pre-Proposal
Proposal Preparation and Submission
Award
Project Performance
Effort Certification
Policies, Guidelines, and Procedures
Training and Communication
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Research Administration
Proposal Development
Proposal Review
Protocol Review
Award Acceptance
Award Management
Award Close-Out
Effort Reporting
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