Effective: 5/1/15 Reviewed: 5/31/16 Page 1 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRIX

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1 Effective: 5//5 Reviewed: 5/3/6 Page of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : STRATEGIC Direct and Guide the Institute's research mission Develop and direct new Institute research centers Management of existing research centers Director Actively maintain relationships with industry and government entities IA Seek out funding opportunities IA Provide guidance on appropriate funding opportunities IA AUDITS Coordinate the A-33 and financial audits for the Institute Director Provide support and/or source documentation requested by auditors HR, AP,, Acctg TRAINING Provide training and support to the research community on electronic proposal and award management systems used by Rensselaer (Cayuse, Fastlane, NIH Commons, etc) Provide training to the Research Administration and Finance staff on changes to federal policies and regulations and industry best practices Provide updates to the research community regarding changes to Institute and federal policies and regulations Provide training to the research community on compliance management systems (IRB Mentor, IACUC, FCOI, Citi) FEDERAL MANDATES / REPORTING (INSTITUTE LEVEL) NSF Higher Education Research and Development Survey NSF-NIH Survey of Graduate Students and doctorates in Science and Engineering Star Metrics (not yet participating) ARRA (Stimulus - reporting ended Jan 204) FCOI - Submit Conflict of Interest Disclosure Form (All?) FCOI - Complete Citi Training FCOI - Verify Citi Training has been completed by all project personnel FCOI - Create Management Plan(s) for reported FCOIs HR FCOI - Identify awards which include staff with FCOIs HR FCOI - Identify NIH awards requiring annual reporting HR FCOI - NIH Report data entry into Commons EAR/ITAR/OFAC EC Deemed license applications role is supportive to PI

2 Effective: 5//5 Reviewed: 5/3/6 Page 2 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : role is supportive to PI PROPOSAL PREPARATION (see SUBAWARDS section for subaward tasks) Provide guidance on proposal preparation and final budget Review requirements in sponsor guidelines/solicitation pare Project Information Form (PIF) pare preliminary budget pare budget justification Create proposal in sponsor electronic system pare task budgets Provide expenditure forecasting Identify Cost Share sources and obtain approvals Approve Cost Sharing Obtain Overhead Waiver approvals Approve Overhead Waivers Obtain IRB/Animals/BioHazard/Other safety approvals Review and Approve IRB/Animals/BioHazard/Other safety protocols Provide oversight and faciliation of compliance issues Coordinate Space Arrangements Circulate proposal documents for internal approval (EARS) Obtain internal approvals (EARS) Review and Approve proposal internally (EARS) (CS) and all Co-PIs pare and upload technical documents Provide preliminary info for Current & Pending Current & Pending support finalization Determine if Small Business Subcontracting plan is required pare Small Business Subcontracting Plan Provide Small Business Subcontracting Plan to Sponsor Review, update and finalize budget Upload final budget to sponsor electronic system Review proposal for compliance with sponsor, institution and federal administrative requirements Review proposal for compliance with sponsor, institution, and federal technical requirements Submit proposal (when required by sponsor) RB, RB Space Info Analyst For all orgns involved: -Dept Chair/ Director -Portfolio Dean/VP

3 Effective: 5//5 Reviewed: 5/3/6 Page 3 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : PREAWARD Review, negotiate and execute non-financial collaborative agreements (i.e., Legal teaming, allocation of rights, memorandum of understanding, etc) Obtain approvals and submit request for Bridge Funding Approve Bridge Funding over $500K: sident Establish Bridge Funding Monitor Bridge Funding pare and submit cost transfers if Bridge Funding is not awarded Process cost transfers if Bridge Funding is not awarded Request pre-award costs from Request pre-award cost approval from sponsor (if required) Establish pre-award spending Monitor pre-award spending pare budget revisions pare budget justifications as requested by sponsor pare technical or other revisions as requested by sponsor Review, update and finalize proposal revisions Submit proposal revisions to sponsor Receive notification of grant or contract award Review terms and conditions of award Legal Provide feedback on nonstandard terms and conditions when applicable Negotiate terms and conditions of award when necessary role is supportive to PI

4 Effective: 5//5 Reviewed: 5/3/6 Page 4 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : role is supportive to PI AWARD Accept and execute award on behalf of Rensselaer Confirm protocols and approvals for compliance requirements are current at award initiation Ensure protocols and approvals for compliance requirements are kept current throughout life of project Oversee compliance with NSF Responsible Conduct for Research (RCR) Verify all students and postdoctoral researchers supported by NSF to conduct research have received RCR training. Verify compliance with Conflict of Interest policy (currently NIH only) HR Set up award and assign fund number Set up program code Process journal voucher for award amount Review award setup and notify PI and FM of fund number Allocate budget and budget revisions Set up, process changes, relieve encumbrances for tuition and stipend Direct charge and approve expenses Assist in Process Manage Property Inventory Property Administration Periodic review of award expenses Expenditure forecasting reports pare and submit Small Business Subcontracting Plan Reports Distribute Stop Work Orders received to Researchers, - Grant Administrator,, and entire - staff Communicate with technical contact (i.e. sponsor program manager) regarding increments, extensions or award revisions and notify RA&F of status Communicate with administrative/grants contact (i.e. grants management specialist) regarding status of award documents once technical contact has authorized funding Submit change requests to sponsor (as needed - i.e. NCEs, budget, personnel, etc.) Notify appropriate offices of revisions to award pare and submit invoices to sponsors IA Receive and deposit payments from sponsors IA Produce and record letter of credit draw requests IA Pursue collections of overdue payments from sponsors Legal

5 Effective: 5//5 Reviewed: 5/3/6 Page 5 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : AWARD (continued) Maintain and monitor program income Report on program income pare, submit and provide proof of submission of technical/progress reports Assist in preparation of Reports when requested pare, submit and provide proof of submission of financial reports pare and submit cost transfer requests Approve and process cost transfers Property/Equipment: Property Administration, Acctg Certify interim work is complete Certify expenses are accurate SUBAWARDS Gather and provide required subrecipient documents, including letters of commitment, statement of work, budgets, biosketches, etc. Complete Request to Issue a Subaward Form and submit to with required attachments Review, update and finalize subrecipient documents Submit subaward documents to sponsor (with proposal if required) pare, negotiate and execute subaward agreement Issue subaward agreement to subrecipient Create requisition for subaward Approve requisition for subaward Director Create PO for subaward and send to subawardee with billing information (DMR) Submit FFATA reports as required Complete Request to Change Subaward form (any changes, funding increases, extensions) and submit to with required attachments Issue subaward amendments Submit subaward change request for Oscar/Banner Update subaward funding in Oscar/Banner Review and approve subaward invoices for payment Process subaward invoices for payment AP Request, obtain and review subrecipient A-33 audit reports annually Subrecipient monitoring role is supportive to PI

6 Effective: 5//5 Reviewed: 5/3/6 Page 6 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : PERSONNEL AND EFFORT CERTIFICATION Initiate hiring and appointment process Identify and initiate any screenings required (i.e., e-verify, foreign visitor screening, etc) Export Control license requirements Export Control Due Diligence Complete necessary labor cost transfers to award charges or and/or payroll distribution Obtain necessary supervisory reviews and approvals for Effort Certification (e-verify) HR, Payroll Verify accuracy of and sign completed effort certification Resolve problems or follow up on certifications not submitted PROJECT CLOSE-OUT Identify early close-out situations Ensure all appropriate expenditures have been posted to accounts pare final financial invoice Verify cash receipts (when necessary) Resolve issues related to unreconciled accounts pare, submit and provide proof of submission of final technical/progress reports Confirm submission of final technical/progress reports to sponsor Assist in preparation of final financial reports when requested pare, submit and provide proof of submission of final financial reports Provide information for non-financial administrative closeout documents (i.e., property, invention, etc) pare and submit non-financial administrative closeout documents to sponsor (i.e., property, invention, etc) Certify final work is complete Certify expenses are accurate Complete Certification Memo Inactivate award account(s) in financial accounting system (Banner) Retain official project closeout documents for sponsored projects per sponsor's record retention requirements OTC, Property Administration role is supportive to PI

7 Effective: 5//5 Reviewed: 5/3/6 Page 7 of 7 RESEARCH ADMINISTRATION RESPONSIBILITY MATRI Key to : INTELLECTUAL PROPERTY (IP) Request a waiver from the University s IP Policy for a specific sponsored project Review/recommend action on waiver of IP Policy on a specific sponsored project OTC (Appeals Committee) Review, Negotiate, and Execute MTAs Legal Review, Negotiate, and Execute Non-Disclosure Agreements (NDAs) Legal Review, Negotiate, and Execute Visiting Scientist Agreements OTC,, Legal Evaluate commercial viability of University IP OTC Disclose IP to OTC, complete Invention Disclosure Forms Market, negotiate and enter into license agreements for University IP OTC, Report Federally funded inventions to government (Bayh-Dole) OTC Receive Royalty Income and Process Distribution OTC Provide oversight of patent prosecution OTC, Legal EPORT CONTROLS (EC) Review research award Terms and Conditions for EC language, Legal Review research award Proposal Scope of Work for technology and equipment, Legal use Identify concerns with foreign national staffing at project setup HR,, Legal Monitor staffing for foreign national concerns throughout project life HR, Provide guidance on Export Control licensing requirements Negotiate Agreement to secure Fundamental Research Exclusion (FRE), Legal Manage Import/Export concerns regarding materials and equipment receipt and, purchase Determine if a Technology Control Plan is required, Legal Complete the Technology Control Plan role is supportive to PI