RAS Process Map Spreadsheet
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RESEARCH PROCESSMMK commentsMMK Tier IIMMK Tier IIICathy TinaAmitaJeff
Mary-Margaret
BrendaLauraZachPhilippeMaja
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TIER ITIER IITIER IIICan we assign Roles and Responsibilities to Tier II and Tier III processes (e.g. Establish an account - make it clear who can help...or have a "Questions?" icon - contacts for the content of that specific pageTier 1 (Sorry, i think that there are some better titles for this. I borrowed this from UMich website. this "process" step spans across the project lifecycle which is the thing tha tmakes the most sense)Tier 2 (global- Ethics hotline; links to all compliance systems, video overview)Tier 3 (these items will apply for all compliance functions. also links to Ehtics Hotline, connect with us and report an incident)Tier 4
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Get StartedOverview of Research and ExtensionRequirements of Faculty for ResearchNot sure what this means
Research Ethics, Compliance and Safety
Human Subjects ( all compliance level 2 items shoudl have three quick links: Connect, System Access, Training)Need help getting started? Short doc on overviewWondering if getting started information should be under an overview section vs. a part of the process?
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Start or Update a Protocollink to system, help docs, deadlines, review process
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Connect with us (email, phone, names, chat, newsletter sign up, office hours, calendar, committee info)
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Traininglink to online training, presentations,
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News/items of interest
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Forms/TemplatesMay not apply for everything, but does for the IRB
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PoliciesSearchable/filtered list of policies/SOPs/Guidance, like UMich
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Link to IP Assignment FormIs this necessary ?Live Vertebrate Animals
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additional items per CARE
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Watch Video of Research ProcessIn production? If this is at Tier 3 it might not be useful. Should be on homepage or Tier 2Recombinant or biohazardous materials
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Faculty Resources Page with Information on Faculty Handbook, CTE, Dean of FacultyFaculty Handbook should also be under policiesCOnflict of Interest
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Templates, Forms, GuidanceResponsible Conduct of ResearchAdded Tier III HASP https://sp.ehs.cornell.edu/lab-research-safety/research-safety/space-registration-(hasp)/Pages/default.aspxthis tier III item seems a little too broad - maybe put any forms/guidance under more specific process tier I/II step?
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Identify Specialized Research User Facilities, CapabilitiesResearch SafetyEH&S itemsredundant with "Identify Research Centers" tier II below?
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Get Access to Sponsor Submission SystemsThis should be a Tier 2 process. Doesn't fit in "overview of research and extension"
Get Access to Sponsor Submission systems
Should there be something on FOIA requests on Level 2?Get access to sponsor submission systems seems redundant with Register for eRA/Fastlane below in a tier II category
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PoliciesMaybe we should take policies out of the process map and put it into main nav barAdded Tier III Environment, Health and Safety Policy 8.6 https://www.dfa.cornell.edu/tools-library/policies/environment-health-and-safety  (Smoking Policy and Pet Policy are also EHS, but I am not sure these need to be connected to this website)
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Who Can HelpIdentify my Grant and Contract Officer CO and/or my CALS OSR and CVM Research Office contactsORIA people, RASC. WIll this link directly to a contacts page? or will it help to guide users to who can help in what situation? Added Tier III Lab and Research Safety https://sp.ehs.cornell.edu/lab-research-safety/Pages/default.aspx  and Environmental Health and Safety https://sp.ehs.cornell.edu/Pages/Home.aspx  
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Register for eRA Commons (NIH) and Fastlane (NSF)Register for funding agency submission systems; List specific registrations on Tier 3. with a catchall at the top or bottom of the list - these are the most commonly used systems, for others, contact your GCO with a link to who is my GCO. This is a duplicate of "get access to sponsor submission systems";Suggest adding this to develop and submit a proposal
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Fill out Required Financial Conflict of Interest DisclosureSuggest moving COI to the bottom of the next tier I category
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Determine Eligibility to Serve as a PILink to PI eligibility policy. Should this be higher up in the list? Suggest adding this to develop and submit a proposal
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Identify Research CollaboratorsScholars at Cornell as Tier 3?Suggest adding this to develop and submit a proposal
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Identify Research CentersList of research centers at Tier 3?Suggest adding this to develop and submit a proposal
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Sign up for Sponsored Funding Notifications / listservenewsletter also?Add to Develop and Submit a Proposal >> Apply for Funding
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Research Compliance and SafetyWork with Radiationapply for a permit from Radiation Safety - (confirming process details with RSO)
Need Tier 2 process on Export Compliance
Added Tier II - Using Power Tools https://sp.ehs.cornell.edu/osh/occupational-safety/tool-and-machine-safety/Pages/default.aspxAdd RCR information: https://www.oria.cornell.edu/rcr/
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Hazard Assessment Door Signage (HASP) is required to identify hazards for each unique room. Access needs to be requested from EHS and is the responsibility of the lab to complete on an annual basis or when roster or hazard information changes:https://sp.ehs.cornell.edu/lab-research-safety/research-safeAdded Tier II Respiratory Protection https://sp.ehs.cornell.edu/osh/occupational-health/respiratory-protection/Pages/default.aspx                                                      Added Tier II Respiratory Protection https://sp.ehs.cornell.edu/osh/occupational-health/respiratory-protection/Pages/default.aspx                                         Added Tier II - Ergonomics Safety https://sp.ehs.cornell.edu/osh/occupational-health/ergonomics/Pages/default.aspx
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"Required training" EHS for all persons working in a Cornell Lab: Laboratory Safety [#2555] and Chemical Waste Disposal [#2716]. Specific to Research Operations (see the OSHA required trainings webpage: https://sp.ehs.cornell.edu/training/Pages/Safety-Course-Listing.aspx Bloodborne Pathogens [#1070]; FormaldehydeAdded Tier II Reproductive Health https://sp.ehs.cornell.edu/osh/occupational-health/reproductive-health/Pages/default.aspx                                                          Added Tier II - Mobile Equipment https://sp.ehs.cornell.edu/osh/occupational-safety/mobile-equipment/Pages/default.aspx                           
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Work with Biohazardous MaterialsLaboratory Inspections information: https://sp.ehs.cornell.edu/lab-research-safety/chemical-safety/laboratory_inspections/Pages/default.aspx    Add section on MUA and link to IBC system?
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Work with biosafety officer
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Confirm biosafety approvals are current
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"Required training" EHS for all persons working in a Cornell Lab: Laboratory Safety [#2555] and Chemical Waste Disposal [#2716]. Specific to Research Operations (see the OSHA required trainings webpage: https://sp.ehs.cornell.edu/training/Pages/Safety-Course-Listing.aspx Bloodborne Pathogens [#1070]; Formaldehyde
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Laboratory Inspections information: https://sp.ehs.cornell.edu/lab-research-safety/chemical-safety/laboratory_inspections/Pages/default.aspx    
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Hazard Assessment Door Signage (HASP) is required to identify hazards for each unique room. Access needs to be requested from EHS and is the responsibility of the lab to complete on an annual basis or when roster or hazard information changes: https://sp.ehs.cornell.edu/lab-research-safety/research-safe
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Work with ChemicalsSee Tier III above
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Work with Animals"Get trained/Certified" for working with animals
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Confirm
animal approvals
are current
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Develop per diem rates/
associated costs for budget if likely to use animals
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consult with IACUC and CARE to submit protocol
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Access to eSirius
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Hazard Assessment Door Signage (HASP) is required to identify hazards for each unique room. Access needs to be requested from EHS and is the responsibility of the lab to complete on an annual basis or when roster or hazard information changes: https://sp.ehs.cornell.edu/lab-research-safety/research-safe  onboarding summer students and graduate students
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"Required training" EHS for all persons working in a Cornell Lab: Laboratory Safety [#2555] and Chemical Waste Disposal [#2716]. Specific to Research Operations (see the OSHA required trainings webpage: https://sp.ehs.cornell.edu/training/Pages/Safety-Course-Listing.aspx Bloodborne Pathogens [#1070]; FormaldehydeUsing client owned animals. Patients brought in to hospital. Clinical research. Goest to VET clinical studies commitee
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Laboratory Inspections information: https://sp.ehs.cornell.edu/lab-research-safety/chemical-safety/laboratory_inspections/Pages/default.aspx    I am not sure the laboratory inpection information needs to be here.  Maybe IACUC or AALAAC informationTIER III required training for work with animals
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Confer with CARE and EHS on experimental design, costs, support if using animals or xxxxCornell Health AUHSP onboarding
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Work with Human ParticpantsGet trained/Certifiedfor work with human SubjectsAdd IRB Decision Trees?
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Consult with the IRB. Submit protocolLink to IRB system in future w/RASS. In general, I think we should have links to the systems in context (tier II/III) and also at the top level (tier I) per the new page section "important tools..."
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Confirm Human Participant approvals are current
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Develop and Submit a ProposalApply for FundingIdentify funding opportunity / limited submissionIdentify funding opportunities - should this be a Tier 1 process? This needs to be front and center, not buried as a Tier 3 processWondering if tier III items under Apply For Funding can be bundled further - or if these items would go onto a checklist. It seems a little overwhelming as-is.Under apply for funding should be: Funding databases Grants.gov
FedBizOpps
Catalog of Federal Domestic Assistance (CFDA) List of funding agencies/sponsors, NIH, NSF, ec. limited submissions.http://www.findrfp.com/, http://foundationcenter.org/find-funding/fdo-quick-start, https://www.cof.org/community-foundation-locator
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Create a Project checklist (based on the research design, RFP and unit policies)Tier 2 - Rename as Prepare a Proposal; Should all the information in this tier 3 section be combined into either a checklist or guidance document.
Add Tier 3 processes for Form 10, Proposal Review Process Proposal Review Guidelines, working with subawards
In general, should we refer to project as sponsored project (to distinguish from other research projects?)
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Determine eligibility to apply for funding according to the terms of the RFWhere will this take the user?Form-5 link
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Identify required proposal elementsWhere will this take the user?
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For major projects have a Project meeting with OSP, SFS, unitWhere will this take the user?Tier III to "Identify Cornell Support Staff and Resources for Prop Dev" below
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Confer with colleagues who have served on review panels, been successful in obtaining funds from similar programs (do we have a list on the OSP Proposal Advancement site?)Where will this take the user?Tier III to "Identify Cornell Support Staff and Resources for Prop Dev" below
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Submit intent to submit a proposalForm-10 / RASS link
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Information on proposal review process and internal deadlines
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Obtain current copy of solicitation, RFP, other sponsor announcementWhere will this take the user?Duplicate of identify required proposal elements
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If Industry funding, consult your GCO to review Terms and conditionsTier III to "Identify Cornell Support Staff and Resources for Prop Dev" below
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Non-Financial Agreements
Tier 3..LInk to NFA form, MTA, DUA and NDA should each have their own Tier 3 process with a link to the general mailbox; DUA should also have "determine storage requirements with a link to CRADC" Don't use acronyms.
Tier III - Send research materials to an outside collaborator (outgoing material transfer agreement), Recieve research materials from an outside collaborator (incoming material transfer agreement), Non-disclosure agreement, Restricted Access Data agreement
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Identify Cornell Support Staff and Resources for Proposal DevelopmentThis should be at the top of the list; Change to "Identify proposal writing resources";
add a separate Tier 2 for Center/Complex proposal development
Tier 3 Faculty Resources for proposal development
T
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Develop Detailed BudgetDetermine if low F&A rate will be allowable by college and if so under what conditions
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Start sub-award process if appropriateChange to: include subaward in proposal (need better nomenclature)
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Establish Cost Sharing Accounts
Cost sharing accounts does not fit here
Tier 3 headings: F&A rates, benefits,GRA costs; tuition, salary (including DHHS/NIH caps); stipends escalation, equipment, travel, participant support costs, budgeting for subawards; other direct costs
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Request tuition match and/or stipend supplement
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estimate costs ( hopefully down the road this will be an interactive tool fro RASS, but in the meantime perhaps a controlled spreadsheet that Mary Linton at the VEt school uses, to estimate costs for various categories and links to standard rates that can be used to create an estimate)
Tier 2: need to include Institutional information required for proposal submission (Institutional profile). Our current page is https://www.osp.cornell.edu/ProposalPrep/inst-prof.html U Mich has a nice page for this that is more comprehensive than ours
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Confer with CTL if you have concerns about inadvertently disclosing unprotected intellectual propertyIdentify graduate students who may work with you if fundedI would suggest a new name for Tier II, e.g. protect your intellectual property. Also, is this redundant with MTA and NDA above? It seems odd to have a very department specific section here.
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CTL Officer will evauluate invention and discuss with inventor(s) options such as patenting
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Submit form and any questions to CTL-Connect@cornell.edu
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Complete Invention Disclosure Form found on CTL website at www.ctl.cornell.edu/inventors/forms/Invention-Disclosure.pdf
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CTL assigns inventor(s)/PI(s) a Technology Licensing Officer to work with
Tier 2: Proposal Review process - include review timeline and policy, review matrix, proposal review policy
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Determine best collaboration tool (for collaborative proposal development based on number and type of collborators)don't know what this meansPerhaps change to "Proposal development collaboration tools"? Is this just to share files, e.g. Box, Google Drive?
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Submit ProposalWhere does this take you? routing and approvalsForm-10 / RASS
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Receive an Award or AgreementReceive a Sponsor AwardAward notification
Tier 2: Pre-Award/Post submission: JIT requests, budget revisions, advance accounts (?); Notification of Award in Process by sponsor; ; Can the Tier III be structured as mini life-cycle? Award not funded - notify OSP
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Award Acceptance DocumentsChange Tier II title to "Award review and negotiation"
Tier 3 infomration about transaction authority, contact information
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Review "award sheet" from OSP and the full terms and conditions of the contractThis will change when RASS is launched. Terms and conditions will be delivered through the system.
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Appoint individuals to awardWhere will this lead to?
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Establish accountWill lead user to information on SFS site? Or provide instructions ?
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Hire students /staff
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Collect Funds from sponsorWhy is this included? Doesn't SFS do this?
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Establish program income account. Record, expend, monitorLink to SFS; include contacts for SFS?
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Receive Other FundingOther types of funding? Gifts? What is a Sponsored Award?
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Non-Financial AgreementsSet up financial management processNot sure why financial management Tier III is here;
Tier III process for NFAs - description of MTAs, NDAs, DUAs, Link to NFA form
Tier III category about financial management seems to be in the wrong place
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Confirm Animal/Human/Biosafety Approvals are CurrentEstablish pre-award accountsThis item seems like it could be in a checklist, e.g. make sure you have all of the required training and approvals to get your funding?
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Create a Culture of Safety and Responsibility in Research in Your LabShould this also go in "getting started"?
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Initiate a ProjectConsult VETs, Purchase Animals, Submit Periodic Reports / Amendments/Incident ReportsConsider merging Initiate a project and Manage a project into one Tier I Process: Initiate and Manage a Project. We found that the line between Iniitiate and Manage was too blurry
Research ethics and compliance
humans, animals, radiation, biohazards, export, risk management
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Purchase Equipment, goods and services
Understanding Terms and Conditions
Uniform Guidance, Research Terms and Conditions (RTC), links to OSP agreement templates, Public Access Policy, Reporting, Agreement Issues Quick Guide
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Hire Student Research Assistants and/or Post Docs (info and link to grad school, college help pages on this topic?Finanical Administration
Cost share, graduate students, travel, space, capital assets, equipment, materials and supplies, staff, effort, consultants, subawards, managing accounts
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Create a Culture of Safety and Responsibility in Research in Your LabHuman Resources
School of Graduate Studies, Grad Students, Postdocs, International, ISSO
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Manage Cost SharingProject Changes
Budget revisions, no cost extensions, PI changes, early termination, transfer grants to/from another institution
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Prior Approvals, order, recordSubawards
activate a subaward, subaward monitoring, consultants, service agreements, procurement, risk management
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Manage a ProjectUnderstand Award Budgeting and Financial ReportingTrack FinancialsInternational work
export controls, risk management, travel, ISSO, NGOs, Office of the VP for Itnernational Affairs/Global Cornell
any way to combine some level III items here?
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Handle change in project scope/ plan/ experimentsIntellectual propertypolicy, inventions, patents
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Subrecipient monitoring, payments, technical reportsUes of Cornell facilities
centers, facilities, space, link to policy
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Approve/track work, submit amendments, track status, determine if work is done on or off-siteNon financial agreements
MTAs, NDAs, DUA, MOUs, teaming agreements, collaboration agreements, etc
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Justify normally indirect costs
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Record changes in time, money, PI, scope
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Allowability rules.
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Process payments / financial administration
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Request accounts for off-campus treatment
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