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Roles and Responsibilities

Department Head/Chair

Institutional Commitment
Position Role
Sponsored Program Administration
Financial Management
Effort Reporting
Financial Conflicts of Interest
Human Subjects Protection
Animal Welfare
Environmental Health and Safety
Human Gene Transfer
Patents and Inventions

Institutional Commitment

All members of the University community involved in research will take personal responsibility for their actions in pursuit of individual and organizational excellence. Each individual will uphold the highest standards of ethical and professional conduct in accordance with the Washington University Code of Conduct, sponsoring agency policies and regulations and all other University policies governing research.

Position Role

A Department Head/Chair is an academic leader with programmatic, managerial and fiscal responsibilities for a designated department. Department Heads/Chairs report to a Dean and are responsible for establishing and promoting a culture of compliance within their department.

Sponsored Program Administration

General Administrative

  • Oversees Principal Investigators and Department Administrators in verifying proposals meet Federal regulations and University and sponsoring agency policies and procedures.

Preparation of Scientific Proposal

  • Directs Principal Investigator and Department Administrator to follow required Federal regulations and University and sponsoring agency policies and procedures when preparing, reviewing, approving, and submitting scientific proposals.

Proposal Budget

  • Provides oversight for Principal Investigators and Department Administrators during budget preparation, review, approval, and submission in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Preparation of Scientific Protocol

  • Provides oversight for all research protocols in the department that involve human and animal subjects to verify compliance with Federal regulations and University and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Establishes departmental procedure, in accordance with institutional policies and procedures, for reviewing terms and conditions of grant agreements when the Chair's signature is required.

Conduct of Research

  • Provides appropriate resources and environment to enable research to be conducted according to the terms of the award agreement, Federal regulations and University and sponsoring agency policies and procedures.

Facilities and Administrative Cost Rate

  • Oversees application of correct F&A rate on all sponsored projects.

Space Management

  • Provides direction and resources to maintain and administer data in the Space System according to University policies and procedures.
  • Allocates department space to faculty based on the needs of their research.

Equipment Management

  • Manages the allocation of equipment based on the needs of faculty research.
  • Provides resources for the timely maintenance of data in the Asset System in accordance with University policies and procedures.
  • Approves voluntary cost sharing for new equipment.

Service Centers

  • Provides direction and resources to maintain and administer service centers and/or service center rates in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Reporting

  • Holds the Principal Investigator responsible for accurate and timely submission of all technical/progress reports in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Project Closure and Reporting

  • Holds the Principal Investigator responsible for timely submission of technical reports and closeout documents in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Financial Management

Management of Project Funds

  • Establishes a culture of compliance and dedicates department resources to ensure research is conducted according to Federal regulations and University and sponsoring agencies policies and procedures.
  • Reports instances of noncompliance to appropriate compliance office.

Cost Sharing

  • Provides direction and resources for cost sharing obligations and expenditures.
  • Approves department's source of cost sharing matched by the fund.

Cost Transfer

  • Provides direction for rebudgeting and cost transfer activities.

Financial Project Closeout and Reporting

  • Provides direction and resources for financial project closeout and reporting activities.
  • Identifies departmental funds to cover project overruns.

Effort Reporting

  • Provides resources necessary for effort certification.

Financial Conflicts of Interest

  • Complies with the Washington University Conflict of Interest Policy and ensures that faculty and key personnel comply with School, University, and sponsor policies and procedures.
  • Takes appropriate steps to avoid conflicts of interest that may compromise, or appear to compromise, professional judgment in conducting or reporting research.
  • Discloses conflicts of interest to the appropriate Disclosure Review Committee and complies with recommended management strategies.

Human Subjects Protection

General Administrative

  • Promotes compliance with Federal, State, and local regulations, as well as University policies and procedures regarding the safety and welfare of human subjects participating in research projects.
  • Oversees all research activity in the department.

Protocol Preparation and Review

  • Establishes a culture of compliance and provides appropriate resources for the ethical and safe conduct of research involving human subjects according to Federal regulations and University and sponsoring agency policies and procedures.
  • Signs Request for Review of Research Proposal Involving Human Subjects Form affirming scientific review of the protocol.

Conduct of Human Subjects Research

  • Provides appropriate resources for the ethical and safe conduct of research involving human subjects according to the terms of the award agreement, Federal regulations and University and sponsoring agency policies and procedures.

Serious Adverse Events

  • Requires reporting of serious violations, particularly any that may affect participant safety.

Reporting

  • Creates a culture of compliance for Principal Investigators and Department administrators to provide the Human Studies Committee with required reports for the duration of the sponsored project.

Project Closure and Reporting

  • Creates a culture of compliance by maintaining documentation for required three years beyond completion of the study.

Animal Welfare

General Administrative

  • Provides direction and resources for the use and care of animals used in research projects.
  • Adheres to and supports all Federal regulations and University and sponsoring agency regulations regarding the use and care of animals used in research projects.

Protocol Preparation and Review

  • Establishes a culture of compliance and provides appropriate resources for the ethical and safe conduct of research involving animal subjects according to Federal regulations and University and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Supports University policies and procedures to ensure that appropriate regulatory approvals and assurances are approved, current, and in place.

Conduct of Animal Studies Research

  • Provides appropriate resources for the ethical and safe conduct of research involving animal subjects according to the terms of the award agreement, Federal regulations and University and sponsoring agency policies and procedures.

Serious Adverse Events

  • Requires reporting of serious violations, particularly any that may affect animal safety.

Reporting

  • Creates a culture of compliance for Principal Investigators and Department Administrators to provide the Human Studies Committee with required reports for the duration of the sponsored project.

Project Closure and Reporting

  • Creates a culture of compliance for securing and maintaining all documentation for the required three-year period beyond the completion of the study.

Environmental Health and Safety

General Administrative

  • Adheres to and supports Federal, State, and local regulations and University policies and procedures applicable to environmental health and safety practices and facilities used in research.
  • Establishes safety programs to implement compliance with environmental health and safety policies and procedures in their department/center.
  • Accountable for meeting safety and environmental objectives.
  • Reviews regulatory status of department and ensures compliance.
  • Complies with Stop Work decisions.
  • Complies with regulatory training requirements and corrects department deficiencies found in safety audits within prescribed time limits.

Preparation of Scientific Proposal

  • Provides facilities and resources to adequately implement research proposals.

Proposal Budget

  • Requires that approved budget proposal contains adequate funding, resources, facilities, and personnel, and that protocols comply with all Federal, State, and local regulations and University and sponsoring agency environmental health and safety policies and procedures.
  • Creates a culture of compliance for Principal Investigator and Department Administrator adherence to Federal, State, and local regulations and University and sponsoring agency policies and procedures for proposal budget preparation, review, approval, submission, and implementation to ensure environmental health, safety, and compliance.

Award Acceptance (Terms and Conditions)

  • Requires that appropriate regulatory protocols and assurances are approved, current, and in place prior the start of the research in accordance with University policies and procedures.

Conduct of Research

  • Supports Environmental Health and Safety requirements and ensures compliance.

Serious Adverse Events

  • Requires that all on-job accidents, illnesses, unlawful environmental releases and/or potential exposures are reported to appropriate university office.

Reporting

  • Oversees Principal Investigator compliance with all Federal, State, local, University, and sponsoring agency reporting requirements.

Project Closure and Reporting

  • Ensures department programs meet all project closure and reporting requirements.

Human Gene Transfer

General Administrative

  • Requires department compliance with requirements outlined in Appendix M of the NIH Guidelines for Research Involving Recombinant DNA Molecules.

Preparation of Scientific Proposal

  • Remains cognizant of all scientific proposals so that facilities and resources can be provided to adequately implement the research proposal.

Proposal Budget

  • Requires that approved protocol and proposal budget contain adequate funding, resources, facilities, and personnel to comply with Federal, State, and local regulations and University and sponsoring agency policies and procedures governing environmental health and safety and human gene transfer.

Protocol Preparation and Review

  • Remains cognizant of all scientific proposals so that facilities and resources can be provided to adequately implement the approved protocol.

Award Acceptance (Terms and Conditions)

  • Supports University policies and procedures to ensure that appropriate regulatory approvals and assurances are approved, current, and in place.

Conduct of Research

  • Communicates support for Environmental Health and Safety requirements for research projects to ensure compliance.

Serious Adverse Events

  • Requires that all serious adverse events (SAEs) are reported to the NIH and Food and Drug Administration as appropriate.

Patents and Inventions

General Administrative

  • Verifies and approves all patent expenditures.

Reporting

  • Notifies department and Dean of possible cost overruns.
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