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Roles & Responsibilities
University
of Rochester Department Administrative Staff
Administrative Staff at the departmental, center or unit level,
provide administrative support for one or more sponsored projects.
Included in the Administrative Staff category is a wide variety
of duties and position titles, including administrative director,
administrator, accounts manager staff accountant, bookkeeper, administrative
assistant, assistant to, secretary, etc.
With respect to management of sponsored accounts, Departmental
Administrative Staff may have signature authority if delegated in
writing by the Principal Investigator, or have other functional
roles for sponsored programs. Signature authority for the Principal
Investigator may NOT be delegated in the case of the University
Proposal Sign-Off Form. Functional roles may include the preparation
of budgets, completion and processing of financial, procurement,
human resource and other electronic and paper transaction documents,
etc. Normally, a department will delegate only a few Department
Administrative Staff with signature authority, but numerous individuals
will have a functional role with respect to sponsored programs.
Because the person with signature authority
monitors documents completed by other staff, an “approver” cannot be the
same person as a “preparer”. If there is a shortage
of Departmental Administrative Staff in a department, “approver” status
should be elevated to that of Principal Investigator or Department/Unit
Head.
Departmental Administrative Staff report directly to their supervisor(s)
in the department (e.g., chair, unit head, unit or departmental
administrator, principal investigator, etc.).
PROPOSAL PREPARATION AND SUBMISSION
If the Principal Investigator’s
unit lacks Departmental Administrative Staff for proposal preparation
or other sponsored programs administration requirements, he/she
assumes these responsibilities or seeks support from the respective
Department/Unit Head or Dean.
Proposal Budget
Departmental Administrative Staff:
- prepare documents and provide information for the categorized
budget and its justification, and may participate and offer
guidance in preparing the proposal budget.
- process requests for approval for cost sharing or matching
funds.
- process requests for sharing of F&A
recovery.
- maintain databases or files of sources of support for each
Principal Investigator in the department (Other Support information,
resources and environment statements, and biosketches).
- assist the Principal Investigator in obtaining and reviewing
budget information from other collaborating university departments
and subrecipients.
Technical Proposal
Departmental Administrative Staff support Principal
Investigators in formatting, typing or editing technical proposals,
and are famiiar with major sponsor proposal requirements, to
ensure proposal meets institutional and agency submission requirements.
Regulatory Requirements
Departmental Administrative Staff:
- assist with and ensure the correct and timely preparation
of the appropriate forms from the Research Subjects Review
Board (RSRB) or the Western Institutional Review Board (WIRB),
the University Committee on Animal Resources (UCAR), the Radiation
Safety Office and/or the Office of Environmental Health and
Safety (EH&S), prior to proposal submission (if necessary).
- assist in obtaining additional collegiate or departmental
approvals, for example, General Clinical Research Center review.
- ensure that Principal Investigators complete an Intellectual
Property Statement (IPA), and respond to ORPA requests to update
departmental IPA listings.
- assist the Principal Investigator in the development of
a Small Business Plan, if necessary.
Proposal Routing Process
Department Administrative Staff::
- assist with and ensure that the Principal Investigator has
reviewed, fully completed and signed the University Proposal
Sign-Off Form.
- complete a final review of the proposal
prior to Department/Unit Head’s review and signature.
- assist in the circulation of the Proposal Sign-Off Form
and ensure that all appropriate signatures are obtained.
Proposal Dissemination and Tracking
Departmental Administrative Staff:
- provide a copy of proposal and Sign Off Form to the Principal
Investigator and department, Co-Investigators and department,
and ORPA within five days of submission.
- maintain a system (or use/verify COEUS information) of departmental
proposals and current status.
ACCEPTANCE OF AWARD
Preaward
Departmental Administrative Staff
recommend the use of a contingent account when necessary, may assist
in the preparation of the required forms and identify the alternate
account to be used.
Negotiations with Sponsor
Departmental Administrative Staff
assist the Principal Investigator, as needed, in negotiations with
sponsors on project scope and budget.
Departmental Administrative Staff, in conjunction with the Principal
Investigator, review the internal Notice of Award (which stipulates
the approved budget and terms and conditions of the award), and
will notify ORPA if there are any comments, questions or corrections.
Department Administrative Staff maintain a departmental award
database, or use COEUS for tracking awards.
CONDUCT AND MANAGEMENT OF THE PROJECT
General
Departmental Administrative Staff
should reference the Sponsored Programs Compliance web site, attend
departmental research administration meetings, or contact the appropriate
university offices to obtain information about rules and requirements
governing sponsored funding. Departmental Administrative Staff
have a responsibility to keep current on and inform department
faculty with respect to such rules and requirements (e.g., subscribe
to ORPA-L). (In time, Departmental Administrative Staff will maintain
CLASP certification by satisfying continuous learning requirements.)
If the Principal Investigator’s unit lacks Departmental Administrative
Staff for project management or other sponsored programs administration
requirements, he/she assumes these responsibilities or seeks support
from the respective Department/Unit Head or Dean.
Conduct of the Research
Departmental Administrative Staff:
- working with the Principal Investigator, gather information
on the conduct of subrecipients and notify the Office of Research
and Project Administration and the Office of Research and Accounting
Standards (ORPA and ORACS) of any problems that may have arisen
with research progress.
- compare subrecipient invoices against the budget, and verify
overall accuracy of the invoice and submit to PI for review
and approval.
- when notified by ORACS of late or delinquent invoices, will
notify and instruct the subrecipient to invoice, if appropriate
(e.g., if work as been completed).
- prepare financial documents and provide information for
appointment of individuals to the project (and exercise signature
authority if delegated).
Develop and Implement a Small Business
Plan
Departmental Administrative Staff :
- assist the Principal Investigator and Purchasing Services
with the implementation of the Small Business Plan (if required).
- review periodic reports about small
business plan goals.
Budget Management (while the Principal
Investigator retains primary responsibility for financial accountability,
the Principal Investigator or the Department/Unit Head can delegate
an authorized representative to act on his or her behalf for account/project
management. Therefore, Departmental Administrative Staff may undertake
most of the responsibilities outlined in the Roles and Responsibilities
of the Principal Investigator - Budget Management. In any event,
accounts must be managed by persons trained in these responsibilities.)
Departmental Administrative Staff:
- possess a working knowledge of the UR ledger system and end-user
reporting tools.
- possess a working knowledge of expense allowability and prevent
inappropriate and untimely charges.
- expedite the documentation of cost sharing and/or matching/in-kind,
and maintain such documentation.
- prepare documents, provide information for rebudgeting actions
to ORPA and/or ORACS, and maintain justification for rebudgeting
(if necessary).
- provide information to ORACS resolve accounts in deficit.
- provide information to ORACS for interim financial reports
(if necessary).
- prepare the documents for cost transfers, and maintain adequate
documentation and justification for cost transfers.
- prepare documents and provide information for internal and
external purchasing and obtain Principal Investigator signature
for purchase requests as appropriate (or as deemed by department
policy or best practices).
- conduct financial monitoring, assist with the identification
and resolution of errors in the account in a timely manner
and provide regular analysis of expense activity to the Principal
Investigator. Ensure Principal Investigators have reviewed
monthly ledgers, and document as appropriate.
- for project billings that are based on performance milestones
and/or patient case report forms, to prepare and submit to
the project sponsor documentation in support of milestone payment.
- upon receipt of clinical trial payments, reconcile with
the Principal Investigators and/or study coordinator that payment
is accurate, notify ORPA of receipt of payment with appropriate
instructions for modifying the account, and submit checks to
ORACS in a timely manner.
- maintain documentation for purchases, as appropriate.
Program Income
Departmental Administrative Staff:
- prepare and process documents and provide information to
ORPA and ORACS for recording program income.
- verify receipt of program income.
Effort Reporting
Departmental Administrative Staff assist with the preparation
and verification of documents and provide information to ORACS
on effort certification (Plan Confirmation).
Project Closure
Departmental Administrative Staff:
- provide information for the final financial report as required
by the University’s Financial Close-out Policy.
- review final financial statements or reports provided by
ORACS.
- assist with the reconciliation of ledgers after project closure
and with appropriate transfer of any account deficits.
Regulatory Compliance
Department Administrative Staff:
- assist with the annual and ad hoc conflict of interest process
and ensure via the Departmental/Unit Head that all investigators
have submitted an annual disclosure form.
- are responsible for completion of bi-annual equipment survey
for Property Accounting, including tagging of assets on an
ongoing basis.
- assist with the preparation of the NIH Salary Cap Forms when
applicable.
- assist and complete the periodic space survey, notify and
update Facilities and Planning (and Office of Space Planning
at the Medical Center) of changes in space occupation.
- assist in the completion of the annual cost sharing certification
(if applicable).
- are responsible for adherence to record retention policy
for all financial documentation.
- are responsible for cooperating in the audit process, whether
internal or external audit staff is involved.
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