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Roles & Responsibilities
University
of Rochester Department/Unit Head
A Department/Unit Head is an academic leader with programmatic,
managerial and fiscal responsibilities for a designated area, such
as a department, division, unit or center. As such, the Department/Unit
Head provides local oversight (i.e., broad managerial oversight)
of research policies and processes. This oversight is normally delegated
to Departmental Administrative Staff. In instances where there is
insufficient Departmental Staff, oversight may be delegated to a
School/College Business Center or other administrative office.
The Department/Unit Head reports to a Dean or to a Chair (in the
case of a Division or Unit Chief at the Medical Center).
PROPOSAL PREPARATION AND SUBMISSION
General
The Department/Unit Head may delegate proposal review to an Associate
Chair or other senior ranking academic official within the department.
After preliminary review by Department Administrative Staff, the
Department/Unit Head reviews the proposal for the following elements
and either provides approval (by signing the University of Rochester
Proposal Sign-Off Form) or returns it for issue resolution:
-
the applicant is eligible to be a Principal
Investigator according to the University’s Policy on
Principal Investigator Eligibility, or has approved an exception
to the Policy and has committed department resources in order
to support him/her in this responsibility;
-
the Principal Investigator is eligible to conduct the project;
-
the Principal Investigator can manage the project effectively;
-
all relevant certification and training requirements have been
completed;
-
the scientific relevance of the project and its long-range impact
on the Department.
-
procedures used are consistent with sound research
design and do not unnecessarily expose subjects to risk/harm
-
design is appropriate to the proposed question
-
reasonably expected to result in important knowledge
When the Principal Investigator is a Department/Unit Head or other
individual reporting directly to the Dean, the Dean reviews the proposal
and either provides approval or returns it for issue resolution. Technical Proposal
The Department/Unit Head:
- reviews the technical proposal for space-related issues and
either provides approval (by signing the Proposal Sign-Off
Form) or returns it for issue resolution.
- informs and seeks approval from the Dean (or other appropriate
University official) if successful conduct of the project requires
additional space, or modification/renovation of existing or
other space.
Proposal Budget
The Department/Unit Head:
- reviews the proposal for the following elements and either
provides approval (by signing the Proposal Sign-Off Form) or
returns it for issue resolution:
- the categorical budget appears reasonable for the project
scope and its justification is appropriate;
- cost sharing through contributed effort or other means is
required and/or appropriate;
- matching hard dollars are available and documented.
- reviews and approves shared facilities and administration
cost recovery (by signing the Sharing of Indirect Cost Recovery
Form) if faculty from other schools/colleges are significantly
involved.
- reviews and/or approves requests
to the Dean’s Office for
indirect cost/F&A rate reduction.
Regulatory Requirements
The Department/Unit Head:
- provides local oversight over the proper notification and
preparation of forms (either at proposal submission time or “Just
In Time” in accordance with sponsor requirement) for
research with human subjects, live animals, recombinant DNA,
infectious agents, biological toxins, radioactive materials,
hazardous materials or Protected Health Information (PHI).
- reviews the Conflict Disclosure Form if a potentially significant
conflict of interest situation exists and, as necessary, advises
the Dean on the management of the conflict. (Note that the
Principal Investigator is responsible for notifying both the
Chair and the Dean of any potential conflict.)
Proposal Routing Form
The Department/Unit Head reviews
(or ensures that review has been completed by Departmental Administrative
Staff) the Proposal Sign-Off Form for completeness and accuracy
and either approves the document or returns it for issue resolution.
CONDUCT AND MANAGEMENT OF THE PROJECT
General
The Department/Unit Head:
- encourages, supports, and attests to appropriate education
in proper conduct of research by departmental personnel.
- provides oversight on implementation of University, state
and federal policies and regulations at the departmental level.
Conduct of the Research
The Department/Unit Head:
- establishes an expectation of, and infrastructure for, sufficient
internal controls over sponsored program administration and
ensures adequate resources are provided in this regard.
- provides local oversight over conduct of individuals supported
by sponsored programs.
- takes the appropriate actions (when notified by ORPA or
a funding sponsor of a delinquent report) with the Principal
Investigator to ensure that programmatic reports are completed
and submitted.
Budget Management
The Department/Unit Head:
- maintains local oversight for the project budget and the
allowability and reasonableness of all expenditures.
- reviews proposed resolution of account overdrafts (e.g.,
deficits) and either approves them or returns them for issue
resolution.
- reviews rebudgeting requests (if required) that impact the
Department budget and either approves them or returns them
for issue resolution. The Department/Unit Head notifies the
Dean of rebudgeting in cases in which rebudgeting has an impact
on resources in the unit or Dean’s office. (Note that
if rebudgeting requires sponsor approval, ORPA must approve
and co-sign that request to the sponsor.)
- Evaluates and approves, when necessary, late cost transfer
requests.
Program Income
The Department/Unit Head has oversight
over monitoring program income
Effort Certification
The Department/Unit Head provides
local oversight over effor certification and oversees/certifies
effort distribution through the semi-annual plan confirmation system
review.
Inventions
The Department/Unit Head ensures that
all research personnel, including graduate students, have signed
the University's Intellectual Property Agreement.
Project Closure
If notified by Office of Research
and Costing Standards (ORACS), will assist in the resolution of
financial reporting if the information required to submit the report
is not being provided by the department.
Regulatory Compliance
If the project involves the following
elements, the Department/Unit Head provides local oversight:
- human subjects;
- live animals as subjects;
- human blood or body fluids;
- radioactive materials and/or ionizing or nonionizing
radiation producing equipment;
- recombinant DNA, infectious agents, narcotics
or biological toxins.
- Protected Health Information (PHI).
The Department/Unit Head:
- provides local oversight in completion of the periodic space
survey and equipment inventory.
- ensures that all Department investigators have completed
the annual Conflict Disclosure Form as delegated by the Dean,
and that any potential conflicts have been reported to the
Dean.
- reviews the Conflict Disclosure Form if a potentially significant
conflict of interest arises during the course of the year and,
as necessary, advises the Dean on the management of the conflict.
(Note that the Principal Investigator is responsible for notifying
both the Chair and the Dean of any potential conflict.)
- ensures that any audit matters resulting from audits of activities
within the department/unit are resolved timely and appropriately.
Project Closure
The Department/Unit Head:
- resolves issues related to late payment and problems with
collection of awarded funds in conjunction with ORPA and ORACS.
- provides local oversight over record retention.
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