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Administration and Fiscal Management

Roles and Responsibilities Matrix for Research Administration
Responsibility for Proposals, Awards and Regulatory Compliance
Those responsible include the Principal Investigator, Department and Chair, Dean, Sponsored Projects Office (SPO), Post-Award Office (PAO), and the Research Compliance Office (RCO).

Compliance SPO PAO PI DEPT DEAN RCO
  • Management and oversight of the Institutional Review Board (IRB).
 X
  • Management and oversight of the Institutional Animal Care and Use Committee (IACUC).
 X
  • Management and oversight of the Institutional Biosafety Committee (IBC).
 X
  • Management and oversight of the Conflict of Interest Committee.
 X
Technology Transfer SPO PAO PI DEPT DEAN RCO
  • Agree to disclose inventions to the Technology Transfer Office under the Institution's policy on Intellectual Property (IP).
 X
  • Ensure compliance with Institutional IP Policy and Federal patent regulations by project personnel.
 X
  • Initiate invention disclosure process, obtains appropriate signatures & files Invention Disclosure Form with the Technology Transfer Office. Important to make a comprehensive disclosure, includes: Funding sources, prior obligations, prior art knowledge, etc.
 X
  • Maintain confidentiality.
 X
  • Assist in invention evaluation & marketing invention to industry.
 X
  • Preserve & maintains primary data related to inventions.
 X
  • Secure a Material Transfer Agreement, approved by the Technology Transfer Office, prior to transfer of research-related materials.
 X
  • Disclose activities in annual review.
 X
  • Complete invention portion of Continuing Grant Applications and Final Invention Report.
 X
  • Management and oversight.
 X X
Financial Conflict of Interest SPO PAO PI DEPT DEAN RCO
  • Know and comply with the institution Conflict of Interest policies.
 X
  • Disclose conflicts of interest and time commitment as required by institutional officials and federal agencies.
 X
  • Comply with any special conditions placed on investigator's role in a project in order to manage, reduce or eliminate a conflict of interest.
 X
  • Report, on an ad hoc basis, any changes to financial relationships affecting research.
 X
  • Management and oversight.
 X X
Institutional Biosafety Committee (IBC) SPO PAO PI DEPT DEAN RCO
  • Obtain approval from Institutional Biosafety Committee prior to conducting research using recombinant DNA or infectious disease.
 X
  • Issues also related to proper use of techniques, facility approvals, communication, reporting, training, complying with policy, etc.
 X
  • Ensure that incoming MTA's involving recombinant DNA or infectious agents receive approval from the Institutional Biosafety Committee.
 X
  • Management and oversight.
 X X
Human Subjects Protection (IRB) SPO PAO PI DEPT DEAN RCO
  • Adhere to federal regulations, state and local laws, institutional policies, and institutional procedures regarding the safety and protection of human subjects.
 X
  • Includes IRB approval, communication, reporting, recruitment, consent, document management, supervising, training, etc.
 X
  • Management and oversight.
 X X
Institutional Animal Care and Use Committee SPO PAO PI DEPT DEAN RCO
  • Adhere to all federal regulations, PHS policy, state and/or local laws, institutional policies and IACUC procedures regarding humane care and use of animals.
 X
  • Includes IACUC approval, communication, reporting, document management, required training, etc.
 X
  • Bottom line = Responsible use of animals in research.
 X
  • Management and oversight.
 X X
Environmental Health and Safety SPO PAO PI DEPT DEAN RCO
  • Has knowledge of institutional, local, state, and federal environmental health and safety policies applicable to research.
 X
  • Includes maintaining inventory of materials, safety, standard operating procedures, manages equipment, internal and external inspections, supervising, required training, reporting, and communication.
 X
  • Bottom line = Public Health
 X
  • Management and oversight.
 X X
Radiation Safety SPO PAO PI DEPT DEAN RCO
  • Disclose use of radioactive materials on the REX form.
 X
  • Follow the safety procedures outlined for materials that contain radioactivity.
 X
  • Management and oversight.
 X X
Human Resources and Equal Opportunity SPO PAO PI DEPT DEAN RCO
  • Has knowledge of and complies with any and all federal, state, and institutional laws, regulations, policies and practices pertaining to HRS and EO
 X
  • Management and oversight.
 X X
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