| |
Financial Compliance |
Animal Care & Use Program |
Human Subjects
|
SFI |
Environmental Health and Safety |
Principal
Investigator
|
- Salary certification
- Faculty effort certification
- Purchase
orders
- Authorize purchase of goods and services or delegate the
authority to do so
- Transfer of expenditures or delegate the authority
to do so
- Document Cost Sharing
- Monitor to ensure expenditures
are allowable and within budget limitations
- Seek required prior
approvals
- Assumes accountability for deficits or disallowances that
occur under a grant or contract account
|
- Fills out IACUC protocol and submits
- Renews protocol for
approval
- Certifies that they're responsible for all animal
subjects use on project
|
- Fills out protocol and submit to HSD
- Certifies training requirements
met for all key personnel
- Submits forms
for renewal of protocol
- Submits
modifications of protocol
|
- Submits disclosure with GC-1 on all
investigators, including self, having
SFI
- Identifies any SFI on human
subjects application
|
- Discloses use of hazardous or regulated materials on
GC-1
- Signs and submits statement of responsibility
on EH&S "Research Project Hazard Assessment"
form. EH&S refers projects to institutional health and
safety committees for review and approval as
appropriate
- Is ultimately responsible for compliance
with all required environmental, health and safety
mandates in work and laboratory areas and for
appropriate shipping of materials; Must gain
additional approvals from Responsible Official and
EH&S if working with select agents
- Must contact
EH&S in advance for required environmental
compliance signatures and approvals requiring signature
|
Department
Administrator |
- May provide assistance or
guidance to PIs with regard to
fiscal oversight on grants and
contracts and compliance with
regulations
- Ensures purchase
orders are submitted online
|
- May have delegated authority from PI
|
- May have limited delegated
authority from chair
|
- Facilitates flow of paperwork, no formal authority
|
- May have delegated responsibility for specific aspects
of environmental health and safety compliance
- record
keeping
- health and safety
- committee support and
participation, etc.
|
Departmental
Chair
|
- Approve advances
- Approve
faculty effort certification in
absence of faculty member
- Consult with faculty on deficits
|
- Has institutional responsibility for
faculty members within their
department
|
- Signs all new applications attesting
to scientific merit and investigator
qualifications
|
- Reviews and approves initial SFI
disclosure
- May participate in oversight
or other activities as part of Vice
Provost's final management plan
|
- Has primary responsibility, along with Deans and
Directors, for department's environmental health and
safety compliance and for providing a safe and
healthful work environment
- Participates in Select
Agent Security Review
|
| Dean |
- Signs advances or delegates to the
chair
- Establishes systematic procedures in the college for supervision
of
grant and contract accounts
- Provides reasonable coordinated administrative
support for the management of grant and contract accounts
- Consults
with principal investigators concerning the resolution of deficits
or disallowances incurred on a grant or contract account and fixes
responsibility for settling the problem quickly.
|
- Has institutional responsibility for
faculty members within their
school/college
|
- Signs all new applications involving
departmental chairs (or their
equivalents) attesting to scientific
merit and investigator qualifications
|
- Reviews and approves initial SFI
disclosure
- May participate in oversight
or other activities as part of Vice
Provosts final management plan; For
the School of Medicine, conducts
detailed SFI review and makes
recommendation to Vice Provost, using
advisory committee (CCR) as needed
|
- Has primary responsibility, along with Chairs and
Directors, for department's environmental health and
safety compliance and for providing a safe and
healthful work environment; Health and Safety
Committees report to Deans
|
Central Office
(OSP/GCA/
HSD/Animal Subjects) |
- Provides guidance on compliance
(OSP)
- Provides guidance on
financial compliance (GCA)
- Manages property (EIO)
- Establishes new accounts (OSPGCA)
- Prepares financial status and
federal cash transaction reports
(GCA)
- Prepares requests for
reimbursement (GCA)
- Manages cash (GCA)
|
- Provides side-by-side review of grants
and associated IACUC protocols to
ensure accuracy of IACUC approval
date (Animal Subjects)
- Verifies that
IACUC review has been performed for
all grant proposals involving animals (OSP)
|
- OSP provides review of grants
- Human Subjects reviews protocol
and approves as appropriate, Human
Subjects fills out federal assurance
(310) form
|
- OSP routes disclosure to Vice Provost
for Research and notify Human
Subjects if required
- Advises NIH of
SFI in appropriate cases; Authorizes
funds expenditures upon approval of
Vice Provost
|
- OSP reviews GC-1 and notifies Environmental Health
and Safety if required
|
Vice Provost/
Vice President |
- Oversight of management of grant
and contract fiscal policy and
operations
|
- John Coulter is designated by President
as the Institutional Official for the
animal care and use program
|
- Serves as Institutional Official for
human subjects issues
|
- Reviews disclosure and determines
management plan using conflict
advisory committee (COFIAC) as
needed
- Distributes plan to affected
investigators, Chair, Dean, OSP, HSD
and other relevant parties; For the
School of Medicine, requests Dean's
office to conduct initial detailed SFI
review and make recommendation
|
- Has ultimate responsibility, along with Deans and
Directors, for department's environmental health and
safety compliance and for providing a safe and
healthful work environment
|
