Roles and Responsibilities Matrix 4_19_07

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Roles and Responsibilities Matrix 4_19_07 Powered By Docstoc
					          Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                           Page 1 of 8


                                                                                                                                                                                                                 ROLES
                  RESPONSIBILITIES                                                                                                        Key                Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                    Comments
                                                                                  Key Words for Search Engine                                           PI                                OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                        workflow               Admin         Director                                                                                  Compliance   Education

Research Program Direction, Management
              Direct and guide the University’s research mission.        vision, research priorities, goals                         A
      1                                                                                                                                                 S1                      S1                                               S1            P                                                President = O Council of Deans = P

              Work with the State Legislature, Congressional             funding priorities, legislature, Congress,                 A
      2       delegation and UT system to promote the University’s       appropriations, research programs, , research direction,                       S1                      S1                                               S1            P
              areas of priority for funding.                             strategic goals

      3       Foster new multidisciplinary research initiatives.         centers, interdisciplinary, collaborative research         A                   S1                      S1                                               S1            P
              Develop new University research centers.                   core facilities, new programs, central infrastructure,     A,F
      4                                                                                                                                                 S1       S1             S1                                               S1            P
                                                                         recharge, rates
              Identify need for core facilities.                         research centers, new programs, central infrastructure,    F
      5                                                                                                                                                 P                                                                        P             A
                                                                         recharge, rates
              Responsible for the development and administration of service centers, costs, rates, ISC, service center plans,       F
      6                                                                                                                                                 P        S1             P                                   S2                                                                          Finance = A
              service center rates.                                      recharge, recharge, rates
              Establish “business plan” including resource needs and resources, financial resources, core facilities, central       F
      7                                                                                                                                                 P        S1                                                 S1           P             S1                                               Finance = P
              funding sources for core facility.                         services, infrastructure, recharge, rates
              Notify appropriate offices that core facility has been     communication, infrastrucuture, service center, ISC,       F,L
      8                                                                                                                                                 P                                                                        P
              established.                                               recharge, rates
              Review and approve core facility plan.                     service center, plan, proposed new service, recharge,      F
      9                                                                                                                                                 R        S1                                                 S1           R             A                                                Finance = R? A?
                                                                         rates, business plan
              If recharge activity is involved, develop recharge rates   financial resources, core facilities, central services,    F
     10       in accordance with A-21 and University policy for core     infrastructure, recharge, rates, business plan, ISC,                           S1        P                                                 S1                                                                          Finance = P
              facilities.                                                service center
              Review and approve core facility recharge rates.           financial resources, core facilities, central services,    F
     11                                                                  infrastructure, recharge, rates, business plan, ISC,                           R         R                                                 R                          R                                                Finance = A?
                                                                         service center
              Monitor core facility activity for financial compliance.   financial resources, core facilities, central services,    F,Q,N,
     12                                                                  infrastructure, recharge, rates, business plan, ISC,                           S1       S1                                                 S1           S1                           O                                 Finance = P
                                                                         service center
              Identify need to close core facility and close it.         financial resources, core facilities, central services,    B, F, L, N
     13                                                                  infrastructure, recharge, rates, business plan, ISC,                           S1       S1                                                              P             S1
                                                                         service center
              Evaluate department/center infrastructure compared to Planning, financial resources, business plan, research          E, F, G, H, J, R
     14       sponsored program growth to determine departmental priorities, personnel, FTEs, human resources, training                                 S2       S1             P                                                O             O
              / center staffing needs.
              Responsible for design of the research project.            specific aims, grant development, sponsored project,       B, G, H, K
     15                                                                                                                                                 P                      O-L
                                                                         proposal, research plan,
              Reviews and approves allocation of resources necessary financial resources, personnel, core facilities, central       C, D, G, J, N
     16                                                                                                                                                 S1       S1             P
              to carry out the research project.                         services, service center, planning
              Reviews and approves planned and actual allocation of committed effort, reporting, planning, ECRT                     D, E, H, I, J, L,
     17       faculty time and effort on at least an annual basis.                                                                  N, O, Q                      S1             P                                                              R


              Provides scientific direction and intellectual leadership. research program, vision, research plan, mentoring,        B, D, E, H, K, L,
     18                                                                                                                                                 P                       P                                                              P
                                                                                                                                    M, R
              Oversees project management, with delegation for day- research program, research plan, planning, allocation,          B, C, E, T,
     19       to-day operations as appropriate and with adequate         personnel, execution, specific aims                                            P        S1            O-L
              controls.
              Hiring/assignment of personnel working on the project. research program, human resources, planning, effort            D, E, H, O, T
     20                                                                                                                                                 P        S1                                                                                                                             HR = S1
                                                                         reporting, ECRT
              Requests for exception to established policies. Example: authorization, variance, planning, conflict                  D, E, G, H, M,
     21                                                                                                                                                 P        S2             R                                                S2            A
              Who may serve as a PI?                                                                                                N, Q
              Identifies the need for personnel and financial resources Develop budgets, staffing, infrastructure, core facilities, B, C, E, F, G, H,
     22       for large, complex proposals.                              central services, human resources, rates,                  J, K, N             P        S1             S1             S2                                              S2


              Ensures research is conducted ethically.                   informed consent, safety, risk protection,                 D, E, G,K, L, M,
     23                                                                  confidentiality, privacy, beneficence, autonomy, conflict Q, R                 P                      O-L                                                             O                                                RS = P or S1 Depending…
                                                                         of interest
              Comply with University policies on misconduct in           ethical, enforcement, compliance, regulation, rules,       D, E, G, M, Q
     24                                                                                                                                                 P                       P                                                              P                                                Misconduct Committee = O
              research.                                                  malfeasance,
              Responsible for acknowledging rights of third parties,     contract, collaborator, comply, convey, scope of work,     D, E, G, H, I, L,
     25                                                                                                                                                 P                      O-L                                                             O
              including federal sponsors.                                memorandum of understanding, agreement                     M, N,
              Mentors students and post docs on projects.                research program, training, oversight, review, teaching, E, H, L, M, R
     26                                                                  education, career path, professional development                               P        S1            O-L                                                             O


              Ensures that all project personnel understand              Data management, record-keeping, data entry, archive, E, G, H, K, Q, T
              procedures regarding appropriate data monitoring,          confidentiality, policies, accountability, SOP, GLP,
     27       handling and retention of lab notebooks and associated Good Laboratory Practice                                                           P       S1 / O        O-L                                                O             O
              scientific documentation.




          Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
           Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                                Page 2 of 8


                                                                                                                                                                                                                       ROLES
                   RESPONSIBILITIES                                                                                                             Key                Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                     Comments
                                                                                     Key Words for Search Engine                                              PI                                OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                              workflow               Admin         Director                                                                                  Compliance   Education

               Approves changes in stewardship of primary data.            Data management, record-keeping, data entry, policies, D, E, G, H, K,
      28                                                                                                                                                      S2                      P                                                              A
                                                                           utilization, confidentiality                                   M, Q, T
               Implements sponsor and UTMB requirements.                   management, oversight, policies, research program,             E, G, H, I, M, Q,
      29                                                                                                                                                      P        S1             S1             S1         S1        S1           O                                                      O
                                                                           stipulation, accountability                                    T
               Liaisons to other areas on Principal Investigator’s         budget, compliance, representative, research program,          L, T
               behalf, e.g., financial management, other research          accountability, resources, collaborate
      30       service offices, academic and clinical departments, other                                                                                               P              S1             S1                   S1           S1
               investigators and external entities to support research
               projects.

Research Policies
      31       Development of research policies.                           compliance, regulations, rule, sponsor,                        A, B, E, G, L,      S1       S1             S1             S1         S1        S1           P             A                           S1          S1
               Keep current with federal and state policies related to     Maintain information, regulation, program,                     D, E, G, H, L,
                                                                                                                                                                                                                                                                                                      Safety Officers = P Other RS Directors =
      32       compliance activities and assess and communicate their enforcement, research, disseminate information, liaison M, Q,                                                                  S1                   S1           P                                         S1          S1
                                                                                                                                                                                                                                                                                                      S1
               effect on the University.
               Interpret and implement University policies & federal       represent, rules, enforce, establish, oversee, rules,          D, E, G, H, L,
                                                                                                                                                                                                                                                                                                      COI = P Misconduct Committee= P
      33       and other sponsor regulations related to research.                                                                         N, Q,               S2       S1                            S1                   S1           P                                         S1          S1
                                                                                                                                                                                                                                                                                                      Safety Officers = P

               Assures that policies in all areas of research compliance enforce, regulation, rules, comply, research plan,               D, E, G, I, K, L,
               are in place and implemented as necessary for the                                                                          M, N, Q, T
      34                                                                                                                                                      P        S1            L-O             S1                   S1           P             O                           S2
               planning, conducting, and reporting of research.


               Delegates implementation or oversight for research          represent, rules, enforce, establish, oversee, rules,          B, D, E, G, H, I,
      35                                                                                                                                                                                                                               S1                                        S2                   President = P
               compliance as appropriate.                                                                                                 L, M, N, Q
               Development or revisions of policies and procedures         Draft, write, regulations, rules, scientific, investigation,   E, G, L, R
                                                                                                                                                                                                                                                                                                      President = A / O Other RS Directors /
      36       for the campus research community regarding research SOP                                                                                       S2       S1             S1             P           P        P          A/O             R                           S1          S1
                                                                                                                                                                                                                                                                                                      Safety Officers = P
               & research administration.
               Review, interpret and disseminate policies from federal communicate, rules, regulations, guidelines, distribute,           E, G, L, R
      37       and non-federal funding and regulatory agencies.            educate                                                                            S1       S1            L-O             S1         S1        S1           P             O              O            S1          S1


               Develop standard procedures for institutional research      draft, write, regulations, rules, scientific, investigation,   E, G, L, R
      38                                                                                                                                                               S1                            P           P        P            S1            O                                      S1 / O
               processes.                                                  SOP
               Develop institutional policies on matters relating to       draft, write, regulations, rules, scientific, investigation,   C, D, E, G, I, J,
               direct and indirect charging on sponsored projects;         archive, finance, financial resources, ECRT                    L, N, O, Q, S
               effort reporting on sponsored projects; cost sharing; re-                                                                                                                                                                                                                              Approvals: if IHOP, SEC = A; if other
      39       budgeting on sponsored projects; recording and                                                                                                 I        S1             I              S1                   S1           P              I                          O           S1
                                                                                                                                                                                                                                                                                                      research policy, Assoc Dean = A
               disposing of program income; cost transfers; record
               retention.

               Implements and interprets intellectual property policies copyright, patent, regulations, invention, rules                  E, G, I, Q
      40       and procedures where intellectual property is utilized in                                                                                      P        S2             S2                         P                     S2            S2
               a research project.
               Disseminate compliance information and new                  communicate, rules, regulations, publicize, distribute,        E, L
      41                                                                                                                                                      S1       S1             S1             S1                   S1           P                                         S1          S1
               regulations to the research community.                      educate, notify
               Coordinate scientific site visits.                          monitor, represent, sponsor, agency, investigate,              E, G, L, Q
      42                                                                                                                                                      P        S1                            S1                   S2           S2
                                                                           oversight, review,

Sponsored Program Pre-Award Activities
               Identify and select funding opportunities.                  sponsors, support, programs, databases, sources, FOA, B
      43                                                                   Solicitation, RFA, PA, Announcements, keywords,                                    P        S1             S1             S1         S1                     S1            S1
                                                                           funding search, find funding
               Reviews sponsor funding announcements through the           sponsors, support, programs, databases, sources, FOA, A,B
               Research Services Research Funding Library, the             Solicitation, RFA, PA, keywords, funding search, find
      44       Internet and other means in order to match                  funding, Request for Application, RFA, PA, eligibility,                            P        S1                            S2                                                                                      S2
               investigators with potential sources of support if          guidelines, opportunities,
               requested.

               Act as liaison with granting agencies, facilitating         sponsor, support, communicate                                  A,B,H,L
      45       proposal development and promoting interaction with                                                                                            P        P              P              P           P                     S1
               interested faculty.
               Maintains and updates knowledge of sponsor terms            agency, funding, guidines, databases, sponsor policies         B, E, H
      46       and conditions regarding sponsored research.                                                                                                   P        P             O-L             P                    S1

               Nurture technology related relationships and                development, communicate                                       G,E
      47                                                                                                                                                      P        S1                                        P                     S1            S1                                               COIC = R as appropriate
               partnerships with industry and government.
               Delivers contracts/agreements such as Confidential          sub-k, CDA                                                     F
               Disclosure Agreements, Subrecipient Agreements,
      48                                                                                                                                                      P        S1
               Clinical Trial Agreements etc to OSP for negotiation.




           Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
     Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                       Page 3 of 8


                                                                                                                                                                                                        ROLES
             RESPONSIBILITIES                                                                                                      Key            Dept/Center   Chair/Center                                                                                    UTMB       RS / QA                  Comments
                                                                            Key Words for Search Engine                                     PI                                 OSP Pre-award   TMO     OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                 workflow           Admin         Director                                                                                    Compliance   Education

         Generates and negotiates contracts in accordance with     sub-k, CDA                                                E,G,H,I,M
         UTMB and University of Texas System policies and
         procedures, i.e. Sponsored Research Agreements,
49       Confidential Disclosure Agreements, Subrecipient                                                                                   S1        S1            O-L             P           P                       S1
         Agreements, and Clinical Trial Agreements.


         For industrially-sponsored, non-Clinical Trial contracts, compliance, legal requirements, approvals, review         D,G,H,I, M,K
         Ensures all institutional approvals are in place as
         required by sponsors via the completion of required
50       UTMB forms, e.g., proposal routing form, chemical                                                                                  S1        P                                         P
         inventory, human subjects use, animal use, biohazard
         materials, recombinant DNA, etc.


         Follows sponsor and UTMB guidelines for budget            Budget development, modular budgeting, cost sharing,      C
51       preparation and obtains internal administrative           direct costs, budget justification, allowable costs                      O-L       P              A              S1          S1
         approvals.
         Promotes compliance with UTMB policies and                rules, SOP                                                E
52       procedures regarding applications for research funding.                                                                            S1        S1             S1             S1          S1         S1           P             S1                          S1          S1


         Prepares the proposal, including the project narrative    Budget development, modular budgeting, cost sharing,      B,C
         and budget.                                               direct costs, budget justification, allowable costs,
53                                                                 grantsmanship, research plan, write, draft, grant                        P         S1                            S2          S2
                                                                   application, proposal development



         Ensures application has salary requests reflecting        budget review, effort reporting, salary cap               C,N
54       current institutional base salaries, as well as any                                                                                R         P             O-L             R           R
         projected increments or raises.
         Ensures grant, contract and clinical trial agreement      indirect cost, facilities and administrative cost, IDC,   C, S
         applications carry the correct F&A rate. Reductions or
         waivers must be supported by a sponsor’s
55       policy/statement or approval by the Office of the                                                                                  O-L       P              R              R                                   A
         Associate Dean for Research Administration.


         Ensures application carries the correct F&A rate on       indirect cost, facilities and administrative cost         S
                                                                                                                                                                                                                                                                                       President approves industrial company
56       industry sponsored research (except clinical trial                                                                                 O-L       P              R                          R
                                                                                                                                                                                                                                                                                       waiver of full F&A
         agreements).
         Communicates and coordinates with Office of               major projects, special circumstances, small business,    D,L
         Sponsored Programs (OSP) as necessary to inform of        SBIR, STTR
         approvals for specific projects prior to proposal
57       submission (or prior to approval of budget for funded                                                                              P         S1                            S2          S2
         project) eg. SBA approvals, inter-institutional IP
         agreements, etc).

         Completes / Reviews / Approves documents necessary                                                                  F, D,
58                                                                                                                                          A         P              A              R           R
         for proposal submission.
59       Completes sponsor forms, if any.                          grant application                                         F              O-L       P                             S2          S2
         Provide documentation if the proposal contains a          sub-k                                                     H, I
         subrecipient, i.e. a letter of commitment, budget,
60       Statement of Work, Representations and Certifications,                                                                             P         P                            S2 /A       S2 /A
         and completion of agency cover page if the submission
         is to a federal sponsor.

         Provide required form and justification if project is to be approvals                                               D
61                                                                                                                                          O-L       P             O-L            S2 /A
         designated as a major project.
         Provide required UTMB forms, e.g. Proposal Routing        approvals                                                 D
62                                                                                                                                          O-L       P             O-L            S2 /R       S2 /R
         Form and Chemical Inventory Form.
         Identifies if the project will generate program income.   cash received                                             N
63                                                                                                                                          O-L       P             O-L            S2 /R

         Ensures initial documentation of cost sharing as          effort reporting, resources, budget                       J, O
         provided in the proposals and as required by sponsors
64       and institutional policy and designates an account on                                                                              O-L       P              A             S2 /R                   R                          A
         the Proposal Routing Form if there is cost sharing.


          Reviews proposals for the appropriateness of any         effort reporting, resources, budget                       J,O
         proposed cost share and discusses with the Principal
65                                                                                                                                          S1        P              A              R           R                                     A
         Investigator any cost share that is included but not
         required.

         Approves source of cost sharing/matching funds if they effort reporting, resources, budget                          J,O
                                                                                                                                                                    SEE                                                                                                                P = leader of unit providing funds for
66       come from a source outside the department.                                                                                                   S1                            S1          S1                                    A
                                                                                                                                                                COMMENT                                                                                                                the shared cost




     Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
          Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                      Page 4 of 8


                                                                                                                                                                                                              ROLES
                  RESPONSIBILITIES                                                                                                         Key            Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                 Comments
                                                                                    Key Words for Search Engine                                     PI                                 OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                         workflow           Admin         Director                                                                                  Compliance   Education

               Submits protocol(s) if the proposal uses human subjects IRB, IACUC                                                    K                                                                                                                                                       IRB/IACUC Office = S1 IRB / IACUC
     67                                                                                                                                              P        S1             R              O                                                                                                Cmtee = A
              or animals.
              If appropriate, successfully completes and oversees the     IRB , subject protection, training                         K, R
              research team's completion of the UTMB approved
     68                                                                                                                                              P        S1            O-L             O                                                                                       S2       IRB/IACUC Office = S1
              human subjects educational program.


              Submits grant application for review and institutional      institutional approvals                                    D
     69                                                                                                                                             S1        P              R              A           A
              signature.
              Routes any sponsor requests for revised budgets,                                                                       F
     70       updated “Other Support” information, etc. to OSP.                                                                                      P        S1                            S2


              Obtains all sponsor-required approvals for rebudgeting, No-cost                                                        N
     71                                                                                                                                              P        S1                            A                    A
              extensions, etc.
              Confirms/assures that Principal Investigator and            compliance, rules                                          D,E, H
              department/grant administrator follow sponsor and
     73                                                                                                                                                       S1            O-L             P           P
              UTMB policy and guidelines for proposal preparation,
              review, approval, and submission.

              Completes the reviewer’s checklist to ensure issues of      rules                                                      D,E
     74       compliance and regulation are addressed.                                                                                                                                      P           P


              Represents UTMB as legally responsible recipient of         institutional official, business official, institutional   D
     75       award and certifies that institution is in compliance       contact                                                                                                           P           P                     O
              with applicable regulations.
              Signs all applications, competing renewals and              institutional official, signing official, SO               D
     76                                                                                                                                             S1        S1                            P           P        S1           S1
              correspondence to the sponsor(s).
              Retrieves signed grant application from OSP, copies         submission                                                 F
     77                                                                                                                                             O-L       P                             S1
              and mails to sponsor.
     78       Sends copy of final proposal to OSP.                        files                                                      F              O-L       P
              Assist with implementation of sponsor electronic grant eRA, InfoEd, Grants.gov                                         F,G
     79                                                                                                                                                       S1                            P                                                                                       S1
              processing systems.
              Provides support to Principal Investigator in resolution problem resolution                                            M
              of issues related to proposal development. This task
              includes, but is not limited to, serving as a resource to
     80       the Principal Investigator, providing expertise, and                                                                                            P              S1             S1         S1        S1           S1                                                    S1
              offering the benefit of professional development
              training/education in research administration.


              Maintain database of proposal submissions and awards Record keeping, reporting, communicate, retrieval                 Q, R
     81                                                                                                                                                       S2                            P                                O-L
              and provide information to schools.

Sponsored Program Post-Award Management
              Notifies the Principal Investigator and Dept Staff of all   NOGA, communicate                                          L
     82                                                                                                                                                                                     p                    S1                                                                          Set-up process under review
              awards.
              Reviews and concurs with grant/contract terms and           contracts, sub-k                                           H, I
     83       conditions (and scope of work for subcontracts).                                                                                       P        S2                           O-L         O-L


     84       Establishes CFS and budget timely.                          PeopleSoft, chartfield string,                             C, N, I                  S1                            P                    P                                                                           Set-up process under review
     85       Processes subcontracts under prime awards.                  Contracts, subrecipients, sub-k                            N, I                     S1                            P           P                                                                                    RS Admin = S1
     86       Generates, negotiates and awards subcontracts.              Contracts, subrecipients , sub-k, legal language           I                        S1                            P           P
              Reviews and approves subrecipient scope of work,            Contracts, subcontracts, sub-k
     87                                                                                                                                             P/A       S1                            R           R        S1
              budget and payments.
     88       Reviews and approves subrecipient agreements.               Contracts, subcontracts, sub-k                             I              S1        S1                            A           A
              Provides information for subcontract invoices, interim      Contracts, subrecipients, payments, sub-k                  I
     89                                                                                                                                              R        S1                                                 P
              and final financial reports.
              Processes all amendments and resolves any issues            Contracts, subcontracts, sub-k, problem resolution         I, M
              related to execution of changes including, but not
     90                                                                                                                                             S1        S2                            P           P        S1                                                                          RS Admin = S1
              limited to, supplemental funding and subcontract
              modifications.

              Provide reports to administrators for tracking funding      analyze                                                    Q , P, R
     91       trends and determining resource allocation.                                                                                                                                   P                    P            O                                                              IT = P


              Ensures research program is conducted in compliance         condititons                                                E, G, Q
     92       with terms of the award as described in the proposal.                                                                                  P        S1            O-L                                               O             O                                                Wayne O


              Assures compliance with UTMB policies and                   accuntability, SOP, rules                                  E, Q
     93       procedures regarding the proper stewardship of                                                                                         P       O–L           O–L              S1         S1        S1           O             S1                          O           O
              research funding.




          Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
      Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                     Page 5 of 8


                                                                                                                                                                                                      ROLES
              RESPONSIBILITIES                                                                                              Key                   Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                    Comments
                                                                                 Key Words for Search Engine                              PI                                   OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                          workflow                  Admin         Director                                                                                  Compliance   Education

          Assures to the best of his/her ability that financial       cost accounting                                 E, G, Q, T
          charges are allocable, allowable and reasonable for the
94                                                                                                                                         P          S1            O-L                                S2 / O         O             O                                        O
          project; that they occur during the period of the grant
          and that funds are available.

          Resolves any cost overrun occurring on the project.         Deficits, cost transfers                        N, P,, M
95                                                                                                                                         P          S1             P                                 S2 / O

          Provides information and prepares documents to              Deficits, cost transfers                        N, P,, M
96                                                                                                                                        S1           P             S2                                  S2
          resolve project cost overruns.
97        Identifies funds to cover project cost overruns.            Deficits, cost transfers                        T                    P          S1             S2
          Initiates requests for rebudgeting of costs on the project. Deficits, cost transfers                        T
98                                                                                                                                         P          S1

          Prepares documents and provides information for             Deficits, cost transfers                        T
99                                                                                                                                        S1           P
          rebudgeting.
          Approves rebudgeting requests as allowed locally by         cost transfer, accounting                       T
          sponsors, or assists Principal Investigator in preparing

100       and submitting these requests to the sponsor. Prepares                                                                          S2          S1                                               P/A
          journal entries for rebudgeting requests.



101       Initiates no-cost extension requests.                       end date                                        D, G, H, L           P          S1
102       Processes all no-cost extensions.                           end date                                        D, G, H, L          S1          S1                            P                    S1
          Identifies, allocates & reports any program income          cash received                                   G,H
          (such as revenue from sales and services of goods
103                                                                                                                                        P          S1                                               S1 / O
          developed in conjunction with the project).


104       Deposits Program Income                                     cash received, revenue                          G,H,N               S1           P
105       Reports program income to sponsors.                         cash received, revenue                          G,H,N               S2         L-O                            S1                   P            O
          Ensures the completion, accuracy and timeliness of all      time and effort                                 E, G, O, Q
106       effort reports for the project. (current - FY 2007)                                                                              P          S1            O-L                                               O                                       S1 / O         O


          Ensures the completion, accuracy and timeliness of all      time and effort                                 E, G, O, Q
107       effort reports for the project. (FY 2008 w/ Huron ECRT)                                                                          P          S1            O-L                                S1 / O         O                                                      O


          Assures compliance with NIH salary caps; minimum            ECRT, time and effort, effort commitment        E, G, M, O, Q
          and maximum salary support, and accurate tracking of
108       cost sharing per the requirements of UTS163 (Gudiance                                                                                        P            O-L
          on Effort Reporting).


          Assists Principal Investigators in completing their time effort commitment                                  E, G, O, Q
          and effort reports and ensures that salary sources and
109       appointment changes are properly reflected in the                                                                                            P           O–L                                   S1                         S1                                     S1 / O    Payroll = S1
          reports and the Human Capital Management (HCM)
          PeopleSoft.

          Ensures the completion, accuracy and timeliness of all      compliance, guidelines, terms and conditions,   E, G, H
          technical reports, invention statements, equipment
110       reports and any other reports not previously mentioned                                                                           P         S1 / O        O-L              S1                   S1           O                                                      O
          but required in the award document.


          Reviews and approves interim, final and revised             sub-k                                           D, E, G, H, M, P
          financial reports and subcontract invoices prepared by
111                                                                                                                                        P         S1 / O                                              A           O*                                                              Assoc Dean = O in cases of dispute
          OSP and Finance/Contracts and Grants.


          Coordinates the submission of final Financial Status        sub-k                                           E, G, H, L, P
112       Reports to assist in the timely closeout of grants and                                                                                      S1                                                 P
          contracts.
          Approves financial, human resources and other               employment                                      D, T
113                                                                                                                                        P          S1           O-L
          documents for sponsored projects
          Provides or maintains source/supporting records, local                                                      T
                                                                                                                                                                                                                                                                                     Central Finance and Logistics
114       databases or files to support sponsored project financial                                                                      O / S1        P            O-L
                                                                                                                                                                                                                                                                                     (Purchasing) = P
          and administrative transactions.
          Processes documents and provides information for            key individuals, employment                     E, T
115       appointment of individuals to sponsored project(s).                                                                            S1 / A        P                                                                            R


          Assigns correct account codes, provides information         purchase orders, PO,                            T, N
116                                                                                                                                                    P            O-L
          and processes purchase documents.
          Assesses risk associated with financial transactions on     risk analysis                                   E, G, H, L, N
          sponsored projects and as needed, seeks the advice and
117                                                                                                                                       S1           P            O-L                                  S1
          approval of higher authority, such as the Dean's Office
          or OSP.




      Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
           Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                        Page 6 of 8


                                                                                                                                                                                                               ROLES
                   RESPONSIBILITIES                                                                                                  Key                   Dept/Center   Chair/Center                                                                                  UTMB       RS / QA     Comments
                                                                                    Key Words for Search Engine                                       PI                                OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                   workflow                  Admin         Director                                                                                  Compliance   Education

               Serves as an advisor to the Principal investigator on       resource, communicate                                  E, G, H, L
     118                                                                                                                                                        P                            S1                   S1
               financial/administrative matters.
               Prepares requests for cost transfers and forwards to                                                               D, G, L, N, T
     119                                                                                                                                              S1        P                                                 A
               OSP Finance.
               Provides justification for cost transfers greater than 90                                                          D, G, L, N
     120                                                                                                                                              P        S1           O-L                                   A                                                                  O
               days old.
               Approves cost transfer requests in accordance with                                                                 D, H, L, N
     121                                                                                                                                              S2       S1                                                 A
               sponsor’s terms and conditions.
     122       Processes all cost transfer transactions                                                                           D, E, G, H, N       S2       S1            L-O                                P/A
               Provides information for closing accounts.                  pre-closing, pre-closed, closed                        G, H, L, M, N,
     123                                                                                                                                              P        S1                            S1         S1                                                                           O
                                                                                                                                  O, P
               Reviews and analyzes Financial Reports for sponsored                                                               E, G, H, M, T
     124                                                                                                                                              S1        P                                                 P
               project(s).
               Ensures the responsible financial status of the account                                                            E, G, H, M, Q
     125                                                                                                                                              P        S1            L-O                                  S1           S1            O
               by apprpriate planning and monitoring
               Prepares and submits billings and invoices in               accounts receivable                                    G, H, L, T
     126                                                                                                                                                      P / S1                                              P
               accordance with sponsors’ requirements.
               Prepares quarterly, interim and final financial reports                                                            E, G, H, L, T
     127       in coordination with Principal Investigators and                                                                                       A        S1                                        P        P                                                                  O
               departments.
               Monitors the lockbox account on a daily basis and                                                                  G, N
     128       prepares entries in a timely manner to record payments                                                                                          S1                                       S1        P
               from sponsors.
               Monitors and follows-up on late payments as reported        Billing, accounting, accounts receivable               G, I, L, M, N, T
     129                                                                                                                                                       S1                                        P        P
               on the Aging Report.
               Works with UT System Office of General Counsel on           non-receipt of revenue, accounts receivable, billing   G, I, L, M, N, T
     130       non-payment accounts in accordance with University                                                                                              S1                                        P        P
               policy.
               Monitors training grants to see that benefits are applied students, insurance, fees                                E, H, L, N
     131                                                                                                                                                       S1                                                 P                                                                  O
               to the correct accounts.
               Provides oversight for federal costing regulations issues cost accounting, allowqable costs, monitoring            E, G, H, J, L, M,
     132       such as correct identification of costs as direct or                                                               N, Q, S                     O–L                            S1                   P            O                                                     O
               indirect costs.
               Provides guidance in sponsored project matters that         appeals, problem solving                               E, G, H, L, M, N
     133                                                                                                                                                       S1                            P                    P            O             S1
               cannot be resolved at the department level.
               Coordinates with Principal Investigators to resolve         appeals, problem solving                               E, G, H, L, M, N
     134                                                                                                                                              S2        P                                                 P                                                                  O
               mischarges or charging of unallowable costs.
               Approval of inter-departmental transfers (IDTs),                                                                   D, G, L, N, T
     135       personnel appointments, and petty cash vouchers                                                                                        S2        P                                                 O
               applied to grants and contracts.

               Documents and reports cost sharing to sponsors as           condititons, communicate                               E, G, H, J, L, N
     136                                                                                                                                                       S1                                                 P
               required by terms of award.
               Prepares cash transaction reports in accordance with        communicate                                            E, G. H, L, N
     137                                                                                                                                                                                                          P
               sponsor’s requirements.
               Sends account expiration notices to Principal               Grant end, communicate                                 E, G, H, L, P
     138       Investigators at 120 and 60 days prior to project                                                                                               S1                                                 P
               termination.
               Sets “freeze” flags upon account expiration as              pre-closing, pre-closed, closed                        G, N, P
     139                                                                                                                                                                                                          P
               preliminary step for closeout procedure.
               Ensures the timely closeout of grants and contracts         pre-closing, pre-closed, closed, compliance            E, G, H, N, P
     140       accounts in accordance with sponsors’ requirements.                                                                                    S1       S1                                                 P            O


               Provides Office of Accounting information relating to       communicate                                            E, G, H, L, N, P
     141       the sponsor projects ledger for UTMB's financial                                                                                                                                                   P
               statements.

Regulatory Training, Compliance and Audit
               Understands and complies with federal, state, sponsor       SOP                                                    E, G, H, I, K, N,
     142                                                                                                                                              P         P             P              P           P        P            P             P              P            P           P
               and UTMB policies and procedures.                                                                                  O, P, Q
               Provides oversight on the implementation of UTMB            compliance, rules                                      E, F, G, H, I, K,
     143       and federal financial policies and regulations at the                                                              M, N, O, P, Q       S1        P           O-L              S1                   S1           S1                                        S1          S1
               departmental/center level.
               Informs the UTMB community about the Standards of           communicate                                            E, Q
     144       Conduct and ethical obligations under the UTMB                                                                                         S1       S1             S1                                               S1            S1                          P
               Compliance Program.
               Monitors compliance activities, including policies and                                                             E, G, H, I, K, N,
     145       procedures, and training and education Programs.                                                                   O, P, Q                      S2            O-L                                  S2                                        S1           P           P




           Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
           Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                                      Page 7 of 8


                                                                                                                                                                                                          ROLES
                   RESPONSIBILITIES                                                                                                Key                Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                  Comments
                                                                                       Key Words for Search Engine                               PI                                OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                                 workflow               Admin         Director                                                                                  Compliance   Education

               Serves as a resource to UTMB on matters of research                                                           E, G, H, I, K, N,
     146                                                                                                                                         S1       S1             S1              P          P        P            P             S1                          P           P
               compliance.                                                                                                   O, P, Q
               Maintains a hotline for compliance matters (1-800-898-       abuse, fraud, telephone                          E, F, K, L, M, Q,
     147                                                                                                                                                                                                                                                            P
               7679).                                                                                                        T
               Review current practices to identify research                risk analysis                                    E, F, G, H, I, K,
     148       compliance risks.                                                                                             L, N, O, P, Q, T                                           S1                   S1           P                                         S1          P


               Monitor federal compliance requirements to develop           regulations, rules                               E, G, H, I, K, N,
     149       and implement compliance and audit workplans.                                                                 O, P, Q                                                                                                                    P           P


               Serve as advisor to research administration on key           resource                                         E, F, G, H, I, K,
     150       compliance topics.                                                                                            L, N, O, P, Q, T                                                                                                                       P                    Res Regulatory Affairs = S1


               Reports instances of non-compliance to the appropriate regulations, rules, conflict of interest, COI, abuse   Q                                                                                                                                                           IRB / IACUC = P IRB / IACUC Office =
     151       compliance office: Research Services or Institutional                                                                             P        P              P               P          P        P            O             O               P           P           P        P Safety Committees = P Safety Offices
               Compliance.                                                                                                                                                                                                                                                               =P
               Investigates instances of non-compliance and reports         monitoring                                       Q
               discovered instances of non-compliance to the
     152       appropriate Compliance Office: Research Compliance                                                                                S1       S1             S1             S1         S1        S1           S1            S1              P           P           S1
               and Reporting, or Institutional Compliance.


               Determine appropriate responses to incidents of              monitoring                                       Q
     153                                                                                                                                         S1       S1             S1             S1         S1        S1           P             R                           S1          S1       Safety Officers = P
               research non-compliance.
     154        Ensures subcontract monitoring.                             contracts, sub-k                                 I, Q                S1       S1                             P                                                                                      S2
               On a post-process basis, conducts testing of the             post award , grant management, allowable costs   H, N
     155                                                                                                                                                  S1                                                                                                                    P
               expenses charged to grants and contracts.
               Develop training program and strategy for research           education                                        H, N
     156                                                                                                                                                  S2                            S2                   S2           P                                         S2          S1
               community.
     157       Develop training curriculum.                                 education                                        R                            S1                            S1                   S1           O                                         S1          P        Safety Offices = P     GLP = P
               Prepare content for individual training sessions or          education                                        R
     158                                                                                                                                                                                S1                   S1           O                                                     P        Safety Offices + P
               modules and lead training sessions.
               Monitor the delivery of the training and assess the          education                                        R
     159                                                                                                                                                                                                                  O                                                     P
               effectiveness.
               Monitor compliance requirements and ensure training          education                                        R
     160                                                                                                                                                                                S1                   S1           O                                                     P        Res Regulatory Affairs = S1
               program is modified as necessary.
               Coordinate all administrative aspects of research            education                                        R
               training, i.e. communicate training courses, handle
     161       training registration, secure space for training sessions,                                                                                                                                                 O                                                     P
               review training evaluation forms, etc.

               Attest to appropriate education of University, state and IRB, subject protection                              K
                                                                                                                                                                                                                                                                                         IACUC / IRB = O IACUC / IRB Offices
     162       federal policies and regulation on human and animal                                                                                        S1             S1            P / S1      S1        S1           P             S1             S1           S1          S1
                                                                                                                                                                                                                                                                                         = S1
               research.
               Serves as focal point for most internal/external audits of                                                    Q
               sponsored programs and coordinates responses to audit
     163                                                                                                                                                                                S1                   S1           S1                            P                       S1       GLP = P
               requests with Assoc Dean and RS.


               Act as liaison with federal regulatory agencies during       audits                                           Q                                                                                                                                                           Safety Officers = P / S1 Depends on
     164                                                                                                                                         S1       S1                            S1         S1        S1         P / S1          S1            P / S1      P / S1        S1
               external compliance reviews.                                                                                                                                                                                                                                              circumstance GLP = P
     165       Coordinate the A-133 audit.                                                                                   Q                            S1                            S1                   S1           S1                            P                       S1
               Coordinate all financial audits.                             monitoring                                       Q
     166                                                                                                                                                  S1                            S1                   S1           S1                            P                       S1       Finance = S1/P depends on circumstance

Intellectual Property Management
               Generates and negotiates Material Transfer                   Tech management, MTA                             I, N, Q
               Agreements, licenses, industrial contracts (non-CTA) in
     167                                                                                                                                         S1       S2                                        P
               accordance with UTMB and University of Texas System
               policies and procedures.

               Serves as official repository of invention disclosures       Tech management, Intellectual property, IP       P, I, G, L
     168       and source of information to verify patent reports to                                                                             P                       S2             S1          P        S1                                                                          President = O
               sponsors.
               Confirms that the information on the Invention               Tech management, intellectual properyt, IP       P, I, Q
     169                                                                                                                                                                                S1          P        S1
               Statement is correct.
               Processes all contractual modifications and                  Tech management                                  I, G, H
     170       supplements for contracts initiated by the Center for                                                                             S2       S1                            S1          P        S1
               Technology Development.
               Approves/negotiates confidentiality agreements.              Tech management                                  L, Q                                                                                                                                                        Clinical Trial CDAs = OSP Preaward
     171                                                                                                                                         S1                                      p          p
                                                                                                                                                                                                                                                                                         CDAs N/P1 = TMO

F&A and Fringe Rate Negotiations
     172       Prepare and negotiate F&A cost rate proposal.                indirect costs                                   S                                                                               P            S1                                                             Cost Reimbursement = S1



           Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval
      Version 1.6 as of 4/19/07; Printed: 9/23/2011                                                                                                                                                                                                                                 Page 8 of 8


                                                                                                                                                                                     ROLES
              RESPONSIBILITIES                                                                                     Key           Dept/Center   Chair/Center                                                                                  UTMB       RS / QA                   Comments
                                                                      Key Words for Search Engine                           PI                                OSP Pre-award   TMO   OSPFinance   Assoc Dean   Dean's Office   UTMB Audit
                                                                                                                 workflow          Admin         Director                                                                                  Compliance   Education

173       Prepare and negotiate fringe benefit rate.                                                                                                                                                                                                                Payroll = P
          Communicate changes in fringe rate with OSP and    budget, fringe benefits, disseminate, publish   L
174                                                                                                                                                                                                                                                                 Payroll = P
          community.
175       Set up rate template for fringe rate type in PS.   budget, fringe benefits                         C                                                     P                                                                                                Payroll = P
176       Communicate F&A rate to University personnel.      Indirect costs, disseminate, publish            C, S                                                                       P            S1                                                    S1




      Key: P = Primary Responsibility S1 = Primary Support S2 = Secondary Support O = Primary Management Oversight O – L = Local Oversight I = Provide Input R = Review A = Approval

				
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