Dean Roles and Responsibilities

Position Role
Sponsored Program Administration
Financial Management
Effort Reporting
Conflicts of Interest
Human Research Participant Protection
Animal Welfare
Environmental Health and Safety
Human Gene Transfer
Patents and Inventions
Export Controls

Position Role

Deans are academic leaders who have academic, programmatic, managerial, and fiscal responsibilities for a school. Deans verify the adequacy of instruction, monitor academic integrity, confer degrees, and are responsible for student recruitment, admission, and academic progress. They are responsible for the ethical conduct of research and for establishing and maintaining a culture of compliance and integrity among faculty, staff, and students. They provide local direction and resources for the education, training, and implementation of federal, state, and local regulations and university and sponsoring agency policies and procedures.

Deans report to the chancellor and work closely with the University Compliance Office, the Vice Chancellor for Finance, the Vice Chancellor for Research, and the department heads of their school to maintain accountability, resolve any significant issues of noncompliance, and reduce the risk of future occurrences.

General Administrative

  • Provides direction, resources, and oversight to help ensure that the school administers sponsored research and related activities in accordance with applicable federal regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure that all key personnel complete and comply with required education and meet annual training requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to sponsored program administration and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Supports and endorses development and implementation of policies and procedures to help ensure proposal preparation, review, approval, and submission in accordance with federal regulations and university and sponsoring agency policies and procedures.

Proposal Budget

  • Negotiates university support and allocates school resources based on research needs and academic program priorities.

Protocol Preparation and Review

  • Provides direction, resources, and oversight to help ensure that research protocols are in compliance with federal regulations and university and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Negotiates and approves requests for non-standard terms and expenses with department head in accordance with federal regulations and university and sponsoring agency policies and procedures.

Conduct of Research

  • Provides direction, resources, and oversight to help ensure that research is conducted in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Promotes ethical conduct in all aspects of the research process including but not limited to the treatment of human and animal subjects, conflicts of interest, data acquisition, management, sharing and ownership, publication practices, responsible authorship, and collaborative research and reporting.
  • Promotes the ethical conduct of research by reporting good faith suspicions of misconduct in research as defined within Washington University’s Research Integrity Policy and other misconduct as described in Washington University’s Code of Conduct.

Facilities and Administrative Cost Rate

  • Provides direction, resources, and oversight to help secure appropriate facilities and administrative (F&A) cost rates for the university.
  • Oversees application of correct F&A cost rate for all sponsored projects within the school.

Space Management

  • Provides direction, resources, and oversight to help ensure that equipment is managed in accordance with applicable federal regulations and university and sponsoring agency policies and procedures.
  • Allocates space to departments, divisions, and centers within the school based on research needs and academic program priorities.

Equipment Management

  • Provides direction and resources to assure that space is managed in accordance with Federal regulations and university and sponsoring agency policies and procedures.

Service Centers

  • Provides direction, resources, and oversight to maintain and administer service centers in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Reporting

  • Provides direction, resources, and oversight to help ensure the timely submission of technical, progress, and compliance reporting requirements in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Project Closeout

  • Provides direction, resources, and oversight to help ensure the timely submission of accurate and timely closeout documents to applicable federal agencies, university entities, and the sponsoring agency in accordance with federal regulations and university and sponsoring agency policies and procedures.

Financial Management

General Administrative

  • Provides direction, resources, and oversight to help ensure that project funds are managed in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Provides school oversight for federal costing regulations by identifying direct and indirect costs.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to financial management and reports instances of noncompliance to the appropriate compliance office.

Cost Sharing

  • Provides direction, resources, and oversight to help ensure that all cost sharing obligations and expenditures are met in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Allocates department voluntary cost-sharing resources.
    Approves all sources of cost sharing and matching funds within the school.
  • Provides departments with a mandatory salary cost-sharing budget.

Cost Transfer

  • Provides direction and resources to assure all cost transfer obligations are met in accordance with federal regulations and university and sponsoring agency financial policies and procedures.

Reporting

  • Provides direction, resources, and oversight to help ensure the timely submission of technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Identifies and/or approves funds to cover cost overruns not identified at the departmental level.
  • Provides direction, resources, and oversight to help ensure the timely submission of accurate and timely closeout documents to applicable federal agencies, university entities, and the sponsoring agency in accordance with federal regulations and university and sponsoring agency policies and procedures.

Effort Reporting

  • Provides direction, resources, and oversight to help ensure the accurate reporting of effort in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Requires that all faculty and key personnel involved in the reporting of effort complete and comply with the required education and meet annual training requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to effort reporting and reports instances of noncompliance to the appropriate compliance office.

Conflicts of Interest

  • Takes appropriate steps to avoid conflicts of interest, or the appearance of conflicts of interest, between financial or other personal interests and the goals and policies of the university.
  • Complies with and directs department faculty and personnel to comply with applicable school, university, and sponsoring agency conflict of interest policies and procedures.
  • Discloses all significant financial conflicts of interest to the appropriate Disclosure Review Committee (DRC) and complies with recommended management strategies.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to conflicts of interest and reports instances of noncompliance to the appropriate compliance office.

Human Research Participant Protection

General Administrative

  • Provides direction, resources, and oversight to help ensure the protection of the rights and welfare of human participants involved in research in accordance with Federal regulations and university and sponsoring agency policies and procedures.
  • Requires that all faculty and key personnel involved in human participant research have completed and comply with the required education for the protection of human participants in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to human participant research and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Provides direction, resources, and oversight to help ensure the preparation of scientific proposals in accordance with federal regulations and university and sponsoring agency policies and procedures.

Protocol Preparation and Review

  • Provides direction, resources, and oversight to help ensure that human research protocols comply with federal regulations and university and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Requires that protocol complies with the terms and conditions of the award and that Human Research Protection Office (HRPO) protocol approval is in place prior to acceptance of award and the start of research.

Conduct of Research

  • Provides direction, resources, and oversight to help ensure that human research is conducted in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Promotes the ethical conduct of research by reporting good faith suspicions of misconduct in research as defined within Washington University’s Research Integrity Policy and other misconduct as described in Washington University’s Code of Conduct.

Protected Health Information

  • Provides direction, resources, and oversight to help ensure adherence to Federal regulations and university policies and procedures instituted to safeguard protected health information (PHI).
  • Oversees that all faculty and personnel complete the appropriate level of training regarding access, use, and disclosure of PHI in accordance with Federal regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to the access, use, and disclosure of PHI and reports instances of noncompliance to the appropriate compliance office.

Unanticipated Problems

  • Requires prompt reporting of any unanticipated problems involving risks to research participants or others to the HRPO Committee (Washington University’s IRB).

Reporting

  • Provides direction, resources, and oversight to help ensure the timely fulfillment of technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Provides direction, resources, and oversight to help ensure the submission of accurate and timely closeout documents to applicable federal agencies, university entities, and the sponsoring agency in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure that appropriate documentation for the study is secured and maintained in accordance with Federal regulations and University and sponsoring agency policies and procedures.

Animal Welfare

General Administrative

  • Provides direction, resources, and oversight to help ensure the humane care and use of animals involved in research in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Requires that all faculty and key personnel involved in animal research complete the required education for the humane care and use of animals and laboratory safety and radioactive materials in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to animal welfare and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Provides direction, resources, and oversight to help ensure the preparation of scientific proposals in accordance with Federal regulations and university and sponsoring agency policies and procedures.

Protocol Preparation and Review

  • Provides direction, resources, and oversight to help ensure that animal research protocols comply with Federal regulations and university and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Requires that protocol complies with the terms and conditions of the award and that Institutional Animal Care and Use Committee (IACUC) protocol approval is in place prior to acceptance of award and the start of research.

Conduct of Research

  • Provides direction, resources, and oversight to help ensure that animal research is conducted in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Promotes the ethical conduct of research by reporting good faith suspicions of misconduct in research as defined within Washington University’s Research Integrity Policy and other misconduct as described in Washington University’s Code of Conduct.

Serious Adverse Events

  • Requires reporting of serious violations to the IACUC particularly any that may affect animal safety.

Reporting

  • Provides direction, resources, and oversight to help ensure the timely fulfillment of technical, progress, and compliance reporting requirements in accordance with Federal regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Provides direction, resources, and oversight to help ensure the timely submission of accurate and timely closeout documents to applicable federal agencies, university entities, and the sponsoring agency in accordance with Federal regulations and University and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure that appropriate documentation for the study is secured and maintained in accordance with federal regulations and university and sponsoring agency policies and procedures.

Environmental Health and Safety

General Administrative

  • Provides direction, resources, and oversight to help ensure adherence to and support of federal, state, and local regulations and university and sponsoring agency policies and procedures instituted to protect the health and safety of research participants, personnel, and the environment.
  • Requires that faculty and key personnel involved in handling hazardous or regulated materials are well trained in proper safety procedures and have completed the required environmental health and safety education in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure the compliance of safety and environmental programs in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Supports and complies with Stop Work decisions.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to environmental health and safety and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Provides direction, resources, and oversight to help ensure the preparation of scientific proposals in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Protocol Preparation and Review

  • Provides direction, resources, and oversight to help ensure that environmental health and safety protocols comply with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Requires that protocol complies with the terms and conditions of the award and that applicable environmental health and safety protocol approvals are in place prior to acceptance of award and the start of research.

Conduct of Research

  • Provides direction, resources, and oversight to help ensure that research is conducted in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Promotes the ethical conduct of research by reporting good faith suspicions of misconduct in research as defined within Washington University’s Research Integrity Policy and other misconduct as described in Washington University’s Code of Conduct.

Serious Adverse Events

  • Requires that all on-the-job accidents, illnesses, unlawful environmental releases, and potential exposures are promptly reported in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure that immediate and appropriate corrective actions are taken and measures are implemented to prevent future occurrences.

Reporting

  • Provides direction, resources, and oversight to help ensure the timely fulfillment of technical, progress, and compliance reporting requirements in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Provides direction, resources, and oversight to help ensure the submission of accurate and timely closeout documents to applicable federal, state, and local agencies and university entities and the sponsoring agency in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure compliance with laboratory decommissioning and safety guideline requirements in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Human Gene Transfer

General Administrative

  • Provides direction, resources, and oversight to help ensure adherence to federal, state, and local regulations and university and sponsoring agency policies and procedures governing human gene transfer. Requires that all faculty and key personnel involved in human gene transfer research meet training requirements in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses university compliance and monitoring efforts related to human gene transfer and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Provides direction, resources, and oversight to help ensure the preparation of scientific proposals in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Protocol Preparation and Review

  • Provides direction, resources, and oversight to help ensure that human gene transfer protocols comply with federal, state, and local regulations and university and sponsoring agency policies and procedures governing human gene transfer research.

Award Acceptance (Terms and Conditions)

  • Requires that protocol complies with the terms and conditions of the award and human gene transfer protocol approval is in place prior to acceptance of award and the start of research.

Conduct of Research

  • Provides direction, resources, and oversight to help ensure research is conducted in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures governing human gene transfer research.
  • Promotes the ethical conduct of research by reporting good faith suspicions of misconduct in research as defined within Washington University’s Research Integrity Policy and other misconduct as described in Washington University’s Code of Conduct.

Unanticipated Problems

  • Requires prompt reporting of all unanticipated problems related to human gene transfer are reported in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Reporting

  • Provides direction, resources, and oversight to help ensure the timely fulfillment of technical, progress, and compliance reporting requirements in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Provides direction, resources, and oversight to help ensure the submission of accurate and timely closeout documents to applicable federal, state, and local agencies, university entities, and the sponsoring agency in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures.

Patents and Inventions

General Administrative

  • Provides direction, resources, and oversight to help ensure compliance with federal regulations and university and sponsoring agency policies and procedures governing patents and inventions.
  • Authorizes patent expenditures for all school personnel.
    Supports and endorses university compliance and monitoring efforts related to patents and inventions and reports instances of noncompliance to the appropriate compliance office.

Export Controls

General Administrative

  • Remains aware of research activities within the school that involve international exchanges of information, items, and/or activities and helps to ensure adherence to federal regulations and university policies and procedures related to such exchanges.
  • Provides direction, resources, and oversight to help ensure that all faculty and key personnel remain aware of and adhere to federal regulations and university policies and procedures related to export controls.
  • Supports and endorses cooperation with university compliance and monitoring efforts related to international exchanges of information, items, and/or activities and reports instances of noncompliance to the appropriate compliance office.