Department Head/Chair 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

The department head/chair is an academic leader with academic, programmatic, managerial, and fiscal responsibilities for a designated department. It is the responsibility of the department head to provide the faculty and staff of his or her department with appropriate resources for the ethical, objective, and safe conduct of research in accordance with federal regulations and university and sponsoring agency policies and procedures. As such, department heads are responsible for establishing and promoting a culture of compliance within their department.

Department heads report to the dean of their respective school and work closely with the University Compliance Office, the Vice Chancellor for Finance, the Vice Chancellor for Research, and the deans 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 sponsored research and related activities are in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Provides direction, resources, and oversight to help ensure that research and all related activities are administrated in accordance with federal regulations and university and sponsoring agency policies and procedures.
  • Directs 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

  • Oversees Principal Investigator and department administrator to assure that proposals meet federal regulations and university and sponsoring agency policies and procedures prior to submitting proposal to sponsoring agency.

Proposal Budget

  • Oversees Principal Investigator and department administrator to prepare and submit proposal budget in accordance with federal regulations and university and sponsoring agency policies and procedures.

Protocol Preparation and Review

  • Affirms scientific review of the protocol.
  • Oversees all research protocols in the department to assure compliance with federal regulations and university and sponsoring agency policies and procedures.

Award Acceptance (Terms and Conditions)

  • Establishes departmental procedures, in accordance with university policies and procedures, for reviewing award terms and conditions.

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.
  • Oversees the department to assure 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

  • Oversees application of correct facilities and administrative (F&A) cost rate on all sponsored projects within the department.

Space Management

  • Provides direction, resources, and oversight to maintain and administer space management data.
  • Allocates department space to faculty based on the needs of their research and academic program priorities.

Equipment Management

  • Manages the allocation of equipment to faculty based on research needs and academic program priorities.
  • Safeguards property used to conduct research in accordance with all 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

  • Requires that the Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Requires that Principal Investigator submit 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 agencies policies and procedures.
  • 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 for cost sharing obligations and expenditures.
  • Approves department’s source of cost sharing is matched by the fund.

Cost Transfer

  • Provides direction for re-budgeting and cost transfer activities in accordance with federal regulations and university and sponsoring agency policies and procedures.

Reporting

  • Requires that the Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures.

Project Closeout

  • Requires that the Principal Investigator submits 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.
  • Coordinates with the Principal Investigator and department, school, and central administration personnel to initiate resolution to any cost overruns.

Effort Reporting

  • Provides direction, resources, and oversight to help ensure that accurate reporting of effort.
  • Requires that faculty and staff involved in the reporting of effort to 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 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 investigators 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 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

  • Protects the rights and welfare of human participants involved in research in accordance with federal and state regulations and university and sponsoring agency policies and procedures.
  • Requires investigators and key personnel involved in human participant research to complete 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 for the preparation of scientific proposals.

Protocol Preparation and Review

  • Affirms scientific review of the protocol.
  • Requires that protocols comply with all federal and state regulations and university and sponsoring agency policies and procedures instituted to protect the rights and welfare of human research participants.

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 the acceptance of the 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 and state regulations and university and sponsoring agency policies and procedures instituted to protect the rights and welfare of human 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.

Protected Health Information

  • Adheres to and supports all federal regulations and university policies and procedures instituted to safeguard protected health information (PHI).
  • Requires that all investigators and personnel complete the appropriate level of training regarding the 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 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

  • Requires that Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures for the duration of the project.

Project Closeout

  • Requires that the Principal Investigator submits 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.
  • Establishes departmental procedures to assure 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

  • Oversees 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 investigators and key personnel involved in animal research to complete and comply with required education for the humane care and use of animals and meet annual training requirements for laboratory safety and radioactive materials 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 animal welfare and reports instances of noncompliance to the appropriate compliance office.

Preparation of Scientific Proposal

  • Provides direction, resources, and oversight for the preparation of scientific proposals.

Protocol Preparation and Review

  • Affirms scientific review of the protocol.
  • Requires that protocols comply with federal regulations and university and sponsoring agency policies and procedures instituted to assure the humane use and care of animals in research projects.

Award Acceptance (Terms and Conditions)

  • Requires that protocol comply 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 research is conducted in accordance with federal regulations and university and sponsoring agency policies and procedures instituted to assure the humane care and use of animals in research projects.
  • 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 of approved protocol to the IACUC particularly any that may affect animal safety.

Reporting

  • Requires that Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal regulations and university and sponsoring agency policies and procedures for the duration of the project.

Project Closeout

  • Provides direction and resources to assure that the Principal Investigator submits accurate and timely closeout documents to applicable federal agencies, university entities, and the sponsoring agency in accordance with applicable federal regulations and university and sponsoring agency policies and procedures.
  • Establishes departmental procedures to assure 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 that research and related activities adhere to and supports 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.
  • Assures compliance of safety and environmental programs for the department in accordance with 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 individuals handling hazardous or regulated materials are well trained in proper safety procedures and have completed the required environmental health and safety education.
  • Supports and complies with all 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 for the preparation of scientific proposals.

Protocol Preparation and Review

  • Affirms scientific review of the protocol.
  • Requires that protocols comply with 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.

Award Acceptance (Terms and Conditions)

  • Requires that protocol comply 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 instituted to protect the health and safety of research participants, personnel, and the environment.
  • 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/or potential exposures be promptly reported to the appropriate university office.
  • Requires that immediate and appropriate corrective actions be taken and measures be implemented to prevent future occurrences.

Reporting

  • Requires that the Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal, state, and local regulations and university and sponsoring agency policies and procedures for the duration of the project.

Project Closeout

  • Provides direction, resources, and oversight to help ensure that the Principal Investigator submits 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.
  • Assures 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

  • Adheres to all federal and state regulations and university and sponsoring agency policies and procedures governing human gene transfer.
  • Requires that all key personnel involved in human gene transfer research meet training requirements in accordance with federal and state regulations and university and sponsoring agency policies and procedures.
  • Supports and endorses cooperation with 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 for the preparation of scientific proposals.

Protocol Preparation and Review

  • Affirms scientific review of the protocol.
  • Requires that protocols comply with federal and state 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 and resources to assure research is conducted in accordance with federal and state regulations an 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 transfers in accordance with federal and state regulations and university and sponsoring agency policies and procedures.

Reporting

  • Requires that the Principal Investigator comply with technical, progress, and compliance reporting requirements in accordance with federal and state regulations and university and sponsoring agency policies and procedures for the duration of the project.

Project Closeout

  • Requires that the Principal Investigator submits accurate and timely closeout documents to applicable federal and state agencies, university entities, and the sponsoring agency in accordance with federal and state regulations and university and sponsoring agency policies and procedures.

Patents and Inventions

General Administrative

  • Requires that patent and invention information is disclosed and reported 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 patents and inventions and reports instances of noncompliance to the appropriate compliance office.

Export Controls

General Administrative

  • Remains aware of research activities within the department 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.
  • Requires that all investigators 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.