Roles & Responsibilities
of Rochester Dean's Office
Deans are academic leaders who have programmatic, managerial and
fiscal responsibilities for a College or School, and who report
either to the Provost or Senior Vice President and Vice Provost
for Health Affairs.
The Dean’s office, the administrative center for a School
or College, may include one or more Senior Associate Deans, who
report to the Dean, as well as administrative staff. A Senior Associate
Dean (usually referred to as the Senior Associate Dean for Research)
has the responsibility to oversee research activities in the unit
and thus may delegated the authority to act on the Dean’s
behalf in matters relating to research.
In the list that follows, reference to the Dean implies the Senior
Associate Dean for Research or other administrator within the college
or school who may have been delegated the responsibility for research
activities within that unit.
PROPOSAL PREPARATION AND SUBMISSION
When the Principal Investigator is a Department/Unit Head or other
individual reporting directly to the Dean, the Dean reviews the
proposal with regard to the following criteria and either approves
the application (by signing the University of Rochester Proposal
Sign Off Form) or returns it for issue resolution. The Dean may
opt to use a threshold requested amount to mandate review for his/her
the applicant is eligible to be a Principal Investigator according
to University policy;
the Principal Investigator is eligible to conduct the project;
the Principal Investigator can manage the project
the scientific relevance of the project and
its long-range impact to the School/College.
When the Principal Investigator does not
report directly to the Dean, the Dean, in conjunction with the
Department/Unit Head, must approve any exception to the University’s
Policy on Principal Investigator Eligibility.
In any other case when it is deemed necessary
by School or College policy, the Dean reviews the proposal and
either approves it (by signing the University of Rochester Proposal
Sign Off Form) or returns it for issue resolution. Note that
individual Schools and Colleges may have specific requirements
when the Dean’s Office
must approve a funding proposal; these requirements can be found
on the ORPA web site (http://www.rochester.edu/orpa).
When there is a new request for off-campus
space or modification of on-campus space, the Dean reviews the
proposal and either approves it (by signing the Proposal Sign-Off
Form), consults with other senior University administrators or
other appropriate officials as necessary, or returns it for issue
When any of the following issues are present, the Dean reviews
the proposal and either approves it (by signing the Proposal Sign-Off
Form or other accompanying forms) or returns it for issue resolution:
- there is a request to reduce or waive
- there is a request to the Dean’s
Office or other School/College resource to provide the matching
funds or cost sharing;
- there is a request to share facilities and
administrative cost recovery if faculty and/or significant
resources from other schools/colleges are significantly involved;
- there is a request to the Dean’s
Office to provide additional resources to support the research;
- the proposal budget exceeds $250,000 direct
costs in any budget year;
- the proposal is a Program Project or Center
- the proposal is either an SBIR/STTR or Center
In addition, the Dean:
- provides School/College oversight over cost sharing, matching
and budget development.
- provides School/College oversight that appropriate
salary costs have been requested in those cases where the proposal
undergoes Dean’s Office review.
The Dean approves conflict-of-interest resolutions or requests
a proposed Conflict Management Plan from the Principal Investigator.
As necessary, the Dean refers the matter to the University’s
Conflict of Interest Committee, and provides School/College oversight
of the management of potential conflicts. When the Dean becomes
apprised of other regulatory issues involving sponsored research,
the Dean takes an appropriate oversight and management role in
Proposal Routing Form
As necessary, the Dean reviews the University Sign Off Form for
specific issues and either approves the document or returns it
for issue resolution.
ACCEPTANCE OF AWARD
In cases where acceptance of the award
would constitute exception to University or School/College policy
(e.g., lesser degree of indemnification from the sponsor or diluting
of ownership of University intellectual property), the Dean determines
the acceptable risk of accepting the award. The Dean is aided in
this decision by University counsel and other offices as appropriate
(e.g., ORPA, Finance).
CONDUCT AND MANAGEMENT OF THE PROJECT
- ensures that departments and units have appropriate staff resources
in order to maintain sponsored programs compliance, and troubleshoots
when compliance is threatened.
- provides School/College oversight on implementation of University,
state and federal policies and regulations.
Conduct of the Research
The Dean provides School/College
oversight for the University of Rochester Policy on Misconduct
in Scholarship and Research, and refers allegations of misconduct
to the Provost or Senior Vice President and Vice Provost for Health
Affairs. The Dean is responsible, as directed by the Provost or
Senior Vice President and Vice Provost for Health Affairs, for
completing inquiries and investigations on such allegations in
accordance with the Policy.
The Dean provides School/College oversight
- guidance on sponsored programs management at the departmental
level (e.g., restructuring in order to accommodate administration
of sponsored programs);
- cost sharing through contributed effort or other means;
- expenditure of matching hard dollars; and
- oversight and monitoring of project accounts in deficit.
- provides School/College oversight for record retention and
ownership of scientific data.
- assists in the resolution of obtaining delinquent technical
reports from Principal Investigators or information required
for financial reporting (This action is reserved for extreme
cases if notified by ORPA or ORACS).
The Dean may delegate authority to
the Associate dean(s) and/or Department/Unit head to assure adherence
- research subjects protocols and policies; and
- chemical biological, physical and radiation safety requirements.
The Dean is responsible for implementing the annual conflict
disclosure process and review, and may delegate to Department/Unit
Heads the responsibility to obtain the disclosures. If a potential
conflict of interest situation exists, the Dean reviews and approves
(or rejects) the Conflict Management Plan, or, as necessary,
seeks advise from the University’s Conflict of Interest
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