RESPONSIBILITY MATRIX  Print

Scientific and Programmatic Financial Compliance Institutional Animal Care and Use Human Subjects Responsible Conduct of Research Financial Conflict of Interest Other Regulatory Compliance
Principal Invesigator Contacts OSP early on during conceptualization of project; Performs research and retains data; submits both interim and final technical reports; responsible for overall scientific integrity of the project; brings on and oversees staff; understands that protocols must be written if there is human subject or animal use. Responsible for overseeing budget; manages expenditures; oversees project staff; works with Fund manager to authorize payments to sub-recipients Prepares protocol for submission to IACUC committee; after approval makes sure all personnel understand current mandates and protocols dealing with animal care and use; makes updates when appropriate and resubmits protocol Prepares protocol for submission to IRB; makes updates when appropriate and resubmits protocol; verifies that all personnel understand protocol and are trained appropriately Provides trainees names to OSP. Responsible for overseeing that trainees recieve RCR training. If First time NSF/NIH PI completes training. Policy Under Development Prepares any appropriate protocol and submits to corresponding committee for review and approval; Discloses use of hazardous and regulated materials; certifies that all relevant personnel are trained appropriately
Fund Manager Acquires an understanding of the project from the PI and assists by managing between available resources and project goals Assists with procurement and administrative decisions, managing payroll and expensing various accounts; works with OSP in the creation of accounts; should be alert for any compliance issues that may arise; should have a general understanding of Circulars that govern sponsored research; may be required to submit a financial disclosure Monitors continuing review requirements and aids in the submission of amendments; does not permit expenditures until IACUC approves protocols Monitors continuing review requirements and aids in the submission of amendments; does not permit expenditures until IRB approves protocols Policy Under Development Monitors continuing review requirements and aids in the submission of amendments; does not permit expenditures until committee approves protocols
Unit Director Approves proposals to assure accurate committment of SI resources Identifies individuals who should disclose under SD 103 Policy Under Development
Undersecretary Institutional Official - Submits annual report to OLAW Institutional official Policy Under Development Reports Misconduct allegations, investingations, or findings to ORI
OSP Pre-Award Works early on with PI during conceptualization of project; ensures that proposal is in line with sponsors guidelines; pulls information on specific sponsor and researches guidelines that may be useful; reviews proposal to ensure it complies with Smithsonian and sponsor guidelines Smithsonian’s representative when negotiating with Sponsor and exercises authority when accepting financial obligations Policy Under Development
OSP Compliance helps in verifying compliance with Smithsonian Institutional policies and other regulatory requirements; confirms compliance with institutional policies; oversees and coordinates the different Smithsonian IACUC committees; verifies that PI’s conducts appropriate training when research involves animals; Prepares annual report for OLAW Confirms compliance with institutional policies Tracks RCR training on NSF/NIH grants Obtains disclosures from investigators reports to funding agency Policy Under Development Provides Continuing education or training to units/PI's on misconduct
Risk Management Audit & Safety Provides assistance in adhering to sponsor regulations works to ensure quality of controls that safeguards the Smithsonian’s assets, evaluates the use of resources; also is aware of other policies, procedures, laws and regulations Policy Under Development Advises units regarding methods to control the risk of fortuitous loss to the Smithsonian Institute; advises on regulatory compliance
OGC Advisor on regulatory compliance Advisor on regulatory compliance Advisor on regulatory compliance Advisor on regulatory compliance Advisor on regulatory compliance Policy Under Development Advisor on regulatory compliance
OSP Post-Award Provides assistance in adhering to regulations with particular focus on applicable laws Post-Awards’ primary focus; ensures that PI has managed the award according to a strict interpretation of Sponsor guidelines; corrects any errors when receiving the award from Pre-Award; acts as internal control ensuring things such as proper cash management; processes service request and manages cost transfers ; acts on behalf of the Institution when collections of award is necessary; Closes out award when project is completed Policy Under Development Advisor on regulatory compliance