| PI: Principal Investigator - The principal investigator
is the primary individual in charge of a research grant, cooperative agreement,
training or public service project, contract, or other sponsored project.
The principal investigator reports to a unit head (or other designated official).
Dept Adm: Department Administrator - Administrative staff at
the departmental and dean's office levels provide administrative support
for one or more sponsored projects. Included in the department administrative
staff category are a wide variety of duties and position titles, including
administrative directors, accounts manager, accounts specialist, accounts
assistant, assistant to, associate to, senior secretary, principal secretary,
preparer etc. With respect to financial management of sponsored accounts,
department administrators are either "preparers"or "approvers." Preparers
complete and process financial, human resource and other electronic and
paper transaction documents; approvers approve and monitor documents prepared
by others. Whereas a department may have many preparers, the number of
approvers will be fewer. Because the approver monitors documents completed
by preparers, an approver cannot be the same person as a preparer. Some
approvers will be certified to process higher-risk transactions (Certified
Approvers, see that section). Department administrators report directly
to their supervisor(s) in the department (e.g., unit head, unit administrator,
principal investigator, etc.).
Dept Head: Department Head - The department head is an academic
leader with programmatic, managerial and fiscal responsibilities for a
designated area, such as a department, division, school or center. The
department head reports to a dean.
Dean: Dean - Deans are academic leaders who have programmatic,
managerial and fiscal responsibilities for a college or school, and who
report either to the Executive Vice President and Provost, the Senior
Vice President for Health Sciences or the chancellor of a coordinate
campus (Crookston, Duluth, Morris). The dean's office, the administrative
center for a school or college, may include one or more Associate Deans,
who report to the Dean, as well as administrative staff. One Associate
Dean (usually referred to as the Associate Dean for Research) has the
responsibility to oversee research activities in the unit and thus is
delegated the authority to act on the Dean's behalf in matters relating
to research.
CA: Certified Approver - The CA is the individual who has been
authorized by the Vice President for Research and appointed by his/her
Associate Dean for Research (or equivalent) to approve/deny certain financial
transactions based on the administrative requirements of the University
and the sponsor. A CA must pass a two-part exam and fulfill annual continuing
education requirements. An individual who has passed the exams and participates
in continuing education is not a CA until he/she has been appointed. A
CA, while located in the department in most instances, reports to the
Associate Dean for Research (or equivalent) for that aspect of his/her
job, and his/her supervisor for other duties. A CA must maintain good
standing in the Certified Approver Program which is coordinated by the
Office of Oversight, Analysis, and Reporting within the Office of the
Vice President for Research.
SPA: Sponsored Projects Administration - SPA is the only institutional
unit legally able to submit proposals to external entities for financial
support in the form of a contract, grant, or agreement, and legally able
to commit the University on behalf of the Board of Regents in the event
an award is made. The head of SPA is designated as the Institutional Official
and has the authority to sign submitted proposals,
to receive awards and to conduct any other official business with funding
agencies, whether federal or private. These authorities may be delegated.
The head of SPA is an Associate
Vice President for Research who reports directly to the Vice President
for Research.
SFR: Sponsored Financial Reporting - SFR reports to the Controller,
invoices and collects payments, and compiles required financial reports
for sponsors.
OAR: Office of Oversight Analysis and Reporting - OAR is responsible
for providing reports to the Vice President for Research, deans, unit
heads and principal investigators on unusual or irregular activities related
to sponsored projects. The office is also responsible for administration
of the Certified Approver Program and for maintaining currency of knowledge
of federal, state and University policies. The office monitors the effectiveness
of electronic sponsored project management tools and provides advice to
the Vice President for Research on systemic and continuous improvement
in the quality of sponsored project management. The director of the office
reports directly to the Vice President for Research and works closely
with the directors of Internal Audits, Sponsored Projects Administration
and Sponsored Financial Reporting.
OTHER:
Audits: The Department of Internal Audits has an independent appraisal
function within the University. It is responsible for providing the Board
of Regents and the administration with information, assessments and observations
regarding the effectiveness and adequacy of the University's financial,
operational and compliance internal control processes, to aid them in
fulfilling their oversight responsibilities. The Department of Internal
Audits considers risks broadly, and monitors University activities and, when appropriate,
recommends actions to reduce risk to a reasonable level,
promote compliance with University policies and procedures and applicable
laws and regulations, and improve operational efficiencies.
OTC: Office for Technology Commercialization is the office that facilitates
the proprietary transfer of U of M technology for commercial use in
the public good consistent with the University's mission. OTC seeks
to identify and protect commercializable University technology, including
inventions and copyrightable materials, and transfer these technologies
to the private sector through licensing or by participating in starting
new companies.
ORA: Office of Regulatory Affairs provides internal oversight on compliance
issues related to the performance of research trials at the University
of Minnesota. ORA is responsible for oversight of the use of controlled
substances in research, research using animal or human subjects, managment
of business and financial conflicts of interest, and the research occupational
health program.
TR. SERV: Training Services offers sponsored project administration
classes in Effort Certification, Effort Certification for PI/Faculty,
Electronic Grants Management System (EGMS) Division Administration,
and EGMS Proposal Preparation.
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