CHAPTER ONE

OVERVIEW OF RESEARCH AND OTHER SPONSORED ACTIVITIES

1.1 Sponsored Activities at UTHSCSA

Sponsored activities at the Health Science Center encompass a broad range of projects from basic laboratory research to clinical drug studies; from training grants to outreach programs from the community; and many other activities. Funding for these programs is housed in the Health Science Center's "K" account series or, in some cases, in other account series: "T" (clinical research studies), "E" (direct state appropriated funding for projects), "F"(Texas Higher Education Coordinating Board Grants), and "R" (institutional grant funds).

1.2 What is a Sponsored Activity 1

 For a project to be considered a sponsored activity at the Health Science Center and, consequently, to be subject to the policies and procedures of this Manual, a project should have one or more of the following characteristics:
  1. Payment is contingent upon the delivery of a specific tangible item, such as a report, samples, a data set, assays or prototype, or the achievement of specific performance targets.
  2. There is a line item budget detailing or limiting expenses by activity, function, or project period or limiting the freedom to transfer funds among expenditure categories.
  3. A detailed financial report, certified voucher, A-133 audit or external audit is required.
  4. Any unexpended funds must be returned to the sponsor at the end of a project period.
  5. The proposed agreement provides for the disposition of intellectual property (e.g., copyrights, patents, or licenses).
  6. The proposed activity involves government-supported construction, alteration, renovation or acquisition of equipment or facilities.
  7. The proposed budget includes payment of Health Science Center indirect costs by the sponsor.

1.3 Roles and Responsibilities 1

 Throughout the proposing, conduct, and reporting of a sponsored project, various individuals have roles and responsibilities relating to that project. Following is an enumeration of those roles and responsibilities which include but are not limited to:

Principal Investigator/Project Director

Responsible for the preparation of proposals to external funding organizations and assuring that the information contained therein is accurate and correct to the best of his/her knowledge. Responsible for ensuring the appropriateness of all charges on sponsored projects. Ensure the consistent application of direct costing practices to their sponsored projects with the assistance of the academic department administrator and the Office of Grants Management. Determine, justify, and document the circumstances in the budget proposal narrative or during the project when costs normally charged as indirect are charged as direct. Document special support costs in proposal budgets. Submit required technical project reports and other project deliverables as required by the sponsor in a timely manner.

Department Administrator (or designee)

Assist principal investigators/project directors in the administration of their projects in making appropriate charges to sponsored project accounts, and in determining and justifying circumstances when costs normally charged as indirect are charged as direct. Ensure consistency of charging practices within the unit, review sponsored project proposals for justification of direct charges requested, especially when costs normally charged as indirect are proposed as direct charges. In conjunction with principal investigators/project directors, review and maintain financial records for appropriateness of charges and for reviews by internal or external auditors.

Dean/Department Chair

Establish effective processes and controls that will ensure compliance with the policies and procedures of the Health Science Center, including those enumerated in this Manual. Communicate these practices to all responsible employees within their colleges and departments. Approve funding proposals and/or agreements for sponsored programs.

Internal Service Organizations

Follow the policies and practices of the Health Science Center, including those enumerated in this Manual, when developing rates and billing accounts.

Office of Grants Management

Responsible for institutional review and signoff of proposals, negotiation and review of award agreements, establishing correct accounts, subaward preparation and monitoring, advising on postaward business and financial matters, preparing accurate and complete financial reports, and account closeout. Responsible for enforcing costing and other administrative policies of the Health Science Center and its external sponsors.

Office of Accounting

Responsible for financial monitoring on all grant and contract accounts, preparation of periodic billings and reports, assessing cash position on cost reimbursable accounts, indirect cost earned calculation, processing of subawardee and stipend payments, drawdown of federal funds and account closeout. Responsible for insuring compliance with internal and external rules and regulations.

Internal Audit

Independently evaluate compliance with federal regulatory policies and institutional practices and to insure a proper system of internal controls is in place at the departmental and institutional levels.

Compliance Officer

Responsible for ensuring an effective training and monitoring program is in place to address high risk areas of potential noncompliance.

1.4 Who Can Be a Principal Investigator/Project Director 1

 For the purposes of this policy, the term "Principal Investigator" shall encompass the terms Principal Investigator, Project Director, Program Director, and similar titles, and shall mean a single individual who, in the event of an award from an external funding agency, shall have the full and final responsibility for the conduct of the project as proposed. When the term is modified by the prefix "Co-", the first-named individual on the project proposal shall be the person with the ultimate responsibility as outlined above. (Note that NIH does not recognize "Co-Principal Investigator" as a term to be used in its proposals.)

Persons eligible to be Principal Investigators shall hold faculty positions or positions enjoying similar rights and privileges. Part-time clinical faculty having the rank of Assistant Professor or above may also be named as Principal Investigators.

Exceptions to this policy may be made with the approval of the department chair or academic director and dean pursuant to the following considerations:

  1. An individual petitioning to serve as a Principal Investigator must be specifically approved on the basis of the particular facts involved and not as a routine procedure. The approval will be for a specific project and duration, and will be valid for multiple funding applications for the same project.
  2. The individual must have the necessary experience and independence to compete for his/her own sponsored program and to administer the project should it be funded, as judged by the faculty sponsor, the department chair or academic director as appropriate, and the dean.
  3. The individual must obtain written commitments from the department chair or academic director as appropriate which guarantee necessary laboratory space or other resources or support.
  4. The department chair or academic director as appropriate and a specifically identified faculty member (faculty sponsor) must agree to assume responsibility for the awarded sponsored program should the individual leave the Health Science Center. A plan should be developed for administering the sponsored program and should, at a minimum, include the identification of a specific individual who will assume the responsibilities of Principal Investigator, and whether or not the project will stay at the Health Science Center.
Signature by the department chair or academic director and dean on the Certificate of Proposal shall indicate their approval of the above exceptions.

1.5 Required Educational Programs for Authorized Signatories on Sponsored Program Accounts 1

 This section has been eliminated and is no longer required.

1.6 Office of Grants Management *

 The Office of Grants Management is charged with providing the campus community with administrative support in the areas of pre-award and post-award sponsored projects administration. Within that arena, the Office assists in identifying sources of project funding, provides institutional review and endorsement of proposals, reviews and negotiates award agreements, establishes new accounts, prepares sub-awards, provides post-award business and financial assistance and approvals, performs compliance training and other activities for adherence to Health Science Center, federal, and other sponsor regulations, and prepares financial and other non-technical closeout reports. The Office also has other functions within the Health Science Center's restricted fund accounts including the preparation and negotiation of the facilities and administrative (indirect cost rate). A listing of Grants Management staff and their primary duties is included as Appendix B.