THE UNIVERSITY OF TEXAS AT AUSTIN
OFFICE OF SPONSORED PROJECTS HANDBOOK
INTRODUCTION
PUBLICATIONS
COST OF RESEARCH
INTELLECTUAL PROPERTY
RESEARCH INTEGRITY
CONFLICT OF INTEREST
OFFICE OF SPONSORED PROJECTS
GENERAL INFORMATION
SPONSORED PROJECTS
GIFTS TO SUPPORT RESEARCH
OTHER GIFTS
SERVICES AND RESOURCES AVAILABLE
PERSONS AUTHORIZED TO BE PRINCIPAL INVESTIGATORS OR
CO-PRINCIPAL INVESTIGATORSPROPOSAL PREPARATION
Proposal Format
Preparing the Budget
Direct Costs
Salaries and Wages
Fringe Benefits
Consultants
Capital Equipment
Expendable Equipment and Supplies
Publication Costs
Travel
Computer Time
Subcontracts/Subrecipient Agreements
Other Direct Costs
Indirect Costs
Special Approvals - Animal Welfare, Human Subjects, Biohazardous
Materials and Radioactive Isotopes, and Recombinant DNA
Animal Welfare
Human Subjects
Radiation/Radioisotopes & Infectious Agents, Human Blood, or Extreme Toxins
Administrative Review and Approval of Proposal
Proposal Process Checklist
The OSP Processing Time
POST-PROPOSAL/PRE-AWARD ADMINISTRATION
Budget Negotiations with the Sponsor
Submitting a Revised Budget
Business Negotiations
THE AWARD PROCESS
Award Acceptance and Post-Award Administration
Subcontract/Subrecipient Agreement Award Development
Internal Equipment Screening Procedures
Federal/State Excess Property Programs
INTRODUCTION
Faculty and authorized professional research staff are encouraged to seek external financial support for specific projects undertaken to further the mission of the University in teaching, research and public service. Sponsored projects enhance and expand the educational opportunities available to undergraduate and graduate students at the University, permit research, scholarly inquiry, and the development of new knowledge, contribute to the academic achievement and stature of the institution, and assist the University in fulfilling its responsibilities to the state and the nation.
The primary responsibility for the origination, development and preparation of proposals rests with the Principal Investigator (faculty member with rank of Professor, Associate Professor, Assistant Professor, or Instructor; or Code 1000 professional research staff with title of Director, Research Scientist/Engineer, and Senior Research Scientist/Engineer). All proposals are expected to be germane to the interests and expertise of the Principal Investigator and shall be consistent with and contribute to the mission of the University. While awards for successful projects are made to the University, the Principal Investigator is responsible for the management, execution, and completion of the project, including submission of all required reports. Information, assistance and technical support are provided to the Principal Investigator during the pre-award process by the Office of Sponsored Projects and during the post-award phase by the Contracts and Grants section of the Office of Accounting.
As a public institution, the University will not conduct proprietary research, develop exclusive or proprietary data for a sponsor, conduct any “work-for-hire”, or permit a sponsor to direct or control research on campus. University facilities and equipment may not be used by a sponsor's employees or for the specific benefit of a sponsor. The purpose of University research is the discovery and dissemination of new knowledge; the University cannot assume the role of an advocate or a social action agency.
Publication of new knowledge developed under sponsored projects is a fundamental responsibility of the University. The University retains the right to publish all work done under sponsored projects and Principal Investigators are encouraged to use all appropriate channels to disseminate the results of their work. Publication delays of a reasonable period are allowed to permit filing of a patent application, to permit review for possible premature disclosure of patent application information and to review for inadvertent disclosure of a sponsor's confidential information. In all cases, the final decision to publish rests with the University.
The University expects external sponsors to pay the actual costs of conducting the sponsored project. These costs include both the direct and the indirect cost obligations incurred by the University in the conduct of a project. The direct costs, that is, those costs that are clearly identified with and benefit a specific research project, include salaries, fringe benefits, equipment, supplies, travel and other expenses. The indirect costs are those institutional research infrastructure costs that cannot be readily attributed to an individual project or monitored on an individual basis and include building and equipment use, operations, maintenance and utilities, general, departmental and sponsored projects administration, library, and capital improvements. Each sponsored project is expected to pay its proportional share of these research infrastructure costs. This payment is based on the indirect cost rate that is negotiated annually (or multiple years) between the University and the U.S. Department of Health and Human Services. Since the indirect cost rate is based on the level of existing indirect costs associated with research, the indirect cost income received by the University (and all other institutions of higher education) is a reimbursement for actual costs incurred. All research project budgets should include indirect costs as determined by this federally-negotiated indirect cost rate. Exceptions to this policy may be considered if the sponsor has an established, written policy applicable to all potential proposers which deviates from these rates. All deviations are subject to UT Austin administrative approval in advance.
The development, ownership, management, use and marketing of intellectual property developed at the University are governed by The Intellectual Property Policy of The University of Texas System.
Intellectual property is any invention, creation, discovery, scientific or technological development, computer software, or other forms of expression of an idea arising from the activities of personnel covered by System policy. The System policy does not apply to faculty-authored written or visual work, except computer software, produced in the author's professional field, and such faculty-authored work is owned by the creator.
When intellectual property results from work at the University that the creator believes may be of value, the creator must disclose such intellectual property to the University's Intellectual Property Committee. Additional information regarding the process of invention disclosure is available through the Committee.
Technology licensing and other technology transfer issues are handled by the Office of the Executive Vice President and Provost in coordination with the appropriate UT System officials.
Scholars and research personnel of the University are expected to adhere to the highest ethical standards for all research and scholarly work. It is the responsibility of every research investigator to maintain the integrity of research projects by keeping accurate, permanent, and auditable records of all experimental protocols, data, and findings. Misconduct in science and other scholarly activities is absolutely incompatible with the standards of the University and all allegations of such behavior will be handled promptly.
This policy is established to comply with the regulations of the Public Health Service (PHS) and the National Science Foundation (NSF), and the responsibility of The University of Texas at Austin, to promote objectivity in research by requiring that an employee of The University who applies for grants or cooperative agreements from the federal government for research or other educational activities or otherwise submits a proposal for sponsored research funding from any entity insures that there is no reasonable expectation that the design, conduct, and reporting of research will be biased by any Significant Financial Interest of an Investigator responsible for the research or other educational activity. Based upon federal regulations and The University's objective to maintain a research environment that promotes faithful attention to high ethical standards, this policy relating to conflicts of interest is to be administered in conjunction with Texas laws setting forth standards of conduct, Texas Government Code, Chapter 572, and the Code of Ethics of The University of Texas System, Part One, Chapter III , Section 4, Regent's Rules and Regulations (see Attachment One to HOP § 5.).
http://grants1.nih.gov/grants/policy/coi/index.htm
http://www.utexas.edu/research/coi/The Office of Sponsored Projects (OSP) serves as the coordinating office for externally funded research projects submitted by The University of Texas at Austin. The goal of the OSP is to assist faculty and professional research staff in their efforts to secure external funding.
The OSP staff provides technical assistance to Principal Investigators during proposal preparation (budget, special instructions, etc.), serves as an information source for and monitors compliance with applicable University and sponsor policies and requirements, handles all administrative matters with sponsors, including contract negotiations, and serves as a liaison with the Contracts and Grants section of the Office of Accounting during the post-award phases of a project. The staff reviews proposals before submission to the sponsor and advises the Principal Investigators of any omissions, necessary corrections or other items that might strengthen the presentation to the funding agency. The OSP maintains a reference library for Principal Investigators with materials on potential research sponsors and their programs, policies and guidelines.
Director and Associate Vice President
Susan Wyatt Sedwick
Mailing Address:
The University of Texas at Austin
Office of Sponsored Projects
P.O. Box 7726
Austin, Texas 7713-7726Campus: The University of Texas at Austin
Overnight Delivery Office of Sponsored Projects
Address Main Building, Room 303
Austin, Texas 7712Home Page Telephone Number (512) 471-6424
FAX Number (512) 471-6564Areas of Assistance * Application kits, materials, and program and proposal submission guidelines; * Research opportunity announcements and potential sponsor directories; * Proposal check-in; * Compliance with Animal Welfare, Human Subjects, Radiation/Radioisotopes; Infectious Agents, Human Blood or Extreme Toxins; and Recombinant DNA requirements; * Budget review; * Industrial negotiations, model contracts; * Subcontract/subrecipient agreement award preparation; * Intellectual property policies; * Award notices and processing; * Special programs, such as - The Welch Foundation; - The NSF the NSF Young Investigator (NYI) and Presidential Faculty Fellow (PFF) program; - Advanced Research Program (ARP) and Advanced Technology Program (ATP) administered by the Texas Higher Education Coordinating Board. Sponsored Projects Proposals to external funding sources for sponsored projects must be submitted through the Office of Sponsored Projects and awards received must be processed by the OSP when one or more of the following criteria are met. Most frequently these proposals involve research projects but any program requesting support by an external sponsor that satisfies these criteria shall be submitted through the OSP. * A specific program of work or research is proposed to or required by the sponsor; * The sponsor requires an authorized institutional signature; * The sponsor requires or expects one or more progress reports, a final report, financial reports and/or a formal accounting of how the funds were expended; * There are intellectual property, confidentiality and/or publication conditions associated with the receipt of funds. Gifts to Support Research The University is pleased to accept unrestricted gifts of funds to support the general research of a Principal Investigator. When unrestricted funds are provided by a donor to the University without any terms, conditions or other obligations, the funds are not subject to indirect costs charges. The original gift award letter from the donor and the accompanying check should be forwarded to the OSP upon receipt for processing. The OSP will forward appropriate paperwork to the Contracts and Grants section of the Office of Accounting so that an appropriate 26-”no overhead” account can be set up for the funds.
Solicitation of philanthropic gifts from foundations, individuals or other sources for non-research activities and the processing of non-cash gifts of equipment and other items of use in research programs are coordinated through UT Austin's Development Office. Any Principal Investigator-initiated proposal for equipment in response to a program announcement or Request for Proposal should be processed through OSP, just like other sponsored projects (as described on pp. 3-4). Services and Resources Available The Office of Sponsored Projects goal is to assist Principal Investigators in their efforts to secure external funding. This is accomplished by providing the following services and resources to faculty and professional research staff: * an OSP reference library with materials on potential research sponsors and their programs, policies and guidelines; * UT Austin internal Proposal Review Forms, indirect cost rate agreements, IRS determination letters proving our non-profit status, and other required certifications; * standard guidelines and application materials for major funding agencies such as the National Science Foundation and the National Institutes of Health; and assistance in obtaining other sponsor materials; * information about and interpretation of special procedures or policies related to sponsor requirements; * coordination of institutional compliance with Animal Welfare, Human Subjects, Radiation/Radioisotopes; Infectious Agents, Human Blood or Extreme Toxins; and Recombinant DNA requirements; * assistance in development of cover letters and special sponsor-required assurances and certifications; * review of preliminary/final proposal budgets; * negotiation of grant and contract awards' terms and conditions; * Intellectual Property Policy information and guidance; * administration of pre-award expenditure approvals under the Federal Demonstration Project (FDP); * preparation of subcontract and/or subrecipient agreement award documents. * a listing of websites for research related information Basic funding opportunity references available to researchers include: * Grant Bibliographies handout (available at the OSP and UT Austin General Library) helps researchers explore various funding sources by providing specific lists of references appropriate to various fields as well as directories of special funding opportunities for women, and minorities, and the disabled, * Annual Register of Grant Support (available at the OSP and UT Austin General Library): details on more than 2,400 current opportunities sponsored by foundations, corporations, government agencies, and professional and educational associations; * Foundation Directory, The (available at the OSP and UT Austin General Library): lists over 3,000 foundations and is the standard reference work for information about nongovernmental grants in the U.S.; * NIH Guide for Grants and Contracts, The (available at the OSP library): published at irregular intervals to announce scientific initiatives and to provide policy and administrative information about opportunities, requirements, and changes in the NIH; * NSF Bulletin, The (available at the OSP library): monthly listings of program guidelines, program information, meetings, and deadlines; * The Commerce Business Daily (available at UT Austin General Library) provides daily reports on the Federal government's purchases, sales, and contracts as well as Requests For Proposals (RFPs) announcements; * The Regional Foundation Library (RFL) is a non-circulating resource library located in Room 4.0 of the Lake Austin Centre (3001 Lake Austin Blvd.). The purpose of the RFL is to provide the most current and comprehensive information available on private and corporate philanthropy and grantsmanship. Contact the RFL at 471-5041 for further information. If you are interested in submitting a proposal to a foundation: * coordinate your efforts with UT Austin Development Office's Foundations and Corporations Development Officer prior to submitting a proposal to the OSP. The Development staff may have additional information about foundation guidelines that will assist in preparing the proposal. Persons Authorized to be Principal Investigators or Co-Principal Investigators When the University accepts a grant or contract from an external sponsor, the University assumes responsibility for the proper performance of the stated project, for the fiscal management of the funds received, and for accountability to the sponsor. Since the institutional responsibility for meeting these obligations is vested in the Principal Investigator, only individuals in the categories shown below are authorized to be Principal Investigators or Co-Principal Investigators for sponsored projects. In rare instances others may be authorized, and then only with the prior written approval of the Office of the Vice President for Research. * Tenure or Tenure-track faculty (Professor, Associate Professor, Assistant Professor, and Instructor); * Directors (code 1000); * Research Scientists/Engineers (code 1000) and Senior Research Scientists/Engineers (code 1000). Proposal Preparation In the event that the Principal Investigator plans to respond with a proposal to a sponsor's one-time program opportunity (i.e. Requests for Proposal [RFP], Requests for Quotations [RFQ], Broad Agency Announcements [BAA], etc.) a complete copy of the sponsor's document should be sent to the OSP upon receipt by the Principal Investigator. Proposal Format Many agencies have prescribed formats for proposal preparation, including the required forms for text, biographical data, and budget. Many agencies also have page and type size and character per inch (cpi) limitations for the body (text) of the proposal. For agencies which do not have specific formats, the OSP suggests that the Principal Investigator organize the proposal as follows:
* Transmittal Letter (will be prepared by the OSP during processing of the proposal)
* Title Page * Technical Abstract * Table of Contents * Statement of the Proposed Research Project * Review of Relevant Literature * Brief Description of Proposed Activities or Objectives * Project Design or Procedures * Project Evaluation * Project Management * Personnel Resources * Institutional Equipment and Facilities * Project Budget * Budget Justification * Curricula Vitae * References (literature cited) * Appendices Preparing the Budget Preparation of the budget is, for many researchers, the most difficult section of the proposal. Granting agencies see hundreds of proposals yearly and are proficient at comparing level of funding requested to the research work proposed. Therefore, it is important that the budget section of the proposal reflect, as accurately as possible, the funding needed to carry out the proposed research. The investigator should neither overestimate the funds required nor underestimate budgetary needs. Either of these strategies may lead to proposal rejection. A budget, accurately detailing the funds necessary to carry out the technical statement of work, can strengthen the total proposal and increase the likelihood of funding. Furthermore, a carefully prepared budget can often identify weak areas in the proposal narrative and result in improvement of the technical proposal. Personnel in the OSP are experienced in preparing budgets, and encourage investigators to contact them when they have a draft of the budget. The OSP staff can provide expertise in completing a budget request, applying fringe benefit and indirect cost rates, documenting subcontracts/subrecipient agreements, consultants, matching funds, and cost-sharing. In the case of more complicated proposal requirements, the OSP will complete sponsor assurances and certifications, and when requested, will assist the investigator in interpreting RFP guidelines. Direct Costs Salaries and Wages To determine total salaries and wages, list the amount of time to be spent by each person, including secretaries and clerical assistants, who will be working on the project. Time should normally be shown in terms of person-months and a percent of full-time effort. Show breakdown between summer and regular academic year for faculty. - No employee may be scheduled for activities in excess of 100% of effort in any given month. - Sponsored activities may not result in any employees receiving compensation at a rate in excess of their authorized salary or academic rate. For multi-year projects, the budget should take into consideration any possible salary increases. - Revisions of OMB A-21 relevant to secretarial and other clerical support: The Principal Investigator needs to justify the need for administrative support to perform the project, and it is the Investigator's judgment that this is the best way to spend the funds. Fringe Benefits Fringe benefits are a direct cost to a sponsored project, are clearly related to the salaries and wages to be paid, and are shown as a separate entry in the budget. The Department of Health and Human Services (DHHS) no longer negotiates fringe benefit rates for The University. Fringe benefit costs have been calculated based on historical data. The actual costs for fringe benefits are chargedcharged (billed) to the sponsored project at the time the costs are incurred; the amount charged is based on salary, selected benefit package, and other variables applicable to the individual employee. A table that provides an analysis of actual fringe benefits for full time employees is available in the OSP. If the actual fringe benefit expenses for a project exceed the projected amount included in the budget, it is the responsibility of the Principal Investigator to pay these actual costs from the direct award funds provided by the sponsor. The OSP can provide advice in the preparation of budgets and the Contracts and Grants section of the Office of Accounting can assist in the transfer of funds to the fringe benefit subaccount as may be appropriate. Consultants Normally, consultants are paid a consulting fee plus travel expenses. Many Sponsors do not permit payments to consultants and some restrict or limit such payments. If in doubt as to the allowability of consultants or rates paid to consultants, refer to the Sponsor's program literature or contact the OSP. Whenever possible, identify the proposed consultant by name, indicate the number of days of work, daily rate, and provide a curriculum vitae for the consultant in the proposal. The participation of paid consultants in a sponsored project for periods longer than two weeks should be discussed with the OSP prior to submission of the proposal. Normally, UT Austin employees may not be used as consultants on a project. Any requests for an exception must be submitted to the OSP in advance for approval and all requests must be in accord with the institutional consulting policies contained in 3.1 of the Handbook of Operating Procedures and Policy Memorandum 7.205. All consultant agreements/payments are handled by the Office of the Vice President for Research and by the Office of Accounting. Capital Equipment Item must be > $1000 in value, have at least a two-year useful life, and not be software. Components, other than on-campus machine-shop labor, used to fabricate an item of capital equipment may be considered as capital equipment for budgeting purposes and should be identified for inventory purposes. The on-campus machine-shop labor component is subject to indirect costs. A separate subaccount is required for each capital equipment item being fabricated. Expendable Equipment and Supplies These are items costing less than $1000 or with a life expectancy of less than two years. Normally, a research project will consume expendable supplies such as laboratory items, teaching aids, computer software, and office supplies. A reasonable amount should be budgeted for these items. Faculty who anticipate the use of a particularly large number of research animals or animals requiring special care should consult with the Animal Resources Center staff to see whether the funds estimated will be adequate and whether the Animal Resource Center has adequate facilities to accommodate the animals. Publication Costs Budget the anticipated cost of publishing the results of the research, keeping in mind that page charges may vary from journal to journal. Consider both page charges and reprint costs. TravelIf foreign travel is anticipated it must be specified. Travel costs expected to exceed institutional guidelines must be specified. For travel rates, refer to the current Traveler’s Guide Aid which may be obtained from the Account Management and Grant Services Travel section of the Office of Accounting. Outside the state, the limits are set by the Federal government and vary by locality. These rates are available in the *DEFINE system on the administrative computer (GG1 command). Federal funds cannot be used to make trips to secure new or additional research support or funds.
Computer Time
Computer time costs should be included as a budget item, if appropriate. If non-Sponsor funded computer time is needed, arrangements must be made in advance with your academic department or research unit.
Charges for computer time at the UT Austin Computation Center are not subject to overhead when the rate base is MTDC. Overhead applies to all other types of computer time, and to all computer supply budgets.
Subcontracts/Subrecipient Agreements
When a proposal contemplates a subcontract/subrecipient agreement to a named subcontractor, the subcontractor’s statement of work and detailed budget, signed by the subcontractor’s authorized institutional representative, must be provided with the “Proposal Review Form.” If the Principal Investigator(s) has any direct or indirect financial or other interest in the subcontractor/subrecipient organization, a disclosing statement must be submitted to the OSP as well. In the event that the total amount to be subcontracted represents a substantial portion (> 40%) (> 30%) of the proposed direct costs, the Principal Investigator should contact the OSP for guidance.
Other Direct Costs
Consider, as appropriate, costs for copying, long-distance telephone calls, postage, reference books and materials, tuition and required fees for participating graduate students, equipment maintenance, and contracted services. Revisions of OMB A-21 relevant to office supplies, postage, local telephone costs, and memberships: The Principal Investigator needs to justify the need for these items in relation to the project, and it is the Principal Investigator's judgment that this is the best way to spend the funds.
Indirect Costs
Indirect costs must be included using UT Austin’s federally-negotiated rates unless the sponsor has a written policy applicable to all potential proposers which deviates from these rates. All deviations are subject to UT Austin administrative approval. Sponsor guidelines limiting indirect costs must be provided with your proposal.
To calculate the indirect costs (IDC) for a project, do the following:
a) Calculate the Total Direct Costs (TDC) which is simply the sum of all direct costs (salaries, benefits, supplies, equipment, etc.)
b) Calculate the base against which the IDC rate will be multiplied by subtracting exempt items (capital equipment, graduate student tuition and required fees, stipends, computer time charges at the Computation Center, and subcontract/subrecipient agreement costs in excess of the first $25,000 of each subcontract/subrecipient agreement over the life of the subcontract/subrecipient agreement) from TDC. This will give the Modified Total Direct Costs (MTDC).
c) Apply the IDC rate against the MTDC base to calculate the indirect costs for the project.
d) Add the TDC to the IDC to calculate the Total Project Costs.
TDC - exemptions = MTDC
MTDC x IDC rate = IDC
TDC + IDC = Total Project Costs
Please note that since the federally-negotiated indirect cost rates are subject to change annually, Principal Investigators should be prepared to make adjustments in budgets for such changes. Contact the Office of Sponsored Projects for specific information.
Matching Funds/Cost-Sharing
If sponsor guidelines require cost-sharing or matching funds (cash contribution or donation of in-kind services such as contributed time and effort by the Principal Investigator and research group members), provide appropriate letters of commitment from each UT Austin or third-party source for cost-sharing. All matching funds or cost-sharing commitments based on the faculty member's academic time and effort must be approved in advance by the Principal Investigator's department chair and dean and be documented in writing to the Office of Sponsored Projects with the proposal when the cumulative total of such commitments are in excess of 25% of the faculty member’s academic year time.
Special Approvals - Animal Welfare, Human Subjects, Radiation/Radioisotopes; Infectious Agents, Human Blood or Extreme Toxins; and Recombinant DNA
Animal Welfare:
The University of Texas at Austin has the responsibility to ensure that experimentation with all animals conducted under its auspices (warm/cold-blooded and vertebrates/invertebrates), except human subjects, follows the regulations and guidelines as established by the Animal Welfare Act, P.L. 89-544 and its amendments, and NIH Publication 85-23. Copies of these publications are available for review at The University of Texas at Austin's Animal Research Center (ARC).
Researchers and/or teaching faculty who are planning projects involving the use of any animal should contact both the Institutional Animal Care and Use Committee (IACUC) Chairperson and ARC Director in the early stages of planning. Required forms for animal utilization are available from the OSP or ARC. The forms are also available on ARC’s homepage: http://www.utexas.edu/research/arc. Proposals involving the use of animals must be reviewed and given preliminary approval for submission for funding by IACUC Chairperson and/or ARC Director prior to being brought to the OSP for processing. Please provide one additional copy of complete proposal and animal utilization forms for ARC Director’s/IACUC files Number of copies required are detailed on the animal form. Day-to-day supervision and monitoring of all animal related activities on The University of Texas at Austin campus are the responsibility of the ARC Director. These requirements apply to both funded and non-funded research.
Human Subjects:
UT Austin faculty, staff, students or employees who propose to engage in any research, demonstration, development, or other activity involving the use of human subjects must have prior review and approval of that activity by their Departmental Review Committee and, if applicable, the Institutional Review Board (IRB). It is UT Austin policy that all protocols involving the use of human subjects be reviewed by the DRC and/or IRB. The IRB is responsible for safeguarding the rights and welfare of subjects who may be at risk through participation in such activities. These requirements apply to both funded and non-funded research.
At the time your proposal is processed by the OSP, please provide an “Application for The Review of a Project Involving Human Subjects” (with original signatures), a Synopsis, Consent Form, measurement tools (if applicable), and proposal, plus 10 9 additional sets of the proposal material for IRB review (for research protocols that are exempt from IRB review, provide one set only). Information about the review process, required forms, agenda deadlines and meeting dates are available from the OSP.
Recombinant DNA:
Projects involving the use of recombinant DNA molecules require initial and subsequent annual review by the DNA/Institutional Biosafety Committee (DNA/IBC). A “Synopsis for Research Involving Recombinant DNA” should be completed, signed and provided to the OSP with your proposal/progress report. Specific answers are required. Copies of the synopsis will then be forwarded by the OSP to the DNA/IBC Committee for review. You will receive a signed duplicate after review and approval. These requirements apply to both funded and non-funded research.
Radiation/Radioisotopes and Infectious Agents, Human Blood or Extreme Toxins:
Researchers who are planning projects involving radiation/radioisotopes and/or infectious agents, human blood or extreme toxins should contact the Office of Environmental Health and Safety (OEHS). New f Required forms and certifications are now available at OEHS and OSP and need to be approved by OEHS and the Dean’s Office before submission of your proposal to OSP.
Administrative Review and Approval of Proposal
Before transmittal to the sponsor, the proposal must be approved sequentially by the following UT Austin administrative levels:
* Animal Resources Center (if animals are involved),
* the OEHS Coordinator and Dean’s Office for Radiation/Radioisotopes and Infectious Agents, Human Blood or Extreme Toxins (if any of these are involved)
* the OSP Coordinator for Human Subjects and Recombinant DNA, (if any of these are involved),
* the OSP,
* Development Office (if proposal is being submitted to a foundation; the OSP will contact the Development Office to secure its approval and to determine whether the foundation involved has any special requirements regarding proposal submissions),
* Department Chair's (or Unit Director's) and Dean's signatures required only if proposal includes: 1) commitment of additional space facilities; 2) any cost-share commitments; 3) no tuition budgeted for graduate students (only for College of Engineering); or 4) any special requirements of department, unit, or college.; or 5) any safety-driven modifications or precautions beyond current practice.
All proposals must be accompanied by the “Proposal Review Form”. The summary information contained on the completed form facilitates administrative review and approval, and thus helps to expedite processing. Copies of this form can be obtained from the Office of Sponsored Projects.
For each sponsor, a “Proposal Review Form” and original proposal, as well as two copies of the proposal for the OSP files, should be delivered to the OSP for processing at least four working days prior to the date the proposal must be transmitted to the sponsor. Failure to supply the two OSP copies with the original signed proposal will delay the processing of the proposal. Advise the OSP of any proposal submission deadline (distinguish between "be there" date versus "postmark" date). If you wish the OSP to mail the proposal, supply the appropriate number of copies to be mailed to the sponsor together with the original. Overnight mail delivery is done at the Principal Investigator’s expense.
Proposal Process Checklist
The following is a checklist of information the Principal Investigator should provide to the OSP when submitting a proposal for University administrative review and approval.
* Complete, signed “Original” proposal;
* Completed, signed “Proposal Review Form”;
* RFP, RFQ or special solicitation guidelines;
* Two copies of proposal for the OSP files;
* Additional copies for sponsor if the OSP is to mail;
* Animal Welfare documentation as applicable;
* Radiation/Radioisotopes; Infectious Agents, Human Blood or Extreme Toxin documentation as applicable
* Human Subjects documentation as applicable;
* Recombinant DNA documentation as applicable;
* Matching funds/Cost-share letter(s) of commitment as applicable;
* Subcontracts/Subrecipient Agreements documentation as applicable.
The OSP Processing Time
The OSP requests a lead time of at least four working days to fully process proposals.
POST-PROPOSAL/PRE-AWARD ADMINISTRATION
Budget Negotiations with the Sponsor
Preliminary budget negotiations are often conducted between the Principal Investigator and the technical contact for the sponsor in order to determine an appropriate level of funding for the program proposed by the Investigator. Such preliminary discussions are encouraged. The Principal Investigator should contact the OSP, however, for established rates for fringe benefits, indirect costs or other budgetary matters that may impact upon the total support required for the project.
The Principal Investigator should not attempt to negotiate rates for indirect costs (or fringe benefits) that are different from the federally-approved rates for the University, nor should it be implied that a reduction in the approved rates would be acceptable to the University. Indirect costs represent substantial, real expenditures incurred by the institution to support each research program, and if these costs are not fully paid by each sponsor, the University must subsidize them from other institutional resources. In the event that a sponsor indicates to the Principal Investigator that it does not wish to pay these costs in full, the OSP should be contacted in order that this office may contact the sponsor for further negotiation regarding this issue.
If formal budget negotiations are required, the OSP will conduct the negotiations, including the confirmation of approved salary, benefits, computer and indirect cost rates. The OSP will seek the Principal Investigator's input and concurrence for any modifications proposed by the sponsor.
Submitting a Revised Budget
During the course of project negotiations it often becomes necessary to reduce or adjust the budget initially proposed. If this is the case, the Principal Investigator should send the revised budget and any other pertinent information (a revised budget explanation or revised statement of work or project duration may be appropriate) to the OSP for processing prior to sending the revision to the sponsor. A new “Proposal Review Form” is not required in this case as the OSP will update the figures on the one originally authorized.
Business Negotiations
The OSP reviews the terms and conditions of every award received. Terms and Conditions are negotiated in accordance with UT Austin policies and The Intellectual Property Policy of The University of Texas System.
* Federal Awards:
Terms and Conditions are usually predetermined, however, negotiations may be required.
* Non-Federal Awards:
Normally, most non-Federal projects require negotiations, especially those agreements with industrial sponsors. Such topics as inventions, publication rights, liability, and ownership of research results are usually the subject of negotiation. The negotiations are coordinated between the OSP personnel, the sponsor, the Principal Investigator, and, as appropriate, the UT System Office of General Counsel. The OSP leads the negotiations with the sponsor.
THE AWARD PROCESS
Award Acceptance and Post-Award Administration
Award documents take many forms depending upon the type of sponsor and project. These documents require review and signature by the official institutional representative authorized to sign on behalf of the institution. The OSP is responsible for award document processing. The Principal Investigator is notified of each new award and its terms and conditions and is asked to accept the award and responsibility for complying with all award requirements by returning a signed acknowledgment to the OSP.
Upon receipt of fully executed award documents or other proof of award, the OSP forwards information to the Contracts and Grants section of the Office of Accounting for assignment of account number and setup of the account. Once the Principal Investigator receives notification of the project account number from the Contracts and Grants section of the Office of Accounting, funds may be encumbered or expended against the project.
The Office of Sponsored Projects plays a dual role in the post-award phase of sponsored project activity. The OSP serves as a central point of contact for sponsor grant or contract officers regarding administrative matters throughout the duration of the project. The OSP also serves as facilitator and advocate for Principal Investigators in all matters pertaining to the non-technical management of their grants and contracts. In addition, the OSP coordinates and monitors compliance with each sponsor’s requirements for interim and final research reports. Principal Investigators will be reminded of the report deadlines and it is their responsibility to submit all required reports in a timely fashion.
If the award documentation is delayed, procedures are available to obtain a letter of credit for a limited period of time. Contact the OSP with information regarding the amount of credit needed. After the award information is verified by a representative of the sponsoring agency with the authority to commit funds, overdraft approval may be given. Credit will be limited to emergency expenses. Many Federal agencies allow pre-award costs up to 90 days prior to the start date of a grant. If pre-award costs are required, the above procedures for verification will be followed and pre-award costs may be approved.
Subcontract/Subrecipient Agreement Award Development
The OSP has the overall responsibility for issuing and monitoring subcontracts/subrecipient agreements under sponsored project awards. The OSP will maintain documentation relative to subcontract/subrecipient agreement placement and any modification thereof. The accounting and payment function is performed by the Contracts and Grants section of the Office of Accounting.
Any subcontract/subrecipient agreement issued will be negotiated using standard business practices, including completion of a negotiation memorandum as described in FAR 52.244-2, and will conform to applicable requirements (i.e., OMB Circulars A-21, A-110, and A-128).
These agreements will comply with all standard and special provisions of individual awards.
Internal Equipment Screening Procedures
Federal regulations require that universities adopt and utilize a formal internal equipment screening system. The objective of the screening system is to ensure maximum use of available, existing research equipment prior to acquiring additional research equipment with Federal funds. When equipment is acquired for use in Federally-funded projects, these Federal regulations require the University to demonstrate that an auditable means of determining the non-availability of the required equipment has been employed.
The Principal Investigator is responsible for conducting equipment screening for all proposed equipment acquisitions with a unit cost of $10,000 or more that are fully or partially funded from Federal funds. Equipment with a unit cost of less than $10,000 is exempt from these screening requirements. These procedures are to be completed prior to submitting a purchase order for the desired equipment.
Please direct any questions you may have concerning screening procedures to Mr. James Isbell, Jr., the OSP Scientific Research Equipment Coordinator, at 471-6289.
Federal/State Excess Property Programs
The OSP Scientific Research Equipment Coordinator also manages the Federal Excess Property Program (as outlined in National Science Foundation regulations) and the Texas Surplus Property Program, and obtains equipment from these external sources in support of other Federal agency contracts and grants. The procurement process consists of obtaining lists of equipment needs from Principal Investigators, physically screening Federal Excess Property storage facilities, initiating and processing all necessary documentation, and coordinating pick up and shipment of acquired equipment with Principal Investigators and Federal agencies. Principal Investigators interested in exploring these sources of research equipment should contact the OSP Scientific Research Equipment Coordinator at 471-6289.
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