UTMB Signing Officials are employees of Research Administration who have the authority to sign grant applications on behalf of the university. The UTMB Authorized Official Signature on a grant application:

• Certifies that UTMB will comply with all applicable assurances and certifications referenced in the application.
• Assures that UTMB will be accountable for both the  appropriate use of funds awarded, and for the performance of the grant-supported project or activities resulting from the applications.
• Attests that all information contained in the application is true, complete, and conforms to federal and organization requirements.

Annual and routinely updated Conflict of Interest Disclosure Forms are required from:

• All faculty engaged in organized research activities.
  Members of  institutional research-related review committees.
• Staff members who negotiate or execute research-related agreements on behalf of UTMB.
• Any individual who, regardless of title or position, is responsible for the design, conduct or reporting of research, including the PI, Co-I, faculty agent, research tech, research nurse, fellow, or administrators who participate in research.

Read the Conflict of Interest Policy, and contact the Conflict of Interest Office with any question.

These costs are committed in the proposal as a requirement of the sponsor/program or as volunteered, and thus committed, by the PI/Department.

• If proposed, cost sharing MUST have an approved internal funding source, departmental authorization on the Proposal Routing Form, and approved by the Provost Office (Cost-Sharing Approval Form).
• Unallowable costs CANNOT be included in the portion of costs shared by the university.
• The cost sharing portion of a project CANNOT be funded from another federal project.
• Costs benefiting another project CANNOT be included as cost sharing.
• Costs resulting from a sponsored project overdraft at expiration represent project costs borne by UTMB and are considered as cost sharing, although they may not be used to fulfill a cost share commitment.
• Proposal that have cost sharing will be reviewed by Entity CFO’s prior to institutional signatures.
• See OMB Uniform Guidance and UTMB's Budget Guidelines for additional guidance.

A cost transfer occurs when an expense is transferred from one
PeopleSoft Chartfield to another, or from one account (object code) to another when an error has occurred.

• Cost transfers must comply with principles of direct costs and UTMB Cost Transfer Policy.
• Transfers are a means of correcting errors, NOT managing project funds.
• Transfers must be supported with full, detailed explanation, not just what was done, but also why the transfer was necessary.
• Transfers must be completed within 90 days after the original charge was incurred; tardy transactions require an explanation for lateness and must be approved by the Department Chair.
• Costs allocable to several projects CANNOT generally be charged solely to a single project.
• Costs not allocable to a project CANNOT be charged or transferred to that project temporarily.

To assist you in the proper management of your responsibilities as a PI, it might be helpful to have the following definitions.

Co-Investigator
An individual involved with the PI on the   scientific development or execution of a project. A Co-I typically devotes a specified percentage of time to the project and is considered “key personnel.” He/She does not affect the PI’s roles and responsibilities.

Equipment
Non-expendable item having a useful life of more than one year and an acquisition cost of $5,000 or more.

Key Personnel
Individuals identified by the PI who contribute to the scientific development or execution of a project in a substantive, measurable way. “No effort” or “as needed” is not an acceptable level of involvement for key personnel.

PI/Program Director/Project Director
Individual  designated by UTMB to direct the project or activity being supported by the grant. He/She is responsible and accountable to UTMB for the proper conduct of the project or activity.

Program Income
Gross income earned by the grantee that is directly generated by the grant-supported project or activity, or earned as a result of the award.

Program Official
The sponsor official responsible for the programmatic, scientific, and/or technical aspects of a grant. This person is your advocate within the sponsor organization.

Research Misconduct
Fabrication, falsification, or plagiarism in proposing, performing, or reporting research or results.

Terms and Conditions of Award
All legal requirements  imposed on a grant by the sponsor, whether based on statute, regulation, policy or other documentation referenced in the grant award, document itself.

Direct costs are those costs that can be identified specifically with a particular sponsored project and that can be directly assigned to such activities relatively easily with a high degree of accuracy.

Direct costs:

• Must be specifically identified with a particular project – Charge it where you use it.
• Must be allocable (i.e., costs must be charged in proportion to their benefit to a particular project).
• Must be reasonable (i.e., charging costs to a particular project must be done conservatively and reflect the actions of a prudent person).
• Must be allowable (i.e., certain costs, such as entertainment, generally may not be charged to a federal grant).
• Must be timely (cost transfers should occur as soon as an error is discovered but no later than 90 days after original charge was incurred).
• Must conform to any limitations or exclusions in sponsored agreements. (See OMB Uniform Guidance.)

Also, costs normally included in the institution’s research F&A cost rate (i.e., administrative staff or office supplies), CANNOT be directly charged to a federal grant. (See Institutional Handbook of Operating Procedures Policy 4.5.2 Consistent Treatment of Cost).

• Federal regulations require salary and effort certification on federally sponsored projects.
• UTMB employees certify effort with an after-the-fact confirmation, using the online UTMB Effort Reporting System.
• Effort for all individuals (faculty and classified staff) working on sponsored projects is certified on a semi-annual basis.
• Effort reports for faculty are to be certified by the faculty   member.  Effort reports for all classified staff are to be certified by a primary individual with suitable means of verification that the work was performed.
• Effort calculation is not based upon a 40-hour work week; all hours worked in UTMB-related activities must be included as a percentage of effort.
• For information about federally mandated effort reporting requirements and UTMB policies and procedures, contact the Effort Reporting team or visit the website.

INSTITUTIONAL BIOSAFETY COMMITTEE
CHEMICAL SAFETY COMMITTEE
RADIATION SAFETY COMMITTEE

• The Facilities & Administrative Cost Rate is negotiated with the DHHS, Division of Cost Allocation.
• Be familiar with UTMB's current F&A Rates (Facilities & Administrative Cost Rate Agreement)
• The PI must use the applicable F&A rate in all competitive and non-competitive proposals submitted unless specifically prohibited or altered by the sponsor.

The NIH (plus AHRQ and SAMHSA) limits the amount of direct salary charged to its grants.

• Compensation for individuals on NIH grants cannot exceed a stipulated rate of pay per year or per academic appointment.
• Current NIH salary cap information.

To achieve its aims of providing higher education, providing patient care, advancing knowledge, and contributing to the welfare of the State, UTMB accepts external funding in support of research and sponsored activities when the project:

• Provides the faculty member with the opportunity to gain experience and knowledge of value to his/her teaching and/or research activities.
• Is a suitable sponsored activity through which the faculty member may make worthy contributions to knowledge.
• Provides appropriate public service to the community.
• Provides an opportunity to enhance a student educational objective(s).

UTMB is committed to protecting the rights and welfare of human subjects who choose to participate in biomedical or socio-behavioral research. UTMB has an organized and systematic program in place for the protection of research subjects that includes a commitment to the principles and guidelines for protecting research subjects contained in the Belmont Report. UTMB maintains a Federalwide Assurance (FWA), FWA#00002729, with the Department of Health and Human Services’ Office of Human Research Protection (OHRP). This Assurance is updated periodically and commits the University to abiding by all federal regulations and guidelines as set forth under 45 CFR 46 with respect to its research activities involving human subjects.

All research involving human subjects must be reviewed and approved by the Institutional Review Board (IRB).

• Human protocols are accepted on a rolling basis for IRB review. UTMB has two IRB committees, each meeting once a month. The placement of items on the IRB agenda is determined based on the order in which it is received and the number of members scheduled to be present.
• Human subject protocols require training of PIs and research staff.  Training is available through CITI Program. 

UTMB's Institutional Animal Care and Use Committee (IACUC) supports the use of animal research when conducted in a responsible, humane manner for medical and scientific research. All research involving vertebrate animals must be reviewed and approved by the IACUC.

• New animal protocols may be submitted for IACUC review via the InfoEd system at any time. Deadlines for the submissions to be reviewed at a specific meeting are listed on the IACUC website.
• Personnel must complete designated training, have Occupational Health clearance and placed on a protocol prior to working with animals. 

Misconduct in science or research means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the academic community for proposing, conducting, or reporting research. It does not include honest errors or honest differences in interpretations or judgments of data.