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SPONSORED
PROGRAMS OPERATIONS GUIDE
The general administrative responsibilities for grants and contracts are as follows:
Performance Regulations. The Offices of Research Development and Grants & Contracts Administration are responsible for being fully informed on general and specific regulations (particularly federally sponsored project regulations) which must be complied with in the performance of such projects. These offices are responsible for maintaining current information on such regulations; reviewing proposals, applications, and agreements for conformance with such regulations as may be currently applicable; and disseminating information on current regulations to appropriate staff of the University.
University Obligations. The division head, project director, and/or principal investigator of the grant or contract project must be thoroughly familiar with all obligations assumed by the University for grants and contracts under his/her jurisdiction and ensure operating requirements are met, charges are processed promptly, and required technical reports are submitted on schedule or that time extensions are requested and received when necessary or appropriate.
Fiscal Responsibility. The Grants & Contracts Administration is responsible for the submission of billings and other official fiscal expenditure reports as required by the granting agency. The Accounting Office is responsible for furnishing the project director or principal investigator, through his or her division head, monthly budget reports on the expenditure status of each grant or contract to assist in financial management of the project. This data is also available on-line through the DEFINE System.
Reports to Sponsors. The Office of Grants & Contracts Administration will prepare and submit business and financial reports, statements, and other administrative documents required for grant and contract projects. When the nature of certain reports or documents necessitates their preparation at the division level where the project performance is assigned, the responsibility for the content of the fiscal information submitted remains with the Office of Grants & Contracts Administration.
The Office of Grants & Contract Administration may prepare documents in compliance with procedures, regulations, and applicable contract provisions Such documents include periodic and final billings; expenditure reports; equipment inventories; invention and patent reports; certificate of classified material disposition; and grant/contract closing reports.
Preparation and submission of technical reports, progress reports, program performance reports, manuscripts, program manuals, etc., is the responsibility of the principal investigator/project director in charge of the sponsored project.
Responsibilities of Office of Research Development
Pre- Award Activities. Proposal submission and other pre-award activities are handled through the Office of Research Development, located on the 4th floor of the JPL Building. All proposals and/or applications for funds to be submitted to external funding organizations must be routed through the University administration for review and approval. The use of University facilities and personnel by or for externally funded projects is not permitted until the appropriate proposal documents have been approved.
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Responsibilities of Office of Grants & Contract
Administration
Post Award Activities. The Office of Grants and Contracts Administration, located at 5723 University Heights, supports the efforts of Principal Investigators (PI) and Project Directors (PD) in managing funds awarded as grants and contracts, as well as other sponsored projects. Questions of a post-award nature about existing projects, such as the availability of project funds, the allowability of costs, re-budgeting and agency specific rules and reporting requirements should be directed to the Office of Grants and Contracts Administration.
The objectives of this office are to insure that:
- to control and record the receipt of income
- to disburse cash
- to bill agencies for receivables
- to report cash management activities
Responsibilities of Principal Investigators & Project
Directors
UTSA Policy. It is the responsibility of the Principal Investigator ( PI ) and Project Directors (PD) to manage an externally funded project in accordance with the requirements of the sponsoring agency as well as the policies and procedures established by the University.
Fiscal Aspects. The details concerning the day-to-day business transactions of sponsored projects are the responsibility of the PI/PD. This includes ensuring that all expenditures are within the limits of the approved budget and in compliance with the granting agency's guidelines; initiating documents for the purchase of materials and supplies; approving vouchers for payment, appointment papers for personnel, and budget transfers; and monitoring the fund balances for the project. The following areas usually require special attention of a principal investigator or project director:
Budget Categories Closely Controlled by the Sponsor. Expenditures require continuous internal monitoring to prevent budget category overruns.
Equipment Procured on Federally Sponsored Projects. All research equipment costing $5,000 or more, and all general purpose equipment (i.e., equipment which can readily be utilized for some purpose other than research) costing $5,000 or more, should be itemized in detail in the proposal and in the approved grant or contract. Otherwise, specific written approval may be needed from the sponsor prior to the purchase of such equipment. In addition, for equipment costing $5,000 or more, internal and, when applicable, external screening for available suitable equipment must be performed. If suitable equipment is available, it must be used in lieu of purchasing additional equipment. Equipment screening forms must be attached to all purchase requisitions for each item with a unit cost of $5,000 or more.
Controls and/or Requirements for Expenditures of Sponsored Program Funds. The expenditure of funds received from a grant or contract must be made in accordance with University policies and procedures governing the expenditure of general funds of the University. Whenever grant and contract funds have additional controls and requirements by the sponsor, strict compliance is required. Commitments or expenditures will not be made until the grant is officially awarded and accepted, or the contract has been fully executed, or as provided for under a pending award account.
Reporting Requirements. The faculty member who has a grant or contract accepts responsibility for meeting the sponsor's reporting requirements. This includes reports not only on publications, inventions, or unusual development which occur between regular report periods, but also technical reports. Financial reports are based on official institutional records kept by the Office of Accounting. The Office of Grants & Contracts Administration prepares financial reports to sponsoring agencies.
University Standing Committee on Animal Care & Utilization. The charge is to formulate and recommend policies and procedures in compliance with federal standards for acquisition, care, handling, and disposal of all laboratory animals used in research and teaching activities at UTSA; to advise on the needs, design, location, and operation of all animal facilities at UTSA, present and future; to perform periodic inspection of all animal facilities and report the findings and recommendations to the Provost; to consult, upon request, with principal investigators and project directors conducting activities that involve animals; to review and approve all proposals for grants and contracts that involve lower animals; and to undertake other special assignments involving animal care and facilities as directed by the President. The Committee reports to the Provost following appointment by the President with recommendations by the Committee on Committees. Committee members include three faculty members from the Division of Life Sciences, one Doctor of Veterinary Medicine, one member external to UTSA (non-scientist, representing community interests), the Occupational and Safety Program Officer, and the Animal Resources Supervisor.
University Standing Committee on Institutional BioSafety. The charge is to formulate and implement procedures to assure the University's compliance with all federal regulations for the construction, handling and disposal of recombinant molecules, organisms and viruses containing recombinant DNA molecules and other biologically hazardous organisms and chemicals at The University of Texas at San Antonio; to review and exercise approval authority of all proposals for grants and contracts that involve recombinant DNA molecules and other biologically hazardous organisms and chemicals; to monitor all projects that involve recombinant DNA molecules and other biologically hazardous organisms and chemicals; and to maintain the required records of the review, approval and monitoring of the use and disposal of recombinant DNA molecules and other biologically hazardous organisms and chemicals. The Committee will be appointed by and be responsible to the Provost with recommendations from the Committee on Committees. Committee members include four faculty members from Life Sciences, two external members, a Safety Officer, and the Occupational and Safety Programs Officer.
University Standing Committee on Occupational Health & Safety. The Committee establishes the policies and procedures necessary to guide the activities of those charged with the responsibility to maintain a safe and healthy working environment on the UTSA campuses and at all UTSA work sites away from the campus, as set out in the UTSA Handbook of Operating Procedures. The Committee will review and make recommendations to the President concerning action taken by the College of Sciences & Engineering Safety Committee and the College of Fine Arts and Humanities Safety Committee. The Committee will be appointed by and responsible to the President with recommendations by the Committee on Committees. The Committee is composed of one faculty member at large, one faculty member from COB, one faculty member from COSBS, one student, one Student Life representative, Nursing Supervisor, Director of Human Resources, University Safety Officer, University Police representative, Physical Plant representative, Chair COSE Safety Committee, and Chair COFAH safety Committee.
University Standing Committee on Human Research. The charge is to review and approve any and all research at UT San Antonio that involves human subjects; to study federal regulations that protect human beings involved in research projects, and to draw up a policy statement for UT San Antonio. This committee has the responsibility for safeguarding the legal rights and physical and mental well-being of human research subjects. Division Directors should serve as ex-officio members with voting privileges where projects that involve faculty members in their Divisions are under review.
The Human Research Committee is composed of nine members consisting of one faculty from the College of Business, Division of Education, Division of Social and Policy Sciences, College of Sciences and Engineering, and Division of Behavioral and Cultural Sciences, one graduate student from one of the areas from which faculty members for the Committee may be chosen, one attorney (ex-officio with vote), one physician (ex officio with vote), and one theologian (ex-officio with vote). Faculty shall serve two-year terms. Students serve a one-year term.
University Standing Committee on Institutional Patents. The charge is to assist in administering the patent policy at UT San Antonio in accordance ,with the Regents' Rules and Regulations, Part Two, Chapter XII, Section 2 (1 June 88) and to submit any recommendations on this subject to the President for further referral to the UT System Chancellor and the Board of Regents (in those cases when action by the UT System Chancellor and/or the Board of Regents is required). (For more information on the UTSA Patent Policy see Section 2.27 of The Handbook of Operating Procedures). The Institutional Patents Committee is composed of five faculty members consisting of one from the Division of Mathematics, one from the Division of Computer Science and Statistics, one from the Division of Earth and Physical Sciences, one from the Division of Life Sciences, and one from Business Law. Members shall serve two year terms.
University Standing Committee on Radiation Safety. The charge is to formulate policies and procedures and to provide the oversight necessary to assure the University's compliance with federal and state regulations for the license, purchase, shipment, storage, use, transportation and disposal of radioactive materials and sources of ionizing and non-ionizing radiation at The University of Texas at San Antonio; to monitor use of radioactive material by sub-licensees (if any); to review and exercise approval authority of all proposals for grants and contracts that involve radioactive materials and sources of ionizing and non-ionizing radiation at UTSA deemed unsafe; and to assure compliance with all requirements for maintenance of records for the review, approval, and monitoring of the license, purchase, shipment, storage, use and disposal of radioactive materials and sources of ionizing and non-ionizing radiation. The Committee will be appointed by and be responsible to the Provost with recommendations by the Committee on Committees. Members include five faculty members from divisions that use radioactive material, the Radiation Safety Officer, and one administrator appointed by the Provost.