HANDBOOK

Pre Award

• Introduction
• Publications
• Cost of Research
• Intellectual Property
• Research Integrity
• Working with Industry
• Conflict of Interest
• Office of Research Services
• General Information
• Key Areas of Responsibility
• Boilerplate Information
• University Resources
• Sponsored Projects
• Gifts to Support Research
• Other Gift
• Services and Resources Available
• Persons Authorized to be Principal Investigators or Co-Principal Investigators
• Nepotism
• Limited Submissions
• Proposal 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/Subrecepient Agreements
      Other Direct Costs
      Facilities and Administrative Costs
      On and Off Campus rates
• Matching Funds/Cost-Sharing
• Special Approvals- Animal Welfare, Biohazardous
  Materials and Recombinant DNA, Human Subjects, and Radioactive Isotopes
     Animal Welfare
     Biohazardous Materials and Recombinant DNA
     Human Subjects
     Radiation/Radioisotopes
• Grants.gov Submission Instructions
     Sending your Proposal to ORS
• Administrative Review and Approval of Proposals
• Proposal Routing Form
• The ORS 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/Subrecepient Agreement Award Development
     Internal Equipment Screening Procedures
     Federal/State Excess Property Program
• Post Award Issues
     Extensions
     Budget Changes
     Supplemental Funds
     Change of PI
     Leave of Absence
     PI Leaving UNT

Post Award

Overview
Origination of Awards
Budgets
Record keeping
Personnel Effort Reports
Cost Checklist
Indirect Cost
Cost Transfers
Closeout

Pre Award

Introduction

Faculty and authorized professional staff are encouraged to seek external financial support for specific projects undertaken to further the mission of UNT in teaching, research and public service. Sponsored projects enhance and expand the educational opportunities available to undergraduate and graduate students at UNT, permit research, scholarly inquiry, and the development of new knowledge, contribute to the academic achievement and stature of the institution, and assist UNT 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. 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 UNT. While awards for successful projects are made to UNT, 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 Research Services and during the post-award phase by the Office of Grant Accounting.

As a public institution, UNT will not conduct proprietary research, develop exclusive or proprietary data for a sponsor, 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; UNT cannot assume the role of an advocate or a social action agency.

Publications

Publication of new knowledge developed under sponsored projects is a fundamental responsibility of UNT. UNT 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 UNT.

Cost of Research

UNT expects external sponsors to pay the actual costs of conducting the sponsored project. These costs include both the direct cost and the facilities and administrative cost (also know as indirect costs) obligations incurred by UNT 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 facilities and administrative 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 facilities and administrative cost rate that is negotiated annually (or multiple years) between UNT and the U.S. Department of Health and Human Services. Since the facilities and administrative cost rate is based on the level of existing facilities and administrative costs associated with research, the facilities and administrative cost income received by UNT (and all other institutions of higher education) is a reimbursement for actual costs incurred. All research project budgets should include facilities and administrative costs as determined by this federally negotiated facilities and administrative 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 UNT administrative approval in advance.

Intellectual Property

The development, ownership, management, use and marketing of intellectual property developed at UNT are governed by the Intellectual Property Policy of UNT.  The policy may be found at:  http://www.unt.edu/policy/UNT_Policy/volume3/16_13_1.html.

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 UNT policy. UNT 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 UNT that the creator believes may be of value, the creator must disclose such intellectual property to ORS. Negotiations with sponsors relating to intellectual property matters are the responsibility of ORS.  Licensing agreements for the technology is handled by ORS.

Research Integrity

Scholars and research personnel of UNT 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 UNT and all allegations of such behavior will be handled promptly.  UNT's policy regarding research integrity may be found at the following sites: http://www.unt.edu/policy/UNT_Policy/volume3/16_12_3_6.html and http://www.unt.edu/policy/UNT_Policy/volume3/16_12_3_6_1.html

Working with Industry

Challenges for investigators when working with industry include:

• How do investigators protect against research bias in industry relationships?
• How do investigators work with the University to ensure requirements are fulfilled and relationships are fairly and effectively reviewed and overseen?
• How do investigators address issues of access, analysis, and dissemination of research information, data, and materials in industry relationships?
• How do investigators operate with transparency and accountability in industry consulting relationships (consulting, advisory board membership, speaker bureaus)?
• How do investigators address conflict of interest issues in their entrepreneurial activities (involvement in start-up companies and technology licensing)?
• How do investigators with industry relationships minimize the negative impacts of those relationships on training and education?
• How do investigators with industry relationships protect against risks to human research participants?

Some guiding principles to aid investigators in addressing these challenges when working with industry are:

Conflict of Interest

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 UNT of North Texas to promote objectivity in research by requiring that an employee of UNT who 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 UNT'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.

Office of Research Services

The Office of Research Services (ORS) serves as the coordinating office for externally funded projects submitted by UNT of North Texas. The goal of the ORS is to assist faculty and professional staff in their efforts to secure external funding.

The ORS 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 Office of Grant 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.

General Information

Key Areas of Responsibility for ORS 

•          Review of sponsor guidelines
•          Review of compliance issues
•          Representations and Certifications
•          Review budget
•          Negotiate Revised Budget
•          Additional budget detail

•          Check status of pending proposals
•          Notify principal investigator if additional technical information is requested by sponsor

•         Read and review terms and conditions of incoming awards
•         Contact sponsor and negotiate unacceptable terms
•         Notify principal investigator of special terms and conditions and obtain approval of final document.
•         Enter award information into the UNT Electronic Proposal System and Electronic Database
•         Generate notice of award and forward to the Office of Grant Accounting
•         Prepare and negotiate subcontracts to outside entities

•         Assist in the management of complex projects (e.g., projects requiring internal subcontracts or split accounts)

•         Assist with routine requests to sponsor
•         Assist principal investigator transferring to another institution with the transfer of active research projects
•         Assist in the submission of final reports to sponsor by notifying the principal investigator of delinquent reports as required

•         Provide monthly report of proposals and awards
•         Provide annual report of proposals and awards
•         Provide annual report of faculty awards
•         Prepare and disseminate information to faculty, departments, organized research unit, etc as required.

Liaison with federal agencies for surplus research equipment

Serve as the Security Officer for UNT

Boilerplate Information for Proposals

University Resources

General information about UNT which you may wish to incorporate into your proposal's resources and environment section may be found at the site listed below. This site includes information about UNT's library system as well as financial and computing resources: http://www.unt.edu/planning/Fact_Book/list.htm

Sponsored Projects

•         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

UNT 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 UNT without any terms, conditions or other obligations, the funds are not subject to facilities and administrative costs charges. The original gift award letter from the donor and the accompanying check should be forwarded to the Development Office upon receipt for processing.

Other Gifts

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 UNT's Development Office. Any Principal Investigator-initiated proposal for equipment in response to a program announcement or Request for Proposal should be processed through ORS, just like other sponsored projects.

Services and Resources Available

The Office of Research Services 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:

* UNT internal Proposal Routing Forms, facilities and administrative 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
* assistance in development of cover letters and special sponsor-required assurances and certifications;
* Intellectual Property Policy information and guidance;
* GENIUS/SMARTS and SPIN: Funding opportunity database to which UNT subscribes. Special features include e-mail updates and a large listing of current funding opportunities sponsored by foundations, corporations, government agencies, and professional and educational associations;
* The Commerce Business Daily (available at UNT Library) provides daily reports on the Federal government's purchases, sales, and contracts as well as Requests For Proposals (RFPs) announcements;

Persons Authorized to be Principal Investigators or Co-Principal Investigators

UNT, through the Office of Research Services, is responsible for the proper program performance and fiscal management of extramurally funded projects.

Professors, associate professors and assistant professors may serve as principal investigators (PI) or co-principal investigators.

Directors, research scientists, staff, visiting professors and others may request PI or co-PI status by submitting a written request to the Associate Vice President for Research  The request should include a statement attesting to the individual's qualifications and his/her curriculum vitae.   

Nepotism

Some sponsored projects involve situations where a proposed member of the project team is related by blood or marriage to the Principal Investigator. In such instances, care must be taken to ensure that the involvement of a related individual does not violate Texas or UNT nepotism rules.

Under the definitions in the Texas Government Code and the UNT Ethics Policy, no individual may be hired or promoted or have his/her salary increased if related within the second degree by marriage (“affinity”) or within the third degree by blood (“consanguinity”) to any person whose duties would involve hiring or promoting or increasing the salary of the related person in connection with the project. These degrees of relationships can be illustrated as follows:

Relationships by Marriage

First degree is the employee’s spouse or the employee’s spouse’s father, mother, son, or daughter.

Second degree is the employee’s spouse’s brother, sister, grandfather, grandmother, grandson, or granddaughter.

Relationships by Blood

First degree is the employee’s father, mother, son, or daughter.

Second degree is the employee’s brother, sister, grandfather, grandmother, grandson, or granddaughter.

Third degree is the employee’s uncle or aunt (who is the brother or sister of the employee’s parent), nephew or niece (who is a child of the employee’s brother or sister), great grandfather, great grandmother, great grandson, or great granddaughter.

How does this impact a sponsored project?

In the event the proposed sponsored project team includes an individual who is related to the Principal Investigator within the degrees of relationship set forth above, the project must be structured so that all hiring, promotion, and salary decisions for the related individual (with respect to the sponsored project) are made by the Principal Investigator’s next highest level supervisor, i.e. his/her department chair or dean as applicable.

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Limited Submissions

Sponsors occasionally limit the number of proposals an institution may submit for a particular program. In such cases, the Office of Research Services (ORS) conducts an internal competition. Announcements are made via Groupwise under the user heading of Research Services Information. Full details for participating in the internal competition and the deadline are contained in each announcement. Internal review criteria parallel agency evaluation criteria. Immediately after each deadline, a review panel with appropriate expertise is convened. ORS notifies the faculty of the review panel's recommendations and assigns a Research Administrator to work with chosen faculty throughout the final proposal process.

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 or the URL of that document should be sent to the ORS 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 ORS suggests that the Principal Investigator organize the proposal as follows:

* Transmittal Letter (will be prepared by the ORS 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.

The BudgetBuilder is a tool created by ORS to assist in completing a budget request, applying fringe benefit and facilities and administrative cost rates, documenting subcontracts/subrecepient agreements, consultants, matching funds, and cost-sharing. It is designed to handle any budget ranging form the simplest to the most complicated and constantly updated to ensure accurate budget preparation. The BudgetBuilder is available at: http://www.unt.edu/ospa/docs/index.html

Personnel in the ORS are experienced in preparing budgets, and encourage investigators to contact them when they have a draft of the budget.In the case of more complicated proposal requirements, the ORS 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 sponsored projects, are clearly related to salaries and wages, and are shown as a budget line item. The actual costs of fringe benefits are charged (billed) to the sponsored project when they are incurred; the amount charged is based on salary, selected benefit package and other variables applicable to individual personnel. A table that provides an analysis of actual fringe benefits for full time personnel is available on the web at the following site: http://www.unt.edu/hr/forms/fringe2007.pdf

Principal Investigators are responsible for downloading and using the latest version of Budget Builder http://www.unt.edu/ospa/docs/index.html and working with the ORS to assure that fringe benefits are calculated accurately. However, if the actual fringe benefit expenses for a funded project exceed the budgeted amount, the actual expenses will be charged to the project. The ORS can also provide advice in the appropriate transfer of funds to cover fringe benefits.

Personnel paid by a sponsored project must take all vacation leave accrued during the project period prior to the end of the project. The Principal Investigator is responsible for funding vacation leave accrued by project personnel but not taken during the project period from funds other than project funds.

Compensatory time should be accrued only on rare occasions on sponsored projects and only with pre-approval of the Principal Investigator according to UNT policy I.1.4.2. It is the Principal Investigator’s responsibility to assure that all compensatory time accrued during a project period is taken during the project period.

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 ORS. 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 ORS prior to submission of the proposal. UNT employees may  be used as consultants on a project if the consultant is from a different department than the principal investigator.

Capital Equipment

Equipment means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per acquisition of 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 facilities and administrative costs. A separate subaccount is required for each capital equipment item being fabricated.

Expendable Equipment and Supplies

These are items costing less than $5000. 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.

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.

Travel

If foreign travel is anticipated it must be specified. Travel costs expected to exceed institutional guidelines must be specified. Federal funds cannot be used to make trips to secure new or additional research support or funds. For current travel rates, refer to the State of Texas Travel Reimbursement rates at:

http://www.gsa.gov/Portal/gsa/ep/contentView.do?programId=9704&channelId=-15943&ooid=16365&contentId=17943&pageTypeId=8203&contentType=GSA_BASIC&programPage=/ep/program/gsaBasic.jsp&P=MTT

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.  Overhead applies to all types of computer time, and to all computer supply budgets.

Subcontracts/Subrecepient Agreements

When a proposal contemplates a subcontract/subrecepient agreement to a named subcontractor, the subcontractor's statement of work and detailed budget, signed by the subcontractor's authorized institutional representative, should be provided with the Proposal Routing Form.

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.

Facilities and Administrative Costs (Indirect Costs)

Facilities and administrative  costs must be included using UNT'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 UNT administrative approval. Sponsor guidelines limiting facilities and administrative costs must be provided with your proposal.

Note: BudgetBuilder automatically calculates Facilities and Administrative Costs and is the preferred method for ensuring correct calculations. The BudgetBuilder is available at: http://www.unt.edu/ospa/docs/index.html

To calculate the facilities and administrative costs for a project, do the following:

(F&A) 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 F&A rate will be multiplied by subtracting exempt items (capital equipment, graduate student tuition and required fees, stipends, and subcontract/subrecepient agreement costs in excess of the first $25,000 of each subcontract/subrecepientagreement over the life of the subcontract/subrecepientagreement) from TDC. This will give the Modified Total Direct Costs (MTDC).

c) Apply the F&A rate against the MTDC base to calculate the facilities and administrative costs for the project.

d) Add the TDC to the F&A to calculate the Total Project Costs.

TDC - exemptions = MTDC
MTDC x F&A rate = F&A
TDC + F&A = Total Project Costs

Please note that since the federally-negotiated facilities and administrative cost rates are subject to change annually, Principal Investigators should be prepared to make adjustments in budgets for such changes. See  facilities and administrative costs/fringe benefits rates or contact the Office of Research Services, (940) 565-3940, for more specific information. For other contact information, see ORS staff directory.

On and Off-Campus Rates

Off campus rates are generally used when the principal investigator or other staff are actually conducting the project away from the campus for a period of no less than one long semester or all three summer months. The semester in which expenditures are incurred in the field generally qualify for the off campus rate.  It is common for a proposed budget to include both on and off campus budget items.  Prior to submitting your proposal, please contact the Office of Research Services for assistance.

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), complete the Cost Sharing Section on the Routing Form and provide appropriate letters of commitment from third-party sources. 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 on the Routing Form attached to 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, Biohazardous
Materials and Recombinant DNA, Human Subjects, and Radioactive Isotopes

Animal Welfare

UNT of North Texas 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 Office of Research Services.

Researchers and/or teaching faculty who are planning projects involving the use of any animal should contact the Institutional Animal Care and Use Committee (IACUC) Chairperson in the early stages of planning. Required forms for animal utilization are available from the ORS. Proposals involving the use of animals must be reviewed and given preliminary approval for submission for funding by IACUC Chairperson prior to being brought to the ORS for processing. Number of copies required are detailed on the animal form. Day-to-day supervision and monitoring of all animal related activities on UNT of North Texas are the responsibility of the ARC Director. These requirements apply to both funded and non-funded research.

Human Subjects

UNT faculty, staff, students or employees who propose to engage in any research involving the use of human subjects must have prior review and approval of that activity by their Departmental Review Committee and the Institutional Review Board (IRB). It is UNT policy that all protocols involving the use of human subjects be reviewed by the DRC and the 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 regardless of whether the research is performed at UNT or other locations and regardless of whether another IRB has reviewed the protocol.

ORS has designed an on-line application called IRBy. All applications are now processed through IRBy making everything but the transmittal form completely electronic. Information about the review process, required forms, agenda deadlines and meeting dates are available at: www.unt.edu/ospa/compliance/humans.html.

Radiation and Infectious Agents

Researchers who are planning projects involving radiation/radioisotopes and/or lasers should contact the Radiation Safety Committee. Required forms and certifications are available at the following website: www.unt.edu/ospa/compliance/radiation.html.

Grants.gov Submission Instruction

1. You will need to install the PureEdge Viewer (for new users) and PureEdge Viewer Upgrade (for both new users and existing users) before downloading the Grants.gov application. To install the PureEdge Viewer, go to the web site http://www.grants.gov/DownloadViewer and follow the instructions.

2. Go to http://www.grants.gov and, under "Apply for Grants," click "Download grant application packages."

3. Using the PureEdge Viewer, download the grant application package with the relevant CFDA number and Funding Opportunity number (from the solicitation).

4. Fill out the application and send by email to the Office of Research Services (ORS). Please make sure all attachments within the application are in the format requested by the sponsor (PDF, Word, etc.).

Sending Your Proposal to ORS

2. Submit the proposal to ORS by:
--Sending an electronic version of the application in the PureEdge Viewer by email to your Research Administrator (RA), and
--Sending the completed Routing Form by fax, email or hand delivery with any other internal documents.

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Administrative Review and Approval of Proposals

Before transmittal to the sponsor, the proposal must be approved sequentially by the following UNT 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 Coordinator for Human Subjects and Recombinant DNA, (if any of these are involved),

* the ORS,

* Development Office (if proposal is being submitted to a foundation; the ORS 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); 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 Research Services.

For each sponsor, a "Proposal Review Form" and original proposal, as well as two copies of the proposal for the ORS files, should be delivered to the ORS for processing at least two weeks prior to the date the proposal must be transmitted to the sponsor. Failure to supply the two ORS copies with the original signed proposal could delay the processing of the proposal. Advise the ORS of any proposal submission deadline (distinguish between "be there" date versus "postmark" date).

Proposal Process Checklist

•         Complete, signed "Original" proposal;
•         Completed, signed "Proposal Routing Form";
•         RFP, RFQ or special solicitation guidelines;
•         Two copies of proposal for the ORS files;
•         Animal Welfare documentation as applicable;
•         Biohazardous Materials and rDNA documentation as applicable;
•         Human Subjects documentation as applicable;
•         Radiation/Radioisotopes and Laser documentation as applicable;
•         Matching funds/Cost-share letter(s) of commitment as applicable;
•         Subcontracts/Subrecepient Agreements documentation as applicable.

The ORS Processing Time

The ORS requests a lead time of at least two weeks to fully process proposals.

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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 ORS, however, for established rates for fringe benefits, facilities and administrative 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 facilities and administrative costs (or fringe benefits) that are different from the federally-approved rates for UNT, nor should it be implied that a reduction in the approved rates would be acceptable to UNT. Facilities and administrative 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, UNT 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 ORS 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 ORS will conduct the negotiations, including the confirmation of approved salary, benefits, computer and facilities and administrative cost rates. The ORS 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 ORS for processing prior to sending the revision to the sponsor. A new Proposal Routing Form is not required in this case as the ORS will update the figures on the one originally authorized.

Business Negotiations

• Terms and Conditions are usually predetermined, however, negotiations may be required.

• 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 ORS personnel, the sponsor, the Principal Investigator, and, as appropriate, the UNT System Office of General Counsel. The ORS 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 ORS is responsible for award document processing. The Principal Investigator is notified of each new award and its terms and conditions.

Upon receipt of fully executed award documents or other proof of award, the ORS forwards information to the Office of Grant 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 Research Services plays a dual role in the post-award phase of sponsored project activity. The ORS serves as a central point of contact for sponsor grant or contract officers regarding administrative matters throughout the duration of the project. The ORS 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 ORS coordinates compliance with each sponsor's requirements for interim and final research reports. Principal Investigators are responsible for submission of 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 ORS 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/Subrecepient Agreement Award Development

The ORS has the overall responsibility for issuing and monitoring subcontracts/subrecepient agreements under sponsored project awards. The ORS will maintain documentation relative to subcontract/subrecepient agreement placement and any modification thereof. The accounting and payment function is performed by the Contracts and Grants section of the Office of Accounting.

ORS will negotiate all subcontracts and subrecepient agreements in accordance with standard business practices and, as appropriate, the Federal Acquisition Regulation and/or OMB Circulars A-21, A-110, and A-133, and the negotiation shall be documented in a negotiation memorandum to the subcontract/subrecepient file. These agreements will comply with all standard and special provisions of individual awards. After the subcontract/subrecepient agreement is fully executed and work has commenced, it is the responsibility of the principal investigator to:  1) review all invoices from the subcontractor/subrecepient to determine if the charges are appropriate; 2) prepare a voucher to make payment for all appropriate charges; 3) monitor the progress of the subcontractor/subrecepient and; 4) obtain all required deliverables from the subcontractor/subrecepient.

National Science Foundation Excess Research Equipment Program

NSF grantees are eligible for free Federal Excess laboratory equipment under the condition that the property is used as part of the grant activity and subsequently for scientific research or education purposes.

For a comprehensive guide to obtaining excess equipment, Principal Investigators should contact Margaret Hoard in ORS (471-6288, mhoard@mail.utexas.edu) and visit the Users and Screeners Association Website at http://usa-fepp.org/.

Post Award Issues

Extensions

One of the most frequently asked questions from Principal Investigators or their assistants is what do I need to do in order to extend my project without additional funds.  The answer to that question depends on the source of funding.  The following should assist you in answering that question.

Federal Funds -  If the award is from a Federal sponsor and the terms and conditions of the award are noted as Federal Demonstration Partnership (FDP), UNT has the option of extending the project for a period up to 12 months without having to contact the sponsor for permission.  The following sponsors usually issue FDP awards:  National Science Foundation, National Institutes of Health, National Aeronautics and Space Administration, Department of Energy, Environmental Protection Agency (only if the extension will not cause the project period to exceed 5 years). If you want an extension on a project which qualifies under the above conditions, contact your accountant in the Office of Research Services.

If the one-year extension has already been used, subsequent extension requests must be submitted through ORS.  The request should be in writing and should provide a justification for the extension.  The justification should relate to the completion of the scientific objectives not that funds are remaining.   Requests for no cost extensions to NSF must be submitted through FastLane. Sponsor approved no cost extensions must be submitted prior to the expiration date of the grant.  NSF requires that the request be submitted 45 days prior to expiration.  Please note that these requests generally take one to two months to process and approve.  Consider the processing time when deciding when to submit your request. Non-Federal  Requests for extension should be submitted in writing and routed through ORS.  The requests should include a programmatic justification for the extension.  UNT has no provision for extending these projects without sponsor approval.  As with federal awards, these requests should be made prior to the expiration date and with ample lead-time.  A three-month lead time is suggested in order to have an approved extension prior to the original expiration date.

Budget Changes

If you want to revise your budget and the sponsor guidelines do not allow for it, you will need to request your revisions in writing.  The request must be processed through ORS.  If you have questions about what is allowed, please contact your accountant in Contracts and Grants.  You can find your accountant by contacting ORS.

Supplemental Funds Requests

Requests for additional funding on an existing project are processed as proposals through ORS.  You will need the following items:  1) Proposal Review Form; 2)  budget; 3) statement of work for the additional effort; and 4) updated certification for all compliance issues if necessary.   Please make a notation of your current grant number on the Proposal Review Form.

Change of Principal Investigator

If a change of principal investigator is required on a project, a letter must be sent to the sponsor.  The letter should be endorsed by the current PI, the proposed PI, and ORS.  The letter should outline the qualifications of the new PI.

Leave of Absence

If you plan to be away from UNT and you have a sponsored project, you will need to notify your sponsor in writing of your absence.  Your letter will need to address how you plan to maintain oversight of your project during your absence.  This letter needs to be signed by ORS.

I'm leaving. How do I take my grant with me?

Transferring a grant to another institution is a complicated process and requires proper timing to allow for the transfer and to allow for start-up at the new institution.  Some sponsors have specific forms which must be completed to obtain a transfer.  Other sponsors have no formal guidelines for transfers.  There are general procedures that need to be followed here to prepare for a transfer.  Please note the following steps in preparing for a grant transfer: Select an arbitrary expiration date for your project.  In order to relinquish the project, Contracts and Grants must be able to determine the residual funds remaining after all obligations have cleared.  It takes at least 30 days after the expiration date to obtain this information.

If you purchased equipment and want to take this equipment with you when you move, you must obtain approval from your Chair, Dean, and the Business Manager's office. You will need to submit non-competing continuations for the next year's funds through your new institution. Grants from the National Institutes of Health require the completion of an NIH Relinquishing Interests Form.

Grants from NSF require completion of an NSF Grant Transfer Form.Once the grant has been relinquished, the sponsor will re-award the grant to the new institution.