Research Definitions

Funding grant terminology is extensive and can be reviewed at Grants.Gov. Additionally, many funding agencies have information for researchers (e.g. NIH, NSF) and even provide lists of acronym with definitions (e.g. NIH Acronym List). PIs should utilize these resources to learn more about the funding agencies they are applying to. PIs are expected to familiarize themselves with common definitions that are relevant to both the research process and the PI Handbook.

Principal Investigator (PI) / Program Director (PD)

A PI/PD is the individual(s) designated by UNT to have the appropriate level of authority and responsibility to direct a research project or program supported by funding. This lead researcher for a defined research and scholarly project takes direct and primary responsibility for the completion of the project, direction of the research, and reporting to the sponsored agency. A Collaborating Principal Investigator (Co-PI) or Co-Investigator (Co-I) is a researcher that takes a secondary role in the project direction, completion, and reporting to the sponsored agency.

Sponsor Agency 

Sponsor agencies are institutions that are either part of the federal, state, or local government, or a non-profit, corporation, or other institute that provides funding for a research project.

Research and Development

All research activities, both basic and applied, and all development activities that are performed by non-Federal entities. Research also includes activities involving the training of individuals in research techniques where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function. Research is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied. Development is defined as the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes.

Facilities and Administrative (F&A) Costs

F&A costs (also known as indirect costs) are defined as necessary costs incurred by a recipient for a common or joint purpose benefiting more than one cost objective, and not readily assignable to the cost objectives specifically benefited, without effort disproportionate to the results achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to establish a number of pools of F&A (indirect) costs. F&A (indirect) cost pools must be distributed to benefited cost objectives on bases that will produce an equitable result in consideration of relative benefits derived.

Indirect Cost Recovery Distribution Guidance

Background

Indirect Costs(i.e.: F&A, Overhead) are funds the University receives for the reimbursement of services rendered in support of grants and contracts. F&A funds are paid to the University by the granting agencies as reimbursement for indirect support provided to the grants and contracts (such as maintenance, utilities, library, administration, and support, etc.) Since colleges and units incur costs in supporting sponsored research, a portion of these charges are distributed back to them in order to support their continued involvement in sponsored activities.

Indirect Cost Recovery

The University of North Texas (UNT) will recover indirect costs (i.e.: F&A, Overhead) for all sponsored projects unless specifically prohibited or limited by the funding agency in published guidance. 

Standard Distribution of Recovered Indirect Costs

The Standard Distribution is as follows:

Standard IDC Distribution

PI/Dept/College/Institute	VPRI	VP Finance	Total Distribution
32.5%	37.5%	30%	100%

The distribution of the funds within each college will be based on the College’s policy for distribution. Below are the College’s current Distributions. In the case of proposals/awards with more than one PI/Co-PI, the indirect cost distribution will be based on the PI Recognition Credit listed in the electronic Funding Proposal.

Standard College/Dept/PI Distributions(32.5%)

College	College Distribution	Department Distribution	PI Distribution
CENG	12.5%	10%	10%
CLASS	10%	12.5%	10%
CMHT	10%	12.5%	10%
COB	10%	12.5%	10%
COE	10%	12.5%	10%
COI	10%	12.5%	10%
COS	10%	12.5%	10%
CVAD	10%	12.5%	10%
CHPS	11.25%	11.25%	10%
Music	10%	12.5%	10%
UNT Libraries	22.5%	0%	10%

*In the case of joint appointments, the IDC distribution will be split proportionally between the two appointments as appropriate.

Distribution of Recovered Indirect Costs

1. When ProjID Accounts are established the Indirect Cost Distribution is set up for that project and is based on the PI Recognition Credit that was established in the internal GRAMS Funding Proposal record.

2. Indirect cost return funds will be allocated to separate accounts based on indirect cost revenue recovered in the previous month from sponsored program accounts.

3. These funds may be used at the discretion of the principal investigator, chair or dean for research or scholarly activities. Expenditures will be governed by current University policies and procedures. Indirect cost return funds may not be used for faculty salaries or for recurring obligations exceeding the funds available at the time the commitment is made.

4. The balance remaining in indirect cost return accounts can be carried forward from one year to the next.

5. In the event the principal investigator leaves the University, his or her indirect cost return funds will be transferred to the department indirect cost return account.

Funding Opportunity Announcement (FOA)

A funding opportunity announcement is a publicly available document by which a Sponsored Agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Funding opportunity announcements may be known as program announcements, requests for applications, notices of funding availability, solicitations, or other names depending on the Agency and type of program. Federal funding opportunity announcements can be found at Grants.gov/FIND.

Request for Proposal (RFP) 

A Request for Proposal is an announcement from funding agencies on the intent to make awards to meet a specific need of the funding agencies. RFPs typically have specific content that guides the applicant on the requirements within the proposal, and while the majority have due dates, many have open or continuous deadlines.

Statement of Work (SOW)

In a contract proposal, a statement of work is the detailed description of the work that will be performed under the contract.

Subaward 

A subaward is an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract. The term includes consortium agreements.

PI Information

From this section, PIs will see information regarding:

• What confers automatic PI eligibility?
• If the employment role does not automatically confer PI status, how can one be requested?
• What are the roles and responsibilities of a PI?

PI Eligibility 

Several employment titles automatically confer PI/CoPI status due to the roles and responsibilities that come with that title. Titles of Professor, Associate Professor, and Assistant Professor and to library faculty holding the titles of Librarian, Associate Librarian, and Assistant Librarian. Other job titles whose workload includes research responsibility Other non-tenured research titles, whose workload includes research responsibility, also qualify for automatic PI status; these titles include Research Professor, Research Associate Professor, Research Assistant Professor, Clinical Professor, Clinical Associate Professor, Clinical Assistant Professor, and Research Scientists levels II-IV . Other administrative titles are also eligible for automatic PI status provided the individual is a full-time employee: Vice President, Associate Vice President, Assistant Vice President, Dean, Associate Dean, and Assistant Dean. However, Emeritus faculty do not automatically confer PI status and must request PI status.

The PI must have an active appointment with UNT and is responsible for executing and financially managing the grant or project. The PI and Co-PI are most often full-time, permanent employees whose official job roles and responsibilities include serving as a PI or Co-PI on extramural grants or sponsored projects. Since a proposal and subsequent award are a commitment for UNT in many ways, it is important to establish the qualifications and ability of PI’s and Co-PI’s to carry out the work on externally funded grants and sponsored projects.

Requesting PI Eligibility - Submit an Online Application

For individuals not in an employment position outlined above, or whose role and responsibility does not include serving as PI/Co-PI, PI eligibility will need to be requested. Individuals must complete the online application and upload the required documentation to be considered. The online application will then be routed to the replacement faculty member and appropriate approver before routing to the Vice President of Research and Innovation or Associate Vice President of Research and Innovation for review and approval.

Step 1) Complete the Requestor and Sponsor Information, upload a curriculum vitae, and provide a brief summary of the requestor’s justification for the request and a summary of their qualifications.

Step 2) Include a Backup PI or Co-PI. A replacement faculty member (who is a qualified PI or Co-PI, as defined above) who will commit to assuming the PI or Co-PI responsibilities should the original requestor leave UNT or otherwise be unable to remain as PI or Co-PI on the project.

Step 3) Include the requestor’s unit head for approval (for example, within an academic department, the Department Chair). The unit head must confirm via their approval that the person requesting PI or Co-PI eligibility status will, pending award, have assignable workload available for the specified scope of project activities (e.g., lecturer teaching load will be modified for assignable sponsored project workload).

Step 4) Once the online form is complete, provide the Requestor Certification online and then proceed to submit for internal routing and approval by the individuals listed above.

Such a request must be made for each proposal submission and will be approved or denied by the Vice President for Research and Innovation, the Associate Vice President for Research and Innovation, or their designee. Approval must be obtained before submitting the proposal package to Grants and Contracts Administration (GCA). The rationale for this request is to 1) inform the individuals supervisor and/or departmental chair of the research grant application; 2) communicate the individual’s qualifications to conduct research; and 3) ensure that the employees workload will be adjusted accordingly in the event of an award.

The backup PI or Co-PI should be someone both capable and committed to carrying on the work of the grant or sponsored project should the PI or Co-PI leave UNT. Persons qualified to certify this request include (a) (if the requestor is in an academic unit) a regular faculty member in the requestor’s unit who is otherwise qualified (as defined here) to be a PI or Co-PI and is qualified to manage the project and continue its work, and (b) (if the requestor is in an administrative / non-academic unit) a UNT administrator at the level of Assistant Vice President or above who is qualified to manage the project.

This process is electronic, and the individual requesting PI eligibility should work directly with a grants and contracts staff specialist to process the request.

PI Role and Responsibilities 

UNT’s principal investigators (PIs) bear the primary responsibility for success of their sponsored research and student training projects. In addition to their academic and scholarly duties, principal investigators must exercise a substantial degree of administrative acumen to enable the research enterprise, of which they are crucial for successful function. For the purpose of applying for extramural grants and sponsored projects, a PI at UNT is the person who, in the event of an award from an external funding entity, has the full and final responsibility for the conduct of the project as proposed and as set forth in the contract or grant. It is the responsibility of the PI/CoPI to be aware of the necessary materials required by the funding agency to provide updates on the project, adhere to proposed budget or modify the budget as allowable by the funding agency, and understand the material within this PI handbook.

Research Personnel

PIs should be familiar with all that personnel with could be involved with the research.

Key/Senior Personnel 

Individuals that contribute to the development and execution of a project in a substantive, measurable way.  Typically, these individuals have doctoral or other professional degrees. These individuals must devote a measurable effort to the project.

Research Staff Positions 

The research enterprise at UNT greatly depends on the research staff within research units, core facilities, and departmental units. These research staff are not automatically eligible for PI eligibility but can request PI/CoPI eligibility through the process outlined above. Many sponsored projects can support research positions to conduct the research outlined in the project proposal. Refer to the agencies' guidelines to understand research personnel allowances.

A postdoctoral scholar is an individual who has received a doctoral degree (or equivalent) and is engaged in a temporary and defined period of mentored advanced training to enhance the professional skills and research independence needed to pursue his or her chosen career path. (See the NIH-NSF Definition of a Postdoctoral Scholar. (PDF - 85 KB)) Funding opportunities exist specifically for early career researchers (e.g. postdoctoral fellows).  The AVPRI serves as advisor to the UNT Postdoctoral Association to facilitate research opportunities and development for these early career researchers.

Research Positions

Job Title	UNT Job Code
Postdoctoral Research Associate	1339
Research Scientist I	1311
Research Scientist II	1312
Research Scientist III	1313
Research Scientist IV	1314

Visiting Scholar/Researcher 

Defined as an individual who is affiliated with an organization/institute outside of UNT who is invited/sponsored by a faculty member to collaborate on a research or scholarly project. The activity should benefit the researchers and further UNT’s research mission. Anyone working on campus with a researcher to collaborate for 2 weeks or longer is considered a visiting researcher.

UNT procedures for hosting a visiting scholar/researcher are managed through the Office of the Provost and Vice President for Academic Affairs. Research personnel must submit a form to request a visiting scholar.

Student Researchers 

Traditionally, graduate students have played a significant role in the conduct of sponsored research. Undergraduate students are also increasingly involved in research activities. For all students participating in sponsored research projects, it is important to assure that the terms of sponsored research agreements will not conflict with a student’s academic progress and that students have the right to refuse to participate in a particular project if they so choose.

Department, School, College, and/or Institute Administration 

Administrative staff at the department, school, college, institute or other unit level are a critical component of successful sponsored project administration and therefore are strongly encouraged to provide administrative support to their faculty and staff for all research and sponsored project activity within that unit. Included in this staff category are department administrators, research analysts, administrative coordinators, and budget officers, et al. It is essential that administrative staff maintain current knowledge of sponsor regulations and UNT policies and procedures related to sponsored projects management and research compliance. 
Administrative staff may assist PIs by:

1. Preparing and reviewing documents including budget, budget justifications, effort report data, non-competitive renewals, interim and final financial reports, other closing reports, and the appointment of individuals to the project;
2. Preparing in a timely manner, original and continuing documents for review by the PI for submission to appropriate research compliance committees.
3. Developing and maintaining department processes for reviewing payroll allocations on a regular basis, preferably monthly, preparing timely ePARs to document changes, ensuring only people working on the project get paid on the project, and ensuring the % of time paid on the project accurately reflects the % of time actually worked on the project.
4. Documenting cost sharing, proposal preparation, and compliance committee reviews;
5. Processing financial transaction requests;
6. Assisting with allocating costs across multiple projects.
7. Analyzing financial reports and resolving overdrafts in a timely manner;
8. Reconciling project accounts in a timely manner;
9. Monitoring and resolving outstanding encumbrances in a timely manner; Initiating requests for cost transfers including payroll re-allocations in a timely manner;
10. Notifying the PI of any problems regarding grants or contracts management;
11. Developing and maintaining internal systems for ensuring regulatory compliance and that prevent compliance approval lapses;
12. Notifying DRI of changes in key personnel; and
13. Performing duties delegated by the PI, including but not limited to data collection and analysis, interaction with auditors, and preparation and maintenance of documentation.

Sponsored Projects

Any extramural project that meets any of the following criteria is considered to be a “sponsored project” and will be administered accordingly:

1. The project commits UNT to a specific line of scholarly or scientific inquiry, typically documented by a statement or scope of work.
2. A specific commitment is made regarding the level of personnel effort, deliverables, or milestones.
3. Project activities are budgeted, and the award includes conditions for specific formal fiscal reports and/or invoicing.
4. The project requires that unexpended funds be returned to the sponsor at the end of the project period.
5. The award provides for the disposition of either tangible property (e.g., equipment, records, technical reports, theses, or dissertations) or intangible property (e.g., inventions, copyrights, or rights in data) which may result from the project.
6. The sponsor identifies a period of performance and/or the ability to audit as a term and condition.

All research and teaching activities, whether or not considered sponsored projects, that involve human subjects, laboratory animals, export controls, use of radioactive materials, or biohazard activities must be reviewed by the appropriate University committees for compliance with University policies and governmental regulations.

Gifts Related to Research

Gifts to UNT of a restricted or unrestricted nature that do not include any conditions that would classify it as a grant are not viewed as sponsored projects and are not processed through GCA, but through the gift transmittal procedures with Corporate and Foundation Relations within UNT Advancement and with the VPRI’s Research Commercial Agreements (RCA) if the gift requires a research contract. Gift solicitation and acceptance should be coordinated with the appropriate development officer in each college, and with Corporate and Foundation Relations in the Division of Advancement.

Once a PI identifies a funding opportunity, the researcher needs to submit this GCA web form to request for a Grants and Contracts Specialist. The Grants and Contracts Specialist will discuss the RFP or opportunity, provide access to resources and portals, and develop a timeline for submitting the proposal documents to the Grants and Contracts Administration (GCA) for the administrative review process.

Private Research Sponsors

Many private companies are interested in finding ways to interact with University faculty researchers. In order to facilitate such arrangements, while avoiding the many pitfalls inherent in these relationships, the following guidance is offered:

• Interaction between faculty researchers and their counterparts in industry is encouraged.
• Support of specific research projects by industry is subject to the same policies and procedures as those funded by government agencies.
• Issues frequently encountered in negotiations with companies include freedom of dissemination of the results of the research, ownership of intellectual property including patents, conflicts of interest, freedom of choice in the selection of research topics and in the conduct of the research, and relevance to the educational mission of UNT.
• In fulfillment of above, UNT cannot accept research awards from industrial sponsors until a formal research proposal that includes a budget has been reviewed and approved, as applicable, by the appropriate department Chair, Dean, GCA and RCA. Compliance with applicable policies for conflict of interest, export control, protection of human subjects, animal welfare, radiation safety, etc. is required.
• Proposals for corporate support should provide for full recovery of costs including F&A costs (indirect costs) at the full federally approved research rate. Corporations are aware of F&A costs and should recognize UNT’s need to recover such costs.
• Research Commercial Agreements (RCA) has developed a model agreement for sponsored research from industry which is available upon request by emailing research contracts@unt.edu, and as applicable, may be provided to industry counterparts. Non-disclosure agreements should be signed with the potential sponsor before having substantial conversations.
• Terms and conditions of an industry sponsored research agreement (SRA) is negotiated by RCA. These agreements may involve also licensing of existing intellectual property.

Foundations/Not-For-Profit Sponsors

UNT receives funds from numerous foundations and other not-for-profit sponsors. The terms and conditions of these awards are widely variable. Principal investigators should review the terms and conditions of awards, including the entity’s policies on intellectual property, prior to submitting applications to these sponsors.

The VPRI is the University official responsible for the development and implementation of policies and procedures relating to sponsored projects (extramural and intramural). These policies and procedures are aligned with federal and state laws and guidelines for conducting research. That is, DRI provides the necessary structure and support so that PIs can conduct research aligned with federal guidelines.

The VPRI is responsible for assuring the protection of human subjects in compliance with federal law. For this purpose, the VPRI has established an Institutional Review Board (IRB). UNT requires that, prior to initiation, all research projects involving humans as subjects must be reviewed by the IRB. This policy applies, regardless of the source of funding and location of the study, to all biomedical and behavioral research involving human subjects conducted by UNT’s faculty, staff, and students. Information about the IRB is located at the IRB Protocol Submission page.

The VPRI is also the University official responsible for policies and procedures concerning the care, maintenance, and use of all vertebrate animals in research, research training and biological testing activities, and export control, in compliance with the rules of regulatory authorities. Details of the policies and procedures are included on the Research Integrity & Compliance home page.

Technology & Sustainable Processes

The DRI embraces the use of technology, implements sustainable processes, and is aware of use of resources. Thus, PIs and other research personnel can reach all of our staff via Microsoft Teams (message chat or calls). Furthermore, the DRI has implemented paperless processes.

UNT Research Administrations and Units

UNT is comprised of several different research departments and units that contribute to UNT's research enterprise.

DRI Departments

The Vice President Research and Innovation (VPRI) is responsible for the administrative oversight of UNT’s research projects. This administration is made possible by the departments within the DRI: Grants and Contracts Administration (GCA), Research Integrity and Compliance (RIC), Research Commercial Agreements (RCA), Research Development (RD), and Research Communications and Project Management (RCPM) departments.

Collaborating Units

Cross unit collaborations are key to providing top research services. The VPRI and AVPRI work closely with the Vice President for Academic Affairs, Advancement, Corporate and Foundations Relations, Risk Management, Deans, Chairs, and Faculty in establishing research policies and procedures. The VPRI is advised by the Faculty Research Council, Faculty Senate, and the Vice President for Finance and Business Administration to provide supporting services to the PIs.

Research Institutes, Centers, and Core Facilities

Additionally, the VPRI oversees the University Research Institutes and Centers and the University Research Core Facilities. Through strong administrative support and collaboration, these resources provide UNT researcher PIs with opportunities and support to grow their research enterprise.

Deans, Department Chairs, Institute Directors, and Center Directors

The department chairs have a general responsibility for promoting the scholarly and research activities of their departments, as well as fostering sound stewardship of funds. They review applications, as applicable, for research projects and transmit those approved through the appropriate dean to GCA, ensuring that faculty assignments and release time, recognition distributions, administrative support, F&A (IDC) allocations, cost share (matching) commitments, and space demands of all such projects are in the best interests of both their department and UNT as a whole.

Deans should review for eligibility of PI and Co-PI, recognition distributions, F&A (IDC) allocations, and availability of cost share (matching) commitments. PIs are required to work with Deans and Department Chairs to when cost sharing (matching) commitments are required by a funding agency.

Associate Deans of Research (ADR) are often collaborators with the DRI and called upon to provide input, guidance, and recommendations to the Division of Research and Innovation. Faculty are advised to work closely with their respective ADR or other academic Associate Deans to develop research programs aligned with college and departmental mission and goals. 

Governing Authorities

The Division of Research and Innovation works with UNT units to develop and implement UNT policies. Research policies are within Chapter 13 of the UNT Policy manual.

• For general policy information, consult UNT's policy homepage.
• For more specific information, consult UNT's policy manual.

Externally funded sponsored projects are required to follow sponsor, University, and federal/state guidelines.  Federal guidance from the Office of Management and Budget (OMB) has been issued that supersedes requirements from OMB Circulars.

• Federal Uniform Guidance for Grants and Agreements is located at the White House's Office of Management and Budget page.

Research Development Services

The DRI provides many capacity-building opportunities for researchers so that they increase the success of garnering external funding. The VPRI, AVPRI, Assistant Director of Research Development, and staff members of the DRI all contribute to developing research capacity at UNT. Refer to the DRI Events Calendar to identify scheduled events (e.g., workshops, informational seminars, interdisciplinary meetings). 

Capacity Building and Research Training 

The AVPRI and Assistant Director of Research Development work closely with one another and with faculty success and respective academic units to provide services and resources to PIs. Their objective is to facilitate the building of interdisciplinary teams, increase external funding applications and awards, provide technical editing support on proposals, identify and disseminate information on external funding opportunities, manage the limited submissions process, inform about the opportunities UNT has a Hispanic Serving Institute, and manage internal seed funding.

PIVOT

The Vice President of Research and Innovation provides all UNT researchers with a paid subscription service to Pivot, which is a proprietary funding opportunity database built by the education company Proquest.  Researchers can log into the site through Pivot's homepage. The Pivot database provides users with a personalized portal to search, track, and save funding opportunities keywords entered in the database. Research Development staff within the VPRI provide training and tips on the database upon request.  Grants.gov is a free resource to the public that captures real-time information on Requests for Proposals (RFPs) and Broad Agency Announcements (BAAs). Researchers at UNT may also request to be added to a listerv to receive a monthly curated funding newsletter, vetted for UNT eligibility and provided by the Research Development staff. UNT researchers may contact untresearchdevelopment@unt.edu to be added to the listerv.

Limited Submissions

Defined as opportunities in which the sponsoring agency limits the number of proposals a single institute (e.g., one application from UNT) or units within an institute can submit (i.e., one application per college or department). The limited submission opportunities are listed on the DRI Limited Submission webpage,  provided in a monthly email newsletter sent to Associate Deans and list serve. The VPRI office will work with college Deans to and other stakeholders in cases in which the sponsoring agency requires cost share (e.g. NSR MRI grant applications).

Hispanic Serving Institute (HSI)

UNT is designated by the Department of Education as an Hispanic Serving Institution (HSI), which is under the umbrella of a Minority Serving Institute. This designation now allows for UNT to apply for Title III and Title V funds. UNT is positioned to apply for both Minority Serving (MS) and Hispanic Serving (HSI) opportunities. A curated list of MS and HSI funding opportunities is provided on the VPRI website that researchers are encouraged to learn about and apply for. Note that some of these opportunities are Limited Submissions.

GCA

This section contains the organizational structure of GCA, points of contact for specific services, and the various types of sponsored projects and agencies.

Grants and Contracts Administration (GCA) serves as the coordinating unit for externally sponsored projects. The goal of GCA is to assist faculty and professional staff in their efforts to secure external funding and administer awards received by UNT. Research Commercial Agreements (RCA) negotiates and executes those sub awards and subcontracts related to sponsored projects or contracts. Both GCA and RCA report to the VPRI.

The functions of GCA include the following:

• Formulating grant and contract administration policies and procedures.
• Overseeing the submission, award acceptance, and administration of sponsored project grants and contracts throughout UNT from inception through closeout.
• Assuring timely receipt of and proper fiscal stewardship for sponsor funds.
• Maintaining liaison with sponsoring agencies concerning University organization, policies, and procedures; representing UNT in negotiations with sponsoring agencies to assure consistent contract and grant provisions and policies; resolving problems and settling disputes.
• In cooperation with other University offices, assuring compliance with sponsor’s policies, e.g., fiscal, property, intellectual property, human and animal subjects.
• In cooperation with other University offices, maintain official records concerning sponsored projects including official grant and contract files.
• Assisting faculty and department/college staff in the preparation of the proposals and other administrative aspects of sponsored projects as needed.
• Training of PI and research administrative staff.
• Negotiating University-wide F&A costs.

RCA

Research Commercial Agreements (RCA), formerly known as the Office of Innovation and Commercialization, is responsible for the negotiation and execution of contract agreements and subawards, intellectual property licensing, and cooperative agreements with companies and other institutions.

RCA is also responsible for the identification, protection, and commercialization of the intellectual property generated by the faculty and staff of UNT. 

Associate Vice President for RCA Role

Acts as UNT’s Patent and Copyright Officer and is responsible for accepting all disclosures of new inventions and other discoveries.

Research Commercial Agreements Staff Role

Evaluate disclosures and work with inventors to develop a strategy to protect the intellectual property and to license the discovery for commercial development. Research Commercial Agreements is responsible for complying with sponsor terms and conditions related to the management of intellectual property.

Research Administrators

Departments and colleges that have staff available for assisting in the development of the proposal and/or the preparation of budgets and other forms should continue to provide this help before the six-day deadline for transmittal of complete proposal packages to GCA. Requests for such assistance are to be made at the discretion of the PI, are voluntary assistance on the part of the departments and colleges, and should be carried out prior to the six-day deadline.

The Lead/Contact PI’s Department Chairs and,College Deans, will be included in the electronic review and approval steps to allow for more robust Departmental and College oversight and to ensure the most effective use of Departmental and College resources. It is the college Dean’s and the department Chair’s responsibility to confirm that financial commitments made in a proposal, as well as the personnel and facilities referenced in a proposal, are reasonable and available to carry out the proposed project. UNT’s Grants and Research Administration Management Suite (GRAMS) software system allows PIs to enter proposal-related information into a web-based form and submit it to the appropriate reviewers and approvers for electronic authorizations.

The Dean and Chair are expected to electronically review and approve the proposals from their College or Department in a timely manner. This will ensure sufficient time for the thoughtful consideration and review of the proposal by GCA for sponsor and institutional requirements prior to the proposal submission to federal agencies and other sponsors.

Grants

Grants constitute the majority of awards received by UNT and constitute a less-restrictive award type. Sponsors may not require UNT to countersign grants if the terms and conditions are agreed to upon submission of an appropriately authorized or signed proposal. Federal grants are governed by the administrative terms and conditions published, or made publicly available, by the sponsoring agency. Research personnel should always check program announcements and similar documents for referenced terms and conditions. 

Contracts

Contracts are generally more restrictive awards than grants. Usually, contracts require signatures by both the sponsor and the University to be binding and require defined deliverables on a specific schedule.

The two basic types of contracts are: 

• Cost Reimbursable 
  • Cost Reimbursable contracts specifically state the maximum (not-to-exceed) level of funding that a sponsor will provide. If actual project costs to complete the statement of work are less, UNT will only be reimbursed for actual incurred costs. UNT reports only on costs incurred up to the maximum amount. Additional funding requires contract modification. 
• Fixed Price 
  • Fixed Price contracts are for a specific dollar amount, regardless of the actual cost to complete the full scope of work. The University is paid the full amount specified in the contract. If the PI completes the work for a lesser cost, the University may retain a portion of the amount of funding. If costs are greater than the contracted amount, the University is still required to complete the full scope of work, and the PI becomes responsible for paying the difference (any un-funded costs).Learn more about Fixed Price in Contracts.

Cooperative Agreements

Cooperative Agreements are used when federal sponsors want to retain more active involvement in the conduct of the project. This active oversight may be evidenced by a higher level of agency program advising on the direction of the project, more frequent reporting, or other similar circumstances. 

Issues Requiring Special Consideration

Research personnel and PIs should be aware of both export controls and HIPAA protocols. These issues require special handling and could impact proposals and research plans.

Corporate Responsibility

Extramurally-sponsored projects are made to the University in its corporate name, University of North Texas (UNT). Therefore, awards of funds for sponsored projects are awards to UNT, and commitments in agreements are commitments of UNT. Any work performed by a faculty member of UNT under such a project must be considered as work performed for UNT. 

Formal Documentation

Every research agreement must be evidenced by a formal document that outlines the research objectives and administrative requirements of the project. Informal (oral) agreements are the personal responsibility of the individual faculty member making such arrangements and may not be binding on the University. 

Authorized Signatures for Research Projects

In accordance with the Board of Regents Rule 3.900, authority has been delegated to the Vice President for Research and Innovation (VPRI) to accept and sign sponsored research related proposals, contracts, and agreements to legally bind the university. The Assistant VP of GCA is authorized to sign sponsored project related documents. The Associate Vice President of RCA is authorized to sign contracts related to sponsored projects. The Director of Research Integrity and Compliance is authorized to sign documents related to approval of human subjects and animal research. 

Classified Research

UNT does not possess a government security clearance and cannot act as a corporate entity to possess classified material. It is the policy of the University not to accept agreements which require access to classified data, require University employees to obtain security clearances, or restrict the dissemination of the results. Rare exceptions to this general policy with respect to classified research may be made only with prior approval of the VPRI. In such cases, the following additional considerations apply: 

• All such exceptions must be reported in writing to the VPRI prior to execution of a contract or acceptance of a grant. 
• Whenever possible, the University shall retain the right to disclose the existence of the proposed research and the identity of the sponsor. 
• Students may participate in approved classified research, as long as this participation does not significantly impede their progress toward a degree, and no thesis or dissertation submitted in fulfillment of degree requirements may be classified, in whole or part. 
• Consulting and other external activities involving classified research are not prohibited, as long as they are consistent with the University’s Policy on External Professional Activities for Pay. 
• In times of national emergency, rapid access to campus expertise or facilities may be required by government agencies for purposes other than long-term research. Permission for such short-term access may be granted by the VPRI. 

Endorsement of Resesarch Results

Because UNT imposes no limitation on the freedom of the faculty in the choice of fields of inquiry or the media of public dissemination of the results obtained, any results obtained and disseminated are the sole responsibility of the principal investigator and do not carry the institutional endorsement of UNT. Consequently, UNT does not permit the use of its name in advertising or promotional material related to the results of sponsored projects without the prior written approval of an officer of UNT. In addition, UNT will neither guarantee nor warrant the results of sponsored projects. 

Ownership of Intellectual Property

Ownership of any intellectual property developed during a sponsored project, including inventions (whether or not patentable) copyrightable materials (including computer software) and tangible research materials, is governed by the terms of the sponsored research agreement and UNT’s policies on these issues. 

Students in Research

Traditionally, graduate students have played a significant role in the conduct of sponsored research. Undergraduate students are also becoming increasingly involved in research activities. For all students participating in sponsored research projects, it is important to assure that the terms of sponsored research agreements will not conflict with a student’s academic progress and that students have the right to refuse to participate in a particular project if they so choose. 

Administrative Requirements for Sponsored Programs

The following conditions must govern any research agreement entered into by the University and a sponsor in order for a favorable evaluation to be made. 

• Open identification of sponsors and the actual sources of funding must be present in the agreement. Exception is made for anonymous sponsorship when, in the judgment of the VPRI, such a condition is not harmful to UNT or to the integrity of the research and is essential for the award to be given. 
• Unrestricted dissemination of all findings and conclusions derived from the project must be an integral part of the agreement, except where the privacy of an individual is concerned. The University regards any infringement on complete access to research findings as detrimental to free inquiry. It therefore neither seeks nor accepts security clearance for itself or any administrative unit. The decision whether to seek clearance is an individual one to be made by each faculty member according to his or her judgment. Such decisions will not be influenced or judged in any way by UNT and must be made in each instance on the basis that the benefits of clearance balance its academic shortcomings. Exception may be granted by the VPRI for privileged information but only in the form of a delay in the release of such information. The delay will only on rare occasions exceed three months. 
• The resources or data sources on which research is wholly dependent must be free of control by the sponsor. UNT views such control as incompatible with free inquiry and encourages acceptance of this condition only when no alternative source exists. Exception may be granted by the VPRI for projects which are conducted abroad and subject to the legal restraints of foreign governments and their agencies. 
• No conditions may be attached to the gift, grant, or contract that would in any way jeopardize UNT’s commitment to the principle of nondiscrimination on the basis of race, color, sex, sexual or affectional preference, age, religion, national or ethnic origin, or handicap. 
• Academic appointments made with the support of gifts, grants, or contracts shall be made only in accord with established University procedures. A sponsor shall not ordinarily participate in the selection of persons to work on a project, and individuals employed by UNT shall not be excluded by a sponsor from participation in a project for any reason other than when necessary because of insufficient competence or when required to protect privileged information. 
• No financial obligations by UNT in the present or any time in the future can be implied other than those stated in the contract. When uncertainty exists in his judgment, the VPRI or a designated member of the VPRI’s staff shall consult with appropriate officers of UNT to assure that this condition is met prior to the final approval of the agreement. 
• UNT relies primarily on the discretion of its faculty to limit the commercial aspects of research sponsorship, such as advertising and publicity. Contracts must not allow the use of the University’s name for commercial purposes unless such use has been specifically approved by the President of the University. Agreements must not permit the names of University investigators to be exploited for advertising purposes or permit reprint distribution to be made part of a publicity campaign. 

Grant Databases

PIs have access to several different grant and funding databases in which they can access relevant funding opportunities.

Pivot

While there are many ways to search for external funding opportunity, the most common way is through databases. UNT subscribes to Pivot—a powerful funding search engine that houses not only grant opportunities, but also conference information, researcher profiles, and more research and academic resources. PIs are encouraged to contact untresearchdevelopment@unt.edu for Pivot questions and group training sessions.

Federal Funding

For federal opportunities, researchers can access Grants.Gov and search under the search grants tab for a list of relevant federal opportunities by using the keyword search feature.

Private or Philanthropic Funding

For private funding opportunities to support research, UNT libraries hold a subscription to the funding information network. This is a UNT-subscribed public access database for private, philanthropic, and non-profit sources (must be accessed in the Sycamore Library). PIs are encouraged to contact subject-matter librarian Jen Rowe for questions or a free consultation.

In addition to signing up for listservs and newsletters from your preferred funding agencies, PIs should discuss new appropriate networks and funding sources with their chair or colleagues (e.g., associations, laboratories, private sources).

Preliminaries to Proposal Submission

Roughly develop the proposed project, as well as its scope, methods, and objectives, to the point where personnel, equipment, facility, and other support requirements can be estimated. If appropriate, discuss these plans with the department chair in order to assure consistency with departmental objectives and availability of necessary resources. This may also require discussions with the dean of the school/college, and, if the project is interdisciplinary, with other department chairs and deans.

The PI may have informal contact with representatives of an outside sponsor to explore the possibility of receiving the sponsor’s support. While such contacts are encouraged, no commitments binding UNT may be made until a formal proposal has been processed and approved by GCA. 

General Requirements

The requirements for content and format of proposals differ markedly among the various sponsoring agencies. Some require the use of preprinted agency forms; others will accept a proposal in any format as long as it presents all of the required information. Many sponsors make their proposal guidelines and forms available electronically. Other sponsors should be contacted prior to writing the proposal. Whatever its form, the proposal document is a communication instrument that will be evaluated by the proposed sponsor to determine whether or not the project merits support. 

Public Access to Research and Data Management Plans

Federally funded researchers are required to make their published results available and manage their data. 

Background: On February 22, 2013, the Office of Science and Technology Policy (OSTP) released a memorandum entitled “Increasing Access to the Results of Federally Funded Research.” It directed Federal agencies with more than $100 million in research and development (R&D) expenditures to develop plans to make the published results of federally funded research freely available to the public within one year of publication, and it required researchers to better account for and manage the digital data resulting from federally funded scientific research.

UNT developed a framework and plan for PIs and staff to implement that will increase public access to publications and data per the OSTP directive.   

• The concept of using a Data Management Plan (DMP) as the vehicle to implement Public Access became a widely shared result. The DMP becomes the obligation to those who receive these grants, the obligation of what the institution must meet.  
• Awards to institutions will include conditions to implement this public access requirement. Principal Investigators must ensure that all researchers who work on projects funded in whole or in part by federal grants or cooperative agreements comply with the public access requirements, including public access to data being maintained by the university and maintained going forward. Even though this is a shared responsibility, it is the primary responsibility of the PI to execute the public access to the data and publications. 
• The Grants and Contracts Administration office created a process for Public Access to Research using the DMP, in partnership with the library. The philosophy is that data and publications be placed in the appropriate location for a designated discipline with the location of the data and publications housed at the library.
• This Public Access to Research process will be fully implemented by Jan 1, 2021. Every outgoing federal grant will have a DMP associated with it, and every incoming federal grant will have a direct link to a library record and where the information is located, based on the DMP.

This process is required for Researchers with Awards at all Federal Agencies as well as any other non-federal award listing “data management” or “public access” on an RFP, an award document, or on a sponsor’s website. 

Data Management Procedure

1. At the proposal stage, the Proposal Team will email the PI letting them know a Data Management Plan (DMP) is required, and that the PI is responsible for developing the plan.
   
       Resources to assist PI with DMP:

   • Follow sponsor agency guidelines on data management storage (example: upload data to NIH PMC database)

   • Know what the PI’s field/societies utilize

   • Follow expectations of PI's field and discipline 

If a form/format is not provided by the sponsor, it is expected the PI use the tool provided by the UNT Library. 

By this process, UNT declares to all UNT university principal investigators that UNT will only recognize the distribution plan for data as detailed in the DMP. The DMP is the formal obligation. regarding public access to data and no other parts of the proposal document will obligate this institution to alternative requirements.

The Proposal Team will set up an email introduction between datamanagementplans@unt.edu and the PI, and suggest they discuss the Data Management Plan and the availability of the Data Management Plan (DMP) tool. Library staff receiving email to datamanagementplans@unt.edu and the GCA Specialist should be copied on the email introduction.  

If the Proposal/award’s funding source is Federal Flow Through, then a separate DMP is not required by our office, unless required by the sponsor. 

Other situations that do not require a DMP: 

• “Export Control” associated Proposals/Awards 

• Proposals/Awards that have research formally designated as “Controlled Unclassified” or otherwise deemed by the sponsor as “sensitive.” 

• Proposals/Awards carrying an IRB protocol with personally identifiable information. 

• Proposals/Awards with a PI declared “expected intellectual property” exception Requires approval from Research Commercial Agreements (RCA) 

In these situations, a DMP would be submitted listing the appropriate exception.

2. If the grant is awarded, but before GCA sets up the award in their recordkeeping systems, Proposal Team will send the DMP to the GCA Specialist stating an award with a DMP requirement has been received. 
   
   Included with the DMP should be:

   • PI name 

   • Federal Agency (or non-fed sponsor requiring a DMP) 

   • Project Title 

   • Agency grant number 

3. GCA Specialist will send email to PI and to untrepository.grant-inventory@unt.edu with DMP and award information attached, congratulating PI on receiving award and telling the PI that we are working to post an online copy of the DMP and establish a Persistent Grant Identifier (PGI) in the UNT Digital Library.  
   
   The email will include a reminder that the establishment of the DMP and the PGI is required before an award can be set up. 

4. Library staff receiving email to untrepository.grant-inventory@unt.edu creates a record in the UNT Digital Library that contains the PGI and associated copy of the DMP; once the PGI is established, library staff will email the PI, and copy the GCA Specialist, that the DMP and PGI have been set up.  
   
   The email will include the blank inventory template, with the award information inserted, which is to be used when submitting data and/or publications to the UNT Libraries, with a reminder to include the PGI, or agency grant number with all data and/or publications submitted to the UNT Libraries.  

5. The GCA Specialist will enter the DMP and PGI in institution system, and the Proposal Team will be notified that the award can officially be set up and sent to Post Award.  
    
   • The DMP and PGI will be saved in the institutional record for these awards. 
      
6. A Data Management Plan reminder will be sent annually for data and publication updates: 
    
   • GCA Specialist will email PI, copying untrepository.grant-inventory@unt.edu, with the reminder to deposit data and publications and with a recommendation to the PI to submit all available data, publications, and permalinks to content hosted elsewhere (as required by the DMP). 
     
     If the PI has not yet reported any data or publications to the UNT Digital Library, the attached template can be used. Otherwise, the PI will be asked to add to the last version of the inventory template that was submitted to untrepository.grant-inventory@unt.edu, and to make any applicable submissions at this time rather than waiting until grant closeout.  PIs are reminded that they must include the PGI, or agency grant number when submitting data, publications, and permalinks to content elsewhere. 
      
   • PI submits any data, publications, and permalinks, including the PGI, Project ID#, or agency grant number, to untrepository.grant-inventory@unt.edu.  
      
7. A Data Management Plan reminder will be sent when the award ends: 
    
   • GCA Specialist will email PI, copying untrepository.grant-inventory@unt.edu, encouraging PI to submit any data, publication, and permalinks to content hosted elsewhere, that has not already been submitted.  

     
     If the PI has not yet reported any data or publications to the UNT Digital Library, the attached template can be used. Otherwise, the PI will be asked to add to the last version of the inventory template that was submitted to untrepository.grant-inventory@unt.edu.  

     The GCA Specialist will also let PI know there will be 2 additional reminders sent, one 12 months after closeout and the final reminder 36 months after closeout, as final opportunities to submit data, publications, and/or permalinks.  

   • PI will be required to submit a statement confirming all data and publications have been disclosed to the library and all conditions of the DMP policy have been fulfilled. This statement can be submitted at any time after closeout and would end future reminders about required data and publications from GCA Specialist. 

   • Following the process described under section (6) above, the PI submits data, publications, and permalinks, to untrepository.grant-inventory@unt.edu.  

8. A Data Management Plan reminder will be sent 12 months after award closeout:
    
   • GCA Specialist will email PI and copy untrepository.grant-inventory@unt.edu as in the previous sections. Then, following the process described under section (6) above, the PI submits data, publications, and permalinks to untrepository.grant-inventory@unt.edu. 
      
9. Data Management Plan final reminder to be sent 36 months after award closeout:

   • GCA Specialist will email PI copying untrepository.grant-inventory@unt.edu as in the previous sections. Then, following the process described under section (6) above, the PI submits data, publications, and permalinks to untrepository.grant-inventory@unt.edu. 

     A confirmation email from the PI is required at this time stating all data, publications and permalinks have been submitted. 

10. Should UNT Post Award specialist determine that the PI failed, after 36 months post award closeout, to post the data as stipulated in the formal DMP, the PI will be restricted from access to the UNT pre-award proposal submission process until and unless the VPRI approves a reconciliation.  

Note:  If there is a change to the primary PI on an award with a federal agency, or other award requiring a DMP, the GCA Specialist will contact the new PI about the institutional obligations of the DMP. 

Updated 12/23/20 

Proposal Preparation

The primary responsibility for the origination, development, and preparation of proposals rests with the Principal Investigator (PI). The development of the proposed project, its scope, methods and objects, personnel, equipment, facility, and other support requirements should be estimated by the PI and discussed, when appropriate, with the department chair in order to assure consistency with departmental and university objectives and availability of necessary resources. This may also require discussions with the dean of the school/college, and, if the project is interdisciplinary, with other department chairs and deans.

The Principal Investigator (PI) is responsible for: 

• Identifying funding sources. 
• Reading the Request for Proposal (RFP) and/or other applicable application guidelines. 
• Requesting a Grants and Contracts Specialist. 
• Engaging their department, college, and GCA as early in the process as possible and preparing the proposal in sufficient detail and sufficiently in advance to allow for adequate reviews. 
• Developing and preparing proposals in accordance with sponsor guidelines and University policies. 
• Ensuring the proposal is complete, accurate, and meets all programmatic, administrative, and compliance requirements. 
• Knowing the elements of proposals that could necessitate review and approval by other UNT offices and obtaining those approvals before the GCA deadline. 
• Receiving approval for cost share and matching, teaching buyouts or releases, new space or renovations, and any variance from standard F&A (IDC) distribution. 
• Completing, certifying, and routing an electronic GRAMS Funding Proposal for each proposal. 
• Routing a complete proposal package in GRAMS and obtain needed Department and College, approvals before the GCA internal deadline.  A complete proposal package includes all proposal materials or a PDF of the assembled application from a sponsor’s portal, as well as all internal forms, such as the budget justification, sub awardee documents, and other required documents as applicable. If applicable, all proposal materials must be uploaded in the GRAMS 424 application or into other agency electronic proposal systems (i.e.,Research.gov) and access to the assembled proposal should be granted to GCA for review.  
• Finalizing edits to the narrative by 8:00 am the day of submission.  GCA may modify this request based on the time the proposal is due. 
• If the proposal is required to be mailed, the PI is responsible for mailing (including appropriate number of copies) to the sponsor once the proposal has been reviewed and authorizing signatures secured. When a proposal is being mailed in hard copy rather than electronically, and will be mailed, express mailed, or shipped with an overnight delivery service, the PI is encouraged to secure the routing number and evidence of pick-up and delivery.

GCA does not guarantee the submission of proposals that do not allow for sufficient time to complete the necessary review and navigate an appropriate sponsor submission. If an award is made based on a late submission of a proposal, the PI and the department or other university unit will be responsible for covering costs incurred by UNT as a result of any proposal errors. Such costs might include cost sharing commitments, inaccurate rate calculations for indirect costs (F&A), or unallowable commitments of UNT resources.

Preparing Proposal Budgets

Preparation of the budget is an important part of the proposal preparation process. Sponsors and peer reviewers are responsible for comparing the level of funding requested to the work proposed. Therefore, the budget section of the proposal should reflect, as accurately as possible, the funding needed to carry out the project. 

Proposal Budgets are drafted electronically within Grants module of tthe GRAMS system. The GRAMS budget is the budget of record for the proposal.

A cost-of-living adjustment or allowance can be budgeted in order to cover expected cost increases ranging from raises for salaries and generic inflationary forces for other direct costs. A standard 3% increase can be used for budget categories when appropriate.

Representations and Certifications

For some proposals, special representations, certifications, and acknowledgments may be required. GCA will work with the PI to complete these forms. 

Cost Sharing

Some sponsors require UNT to contribute to the cost of the project and will require a financial accounting of UNT’s contribution. In addition to such mandated cost-sharing, any quantified contribution to a project included in the proposal, either in the budget or the text, will be considered voluntary committed cost-sharing which UNT must document. UNT account(s) to which such cost sharing will be charged must be identified prior to approval of the sponsored project budget as well as proposal submission.

University contributions in terms of personnel effort and the associated employee benefit costs, other direct expenses, and the F&A costs calculated on these expenses at the approved F&A rate may be shown as cost sharing, unless the sponsor’s published guidelines specifically state otherwise. Any difference between F&A costs at a sponsor’s limited rate and UNT’s negotiated rate may be used to meet a cost share requirement if permitted by the sponsor. UNT discourages cost sharing unless mandated by the sponsor. All proposed cost-sharing must be approved by the responsible Chair(s) and Dean(s), and as applicable, by the Division of Research and Innovation. 

Electronic Submission of Proposals

A number of sponsors require electronic submission of proposals.

The electronic proposal preparation process may be time consuming for the PI, particularly the first time a sponsor’s electronic portal or system is used. Prior to the first submission of a proposal using any form of electronic proposal portal or system, the PI must contact GCA. In addition, the PI may need Adobe Acrobat and/or PDF capability on their computer.

GCA must approve the proposal before it may be submitted. Proposals for electronic submission (or online submission) must meet the GCA internal deadline, the same as proposal submissions by any other method.

GCA may review a very large volume of proposals for any given sponsor deadline, so it is important to submit proposals to GCA well before the deadline to allow for appropriate review. Failure to do so may jeopardize a successful or timely submission of the proposal. 

Multiple Solicitations

The submission of the same proposal to two or more sponsors is typically allowable provided this is clearly disclosed in each proposal application; however, some agencies may specify otherwise and may not accept proposals submitted to other potential sponsors.

Principal Investigator Responsibilities in Post-Award Administration

The Principal Investigator (PI) has primary responsibility for management of the project within funding limitations: adhering to reporting requirements; ensuring that the sponsor will be notified when significant conditions related to the project status change; following award terms and conditions; hiring, training, and managing project personnel; directing technical aspects of the project; and coordination with departmental personnel to define administrative support.  UNT also requires all PIs to review their obligations for stewardship of sponsored funds and compliance with applicable regulations, including cost principles as defined by UNT Policy and the federal government in Code of Federal Regulations (CFR) 2, Part 200 of the Uniform Guidance.

PI Responsibilities:

• Execute the project as outlined in the funded proposal and the terms and conditions of the award, using sound management techniques.
• Authorize only those expenditures that are reasonable and necessary to accomplish the project goals and that are consistent with the sponsor’s terms and conditions. A list of unallowable costs can be found in the Uniform Guidance: 2 CFR Part 200 (General Provisions for Selected Items of Cost).
• Spend no more than the amount authorized by the sponsor for the project period.
• Carry out the project’s financial plan as presented in the funded proposal.
• Notify GCA of any proposed changes in the scope of work, the PI or other key research personnel, the budget, or the period of performance.
• Follow all applicable University policies and procedures such as travel, purchasing, employment, contracted services, and compensation policies.
• Assure that cost-sharing or matching commitments are fulfilled and reported to GCA in a timely manner.
• Assure that Time and Effort Reports for the funded project are completed accurately and timely.
• Oversee the care and maintenance of property procured with project funds in accordance with sponsor guidelines.
• Report any intellectual property development which relates to the project to the Technology Transfer Office.
• Report project progress, including final reports, as required by the terms of the award.
• Review project expenditures reflected in COGNOS regularly and in a timely fashion to assure they are correct and appropriate.
• Expenditures or services rendered must directly relate to the scope of work and budget, be incurred within the award period and approved by the PI.
• Sufficient funds must be available at the time of purchase to ensure overspending doesn’t occur.
• Sponsor approval is required for PI disengagement from a Proj ID for more than 3 months. Applies to all sponsors—federal, state and private. Being away from campus does not necessarily constitute disengagement, as long as the PI continues to activity manage the award on a daily basis.
• In any oral or written communication intended for public consumption or distribution—including but not limited to presentations and PowerPoint presentations, testimony, journal article or other types of printed material, news stories, and posting information on a website—the content of which is based on the results of sponsored research, a faculty member or other employee or appointee of an institution of higher education who conducted or participated in conducting the research shall conspicuously disclose the identity of each sponsor of the research.
• The PI will ensure public access to research data on Federal awards and those other awards that require a data management plan according to UNT’s policy and procedures.

Role of College/Department Research Administrators in Post-Award Administration

The college/department research administrator (CRO/DRA) and other college department staff play a key role in the financial management of a project, acting as a liaison between the PI and GCA. While the university places the prime responsibility for the conduct of the sponsored projects in all aspects on the Principal Investigator, the CRO/DRA and the other staff are involved in the day-to-day operations of the project. Therefore, it is imperative that the PI and the CRO/DRA interact closely and frequently to review and discuss financial and administrative matters. 

Although responsibilities can vary by department, typically their responsibilities include:

• Having knowledge of and understanding UNT policies and procedures related to grant management, as well as the terms and conditions that apply to individual awards.
• Assisting the PI in maintaining budgetary control, including preparing ongoing budget revisions for GCA review as needed.
• Assisting the PI in assuring expenditures or services rendered directly relate to the scope of work and budget, are incurred within the award period and approved by the PI.
• Sufficient funds must be available at the time of purchase to ensure overspending doesn’t occur.
• Assisting the PI in all business aspects of grant management.
• Ensuring that awards and related budgets are created accurately in UNT’s financial systems in agreement with the approved award.
• Awards are monitored through COGNOS.
• Charges to awards are appropriate.
• Ensure F&A cost rates are accurately charged against the direct cost budget.
• Discuss reporting obligations and schedule with the PI.
• Ensure sub-awards are managed properly, including working with GCA on issuing the subaward, establishing the Purchase Order, and along with the PI, monitoring sub-recipient expenditures and work.
• Ensure cost sharing is properly documented and reported.
• Discuss with the PI any special award terms or conditions (for example, the award may have been made on a fixed-price basis or may specify special deliverables).
• With the PI, jointly plan for successful project close several months before the end date.
• Assist the PI with confirmation of Effort Reports.

Role of GCA in Post-Award Administration

GCA acts as the primary administrative liaison between PI, sponsors, and other University central administrative offices. The primary responsibilities of GCA during the post-award phase of a sponsored research project include:

• As new awards are received, establishing an account (Proj ID) in the University financial system.
• Advising PIs regarding sponsor guidelines and regulations.
• Facilitating good project management techniques by disseminating information and providing training to PIs on a wide range of topics related to sponsored activities.
• Serving as the primary interface between the PI and the sponsor in all areas requiring sponsor prior approval, including changes to scope, budget, key personnel, and project end dates.
• Maintaining project files and records and the PeopleSoft grants information system.
• Financial reporting to sponsors. GCA prepares the required financial reports that are sent to sponsors.
• Receivables, billings, and collections. GCA manages the collection of grant funds and maintains account records for each sponsor. GCA draws funds under federal letters of credit as costs are incurred, issues billings to sponsors and follows up withsponsors on payments as required by the terms of agreements.
• For federal funds, GCA administers the effort reporting function that provides the required documentation for employee salary charges to federal grants.
• Assists PIs with monitoring for overspending.
• Coordinates audits.
• Develops and negotiates federal facilities and administrative agreements.
• Conducts space use surveys.

Cost Transfers

A cost transfer is any adjustment or transfer of expenditure to/from an externally funded contract or grant. Cost transfers include reclassification of salary, wages, and other direct costs (goods and services and travel). Diligent review of financial records should prevent the necessity for cost transfers; however, transfers may be appropriate under certain circumstances.

Costs directly charged to sponsored awards must comply with the cost principles outlined in the Office of Management and Budget (OMB) Uniform Guidance (2 CFR Part 200). The circular explicitly states that expenses “may not be shifted to other sponsored agreements in order to meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by terms of the sponsored agreement, or for other reasons of convenience.” Expenditures should be directly charged to the project account. If overspending occurs, a cost transfer should immediately be processed to move the error to a different account.

PI Termination Checklist

If you are the PI on any current or ongoing awards and you are leaving employment at UNT, the following steps should be taken.

Grant Closeout

If you are transferring to another institution and desire to move grant/contracts(s) to the new institution, you should contact your department head to initiate this discussion. Since the award is issued to UNT, whether a transfer will be allowed is determined by the institution and in conjunction with the sponsoring agency. After the transfer has been approved by the department head, contact GCA to identify the specific transfer requirements for your project’s sponsor. Most frequently on federal awards, a final financial report should be submitted that reflects the unexpended balance that could be moved to your new institution. Please work with the GCA analyst assigned to your award to finalize this balance.

If the grant/contract is to remain at UNT, a new PI must be identified, and the sponsoring agency must approve this person.Typically, this is accomplished with a letter requesting the change and a copy of the new PI’s vitae. A signature from the authorized representative for UNT may be required, depending on the sponsoring agency requirements.

Equipment

If you are transferring to a new institution, you may want to request transfer of any equipment purchased with grant funding during your employment at UNT. In order to initiate this process, you must prepare a listing to be presented to your department head for approval. Any release of equipment will be at the discretion of the department head and must be approved by the VPRI. A copy of the approved list will need to be supplied to the UNT Fixed Assets Manager so that accurate inventory records can be maintained,  and  the  UNT  property control tags get removed. For government owned equipment, the underlying grant/contract document will provide the disposition instructions to follow.

Final Reports and Deliverables

As the PI on a grant/contract it is your responsibility to ensure that the final technical report and any other deliverables as required under the contract documents are delivered to the sponsor within the allowable time frame and prior to your departure from UNT.

Facilities and Administrative (F&A) Balances

Once the PI terminates from their position at UNT any unexpended funds in the PI’s F&A account will revert to the Vice President for Research. If there are ongoing obligations it will be the responsibility of the department to request retention of these funds by supplying an outline of how the funds are to be utilized. The decision to release these funds to the department will be made at the discretion of the VPRI.

Audit

When UNT accepts funds from external sponsors, those organizations presume UNT will expend the funds for the purposes for which they were given and in accordance with any terms and conditions set forth in the award agreement. GCA is responsible for coordination of all audits related to externally sponsored awards. The PI may be called upon to participate in the audit as necessary and appropriate. If the PI is contacted directly regarding an audit, GCA should be notified.

Licensing

RCA assists with the licensing of various technologies and inventions that are used or devised in the research process. Researchers should contact RCA to disclose and license an invention as soon as possible.

Human Subjects Research

The UNT Institutional Review Board (IRB) reviews all proposed research projects involving human subjects to be conducted at UNT or to be conducted at any location by UNT faculty, staff, and students in connection with their institutional responsibilities. Operating under a Federal-wide Assurance (FWA) issued by the Office for Human Research Protections (part of the U.S. Department of Health and Human Services), the UNT IRB’s primary mandate is to minimize the safety and privacy risks for human participants in research studies, while supporting UNT faculty, staff and students in the conduct of ethical research. Visit the UNT IRB website for guidance.

Animal Care and Use – Research with Live Vertebrate Animals

The primary responsibilities of the UNT Institutional Animal Care and Use Committee (IACUC) are to review all proposed research projects involving the use of live vertebrate animals and to ensure that all personnel involved in animal research have received proper training in the care and use of laboratory or field animals. The IACUC meets on a monthly basis to review all proposed uses of live vertebrates for research and instructional purposes. The Committee is also responsible for conducting inspections and to inspect (on a semi-annual basis) all UNT laboratories where live vertebrates are housed for these purposes. The primary regulators of the UNT IACUC are the Animal and Plant Health Inspection Service (APHIS, part of the U.S. Department of Agriculture) and the Office for Laboratory Animal Welfare (OLAW, part of the U.S. Department of Health and Human Services). Visit the UNT IACUC website for more guidance.

Financial Conflict of Interest for Sponsored Projects

The US Department of Health and Human Services’ (HHS) Public Health Service (PHS) policy guidelines requires the University to establish conflict of interest review procedures with the goal of promoting objectivity in funded research. All covered individuals, regardless of the funding source, must complete a conflict of interest disclosure and complete conflict of interest training. The disclosures are reviewed by the Research Integrity and Compliance staff and UNT’s Conflict of Interest Committee. The Conflict of Interest Committee reviews disclosures to determine whether a researcher’s Significant Financial Interest could affect the design, conduct, or reporting of the research activities funded or proposed for such funding, and determines what conditions or restrictions, if any, should be imposed to manage such interests. To submit a disclosure or for more guidance, visit UNT’s financial conflict of interest website.

Research Misconduct

Federal regulations require that UNT assume primary responsibility for the investigation of allegations of research misconduct and that UNT adequately protect the rights of those who report allegations of research misconduct as well as those who are accused of such misconduct. The UNT Research Misconduct Policy describes the roles of the Deciding Official, the Research Integrity Officer, the Inquiry Committee, and the Investigation Committee in the review and investigation of such allegations. The Vice President for Research and Innovation serves as the Deciding Official and appoints the members of each Inquiry Committee and Investigation Committee. The Associate Vice President for Research serves as the Research Integrity Officer to administer the procedures set forth in the Research Misconduct Policy. More information can be found at UNT’s Research Misconduct website.

Export Controls

Export controls laws are federal statutes that control the conditions under which certain information, technologies, and commodities can be transmitted overseas to anyone, including U.S. citizens, or to a foreign national here in the U.S. These statutes are implemented by the U.S. Department of Commerce through its Export Administration Regulations (EAR), the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), and the U.S. Department of the Treasury through its Office of Foreign Assets Control (OFAC). Export control affects three main areas at UNT:

• Research
• Travel outside the U.S.
• Shipping

If a research project involves certain types of technologies as specified in the regulations, EAR and/or ITAR may require UNT to obtain prior federal approval and licensing before allowing foreign nationals to participate in the research, before partnering with a foreign company, or before sharing research results in any manner (including by publication or presentation at academic conferences) with persons who are not U.S. citizens or permanent resident aliens. Travel to sanctioned countries or contracting with persons or entities in sanctioned countries or individuals on denied parties lists may be prohibited or limited by OFAC’s regulations. Shipping items outside the U.S. could require a license from OFAC (the Office of Foreign Assets Control), the Department of State, or BIS (Bureau of Industry and Security). Licensing could take anywhere from 2 weeks to 6 months, and shipping without a permit could lead to a fine for violators and UNT. For guidance, visit UNT’s Export Controls website.

Topics Supported by UNT Risk Management Services Department

Biosafety

The UNT Institutional Biosafety Committee (IBC) is responsible for reviewing proposed uses of biohazardous agents, human materials, and recombinant DNA molecules to assess compliance with applicable regulatory guidelines, including the NIH Guidelines for Research Involving Recombinant DNA Molecules. Uses of these materials must be registered with the Biosafety Officer, and some uses will require IBC review. Link to Biosafety page on the Risk Management Services Department website.

Radiation and Laser Safety

The UNT Radiation Safety Committee has responsibility for policies and practices regarding the receipt, use, monitoring, and disposal of radioactive material, radiation producing devices, and lasers. Link to Radiation Safety page on the Risk Management Services Department website.