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Pre-Award Process

New Investigator Onboarding
  VCR OSP PI Dept Dean's Office Finance UTRF Other

Inform Research Administration that a new faulty member has been hired

       1 1      

Send transfer questionnaire to new faculty member

   1            

Schedule a welcome meeting for new researcher and team to review their transfer needs

   1   1     1 All UTHSC RA Offices

PIs and Team complete are necessary compliance training (CITI, etc.)

     1          

Attend onboarding meeting

   1 1 1 1   1 All RA Offices
Identification of Funding Opportunities
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Search for sponsored funding opportunities   2 1 2       PDO
Distribute information about non-invitational funding opportunities: web and list serve               PDO
Alert faculty to restricted or invitational funding opportunities               PDO
Manage limited opportunity selection process               PDO
Manage intramural programs [announcement, competition, selection, and awards notification]               PDO
Determine whether the funding opportunity is a gift or a grant   1           UT Foundation
Assist PI in interpreting eligibility for funding / provide guidance   1   2        
Assist PI in obtaining and interpreting proposal guidelines   1   2        
Administer funding search engines               PDO
Provide guidance on funding opportunities   1   2        
Proposal Preparation
 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Provide guidance on Instruction and/or PI's  eligibility of funding   1   2        
Provide approval for exception to PI's eligibility 1 2   2 1      
Develop the scientific/scholarly/technical proposal content     1          
Create proposal budgets and budget justification   2 1 1        
Prepare proposals in Cayuse SP routing and approval and identify necessary additional approvals required (e.g. Human Subjects, Animals, Export Control, IP, service to the community); prepare and route relevant forms     1 1        
Prepare the administrative sections of the proposal [i.e. Coversheet, certifications, subawards, etc.]     1 1        
Guide/oversee staff in development of non-technical components (e.g. Bio Sketch Budget, Face Page, etc.)   2 1 2        
Provide editorial assistance for proposals               OSF
Assist with the development of complex large scale proposals   2 1 1 1     OPD
Approve requests for reduction and/or waiver of F&A 1              
Identify need for cost sharing funds     1 1        
Ensure faculty is not over maximum allowed effort   2 1 1        
Identify subcontractors/collaborators and collect budget, budget justification, scope of work, signed LOI and/or subrecipient form     1 2        
Perform analysis to determine if work to be done by outside entities should be treated as: a consultancy, vendor agreement or subaward   1   2        
Secure letters of support     1          
Provide sole-source justification documentation       1        
Collect documentation to ensure that no external individuals working on the project have FCOI (financial conflict of interest) training   2   1        
Proposal Review, Approval, Submission
 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Review and approve proposal at Department and College level     1 1 1      
Route proposal to OSP for review at least 5 days before deadline     1 2        
Review proposal for  Cost Accounting Standards (CAS) exceptions, Human and/or Animals Subject, Conflict of Interest, Multiple Schools, Multiple PIs, Hazmat, Space, export control, etc.)   1   1 1      
Review and approve proposed cost sharing for compliance with terms and conditions   1       2    
Accuracy   1 2 2        
Review and submit grant transfer(s) for newly hired PIs    1 2 2        
Submit proposal to sponsors after institutional approval (Note: Some electronic systems may require PI to submit)   1 2 2        
Retain Institutional copy of proposal     1            
Upon request by PI/Department provide access to eRA Commons/eBRAP and other sponsored systems   1            
 

Cost Sharing

 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Review proposal guidelines to determine cost share/match requirement   2 1 1        
Identify the non-federal account for the cost share/match requirement       1 2      
Review and Approve Cost Share Commitment   2       1    
Obtain documentation of third party cost share     1 1        
Confirm over-the cap and other institutional cost sharing   2   1        
Retain necessary documentation of cost sharing and/or matching funds   2   1        
Monitor and review/verify that the required cost share is met   1 2 2 2 `    
Request prior approval for use of F&A used as cost-share from agency     1          
Grant approval for the use of F&A as cost-share  1              
F&A Waivers/Reduction Cost
 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Review non-federal proposal for funding amount and F&A requirements   1 2 2        
Request F&A reduction/waiver  (submit request to VCR Research)     1          
Approve requests for F&A waivers   1 2            
Just In Time (JIT)
  
  VCR OSP PI Dept Dean's Office Finance UTRF Other
PI prepares and sends supplemental material to OSP (prior to peer review) based on notification by agency     1          
Review, approve, and submit additional post/supplemental material to sponsor   1            
Upon notification by Program Officer PI  prepares JIT documentation      1 2        
Review, approve, and submit JIT paperwork to sponsor    1            
Add JIT information to Cayuse proposal   1            
Prepare Human Subject data (for NIH) using ASSIST     1          
Review/approve and submit Human Subject material via ASSIST (in the NIH eRA Commons)   1            
Notice of Award, Review, and Acceptance
 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
All notices of award should receive  by OSP    1           UT Foundation
PI receives a NOA forward to OSP     1 1        
Send notification to PI/department and other administrative offices as appropriate   1            
Department and PI review terms and conditions in award document and inform OSP of terms that need to be negotiated from a departmental perspective     1 1        
Compare proposed budget to awarded budget and communicate with Dept/Center and PI, as needed   1 1 1        
Prepare revised budget if funding has been reduced  (and, if necessary, revised scope of work) to comply with awarded funds, if amount differs from proposed budget     1 1        
Determine account structure    1 2 2        
Approve revised budget and scope         1          
Negotiate terms and conditions of award with sponsor   1            
Verify that all “pending” internal approvals (e.g., Human subjects) indicated on the proposal have been received   1            
Accept terms and conditions of the award on behalf of the University/legally bind the University to the terms of the award 1 1            
Contract Review and Negotiation
 
  VCR OSP PI Dept Dean's Office Finance UTRF  Other
Verify CITI training is current   1 2          
Obtain any necessary IRB, IACUC, and current RCOI approvals, waivers, or plans     1 2        
MTA, DUA, NDA requests are made directly by PI using smart forms on OSP webpage   1            
OSP enters data for MTA, NDA, CDA into Cayuse so that PI and Departmental personnel can track progress                
Contract is routed for review and approval in Cayuse, appropriate documents are appended: draft contract, scope of work, budget, protocol, etc.     2 1        
Meet with PI to discuss contract (can be formal of informal)   1 1 2        
Review/draft and negotiate terms of contracts (not budgets), request input from department and PI(s) as necessary   1 2 2        
Review and submit information on intellectual properties and patents   2 2          
Verify compliance requirements have been met   1 1          
Final approval of proposal, including contract, budget, and compliance    1            
Route final contract for signatures   1            
General Counsel review required for foreign agreements/foreign agreements are signed at the UT systems level               GC
Sign as Authorized Organizational Representative for University on contracts, which vary based on contract type and origination 1              
Distribute signed contract to PI, Department, and Sponsor   1            
Establish Account (see Award Setup section)                
Outgoing Award and Subrecipient Monitoring (Subaward cycling begins with receipt of Notice of Award (NOA))
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Subrecipient budget and statement of work (SOW) are finalized     1 2        
Subaward components (NOA, budget, SOW, other documents) can be routed in Cayuse SP for internal review and approvals     1 2        
Initial subaward review begins. Verification of need for CITI, RCOI, NCJ, Biosafety, Export requirements, etc.   1            
Subaward agreement is drafted, sent to PI/Dept for review   1            
Draft subaward agreement is issued to Subrecipient for review; Subrecipient and UTHSC engage in negotiations   1            
Once approved, Subrecipient's authorized official signs agreement (i.e., it's partially executed)   1            
After verification that all internal requirements have been met, UT authorized official signs.   1            
Fully executed agreement is distributed internally to PI, Department, OSP Post-Award and externally to sponsor   1            
Subaward is posted in Cayuse.   1            
Subaward is posted to FFATA within required timeframe   1            
OSP receives subrecipient invoices, logs them and sends to PI and department for approval/disapproval   1            
PI reviews subrecipient invoices and signals approval/disapproval, return invoices to OSP     2 1        
Invoice is paid unless PI tells OPS that a correction is needed     1 2        
Coordinate issue resolution with subawards (invoicing schedule, billing questions, deliverable scheduling, No-Cost Extension requests, etc.)     1 2        
Confirm completion of subrecipient's work      1 2        
Reconcile monthly expenses     1 2        
Request an amendment to provide subrecipient with additional funds   1            
Certify that subrecipient is performing satisfactorily     1 2        
Create subaward amendment and ensure that it is executed, notify PI and department   1            
 
Award Setup
 
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Request approval for pre-award cost up to 90 days before the executed award date     1 1        
Approve pre-award costs incurred 90 days prior to executed award date   1            
Request sponsor approval for pre-award cost exceeding 90 days prior to executed award date   1 1          
Approve and sign as AO request for preaward spending exceeding 90 days   1            
Request Advance WBS Element Number for account set-up        1 1        
Approve/Deny the set-up request for the advance account number   1            
Approve commitment of department funds if project is not funded.     2 1 1      
Establish account based on either the executed award or the approved advance account request    1            
Confirms that final budget for award is accurate     1 2        
Assign account number and submit to UT system for activation   1            
Establish fund/budget in IRIS based on award documentation   1            
UT Systems office provides IRIS notification that a new account has been established               UT Systems
Verify account release from UT system   1            
PI and Department administrators notified that account is active     1 2        
Record award information for tracking in Cayuse and Record Management   1            
Jan 9, 2023