Internal Controls - Mgmt Resp Res Serv

UTMB Management Responsibilities Handbook

Management (Department Head) Responsibilities

Research Services

Definition and Applicability

An activity supported by external resources (even partially) would be considered a sponsored project if any one of the following conditions are to be included in the terms of the award agreement as a condition of obtaining sponsorship:

• The proposed work binds the University or the researcher to a specific line of scholarly or    scientific inquiry, unless the nature of the work excludes it from this stipulation. (For    example, support for the general development of a program for research, training, and    evaluation as directed by an academic administrator in the generic area of public policy    would not contain sufficient conditions to bind the institution, but the requirement to    generate a position paper resulting from a 12-month study of specific regulations and their    effect on a specific industry would obligate the institution to deliver a “product”.) Excluded    from this criterion are contracts and advances from publications for scholarly writing or    artistic creation. Agreements for the development of complete software are not excluded.
• Obtaining funding is contingent on the University’s acceptance of a specific commitment    regarding performance in terms of the level of personnel effort; or items of output (e.g., a    report, device, prototype); or if achievement of specific performance targets is    contemplated.
• There is a line item budget detailing or limiting expenses by activity, function, or project    period, or by limiting the institution’s freedom to transfer funds among expenditure    categories.
• A detailed fiscal audit, activity report, or external audit is required.
• The proposed activity involves human subjects, laboratory animals, biological and/or    radiological hazards, select agents, or recombinant DNA.
• The proposed activity involves the use of questionnaires.
• The proposed agreement with the sponsor provides for the disposition of intangible    property (e.g., rights in data, copyrights, patents, licenses, inventions), which may result    from the activity or tangible property (e.g., equipment, supplies, drugs, materials).
• Construction, alteration, and renovation projects or acquisition of equipment or facilities    where any government agency is involved.

Roles and Responsibilities:

Principal Investigator It is the principal investigator’s (PI) responsibility to conduct and complete the scientific and scholarly work; submit a satisfactory final report; meet the sponsor’s application guideline; ensure that the business requirement, expectations, terms or conditions of the award are met fully, including all financial limitations or regulations; and adhere to UTMB’s and the State of Texas’ regulations. The PI is also responsible for all overruns and expenditures later determined to be unallowable as the result of an audit. A principal investigator or program director should have a clear agreement with his department head (and dean, if necessary) about any commitments of space, renovations, expansion of staff, matching funds, or other University commitments before writing a proposal. The proposal itself must be consistent with these understandings, but it can rarely serve as a “treaty” specifying the University’s commitment, because less-than-full funding, shorter-than-expected grant periods, or other contingencies may make it impossible to follow such commitments literally.

Department Head In the capacity of academic administrator, the department head is responsible for activities in that head’s unit. As related to sponsored projects, the head is responsible to ensure that the PI is eligible to apply for funds; that the activity is appropriate and fits within the academic mission of the unit; and that the business aspects of sponsored projects are fully met by the PI. The head of the department in which the work is to be conducted should be consulted early. In consultation with the dean and other administrators, he/she must balance commitments of budget, space personnel, facilities, and related matters. The Research Administrative Service (RAS) Office often can be of help in the preliminary planning. When policies and past experience fail to provide adequate guidance, the appropriate standing committee on research policy can be called upon for help and guidance.

Dean The dean is ultimately responsible for the scholarly and business operations of all activities in his/her school.

University Advancement There are substantive differences between the obligations that UTMB can accept in exchange for support for sponsored research and training and the obligations associated with gifts: The former creates legal commitments for the researcher or institution; the latter create few, if any legal obligations. University Advancement provides services related to awards with the fewest restrictions, i.e., gifts; RAS provides services related to awards which include the nine elements listed in the information segment entitled Definition and Applicability.

Certifications and Signatures In signing documents related to a sponsored project (e.g., transmittal sheet/letter, application forms, re-budgeting requests, expense approvals), the principal investigators are saying they accept their commitment under the program and are willing and able to meet the implied responsibilities to conform with University and sponsor policies and procedures, which relate to research at the University.

The department head’s signature signifies that matters related to space, personnel, and budget required by the program have been fully considered. Moreover, this signature implies that all persons whose services will be required in the program are aware of their responsibilities. Finally, the department head’s signature attests that the program falls exclusively within that department’s administrative structure.

The dean’s signature attests to the accuracy and appropriateness of the activities in that school.

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