new project lifecycle

Roles and Responsibilities

Principal Investigator

Expand the items below for more details on each segment of the project, or click here to see all of the Principal Investigator's responsibilities in one list.

Roles and Resonsibilities PI

Throughout the life of a sponsored project, it is the principal investigator who is ultimately responsible for every aspect of that project and its management, both scientific and financial. More specifically, at UTMB, the principal investigator is expected to conduct these tasks to ensure the proper management of sponsored awards.


  • If instances of non-compliance and fraudulent activities exist they will be reported to the appropriate office or hotline number.

  • Help identify vulnerabilities in research compliance.


  • Identify agency contacts at specific funding sources

  • Identify donors to support research at UTMB


  • Notify department staff of intent to submit proposal

  • Review sponsor requirements

  • Complete required UTMB forms, such as the Proposal Routing Form

  • If necessary, identify, request and receive approval for off campus or additional space

  • Identify partnership opportunities

  • Write Research Plan and Statement of Work

  • Prepare narrative and description sections for research proposal (Background and Significance, Preliminary Data and Experimental Design)

  • Identify potential program income

  • Prepare General Qualifications if needed

  • Follow sponsor and UTMB guidelines for budget preparation and obtain internal administrative approvals

  • Define Budget Needs/framework

  • Develop Budget Justification

  • Provide revised budgets in a timely manner, as requested by OSP

  • Gather a letter of intent from offsite agency or company providing the in-kind cost sharing.  

  • Submit appropriate information to respective offices for central intake.

  • Communicate, coordinate and inform appropriate parties of approvals for specific projects prior to proposal submission, including small business awards and inter- institutional IP agreements.

  • Forward all required sponsor initiated forms to appropriate office within required timelines for review, approval and submission, along with the grant proposal.

  • Ensure human or animal subject protocols are submitted for approval.

  • If appropriate, successfully complete and oversee the research team's completion of the UTMB approved human subjects educational program.

  • Review and concur with grant/contract terms and conditions (and scope of work for outgoing subcontracts).

  • Review and approve incoming subrecipient agreements.


  • Receive Notice of Grant Award (NOA)

  • Provide Just in Time information to OSP.

  • Submit request for pre-award spending.

  • Monitor pre-award spending open accounts.

  • If subaward was not previously authorized by sponsor and prior approval is required, negotiate and obtain sponsor approval.

  • Review terms and conditions, and budget of outgoing subcontract.

  • Work with GCA on outgoing subcontracts initiated after initial award setup.

  • Ensure sub awardees meet Uniform Guidance test and other compliance measures.

  • Review and approve for payment invoices from sub awardees within 5 business days of receipt of invoice.

  • Monitor sub awardee performance and approve sub awardee invoices prior to payment. 

  • Review and monitor all institutional training grants and individual fellowships to ensure students receive the full support allowed by the grant.

  • Ensure for NIH or other applicable awards that the salary cap is not exceeded.

  • Determine and set up appropriate payroll distributions.

  • Initiate purchase requisition for the sub agreement in system with the proper amount and recipient.

  • Approve subcontract purchase requisition.

  • Ensure UTMB policies and procedures and sponsor guidelines related to cost allowability are followed.

  • Identify spending trends that would place a grant in a deficit position. Based on that trend, begin resolution immediately.

  • Review expenses being applied to grants, and verify whether the expenses are allocable and reasonable.

  • Account for salary cost sharing according to UTMB Cost Sharing Policy.

  • Initiate allowable purchases of goods and services and purchase or lease of equipment for award.

  • Approve purchases as necessary.

  • Ensure proper completion of effort reports and appropriate charges in the Human Capital Management (HCM) PeopleSoft.

  • Update effort commitment changes in systems.

  • Review award finances monthly.

  • Resolve rejected purchase requisitions.

  • Resolve budget errors on purchase requisitions.

  • Resolve rejected outgoing subcontract purchase requisitions.

  • Submit cost transfer requests in accordance with the UTMB cost transfer policy.

  • Prepare and submit rebudgeting request and relevant documentation, including justifications.

  • Review and process the rebudgeting request.

  • Review expenditures for unallowable expenses using exception reports.

  • In the case of milestones/deliverables provide information to accompany the submission of grant invoices.

  • Verify and approve subaward invoices for accuracy (including but not limited to: account codes, budget limits, unallowable expenses, F&A calculation).

  • Resolve and manage collection and payment issues. - Incoming subcontract

  • Resolve and manage collection and payment issues. - Prime Contract

  • PI provides feedback and concurrence on Financial Status Reports and Final Invoices.

  • Maintain all documents related to sponsored project activity based on UTMB or Sponsor retention policy.

  • Prepares and submits request for No Cost Extension to GCA at least 60 days prior to award and date.

  • Ensure that restrictions imposed by donors are adhered to and are not changed without the consent of the donor or by court order

  • Ensure gift/grant donor intentions are met


  • Submit Final Research Performance Progress Report (FRPPR) by due date
  • Submit Final Invention Statement
  • Notify grant funded individual employees of grant ending
  • Clear encumbrances. Salary encumbrances must be cleared within 10 business days form the last salary transfer. Non-salary encumbrances should be cleared 30 days from the project end date.

  • Ensure service centers have been notified and cost chart field strings have been updated.

  • Move individuals off of terminating grant.

  • Clear deficits and unallowable costs

  • Ensure that only appropriate costs are charged to the grant

  • Confirm payment of final outgoing subrecipient invoices, and send request to GCA to clear PO.

  • Ensures the completion and accuracy of technical reports, invention statements, equipment reports and any other reports not previously mentioned but required.

  • PI provides feedback and concurrence on final FSR or final invoice within 5 business days of receipt from GCA.

  • Ensure all adjustments to expenses have been posted to the award.

  • Approve adjusted FSRs or invoices within 5 business days of receipt from GCA.

  • Submit salary and non-salary adjustments to GCA is expenses are incurred on an award or removed from an award after the final FSR or final invoice has been submitted in a timely manner.

  • Retain grant and contract financial records for nine years after the last activity on the award as per UTMB Policy on records retention.

  • Confirm that the information on the Invention Statement is correct.