new project lifecycle

Roles and Responsibilities

Tech Transfer

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

Roles and Responsibilities Tech Transfer

The Office of Technology Transfer manages The University of Texas Medical Branch's Intellectual property assets, while promoting and encouraging scientific research. The Office of Technology Transfer assists researchers with intellectual property management, marketing and licensing of UTMB's intellectual property, agreement negotiation, commercialization, business development and collaboration, and training and workshops.

RegulatoryOversight

  • Monitor and strengthen policies and procedures on an ongoing basis.
  • Develop new policies and procedures where needed.
  • Implement revised and newly created policies
  • Interpret and implement University policies & federal and other sponsor regulations related to research.
  • If instances of non-compliance and fraudulent activities exist they will be reported to the appropriate office or hotline number.
  • Develop mandatory high quality training programs for administrators and researchers, and ensure availability to everyone.
  • Modify the training sessions as needed based on feedback from the evaluation forms.
  • Help identify vulnerabilities in research compliance.

FindFunding_H


  • Assist PI the identification of potential non-clinical industry funding sources
  • Review non-clinical industry sponsor funding announcements through the Research Services Research Funding Library, the Internet and other means in order to match investigators with potential sources of support if requested.
  • Identify non-clinical industry  agency contacts at specific funding sponsors.
  • Act as liaison with non-clinical industry granting agencies, facilitating proposal development and promoting interaction with interested faculty.
  • Provide expert guidance on non-clinical industry funding opportunities.
  • Conduct educational offerings on finding funding, preparing budgets, utilizing eRA systems, effectively acquiring research dollars from non-clinical industry sponsors.
  • Identify partnership opportunities

DevelopProposal_H


  • Store non-clinical industry application templates and retrieve as necessary.
  • Review non-clinical industry sponsor requirements.
  • Assist in non-clinical industry sponsor guideline interpretation and compliance – advise PI.
  • Provide guidance to departments on non-clinical industry proposal preparation.
  • Provide support to Principal Investigator in resolution of issues related to proposal development.  This task includes, but is not limited to, serving as a resource to the Principal Investigator, providing expertise, and offering the benefit of professional development training/education in research administration
  • Identify potential program income
  • If needed, prepare Past Performance information, Small Business sub-contract plan, Representations and Certifications
  • Perform secondary review on Budget Justification based on funding source
  • Confirm all fringe benefits are included at the appropriate rate for the duration of the project.
  • Provide revised budgets updated on the support information etc. to non-clinical industry sponsors as needed, and in a timely manner.
  • Ensure adherence to the UTMB cost sharing policy, cost sharing should not be submitted with a grant proposal unless it is required by the sponsoring agency.
SubmitProposal_H


  • Non-OSP intake departments submit to pre-award for Info Ed Logging.
  • Review cost sharing support fund in order to ensure verification of funds is available.
  • Review proposal submissions, including budget, budget justification and document formatting according to non-clinical industry sponsor requirements.
  • Provide documentation for non-clinical industry submissions to a federal sponsor, such as sub recipient letter of commitment, budget and statement of work, Reps and Certs, and completion of agency cover page.
  • Communicate, coordinate and inform appropriate parties of approvals for specific projects prior to proposal submission, including small business awards and inter- institutional IP agreements.
  • Obtain required signatures for all proposals, e.g. Principal Investigator, Department Chair(s) and UTMB.
  • Confirm/assure that Principal Investigator and department/grant administrator follow sponsor and UTMB policy and guidelines for proposal preparation, review, approval, and submission.
  • Contact investigator and department regarding missing internal paperwork, if appropriate.
  • Ensure grant, contract and clinical trial agreement applications carry the correct F&A rate.  Reductions or waivers must be supported by a sponsor’s policy/statement or approval by the Chief Research Officer for Research Administration.
  • Ensure application has salary requests reflecting current institutional base salaries, as well as any projected increments or raises.
  • Provide institutional approval of non-clinical industry proposal components.
  • Work with the PI's for those proposals that are mailed to the sponsors, and also work with PI's in order to process electronic non-clinical industry proposal submissions.
  • Assist with implementation of non-clinical industry sponsor electronic grant processing systems.
  • Negotiate subagreements with incoming prime awardees/contractors.
  • Review and approve incoming subrecipient agreements.
  • Maintain database of proposal submissions and awards and provide information to schools.
ProjectAward_H


  • Review contracts/agreements,  Confidential Disclosure Agreements, Sub recipient Agreements, Clinical Trial Agreements etc. in preparation for negotiations.
  • Generate and negotiate contracts with industry sponsors (clinical and non-clinical) in accordance with UTMB and University of Texas System policies and procedures.
  • All correspondence to non-clinical industry sponsors must go through the appropriate  office with a letter of approval.
  • Send all documents to Pre -Award for accumulation and pass off to Project Setup.
  • Ensure an appropriate F&A rate is charged to each program.
  • Receive notice of Grant Award (NOA).
  • Notify the Principal Investigator and Dept. Staff of all awards, and ask for budget review.
  • Activate award number and input revenue and billing plans for OTT contracts and amendments to contracts executed prior to Sept. 1, 2017.
  • Ensure for NIH or other applicable awards that the salary cap is not exceeded.

ManageProject_H


The activities below are completed by OTT for OTT contracts and amendments to contracts executed prior to Sept. 1, 2017.

  • Generate invoices to send to sponsor on a timely basis.
  • Receive check or wire from sponsor.
  • In the case of milestones/deliverables provide information to accompany the submission of grant invoices.
  • Identify unallowable costs prior to billing submissions to sponsoring agencies in conformance with the Uniform Guidance Regulation.
  • Resolve and manage collection and payment issues. - Incoming subcontract
  • Resolve and manage collection and payment issues. - Prime Contract
  • Begin follow-up on past due payments. The leading practice would be to initiate contact via phone to the sponsor, and maintain continued follow up with both the sponsor and PI.
  • Notify the Office of General Counsel if payment request efforts fail, and if necessary use a collection agency.
  • Communicate and coordinate with PIs on deliverables submitted.
  • Forward FSR or final invoice to PI for review and concurrence.
  • Review and submit no-cost extension to PreAward.
  • File final invention statement.
  • Ensures the completion and accuracy of technical reports, invention statements, equipment reports and any other reports no previously mentioned but required.
  • Prepare final FSR/Invoice to sponsor.
  • Submit FSR or final invoice to PI, including program income and cost sharing, for review and concurrence.
  • GCA submits FSR/final invoice to sponsor.
  • Generate and negotiate Material Transfer Agreements, licenses, industrial contracts (non-CTA) in accordance with UTMB and University of Texas System policies and procedures.
  • Approve/negotiate confidentiality agreements.
  • Assist in the marketing of disclosed inventions.
  • Confirm that the information on the Invention Statement is correct.
  • Process all contractual modifications and supplements for contracts initiated by the Center for Technology Development.
ProjectCloseout_H


  • Maintain all documents related to sponsored project activity based on UTMB or Sponsor retention policy.
  • Ensure all monies owed have been collected and posted to the award.
  • Ensures the completion and submission of final technical reports, invention statements, equipment reports and any other reports not previously mentioned but required (OTT contracts/ amendments executed prior to 9/1/17)
  • Confirm salary certifications have been completed (OTT contracts/ amendments executed prior to 9/1/17)
  • Determine if deficit or residual balance (OTT contracts/ amendments executed prior to 9/1/17)
  • If Deficit, work with department / school and PI on appropriate accounts to determine which should be used to cover deficit. Refer to the Resolving Deficits in Sponsored Project Accounts Policy and Procedure for additional information (OTT contracts/ amendments executed prior to 9/1/17)
  • If Residual, determine if money can be kept or must be returned to sponsor (OTT contracts/ amendments executed prior to 9/1/17)
  • If Residual can be kept, work with PI, school, and/or department to determine which account residual balance should be transferred to Withhold unspent indirect costs. Refer to the Transfer and Use of Residual Balances Policy and Procedure for additional information (OTT contracts/ amendments executed prior to 9/1/17)
  • Ensure Commitment Control = Project Costing = General Ledger = FSR/Final Invoice (OTT contracts/ amendments executed prior to 9/1/17)
  • Ensure all cash has been collected and posted to award (OTT contracts/ amendments executed prior to 9/1/17)
  • Expedite the processing of each closed grant in accordance with UTMB SOP on grant accounts reconciliation and close out (OTT contracts/ amendments executed prior to 9/1/17)
  • Apply status changes and inactivate projects as needed according to UTMB's grant account reconciliation and close out SOP (OTT contracts/ amendments executed prior to 9/1/17)
  • Retain grant and contract financial records for 15 years after the last activity on the award as per State of Texas Records Retention Schedule (OTT contracts/ amendments executed prior to 9/1/17)
  • If after adjustments expenses are less than FSR, prepare and submit an adjusted FSR and resend to PI for concurrence (OTT contracts/ amendments executed prior to 9/1/17)
  • If after all non-salary adjustments are made and expenses are more than reported on the FSR, the PI & ASG must submit additional adjustments (OTT contracts/ amendments executed prior to 9/1/17)
  • Retain grant and contract financial records for nine years after the last activity on the award as per UTMB Policy on records retention.
  • Generate and negotiate  Material Transfer Agreements, licenses, industrial contracts (non-CTA) in accordance with UTMB and University of Texas System policies and procedures.
  • Approve/negotiate confidentiality agreements.
  • Assist in the marketing of disclosed inventions.
  • Confirm that the information on the Invention Statement is correct.
  • Process all contractual modifications and supplements for contracts initiated by the Center for Technology Development.