Research Handbook
Table of Contents
Revised 09/09/05
Research Handbook Updates
6/04/03
Introduction/About the Handbook
General Guiding Principles
1. Research at the University of Utah
2. Research Ethics Policies
3. Locating Sources of Funding
4. Pre-Award Issues and Processes
5. Award Management
6. Technology Commercialization
7. Compliance Issues
8. Clinical Investigations
9. Forms/Instructions
10. Research Committees
11. Contacts
12. Acronyms
13. Glossary
14. Index
15. Appendix
Availability
4/28/00
Purpose
Sponsored Project at the University of Utah
A checklist for sponsored project funding 4/6/00
1.1 Principal Investigator 3/30/00
1.1.1 Definition
and Responsibilities
1.1.2 Designation
of Principal Investigator
1.1.2.a
Faculty
1.1.2.b
Non-Faculty
1.2 Vice President of Research 3/14/00
1.3 Office of Sponsored Projects 3/14/00
1.3.1 Mission
Statement
1.3.2 Vision
Statement
1.3.3 Values
and Core Principles
1.3.4 Services
1.4 Research Accounting 6/15/00
1.5 Technology Commercialization Office 6/5/00
1.5.1 Mission
1.5.2 Responsibilities
1.6 Classification of Funding 3/14/00
1.6.1 Definitions
1.6.1.a
Gifts
1.6.1.b
Sponsored Projects
1.7 Authorized Signatory 3/14/00
2.1 Conflict of Interest
3/14/00
2.2 Misconduct in Science Policy 3/14/00
2.2.1 Summary of Research Misconduct Policy
3.1 University Intramural Support for Research
3/12/01
3.2 Non-University Support for Research (External Funding) 4/30/00
3.2.1 Identifying Potential Sponsors
3.2.1.a Searchable Funding Databases
3.2.1.b E-Mail Alert Services
3.2.2 Top 20 Sponsors
4.1 Process to Submit Proposals/Applications
3/14/00
4.2 Document Summary Sheet 9/29/00
4.2.1 Approvals
4.2.1.a Financial
4.2.1.b Resources/Personnel
4.2.1.c Conflict of Interest
4.2.1.d Administrative
4.3 Proposal Development 3/14/00
4.3.1 Definitions
4.3.2 Statement of Work/Project Deliverables
4.3.3 Proposal Budgets
4.3.3.a Cost Accounting Standards and Cost
Accounting Disclosure Statement
4.3.3.b Allowable Costs
4.3.3.c Allocable Costs
4.3.3.d Unallowable costs
4.3.3.e Direct Costs
Personnel Costs
Travel
Equipment
Consultants/Personal Services
Supplies
Other Expenses
4.4 F&A Costs 2/23/01
4.4.1 F&A Cost Calculation
4.4.2 F&A Waivers
4.5 Cost Sharing 7/14/00
4.6 Budget Justification 4/11/00
4.7 Leveraging Awards/Multiple Awards (Scientific Overlap) 4/13/00
4.8 Working with Industry 7/16/03
4.8.1 Publications
4.8.2 Intellectual Property from University Research
4.8.3 Intellectual Property Owned by the Sponsor
4.8.4 Consulting
4.8.5 Conflict of Interest
4.8.6 Assurances
4.8.7 Expenditure of Funds
4.9 International Issues
3/22/00
4.9.1 International Tax Issues
4.9.2 Visa and Work Permits Issues
4.9.3 Paying Non-Resident Aliens and Consultants
4.9.4 International Contracting Issues
4.9.5 Export Control and Trade Regulations/Restrictions
on Access by Foreign Nationals
4.9.5.a More Expanded Explanation of Export/Trade
and Regulations and Restrictions
4.10 Electronic Research Administration
3/22/00
4.10.1 Definitions
4.10.2 The ERA Concept
4.11 A Review of Required Signatures
4/11/00
4.12 Submission of the Final Proposal
4/1/00
4.12.1 Paper Submissions
4.12.2 Electronic Submissions
4.13 Small Business Subcontracting Plans
10/07/03
5.1 Types of Awards 7/22/03
5.1.1 Grants
5.1.2 Cooperative Agreements
5.1.3 Contracts
5.1.3.a Research Agreement
5.1.3.b Service Agreement
5.1.3.c Clinical Service Agreement
5.1.3.d Master Agreement
5.1.3.e International Agreement
5.1.3.f
Memorandum of Understanding
5.1.3.g Material Transfers
5.1.3.h Affiliates & Consortium Program
5.1.3.i Other Agreements, Other Transaction Agreement,
Technology Investment Agreements
5.2 Award Negotiations 3/22/00
5.3 Setting Up a Project 2/23/01
5.3.1 Project Information Sheet (Bucksheet)
5.3.2 Setting Up a Preliminary Project
5.3.3 Research Project
Flow Chart
5.4 Fiscal Management Compliance Issues
3/16/00
5.4.1 Financial Management Reports
5.4.1.a Summary of Revenue and Expense
5.4.1.b Detail Transactions Report
5.4.1.c Open Encumbrances Report
5.4.1.d Balance Sheet
5.4.2 Salary and Personnel Issues
5.4.2.a Percent of Effort
5.4.2.b Effort Reporting
5.4.2.c Reassigned Time
5.4.2.d Salary Increases Because of Sponsored Projects
5.4.2.e Additional Compensation
5.4.2.f Hiring Personnel on Projects
5.4.3 Insurance/Risk Management
5.4.4 No-Cost Extensions
5.4.5 Over Expenditures and Disallowance
5.4.6 Program Income
5.4.7 Purchases Funded by Sponsored Projects
5.4.8 Property
5.4.8.a Definitions
5.4.8.b Procedures
5.4.8.c Sponsor Requirements
5.4.8.d Acquisitions Funded by Research Grants and Contracts
5.4.9 Sales
5.5 Technical Management 3/16/00
5.5.1 Retention of and Access to Research Data
5.5.1.a University Ownership and Responsibilities
5.5.1b Principal Investigator Responsibilities
5.5.1.c Duration of Retention of Data
5.5.1.d Access to Records
5.5.1.e Transfer of Data or Records when a
Researcher
Leaves the University
5.5.2 Deliverables/Reporting
5.6 Other Issues 11/1/00
5.6.1 Kickback Prohibitions
5.6.2 Whistle Blowers
5.6.3 Security/Classified Information
5.6.4 Confidentiality
5.6.5 Change in Status of an Award
5.6.5.a Absence of Principal Investigator and/or
Other Key Personnel
5.6.5.b Change of Grantee Organization
5.6.5.c Transfer of Property
5.7 Award Expiration/Closeout
3/16/00
5.7.1 Final Technical Report and Other Deliverables
5.7.2 Final Financial Report, Contractor's Release,
Refunds, and Claims
5.7.3 Final Inventory Report and Title to Property
5.7.4 Patent and Invention Report
5.8 Late Reports or Non-Reporting
4/7/00
5.8.1 Government Agency Policies
5.8.2 University Procedure
6.1 Ownership 6/15/00
6.2 New Inventions - A Principal Investigator's
Responsibilities and
Benefits 6/15/00
6.2.1 Assignment
6.2.2 Disclosure
6.2.3 Recording Technology Development
6.2.4 The University's Obligation to Inventors
6.2.5 Benefits
6.3 Technology Commercialization Office Areas of Service
and Responsibility
6/15/00
6.3.1 Disclosure
6.3.2 Material Transfers
6.3.3 Intellectual Property Terms in Research Agreements
and Clinical
Investigations/Trials
6.3.4 Fulfilling Obligations to Research Sponsor
6.3.5 Protecting Intellectual Property
6.3.6 Licensing University Intellectual Property
6.3.7 Conflict of Interests
6.4 University of Utah & Technology Commercialization Office Policies
6/15/00
6.4.1 University Faculty Profit-Making Corporations
6.4.2 Patents and Inventions
6.4.3 Copyright Policy Ownership
6.4.4 Remunerative Consultation & Other Employment Activities
6.4.5 Conflict of Interest
6.5 What is Intellectual Property?
6/15/00
6.5.1 Introduction
6.5.2 Patentable Subject Matter
6.5.2.a What is a New Invention?
6.5.2.b When Does an Invention Occur?
6.5.2.c Who are the Inventors of an Invention?
6.5.2.d Where Can I Get More Information?
6.5.3 Copyrights
7.1 Institutional Review Board for Research
with Human Subjects (IRB)
3/28/00
7.2 Institutional Animal Care and Use Committee (IACUC) 3/30/00
7.3 Biosafety 6/04/03
7.4 Radioactive 3/28/00
7.5 Hazardous Waste 3/16/00
7.6 Good Laboratory Practices 3/22/00
7.7 Federal Regulations 3/22/00
7.7.1 Debarment and Suspension
7.7.2 Lobbying
7.7.3 Office of Management and Budget Circulars
7.7.3.a OMB Circular A-21
7.7.3.b OMB Circular A-110
7.7.3.c OMB Circular A-133
7.7.4 Federal Acquisition Regulation
8.1 Clinical Protocol 3/16/00
8.2 Informed Consent 3/16/00
8.3 Institutional Review Board 3/16/00
8.4 Clinical Cancer Investigations Committee 3/16/00
8.5 Radioactive Drug Research Committee and Human
Use Subcommittee of the Radiation Safety Committee
3/16/00
8.6 Budgeting 3/16/00
8.7 Green Card - Special Services and Patient Accounting Role 3/16/00
8.8 Accounting Details 3/16/00
8.9 Clinical Agreements 3/16/00
11/28/00
9.1 Preliminary Project Approval Form
9.2 Conflict of Interest Disclosure
Form
9.3 Deposit Definition Checklist
Form
9.4 Document Summary Sheet
9.5 Green Card Application (Clinical
Investigations)
9.6 Guest Lecturer/Performer Agreement
9.7 Interdepartmental/Intercollegial
F&A Distribution Agreement
9.8 NIH Modular Grant Budget Worksheet
9.9 Notice of Intent to Fabricate
9.10 Professional Services/Consulting
Agreement
3/30/00
4/6/00
11.1 Research Contacts
11.1.1 Office of
the Vice President of Research
11.1.2 Office
of Sponsored Projects
11.1.3 Office
of the Asst. Vice President for Finance
& Accounting Services
11.1.4 Research
Accounting
11.1.5
Property Accounting
11.1.6
Government Accounting
11.1.7 Risk
and Insurance Management
11.1.8 Technology
Transfer Office
11.2 Review Departments and Committees
11.2.1 Animal
Resources, Dept. of
11.2.2 Clinical Cancer Investigations Committee
11.2.3 Clinical Trials Oversight Committee
11.2.4
Conflict of Interest Advisory Committee
11.2.5 Environmental
Health and Safety
11.2.6 Health Sciences Compliance Office
11.2.7
Hospital Infection Control Committee
11.2.8
Institutional
Animal Care and Use Committee (IACUC)
11.2.9 Institutional
Biosafety Committee (IBC)
11.2.10 Institutional
Review Board (IRB)
11.2.11 Purchasing
Department
11.2.12
Radiation Safety Committee
11.2.13
Radioactive Drug Research Committee
11.2.14
Radiological Health Department
11.2.15 Reactor Safety Committee
11.2.16 Research Misconduct Committee
11.2.17 Resource for Genetic and Epidemiologic Research Committee
11.2.18 Technology Commercialization Office
11.3 Other Contacts
11/30/00
11/30/00
11/21/00
15.1 Policy and Procedures
Policy Statement - Cost Share Requirements
2/23/01
Procedures for Matching for State of Utah Center of Excellence
Grants 12/2/99
Policy Statement - Program Income
9/8/99
Policy
Statement- Sub-Award 11/15/99
15.2 Memorandums and Information 4/13/00
Research Fact Sheet
Memorandum - Cost Sharing/Matching Funds for the
Office of the Vice President for Research
Memorandum - Consultant or Employee: How to Tell the Difference
Memorandum - Publication Confidentiality/Conflict of Interest
and
Graduate Students: A Reminder
Memorandum - Grant Submission Deadline to the Office of
Sponsored Projects
Memorandum - Notice of 24-Hour Lead Time for Proposal Submissions
Memorandum - Overnight Mail
Memorandum - Negotiated F&A Rate Change
Memorandum - Undergraduate Student Waivers
DHHS F&A Rate Negotiation Agreement
Memorandum - University of Utah Treatment of Fringe Benefits
Applicable to Grants and Contracts
DHHS - Multiple Project Assurance M-1082
Facilities and Administrative Cost Information
Memorandum - E-mail Submitted Proposals
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of Contents