Staff Sponsored Projects Services Contact Us FAQs Principal Investigators Handbook Proposal Preparation Post Award Administration Forms/Other
Sponsored Projects at The University of Arizona Staff Forms/Other Post Award Administration Proposal Preparation Principal Investigators Handbook

Handbook for Principal Investigators

Table of Contents

Research Policies

Letter from Leslie P. Tolbert
Code of Research Ethics
Conflict of Interest Policy
Direct and Indirect Costs of Sponsored Agreements  
Other Research-related Policies  
UofA Standard Agreements  
UofA Indirect Cost Rate Agreements  
Research Guidelines for Participation as a UA Principal Investigator  
Non-Federal Payment Policy  
Large Proposal Policy  
NIH UA/Veterans Affairs Joint Appointment Policy  
Agreement Matrix: Types of Agreements & Examples  



Introductory Section:

Definition of a Sponsored Project
Definition of Principal Investigator (PI)

The Proposal:

Identifying Sources of Funding
Types of Proposals
The Contents of a Proposal

Format of the Proposed Budget

Budget Cost Categories:
Salaries and Wages
Employee-related Expenses (ERE)
Supplies and Materials
Consultants (Independent Contractors)
Administrative Costs
Subcontracts (Subrecipients)
Student Support
Fabrication of Equipment
Indirect Costs

Modular Budget Format

Sample Budget: One Year
Sample Budget: Multiple Years
Preaward Issues:

Cost Sharing and Matching
Program Income
Laboratory Space
Conflict of Interest
Representations and Certifications
Credit for Awards
Distribution of Indirect Cost Revenue
Proposal Audits and Site Visits
Transferring a Grant from Another University
Negotiating the Grant

Regulatory Review

Export Control
Hazardous Materials
General Biohazards
Recombinant DNA/Microbial Pathogens/Human Tissues
Animal Subjects
Human Subjects
Radiation Safety

Submitting the Proposal:

Preparing Proposal/Budget in UAccess Research
Meaning of Approvals on the Proposal
Routing the Proposal to Sponsored Projects Services
Electronic Submission of Proposals
Mailing the Proposal
Filing and Archiving the Proposal
Summary of Responsibilities for the Principal Investigator


Types of Agreements:

Unrestricted Gift
Restricted Gift
Cooperative Agreement
Sponsored Research Agreement
Services Agreement
Cost-reimbursement Contract
Fixed-price Contract
Purchase Order
Materials Transfer Agreement
Biological Materials Transfer Agreement
Confidentiality Agreement
Collaboration Agreement
Clinical Trial Agreement
Liability for Conducting Research Without a Sponsored Research Agreement

Contract Process:

Routing the Proposal
Drafting the Agreement
Negotiating the Agreement
Signing the Agreement
Intellectual Property Issues
Checklist of Required Documents for Processing a Contract


Setting Up the Account:

Preaward Costs
The Award Document
Loading the Account Budget
Setting up Filing System


Resources for the Research Administrator

Spending the Award:

Allowable Costs
Proposal Costs

Personal Services:

Effort Reporting
Supplemental Compensation
Compassionate Transfer of Leave
Fringe Benefits
Graduate Research Assistants

Other Operating Costs:

Consultants and Speakers
Entertainment vs. Business Meeting Expenses
Administrative Costs
Operational Advances
Student Support
Subject Pay
Indirect Costs

Fiscal Responsibilities:

Cost Transfers
Calculating the Available Balance
Cost Sharing
Program Income
License Fees and Royalties
Carryforward of Unobligated Balance to Continuation Year
Financial Status Reporting
Cash Management

Technical Responsibilities:

Data Ownership
Access to and Retention of Scientific Research Protocols and Data
Changes in the Project
Changes to Key Personnel
Change in Scope or Objectives
Transfer of Programmatic Effort
Change in Effective Date
No-cost Extension
Procedure for Requesting Sponsor Approval

Property Administration:

University-titled Equipment
Federally-titled Equipment
Property Records for Equipment
Replacement of Equipment
Deliverables to Sponsor
Use of University Equipment for Non-university Purposes
Loss, Damage, or Theft of Equipment
Property Control Systems Analysis

The End of the Project:

Allowable Expenditures Near the End of the Project
Allowable Expenditures After the End of the Project
Termination before the End Date
Transfer of the Project to Another University
Contract Closeout Documents
Final Financial Report
Final Technical Report
Refunds to Sponsor
Remaining Balance on Fixed Price Accounts

Audits and Investigations:

Audit Letter:
Role of the Auditor
Role of Central Administration
The Audit Process
Audit Tips

Sponsored Projects Services is a unit of the
Office of the Senior Vice President for Research

Mailing Address:
PO Box 210158, Rm 510
Tucson, AZ 85721-0158

Express Mail Address:
888 N. Euclid Ave, Rm 510
Tucson, AZ 85719

Phone: (520) 626-6000
Proposal Fax: (520) 626-4130
Post Award Fax: (520) 626-4137

The University of Arizona
All contents copyright © 2011. Arizona Board of Regents.