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Final Documents Needed to Process an Award

 

Background

When an award document is received in Sponsored Projects and negotiation of the award is complete, the Contracts or Grants Officer must ensure all administrative requirements are in place prior to acceptance of the award and notification to the campus. The most common delays in release of funding include lack of regulatory committee approvals, conflict of interest disclosure, and the award to protocol verification match.

Regulatory Committee Approvals

Most sponsors do not require proof of regulatory committee approval until the award stage. Any scope of work which requires approval from one or more of the regulatory committees, must have approval prior to the release of the award synopsis in most cases. Since most of the UCI regulatory committees only meet once per month, Principal Investigators should submit their protocol applications to the appropriate committee as soon as an award appears to be forthcoming.

If a scope of work includes animal research, approval from the Institutional Animal Care and Use Committee (IACUC) may be required. For more information, please visit the Animal Care and Use Program home page.

If a scope of work includes human subjects research, approval from the Institutional Review Board (IRB) may be required. For more information, please visit the Human Research Protections Program home page.

If a scope of work includes the use of pathogens or recombinant DNA, approval from the Institutional Biosafety Committee (IBC) may be required. For more information, please visit the rDNA Activities Program home page.

Conflict of Interest Disclosure

Depending on the sponsor of a project, Principal Investigators are required to disclose potential conflicts of interest, both financial and in obligation.

For the Public Health Service (PHS) and the National Science Foundation (NSF), as well as those sponsors who adopt the federal requirements, ORA must receive the appropriate disclosure form prior to the acceptance of the award.

For non-governmental sponsors, unless the sponsor is exempt, ORA must receive the appropriate disclosure form prior to acceptance of the award. For non-governmental sponsors, this is forwarded to ORA along with the proposal for review.

In cases where a positive interest is identified, the disclosure must be reviewed by the Conflict of Interest Oversight Committee (COIOC). The COIOC meets once per month. For more information, please visit the Conflict of Interest home page.

Award to Protocol Verification

ORA is responsible for verifying that all federally funded research procedures and activities are authorized by the applicable regulatory committee. This is done to protect both the institution and the investigator from inadvertently spending award dollars to perform unauthorized research procedures or activities in violation of funding agreements (contracts or grants) and/or regulatory requirements. As UCI is subject to unannounced audits by federal regulatory and granting agencies and by private sponsors, it is very important that award information is consistent with regulatory committee approval documentation.

The verification process is completed for federally funded awards within ORA. If any inconsistencies between the approved protocol and the scope of work in the award are identified, the Principal Investigator or Lead Researcher is contact by the Sponsored Research Analyst for resolution. The Sponsored Research Analyst must verify the match prior to release of funding.

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