Steps in the Key Personnel Review & Certifications Process
The Key Personnel Review & Certifications section in the Sponsored Program Intake (SPI) system ensures that all principal investigators (PIs), co-principal investigators (Co-PIs), and key personnel formally acknowledge their responsibilities and agree to institutional compliance standards before final submission of the proposal. This section includes certifications and acknowledgments that each key personnel must approve, which confirm their understanding and agreement to the responsibilities and policies that govern research at UTRGV.
Here’s a breakdown of this process, based on the provided screenshot and supporting documents:
Steps in the Key Personnel Review & Certifications Process
- Accessing the Certification Section:
- Each key personnel involved in the proposal can view and access the Certifications section in SPI.
- A blue Export Proposal (PDF) button at the top allows key personnel to download a complete PDF copy of the proposal. This provides a comprehensive view of the proposal to ensure informed review and agreement.
- Certifying Agreement to Compliance Statements:
- Key personnel are required to review and acknowledge a series of compliance statements. These statements include, but are not limited to:
- Foreign Participation: Confirmation of no participation in foreign-sponsored talent programs, disclosure of any foreign activities or financial interests.
- Truthful Representation: Verification that the proposal contains complete and accurate information.
- Cost Share Confirmation: Acknowledgment that any unaccompanied submission indicates no additional cost share.
- Scientific Conduct and Responsibility: Agreement to fulfill the scientific, reporting, and compliance responsibilities if the project is funded.
- Financial Responsibility: Confirmation that they are not delinquent on federal debt and are not debarred or suspended from federal transactions.
- Lobbying Restrictions: Confirmation of no lobbying activities related to the award.
- Disclosure of Financial Interests: Agreement to disclose any financial interests connected with the project as required by university policy.
- Project Credit: Agreement to the allocated split of project credit.
- HR Approval for Covered Family Members: Ensures HR approval is obtained if UTRGV employees, who are covered family members of the PI or Co-PIs, are involved.
- Key personnel are required to review and acknowledge a series of compliance statements. These statements include, but are not limited to:
- Acknowledgment of Additional UTRGV Responsibilities (VPR Memo):
- The final certification includes an acknowledgment of responsibilities outlined in the VPR Faculty Memo. This memo specifies essential research conduct responsibilities, adherence to Federal, State, and UTRGV policies, and the PI’s role in compliance and safety. It emphasizes the need to provide a safe research environment, manage conflicts of interest, and adhere to ethical research standards(VPR Faculty MEMO Revise…).
- Agreement to Terms and Approval Selection:
- Each key personnel member must select “I have read and I agree to the above Agreements and Terms” to indicate their acknowledgment and acceptance.
- Approval for Submission: After reading and agreeing to the terms, key personnel can confirm, “I confirm I have reviewed this proposal and I approve it for submission.”
- If a key personnel member does not approve, they may select “I do not approve” and must provide comments explaining their decision. This feedback allows the PI and the project team to address concerns before resubmission.
- PI’s Role in Final Approval:
- The Principal Investigator (PI) has the additional responsibility of performing a final review of the proposal before submission. The PI’s approval is essential as it indicates that all certifications, roles, and project requirements have been met.
- If the PI identifies any issues or requires revisions, they may use the comments section to provide feedback to the research team or administrators.
- Sequential Completion for Final Submission:
- All key personnel must complete their certifications and approvals before the proposal can move forward for final submission.
- Once all certifications are completed and approved, the proposal status updates to indicate readiness for submission, signaling that it is compliant with institutional standards.
- Final Submission to Sponsor:
- After all key personnel have approved the proposal, it proceeds to the Office of Sponsored Programs (OSP) for a final check. Once OSP completes their review, the proposal is officially submitted to the external funding agency.
Key Considerations in the Key Personnel Review & Certifications Process
- Accountability and Compliance: The certifications serve as a formal agreement to institutional, federal, and ethical guidelines, ensuring that key personnel understand their responsibilities.
- Transparency and Documentation: Comments and approvals are recorded within the SPI system, creating a transparent and documented record that can be reviewed for compliance or accountability.
- Feedback and Iteration: The option to disapprove with comments enables a feedback loop, allowing key personnel to address issues, thereby enhancing the proposal’s quality and compliance.
- Adherence to UTRGV Policies: The certifications also reiterate the institution’s commitment to research integrity, safety, and compliance with UTRGV-specific guidelines and federal regulations(VPR Faculty MEMO Revise…).