Forms, Policies and Guidelines

Below are various institutional and federal forms, policies, and guidelines required for conducting research. These documents may aid with compliance, grant applications, or understanding regulations. You will need Adobe Acrobat Reader to access some of these forms. If you do not have Adobe Acrobat Reader currently installed on your computer, download and install the program.

Forms

Pre-Award Forms

Forms
Institutional Letter Requests (InfoReady)
Internal Seed Grant Budget Template (XLSX)
Subrecipient Project Information Form [FDP] (PDF)
Subrecipient Project Information Form [Non-FDP] (PDF)
Subrecipient Contractor Determination Form (PDF)
LS Resource Commitment Form (PDF)
Domestic Subrecipient Profile Questionnaire [required if no Uniform Guidance Audit] (DOCX)
Foreign Subrecipient Profile Questionnaire [required if no Uniform Guidance Audit] (DOCX)

Post Award Forms

Forms
Cost Transfer Request Form, Instructions, and Templates (XLSX)
No Cost Extension Request Form (PDF)
Budget Transfer Worksheet (XLSX)

Conflict of Interest in Research and Intellectual Property

Forms
Outside Activity Form (PDF)
Guidelines to Professional Consulting Activities and Agreements (PDF)

Export Control

Forms
Sponsored Research Export Control Checklist (PDF)
Certification of Temporary Export of UTSA Property and Review of U.S. Export Control Regulations (PDF)
Removal of UTSA Equipment (Inventory Department) (PDF)
Export Control Related Activity Assessment Request (International Shipping/Transactions) (PDF)
Technology Control Plan Questionnaire (PDF)
Foreign Visitors Approval and Screening Form (PDF)

Visiting Scholars and Visiting Researchers

Forms
Visiting Scholar/Researcher Approval and Screening Form (PDF)
Visiting Scholar/Researcher Agreement Form (Example) (DOC)

Commercialization

Forms
Invention Disclosure Form (PDF)
Student Project Acknowledgment Form (PDF)
Student Project Decision Flow Chart (PDF)
Basic IP Overview (PDF)
UTSA Inventor’s Handbook (PDF)
Copyrights (PDF)
Trademarks (PDF)
UTSA New Venture Incubator Procedures (DOCX)
UTSA New Venture Incubator Applicant Review Form (DOCX)
UTSA New Venture Incubator Application (DOC)
UTSA New Venture Incubator Safety Checklist (DOCX)

Policies

Conflict of Interest in Research and Intellectual Property

UTSA
HOP 10.04 Conflict of Interest in Research and Intellectual Property
HOP 1.33 Conflict of Interest, Conflict of Commitment, and Outside Activities
HOP 10.12 Sponsored Programs Administration

Intellectual Property
HOP 10.15, Management, Use and Commercialization of UTSA Intellectual Property
UT System Rules and Regulations of Board of Regents Rule 90101

Federal
Code of Federal Regulations Title 42, Chapter I, Part 50, Subpart F (PDF)
Code of Federal Regulations Title 45, Chapter A, Part 94 (PDF)

State of Texas
Chapter 572, Government Code (Personal Financial Disclosure, Standards of Conduct, and Conflicts of Interest) (PDF)

UT System Board of Regents Rules
Regents’ Rule 30103 Standards of Conduct
Regents’ Rule 30104 Conflict of Interest, Conflict of Commitment, and Outside Activities

UT System Policy Library
UTS175: Disclosure of Significant Financial Interests and Management and Reporting of Financial Conflicts of Interest in Research
UTS180: Conflicts of Interest, Conflicts of Commitment, and Outside Activities
UTS134: Code of Ethics for Financial Officers and Employees

Export Control

Policies
Handbook of Operating Procedures – Chapter 10, Section 10.1, Export Controls
Sanctions Programs and Country Information

Responsible Code of Research

Policies
UTSA HOP 10.02 Misconduct in Research or in Other Scholarly Activities
National Institutes of Health – New Mandate in the Training of Responsible Conduct of Research (Effective January 25, 2010)

Visiting Scholars & Visiting Researchers

Policies
1.34 Visiting Scholars and Researchers

Data Ownership

Policies
Research and Other Sponsored Projects Data or Record Ownership and Retention

Federal

Policies
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Office of Management and Budget – Circulars: Educational and Non-Profit Institutions Documents (OMB Circulars A-21, A-110 and A-133)
Code of Federal Regulations
NSF Policies & Guidance
NIH Grants Policy & Guidance

Guidelines

Research Recharge Service Center

Guidelines
Research Recharge Service Center Guidelines (DOCX)
Appendix A – Research Recharge Center Information Sheet (XLSX)
Appendix B – Sample Rate Calculation (XLSX)
Appendix C – Sample Invoice (XLSX)
Appendix D – UTSA Project Agreement (DOCX)
Appendix E – UTSA Unilateral Agreement (DOCX)

Conflict of Interest in Research & Intellectual Property

Guidelines
Who Must File a Disclosure?
What must be included in my Disclosure of Financial Interest under the Research Conflict of Interest and Intellectual Property policy (HOP 10.04)?
Financial Conflict of Interest: NIH Guide Notices
UT System Requirements for Financial Conflicts of Interest in Research

Export Control

Guidelines
Commerce Control List (CCL)
United States Munitions List (USML) (PDF)
Countries of Concern
UTSA Procedures on Shipping Biological, Chemical and Radiological Materials (PDF)
Guidelines and Processes Relating to Visiting Scholars and Researchers (PDF)

Responsible Conduct of Research

Guidelines
UTSA Responsible Conduct of Research

Visiting Scholars & Visiting Researchers

Guidelines
Guidelines and Processes Relating to Visiting Scholars and Researchers (PDF)

Commercialization

Forms, Policies and Guidelines

Forms, Policies and Guidelines

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Forms

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