Principal Investigator Checklist

Many, if not all, of the following are included in your responsibilities as a Principal Investigator. If you would like to print a version of this checklist, without the narrative, click here. Adobe Acrobat Reader is required to read this file.

Prepare proposal – Assistance is available from the program officer at the sponsoring agency, Associate Dean and staff, your Department Head and designated support staff per department. The Office of Research has provided Proposal Help.

Negotiate the scientific terms with the sponsoring agency – Assistance is available from the Associate Dean and staff in conjunction with the Office of Research. A directory of Grants and Contracts contacts in the Office of Research is available.

Negotiate financial terms with the sponsoring agency - Assistance is available from the Associate Dean in conjunction with Office of Research and Office of Sponsored Projects Accounting.

Ensure project objectives are completed - You are responsible. Your Internal and/or external evaluators should be able to provide data and the Program Officer at your funding agency can direct you to the applicable guidelines.

Supervise employees assigned to the project - Employees assigned to your project are employees of the University and therefore, subject to all pertinent regulations such as performance reviews and employee benefits.

Another issue that may arise concerns regulations on "Export Control." If you have foreign nationals as graduate students or are working internationally, these regulations come into play. For guidance on these issues, contact Robin Witherspoon, Office of Research.

Ensure compliance with performance regulations (ex. restrictions on animal subjects, environmental regulations, etc.) - You and your internal and/or external evaluators in conjunction with Office of Research. The person most knowledgeable is Brenda Lawson. Compliance forms are available online.

Know when to submit technical reports to sponsor - You are responsible for this. Your Internal and/or external evaluators should be able to provide data and the Program Officer at your funding agency can direct you to the applicable guidelines.

Prepare and submit technical reports to sponsor - You are responsible for this. Your Internal and/or external evaluators should be able to provide data and the Program Officer at your funding agency can direct you to the applicable guidelines.

Ensure that expenses are allowed by the grant/contract - All expenses charged to the grant/contract must be allowable within a budget line in the negotiated budget. For example, if there is no line item for travel, no travel can be charged to the account. Many grants do not allow equipment purchases. You must determine the accepted definition of equipment by the funding agency and the University to decide if a proposed expense is allowable.

Ensure that expenses are allowed by OMB Circular A-21 - Information about OMB Circular A-21 is available within the policy for Sponsored Programs and Grants.

Ensure that expenses are not prohibited by other regulations, such as rules of the Sponsor. Check with your program officer for the appropriate guidelines. These are usually available on-line.

Ensure that appropriate document/approvals have been secured for all expenses.
Forms needed for the various activities including contracts, subcontracts, expense, are provided through the Office or Research web site.
The following college-specific forms are also available online:

• CEHHS Entertainment Approval Form
• CEHHS travel policy and links to forms

  Approve expenses made on the project - You or your approved designate must sign off on all expenses.
  Link to Univeristy of Tennessee Policy on Approvals
  Link to University of Tennessee Fiscal Policy 115 (Reconciling and Reviewing Departmental Ledgers)

  Review IRIS General ledgers-R accounts - you must sign off on reconciled ledgers monthly. A Guide to the reports available through IRIS is available online

  Monitor expenses to ensure the award amount is not exceeded - You and your staff must monitor current expenses and projected expenses to ensure that the budget is adhered to.

  Ensure that the sponsoring agency receives required reports at the end of the grant or contract (such as lists of equipment purchased with grant/contract funds) - You are responsible for this. Your internal and/or external evaluators should be able to provide data and the Program Officer at your funding agency can direct you to the applicable guidelines.

  Request additional funds or time extensions from agencies as needed - Assistance is available as per your funding agency with help from Office of Sponsored Projects Accounting

  Ensure that accounts are closed appropriately and timely.  Fiscal Policy guiding these issues are #205 and #220 and may be found at:

  Fiscal Policy 205: Sponsored Grants and Contracts
  Fiscal Policy 220: Cost Transfers

  The Fiscal Officer for the CEHHS Business Office, and Office of Sponsored Programs Accounting will assist you with any questions regarding grants or contracts and with the procedures for closing accounts within federal and state guidelines in a timely manner.

Contact CEHHS

335 Claxton Complex
1122 Volunteer Boulevard
Knoxville, Tennessee 37996

Phone: 865-974-2201
Fax: 865-974-8718