Principal Investigator Award Certifications and Assurances
As the Principal Investigator for a sponsored Award (defined below), I hereby certify that the following certifications are true, complete and accurate with respect to the Award:
- I have read and will comply with the guidance in Part II of the Frevvo Form (entitled the “Award Review Checklist and PI Award Acceptance“) that I received electronically from the Office of Sponsored Programs (“OSP“) including, without limitation, the “notes” sections.
- I have read and will comply with the award document(s), including all attachments, exhibits and clauses incorporated by reference (the “Award”). In particular, I understand and will comply with all reporting, publication, recordkeeping and audit requirements in the Award (e.g., report types, report deadlines, publication acknowledgments and disclaimers, provide Sponsor access to records). The Award including, without limitation, the Statement of Work (“SOW”), is acceptable to me.
- I understand and agree that the segment strings identified as the “Surplus/Deficit” account(s) during my proposal submittal and award acceptance process will be charged the entirety of all deficits related to my award. Examples of when costs will be charged to the Surplus/Deficit account(s) include, without limitation: (1) expenses allocable to the award exceed the award amount; (2) the sponsor disallows costs for any reason (e.g., pre-award expenses, such as those on an Advance Department ID/Advance Spending Request, are not allowed; the start date is different than expected; the wrong type(s) of costs are charged to the award; costs are deemed unreasonably high); (3) unrecoverable accounts receivable or “bad debts”; and (4) unmet committed cost-share.
- I will comply with all applicable University and Sponsor policies and all applicable Federal, state and local statutes, regulations, ordinances, rules and policies governing this funding. In addition, I will ensure compliance on the part of personnel working on this Award.
- Those performing the Award including, without limitation, all staff, students and/or post-doctoral researchers: (1) are able to meet the terms and conditions required (e.g., SOW and/or deliverables can be completed within the time period specified); and (2) have received or will receive instruction in the responsible and ethical conduct of research. [i]
- Either: (1) my effort committed to the Award does not create any over-commitment in my overall workload nor violate Sponsor effort commitment policies; or (2) I have resolved any over-commitment issues resulting from my effort on the Award with the appropriate departmental and college personnel and have documented the resolution. If any over-commitment issues arise during the performance of the Award, I will resolve the over-commitment issues by working with the appropriate departmental and college personnel and I will document the resolution. Where required, I will/have receive(d) Sponsor approval for any reduction in effort.
- Commitment of University resources required for successful completion of the Award has been obtained from those authorized to do so as specified in the Frevvo form.
- I do not have an actual personal financial conflict of interest (“COI”) involving the Award, and no reasonable person would perceive me to have a COI. If you have questions about this, please contact John McDonald in the Office of Institutional Compliance and Ethics (“OIC&E“) at (208) 426-1252 or email@example.com. I have filed my initial COI/OCI disclosure or have updated my previous COI/OCI disclosure as required by University policy. [ii]
- All applicable research compliance approvals (e.g., IRB, IACUC, IBC, EHS) have been obtained prior to start of the Award or will be obtained prior to commencing the portion of the Award requiring such compliance approvals. I understand I must seek guidance from the Office of Research Compliance (“ORC”) regarding whether research compliance approvals and associated protocols are required for the Award. Further, in the performance of the Award, I will not produce, acquire, retain or possess any biological agent, toxin or delivery system of a type or in a quantity that, under the circumstances, is not reasonably justified by a prophylactic, protective, bona fide research or other peaceful purpose. [iii]
- If I plan international travel or if the Award involves export controlled goods and/or technology, I will seek, review and comply with export controls guidance from OIC&E. If you have questions about this, please contact John McDonald at (208) 426-1252 or firstname.lastname@example.org.
- I agree to promptly disclose to Katy Ritter in the Office of Technology Transfer (“OTT”) all inventions and copyrightable works developed under the Award; she is available at (208) 426-5765 or email@example.com). I understand that if the Award is a Federal prime award or subaward with Federal funding: (1) the Federal government reserves a nonexclusive, nontransferable, irrevocable and paid-up license to practice or have practiced for or on behalf of the United States the disclosed intellectual property throughout the world; and (2) during the Award Closeout process, I will be required to complete final reports/certifications regarding inventions and copyrightable works. Further, if it is a generally accepted or best practice in my discipline or area of research, I agree to properly maintain a laboratory notebook to establish a record of any intellectual property developed thereunder. I understand that: (1) OTT will request a copy of my laboratory notebook when I disclose inventions and copyrightable works; and (2) that my failure to maintain a laboratory notebook may cause OTT to make a business decision to not seek patent or copyright protection when I have not adequately documented my work.[iv]
- No portion of the Award funds has been or will be used for lobbying activities, which cannot be charged directly or indirectly to Federally-sponsored projects.
- Campus officials who submit requests for reimbursement of direct costs incurred on Federally-funded projects must certify that costs incurred under the Award are allowable, accurate and complete. Therefore, I understand that in my role as Principal Investigator, I must approve certain invoices, financial reports and expenditures prior submission or payment.
- I understand that materials I produce (e.g., reports) and submit to the Federal government, State governments and other countries may be subject to public disclosure under the Freedom of Information Act (“FOIA”), the Idaho Public Records Act (I.C. §§ 74-101 to 74-126), court-issued subpoena or similar legal requirement. I understand I may contact the Office of General Counsel for guidance.
- I understand that if any payments are made to or on behalf of foreign nationals (e.g., travel costs, honoraria), the payment requests will be reviewed and approved by Accounts Payable prior to payment. Please contact firstname.lastname@example.org if you anticipate payments to foreign nationals.
- To the best of my knowledge and belief, I: (1) am not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded by any Federal department or agency; (2) have not within a three-year period preceding this Award (a) been convicted of or had a civil judgment rendered against me for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain or performing a public (Federal, State or local) contract or other agreement, (b) violated Federal or State antitrust statutes or committed embezzlement, theft, forgery, bribery, falsification or destruction of records, (c) made false statements, or (d) received stolen property; (3) am not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in subparagraph (2)(a)–(d) of this paragraph; and (4) have not within a three-year period preceding this application/proposal had one or more public contracts or agreements (Federal, State or local) terminated for cause or default. [v].
- I understand that if my institutional base salary is above the National Institutes of Health (“NIH”) Salary Cap, I may only charge my NIH award (if applicable) amounts up to the NIH Salary Cap. All additional amounts are considered the University’s cost share and must be designated as such on the Internal Budget for my award.
- The statements and information submitted in the proposal resulting in the Award are true, complete and accurate.
- During Award Closeout, I understand that I may be required by the sponsor to complete a property report and/or certification.
Note: If you have any questions about these Principal Investigator Award Certifications and Assurances, please contact an OSP Contracting Officer.
[iv] See, e.g., 2 CFR § 200.315, Intangible Property. The following are some resources regarding laboratory notebooks: University of Texas Arlington, Stanford, MIT.
[v] See, e.g., NSF Debarment and Suspension Certification.