05-3 Obsolete

Routing of Sponsored Projects Documents for all campuses
August 25, 2005

This Important Notice is being sent to Fiscal Officers, Chairpersons, Deans and Chancellors.  Please forward to others who have a need to know.

This notice is a revision of Important Notices 03-6 and 03-5 and applies to all campuses.  Proposals to external agencies requesting funds and/or committing University resources (e.g. personnel, space, funds, equipment, etc.) must be reviewed, approved and signed by an authorized University official.

The IU routing form is used to obtain this approval. This form summarizes significant administrative contents of a sponsored program request, indicates special needs, and assures concurrence by the project director’s department, school or unit administration.  The form is available at http://www.research.indiana.edu/forms/index.html#1b         

A routing form is required for any of the following:

• New proposal
• Renewal proposal – not previously committed
• Renewal proposal – previously committed that requires an authorizing official signature (except for NIH which is included in the group below)
• Supplemental funds  (including income over budget)
• Budget revision to either an active project or pending proposal where any of the following conditions apply:   

·         Increase in funding or cost share

·         Adding a subcontract or significantly increasing the amount of an existing subcontract (greater than 25% of the original subcontract amount or any increase over $25,000, whichever is smaller)

• Change of Project Director or Co-Project Director
• Transfer grant (including Relinquishing Statements)

• Termination of award
• Amendment to decrease award

The above documents will be transmitted only after each person responsible for committing University resources and approving obligations required by the project have indicated their approval by signing the routing form, which accompanies each request.  These documents are routed through the submitting and all collaborating departments, the dean or administrative unit head for each, and then to Sponsored Research Services.  

A routing form is NOT required for any of the following.  However, administrative review by Sponsored Research Services prior to submission to the agency is required.       

• Budget revision with no increase in funds or cost share commitment whether or not an institutional signature is required *
• Time extension *
• NIH Just-In-Time documents (e.g. Other support, human subjects documentation)
• NIH non-competing continuation application
• Change in submitting organization.  A memo requesting the change should be initiated by the project director and approved by the department Chairs and Deans of both the original unit and the new submitting unit.

* Note:  Any extension or revised budget which results in an increase in cost share due to the addition of graduate students will require a route sheet.)

For miscellaneous documents, contact Sponsored Research Services:
    Bloomington – resdev@indiana.edu     (812) 855-0516
    Indianapolis  – rspinfo@iupui.edu        (317) 274-8285     

Neither a routing form nor an administrative review is required for the following:

·          A progress report or non-competing application when no authorizing official signature is required

·          NIH training grant appointment forms and termination notices (send these documents directly to Contract & Grant Administration)

·          Final invention statements (send these documents directly to Contract & Grant Administration)

 

Routing Electronic Proposals:

As more funding agencies develop systems that allow proposals and related documents to be submitted electronically it is easy to lose sight of the routing procedure, especially when funding agencies appear to be encouraging individuals to submit proposals directly to the agency.  Electronic proposals continue to be under the same guidelines as paper proposals and must receive institutional review and approval prior to submission to the funding agency. 

Electronic submissions take various forms including preparation of the proposal directly on an agency’s web site or electronic transmission of files.  In all cases, the appropriate number of paper copies for internal use should be routed for institutional review.  Once approved, the research office will either submit the proposal electronically or notify the project director to proceed with the electronic submission.  Contact Sponsored Research Services at (812) 855-0516 in Bloomington or (317) 274-8285 in Indianapolis for instructions or guidance.

See also: Financial Policy III-20 “Negotiating with Agencies and Routing Proposals” http://www.indiana.edu/~vpcfo/policies/contract/iii-20.html

~~~~~~~~~~~~~~~~~~