This Important Notice is to establish IU policy regarding significant changes in effort for the Principal Investigator ("PI") or other key personnel on sponsored projects and to outline the roles and responsibilities involved with notification of changes of PI or key personnel effort and requests for approval of such changes.

Sponsor notifcation and approval is normally* required in the following instances:

• Changes in Committed Effort for the PI or Key Personnel:
  • Significant change in the level of effort of the PI or key personnel (generally defined as a reduction of 25% or more from the level anticipated in the approved application)
  • Change in the effort of the PI or key personnel of less than 25% from the level in the approved application, if the change reflects a change in the work scope of the project
  
  
• Changes in PI Status:
  • Short-term absence of PI (less than three momths)
  • Long-term absence of the PI (greater than three months)
  • PI terminates employment with Indiana University

* Sponsor requirements regarding required notification and/or approval can vary. Review your award agreement, the applicable sponsor guidelines, or contact Contract and Grant Administration if you have questions on the terms applicable to your award.

Changes in Committed Effort for the PI or Key Personnel

As grant recipient, Indiana University has the responsibility to notify sponsors of significant changes from the proposed PI or key personnel effort devoted to a project. Although the actual requirement may vary depending on the sponsor, normally a change of 25% or more from the committed effort of the PI or other key personnel on the proposal requires notification of the sponsor. The PI has the responsibility for initiating such notification and all notifications should be routed to the sponsored research office for review, approval, and transmission to the sponsor.

Questions with regard to the specific requirements of notification should be directed to FMS/Contract and Grant Administration. Requests to sponsors must be reviewed and approved by the appropriate sponsored research office prior to submission to the sponsor.

Changes in PI Status

When a PI plans to take a sabbatical, a leave of absence, or terminates his or her employment at Indiana University, the sponsor of any active sponsored award should be notified of the change of status. Notification of changes in status should be done in advance whenever possible but in no case later than 30 days after a PI change in status. Notifications and requests for approval to the sponsor should be routed via an approved route sheet through the applicable sponsored research office.

Short-term absence of PI: An absence of less than three months may require agency notification with arrangements for conduct of the project during the PI’s temporary absence.

Long-term absence of PI: Generally an absence of three months or more will require agency notification and approval.

Withdrawal of PI: In cases where a faculty member is transferring to another institution, it is normally the decision of the unit head (in cases where the PI is the unit head, the decision should be the unit head’s supervisor) as to whether IU will seek sponsor approval to retain the award and name a new PI or to seek sponsor approval to relinquish the award to the institution employing the transferring PI.

Contract and Grant Administration will periodically identify PI’s with active sponsored projects who are no longer at Indiana University. Contract and Grant Administration will follow-up with departments to ensure that appropriate actions are being taken.