Routing of Sponsored Programs Documents at Indiana University
SPA-11-018
About This Policy
- Effective Date:
- 07-01-2012
- Date of Last Review/Update:
- 05-28-2020
- Responsible University Office:
- VP for Research
- Responsible University Administrator:
- Vice President for Research
- Policy Contact:
Steve Martin
Associate Vice President for Research
stemarti@iu.edu
- Policy Feedback:
- If you have comments or questions about this policy, let us know with the policy feedback form.
Scope
This policy applies to all Indiana University faculty, staff and students involved in the development or submission of documents related to externally funded sponsored programs.
Policy Statement
It is the policy of Indiana University that all proposals and documents related to externally funded sponsored programs be properly routed through the department, school and the appropriate campus office of the Office of Research Administration (ORA) before any commitments are made.
Reason for Policy
This policy is to provide direction to prevent unauthorized commitments of institutional resources and for the proper routing of documents related to externally funded sponsored programs.
Procedures
Proposals and other documents to external agencies requesting funds and/or committing University resources (e.g. personnel, space, funds, equipment, etc.) must be reviewed, approved and signed by the Office of Research Administration. The Kuali Coeus (KC) Proposal Development document is used to obtain this approval. Kuali Coeus can be accessed at one.iu.edu or from the ORA website. The KC Proposal Development document summarizes significant administrative and budgetary contents of a sponsored program request, indicates special needs, and assures concurrence by the project director's department, school or unit administration.
A routing form is required for any of the following:
- New proposals (including projects transferring to IU) and resubmissions
- Competing renewal/continuation proposals
- Supplemental funds request (including task orders, or increases in proposed funding prior to the award being received)
- Cost Share Only proposals for Federal/Federal Pass Through projects
- Budget revisions involving an increase in cost share (only if submitting to the sponsor)
- Change of Project Director or Co-Project Director
The above documents should be submitted to the external sponsor only after the associated KC Proposal Development document has been reviewed and approved by each unit responsible for committing University resources and approving obligations required by the project. Approvers include the submitting unit and all collaborating units, the dean or administrative unit head for each, and ORA Proposal & Award Services.
A KC Proposal Development document should not be used and is NOT required for any of the following. However, at least four business days is needed for administrative review and approval by ORA is required prior to submission to the sponsor.
- Pre-proposals requiring a detailed budget and/or a signature from an authorizing official
- Budget revisions with no increase in funds or cost share commitment whether or not an institutional signature is required
- Progress Reports submitted by ORA
- No-cost extensions
- Just-In-Time documents (e.g. other support, human subjects documentation)
- Non-competing continuation applications
- NIH training grant appointment forms and termination notices
- Addition of a subcontract or significantly increasing the amount of an existing subcontract
- Budget revisions requiring sponsor approval to either an active project or pending proposal
- Any request requiring prior approval from the funding sponsor
- Grant Transfers from IU/Relinquishing Statements
- Termination of award
- Amendment to decrease award
- Change in lead IU unit.
- A memo requesting the change should be initiated by the project director, approved by the department Chairs and Deans of both the original unit and the new submitting unit, and provided to ORA.
For miscellaneous documents, contact ORA Proposal & Award Services.
Sanctions
Failure to adhere to this policy and procedures may result in delays or non-submission of sponsored program documents by the Office of Research Administration.
History
Replaces:- III-20 "Policies Related to Contract and Grants Administration: Negotiating with Agencies and Routing Proposals"
- III-50 "Policies Related to Contract and Grants Administration: Changes Requiring Agency Approval"
- Important Notice 06-3 "Routing of Sponsored Projects Documents for the Indianapolis Campus, IUPU Columbus, and the Regional Centers for Medical Education"
- Important Notice 06-4 "Routing of Sponsored Projects Documents for University Administration, Bloomington, East, Kokomo, Northwest, South Bend and Southeast Campuses"
Updates:
- Updates version of this policy dated 07-01-2012
Previous Versions: