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April 20, 1995
number 1669
THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL
Office of the Chancellor
Paul Hardin April 17, 1995 103 South Building
Chancellor Campus Box 9100
Chapel Hill, NC 27599-9100
(919) 962-1365 FAX: (919) 9624647
TO: Deans, Directors, and Department Chairs
FROM: Paul Hardin
SUBJECT: Routing of Gifts for Research, Sponsored Program Agreements and Service Contracts
I am pleased to provide you revised procedures for the routing of Gifts for Research, Sponsored
Program Agreements and Service Contracts. These procedures supersede the "Routing of Research
Proposals and Other Research Funding Arrangements" transmitted by Chancellor Fordham in 1986
and the procedures pertaining to the Special Contractual Action Form (C&G Form 1) transmitted by
the Vice Chancellor for Business & Finance in 1987. 1 hope that you find that these changes will
simplify and increase the timely processing of proposals and agreements.
These new routing procedures are intended to result in more timely processing of agreements by
delineating routing paths, clarifying the gift/sponsored program definitions, and reducing the number of
signatures required for routing. A flow chart is included with this packet to help in the implementation
of the procedures (See Attachment 1). These procedures will become effective May 1, 1995. C&G
Form 1, the Internal Processing Form (GA Form 3.81) and the Abstract Form (Form 2.81) for
sponsored programs have been revised to reflect the changes in the procedures. The Laboratory Use of
Hazardous Materials form has also been revised to collect current information. This form is utilized in
those instances where a project involves radioactive materials, potential biological or chemical hazards.
The Intent to Solicit Form should be used in connection with Gifts for Research. Copies of these forms
are attached. Previous versions of these forms are obsolete on the effective date of these new
procedures and should not be used after that date.
Please bring these revised procedures to the attention of those persons within your administrative area
to whom such procedures are pertinent, and please take the necessary steps to assure that these
procedures are followed. If there are questions concerning the procedures, please contact Mr. Jerry
Fife, Director, Office of Contracts and Grants; Telephone 966-2542 or Dr. Robert Lowman, Associate
Vice Chancellor for Research and Director, Office of Research Services; Telephone 966-5625. Thank
you for your cooperation.
JGF/ncb
phardin 04/12/95 The University of North Carolina at Chapel Hill is a constituent institution
of The University of North Carolina
routing 04/12/95
Routing Procedures
For Gifts for Research.
Sponsored Program Agreements and Service Contracts
The University of North Carolina at Chapel Hill
(effective May 1, 1995)
I. Gifts for Research, Sponsored Program Agreements, and Service Contracts
A. Gifts for Research
Gifts for Research (sometimes called grants by the donor) are contributions by
donors, usually non-profit or for profit organizations, to fund research. Funds that
meet all of the following criteria will be considered "Gifts for Research" and should
be processed through the University Development Office.
1. The funds are awarded irrevocably to the institution.
2. The donor does not impose restrictive contractual obligations.
Examples of restrictive contractual obligations that would not be
consistent with "research gifts" include but are not limited to the
following:
a. Patent, copyright or other intellectual property
provisions.
b. Detailed financial or technical reports.
C. Publication provisions.
d. Audit Requirements
3. There is no commitment of direct project personnel effort to
accomplish project objectives.
4 Examples of gifts for research are those that are designated for certain
types of scholarly endeavors but are otherwise free of the restrictions
listed in A.2. above. Gifts for research would include, but are not
limited to, the following:
a. A gift that is designated for the general support of a faculty
member's particular research, e.g. Professor X's cystic
fibrosis research.
b. A gift designated for a department, unit or school to support
research in a general academic area, e.g. Asian history.
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C. A gift that is designated to support a particular study or activity,
e.g. department X's organization and sponsorship of a
professional symposium.
B. Sponsored Program Agreements
Sponsored Program Agreements refer to research, instruction and public
service grants and contracts undertaken pursuant to a proposal submitted by
the investigator that specifies the line of inquiry. Such arrangements require the
prior approval of the University and the sponsoring agency. Such arrangements
may be in response to a sponsoring organization's request for proposals or may
be submitted at the initiative of the investigator. Sponsored Program
Agreements include but are not limited to research grants and contracts,
training grants, cooperative agreements, fellowships, clinical trial agreements,
commercially sponsored grants and contracts, demonstration projects, and
other instructional grants and contracts.
C. Service Contracts
Service Contracts are also undertaken by the University and are not considered
gifts or sponsored program agreements. An example of a service contract
includes those agreements under which the University provides staffing to
other medical facilities.
II. Routing
The determination of the appropriateness of the proposed activities and all programmatic
responsibility for activities undertaken within the scope of this memorandum lies within the
administrative reporting line of the unit up to and including the offices of the Dean and Vice
Chancellor for Academic Affairs or Health Affairs, as appropriate. Responsibility for other
University concerns includes other University offices in addition to the administrative reporting
line. Deans and Directors or their delegates are hereby requested to evaluate activities to be
undertaken pursuant to a Gift for Research, Sponsored Program Agreements or Service
Contract according to these guidelines and to assure that documents are routed according to the
channels prescribed herein. Attachment 1 presents the routing paths for these documents.
A. 1. Gifts for Research Proposals
Proposals for Gifts for Research, as defined by section I.A. above, will be directed to
the Development Office from the proposing unit using an Intent to Solicit Form. The
Development Office will contact the proposing unit upon receipt of the Intent to Solicit
Form.
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A.2. Gifts for Research Acknowledgements
Any documents accompanying the funded gift will be directed to the Development
Office from the receiving unit. The Development Office will review the gift
documents and will forward the documents to the Vice Chancellor for
Development and University Relations to sign any necessary gift
acknowledgements. An information copy of the document will be furnished to the
Office of Research Services when appropriate
B. 1. Sponsored Program Proposals
Proposals (solicited or unsolicited) expected to result in a Sponsored Program
Agreement (research grant, training grant, cooperative agreement or research
contract) will be routed with an Internal Processing Form (GA Form 3.81) from
the Dean's/Director's office to the Office of Contracts and Grants for fiscal and
administrative review. The proposal will be forwarded to the Office of Research
Services for review of academic matters, compliance review, signature and return
to the unit for transmission to the sponsor.
Faculty members are encouraged to have preliminary discussions with sponsoring
agencies during the development of grant applications. If preliminary discussions
include the transmission of a budget, then this information is also to be routed as
described in the above paragraph.
B. 2. Sponsored Program Agreements
Sponsored Program Agreements should be routed with an Internal Processing
Form (GA Form 3.81) through the process shown on Attachment 1. This routing
requirement includes agreements for which a proposal was not required (for
example, a clinical trial protocol). If a proposal has previously been routed in
accordance with paragraph B. 1. above, proceed to paragraph B.3.. below.
In order to expedite the review process, an advance copy of the agreement should
be forwarded to Contracts & Grants. Contracts and Grants will forward advance
copies to the Office of Research Services, University Counsel and the Office of
Technology Development, as appropriate, to facilitate review and identification of
any issues requiring negotiation with the sponsor. Contracts and Grants is
responsible for review and negotiation of fiscal and administrative matters. The
Office of Research Services is responsible for review and
negotiation of academic and compliance matters. Upon completion of the
negotiations and legal review, the agreement will be forwarded to the Office of
Research Services for official University signature. The Office of Research
Services will provide information copies of the agreement to the Development
Office when appropriate and fulfill its reporting requirements to UNC General
Administration.
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B. 3. Notwithstanding the above, if the sponsor forwards an agreement in response to a proposal that
was routed with an Internal Processing Form then a new Internal Processing Form is not
required. At this stage, the department only needs to provide the Office of Research Services
with updated human subject approvals and lab animal or radiological materials approvals, if
changes have occurred since the proposal was routed. The agreement should be forwarded to
the Contracts and Grants office for further processing.
Agreements for which a proposal was previously routed with an internal processing form and
which do not require University signature in order to accept the award, should be forwarded
directly to the Office of Contracts and Grants for account establishment. Contracts & Grants
will forward a copy of the agreement to the Office of Research Services.
C. Service Contracts
For Service Contracts, the contract will be routed with a C&G Form 1 from the Dean's Office
to the Office of the Vice Chancellor for Business and Finance for legal review and signature.
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Routing Procedures Flow Chart Attachment 1
For 1. Gifts for Research, 2. Sponsored Program Proposals and Agreements and, 3. Service Contracts
1
2
3
Gifts for Research
Intent to Solicit Form Sponsored Program
and Gift Documents Proposals and Agreements Service
Internal Processing Form (IPF) Contracts
Utilized C&G Form 1 Utilized
GA Form 3.81
UNIT Proposal/Agreement NOT Sponsored Program
previously submitted & routed Agreement for which a
with an IPF Proposal was previously UNIT
routed with an Internal
Processing Form
Legal Review Development Office
(Gift acknowledgement) Reviewed (C&G Form 1)
(IPF) Prepared by and Signed by Dean
Department and Signed
by Principal Investigator
Information copy
to ORS when
appropriate Reviewed and IPF Signed by Vice Chancellor, Legal Review
Department Chair Business & Finance
Signature
for Proposals Reviewed and IPF Signed for Agreements
by Dean
Contracts & Grants Contracts and Grants Legal Review
(Reviewed & IPF Signed) (Signature if Necessary)
Office of Research Serv Office of Research Services Office of Research Services
(Signature) Report to Gen. Admin. (Signature if necessary)
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