Sponsored Project Internal Routing Form
Instruction Sheet
1. Investigator Information: Enter the last name and first name of the Principal Investigator (PI), co-PI(s) and all
other key personnel involved in the project. Identify effort provided by the Principal Investigator and other key
personnel for the first period budget, regardless of whether or not funds are requested from funding agency to
support PI or key personnel time. If no funds are requested to support PI and key personnel time identified, check
the box “no salary charged.” NOTE: Generally, a Principal Investigator/Project Director is expected to provide at
least 1% effort to direct/supervise project activities. If cost-sharing is for internal purposes only and will not be
included as part of the official proposal submission, please do so note under cost share sources/CSUF. For those
boxes marked “Release/Reassigned Time” and “Overload Time”, provide the name of the faculty requesting the
time, the semester or semesters in which the time will be provided (i.e. Spring 2015), the type of time requested,
and the percentage of time or the number of units of released/reassigned time being requested.
Important Reminder to PIs when project involves undergraduate and graduate students, and post-docs:
While training plans are not necessarily required to be included in a submitted proposal, by submission of this
routing form, you confirm that at the time of proposal submission, you will have a plan to provide appropriate
training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students
and postdoctoral researchers who will be supported to conduct research. This plan should be available and may
be subject to review by sponsor upon request.
2. Sponsor Name: Enter the name of the funding source. Identify specific sponsor institute or division (as
applicable), funding opportunity/program name (e.g., Title V, Career, FIPSE, RO1, etc.), and funding opportunity
number. Identify CFDA number for federal grants or federal flow-through (for example, proposal is for subcontract
from UCLA, and Prime funder is NSF).
3. Project Title: Enter a descriptive title of the proposed project.
4. Funding Source: Check the box that best categorizes funding stream. Check:
Federal- if funding is directly received from any agency of the United States federal government
Federal Flow-Through – if funds are received from an institution to which proposal is directly submitted, but
primary source of funding is a Federal agency. For example, submission is a subcontract proposal to UCLA
(direct funder), and the Primary source of funds is NSF.
State of California – if funding directly from any agency of the State of California.
State Flow-Through –if funding from a CA state agency is received through another institution. For example,
submission is a subcontract to UCLA, and prime funding source is California Department of Education.
Local-Any other state, county, municipality, or other local government entity in the United States, including
Community Colleges and Public School Districts (“LEAs”).
Business/For Profit- domestic for-profit organizations.
Non-Profit/Private Foundation-Domestic or foreign nonprofit foundations and organizations.
Foreign – entities outside of the United States.
Special note: There are situations where a subcontract proposal is funded by a private Prime Funding Source.
In situations where a prime funding source is private, subcontract proposal where the primary source of funding is
private, should be identified as private. For example, a
subcontract proposal to UCLA where the prime funder is Ford Foundation should be marked as “non-profit/
private foundation.”
Private-Individual – donations from individuals. Award is stewarded by the Philanthropic Foundation.
Private-Alumni – donations from CSUF alumni. Award is stewarded by the Philanthropic Foundation.
5. Type of Proposal: Check the appropriate box to indicate whether the project will be a grant, contract or a
subcontract. If contract or subcontract, also specify whether the sub/contract will be a fixed price sub/contract
(sponsor may not require a detailed budget) or cost reimbursement sub/contract (sponsor requires a detailed
budget and will reimburse in increments). For internal purposes, a detailed budget is required in both cases.
6. Special Funding: If the funding is an earmark/congressionally directed, or includes ARRA funds, please check
the box to indicate.
7. Kind of Application: Indicate the type of proposal or project that is being submitted for review.
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8. Type of Project: Check the box that best describes the nature of your project.
Basic research – undertaken primarily to acquire new knowledge without any particular application or
use in mind.
Applied research – conducted to gain the knowledge or understanding to meet a specific, recognized
need.
Research Development – the systematic use of the knowledge or understanding gained from research
directed toward the production of useful materials, devices, systems, or methods, including the
design and development of prototypes and processes.
Public Service – proposals that include expenses for activities established primarily to provide
non-instructional services beneficial to individuals and groups external to the institution. (E.g.
Conferences, institutes, general advisory service, reference bureaus, and similar services provided to
particular sectors of the community.)
Scholarships & Fellowships – trainee stipends, tuition and fee waivers, and grants awarded to the
institution primarily to support scholarships
Curriculum Development/Instruction – Funds are awarded to assist faculty in developing new
curriculum, redesigning programs and courses, and accomplishing other activities related to teaching and
learning.
Student Services/Support – proposals whose primary purpose is to contribute to students emotional
and physical well-being and to students’ intellectual, cultural, and social development outside the context
of the formal instructional program.
Equipment – proposals that request funding or support primarily for equipment or instrumentation.
Construction – Capital assets under construction or development that have not yet been placed into
service, such as a building or parking lot.
Training – an award to support costs of furthering the education of personnel, often faculty & students.
9. Sponsor Deadline: Check the box that appropriately describes the type of deadline and enter the deadline or
target date for the submission of the grant proposal or contract.
10. Rate Applied/IDC Base and Location of Project: Indicate what IDC rate will be applied to this award. (Specify
the type of IDC base.) Select box if project will take place “ON” or “OFF” campus. If off-campus, specify
location(s). SEE APPLICABILITY OF RATES ON PAGE 5.
11. Brief Description of Project: Enter a 2-3 sentence description of the proposed project. Please provide a
description that can be used by the university’s Public Affairs office in their press releases.
12. Total Funds Requested: Enter the proposed budget amounts in the appropriate spaces.
13. Proposed Project Period: Enter the proposed project period for the entire length of the project. It is
recommended to allow time for preparation of project as well as completion of reports. Generally, for federal
proposals, a 6 to 9-month review/processing period is recommended, unless specifically stated in the proposal
guidelines. For example, for a submission deadline of October 1, the proposed start date would not be earlier than
March 1 the following year. (Note: for multi-year projects, please enter the start date for first year and end date for
the last year of the project).
14. Cost Sharing: Enter the proposed cost sharing/matching amount in the appropriate space(s) and the source(s)
of the funds. Also indicate whether the funds proposed are in-kind (non-monetary) or cash. (Note: The OGC
recommends that only the minimum amount of cost sharing required by the sponsor be reflected in the proposal
budget.)
15. Additional Budget Information & Resources: Check the appropriate box if the proposed project involves any
of the listed items. For boxes marked “Equipment Purchases”, “Additional or Renovated Space”, “Special
Facilities”, and “Other”, enter the associated estimated costs and the source of those funds in the spaces
provided. Choose “Equipment Purchases” if unit is a large piece of equipment where space is needed to house it.
16. Intellectual Property: If applicable, indicate whether the proposed project may involve a copyright, patent,
trademark, or other form of intellectual property.
17. Verification of Compliance: Check the appropriate box for each item of compliance. If approval has been
received enter the date of approval and the protocol number in the space provided. If project includes “Health &
Safety/Chem./Radioactive Materials”, please contact the CSUF Environmental Health and Safety office at
http://ehis.fullerton.edu/ContactUs.asp.
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18. Involvement of Students: Please identify if CSUF students will be involved in the proposed project, whether as
paid assistants or as unpaid participants.
19. Involvement of Post doc(s): Mark YES as applicable. If the post-doctoral researcher is identified at the proposal
stage, please specify name and expected % effort of the researcher. Otherwise, write TBH and the expected %
effort.
20. Risk Management Review Items: In accordance with Executive Order 890, Administration of Grants and
Contracts in Support of Sponsored Programs, please carefully review and respond to each specified item detailed
in the listing of Risk Management Review Items. Special clarifications, listings, and references are provided on
Page 3.
Most of the Risk Management items are self-explanatory. If the proposed project involves the use of and/or access or
exposure to any of the items identified in this section, mark YES. Otherwise, check NO. For inquiries or requests for
clarification of applicability of any risk management items, please contact University Risk Management at
http://riskmanagement.fullerton.edu/ or the Office of Environmental and Health Safety (EHIS) at
http://ehis.fullerton.edu/ContactUs.asp.
General clarifications and examples:
Consultants, Collaborators, partners: Mark YES if this project includes hiring of non-CSUF outside consultants or if
this project requires written agreements (e.g. Memorandum of Understanding, Non-Disclosure Agreement, Intellectual
Property Agreement, etc.) with Collaborators or Project Partners besides the Sponsor. Otherwise, mark NO.
Subcontracts: Mark YES if this project includes subcontracts to other institutions. Otherwise, mark NO.
ENVIRONMENTAL HEALTH AND SAFETY REVIEW ITEMS
If the project involves or includes the use of any of the following, please mark “YES.” PIs should contact the CSUF
Environmental Health and Safety (http://ehis.fullerton.edu/ContactUs.asp) for assistance in determining level of safety
required or for any clarifications concerning this section.
Important Note: Currently, CSUF laboratories are not equipped for BSF level 3 research.
 Recombinant DNA
 Microbial agents (use or exposure to certain agents that can cause diseases or otherwise may harm humans)
 Known carcinogen(s)
 Compressed air or gas cyliners
 Handling of human blood, bodily fuilds, or other potentially infectious materials
 Lasers
 Operation at a medically-related clinic or facility
 Shipping equipment, chemicals or biological agents to a foreign country
 Possible pollution exposure
 DHHS/FDA regulated materials
 Skin or scuba diving
 Production of medical waste
 Operation at a medically-related clinic or facility
 An inherently dangerous activity
Liquor Liability. Mark YES if the project involves activities where alcohol is served or where the funding agency
requires additional liquor liability due to an activity that involves access to any alcoholic substance. For questions or
clarifications on applicability of this item, please contact the following:
Diana Ruiz, 657-278-7346 or druiz@fullerton.edu for projects that will be administered by the CSU Fullerton (state):
Denise Bell, 657-278-4100 or dbell@fullerton.edu for awards that will be administered by the ASC.
Professional Liability. Some sponsors or projects require that a specific and proper professional liability insurance
policy be in place. Several licensed professionals (doctors, lawyers, accountants, financial service providers, etc.), as
well as activities (software development, web development, etc.) may require professional liability coverage in addition
to the general liability insurance. Mark this box “YES” as applicable to the project.
Minors: Anyone who is less than 18 years of age is considered a minor. For NIH projects, human subject research
defines “children” as individuals less than 21 years of age (see http://grants.nih.gov/grants/policy/hs/children.htm).
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Federal regulations require additional measures to be taken to protect the welfare and rights of children participating
in research and other projects because of the potential vulnerability of children. When minors are involved, all
individuals working with the minors are required to go through background check (livescan).
Mark YES if this project involves any contacts or work with minors/children as defined above. Otherwise, check NO.
Handling of export-controlled materials and/or information: Mark YES if CSU Fullerton and any CSUF personnel
(including students), subcontractors or consultants are expected to generate, transmit, receive or otherwise have
access to data, information, equipment, materials, technology and commodities that are subject to export control laws.
Otherwise, mark NO.
NOTE: It is the current policy of the CSU Fullerton, ASC and CSFPF to require prior notice to and written acceptance
by the university or the auxiliary before any information, technologies, equipment of commodities are generated,
transmitted, accepted or otherwise provided access to CSUF personnel, including students. Export control laws are
federal regulations that control conditions under which certain information, technologies, etc. can be transmitted
overseas to anyone, including U.S. citizens, or to a foreign national on U.S. soil. The laws are implemented by the
Department of Commerce through its Export Control Regulations (EAR) and the Department of State through its
International Traffic in Arms Regulations (ITAR).
EAR: Go to http://www.bis.doc.gov/policiesandregulations/ear/index.htm. For a listing of Department of Commerce
control list, please go to http://www.bis.doc.gov/policiesandregulations/ear/ccl_index.pdf.
ITAR: Go to http://pmddtc.state.gov/regulations_laws/itar_official.html.
Pre-approval of participation of foreign nationals: Mark YES if the Request for Proposal, guidelines or contract
terms and provisions states this requirement. Otherwise, mark NO.
Working with Countries subject to U.S. restrictions: Mark YES if this project involves work with the any of the
countries listed below. NOTE: Certain countries are subject to either comprehensive embargoes or targeted
sanctions. Comprehensive embargoes prohibit virtually ALL exports/imports or other transactions without a
license or other US government authorization.
Comprehensive Embargoed countries include Iran, Cuba, and Syria.
OFAC or EAR Targeted Sanctions and Territories - Libya, Lebanon, Somalia, Belarus, Sudan, North Korea, Iraq,
Yemen, Myanmar (formerly Burma), Liberia, Zimbabwe, Balkans, the Cote D'Ivoire (formerly Ivory Coast);
ITAR prohibited countries: Afghanistan, Belarus, Central African Republic, Cuba, Cyprus, Eritrea, Fiji, Iran, Iraq, Cote
d'Ivoire, Lebanon, Libya, North Korea, Syria, Vietnam, Myanmar, China, Haiti, Liberia, Rwanda, Somalia, Sri Lanka,
Republic of the Sudan (Northern Sudan), Yemen, Zimbabwe, Venezuela, Democratic Republic of the Congo.
For an updated list please see
http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.
21. Award Administration or Stewardship: For OGC or UA use only. Do not fill in any of these boxes.
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APPLICABILITY OF INDIRECT COST RATES
The table below provides general application of the new IDC rates. This may vary depending on specific instructions
provided in the RFP/Program Guidelines and/or project description.
PROJECT TYPE (as noted in the OGC
Routing Form)
Basic Research
Applied Research
Research Development
Curriculum Development/Instruction
Training
Student Services/Support
Public Service
Scholarships and Fellowships
Equipment
Construction
IDC RATE
Sponsored Research
(39.1% or 26% for off campus project)
Sponsored Research
(39.1% or 26% for off campus project)
Sponsored Research
(39.1% or 26% for off campus project)
Instruction
(45% or 26% for off campus project)
Other Activities
(37% or 26% for off campus projects)
Other Activities
(37% or 26% for off campus projects)
Other Activities
(37% or 26% for off campus projects)
N/A. See language on our IDC rate agreement
regarding exclusions for MTDC.
Generally N/A based on federal rate agreement
Generally N/A based on federal rate agreement
DEFINITIONS
Organized Research – use this rate for research and development activities that are sponsored by federal and
non-federal agencies and organizations. This term includes the training of individuals in research techniques
(commonly called research training) where training takes place in the same facilities as other research and
development activities and when such activities are not included in the instruction/training function of the
university.
Instruction – use this rate when the primary purpose of the project involves training, curriculum development,
instruction, demonstration, or efforts to improve pedagogical methods. Instructional projects may include some
elements of research, particularly if new techniques of instruction or curriculum content are being developed. This
term does not include the training of individuals in research techniques, commonly referred to as research
training.
Other Sponsored Activities - Use this rate also for health service projects, community service programs, and
other projects that do not fall under the definition of “Organized Research” or “Instruction.”
EXCLUDED ITEMS from Modified Total Direct Costs (MTDC)
See http://www.fullerton.edu/research/ogc/docs/IDC%20rate%20agmt%202012-15_revised_May2013.pdf
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equipment ($5,000 or more, per single item or system)
capital expenditures
charges for patient care
student tuition remission
rental costs for off-site facilities
scholarships and fellowships
portion of each subgrant and subcontract in excess of $25,000 (per project ,regardless of the period covered by
the subgrant or subcontract)
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