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Grant Routing and Authorization Form
Sponsored Programs and Research
Instructions
Purpose: The Grant Routing and Authorization Form (Routing Form) is used to inform internal reviewers of
information necessary to complete the review process. This form is also used to document authorization to
submit the proposal to the sponsor agency. The Routing Form is for internal use only and is not submitted to
the sponsor. The original is maintained in the official grant file in the Sponsored Programs and Research Office
(SPAR).
Step 1: Once a proposal is complete and ready to be submitted, the Routing Form should be completed and
submitted to the Department Chair and the Dean by the Principal Investigator. The complete proposal package
(Abstract, Narrative, Budget w/Justification, Letters of Support) should be attached to the Routing Form.
Step 2: After both the Department Head and the Dean have reviewed and approved the proposal, the complete
package is submitted to the Sponsored Programs and Research (SPAR) Office which will review the proposal
and resolve any questions with the Principal Investigator.
The Principal Investigator should allow at least one week for this final review process, submitting the proposal
to SPAR at least 7 work days prior to the submission deadline.
Step 3: The SPAR office will obtain the approval of the Provost.
Step 4: Once approved by the Provost, the proposal may be submitted to the sponsor agency.
Step 5: Submission of Grant
 Federal Grants – Electronic Submission: These are normally submitted electronically and must be
submitted by the SPAR office. It is the PI’s responsibility to provide SPAR with electronic copies of all
information to be submitted to the Sponsor.

Paper Submissions: If a grant is submitted via US Post Office, UPS or Fed Ex, it is the responsibility of
the Principal Investigator (PI) to make the necessary paper copies and submit the proposal in time to
meet the submission deadline. If the PI needs assistance in this process, the SPAR can assist in making
the necessary copies and in mailing the proposal – as long as sufficient time has been allowed for this
process. Paper submissions completed with less than 24 hours to submit are the sole responsibility of
the PI to submit once all necessary approvals have been received.
Careful attention must be given to deadlines on paper submissions, as to whether the proposal must be
received by the sponsor by the specified date, or postmarked by a specific date. Also, some sponsors
specify methods of delivery, for example the NEH will not accept proposals sent by the US Post Office,
but rather specify that the delivery must be by a carrier requiring a signature to post.
Note: All proposals or applications for external funding must follow this review process regardless of whether
the proposal is to be submitted in paper format or electronically and regardless of the amount of the proposal or
the sponsor.
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Grant Routing and Authorization Form
Sponsored Programs and Research
A. PROJECT IDENTIFICATION
SUBMISSION DEADLINE
PROJECT TITLE:
:
POSTMARK by
SPONSOR AGENCY:
RECEIVE by
TYPE OF SPONSOR:
FEDERAL - CFDA #:
;
STATE;
OTHER
ELECTRONICALLY by
ANTICIPATED START DATE:
TYPE OF PROJECT :
RESEARCH
INSTRUCTION
YEARS
PUBLIC SERVICE/OUTREACH
NEW PROJECT – FIRST SUBMISSION
TYPE OF SUBMISSION:
PRINCIPAL INVESTIGATOR:
EMAIL:
PROJECT PERIOD:
OTHER:
NEW PROJECT – RESUBMISSION
CONTINUATION
DEPARTMENT:
PHONE :
LOCATION WHERE THE PROJECT WILL TAKE PLACE:
B. THIRD PARTY PARTICIPATION (Note: A collaborative agency is when both Winthrop and the other agency
jointly submit the proposal and will both be shown as recipients. A pass through, or sub-award is when an external
agency submits the proposal, receives the award and then sub-awards all or a portion of the funds to Winthrop.)
Is Winthrop collaborating with another institution on this project?
Yes
Yes
No
No
Name of Collaborating Institution:
Contact at Collaborating Institution:
Who is the lead institution?:
Phone:
Are funds being passed to Winthrop through another agency or institution?
Pass through agency:
C. PROJECT PERSONNEL – CURRENT EMPLOYEES – Classified and Unclassified Positions
POSITION
(Name & ID # if known)
PI Co-PI -
Winthrop
ID#
% Effort for:
Spring
Fall
Year
Dual
Employment
Summer
Pay
Source of Funding
Grant
Winthrop
Other
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D.
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PROJECT PERSONNEL – NEW POSITIONS (FT = Full Time; PT = Part Time) (Attach a separate schedule if needed)
POSITION TITLE
E.
POSITION DESCRIPTION
STATUS
FT
PT
# of New FTE
Amount
Grant
Winthrop
Other
FINANCIAL INFORMATION
FIRST
YEAR
PROJECT FUNDING
GRANT FUNDS
TOTAL
PROJECT
PERIOD
SOURCE OF MATCH FUNDING – State the funding source for each
of the cash and in-kind matching contributions. Also state the
method used to compute the indirect cost included in the budget.
$
$
(Include Indirect Cost in totals for Grant Funds)
$
$
$
$
INDIRECT COST RATE USED:
WINTHROP CASH MATCH
WINTHROP IN-KIND MATCH
OTHER CASH MATCH
OTHER IN-KIND MATCH
TOTAL PROJECT BUDGET
INDIRECT COST BUDGET
DOES THE SPONSOR REQUIRE COST SHARING AS A CONDITION OF RECEIVING AN AWARD?
YES
NO
If yes, describe the cost sharing requirement:
If no, and you have included cost sharing in the budget, justify this inclusion:
WHO WILL SERVE AS THE PROCURMENT CARD LIAISON:
Name:
Winthrop ID #:
F. SUB-CONTRACTS OR SUB-AWARDS
Yes
No
Will any of the grant funds be sub-contracted or sub-awarded to other entities (Sub-recipients)? If yes, list each
sub-recipient and amount of contract below.
G. FACILITIES AND EQUIPMENT
Yes
No
Yes
No
Yes
No
Yes
No
Will this project require new or renovated space or facilities? If yes, explain what is needed and how this will be
funded.
Will the University be required to purchase any new equipment that is not covered in the project budget in order
to conduct this project? If yes, explain:
Will there be any equipment installation cost not covered by the project budget? If yes, explain:
Will there be any Central Technology needs of additional servers, data storage, programming or other IT
requirements above that currently used within the department? If Yes, explain:
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H. CONTINUING OBLIGATION AFTER GRANT ENDS:
Yes
I.
No
COMPLIANCE CERTIFICATIONS
Yes
No
Yes
No
Yes
No
Yes
Yes
Is there an obligation to continue this project, including the provision of space, after the grant funding has
ended?
If yes, explain below how the continuation of the project will be funded.
No
No
Will this project involve research with human subjects?
Pending IRB Approval
IRB Protocol #
IRB Approval Received on
Exemption Received on
Will this project involve research with vertebrates?
Pending IACUC Approval
IACUC Protocol #
IACUC Approval Received on
Will this project involve the use of Biohazardous materials?
Pending BioSafety Approval
BioSafety Protocol #:
BioSafety Approval Received on
Do any of the project personnel, their spouse,
dependent children or any staff member
associated with this project have any financial
interest related to the work to be conducted
under this sponsored project?
If yes, complete and attach the Disclosure of Financial
Interest for Sponsored Projects form for each individual with
a financial interest
Will this project result in the development or
creation of intellectual property, defined as any
product, new or useful process, or idea resulting
from scholarly or creative activity regardless of
whether it is eligible for protection under
provision of copyright, patent or trademark
law?
If yes, complete, submit for approval and attach to this
document a copy of the “Intellectual Property Rights Policy
Form.” related to this activity.
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ASSURANCE OF THE PRINCIPAL INVESTIGATOR and CO-INVESTIGATORS
I certify that:
1. I am not delinquent on any federal debt;
2. I am not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from current
transactions by a federal department or agency
3. I have not and will not lobby any federal agency on behalf of this award.
4. I will abide by all applicable policies and procedures of Winthrop University, the State of South Carolina and the grantor.
5. I will accurately disclose program progress, results, expenditures and revenue to Winthrop University and to the grantor.
Financial Disclosure Statement: I certify that I have read and understood the Winthrop University Policy on the Disclosure of
Financial Interest. I have attached a Disclosure of Financial Interest form for any financial interest I, my spouse or a dependent living
in my household, has in relation to this proposal.
Signature of Principal Investigator / Date
Signature of Co-Investigator / Date
Signature of Co-Investigator / Date
Signature of Co-Investigator / Date
ASSURANCE OF DEPARTMENT HEAD AND DEAN (If more than one department or College, then all departments heads
and/or Deans must sign)
I certify that the attached proposal fits the department’s overall program and objectives. Adequate space, technology and other
resources are available or have been included in the proposal budget to conduct the project. The professional time allotted is realistic
and within College guidelines.
Signature of Department Head / Date
Signature of Dean / Date
Signature of Department Head / Date
Signature of Dean / Date
APPROVAL OF PROJECT AND AUTHORIZATION TO SUBMIT PROPOSAL TO SPONSOR AGENCY
Sponsored Programs and
Research
Date:
Vice President for Student Life
Date:
Vice President for Finance
Date:
Provost
Date: