4.2 Document Summary Sheet

Revised 9/29/00

The Office of Sponsored Projects (OSP) reviews applications and proposals only after the internal routing process is completed using a Document Summary Sheet (DSS). The University uses the DSS to collect needed information about proposals and to document the necessary approvals of the proposal. No proposal may be submitted to an external sponsor without formal approval by the University. OSP signs off on all applications only when the internal review process has been completed. The Director of the Office of Sponsored Projects serves as the "Authorizing Institutional Signature (also referred to as the "Authorized Institutional Official").

Principal Investigators (PI) complete the DSS, which includes answering all questions and receiving all approval signatures. The DSS is then given to OSP along with all completed sponsor forms, a final budget, a draft of the proposal, and all completed subcontract forms and approvals. Multiple signatures are required when a Co-PI is from another department and/or college.

Note: Pay particular attention to the questions about Proprietary Research and Potential Patents or Copyright. These questions are asked because there have been numerous experiences where the investigator has produced patentable products but has lost the ability to protect the intellectual property because of "publication" of the grant proposal. If a federal sponsor awards the proposal, that award may be considered the first disclosure of invention, especially if the process is well detailed. To protect against loss of rights, any portion of the proposal that could be considered a "disclosure of the art" must be marked proprietary.

A Document Summary Sheet should be completed for all new proposals, competing continuations and revised proposals. Some competing supplemental proposals may also need a DSS. An OSP administrator should be consulted in these situations or if any other questions should arise about the DSS.

4.2.1 Approvals

By signing the DSS, the PI, Chair and Director/Dean agree to the following:

4.2.1.a Financial:

1. That you have reviewed the budget and agree that the budget estimates are reasonably accurate and appropriate.
2. That you agree with any matching and cost sharing requirements including both cash and in-kind.
3. That you agree with any commitment for shared allocation of returned F&A (indirect costs).
4. That you (your college, department) will take reasonable responsibility for over-expenditures and/or lack of reimbursement from the sponsor due to non-performance of the university researcher(s).
5. That no funds from the grant/contract will be expended for general departmental operating costs or other support unless specifically itemized and approved in the budget.
6. That in the event of securing a Federal contract over $500,000 you are aware of and participate in the process of developing and following a "Small Business Subcontracting Plan".

4.2.1.b Resources/Personnel:

1. That you have agreed to any proposed space allocation or renovation as indicated in the proposal or on the DSS.
2. Individuals involved with this project and including the PI, the Department and the College will maintain to the best of its ability, the proprietary nature of the project if so indicated on the DSS.
3. That you agree with any commitment of time proposed, including any proposed re-assignment from teaching during the academic year.
4. That no undergraduate or graduate student's education/research will be compromised by his or her participation in the project.

4.2.1.c Conflict of Interest

1. That you will prepare and implement a monitoring plan if there is a conflict of interest indicated on the Document Summary Sheet or if you are aware of a conflict of interest.

4.2.1.d Administrative

1. That the Principal Investigator is eligible to be a PI by University policies and you commit the Department/College to supporting the project.
2. That the proposal is compatible with PI's expertise and capability.

The DSS is available from OSP Web Site or from either of the two OSP offices.

• Read Handbook Section 9.4, "Document Summary Sheet" (form description, instructions, and download)