Research at IU is conducted with the highest regard to the ethical and regulatory practices without consideration of the source, if any, of funding or sponsorship. This page provides links to relevant regulations, policies, procedures, and important notices that Indiana University follows when fulfilling its research mission.
Many of these documents are interpretative in nature. The Office of Research Administration (ORA), while not the institutional owner of all of these documents, has primary responsibility for their application to the conduct and administration of research and other sponsored programs. Many of these are currently under review and further revisions will be incorporated in the near future. Please send direct questions or comments regarding this page to the email listed under 'Contact us' to the left.
Please note: Some of the documents below refer to offices or services that have been incorporated into Office of Research Administration (ORA). If you see reference to any of the following offices, that activity is now the responsibility of ORA: Research & Sponsored Programs (R&SP), Sponsored Research Services (SRS) or Contract & Grant Administration (C&G).
- 1.1 Conflict of Commitment
- 1.2 Export Control (under development)
- 1.3 Financial Conflict of Interest
- 1.4 Intellectual Property
- 1.5 Misconduct/Research Integrity
- 1.6 Care and Use of Vertebrate Animals in Research and Education
- 1.7 Research with Human Subjects
- 1.8 Whistleblower Policy
- 1.9 Classified Research
- 1.10 Sex Trafficking
- 1.11 Sponsored Research Programs: Internal Submission Deadlines
- 2.1 Accounts
- Sponsored Programs (Grants and Contracts) and Gifts: Definitions and Administration New
- Underwriting Grants and Contracts New
- I-1 Role of Fiscal Officer, Account Manager and Account Supervisor
- I-120 Fund Structure and Account Approval
- II-50 Authorization of Budget Adjustments
- Related IU Important Notices
- 2.2 Allowable Costs and A-21 Issues
- Overdrafts, Bad Debts and Audit Disallowances on Sponsored Programs New
- I-50 Allowable Hospitality Expenses
- I-70 Payments for Memberships in Social Organizations
- I-80 Donations and Contributions to Other Entities
- I-280 Use of Object Codes for Unallowable Expenses for Indirect Cost Recovery Purposes
- I-310 Moving Expenses
- I-330 Inappropriate use of University funds
- I-340 University Automobiles and Automobile Allowances
- I-480 Mobile Devices and Internet Access
- I-590 Gifts to Employees or Non-Employees
- Related IU Important Notices
- 2.3 Agreements, Contracts, Collaborations
- Eligibility: Principal Investigator or Project Director New
- III-20 Negotiating with Agencies and Routing Proposals
- III-50 Changes Requiring Agency Approval
- IV-260 Delegation of Approval Authority for HRMS Fiscal Transactions
- Related IU Important Notices
- 06-4 Routing of Sponsored Projects for University Administration, Bloomington, East, Kokomo, Northwest, South Bend, and Southeast Campuses
- 06-3 Routing of Sponsored Projects for Indianapolis Campus, IUPU Columbus, and the Regional Centers for Health Education
- 04-1 Subrecipients
- 02-8 Routing and Administration of Construction Grants
- 95-3 NIH Expanded Authorities
- 89-15 Interdisciplinary Projects
- 89-14 Subcontract agreements with small or potentially financially unstable organizations
- 2.4 Cost Sharing
- 2.5 Cost Transfers
- 2.6 Effort and Salary
- Summer Salary from Sponsored Program Accounts New
- Payments and Fee Remissions to Graduate Students on
Sponsored Programs New - Change in Effort or Status of Principal Investigator or other Key Personnel New
- Effort Certification under OMB A-21 New
- Effort Recertification under OMB A-21 New
- National Institutes of Health (NIH) Salary Limitation New
- Supplemental Pay New
- IV-1 Time Reporting for Non-Exempt Employees
- IV-70 Supplemental Payments for Services Provided Outside the Normal Scope of Employment
- IV-220 Determination of Employee or Independent Contractor Status
- Related IU Important Notices
- 2.7 Equipment/Capital Assets
- I-140 Off-Premise Equipment Control
- I-150 Capitalization of Movable Equipment
- I-270 Ownership of University Capital Assets
- III-70 Equipment Transfers
- Related IU Important Notices
- 2.8 Facilities and Administrative Costs & Fringe Benefit Rates
- 2.9 Invoices, Payments, Receivables, Collections, and Residual Funds
- Residual Income on Fixed Price Sponsored Programs New
- I-490 Non-Student (External) Accounts Receivable, Annual Write-off Report
- IV-110 Accepting Electronic Payments
- Related IU Important Notices
- 2.10 Program Income
- 2.11 Service Centers, Recharge Centers and Auxiliaries
- I-370 Fund Balance in Recharge Centers
- I-400 Formula for Setting Recharge Center Rates
- I-410 Recharge Center Transfers
- I-600 Auxiliary Financial Standards
- Related IU Important Notices
- 2.12 Signature Authority
- 3.1 Animal Care & Use
- 3.2 Biological Safety
- 3.3 Chemical Safety
- 3.4 Conflicts of Interest
- 3.5 Export Controls
- 3.6 Human Subjects
- 3.7 Radiation Safety
- 4.1 Office of the Vice President for University Regional Affairs, Planning, and Policy
- (Link to index of General University Policies, Financial Policies, Intellectual Property, International Students and Faculty, Purchasing and many other important policies that may relate to research.)
- 5.1 The Code of Federal Regulations (CFR) is a condition of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The CFR is divided into 50 titles, which represent broad areas subject to Federal regulation. The link, "Search the entire set of CFR databases by keyword" enables you to search all 50 titles. This option is particularly useful if you do not have any idea what title to search. However, because you are searching all 50 titles, this search will take a few minutes to process. (This function searches the most recent volumes.)
- 45 CFR 46 Regulation related to Protection of Human Subjects
- 45 CFR 160 Regulation related to General Administrative Requirements in Public Welfare and Human Services
- 45 CFR 164 Regulation related to Security and Privacy in Public Welfare and Human Services
- 45 CFR 401 Regulation related to Cuban/Haitian Entrant Program
- 42 CFR 73 Regulation related to Select Biological Agencies and Toxins as implemented by the Center for Diseases, Control and Prevention of the US Department of Health and Human Services
- 9 CFR 121 Regulation related to Select Biological Agencies and Toxins as implemented by the Animal and Plant Health Inspection Service of the US Department of Agriculture
- 37 CFR 401 Rights to Inventions made by Nonprofit Organizations and Small Business Firms under Government Grants Contracts and Cooperative agreements.
- 5.2 Department of Health and Human Services/National Institutes of Health (DHHS/NIH)
- HHS Grants Policy Directives (GPDs) - Phased Replacement of the GAM
- HHS Grant Regulations - Title 45 Code of Federal Regulations
- Grants Policy and Guidance
- NIH Guide to Grants and Contract
- NIH Grants Policy Statement
- DHHS Grant Policy Statement
- Office of Laboratory Animal Welfare PHS Policy on Human Care and Use of Laboratory Animals
- NIH: What Investigators Need to Know About the Use of Animals
- NIH: Checklist for Grant Review of Vertebrate Animal Section
- NIH Office of Biotechnology Activities Guide for Research Involving rDNA
- HIPAA Privacy Rule
- 5.3 Department of Health and Human Services/National Institutes of Health (DHHS/NIH)
- 5.4 National Endowment for the Humanities (NEH)
- National Endowment for the Humanities (NEH) - Grant Management
- 5.5 National Science Foundation (NSF)
- Proposal and Award Policies and Procedures Guide (PAPP)
- General Grant Conditions
- Grants and Agreements Conditions
- Grant Proposal Guide
- 5.6 National Research Council's Guide for the Care and Use of Laboratory Animals
- 5.7 Office of Management and Budget (OMB) Circulars of the Office of Management and Budget (OMB) establish principles and standards relating to costs incurred on Federally funded grants and contracts. The following are circulars that will be applicable for most University sponsored projects.
- OMB Circular A-21 - Cost Principles for Educational Institutions (Revised May 10, 2004)
- OMB Circular A-87 - Cost Principles for Local, State and Indian Tribal Governments (Revised May 10, 2004)
- OMB Circular A-102 - Grants and Cooperative Agreements with State and Local Governments
- OMB Circular A-110 - Uniform Administrative Requirements for Grants and Agreements with institutions of Higher Education, Hospitals, and Other Non-Profit Organizations
- OMB Circular A-122 - Cost Principles for Non-Profit Organizations (Revised May 10, 2004)
- OMB Circular A-133 - Audits of State, Local Governments and Non-Profit Organizations
- Federal Acquisition Regulations (FARs) are established for the codification and publication of uniform policies and procedures for acquisition by all executive agencies. Sponsorship of projects conducted at universities is considered to be an acquisition.
- 5.8 U.S. Department of Agriculture
- General Terms and Conditions
- U.S. Department of Agriculture - CSREES
- Animal Welfare Act Enforced by the USDA, APHIS, Animal Care agency.
- 5.9 U.S. Department of Defense
- Defense Procurement and Acquisition Policy
- DFARS Table of Contents
- Defense FAR Supplement
- Department of Defense Grant and Agreement Regulations (DODGAR)
- Federal Acquisition Regulation (FAR)
- DODGAR, Part 32, Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations.
- About DARS Frequently Asked Questions
- DODGAR, Part 34, Administrative Requirements for Grants and Agreements with For-Profit Organizations.
- 5.10 U.S. Department of Education
- 5.11 U.S. Department of Energy
- 5.12 U.S. Environmental Protection Agency
- 5.13 U.S. Food and Drug Administration (FDA)
- 5.14 United States Code
- UNITED STATES CODE (searchable, up to date through 1/26/94)
- 5.15 The United States Code (USC)
Contains, for the most part, the statutes enacted by the Congress. The USC is divided into 50 titles, which represent broad areas subject to Federal regulation. The link, "search engine" enables you to search all 50 titles. This option is particularly useful if you do not have any idea what title to search. However, because you are searching all ; 50 titles, this search will take a few minutes to process. (This function searches the most recent volumes.)
- 7.1 AAALAC - Association for Assessment and Accreditation of Laboratory Animal Care
- 7.2 AAHRPP - Association for the Accreditation of Human Research Protection Programs, Inc
- 7.3 AALAS - American Association for Laboratory Animal Sciences
- 7.4 ACRP - Association of Clinical Research Professionals
- 7.5 AERA - American Educational Research Association
- 7.6 AUTM - Association of University Technology Managers
- 7.7 NCURA - National Council of University Research Administrators
- 7.8 PRIM&R - Public Responsibility in Medicine and Research
- 7.9 SOCRA - SOCRA - Society of Clinical Research Associates*
- 7.10 SRA - Society of Research Administrators International
