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KU Research Administration Policies

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Adjunct Research Appointments Pre-Award Services
Notes
This policy explains conditions under which individuals may be appointed as adjunct researchers (affiliates) at the University of Kansas and the procedures for such appointments.
Benefits available to GRA’s, GTA’s and GA’s Compensation/Appointments
Notes
Tuition, fees, health insurance, leave, and other benefits available to Graduate Research Assistants (GRAs), Graduate Teaching Assistants (GTAs) and Graduate Assistants (GAs) at the University of Kansas, Lawrence.
Care and Use of Animals in Research and Education Conduct of Research/Research Integrity
Notes
To ensure that vertebrate animals used for research and educational purposes are handled in accordance with the Animal Welfare Act, Public Health Service policies, and in accordance with the accreditation standards of the Association for Assessment and Accreditation of Laboratory Animal Care.
Chart of Accounts Business/Financial Services
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This listing contains the Account Codes authorized for use in KUCR transactions. The listing will remain in effect until specifically amended or replaced. If amended, the amendment number will be indicated on the Chart of Accounts below the title. 
Confidentiality of Proposals and Awards Pre-Award Services
Notes
Relevant procedures for requesting access to copies of proposals submitted to external funding agencies and any corresponding award documents.
Conflict of Interest Conduct of Research/Research Integrity
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Contracting with International Sponsors Vice Chancellor for Office of Research, Office of the
Notes
This policy articulates KUCR policies related to the language in which contracts are written, the currency in which payment is to be made, and the governing law for such agreements.
Copyright Policy (Kansas Board of Regents) Conduct of Research/Research Integrity
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See pages 52-54.
Cost Accounting Business/Financial Services
Notes
Developed to ensure consistent compliance with 2 CFR 200 Uniform Guidance and the Cost Accounting Standards, under which all federal funds must be managed. In addition and for consistency purposes, KUCR applies the basic principles of 2 CFR 200 Uniform Guidance to all other sponsored projects. Some funds held at KUCR are outside of the realm of sponsored funding and may allow additional flexibility. This policy should clarify those exceptions.
Cost Sharing and Matching Pre-Award Services
Notes
This policy governs cost sharing/matching of PI time, conditions in which cost sharing/match is appropriate, and the treatment of F&A in cost sharing/matching circumstances.
Credit for Externally Funded Research Activity, Allocation of Vice Chancellor for Office of Research, Office of the
Notes
This policy describes the “multiple credit system” that is used on the Lawrence campus to allocate externally funded research credit.
Criminal Conviction Checks and Access to Drug Enforcement Agency (DEA) Registered Laboratories Vice Chancellor for Office of Research, Office of the
Notes
The policy describes the criminal conviction check requirements in order to access DEA registered laboratories.
Differentiating between Sponsored Projects & Gifts Pre-Award Services
Notes
This policy helps PIs determine whether a source of external support should be treated as a sponsored project (processed through KUCR) or a gift (processed through KU Endowment).
Direct and Indirect Costs, Differentiating Pre-Award Services
Notes
Federal regulations as described in 2 CFR 200 Uniform Guidance provide definitions of the types of costs that are normally defined as direct costs vs. indirect (F&A) costs. Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or indirect (F&A) costs.  As stated in 2 CFR 200 Uniform Guidance, direct costs are those costs that can be identified specifically with a particular sponsored project, instructional or other institutional activity, and can be directly assigned to such activities relatively easily with a high degree of accuracy. Conversely, F&A costs are those that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project, instructional or other institutional activity. Identification with the sponsored work rather than the nature of the goods and services involved is the determining factor in distinguishing direct from indirect (F&A) costs in sponsored agreements.
 
At the budget preparation stage of proposal development, proposed direct costs that would ordinarily be identified as indirect (F&A) costs (e.g., administrative/clerical salaries, computing devices, office supplies, etc.) are reviewed with the PI or his/her designee to determine if there are extraordinary circumstances requiring an exception to the standard. If so, an explicit budget justification must be included in the proposal describing how these costs can be reliably assigned to the benefit of the proposed project.  When a sponsored award is received, there are additional levels of review to determine the appropriateness of expenditures and obligations in light of the definitions outlined above. These reviews occur at the PI/departmental level, in Post Award Services , and in the accounting services section of Financial Services. Research administration training sessions consistently stress the reasonable, allocable, and allowable provisions of 2 CFR 200 Uniform Guidance and the consistent application of these provisions are the basis for proper expenditures on sponsored agreements.
Effort Reporting and Certification Post Award Services
Notes
Refer to this website for more information about the Effort Reporting process at KU.
Environment, Health and Safety Conduct of Research/Research Integrity
Notes
This site provides access to current on-line versions of campus EHS policies, manuals, procedures, forms, checklists and other pertinent documents. Examples include Biohazards and Biohazard Safety References, Environmental Policy, Health and Safety Policy, Laboratory Safety Manual, Radioactive Materials, and University Safety and Health Manual.
Facilities and Administrative (F&A) Costs Return Vice Chancellor for Office of Research, Office of the
Notes
This policy describes the formula used to return F&A to colleges, schools, departments, centers, and PIs.
Facilities and Administrative (F&A) Costs Return Rate Agreements Vice Chancellor for Office of Research, Office of the
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Fixed Price Agreement, Disposition of Funds Post Award Services
Notes
All costs in support of a project must be charged appropriately. Proposal budgets are reasonable estimates and the projects should be managed with that in mind. This policy describes the allocation of residual funds from fixed-price research agreements.
Fixed-Price Sponsored Projects, Determination of Applicability Pre-Award Services
Notes
This policy defines the occasions when a fixed-price agreement is the appropriate mechanism for managing a sponsored project. It also provides guidance for determining the appropriate payment schedules for fixed-price agreements.
Funds Deposited in KUCR Accounts, Use of Business/Financial Services
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General Research Fund (GRF) Competition Funding Opportunities for Research
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Graduate Research Assistance (GRA) Tuition Assistance Pre-Award Services
Notes
Payment, source of the salary, process, deadline and form for GRA tuition assistance.
Graduate Research Assistant (GRA) Appointment Eligiblity Pre-Award Services
Notes
Eligibility requirements that govern GRA appointments at the University of Kansas, Lawrence.
Graduate Research Assistant (GRA) Salary Guidelines Compensation/Appointments
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Grievance Procedures Vice Chancellor for Office of Research, Office of the
Notes
There is an established procedure for hearing grievances that arise within the Office of the Vice Chancellor for the Office of Research Studies.
Haskell Indian Nations University Collaboration Process (pdf) Vice Chancellor for Office of Research, Office of the
Notes

KUCR and Haskell Indian Nations University (HINU) have jointly created a procedure to ensure that both universities are properly notified of involvement/collaboration for proposals being submitted for external funding.

As part of KUCR's initial discussion regarding a new proposal submission, KU investigators will be asked, "Do you plan on identifying Haskell Indian Nations University (HINU) in your proposal submission? If yes, please explain. Please note: Haskell requires four weeks notice prior to proposal submission to determine whether to participate in a KU proposal. Please contact Cynthia Grounds, cgrounds@haskell.edu, Grants Project Coordinator, as soon as possible.

KUCR will send appropriate documentation to Haskell as soon as possible. In turn, Haskell will notify KUCR of its determination regarding inclusion. After submission, if Haskell should decide not to be involved with a KU proposed project, KUCR will notify the KU PI of this decision, and Haskell's non-involvement will have to be addressed prior to award.
Human Subjects, Use in Research Conduct of Research/Research Integrity
Notes
To protect the rights, well-being, and personal privacy of individuals; to assure a favorable climate for the conduct of scientific inquiry; and to protect the interests of the University of Kansas; to ensure compliance with the Public Health Service Act, Department of Health and Human Services, and the federal-wide Common Rule, “Federal Policy for the Protection of Human Subjects”. Applies to researchers whose project is sponsored in any way by the University of Kansas or conducted by anyone connected with the University of Kansas (this includes all Lawrence Campus students, faculty, administrators, and other employees) whose research involves interviews, observation, surveys or any other form of information gathering about humans, either as individuals or members of groups.
Institutional Endorsement of Proposals when Submissions are Limited by External Funding Agency Pre-Award Services
Notes
Process to select among proposals for external funding when the agency limits the number of submissions that may be submitted by investigators at a single institution.
Intellectual Property Policy for the Lawrence Campus Conduct of Research/Research Integrity
Notes
This policy seeks to foster the creation and dissemination of knowledge and to provide certainty in individual and institutional rights associated with ownership and with the distribution of benefits that may be derived from the creation of intellectual property.
KUPPS Delegation of Approval Authority through the SciQuest Electronic System Business/Financial Services
Notes
By Principal Investigators for Purchases Under Sponsored Project or Other Funding Sources Managed by the KU Center for Research, Inc.
KUPPS Purchase Order Encumbrance Business/Financial Services
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Limited Submission Proposals Funding Opportunities for Research
Notes
When an external funding agency limits the number of submissions it will accept from a single institution, this policy describes the process for selecting among potential KU proposals.
Major Project Planning Grant (MPPG) Funding Opportunities for Research
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Medical Center (KUMC) Campus, Administrative Guidelines for Collaboration Vice Chancellor for Office of Research, Office of the
Notes
This document describes the contacts and process for collaborative research on both campuses.
National Institutes of Health (NIH) Public Access Conduct of Research/Research Integrity
Notes
This document describes the requirements of the NIH Public Access Policy and provides suggested resources to fulfill those requirements.
New Faculty General Research Fund (NFGRF) Funding Opportunities for Research
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Preliminary Proposal Review Pre-Award Services
Notes
No review and authorized signature is needed if the preliminary proposal is a white paper where no budgets or signatures are submitted.
Review is needed if any budget is being sent forward to the funding agency. Generally, authorized signatures will accompany the preliminary proposal.
The proposal will be set up in KUCR's database as preliminary. It will eventually become a full proposal submission, or if the funding agency shows no interest, then it will be declined.
Principal Investigator (PI) Status Vice Chancellor for Office of Research, Office of the
Notes
Individuals who meet certain conditions are allowed to serve as Principal Investigator (PI) on proposals for sponsored projects.
Program Income Post Award Services
Notes
Program income must be budgeted and accounted for within the fund in a manner consistent with the specific terms and conditions of the award or by reference to general provisions of federal regulation. Program income accounts are designated by the prefix FEE and use a separate project number from the main award.

Program income is generated as a result of program activity on a sponsored project. Types of program income include, but are not limited to:
-Fees earned from grants supported services - i.e. conference fees
-Rental or usage fees
-Third party reimbursement
-Sale of tissue cultures, educational materials and research animals
-Sale of commodities or items fabricated under an award (software, testing materials, training videos)

Income earned from license fees and royalties on patents and copyrighted materials can be considered program income on federal awards, however non-federal agency terms and conditions should be reviewed for allowability of program income.

Depending on the agency's terms and conditions, program income may reduce the sponsor's obligation and may supplement the award. Program income should be spent out by the end of the award. In certain circumstances such as sale of books or royalties, there could be income remaining. In these cases the income remains with the recipient.

Property Management Policy and Procedures Business/Financial Services
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Proposal Evaluation and External Review (PEER) Funding Opportunities for Research
Notes
The goal of the program is to help researchers obtain quality feedback on their grant applications prior to submission to an external funding agency, to strengthen the merits of the proposal and to improve the likelihood of acceptance for funding.
Proposal Preparation and Submission for Sponsored Projects, Guidelines for Pre-Award Services
Notes
This policy describes relevant procedures applying to investigators who wish to submit proposals for research funding. These procedures reflect institutional responsibilities for sponsored research.
Proposal Preparation Fund Funding Opportunities for Research
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Proposal Preparation, Institutional Support of Pre-Award Services
Notes
Federal regulations prohibit most 100% grant-funded individuals or partial grant-funded and cost share committed individuals totaling 100% from participation in preparation of new or competitive renewal proposals for grant support. This policy outlines procedures for obtaining alternative support for investigators in this situation.
Provisional Sponsored-Project Award Establishment Vice Chancellor for Office of Research, Office of the
Notes
Describes the circumstances when the establishment of a provisional account is allowable and outlines the requirements and responsibilities for the departments, centers, and the Office of Research when initiating an award account prior to the receipt of an official award document.
Restricted Research Conduct of Research/Research Integrity
Notes
Information about restricted research.
This is a link to the Restricted Research Policy contained in the Faculty Senate Rules and Regulations.
Retroactive Funding Adjustments Compensation/Appointments
Notes
This policy describes the provided mechanism for campus departments to change funding on processed payroll transactions.
Review of Research Centers & Center Directors Vice Chancellor for Office of Research, Office of the
Notes
This policy describes procedures for the regular review of Research Center and Center Directors.
Scholarly Misconduct Conduct of Research/Research Integrity
Notes
This is a link to the Scholarly Misconduct Policy contained in the Faculty Senate Rules and Regulations.
Scholarship/Fellowship Awarding Procedures Post Award Services
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Start-Up Funds Request Vice Chancellor for Office of Research, Office of the
Notes
This policy outlines the procedures for requesting, allocating, and expending funds that are available to provide start-up packages for new faculty and academic staff.
Technology Transfer Revenue Distribution Policy Conduct of Research/Research Integrity
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This policy describes the formula used to distribute revenue obtained from technology transfer activities.
Tuition and Fees, Resident Graduate Students Pre-Award Services
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Uniform Guidance Vice Chancellor for Office of Research, Office of the
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University Research Centers and Institutes, Designation of Vice Chancellor for Office of Research, Office of the
Notes
This policy outlines the benefits and responsibilities of, and criteria for designation as, a University Research Center or Institute, and the process by which such Centers and Institutes are chartered.
TRAVEL ADMINISTRATION
  Accountable Plan  Policy Purpose and Goals  Signature Requirements          
CONTACT
University of Kansas Office of Research
phone785-864-3441
emailkures@ku.edu
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