Each party involved in the administration
of externally-sponsored research, education, and service projects conducted on the University of Kansas Lawrence campus plays a part in the management and responsibility of the projects.
Oversight of Project Objectives- the PI must notify the sponsor if a project will significantly deviate from the work plan submitted in the proposal. Any of the following conditions are considered significant changes:
- Any shift in the research emphasis;
- Any change from the approved use of animals or humans;
- Changes in key personnel;
- Substantial rebudgeting;
- Subcontracting any portion of the project if the subcontract was not included in the proposal; or
- Any other change that the award document or agency guidelines deems to be significant.
- Authorization of All Project-Related Expenses
The PI is responsible for authorizing all monies spent on a sponsored project. Such oversight necessarily requires adherence to the awarding agency's budgetary constraints as included in the award document. The PI must also ensure that project expenditures are reasonable and necessary, applicable to the project, and consistent with university policy.
Oversight of All Project Personnel:
- Determine appropriate personnel to complete program objectives
- Oversight of personnel appointments as to the allocability to the project
- Responsbility for adherence to conflict of interest disclosures for new hires
- Timely completion and submission of payroll forms for all appropriate changes
- Timely notification to the Office of Post Award Services for payment of tuition or fellowships for graduate research assistants appointed to the project
Submission of all non-financial reports:
The PI is responsible for the timely submission of all non-financial reports, including, but not limited to, technical and invention reports, according to agency- or project-specific deadlines.
Management of all subcontract progress and expenses:
The PI must provide certification that work performed is progressing before any payment to a subrecipient is authorized by Post Award Services.
Department or Unit Responsibilities:
The PI's department or research unit, on behalf of the PI, may provide day-to-day fiscal and administrative management support for sponsored projects. Departmental/unit staff assist with processing project invoices, expenditure monitoring, and tracking cost sharing. Additionally, departmental staff assist the PI with administrative management of sponsored projects, such as assistance with proposal preparation, personnel appointments, purchase requests, and inventory controls.
Department chairs or unit directors oversee space allocations within their departments/units and sign off on conflict of interest disclosures for subordinates. They provide matching funds for sponsored projects, in accordance with sponsor requirements and KUCR's cost sharing policy.
School or College
University schools and colleges may participate in the administration of sponsored projects by agreeing to provide adequate space to carry out the project; providing matching funds for sponsored projects, in accordance with sponsor requirements and KUCR's cost sharing policy; approving faculty release time, as appropriate; and participating in the occasional hiring of project-related personnel.
Because external grants and agreements are awarded to the institution (KUCR on behalf of KU) rather than to the PI, KUCR provides the institutional endorsement required by external sponsors. In order to be considered valid, all proposals must be institutionally reviewed and signed by the authorized institutional signatory: Alicia Reed, Interim Director, Research Administration. All proposals are reviewed and approved by KUCR prior to submission to the agency.
Institutional Financial Management:
KUCR provides a comprehensive financial management system that:
- Complies with federal regulations
- Provides oversight for allowability of costs charged to a project
- Complies with cost accounting standards
In addition, KUCR is responsible for:
- A procurement system and policies that assure fair acquisitions
- A property management system to track federal and non-federal property
- A personnel management system that complies with federal equal employment opportunity (EEO) standards
- Audit systems
- Award documents consistent with agency guidelines
- Alerts to PIs and department/unit staff of any unusual or explicit guidelines pertaining to the project
- Assistance with Proposal Costing and Budget Administration
KUCR helps investigators prepare their funding proposals, assists in the fiscal management of their projects, and helps to provide oversight to ensure that work is conducted in compliance with the sponsors' requirements as well as federal, state, and university laws and regulations.
KUCR provides general liability, auto, travel, and some property insurance coverage.
Institutional oversight of compliance issues
The University of Kansas is committed to ensuring that research is conducted responsibly. In cooperation with other Lawrence campus units, KUCR oversees the following:
- Human subjects
- Security issues
- Conflicts of interest and ethics
- Health Insurance Portability and Accountability Act (HIPAA)