Research Admin Forms / Policies

Policy Comments
Adjunct Research Appointments
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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
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Tuition, fees, health insurance, leave, and other benefits available to Graduate Research Assistants (GRAs), Graduate Teaching Assistants (GRAs) and Graduate Assistants (GAs) at the University of Kansas, Lawrence.
Care and Use of Animals in Research and Education
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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 PDF
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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
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Relevant procedures for requesting access to copies of proposals submitted to external funding agencies and any corresponding award documents.
Conflict of Interest
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KU seeks to educate about situations that generate conflicts, provide means to manage real or apparent conflicts, promote best interests of students and others whose work depends on faculty direction, and describe situations that are prohibited.
Contracting with International Sponsors
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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) PDF
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See pages 52-54.
Cost Accounting
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Developed to ensure consistent compliance with OMB Circular A-21 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 OMB Circular A-21 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
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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.
Cost Sharing Documentation & Verification
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This documents describes how KUCR tracks cost sharing commitments once an award is made.
Credit for Externally Funded Research Activity, Allocation of
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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
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The policy describes the criminal conviction check requirements in order to access DEA registered laboratories.
Differentiating between Sponsored Projects & Gifts
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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 
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Federal regulations as described in OMB Circular A-21 provide definitions of the types of costs that are normally defined as direct costs vs. indirect (F&A) costs. As stated in A-21, in general, direct costs are those costs that can be identified specifically with a particular sponsored project, an instructional activity, or any other institutional activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy. Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or F&A costs. Identification with the sponsored work rather than the nature of the goods and services involved is the determining factor in distinguishing direct from F&A costs of sponsored agreements.
 
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, an instructional activity, or any other institutional activity.
 
At the budget preparation stage of proposal development, costs that can be identified as normally F&A costs are discussed with the PI or his/her designee to determine extraordinary circumstances requiring an exception to the standard. An explicit budget justification must be included in the proposal describing the extraordinary costs and specific review by the signatory authority or designee is required.
 
A link to OMB Circular, Section J, helps the researchers understand the types of costs that are normally considered F&A costs or are considered unallowable.
 
When a sponsored award is received, there are various 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 A-21 and these provisions are the basis for proper expenditures on sponsored agreements.
 
Effort Reporting and Certification Policy
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This policy describes how KU and KUCR comply with federal Effort Reporting requirements.
Environment, Health and Safety 
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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 
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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  
Fixed Price Agreement, Disposition of Funds
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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 
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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 PDF  
General Research Fund (GRF) Competition  
Graduate Research Assistant Appointment Eligiblity
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Eligibility requirements that govern GRA appointments at the University of Kansas, Lawrence.
Graduate Research Assistant (GRA) Salary Guidelines  
Graduate Research Assistance (GRA) Tuition Assistance
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Payment, source of the salary, process, deadline and form for GRA tuition assistance.
Grievance Procedures
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There is an established procedure for hearing grievances that arise within the Office of the Vice Chancellor for the Office of Research.
Haskell Indian Nations University Collaboration Process PDF Document
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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 two 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
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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, 4 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
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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
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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
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By Principal Investigators for Purchases Under Sponsored Project or Other Funding Sources Managed by the KU Center for Research, Inc.
KUPPS Purchase Order Encumbrance MS Word Doc  
Major Project Planning Grant (MPPG)  
Medical Center (KUMC) Campus, Administrative Guidelines for Collaboration MS Word Doc
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This document describes the contacts and process for collaborative research on both campuses.
National Institutes of Health (NIH) Public Access PDF Document
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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)  
Preliminary Proposal Review
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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
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Individuals who meet certain conditions are allowed to serve as Principal Investigator (PI) on proposals for sponsored projects.
Program Income
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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  
Proposal Evaluation and External Review (PEER)
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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
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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, Institutional Support of
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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.
Proposal Preparation Fund  
Provisional Sponsored-Project Award Establishment
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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 Researcrh Policy | Info

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This is a link to the Restricted Research Policy contained in the Faculty Senate Rules and Regulations.
Retroactive Funding Adjustments
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This policy describes the provided mechanism for campus departments to change funding on processed payroll transactions.
Review of Research Centers & Center Directors
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This policy describes procedures for the regular review of Research Center and Center Directors.
Scholarly Misconduct Policy
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This is a link to the Scholarly Misconduct Policy contained in the Faculty Senate Rules and Regulations.
Scholarship/Fellowship Awarding Procedures MS Word Doc  
Start-Up Funds Request
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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
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This policy describes the formula used to distribute revenue obtained from technology transfer activities.
Tuition and Fees, Resident Graduate Students  
University Research Centers and Institutes, Designation of
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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.
 
Forms Comments
Animal Use Grant Comparison Certification Form
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This form is used to confirm there are no significant changes to animal protocols on a project. This form needs to be completed each year of an award.
Budget Adjustments MS Word
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Most agencies require notification and justification for substantial deviations from their approved budgets on any project. Each project's policies need to be reviewed and followed when rebudgeting becomes necessary. If rebudgeting creates a change in scope of work or effort, sponsor approval is always needed. Generally, when an agency needs to be notified, a letter is sent from the PI to the agency requesting a rebudget of funds with a justification. A revised budget is included. A Post Award Services (PAS) administrator also signs off on the letter as endorsement and forwards it to the agency. If approval is granted a revised budget summary, showing budget adjustments, is sent to all concerned parties. If a rebudget doesn't need agency approval, the PI (department on behalf of the PI) should submit a KUCR Budget Adjustment Request Form.
Business/Financial Services Agreement Template PDF document  
Consultants and Contractors Form MS Word
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Use this checklist PDF document to determine which of the three types of contract can be used for a particular contractor.
For questions contact Jay Darnell at jdarnell@ku.edu or call 785-864-7775.
Delegation of Approval Authority Through the SciQuest Electronic System (KUPPS)  PDF document
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By Principal Investigators for Purchases Under Sponsored Project or Other Funding Sources Managed by the KU Center for Research, Inc.
Fixed Price Closeout Form PDF document  
Fixed-Price Sponsored Projects, Determination of Applicability <10k  PDF document  | >10k PDF document
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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.
Human Subjects  
Journal Entry Form PDF document
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Used by departments to request a correction or transfer of KUCR funding 
KUCR Cost Transfer Form PDF document
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Use this form when a retroactive funding adjustment (RFA) is needed involving grant funds.
KUCR Cost Transfer Request Excel Form
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Cost Transfers
The University of Kansas Center for Research, Inc. (KUCR) has compiled the following policy and procedures related to cost transfers in accordance with the cost allowability and allocability requirements of OMB Circular A-21, Cost Principles for Educational Institutions.
 
A cost transfer is defined as an expense that is transferred between sponsored projects and other accounts after the expense is posted in the financial accounting system. These guidelines also apply to reclassification of sponsored project expenditures.
 
Examples of allowable cost transfers include:
Transfer of allowable pre-award costs;
Reassignment of personnel in accordance with their appropriate effort on a project;
 
Correction of account number transposition errors; and Allocation of expenses incurred to departmental funds that are easily identified with project activities through maintenance of logs or other departmental records.
 
Responsibilities
The Principal Investigator (PI), or departmental staff acting on behalf of the PI, is responsible for providing the written cost transfer request and appropriate supporting justification to Post Award Services for review and approval.
 
Post Award Services is responsible for oversight of cost procedures and for determining allowable and unallowable costs charged to externally-sponsored projects based on federal and sponsor guidelines.
 
Before a non-personnel cost transfer to a sponsored agreement is approved, a Post Award Services staff member reviews the cost transfer request to determine whether the cost is allowable under OMB Circular A-21 and sponsor guidelines. All expenditures charged to externally-sponsored projects must meet the following criteria:
 
Both the nature and amount of a cost must reflect prudent action at the time the decision was made to incur the cost;
A cost must be incurred solely to advance the work under the sponsored agreement. It must reasonably benefit the sponsored agreement. It must be necessary to the overall operation of the institution and can be assignable to a specific sponsored project;
Each cost must be given consistent treatment according to generally accepted accounting principles appropriate to the project; and
Each cost must conform to principles outlined in OMB circulars or specific agency guidelines.
A cost transfer to a sponsored agreement will not be approved for any of the following reasons:
 
To meet deficiencies caused by overruns or other fund considerations;
To avoid restrictions imposed by law or by the terms of the sponsored agreement; or For other reasons of convenience.
 
Procedures
For non-payroll transfers:
The PI, or departmental staff working on behalf of the PI, must submit a written request to Post Award Services (PAS) staff.  Both questions and transaction portions must be filled in and signed.  Please make certain the following questions are addressed:
 
Describe in detail the expenditures (s) that are being transferred:  (research supplies, travel, GRA salary, etc.)
How will the transfer benefit the project being transferred to?
How did the error occur?
Why is the error correction late? (More than 60 days)
What steps are being taken to ensure that this error will not reoccur?
If the correction is more than 90 days late, the PI and department head should sign off.
For payroll transfers:
Personnel costs are initiated at the PI's department or research unit. Only the question/justification portion of the forms needs to be filled out and signed. The form should to be sent to Payroll with a completed payroll form and a gross and fringe report. Post Award Services performs a post-audit review on all payroll transfers.
 
The following cost transfers raise red flags with auditors:
Transfers to or between federal projects;
Transfers that are late ( greater than 90 days after discovery of the error);
Transfers to a federal project occurring at the end of the project, thereby giving the appearance of utilizing funds inappropriately;
Transfers with inadequate explanation;
Transfers between federal projects that clears an overrun on one of the projects;
Payroll transfers that are recorded in the accounting system but not corrected in the payroll system.
Auditors tend to focus on late cost transfers (over 90 days), particularly payroll transfers, because they are easy targets and hard to defend if not properly documented. Payroll transfers are particularly vulnerable because the original charge has already been certified as correct.
Limitations on University Sponsored Research Appeal  Form MSWord document | Exemption Form MSWord document
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NSF Collaboration Letter Template MS Word
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National Science Foundation (NSF) guidelines regarding letters of collaboration have become more stringent.  Non-compliant letters include those that go beyond statements of commitment by the individual/organization writing the letter that affirm a willingness to collaborate in the conduct of the project, and instead, argue for support of the project by articulating in detail what activities the collaborator will undertake and/or by elaborating reasons for supporting the project.  For some NSF programs, this template is required and will be noted as such in the program announcement.

New Principal Investigator Excel Form
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One-page form for new Principal Investigators to provide essential information to PreAward Services to aid in proposal preparation.

Participant Payment Advance Reconciliation Report PDF
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Required for all KU employees regardless of funding source. Link to KU Travel Authorization page.
Participant Payment Advance Request PDF  
Payroll (sign in to KuPortal required)
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Payroll forms to be routed through KU Research/KUCR:
Any payroll forms from units who report to the Vice Chancellor for the Office of Researchs, regardless of funding.
Any payroll forms from other departments/units that involve sponsored projects (grants) or any other KUCR- provided funds (i.e., General Research Funds, New Faculty General Research Funds, Start-Up funds, etc.)
 
Payroll forms need the following signatures:
Hiring department (department number & name listed in top left hand corner).
For any department’s funding that is different from the hiring department; for example, if HBC is the hiring department and they are using EEB’s funding, we would need BOTH HBC and EEB signatures.
If you are doing a funding change for a faculty member and the funding is from the Vice Chancellor for the Office of Research or is a grant, the form will need to be routed through your departmental budgetary hierarchy BEFORE sending to KU Research/KUCR.
Any payroll transactions involving grants or other funds provided by the Vice Chancellor for the Office of Research must have KU Research/KUCR Compensation and Appointments’ signature before being sent to KU Payroll for final processing.
 
For questions, contact KU Research Financial Services, payroll and compensation.
Principal Investigator Acknowledgement of Responsibilities PDF
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An eight-item checklist highlights the PI’s key responsibilities and requires a signature.
Research Employee Separation Checklist MS Word
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This checklist is intended to outline some matters of importance related to the departure from the university of a PI or other research employee and should be completed by the employee prior to departure.
Salary Certification/Effort Reporting PDF Document
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Forms should be returned to POST AWARD SERVICES, KU Research/KUCR — YOUNGBERG HALL.
 
Salary certification, or "effort reporting," is a federal requirement, per Section J.10 of the Office of Management and Budget (OMB) Circular A-21.  These are highly auditable forms, and have resulted in numerous (and costly) audit findings at other universities in recent years.
 
Salary Certification Procedures
 
Certified forms are due 30 days after receipt - roughly the 15th of the following month.
 
Salary cert forms are printed approximately the 10th of each month for the previous month's salary charges.
The forms are sent via campus mail to the appropriate PI or departmental contact for PI (or representative) signature.
Post Award Services keeps track of all forms as they are returned with signature.
Prior to running the next month's forms, the returns from the previous months are reviewed.
For forms that are due within the next five days, an email is sent to all non-returners reminding them that to be in compliance they must return the forms within 30 days of receipt and that failure to do so will result in notification of the PI's chair. (Since some forms go to the department and not the PI, the PI will be copied on this initial reminder.)
For forms that were due the previous month and are now almost 3 weeks overdue, another email is sent requesting immediate compliance with the federal regulations, copying the Director of Research Administration and the Chair of the PI's department. Failure to respond after this step will result in further sanctions (up to and including freezing all sponsored project spending until the PI is in compliance).
Example: July 10th
 
Salary certification forms will be printed for the month of June and mailed to departments or PIs. These forms are due back to PAS August 15th.
Anyone who has not returned their forms from May (due July 15th) will get a reminder (cc-ing the PI) to complete the forms as soon as possible in order to be in compliance with federal regulations.
Anyone who has not returned their forms from April (due June 15th) will have a second reminder sent to them, the project PI and the PI's chair requesting immediate compliance.
Remember: Changes noted on these forms do not result in changes to employee payroll appointments! The department must still complete a payroll change request and/or RFAs to correct errors.
Scholarship/Fellowship Multiple Payments Domestic Excel Document
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This document is for submitting Domestic Scholarship/ Fellowship requests to KUCR.
Scholarship/Fellowship Multiple Payments International Excel Document
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This document is for submitting International Scholarship/ Fellowship requests to KUCR.
Scholarship/Fellowship One Time Payment Excel Document
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This form is for submitting a one time Scholarship/ Fellowship to KUCR.
Sponsorship Authorization, Tuition and Fees Excel Document
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This form is completed when a student's tuition and fees are paid by a third-party on behalf of the student.
Subrecipient Monitoring PDF Document | Procedure MS Word Document KUCR as Prime MS Word Document KUCR as Subcontractor MS Word Document
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Information on monitoring subrecipients and "Intent to Form a Subrecipent Agreement..." forms.
Subrecipient Monitoring- PHS Compliant Sponsor PDF Document  
Time Extension Request, No Cost MSWord Document
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A template for letters to sponsoring agencies requesting no-cost time extensions.
Tuition Information for GRAs  
UKANS Projects, Project/Grant Budget Transfer Excel Document
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Use this form to move funds from one account to another within a project. Debits must equal credits.

 

TRAVEL ADMINISTRATION
  Accountable Plan  Policy Purpose and Goals  Signature Requirements          
CONTACT
University of Kansas Office of Research
phone785-864-3441
emailkures@ku.edu
Why KU
  • $240 million in research expenditures
  • 48 nationally ranked graduate programs.
    —U.S. News & World Report
  • Pharmacy school No. 2 nationally for NIH funding
  • Hall Center receives 3rd NEH challenge grant to support humanities research collaboration
  • Regional leader in technology commercialization
  • 12 graduate programs rank in top 10 nationally among public universities.
    —U.S. News & World Report
  • Driving discovery, innovation, entrepreneurship
  • Home to 15 major research centers & state surveys
  • 1st in nation for its special education master’s and doctorate programs.
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