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Collaborations between KU Center for Research, Inc. and KUMC Research Institute, Inc.

Policy
Purpose: 

Define collaboration mechanisms between Lawrence and Medical Center campuses.

Applies to: 

Faculty, staff, and students on the Lawrence and Edwards campuses.

Campus: 
Edwards
Lawrence
Policy Statement: 

Although the KU Office of Research and the KU Medical Center Research Institute, Inc. (RI) are under the same university system, each organization has its own EIN, federal ID number, indirect rate, and financial system. Therefore, for the purposes of externally funded grant submissions and award management, the two organizations are considered separate institutions when it comes to grants/contracts proposal submissions, fiscal responsibility, audit, and reporting.

This policy defines the appropriate mechanism to utilize when collaborating on cross-campus research projects and programs in order to properly follow Office of Management and Budget Uniform Guidance as well as specific program restrictions.

MECHANISMS

1. Subaward for a budget that includes costs beyond employee salary/fringe/ associated indirect costs, including but not limited to supplies, other operating expenses (OOE), tuition, and/or travel, and full indirect rates:

a. Federal subawards will utilize Federal Demonstration Partnership (FDP) Forms.

b. Non-Federal subawards will utilize Interagency Subaward Agreements.

2. Interagency Memorandum [IAM] for a budget that includes employee salary/fringe/associated indirect costs only:

a. Based on agreement signed between the Institutions, the RI accepts a reduced indirect rate on IAMs.

b. RI and KU Office of Research pre-award personnel will be made aware that an IAM is being included in a proposal at the time of proposal preparation. In the case of an IAM exception (see below), approval will need to be granted prior to submission.  

Exclusions or Special Circumstances: 

Due to the unique nature of certain limited large Program projects (listed below), an Interagency Memorandum may be used in lieu of a Subaward document to meet the programmatic requirements. These will be allowed to have limited non-salary direct costs to meet the needs of the program; 5% of agreement direct cost budget or up to 25% with approval of the Vice Chancellor of Research at the appropriate institution.  Budgets for these IAMs, no matter the other direct cost percentage, will need to be reviewed and approved by both pre-award offices prior to sponsor submission.

Applicable Programs:

  • Intellectual and Developmental Disabilities Research Centers (P30)
  • Kansas University Center on Developmental Disabilities (KUCDD)
Consequences: 

Failure to utilize the appropriate mechanism between Institutes could result in the need to seek sponsor approval for an alternative mechanism for collaborative work.

Contact: 

Contact on the KU-Lawrence Campus:
Assistant Vice Chancellor, Office of Research
785-864-7231

Approved by: 
Vice Chancellor for Research
Approved on: 
Wednesday, November 20, 2019
Effective on: 
Monday, July 1, 2019
Review Cycle: 
Biennial (Every Two Years)
Definitions: 

KU Office of Research: KU Center for Research, Inc. and the University of Kansas Office of Research servicing the Lawrence and Edward Campuses.

RI: University of Kansas Medical Center Research Institute, Inc., servicing the Schools of Health Profession, School of Nursing, and School of Medicine in Kansas City, Wichita and Salina.

Keywords: 
Subaward, Interagency Memorandum, Cross-Campus, Collaboration
Change History: 

11/20/2019: Uploaded to Policy Library.

Research and Sponsored Projects Category: 
Research and Sponsored Projects

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