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Project Management Responsibilities

Overview
This document outlines the project management responsibilities of each party involved in the administration of externally-sponsored research, education, and service projects conducted on the University of Kansas Lawrence campus.

Principal Investigator
The Principal Investigator (PI) is the lead researcher or project director ultimately responsible for an externally sponsored project. This responsibility includes not only the scope of work of the project, but also its fiscal administration, responsibility for meeting the terms and conditions of the award, and representing the project to the sponsoring agency. All proposals and sponsored projects must have designated one person who will serve as the principal investigator for the project. At the University of Kansas, only persons who possess PI status may be designated as the principal investigator for a project or to submit a project proposal to an external funding agency.

PI Status
In order to be designated as the PI on a proposal or sponsored project, an individual must first have PI status. There are three different types of PI status on the Lawrence campus: regular, special, and project-specific. Because of the serious responsibility that serving as a PI entails, PI status is restricted to certain individuals. The Lawrence campus does not grant PI status to students.

Other researchers who participate in carrying out the scope of a sponsored project and share in the credit are usually identified as a Co-Principal Investigator (Co-PI) or a Co-Investigator (Co-I). The PI may delegate to a Co-PI or Co-I responsibilities for fiscal, administrative, or other aspects of the project. Although some tasks may be delegated in this way, the PI alone continues to bear the overall responsibility for the project. In order to serve as a Co-PI or Co-I, an individual must first be granted PI Status; there is no separate approval process for Co-PI or Co-I status.

When two or more individuals decide to share the PI responsibility for a sponsored project, each individual will be designated as Co-PI. However, one of the individuals must still be designated as the official PI and bear ultimate responsibility for the project in the eyes of KU and, in most cases, in the eyes of the sponsor.

Some sponsors use specific terminology to identify the investigators besides the PI, while others do not. For example, NIH uses Co-I but NSF uses Co-PI. Terminology used in a proposal to describe project roles should correspond with that used by the sponsor.

  • Regular PI Status

    Faculty and academic staff on the Lawrence campus who have one or more of the official job titles listed below automatically attain PI status, effective with their written acceptance of appointment.

    Professor

    Librarian III

    Senior Scientist

    Senior Curator

    Senior Specialist

    Research Professor

    Associate Professor

    Librarian II

    Associate Scientist

    Associate Curator

    Associate Specialist

    Associate Research Professor

    Assistant Professor

    Librarian I

    Assistant Scientist

    Assistant Curator

    Assistant Specialist

    Assistant Research Professor

    -

    -

    Junior Scientist

    Junior Curator

    Junior Specialist

    -

    The KU Lawrence campus honors regular PI status granted to individuals at other KU campuses once the other campus confirms that status to the Office of the Vice Provost for Research.
    When a tenure-track faculty member is denied tenure, he or she automatically loses the privilege of submitting sponsored research proposals, effective on the date of notification of their denial of tenure. All other rights and responsibilities associated with PI status continue until the effective date of that faculty member's termination.

  • Special PI Status

    The University may grant special PI status to certain directors, research associates, and courtesy or adjunct appointees. These individuals must possess credentials similar to those persons described in the regular PI status category.
    To obtain special PI status, the individual's supervisor must submit to the Office of the Vice Provost for Research: 1) a letter of recommendation based on the nominee's expertise, 2) a copy of the nominee's curriculum vita, and 3) a statement that the supervisor's unit agrees to support and house any project awarded under the nominee's direction.
    If there is a change in the appointment of a person who has Special PI status, that person must be renominated for PI status.

  • Project-Specific PI Status

    The University may grant project-specific PI status to unclassified or classified employees of the University who do not qualify for regular or special PI status. This status is granted only on a project-by-project basis and must be requested for each new proposed project.
    To obtain project-specific PI status, the individual's supervisor must submit to the Office of the Vice Provost for Research: 1) a letter of recommendation based on the nominee's expertise that addresses the relevance of the project to the nominee's regular employment responsibilities, 2) the project's title, 3) a copy of the nominee's curriculum vita, and 4) a statement that the supervisor's unit agrees to support and house the specific project.

PI Responsibilities
  1. 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.
  1. 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.

  1. 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; and
    • Timely notification to the Office of Post Award Services for payment of tuition or fellowships for graduate research assistants appointed to the project.
  2. 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.

  3. 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.

KUCR Responsibilities

  1. Signatory Authority

    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: Barbara Armbrister, Director, Research Administration. All proposals are reviewed and approved by KUCR prior to submission to the agency.

  2. 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; and
    • Complies with cost accounting standards.

    3. 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; and
    • 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.

Insurance

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;
    • Animals;
    • Biohazards;
    • Security issues;
    • Conflicts of interest and ethics; and
    • Health Insurance Portability and Accountability Act (HIPAA).

Questions? Please contact:
Barbara Armbrister
785-864-7688 | barmbris@ku.edu
Interim Manager | Post Award Services