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14.04 / Externally Sponsored Research Programs

Procurement for externally sponsored research programs must comply with the following: University policies; state or federal laws and regulations; and requirements of the funding source. All procurement for externally sponsored research programs will be processed through the Office of Purchasing. Federal procurement standards1 and any special constraints imposed by the sponsoring agency must be observed. Expenditures require funding approval from the Office of Research and Technology Transfer (RTT) and all applicable research budgets and purchasing requisitions shall be routed through RTT prior to forwarding to the Office of Purchasing.

Subcontracting:

The Office of Purchasing will prepare the appropriate bid documents to be used, unless otherwise agreed by the Office of Purchasing and RTT. The principal investigator and the contract specialist in RTT will develop the subcontract in cooperation with the Office of Purchasing. Upon approval by the principal investigator, the contract specialist or the Office of Purchasing will obtain the signatures of the subcontractor and the authorized signatory for the University. Work shall begin only after completion of a signed contract.

Sole authority for issuing a change order and/or a change in the statement of work to the subcontractor belongs to the Director of Purchasing who will consult with RTT as necessary. The principal investigator shall receive reports and monitor progress of the subcontractor. Any requirement or request to redirect the subcontractor must be submitted to the Director of Purchasing for appropriate action.

Request for payment to subcontractors must be approved by the principal investigator and RTT. Approval by the principal investigator attests that the subcontractor has met all scheduled requirements under the contract in a manner that represents satisfactory technical/services/production criteria of the contract. Approval by RTT attests the monetary value is within the contract budget. Any variations noted by the principal investigator or RTT will cause the Office of Purchasing to initiate action with the subcontractor to resolve the concerns before payment is made. An Invoice Control Document  (with invoice attached) is then processed through RTT and will then be forwarded to the Office of Purchasing for payment.

Other Statutory Requirements:
There are several statutes and regulations which govern or are applicable to this area of purchasing. The Office of Purchasing or the General Counsel will be available to assist in ensuring that a purchase requisition is in keeping with required guidelines when questions arise beyond the scope of this manual. The following is a non-exhaustive list of important considerations:

  1. Complete documentation is required to support payments for all commodities and services.
  2. All contractual service agreements must be documented in accordance with normal purchasing and contracting policies.
  3. For all computer and telecommunication acquisitions, assistance from Information Technology Services is available for specifications.
  4. Printing services must be performed in accordance with Section 15.03 of this manual.
  5. Purchases of insurance is restricted by statute. Please contact the Office of Purchasing or the General Counsel for specific requirements.
  6. Rent or lease of space must be approved by the Vice President for Administration and Finance and the Secretary of Administration for the State of Kansas.
  7. Observance of conflict of interest laws is required.
  8. Compliance with the Kansas Prompt Payment Act is required.
  9. See Section 3.35 of this manual regarding determination of independent contractor status.
1 Federal procurement standards must be followed where they are more restrictive than the State of Kansas. These standards are contained in the Uniform Guidance 2 CFR 200.217 to 2 CFR 200.326. All goods and services must be eligible for payment from grant funds according to guidelines from the sponsoring agency. These guidelines for federal grants are found in the Uniform Guidance 2 CFR 200. Contact RTT or the Office of Purchasing for more information in these areas or for copies of the circular.

Effective Date:
March 29, 2016

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