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The University is legally accountable to the sponsor as the official recipient of a grant, contract or cooperative agreement; however, the PI, acting through the department/school/college, is responsible for the proper fiscal management and conduct of the project. To assist the faculty member in this very important responsibility, the University provides supporting administrative services and has established procedures to help meet both sponsor and University administrative requirements. Without the full cooperation and vigilance of the PI, the department, and the college, the University would fail in its stewardship role. In the truest sense, therefore, the sponsored programs process is a joint effort between the PI, the department, the college and the University. Each must do their part well in order to achieve success.

The Vice President for Research is designated as the Institutional Official with the authority to deal directly with funding agencies, both federal and non-federal, relating to any aspect of sponsored projects at ������. The Division of Research and Sponsored Programs promotes the creation and maintenance of a University environment that encourages and supports research productivity and compliance. The Vice President for Research is responsible for directing and guiding KSU’s research mission and for oversight of the Division of Research and Sponsored Programs where, among other things, policies, procedures, and business decisions related to research and sponsored project administration are formulated and monitored.

The Offices of Sponsored Programs and Grants Accounting work cooperatively with the PI and the sponsoring department in the administration of the funded project. The components of the grants management manual have been designed to serve as a reference for all personnel who have any involvement in, or oversee faculty or staff who administer, funded projects.

Grants Accounting is a unit of the Controller’s Office and oversees the accounting and financial management aspects of sponsored projects for all Kent State campuses. Sponsored Programs, working with Grants Accounting, assists with the implementation and management of the funded project.

University policies have been established to comply with State and Federal laws and regulations. The U.S. Office of Management and Budget (OMB) guidelines generally known as the ‘Uniform Guidance’ that reside in , lay the basic framework for the management of sponsored projects. Most awards have additional terms and conditions set by sponsor guidelines as well. In all cases ������ policies and procedures still apply to externally funded activities. PIs should be aware that when federal, sponsor, and/or University regulations overlap, the most restrictive regulations apply. The PI is responsible for reviewing federal, sponsor, University, and departmental guidelines, policies, and procedures that are applicable to each project, in order to maintain compliance throughout the life of the project.

What is a Sponsored Project?

A sponsored project is defined as any externally funded research or scholarly activity that has a defined scope of work or set of objectives. These objectives provide a basis for sponsor expectations. Sponsored projects involve research, demonstration, professional development, instruction, training, curriculum development, community and public service, or other scholarly activity involving funds, materials, other forms of compensation, or exchanges of in-kind efforts under awards or agreements. The presence of any one of the following conditions normally identifies the activity as a sponsored project:

• The proposal is submitted in response to an RFP (request for proposals) or similar solicitation. All proposals are to be submitted via Kuali for review and approval.
• The proposal commits the University to a specific line of scholarly or scientific inquiry typically documented in a statement of work to be performed.
• The proposal includes a set of objectives which provides a basis for sponsor expectations.
• The proposal commits University resources, such as personnel effort or use of equipment, facilities, or other resources.
• The proposal includes a detailed budget.
• The proposed project involves the use of human subjects, laboratory animals, radioactive or hazardous materials, recombinant DNA, carcinogens, pathogens, or proprietary materials.
• There is a written agreement for a commitment of resources between a sponsor (person, corporation, foundation, or government agency) and the University.
• There is a specified period of performance, typically defined by “start” and “end” dates.
• The sponsor requires deliverables stated in an agreement, such as reports, financial accounting, or intellectual property ownership.
• The award includes conditions for specific formal fiscal reports and/or invoicing.
• The award restricts or monitors publications or use of results or requires protection of confidential information.
• The award provides for the disposition of tangible or intangible property that may result from the project such as equipment, records, formal activity reports, theses and dissertations, rights in data, software, copyrights, inventions or research-related materials.
• The award specifies fiduciary responsibilities such as adherence to a line item budget, project audit, payment contingencies, and the return of any unexpended funds at the end of the project.
• The sponsor is involved in making decisions regarding project performance or stands to derive benefit from the work performed.

Sponsored grants and agreements are made to the University or ������ Foundation on behalf of the PI, who is primarily responsible for overseeing the execution of the project.

In developing a proposal and administering an award, the PI represents the University and is responsible for upholding the high standards expected of University projects. The PI is responsible for obtaining all required University approvals by submitting the proposal through Kuali. The PI also serves as fiscal officer of the project, with all the attendant responsibilities of project fiscal management.

Sponsored projects are subject to facilities and administrative costs (F&A) at the University’s rate applicable to the type of project being conducted. If the sponsor has a published federally negotiated policy, uniformly applied, prohibiting or restricting the payment of F&A costs, the University will accept the reduced F&A rate in accordance with the sponsor’s policy. This policy does not apply to for-profit sponsors that are expected to provide full F&A recovery.

In cases where there is a question whether a particular project should be treated as a sponsored project contact the Director of Sponsored Programs for guidance.