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KUMC Principal Investigator Changes or Absences

Policy
Purpose: 

To set forth the requirements for a change in the Principal Investigator of a sponsored project. 

Applies to: 

The University of Kansas Medical Center (KUMC), the KU Medical Center Research Institute, Inc. (KUMCRI), and each of their affiliated entities engaged in the conduct or administration of research supported by KUMC and KUMCRI.

Campus: 
Medical Center, Kansas City
Wichita
Salina
Policy Statement: 

When the Principal Investigator (PI) who has been granted a sponsored award or is participating in other funded research including privately funded clinical trials is unavailable to fulfill his or her obligations to the award agreement, the sponsoring agency or the project sponsor, in collaboration with the University of Kansas Medical Center (KUMC) will decide the course of action for the remaining terms of the award.

Procedures must be followed to ensure the continuation of a project or to transfer a grant to another institution when a PI leaves KUMC for another university.  The sponsoring agency and/or the project sponsor will make the determination as to whether the award or contract will remain with the University or be allowed to be transferred.  If the sponsoring agency or the project sponsor, in collaboration with the University, accepts a substitute PI for the completion of the project at KUMC, the project will remain.

If the PI is taking a leave of absence from the project, the sponsoring agency requires advance notification so that a substitute PI may be approved, or a decision made to terminate the project early.  For Federal projects, the Uniform Guidance states that the absence of a PI for three (3) months or more, or for 25% of the project, requires prior approval from the federal sponsor.  For non-federal projects, refer to the sponsoring agency as requirements may differ.  Overall, the procedure will be the same.

PROCEDURE

I. Transferring an existing grant or contract to another institution:

The PI should contact the KUMCRI Sponsored Programs Administration Grant Administrator regarding an intention to transfer the grant as the procedures for transferring a grant to another institution vary per sponsor.

Before a grant or contract can be transferred, KUMC/KUMCRI must be able to “relinquish” the grant or contract.  The applicable forms relating to early termination of a project should be completed and submitted to the Grant Administrator at the KUMCRI so that the award can be closed out.

The PI should communicate with the equivalent Sponsored Programs Administration contact at the new institution regarding the new institution’s requirements for submitting a grant or contract transfer.

II. Notification of change in primary Principal Investigator:

Notify your KUMCRI Grant Administrator of a sabbatical or extended leave of absence that will affect the project. Post-Award changes of the PI require written approval from the sponsoring agency, including sponsor approval of the substitute PI.  

Contact: 

Associate Vice Chancellor for Research Administration: 913-588-5436
Director of Sponsored Programs Administration: 913-588-1261

Approved by: 
Vice Chancellor for Research
Approved on: 
Wednesday, September 24, 2008
Effective on: 
Monday, September 29, 2008
Review Cycle: 
Annual (As Needed)
Definitions: 

Close Out: A procedure to officially conclude a grant.  Institute staff must assure that necessary scientific, administrative, and financial reports have been received, implemented and documented in compliance with federal records management policy.  

Grant: financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.

Uniform Guidance: Uniform administrative requirements for grants and agreements with institutions of higher education, hospitals, and non-profit organizations. 

Keywords: 
Principal Investigator, PI change, sponsored programs
Review, Approval & Change History: 

05/06/2016: Removed Date Last Reviewed
04/18/2016: Uploaded into Policy Library
11/16/2015: Technical Edits
07/29/2015: Uniform Guidance updates and contacts
09/29/2008: Effective Date
09/24/2008: Approved by RAC


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