Office of
Research Services

Policies and Procedures

UMKC Specific Policies
#1 - Sponsored Programs Administration (PDF) The Sponsored Programs Office, which includes Pre and Post award services, ("Sponsored Programs") resides in the Office of Research Services (ORS) and is responsible for stewardship of external funds received for Sponsored Projects. Sponsored Programs oversees submission of proposals to external sponsors, negotiation/acceptance of grant and contract awards, and other Sponsored Programs-related matters.
#2 - Pre Award Accounts A Pre-Award Account is established before the receipt of an award. The Sponsored Programs (SP) Office provides a MoCode enabling the Principal Investigator to begin spending prior to having a fully-executed award in place or to incur expenses before the start date of an expected award.
#3 - Proposal Submission Policy (PDF) It is the policy of University of Missouri – Kansas City (UMKC) to require the timely submission of complete proposal packages to the Sponsored Programs Office in accordance with the time line established within this policy.
#4 - Sexual Harrassment, Other Forms of Harrassment, and Sexual Assault - Compliance with Federal Granting Agency Requirements (PDF)

Funding recipients must maintain workplaces that are free of discrimination and harassment by:

  • Establishing and maintaining clear and unambiguous standards of behavior

  • Establishing notification pathways for all personnel, including students, regardless of workplace location
  • Providing accessible and evident means for reporting violations, including reporting when personnel are engaged in conferences, workshops, field work, or other research facilities

  • Ensuring institutional due diligence with timely investigations of allegations and corrective actions

#5 - Compliance with Federal Responsible Conduct of Research (RCR) Training Requirements

UMKC’s RCR Compliance Policy is intended to comply with the requirements of the National Science Foundation’s (NSF) implementation of the requirements of

#6 - Sponsored Programs Limited Submissions Policy (PDF) Sponsors sometimes limit the number of proposals an institution may submit to a given grant program. In order to manage these limited submission competitions, and to prevent the possible disqualification of UMKC proposals by sponsors, a Limited Submissions Policy has been established.
#7 Principal Investigator Eligibility

The title of Principal Investigator (PI) identifies the individual responsible for the conduct of a sponsored project. This responsibility includes the intellectual conduct of the project, fiscal accountability, administrative aspects, and the adherence to relevant policies and regulations. Under the terms and conditions of the award, a PI accepts sponsored funding on behalf of the University of Missouri Kansas City. For that reason, PIs must have a reasonable prospect of long-term employment at the University.

#8 - Sponsored Programs Change in Effort or Status of Principal Investigator or Key Personnel

Unless the sponsor's terms and conditions are MORE restrictive, the University follows the NIH Grants Policy Statement (NIHGPS) which requires PRIOR APPROVAL when there is a significant change in status, including absence, of the Principal Investigator and other Key Personnel. It is the policy of UMKC that any change in status or effort of the PI or other Key Personnel is in compliance with the sponsor’s guidelines, terms of the award, and University policy.  The PI, further, has the responsibility for initiating notification of any such change and all notifications should be routed to the Office of Research Services (ORS) – Sponsored Programs for review and transmission to the sponsor.  In those cases where the PI, due to reasons for the change in status or effort, is unable to initiate such notification, the academic unit has the responsibility to notify Sponsored Programs.

#10 - Fixed Price Residual Balances

Fixed Price Residual Balance Transfer Form

The Fixed Price Residual Balance process provides for distribution of unexpended funds once all deliverables are met. Facilities and administrative (F&A) cost recovery on the transfer represents the residual grant balance that will be recorded as F&A expense based on the University’s applicable rate.


UM System and Other External Policies
Name Position/Unit
DeptIDs (for PeopleSoft entry)
Effort Verification Report (EVR) Training UM System Training
Facilities and Administration (F&A) or Indirect Research Costs

FAQ developed by Association of American Universities (AAU)

Two-page primer developed by APLU and AAU (PDF)

Federal Lobby Disclosure Act 2007 UM System Disclosure
Glossary and Terms Glossary and Terms
Graduate Stipends
OSP Guidance/Policy Memorandums
  1. Transfer of Equipment
  2. Establishing a Center
  3. Proposal Submission Policy (PDF)
  4. Principal Investigator Eligibility (PDF)
  5. List of investigators (IF Form) (PDF)
OMB Circulars
PeopleSoft Grants Electronic Approval Process Go to PeopleSoft Grants Electronic Approval Process‌
UM System Collected Rules and Regulations UM System Collected Rules and Regulations
US Department of Commerce Bureau of Industry and Security Export Control
Sexual Harassment, Other Forms of Harassment, and Sexual Assault – Compliance with Federal Granting Agency Requirements OSPA SPPG Sexual Harrassment UMKC Oct 2019
Establishing an Award Establishing an Award
Allowable Costs and Cost Principles Allowable Costs and Cost Principles
Cost Sharing/Matching Cost Sharing/Matching
Cash Management and Federal Drawdowns Cash Management and Federal Drawdowns
Cash Management and Non-Letter of Credit Invoicing Cash Management and Non-Letter of Credit Invoicing
Uncollectable Grants Receivable Uncollectable Grants Receivable
Effort Verification Reports Effort Verification Reports
Payments to Research Study Participants Payments to Research Study Participants
Participant Support Costs Participant Support Costs
Period of Availability Period of Availability
Award Closeout Award Closeout
Institutional Base Salary Institutional Base Salary
Federal Fringe Rate Federal Fringe Rate
Program Income Program Income
Federally Sponsored Construction Projects Federally Sponsored Construction Projects
Federally Funded Assets Federally Funded Assets
Reporting Reporting
Procurement, Suspension, and Debarment Procurement, Suspension, and Debarment
Subrecipient Monitoring Subrecipient Monitoring
Facilities and Administrative Costs Facilities and Administrative Costs