KU Endowment Check Request
Addendum for Research-Related Payments
Indicators of Research Activities That Must Be Paid by the KU Center for Research or Research Institute (as obtained from Research and Graduate Studies, Research Integrity)
Human Subjects
Research involving human participants requires approval from the Human Subjects Committee Lawrence (HSCL). Payment requests involving the following activities may indicate that such approval is necessary:
§ Surveys
§ Interviews
§ Focus groups
§ Observations of human participants
§ Audio/video recordings
§ Identifiable individual records (e.g., academic, medical)
Contact the Human Subjects Committee Lawrence at 864-7385 or Jan Butin at to inquire whether HSCL approval is required for a given activity.
Vertebrate Animals
Any research, teaching, or observation involving live vertebrate animals (including birds and fish) may need the approval of the Institutional Animal Care and Use Committee (IACUC). Payment for items such as the following may indicate that IACUC approval is needed for the activity:
§ Vertebrate animals
§ Pet food
§ Bedding
§ Firearms/ammunition
§ Cages
§ Aquariums
Contact Research Integrity at 864-4148 or to inquire if IACUC approval has been granted for a given project.
Environment, Health, and Safety
Any activity that may involve hazardous materials or other safety concerns must be approved by the Environment, Health & Safety Department (EHS). This includes activities such as those involving biohazards, hazardous chemicals, lasers, radiation, recombinant DNA, or the transportation of hazardous materials. Any payment requests that involve a material or activity that may contain health or safety risks should be vetted by EHS at 864-2854 or .
Conflict of Interest
Research Integrity should be contacted regarding any payment request that involves a person or business that is known to be an immediate family member of the individual being paid or that has financial ties to the person being paid. Provide:
§ Name and department of the individual and any others authorized to spend from the account.
§ Name of the donor/sponsor.
§ If available, the purpose, scope of work or a budget concerning how the funds will be used, including the names of any subcontractors or service providers.
Research Integrity will check for intersection of disclosed interests with sponsor and spending plans. If an individual has disclosed the sponsor or a service provider as a financial interest, a management plan will need to be in place before funds are spent. Research Integrity coordinates this with the individual’s department and the Conflict of Interest Committee.
Contact Research Integrity at 864-4148 or .
Export Controls
Export controls apply to the transfer of goods and technology outside of the U.S. Individuals may be subject to government fines or other punishment if export control laws are not followed, regardless of their knowledge of the laws. Export controls apply to:
§ Specific goods, equipment, or technologies (commodities) listed on the government export commodity control list (ECCL)
§ Transfer of listed and unlisted commodities depending on foreign destination
§ Who will receive the commodity
§ Other activities of the receiving party
§ Intended end use of the commodity transferred
Export controls apply to the transfer of commodities to controlled foreign nationals in the U.S. or elsewhere. Export controls may be a factor:
§ When there are payments for overseas shipments.
§ When there are technologies that are not intended for public dissemination.
§ When there are personnel from countries on the U.S. embargo list.
If any of the above may apply, contact Susan MacNally at 864-4148 or .
Intellectual Property
KU Endowment payments are one form of University resource and are made in accordance with the terms, conditions, and procedures whereby University Faculty, Staff and Students agree to protect the University interest in intellectual property created by or at the University within their scope of employment in conjunction with intellectual property laws governing patents, copyrights, trademarks, and all other forms of intellectual property.
Contact KU Center for Technology Commercialization at 864-7189 or should you have questions about specific situations.
Subcontracting
Research involving subcontractors, sub-recipients or pass-through entities, including other universities, institutes, non-profit organization or individuals not employed by the University of Kansas, require payment and documentation through KUCR. Payment requests involving the following activities may require a KUCR subcontract:
§ A Co-Principal Investigator, Investigator or Researcher, employed my another organization, will have research contributions included in project report submitted by a KU Principal Investigator
§ Research work is performed by a another university or not-for-profit organization and requires sub-recipient monitoring
§ Research funding provided to other organizations will be distributed to third-party vendors (dealer, distributor, merchant or other seller providing goods or services), which may or may not require the PI’s approval
§ Research activities characterized by previously stated exclusions (i.e. Human Subjects, Vertebrate Animals, etc.) are performed by other organizations within the funded project
Contact KUCR Post-Award Services, Pat Kuester, 864-1267, .
March 2016