保单号码: 10.8

政策部分: 研究

修订日期: 2019年12月16日

1. 定义

大写术语的定义见附录A.

2. 政策声明

作为接受赞助商资助的条件, 作为主要接受者，大学有义务遵守联邦法律, 状态, 以及地方法规. 如果大学设立了一个子奖项，将执行奖项所要求的部分工作的责任分配Give一个子接受者, 大学在管理资金和达到绩效目标方面仍然对赞助者负责. 因此, the monitoring of technical and financial activities associated with a Subrecipient is an integral part of the University’s stewardship of Funding.

3. 本政策适用范围

This policy does not apply to consultant agreements or to agreements for the procurement of goods or 服务 from vendors who not responsible for carrying out any portion of the University’s programmatic Effort under a Sponsored Project.

4. Subaward需求

所有分奖项必须是书面文件, 由研究和研究生办公室协商，并且必须记录分收件人在以下方面的责任条款:

1. 成本核算制度;
2. 承诺的最高资助金额;
3. 物业管理(如适用);
4. 技术性能;
5. 履行期限;
6. certifications of status under and compliance with the Award; and
7. 报告.

5. 角色和职责:首席研究员/项目主任

1. Principal Investigators/Project Directors in collaboration with the Office of 研究 and Graduate Studies and the Office of Grant and Contract Accounting will monitor the programmatic and financial activities of Subrecipients to confirm:
   1. proper stewardship of funds; and
   2. 业绩目标的达成情况(工作范围或具体目标).
2. The Principal Investigator/Project Director must follow University 程序 for monitoring Subrecipient compliance during the period of performance of the Subaward and during Subaward Closeout Principal Investigator/Project Director is responsible for determining the need for a Subaward and providing justification for selection of the Subrecipient. The Principal Investigator/Project Director’s original Proposal must include a separate Statement of Work and line-item budget for each proposed Subaward.
3. 首席研究员/项目总监负责监督子收件人工作范围的进展情况. 这个过程包括通过电话交谈和/或面对面讨论的非正式进展报告, as documented by recordings in a journal or other written summaries; e-mail communications; and/or more formal technical 报告 or other deliverables due on specific dates. Technical progress reviews and 验收 are documented by the Principal Investigator/Project Director’s signature on invoices received from the Subrecipient.
4. 当首席研究员/项目总监与子接受者实体有利益或关系时, 按照学校政策1的要求进行管理.3、利益冲突和/或大学政策.7、外部资助研究的财务利益冲突，如适用.
5. It is the responsibility of the Office of 研究 and Graduate Studies to review proposals prior to submission to assure that Subaward arrangements are appropriately budgeted in the prime Award.
6. 研究和研究生办公室将准备最终的分奖和所有附件. 在颁发分奖项之前，将进行风险评估. 研究和研究生办公室将确保与次级接受者执行的协议是准确的, 完整的, 并符合主要奖项. 当次级奖励涉及联邦资金时，研究和研究生学习办公室将:
   1. 在SAM查阅被取消资格和暂停资格(被排除在外)的当事人名单.政府或后续网站, 确保分接受者有资格获得联邦合同或援助;
   2. ensure that the Subrecipient meets Federal audit requirements; and
   3. ensure there are provisions that the Subrecipient has a 财产 control system that is either 联邦ly approved or meets 联邦 财产 regulations, 除非有特殊条款和条件豁免.
7. 研究和研究生办公室将在赞助项目的管理文件中附加分接受者合规报告.

6. 角色和职责:研究和研究生办公室

研究和研究生办公室将核实和记录, 有适当的证据, 分接收方的合规性:

1. 当Subawards执行时;
2. prior to payment of each invoice; and
3. 在所有分奖的分奖闭幕式上.

7. 角色和职责:赠款和合同会计

1. Invoices presented to Grant and Contract Accounting for payment under Subawards must be signed by the Principal Investigator/Project Director attesting that the stipulated Sponsored Project scope of work is being (or has been) 完整的d according to specifications and schedules in the Subaward Statement of Work, and by the Assistant Vice President for 研究 Integrity and Operations attesting to satisfactory review of the Subrecipient's compliance with audit, 行政, 和监管条款.
2. 赠款和合同会计将对所有批准的发票进行二次审查，以确保它们符合预算限制. 在必要的时候, 可要求子收件人提供额外的文件，以确保不存在不允许的费用. 此类文件可能包括但不限于以下内容:
   1. 工资记录;
   2. 已付发票副本;
   3. Descriptions of 服务 performed; and/or
   4. 旅行文档.
3. 签署的发票副本应包括在赞助项目的会计档案中.

8. 分得奖人奖项的结束

1. The Office of 研究 and Graduate Studies must begin Subaward Closeout actions immediately following conclusion of the Subaward period of performance. 分包结账要求必须包括:
   1. 收到最终发票;
   2. 收集所有需要的可交付成果(技术/进度报告), 发明专利/文档, 设备报告, 等.)由分接受方提供，并由首席研究员/项目总监对技术完成情况进行最终验证, indicated by the Principal Investigator/Project Director’s signature and date on the final invoice; and
   3. Completion of any necessary final review of costs charged to the University by the Subrecipient and final Subaward Closeout of all commitments, 应计费用, 或应付款项.
2. 在子奖项结束过程中, the Office of 研究 and Graduate Studies and the Principal Investigator/Project Director will adhere to the Award Closeout requirements of the Award under which the Subaward was issued. 在一般情况下, 当分包合同到期和/或收到最终技术交付物和财务事项结束时，分包合同终止.

9. 相关政策及文件

• 大学政策1.3、利益冲突
• 大学政策10.1、赞助的研究和活动
• 大学政策10.外部资助研究中的经济利益冲突
• 研究手册

附录A:定义

“奖” 指提供资金的赠款、分赠款、合同、分包合同或合作协议.

“合同收尾” 记录和确保奖项条款和条件得到履行的过程是什么, 证明大学遵守有关规定，并对所有奖项副产品作出最终处置, 比如期末凭证, 报告, 专利信息披露, 财产清查, 应收帐款的回款和结余的处理.

“合同” 意味着 a legally enforceable agreement between the University and a Sponsor that provides Funding when a primary purpose is delivery to the Sponsor of 财产 or 服务 for the benefit of the Sponsor, 除了研究, 教育, 或为大学提供服务.

“合作协议” 意味着 a legally enforceable agreement between the University and a Sponsor that provides Funding when substantial interaction between the Sponsor and the University is anticipated during the performance of the Sponsored Project.

“努力” 指花费在赞助项目上的时间，以及个人获得大学补偿的所有其他活动. 参见大学政策10.15、赞助项目成果报告.

“授予” 指在下列情况下，大学与赞助机构之间可执行的法律协议:

1. 除最终书面报告外，主办方不期望交付特定产品或服务;
2. no substantial interaction between the Sponsor and the University during performance is anticipated; and
3. 该协议包含一般条款和条件，规定了执行期限和最低报告要求.

“融资” 指资助项目的资金支持, 包括钱, 财产, 服务, 或者任何有价值的东西来代替钱.

“首席研究员/项目总监” 指对赞助项目的技术行为完全负责的个人, 与主办方的技术联系, 获资助项目的开支, 履行技术表现和报告义务. “首席研究员”(PI)包括在奖项中被指定为“项目总监”(PD)的个人。, 在履行首席调查员的职责时, 或其他履行首席调查员职能的个人. 在奖项有效期内, 首席研究员/项目主任必须是全职员工, 终身或, 终身教职员工, 研究教授, 研究副教授, 研究助理教授, or, 经教务长或其指定人员批准, 非终身教职, 根据大学政策2任命的非终身教职人员.3、教师职级、职称和投票权.

“建议” 指提交Give赞助商请求资助赞助项目的文件，其中包括, 但不限于, (i) 金融义务, 监管义务, 报告义务或会计义务, 如“赞助项目”所述, (ii)工作报告和(iii)预算.

“研究手册》 refers to the document maintained by the Office of 研究 and Graduate Studies specifying current 程序 and requirements for the proposal, 验收, 执行, 并监督赞助项目.

“赞助商” 指向大学提供资金的任何外部实体. 保荐人可能是(i)政府机构(例如, 联邦, 状态, or local governments or their 行政 organizations); (ii) nonprofit organizations (for example, 大学, 非营利性公司, 基金会, or associations); (iii) for profit organizations (for example, 公司, 合作伙伴关系, 独资企业, and other business entities); or (iv) individuals.

“资助项目” 指所有项目, 项目, 研究, 培训, public service and other activities that receive external Funding through Grants to the University or through Contracts or Cooperative Agreements between the University and a Sponsor, 当下列一项或多项义务适用时:

1. 金融义务. The University is required to comply with conditions imposed when a Sponsor awards Funding for the performance of 服务 or delivery of products described in a Statement of Work;
2. 监管的责任. 大学必须遵守赞助商的规定.
3. 报告的义务. The University is required to provide to the Sponsor technical performance 报告 or regulatory or 行政 报告; or
4. 会计责任. The University is required to establish a separate accounting record of Sponsored Project expenditures to demonstrate allowability of costs, 维持财务问责制, 向保荐人作出财务报告, 并保留适当的记录以备审核.

“工作说明” 意味着 the component of a Proposal or an Award that describes the specific work to be undertaken and the products that will be produced by the Sponsored Project. 如果是次级奖励, “工作说明书”描述了子收件人将承担的具体工作和将生产的产品.

“Subaward” (如果主要奖励是授予，也称为次级授予), 分包合同(如果主要授予是合同或分包协议)意味着正式的合同, secondary agreement between the University and a qualified organization for the performance of a substantive portion of the program funded under an Award. 该术语还包括由子收件人向较低级别子收件人进行的子奖励.

“Subaward收尾” 记录和确保次级奖励条款和条件的履行的过程是什么, 证明分收件人遵守了适用的法规，并对所有分收件人的副产品作出最终处置, 比如期末凭证, 报告, 专利披露和财产清单, 应收帐款的回款和结余的处理.

“Subrecipient” 意味着 the legal entity to which a Subaward is made and which is accountable to the University for the use of the Funding provided in carrying out a portion of the University’s programmatic Effort under a Sponsored Project. 这个词可以包括高等教育机构, 其他非营利组织, 营利性组织和外国或国际组织(如联合国机构), 如果得到主办方的批准.

“大学政策” 意味着, 就本政策而言, 包括在大学政策手册中的所有大学政策和所有其他程序, 的指导方针, and requirements of the Office of 研究 and Graduate Studies and the Office of Grant and Contract Accounting included in the 研究手册, 还有程序, 的指导方针, 以及大学各学院的要求, 学校, 部门, 中心, 研究院, 和部门.

修改后: 2019年12月16日

采用: 2015年1月15日