Award Management

1. Background and Purpose

1. Overview

Research projects often process large amounts of electronic data both in conducting experiments and disseminating the results. Unlike other data processing systems, research systems are not performing administrative functions nor do they provide critical services for administrative systems. Research systems are also more likely to have unconventional configurations of hardware and software which may evolve rapidly in response to feedback from experiment and analysis in the course of the project.

1. About

1. Close-Out Procedure

A subaward is closed out when its period of performance comes to an end, regardless of whether Stanford's research project is ending or continuing. When feasible, it is advisable for a subaward period of performance to be slightly shorter than Stanford's, to allow sufficient time for collection and review of the Subrecipient's final reports, verification of subrecipient data, and incorporation of the Subrecipient's research results into Stanford's final technical report to the sponsor.

1. Purchased or Fabricated Equipment on Subawards

Stanford's Property Management (PMO) office reviews the property terms and conditions for all subawards issued under contracts, and on those grants where acquisition of capital equipment or fabrication by a subrecipient is contemplated. PIs and their departmental administrators are responsible for assisting PMO to ensure that property acquired or fabricated by a Subrecipient is managed in accordance with the reporting and delivery requirements of Stanford's prime agreement.

1. Authorization for Subrecipient to Begin Work

Establishes requirements for proposing a subaward.

1. Determining the Need for a Subaward

The PI is responsible for determining the need for a subaward on a sponsored project, and for the initial determination that a subaward relationship is appropriate. PIs may be assisted by their departmental administrators in making these determinations.

Describes the roles of the parties involved in proposal, issuance, oversight, and closeout of subawards, including the responsibilities of assessing and overseeing risk associated with a given subrecipient, audit oversight, monitoring subawards, review and processing of invoices, proper management of equipment purchased, fabricated or otherwise acquired under subawards, application of F&A costs, subaward reporting, and closeout. Links to associated forms and detailed procedures are also provided

1. Introduction

This policy outlines the responsibilities for sponsor-funded/owned and University-funded equipment. Procedures are mandatory under Stanford's sponsored contracts and grants as well as under University policy. It is important that the policies concerning such equipment are carefully followed to ensure that Stanford is complying with all of its contractual and legal obligations.

Current rates are maintained by the Cost & Management Analysis Office.

1. Committed Level of Effort

1. Principal Investigator Eligibility

Only members of the Academic Council are eligible to submit proposals to outside agencies. Academic Council members include the ranks of Assistant Professor, Associate Professor and Professor, and in the non-tenure line, Professor and Associate Professor of [Subject], (Teaching), (Performance), (Clinical), (Research), or (Applied Research), as well as certain senior University staff.

1. Applicability

Stanford depends to a large extent on external sources to support programs of research, instruction, and scholarship. Due to the growing complexity of conditions attached to sponsored projects, plus a trend toward greater diversity in sources of support, this policy will apply to the preparation, review, and submission of proposals for external sponsorship.

1. Background and Purpose

1. Eligibility

1. Introduction

Each member of the University community has a responsibility to foster an environment which promotes intellectual honesty and integrity, and which does not tolerate misconduct in any aspect of research or scholarly endeavor.

1. Introduction

Accurate and appropriate research records are an essential component of any research project. Both the University and the PI have responsibilities and rights concerning access to, use of, and maintenance of original research data.

Stanford’s authorship guidelines are intended to apply to all scholarly activities at Stanford regardless of form (e.g., art, articles, books, chapters, design work, guidance documents, presentations, posters, reports, software, web media) or discipline. While the basis for these guidelines is informed by the International Committee of Medical Journal Editors (ICMJE), there is recognition that Stanford scholars and researchers should adhere to the authorship conventions of their discipline and meet the journal-specific authorship requirements.

1. Introduction

Multi-investigator research teams differ significantly from the individual faculty/graduate student research teams, which are the norm at Stanford. In particular, the former often consist of colleagues from different disciplines who perform different, specialized functions. It is possible for participants to have little knowledge or understanding of parts of the work performed by their colleagues. Sometimes, there is no single person who understands all the research.

1. Resolved

That the principle of openness in research - the principle of freedom of access by all interested persons to the underlying data, processes, and to the final results of research - is one of overriding importance. Accordingly, it is the decision of the Senate that this principle be implemented so that no program of research that requires secrecy (as hereafter defined) be conducted at Stanford University, subject to the provisions set forth in Section 4. of this Resolution.

1. Introduction

This policy outlines faculty members' rights and responsibilities in the conduct of research at Stanford.

1. Introduction

The transmission of knowledge and conduct of scholarly inquiry are central and complementary functions of the University. They can be carried out effectively only if scholars are guaranteed certain freedoms and accept corresponding responsibilities.

2. Overview

The Senate of the Academic Council of Stanford University hereby affirms the following principles concerning research: