Category

Award Management

The phases of managing a sponsored project from start to finish are explored with specific details for each step, how-tos and related forms.

24 Topics

  • Sponsored Receivables Management

    Sponsored Receivables Management (SRM) provides support for cash and receivables management for sponsored projects with the focus of maintaining a steady cash flow for the University. SRM processes interim invoices, draws against letters-of credit, applies payments and receipts and pursues collections for sponsored project awards, clinical trials, Academic Service Centers and Program Income. SRM

    May 8, 2025

  • Proposing and Charging Administrative Expenses

    Federal regulations (Uniform Guidance) and Stanford Policy state that clerical and administrative salaries should normally be treated as indirect costs unless costs meet four criteria. Non federal sponsors do not typically follow this rule. Four Criteria for federally sponsored projects For Federally sponsored projects, clerical and administrative salaries should normally be treated as indirect

    July 24, 2025

  • eCertification System: Review and Certification of Expenditures

    The eCertification system supports a single consolidated review and certification process for managing sponsored project expenditures and cost sharing commitments. PIs can review and certify, as required, all sponsored project expenditures of any type online in one system Administrators with Task Manager authority can review all sponsored project expenditures of any type online in one system Drill

    July 24, 2025

  • Cost Sharing

    Introduction Cost sharing represents the portion of allowable, allocable, and reasonable [direct and indirect] costs of a sponsored project not paid for by the sponsor and are instead borne by the institution or third party. This topic guides you through proposing, accounting for, monitoring, and closing a cost sharing commitment. The definition, details, and procedures are outlined in RPH 15.3

    July 24, 2025

  • Managing Your Award

    Introduction According to Stanford policy, PIs are responsible for the ongoing fiscal management of awarded projects, which includes regular monitoring against project period budgets. The Research Administrator supports the PI in fiscal management Monthly Review by the Research Administrator Sponsored project and cost sharing accounts must be reviewed by the Research Administrator and the review

    May 9, 2025

  • Intellectual Property

    Introduction Research at Stanford often results in intellectual property that may be protectable under patent, copyright or trademark laws. Stanford faculty, staff and students have certain responsibilities to the University regarding intellectual property and the University provides resources to help transfer Stanford technology for the public benefit. The Office of Technology Licensing (OTL) is

    December 4, 2025

  • Ethics and Compliance

    Introduction Ethics and compliance concepts are critical to research activities at Stanford University. These regulations serve to maintain the public trust; that is, trust in research results and outcomes; trust that patients and human subjects are given the best care and treatment; trust that public funds are spent for the benefit of all, and trust that scientific investigation is done

    July 15, 2025

  • Protocols

    Introduction Approval of research protocols by the appropriate Administrative Panel is required before beginning research that involves: human subjects; recombinant DNA molecules; human stem cells; human embryos or their derivatives; laboratory animals; infectious or biohazardous agents; radioactive isotopes; or ionizing, ultraviolet laser, and/or microwave radiation. Protocol Submission, Review

    August 25, 2025

  • Monthly Review and Quarterly Certification of Expenditures

    Introduction The purpose of PI quarterly review and certification is to confirm that all expenses charged to the account are allowable, allocable to the project, and reasonable. The certification of salary expenditures confirms that salaries charged to the account are supported by a corresponding expenditure of effort during the time period being certified. The certification also assures that

    May 8, 2025

  • Infrastructure Charges

    Introduction The purpose of infrastructure charges is to recover a portion of infrastructure costs from activities supported by designated and restricted funds since they represent a significant percentage of the University’s total activity. General funds alone cannot bear the full burden of the infrastructure and administrative costs required to support these activities. For Stanford to maintain

    July 28, 2025

  • Faculty Effort

    Effort Effort is the proportion of time spent on an activity, expressed as a percentage of total time. It cannot be more than 100%. 100% effort does not equate to any set number of hours, e.g., 40 or 50 hours per week; it equates to the totality of University compensated effort. Stanford University requires a commitment of effort on the part of the PI during the period in which work is being

    July 28, 2025

  • International Activity

    Introduction Stanford's commitment to providing a safe environment for everyone creates particular requirements for PIs in research laboratories. Labs at Stanford house chemicals, equipment, and other materials that can pose hazards to health. The proper management of these hazards is not only good lab management, it is also a regulatory requirement. Compliance and Operational Support Register

    July 28, 2025

  • Manage Research Data

    Introduction FAIRport Guiding Principles drive the University’s scientific data management. Make sure you understand the type of data you want to share or exchange. Your proposal may require a data management plan and your award may need a data use agreement. Sharing data Stanford provides guidance and resources for research data acquisition, sharing and management. Some data is subject to

    July 28, 2025

  • Salary Caps

    Introduction The PHS (Public Health Service) which includes the NIH (National Institutes of Health) is governed by regulations establishing a maximum salary that may be awarded to a project participant - salary cap. Some non federal agencies also impose salary caps. Stanford will comply with all agency requirements in this regard. Where an agency specifies a maximum rate amount at which an

    September 23, 2025

  • Record Retention

    Introduction While we live in the Information Age, not all information created or received by an organization rises to the level of being an official business record – this important subset requires deliberate management because these records provide evidence of business transactions, decisions and satisfaction of legal obligations. Record Retention Reference Guide Business Transaction Records Not

    May 8, 2025

  • Financial Support for Graduate Students

    Introduction A graduate student is someone with a four-year university degree who is working on a master's degree or Ph.D. Graduate students at Stanford receive funding from a variety of sources that range from government agencies, employers and foundations to academic departments and schools. Although these two resources set forth policy and procedures for graduate student funding, the School

    July 28, 2025

  • Financial Support for Postdoctoral Scholars

    Introduction A Postdoctoral Scholar is a trainee in residence at Stanford University pursuing advanced studies beyond the doctoral level in preparation for an independent career. Postdoctoral Scholars are registered as non-matriculated, non-degree-seeking students with the University. The classification of scholars as students, among other things, allows the deferment of student loans

    January 12, 2026

  • Capital Equipment

    Introduction Stanford defines an asset as capital equipment if it meets all the following three criteria unless otherwise specified by the sponsor terms and conditions. 1. Cost is $5,000 or greater 2. Useful life of more than one year, and 3. Individual, stand-alone, moveable, tangible item Responsibilities of Key Participants Key participants in the management of equipment are the PI, the

    July 24, 2025

  • Cost Principles

    Definition Stanford policy and federal regulations such as the Uniform Guidance state fundamental principles of research administration. An expense qualifies as a direct cost to a sponsored project only when it meets the following four principles. Allowable: Allowable and unallowable costs are defined by federal regulations and in the terms of specific awards Allocable: Only those costs that

    July 15, 2025

  • Allocation of Costs

    Introduction Allocation of costs is the process of assigning a cost or a group of costs, to one or more PTAs in accordance with the benefits received. You should not allocate costs after the fact. Typically, you allocate costs at the time of purchase through a purchase requisition or another mechanism. However, you may need to distribute costs for items such as lab supplies to the PTAs to multiple

    July 28, 2025

  • Rates

    All federal and many non-federal sponsors recognize the need to reimburse the direct costs of research as well as the indirect costs. Known as Facilities and Administrative (F & A) costs, indirect costs are expressed in terms of a rate. The F & A rate is applied to eligible direct costs. Learn more on the application of F & A rates.

    August 27, 2025

  • Non-Sponsored Receivables Rates

    Introduction When Stanford’s resources are used by outside entities, the University must recover some portion of the F&A (Facilities and Administrative) costs incurred in the use of these facilities. Any exceptions to this policy must be approved by the Office of the Vice Provost and Dean of Research or the School of Medicine Dean’s Office. Use of Stanford's Resources Use of Stanford’s resources

    July 28, 2025

  • Responsible and Ethical Conduct of Research

    Introduction Responsible and Ethical Conduct of Research applies to all researchers and research staff engaged in scholarly research. While written with all researchers in mind, special consideration has been given to the needs of students and postdoctoral scholars. The education of students at all levels includes appropriate training and oversight in the responsible and ethical conduct of

    July 24, 2025

  • Monitoring Project Expenses

    According to Stanford policy, PIs are responsible for the ongoing fiscal management of awarded projects, which includes regular monitoring against project period budgets. The Research Administrator supports the PI in fiscal management. Monthly Review by the Research Administrator in the eCertification System Sponsored project and cost sharing accounts must be reviewed by the Research Administrator

    July 24, 2025

23 Policies

  • Policy

    Service Agreements

    This document sets policy and practice guidance to faculty who provide certain services to non-Stanford entities for projects that do not meet the definition of sponsored projects or gifts. It defines necessary criteria and requires approvals for such University agreements.

    January 28, 2026

  • Policy

    Information Security

    This policy articulates security practices and guidelines for research computing systems.

    August 7, 2025

  • Policy

    Memoranda of Understanding and Letters of Intent

    Describes when memoranda of understanding and letters of intent are necessary, and how to prepare the documents.

    June 10, 2025

  • Policy

    Closeout of Subawards

    Outlines the close-out requirements for subawards.

    May 20, 2025

  • Policy

    Subrecipient Monitoring

    Explains principles of accounting as they apply to subawards.

    May 20, 2025

  • Policy

    Issuance of a Subaward

    Procedures for issuing a subaward, including timing and funding mechanisms.

    May 20, 2025

  • Policy

    Proposing a Subaward

    Establishes requirements for proposing a subaward, how to determine the need for one, and the elements to include in a proposal.

    May 20, 2025

  • Policy

    Definitions and Classifications

    Defines subawards as administered through the Stanford Office of Sponsored Research and distinguishes them from other procurement actions.

    May 20, 2025

  • Policy

    Control of Property

    Summarizes responsibilities for handling sponsor-funded/owned and university-funded equipment and property.

    May 20, 2025

  • Policy

    Facilities and Administrative (Indirect Cost) and Fringe Benefits Rates

    Presents an explanation of Stanford University's Facilities & Administrative (Indirect Cost) and Fringe Benefits Rates, including definitions of "on-campus" and "off-campus" rates, and Modified Total Direct Costs (MTDC).

    May 20, 2025

  • Policy

    University Commitments Pertaining to Sponsored Project Proposals

    Discusses Stanford’s requirements of a faculty member’s committed level of effort to a research project, use of space, cost sharing, hiring of consultants and more.

    May 20, 2025

  • Policy

    Academic Policies Pertaining to Sponsored Project Proposals

    Covers the academic policies around sponsored project proposals including Principal Investigator eligibility, openness in research policy and protocol approval process.

    August 7, 2025

  • Policy

    Preparation, Review, and Submission of Sponsored Project Proposals

    Summarizes university policy and procedures with respect to the preparation, review, and submission of proposals for external sponsorship.

    May 20, 2025

  • Policy

    Research Participation Agreements

    Defines policy for the establishment of agreements to make Stanford personnel, academic facilities, and/or laboratory equipment available to non-Stanford entities. Defines necessary criteria and approvals for such agreements.

    May 20, 2025

  • Policy

    Acting Principal Investigatorship

    Establishes the policy that acting principal investigatorship is subject to the same criteria for eligibility as regular PIship.

    June 9, 2025

  • Policy

    Principal Investigator Eligibility and Criteria for Exceptions

    Establishes the policy that principal investigatorship or co-principal investigatorship on externally and certain internally funded projects is limited to members of the Academic Council and the University Medical Line (UML) faculty, with specific exceptions.

    August 7, 2025

  • Policy

    Research Misconduct: Policy on Allegations, Investigations, and Reporting

    Presents procedures for reporting and investigating allegations of research misconduct, and for required notifications to research sponsors (federal and non-federal).

    August 7, 2025

  • Policy

    Retention of and Access to Research Data

    Establishes University policy to assure that research data is appropriately recorded, archived for a reasonable period of time, and available for review under the appropriate circumstances.

    August 7, 2025

  • Policy

    On Academic Authorship

    Presents a systematic discussion of two related issues: first, the allocation of responsibility and credit for scholarly work; and second, those forces that are pushing toward a level of complexity in the conduct of research at which it becomes difficult to determine responsibility of authorship.

    July 31, 2025

  • Policy

    Multi-Authored Research Papers

    Presents guidelines for manuscripts produced by multi-investigator research teams, addressing coherence, review, co-authorship, and maintenance of data.

    May 20, 2025

  • Policy

    Openness in Research

    Expresses Stanford's commitment to openness in research; defines and prohibits secrecy, including limitations on publishability of results; specifies certain provisions that are acceptable under this policy.

    May 20, 2025

  • Policy

    Rights and Responsibilities in the Conduct of Research

    Presents a summary of Stanford's policies and practices related to research, including a review of obligations to students, staff, and sponsors.

    May 20, 2025

  • Policy

    Principles Concerning Research

    Presents broad principles to guide the research enterprise and assure the integrity of scholarly inquiry at Stanford University.

    July 24, 2025

21 How Tos

  • How To

    Find Information for Working With Graduate Students and Postdoctoral Scholars

    The Office of the Vice Provost for Graduate Education (VPGE) sets and disseminates relevant policy, and provides support for program development. Several offices and people are available to assist in a variety of ways with administrative, educational, and policy matters regarding to Postdoctoral Scholars. PIs serve as intellectual and professional mentors to graduate students, helping them to make

    July 28, 2025

  • How To

    Calculate and Charge Salary for Faculty on a 9 Month Appointment That Is Paid Over 12 Months

    Stanford allows faculty with an academic-year appointment (9 months) to have their salary paid out over 12 months. However, the charge to a sponsor must reflect salary as it is earned, not as it is paid. This becomes critical as salary allocations may change over the year as new awards are received, other awards terminate, or situations change. In Labor Distribution in Oracle Financials the charge

    May 22, 2025

  • How To

    Reconcile Expenditures

    Reconciliation is the process of comparing the entries in the eCertification System to supporting documentation and resolving any discrepancies. Most supporting documentation can be found by drilling down on specific expenditure in the system. Reconciling accounts on a regular basis, after month-end close, will help you to manage your sponsored funds to ensure that expenditures and revenues are

    December 4, 2025

  • How To

    Clear an Overdraft

    Refer to the ORA Clearing Sponsored Project Overdrafts page for more information about this topic.

    December 4, 2025

  • How To

    Make Transfers and Adjustments for Veterinary Service Center (VSC)

    Background The Veterinary Service Center (VSC) charges animal care expenses to two expenditure types (ET) which are subject to associated animal care Facilities and Administrative (F&A) costs. More information about VSC F&A overhead rates can be found on the Stanford Rates page . ET 58710 - INTERDEPT NONFED VSC SVC CHG This ET is used for non-federal and other non-sponsored PTAs. The associated

    May 8, 2025

  • How To

    Use a Service Center

    A service center operates facilities or research labs as self-sustaining “businesses” that provide on-going products or services in support of the University’s teaching and research functions. A service center will charge you for the services provided. They must recover their operational costs annually through rate(s) to users based on an approved budget and approved rate(s). The service center

    May 9, 2025

  • How To

    Get IRB/IACUC/Biosafety Protocols Approved

    Protocols are submitted and reviewed online using eProtocol. Remember that your protocol should be clearly written and easily understandable. Panel members represent a variety of disciplines, which means that some reviewers will not be as familiar with your field as you are.

    August 25, 2025

  • How To

    Prepare the Other Support Documentation to Submit to NIH

    The most up to date NIH Other Support Information, Guidance, and Resources can be found on the RMG website HERE

    May 22, 2025

  • How To

    Provide Funds to an International Visiting Scholar at the Beginning of Their Trip to Stanford

    To pay your visiting scholar an honorarium and/or subsistence funds on arrival or near the beginning of their stay on campus, they need to be added to the Oracle system in advance of their arrival on campus. The departmental administrator can initiate this process in Oracle Financials to get the visiting scholar into the system to verify their identity. The departmental administrator can request a

    July 28, 2025

  • How To

    Find My Patents, My Royalty Information, or the Status of My MTAs

    The Office of Technology Licensing Researcher Portal serves as a gateway to: detailed patent, marketing and financial information on your active inventions information on your industrial sponsored research, collaborations and MTAs the online disclosure form for submitting new inventions the MTA Routing (eMTA) form for submitting new material transfer agreements

    May 12, 2025

  • How To

    Disclose an Invention

    Stanford faculty, staff and students can submit an Invention and Technology Disclosure through the Researcher Portal on the Office of Technology Licensing (OTL) website. The disclosure should fully describe the new aspects of the invention, including the critical solution it provides and its advantages and benefits over current technologies. To preserve patent rights, inventors should disclose

    November 25, 2025

  • How To

    Handle a Non-disclosure Agreement

    A company may ask you to sign a non-disclosure agreement (NDA) to discuss a possible research project at Stanford. If you understand the NDA terms and are comfortable complying with them, you may sign on your own behalf. Individual researchers do not have the authority to sign on behalf of the University or their departments. Stanford generally does not sign NDAs (also called CDAs), as the

    July 30, 2025

  • How To

    Ship Dangerous or Hazardous Goods Outside the U.S.

    You may be in violation of Federal Law and create a public safety hazard if you ship biological materials, dry ice, lithium batteries, hazardous materials, or any other “Dangerous Goods” unless you have received specific training and the material is properly packaged and labeled. Complete training for shipping chemical or biological materials, or arrange for a certified hazardous materials shipper

    July 28, 2025

  • How To

    Manage My Research Team

    There are many ways to go about building a research team—some more effective than others. If you are charged with or are interested in building a research team, there are several considerations to keep in mind: Bring together members with diverse backgrounds and experiences to promote mutual learning. Make sure each person understands his or her roles, responsibilities, and contributions to the

    May 22, 2025

  • How To

    Protect Your Computing Devices When Traveling Internationally

    When you travel internationally, the safeguards provided by the Stanford University computing environment are not available. Important data on devices such as laptops, notebooks, iPads, smart phones, MP3 players, thumb drives, SD cards, SIM cards, cameras must be properly protected. Furthermore, if you travel to countries that are known for computer and network-based espionage (e.g., network

    July 28, 2025

  • How To

    Put in Place a Data Use Agreement

    A data use agreement (DUA) is an agreement that is required under the Privacy Rule and must be entered into before there is any use or disclosure of a limited data set (defined below) to an outside institution or party. A limited data set is still protected health information (PHI), and for that reason, covered entities like Stanford must enter into a data use agreement with any recipient of a

    July 15, 2025

  • How To

    Invoice a Sponsored Project or Clinical Trial

    For sponsored Projects, contact Sponsored Receivables Management (SRM). They invoice sponsors for expenditures and ensure timely payment of those invoices. They also provide post-award financial invoicing services, payment application, and collection services for sponsored projects for the University. For Clinical Trials, use Clinical Research Invoicing System for Participants (CRISP). CRISP is a

    May 8, 2025

  • How To

    Deposit a Check or EFT Transfer for Sponsored Projects

    Checks and any remittance advice or backup received in the department for payment on sponsored projects must be forwarded to the Sponsored Receivables Lockbox for deposit (see addresses below). Do not mail or hand deliver checks to the Office of Sponsored Research or Sponsored Receivables Management office. Payments are to be made payable to Stanford University and mailed to the Sponsored

    May 8, 2025

  • How To

    Apply the F&A Rate to My Project's Budget

    The negotiated Facility and Administrative rate (F&A) is applied based on the type of activity proposed and the location, on or off campus, or a combination to the following categories of sponsored projects described in RPH 13.2. These categories include: Research Instruction Other Sponsored Activity Animal Care Non-Federal Clinical Trial Rate F&A Bases The F&A rate is applied to a base, i.e., a

    July 28, 2025

  • How To

    Properly Review the F&A Rate on Monthly Expenditure Report

    Compare the F&A rate on your monthly expenditure report to the awarded rate. The awarded rate is either the negotiated rate found on the Facilities & Administrative (F&A) Cost Rates Table or a reduced rate. If you are working with a negotiated rate, make sure the rate is correct for the project's activity (research, instruction, or other) and that the proper location is used (on campus, off campus

    July 28, 2025

  • How To

    Find High Powered Computing Facilities

    Need access to compute resources beyond your desktop? There are a variety of compute clusters run by the Stanford Research Computing (SRC) team. The SRC manages Sherlock, Stanford's shared compute cluster available for use by all Stanford faculty and their research teams for sponsored or departmental faculty research. Research teams have access to a base set of general compute nodes, GPU-based

    November 26, 2025

5 Forms & Tools

  • FAQ

    Cost Sharing FAQs

    Cost Sharing Frequently Asked Questions 1. If an individual commits 50% FTE to a project, what is that 50% of? What does the concept of 100% FTE mean? For a full-time employee, 100% Full-Time Equivalent (FTE) encompasses all of the time that an individual spends doing the work for which he or she is being paid. For exempt staff, including faculty and Academic Staff, compensation is not based on

    July 24, 2025

  • Checklist

    Checklist for Determining Whether Funding is Postdoctoral Fellowship or a Sponsored Project

    Access the checklist.

    July 28, 2025

  • Template

    Conditions of Gift Letter Templates

    Research Support Attachment 1, the Conditions of Gift Letter Template for Research Support, is recommended for documenting simple, one-time expendable gifts from companies, professional foundations, and associations supporting faculty research. This template may be used for gifts of any amount, but is not to be used for endowment gifts, pledges (multi-year commitments), or building projects

    July 28, 2025

  • Reference List

    All School and Central Research Administration Offices

    Find assistance in your school and central offices: Graduate School of Education (GSE) The Graduate School of Education (GSE) research administration supports the pre- and post-award administrative activities of the School and its centers, from the initial proposal submission to final close out. Our mission is to serve as the School’s central resource and expert partner in research administration

    December 4, 2025

  • Reference List

    List of Unallowable Expenditure Types

    Certain expenses that are appropriate expenditures of University funds are ineligible for reimbursement by the federal government. When coding an expense for an activity that is allowable to be paid with University funds, but unallowable for indirect cost recovery you must identify that expense as unallowable for reimbursement. Use the List of Unallowable Expenditure Types below to find the

    May 9, 2025

11 Announcements

  • NSF PAPPG Update

    View this proposal and award guide update.

    January 11, 2016

  • FY 2019 Partial Federal Shutdown Memo from Kam Moler

    View the memo from Kam Moler.

    January 10, 2019

  • FY2019 Provisional Fringe Benefits Memo from Stella Hu

    View the memo from Stella Hu. View the Department of the Navy Negotiation Agreement.

    September 13, 2018

  • Teaching Resources for Open Payments (Sunshine Act)

    View the presentation on CMS Open Payments - An Overview for Teaching Hospitals. View the presentation on CMS Open Payments - What's Important for Physicians to Know.

    April 16, 2018

  • Chart of Accounts Changes Effective FY16

    View this memo on Chart of Accounts Changes Effective FY16 from The Office of the Vice Provost and Dean of Research, Office of Research Financial Compliance & Services.

    August 24, 2015

  • Chart of Account Changes

    View this presentation on Chart of Accounts Changes Starting Sept. 1, 2015, presented by Jesse Charlton, Director, RAPC and Carol Cook, Senior Analyst, CMA.

    September 1, 2015

  • SLAC Reporting Tools

    View this presentation on Reporting Tools for Joint Staff/Faculty delivered by Natalie Cramar and Amita Gupta at the ABC Research Meeting on May 29, 2019.

    May 29, 2019

  • SLAC Administrative Barriers

    View this presentation on Administrative Barriers to Collaboration between Stanford and SLAC.

    May 31, 2019

  • Spring 2021 NSF Virtual Grants Conference

    Spring 2021 Virtual Grants Conference The Spring 2021 NSF Virtual Grants Conference is designed to give new faculty, researchers, and administrators key insights into a wide range of current issues at NSF. NSF program officers will be providing up-to-date information about specific funding opportunities and answering attendee questions. Registration will be free of charge and opens on Wednesday

    April 14, 2021

  • SLAC The Business of a National Lab

    View this presentation on The Business of a National Laboratory delivered by Suzanne Hansen Director, Business & Technology Services.

    May 31, 2019

  • SLAC Sponsored Research Policies

    View this presentation on SLAC Sponsored Research Policies delivered by Russell Brewer, Akhil Chhabra and Kari Horwath at the ABC Research Meeting on May 30, 2019.

    May 30, 2019