In order to ensure that research 和 projects supported by extramural funding are conducted by those who have the requisite training 和 education, as well as an appropriate relationship with the University, the University generally will only support proposals 和 awards for projects when the Principal Investigator (PI) or Project Director (PD) holds an appointment by the University as an assistant professor, associate professor, professor, 和/or distinguished professor, 或为大学的全职职员。

Other members of the University community must obtain an 大学政策豁免 in order to serve as a PI or PD. Exemptions require the approval of the Provost, Vice Provost, Department Chairperson, if 华体会体育, 和 the Dean of the relevant school. The 首席研究员或项目主管资格 Exemption Form must be signed by the appropriate approvers to ensure that the applicant meets the requirements 和 assurances for exemption.

所有外部赞助者的奖助金提案必须通过RGFR提交。 The PI/PD must allow adequate time prior to submission for RGFR's review 和 preparation of application materials. Accordingly, RGFR must receive all finalized materials at least one (1) calendar week prior to the sponsor's deadline. For example, if a proposal is due to the sponsor on a Wednesday, RGFR must receive the finalized application package by the previous Wednesday. Upon receipt of the final application package, RGFR will conduct necessary compliance checks 和 route the proposal for internal review 和 approval, 和 subsequent submission. Materials received after the internal administrative deadline will not be submitted for consideration without additional approval.

Before a proposal may be submitted for any sponsored project, the PI/PD, working in conjunction with RGFR, must obtain authorization through RGFR's internal review 和 approval routing system, 小马. Authorizations for proposals 和 awards include the: 1) PI/PD, 2) Department Chairperson (if 华体会体育), 3) Major Area Budget Manager, 4) Dean or Director, 5) Associate Provost, 6) VP for Advancement (private funders) 7) Vice Provost, 和 8) Provost (proposals 和 awards $50K 和 above).

• 暑期薪酬政策

子收件人/子奖励策略概述

间接成本（设施及行政费用）

研究中的利益冲突政策

PHS/NIH在研究中的利益冲突政策

大学利益冲突政策

负责开展研究培训要求

For each proposal to NSF that proposes to conduct research off-campus or off-site, the submitting organization's authorized organizational representative (AOR) must complete a certification that the organization has a plan in place for this proposal regarding safe 和 inclusive working environments. See 章II.E.9 of the Proposal 和 Award 政策及程序 Guide (PAPPG) for more information.

Proposals that propose to conduct research off-campus or off-site, must submit a plan that addresses how the following types of behavior will be addressed:

• Abuse of any person, including but not limited to harassment, stalking, bullying, or hazing or any kind, whether the behavior is carried out verbally, physically, electronically, or in written form; 和
• 不受欢迎的、冒犯的、不雅的、淫秽的或混乱的行为

This plan should also identify steps the proposing organization will take to nurture an inclusive off-campus or off-site working environment, e.g., trainings; processes to establish shared team definitions of roles, responsibilities, 和 culture, e.g., codes of conduct; 和 field support, such as mentor/mentee support mechanisms, regular check-ins, 和/or developmental events.

Communications within the team 和 to the organization should be considered in the plan, minimizing singular points within the communications pathway (e.g., a single person overseeing access to a single satellite phone). Any special circumstances, such as the involvement of multiple organizations or the presence of third parties in the working environment, should be considered. The process or method for making incident reports as well as how any reports received will be resolved should also be accounted for.

The organization’s plan for the proposal must be disseminated to individuals participating in the off-campus or off-site research prior to departure.

披露其他支持和关系

对于允许的成本，它必须是：

• 必要的: 为履行裁决书所必需和合理的
• 合理: if it does not exceed an amount that a prudent person would incur under the circumstances prevailing when the decision was made to incur the cost
• 可分配的: 如果费用是可转让的，并且是专门为裁决而发生的。

Additionally, the cost must be consistently treated, adequately documented, 和 conform to any limitations or exclusions set forth in federal or funder guidance, in addition to university policy.

The PI/PD has primary oversight to ensure that all charges 和 budget revisions are made in accordance with the terms 和 conditions of the award.

成本转移政策

采购政策

资本设备管理政策概述

The Federal Government prohibits expending federal funds on goods 和/or services from any entity suspended or debarred from doing business with the federal government.

采购: A procurement contract is considered a “covered transaction” if it is for an amount equal to or greater than $25,000. 采购 of goods 和/or services of a covered transaction with federal funds from a supplier or contractor shall be checked for debarment 和 suspension before purchasing 和/or awarding a contract or subaward.

To ensure that 佩珀代因大学 is not doing business with vendors who have been suspended or debarred from doing business with the Federal government, the PI/PD is responsible for ensuring the eligibility of vendors of goods or services that will cost $25,000 or more prior to the acquisition of goods or performance of services. For procurements $25,000 or more, the department/school is required to reach out to RGFR to conduct a debarment 和 suspension check before creating a purchase order or making a payment. Results from the SAM.gov search shall be made part of the purchase order/contract documentation.

The department/school may also verify debarment 和 suspension by obtaining certification from the entity, or adding a clause or condition to the covered transaction with the entity. The department/school must provide the certification, clause, or condition to RGFR for review 和 documentation.

Project changes requiring funder approval 和 revisions that can be tracked internally depend on funder terms 和 conditions. Please reach out to RGFR prior to making any project revisions.

预算的修正

重新编制预算是将资金从一个预算类别或项目转移到另一个预算类别或项目。 During the performance of the project, the PI/PD may realize that modifications to the budget are necessary. Many sponsors are flexible with respect to how project funds are expended, 和 generally allow budget changes that are necessary to carry out the project, without changing the scope of the funded project. PIs/PDs must know the specific requirements for their awards 和, if necessary, request prior approval for budget modifications.

Rebudgeting to include vertebrate animal care costs or human subject costs is not permitted without prior IACUC or IRB approval. RGFR is available via telephone at (310) 506-6996 or email ([email protected]) to provide further information to PIs/PDs regarding any matters related to budget modifications.

免费的扩展

A no-cost extension (NCE) is a request to extend the termination date of a project without any additional funds.

The PI/PD must plan 和 manage project work in an efficient manner such that the project will be finished within the timeframe 和 funds authorized. Despite a PI's best efforts, they must sometimes seek additional time to complete the project, with or without additional funds. pi / pd必须获得RGFR的免费延期批准。 RGFR将联系资助者以批准免费延期。

For common project changes, such as one-time NCEs, some funders (most NIH 和 NSF grants) require only prior notification of the change, i.e., grantee-approved requests, 和 once we notify the funder of the project change, it’s immediately effective.

减少工作量和/或更换首席研究员/项目主任

When a PI/PD will be absent from a project for three (3) or more consecutive months or reduce effort by 25% or more, the PI must seek prior approval from the University 和 the funder. In the event of such an absence or effort reduction, the funder may require a change in the PI/PD. PIs/PDs may also need to be added or removed from a project under other scenarios.

范围变更

Significant changes in the project or research from what was originally proposed 和 approved always require notification 和/or approval from the funder. This includes change in objectives, major activities, methodology, 和 delays or adverse conditions that may affect the ability to carryout the project.

工作成果报告政策

Funders' record retention requirements (usually three [3] years for federal sponsors) usually commence after the end of the calendar year in which the expiration/termination of the sponsored agreement occurs.. Notwithst和ing funder record retention requirements, which vary from funder to funder, PIs/PDs must also review 和 conform to the 大学档案管理政策及时间表. For questions regarding record retention requirements, please contact RGFR, available via telephone at (310) 506-6996 or via email ([email protected]).

If a funder seeks an audit of an award, the funder or its designated representative must perform the audit or otherwise arrange for the audit to be conducted at its own expense. When an audit is sought, the PI/PD must notify RGFR immediately if the audit is not sought through RGFR. The notice to RGFR should include information regarding when 和 how (i.e., through whom) the sponsor plans to conduct the audit. The PI must also provide RGFR with reasonable assistance throughout the audit process. If costs charged to the audited sponsored project are disallowed in the course of the audit, those costs will be borne by the PI's/PD’s department 和/or school. RGFR will coordinate with the department 和/or school to prepare 和 submit a revised final invoice 和/or Financial Status Report if required as the result of the audit.

Separate from any audit initiated by the sponsor, a certified public accounting firm performs an annual financial audit of the University's accounting records. The annual audit includes a review of sponsored project accounts funded by federal agencies or institutions, 和 a determination of the University's compliance with federal regulations. This audit is conducted in accordance with OMB Uniform Guidance 和 satisfies most federal audit requirements. RGFR works closely with General Accounting, which serves as the University representative to coordinate this audit, to respond to all inquiries regarding University sponsored project accounts posed by the accounting firm during the course of the audit. However, the PI's/PD’s department may be asked to assist with the audit as deemed necessary 和 appropriate.

Finally, in addition to the above-described audits, University Assurance 和 Advisory Services may conduct internal audits or consults. When such audits or consults are conducted, departments may be called upon to participate in some manner.

Preparation for the closeout of an award should begin immediately upon receiving the award. The PI/PD must review the Notice of Award Memor和um, the accompanying agreement, reporting requirements, 和 the budget to ensure accuracy 和 future compliance.

In advance of the project period end date, attention should be given to a complete review of the account in preparation for closeout. The review should involve the collaboration of the PI/PD 和 their Major Area Budget Manager.

After completion of the award period, the PI/PD will work with RGFR 和 their budget manager to complete all closeout requirements on behalf of the sponsor 和 Pepperdine University. PIs/PDs will be required to review, complete, 和 sign a 补助金完成核对表 to closeout the grant project.

大学专利及版权政策

Ownership 和 publication rights to data, materials, records, 和 any other form of intellectual property developed on sponsored projects will be specified in the terms of the grant agreement.

公共获取意味着所有人都可以免费阅读研究成果。 公共访问不要求输出没有版权或重用许可。

All federal agencies with research 和 development expenditures are subject to the 2022 Office of Science 和 Technology Nelson Memo guidance, which provides free, immediate (without embargo), 和 equitable access to research that is federally funded. It applies to all federal agencies, including those providing funding in the Humanities & Social Sciences, 和 applies to both peer-reviewed publications 和 underlying scientific data.

开放获取 provides both free 和 unrestricted online access to read published research outputs with the addition of reduced copyright restrictions. 开放获取 publications are released with a copyright license (such as a Creative Commons license) that allows some type of reuse, re-distribution, modification, or adaptation.

佩珀代因图书馆的数字出版物 is a repository for research 和 scholarly output selected by individual university departments 和 centers on campus. Our publishing platform, 数字共享, provides instant access to full text works 和 preserves these materials in an open access secure digital environment.

研究, Grants, 和 Foundation Relations works closely with faculty/staff, Advancement Services, 和 General Accounting to determine whether a contribution to the university qualifies as a gift or grant. The following factors are considered 和 are typically indicative of a grant:

• 具体的项目、研究、活动或工作范围
• 指定履行期限
• 支出分项预算
• 报告需求或可交付成果

RGFR将私人赠款和捐赠通过推进服务进行处理。