Handbook of Operating Procedures

I. POLICY AND GENERAL STATEMENT

这是德克萨斯大学休斯顿大学健康科学中心（“大学”）的政策，遵守有关赞助项目人员的努力认证的联邦准则和法规，并保持记录，以准确反映人员为赞助项目贡献的努力。努力认证政策，程序和报告对于确保向这些赞助项目收取的薪水和工资至关重要。本政策的目的是描述大学用于达到这些要求的方法。未能保持准确的努力报告可能会导致民事或刑事欺诈调查。该大学利用了在管理和预算循环A-21（“ OMB A-21”）下进行努力的事后活动记录方法，需要遵守法规。

这些要求适用于所有薪金直接收取全部或部分的薪金的员工，或用于满足赞助项目的成本分担或匹配要求和/或已努力为赞助项目（包括教职员工，专业和非专业）提供努力。- 专业员工，如下所述。

拥有联合任命的教职员工（例如，与大学和德克萨斯大学M. D. Anderson癌症中心）仅占与大学相关的活动。

A.赞助项目帐户

赞助项目帐户是涉及的帐户：

• 赠款
• 合同
• 礼物
• 捐赠

B.建立的时间表

指定的部门代表有责任确保在收到后30个日历日之前提交完整的努力认证报告。

C. Accountability

小学个人和教职员工必须完成努力认证报告，以实现自己的努力和支持个人的努力。

主要个人必须证明自己的努力报告，并且必须为直接监督的员工提供认证。他们还必须为所有其他从其赞助帐户付款的人验证努力认证报告的合理性。大学部门和小学个人负责确保所有努力认证报告符合本政策。

II. DEFINITIONS

承诺的努力：The amount of effort proposed in a grant or other project application that is accepted by a sponsor, regardless of whether salary support is requested for the effort.

Effort：在工作报告所涵盖的期间，员工对一项赞助项目进行的合理估计。努力是基于机构的全部活动，并且不假定40小时的工作周或任何其他标准工作周。在此期间所做的努力必须支持任何补偿金额。为了确保这一点，在此期间必须大于或等于资金。如果努力大于资金，成本分摊可能需要报告。

努力认证：A means of confirming that the effort supported or paid by the sponsor has been performed and effort committed in support of a project (but not paid by the sponsor) has been performed.

最低限度的努力：The minimum level of committed effort that may be expended for a Primary Individual listed on every sponsored project on which he or she is involved.

最大努力水平：可能会在他或她参与其中的每个赞助项目上列出的主要个人所花费的最大努力水平。

每cent of Effort：The proportion of effort expended by an individual for the institution in relation to the amount of time he or she is employed. In all cases, effort for any individual must total 100 percent, even if his or her FTE (full-time equivalent) status is less than 100 percent. Thus a part-time employee (e.g., .5 FTE) will always report 100 percent effort.

Individual：Anyone who has paid effort and/or committed effort on a sponsored project. Where appropriate in this policy the following subcategories will be utilized:

Primary Individual：被列为首席研究员，项目总监，共同投资者，共同项目主任或在赞助项目申请中承担可比责任的人。通常但并非总是会有学者（即教师）任命。

Supporting Individual：An employee other than a Primary Individual who has expended effort on a sponsored project. The supporting individual may or may not have been identified on the funded application and typically does not have committed effort greater than the amount paid on that specific sponsored project.

Institutional Base Salary：无论个人的时间都花在研究，教学，患者护理还是其他活动上，个人从大学获得的保证年度赔偿总额。beplay苹果手机能用吗除非赞助政策进一步限制了薪金，否则机构基本工资应用于计算向联邦赞助项目收取的工资。机构基础工资包括指导，患者护理，公共服务，研究和/或其他活动的赔偿。beplay苹果手机能用吗机构基本工资不包括附带福利支付；报销费用；临时工作的临时补偿；在机构履行职责之外获得的收入；以及任何被视为处于危险中的薪酬。

全部机构活动：那些由大学支付个人的活动。常见活动包括行政职责，指导，患者护理，公共服务和研究。beplay苹果手机能用吗

University Funds：Any funds under the auspices and control of university, including, but not limited to, state, designated, sponsored and/or gift accounts.

iii。程序

A. Approval Process for Sponsored Project Proposals

每HOP Policy 64申请或赞助项目资金的建议，应尽快将提案提交给赞助项目办公室（至少在申请截止日期之前的10个工作日），以加快审查过程。

作为此批准过程的一部分，每个主要个人的主管都必须审查并批准预期的提案中的努力，并且必须确保在提案中列出的每个主要个人都意识到并已批准他或她参与活动。此批准过程还必须包括主要个人主管对强制性和自愿的审查成本分摊包含在建议中。

B.机构基础工资

The institutional base salary shall be used to compute salaries charged to federal sponsored projects unless sponsor policies further limit salary charges.

C. Effort Certification

1. Distributing Effort Certification Reports:赞助项目管理负责以电子方式向从事赞助项目的主要个人分发工作认证报告。

2. Calculating Effort:努力认证报告基于合理的估计，认识到管理，患者护理，研究，服务和教学通常是密不可分的。beplay苹果手机能用吗许多人有多个责任，必须衡量，监控和报告。在工作日的过程中，这些活动领域之间的分离有时很难辨别，这增加了有效的努力报告系统的需求。

努力认证报告中显示的努力必须以百分比报告，所有努力必须等于100％。如果个人小于1.0 FTE，则必须将其努力转换为100％。例如，一个人可能被资助为.5 fte，其中.3专用于授予A和.2授予B。在赠款B上授予A和40％的努力。

3.努力证明：努力认证报告必须包含证明声明，表明认证者具有合适的验证方式，所显示的金额是对所述期间实际执行的实际工作的合理估计。

4.刑事处罚：Criminal charges may be brought against an individual who certifies a falsified report.

5.全部机构活动：努力是基于整个机构活动，包括所有成本分摊活动，并且不假定工作周或其他任何标准工作周都没有假设。重要的是要记住，努力认证报告和工资记录并不相同。

6.如何描述全部机构活动：Total institutional activities are grouped on effort certification reports according to the classification of expenditures used by the university in its facilities and administrative rate proposal. These classifications may include organized research, instruction, departmental research, patient care, other institutional activities, etc.

7.最低和最大程度的努力：The required minimum level of committed effort listed for a university Primary Individual is 2% on every sponsored project he or she is involved in. Exceptions to this minimum level of effort are granted for equipment and instrumentation grants, doctoral dissertation grants, and augmentation grants. The minimum level and the Primary Individual’s actual effort should be commensurate with his or her responsibilities on that sponsored project.

The maximum level of committed effort for a university Primary Individual who has effort commitments on sponsored projects is as follows:

位置	努力上限
执行领导（总统，副总统，院长，研究所董事）	70％
Academic Leadership (Department Chairs, Division Directors )	80％
终身任职教师	90％
非任期教师	95%

如果一个主要个人持有多个position, his or her effort commitments will be limited to the lowest effort cap applicable to any of the positions. There are rare occasions for a Primary Individual to be appointed 100% on sponsored projects. These occasions are rare because the Primary Individual generally performs other activities whose costs are not allowable under OMB A-21.

这些最低和最高水平的例外需要教职员工，教职员工主席和各自的院长的审查，批准和签名。

8. Changing an Effort Report Prior to Certification:If necessary, changes may be made to an effort report before certification to reflect actual effort worked on the sponsored project. If a change in the effort report impacts funding, the responsible party must submit a Personnel Action Request. If the Personnel Action Request is retroactive, the responsible party must also submit the appropriate documentation to thePost Award Finance (PAF) Team，遵守追溯人事行动政策（请参阅hoop政策137处理追溯性人事行动）。此外，负责方必须按照成本转让政策提交成本转移请求（请参阅HOOP Policy 96 Cost Transfers）。

9.政策执法：Violations of this policy will be handled in accordance with the appropriate disciplinary policy for faculty, administrative and professional, and classified staff. Travel restrictions will be imposed on faculty who have outstanding effort certification tasks after the 30-day certification window has closed. These restrictions will include travel on University funds or using University time. Additional consequences for untimely completion of effort certification reports may include, but are not limited to, moving all non-certified salary expenses off the sponsored account and onto a departmental unrestricted account.

iv。联系人

• • 赞助项目管理
  • 713-500-3999
  • effort@uth.tmc.edu
  • //www.tjghsg.com/sponsored-projects-administration/manage/manage/feftort-reporting/general-information

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