Research Policy Handbook

Summarizes the principles concerning research, including the rights and responsibilities of faculty to staff, students and sponsors. Discusses practices and policies around openness in research, academic authorship and non-discrimination in research agreements. Includes procedures for reporting allegations of research misconduct.

• 1.1 Principles Concerning Research
• 1.2 Rights and Responsibilities in the Conduct of Research
• 1.3 Academic Freedom
• 1.4 Openness in Research
• 1.5 On Academic Authorship
• 1.6 Multi-Authored Research Papers
• 1.7 Research Misconduct: Policy on Allegations, Investigations, and Reporting
• 1.8 Nondiscrimination in Research Agreements
• 1.9 Retention of and Access to Research Data
• 1.10 Information Security

Covers the policy of eligibility for principal investigators for externally funded research projects and outlines the criteria for exceptions and for acting PIs.

• 2.1 Principal Investigator Eligibility and Criteria for Exceptions
• 2.2 Acting Principal Investigatorship

Includes the requirements for Principal Investigators in preparing and submitting research proposal budgets, the policies around managing project expenditures, and notification to sponsors regarding research project status and more.

• 3.1 Preparation and Submission of Proposal Budgets
• 3.2 Management of Project Expenditures
• 3.3 Sponsor Notifications and Prior Approvals

The Conflict of Interest and Conflict of Commitment policy includes definitions, disclosure procedures, policy implementation examples, and specific requirements for projects sponsored by federal agencies including the NSF and PHS. Also covered are Stanford policies limiting consulting outside of professional activities, circumstances when the university may invest in start-up companies involving faculty, conditions of when it may accept equity as part of an agreement, and procedures designed to ensure that research involving human subjects is conducted without untoward influence resulting from the financial investments or holdings of the university, or that of key institutional leaders.

• 4.1 Policy on Conflict of Interest and Conflict of Commitment
• 4.2 PHS and NSF Requirements Regarding Financial Disclosures and Agency Notifications
• 4.3 Consulting and Other Outside Professional Activities by Members of the Academic Council and University Medical Line Faculty
• 4.4 RESERVED
• 4.5 University Investments in Start-Up Companies Involving Stanford Faculty
• 4.6 Equity Acquisition in Technology Licensing and Distance Learning Agreements
• 4.7 Institutional Conflict of Interest in Research Involving Human Subjects

Provides comprehensive information about Stanford’s human research protection program, and required training. The chapter covers policies around human stem cell research and details the procedures and informed consent requirements regarding specific situations regarding human subjects: Special federal protection for people of childbearing, use of human subjects in student projects, employee or lab personnel participation in research, and guidelines for studies involving volunteers receiving potentially addicting drugs.

• 5.1 Human Research Protection Program
• 5.2 Federalwide Assurance for Protection of Human Subjects
• 5.3 People of Childbearing Potential as Subjects in Research
• 5.4 Use of Human Subjects in Student Projects, Pilot Studies, Oral Histories and QA/QI Projects
• 5.5 Use of Employees or Laboratory Personnel as Research Subjects
• 5.6 Guidelines for Studies Involving Human Volunteers Receiving Potentially Addicting Drugs
• 5.7 Training in the Protection of Human Subjects in Research
• 5.8 Human Stem Cell Research

Procedures for the care and use of live or deceased vertebrate animals for instructional purposes are covered, including the responsibilities for the humane care of laboratory animals, the transport of animals that are not owned by Stanford, and training requirements in the care and use of animals.

• 6.1 Animal Welfare Assurance of Compliance
• 6.2 Use of Vertebrate Animals in Teaching Activities
• 6.3 Responsibilities for the Humane Care and Use of Laboratory Animals
• 6.4 Transport, Care, and Use of Non-Stanford Owned Laboratory Animals on the Stanford Campus
• 6.5 Animal Care and Use Training and Education Program

A guide to the procedures, policies and responsibilities regarding a wide variety of health and safety practices including the handling of chemicals, radiological hazards, laser safety, emergency and non-emergency hazardous material release response, the operation of unmanned flying vehicles, and high hazard research.

• 7.1 Charge to the University Committee on Health and Safety
• 7.2 Health and Safety: Principles, Responsibilities and Practices
• 7.3 Emergency and Non-Emergency Hazardous Material Release Response
• 7.4 University Laboratory Animal Occupational Health Program
• 7.5 Chemical Hygiene Plan and Chemical Hazard Communication
• 7.6 Radiological Hazards
• 7.7 Laser Safety
• 7.8 Biohazardous Agents and Recombinant DNA
• 7.9 Research Funded by the Department of Energy Through SLAC National Accelerator Laboratory
• 7.10 Operation of Unmanned Flying Vehicles
• 7.11 High Hazard Research

Defines requirements for exports of research-related items, information and software code; addresses policies on acceptance of third party export controlled items and data; describes documentation requirements for export control determinations including export license exceptions and exclusions; and establishes compliance with trade sanctions laws as an integral export control policy function.

• 8.1 Applicability and Policy Background, and Regulatory Authority
• 8.2 Definitions
• 8.3 Export Licenses for International Transfers of Items, Software or Technical Information
• 8.4 Accepting a Third Party’s Export Controlled Items or Information
• 8.5 Export Controls and Stanford’s Openness in Research Policy
• 8.6 Export Controls and an Individual’s Eligibility as a Recipient of Export Controlled Items, Software Code, or Information
• 8.7 Recordkeeping Requirements

Outlines the policy and procedures for disclosure and assignment of ownership of intellectual property including inventions, patents,licensing and copyrighted material created in the course of an individual’s university responsibilities. Also discusses tangible research property, and procedures for determination of copyright ownership in unclear cases.

• 9.1 Inventions, Patents, and Licensing
• 9.2 Copyright Policy
• 9.3 Administration of Copyright Policy
• 9.4 Tangible Research Property
• 9.5 Other Intellectual Property: Trademarks, Patents and Proprietary Information

A guide to the policy and procedures governing the appointment of, and compensation to, non-faculty research appointments. These include academic staff, postdoctoral students, visiting scholars, visiting student researchers and visiting postdoctoral scholars. The retention of consultants and appeal procedure for academic staff is also outlined.

• 10.1 Policy and Procedures for Appointment and Promotion: Academic Staff - Research
• 10.2 Academic Staff Appeal Procedure
• 10.3 Postdoctoral Scholars
• 10.4 Retention of Consultants
• 10.5 Visiting Scholars
• 10.6 Relationships Between Students (Including Postdoctoral Scholars) and Outside Entities
• 10.7 Visiting Student Researchers
• 10.8 Graduate Student Research Assistantships
• 10.9 Visiting Postdoctoral Scholars

Defines the terms, policies and procedures for establishing and managing the independent laboratories, institutes and centers under the VPDoR office at Stanford.

• 11.1 Establishing and Managing Independent Laboratories, Institutes and Centers

Covers the procedures for the preservation and treatment of human skeletal remains and defines the responsibilities for management and oversight of them.

• 12.1 Human Skeletal Remains

Details types of research agreements including those for sponsored projects, industrial-affiliated programs, research participation agreements, service agreements and memoranda of understanding and letters of intent. Defines sponsored projects and their difference from gifts.

• 13.1 Gift vs. Sponsored Projects and Distinctions from Other Forms of Funding
• 13.2 Categories of Sponsored Projects
• 13.3 Specialized Categories of Sponsored Projects
• 13.4 Establishment of Industrial Affiliates and Related Membership-Supported Programs
• 13.5 Research Participation Agreements
• 13.6 Memoranda of Understanding and Letters of Intent
• 13.7 Service Agreements

Outlines the requirements for preparing and submitting sponsored project proposals, the academic policies around these proposals and the university commitments to them.

• 14.1 Preparation, Review, and Submission of Sponsored Project Proposals
• 14.2 Academic Policies Pertaining to Sponsored Project Proposals
• 14.3 University Commitments Pertaining to Sponsored Project Proposals

Outlines the administration of various financial aspects of sponsored projects including facilities, administrative and fringe benefit rates, Indirect cost waivers, cost sharing policy, tuition allowance for research assistants, and undergraduate student salaries.

• 15.1 Facilities and Administrative (Indirect Cost) and Fringe Benefits Rates
• 15.2 Indirect (F&A) Cost Waivers
• 15.3 Cost Sharing Policy
• 15.4 Charging for Administrative and Technical Expenses
• 15.5 Salary Cap Administration
• 15.6 Tuition Allowance for Research Assistants
• 15.7 Undergraduate Student Salaries Charged to Sponsored Projects
• 15.8 Cost Transfer Policy for Sponsored Projects
• 15.9 Program Income

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.

• 16.1 Definitions and Classifications
• 16.2 Proposing a Subaward
• 16.3 Issuance of a Subaward
• 16.4 Subrecipient Monitoring
• 16.5 Closeout of Subawards

This policy outlines the responsibilities for sponsor-funded/owned and university-funded equipment, and details procedures for capital equipment acquisition.

• 17.1 Control of Property

Details the committees, councils and governing boards that support research at Stanford, including the Committee on Research and its charge, as well the administrative panels for research compliance. Also describes the confidentiality procedures of administrative panel proceedings.

• 18.1 Committees, Councils and Governing Boards
• 18.2 Charge to the Committee on Research
• 18.3 Administrative Panels for Research Compliance
• 18.4 Confidentiality of Administrative Panel Proceedings