Applicability of the Stanford University Research Policy Handbook (RPH) to SLAC National Accelerator Laboratory (SLAC)

1. Purpose

This policy describes how the Stanford University Research Policy Handbook (RPH) applies to SLAC National Accelerator Laboratory (SLAC) and identifies key differences between RPH and SLAC policies and requirements. 

2. Introduction

SLAC National Accelerator Laboratory (SLAC) is one of several Department of Energy (DOE) Office of Science laboratories and a Federally Funded Research and Development Center (FFRDC). SLAC is operated by Stanford University on behalf of DOE and is considered a unit of the University. The SLAC Laboratory Director reports jointly to the Stanford President and Stanford Provost.

SLAC is located on Stanford University land leased to DOE since 1962. The DOE has awarded Stanford a management and operations contract (Contract or M&O Contract) to operate SLAC on a full cost-recovery basis. Over time, the DOE has developed the site with federally owned scientific facilities and structures as SLAC’s mission has expanded and evolved. Stanford, too, has constructed its facilities on the leasehold with DOE’s approval. SLAC’s mission includes research in both basic and applied sciences conducted by SLAC faculty, staff, students, and external users and collaborators from around the world.

As a Stanford unit operating under a federal contract and stewarding federal facilities and funds, all SLAC employees are Stanford employees. SLAC includes faculty through its Particle Physics and Astrophysics and Photon Science departments, with the SLAC Laboratory Director also serving as Dean. In addition, many Stanford faculty hold joint appointments in SLAC departments, and numerous students and postdocs conduct their research or work at SLAC.

Due to SLAC’s unique contract model, Stanford policies and its dual governance structure generally apply to SLAC. However, key differences exist due to the Contract, national laboratory and FFRDC practices, and sponsor expectations. This policy provides a broad but non-exhaustive summary of key distinctions between the RPH and SLAC policies. 

3. Scope

This policy applies to all Stanford faculty and staff, including those affiliated with SLAC. If a RPH policy is not explicitly addressed in this policy, it is presumed to apply to SLAC unless otherwise superseded by applicable laws, regulations, contractual obligations, or SLAC-specific institutional policies. 

4. Definitions

For the purposes of this policy, the following definitions apply:

1. SLAC National Accelerator Laboratory (SLAC): A DOE Office of Science laboratory and Federally Funded Research and Development Center (FFRDC) managed and operated by Stanford University on behalf of DOE (located at 2575 Sand Hill Road, Menlo Park, California 94025).

2. Federally Funded Research and Development Center (FFRDC): A unique entity that assists government agencies in meeting long-term research and development needs.

3. Stanford Research Policy Handbook (RPH): A collection of policies governing research activities at Stanford.

4. Management and Operations Contract (Contract or M&O Contract): The agreement between DOE and Stanford for managing and operating SLAC.

5. Principal Investigator (PI): A researcher responsible for the design, conduct, and reporting of research projects: at Stanford, eligibility is defined in RPH 2.1, while at SLAC, PI authority derives from the DOE M&O Contract

6. Conflicts of Commitment and Interest: Situations in which external activities or financial interests could interfere with an individual’s ability to fulfill their responsibilities to the University.

7. Intellectual Property (IP): Patents, copyrights, trademarks, and other proprietary rights resulting from research activities.

8. SLAC Faculty: Faculty whose primary appointment is at SLAC.

9. Stanford Faculty with Joint Appointments at SLAC: Faculty with a primary appointment at Stanford but with responsibilities or other appointments at SLAC.

10. Usage of “SLAC” in this Policy: As used in this policy, references to “SLAC” include the federal facilities located at 2575 Sand Hill Road, Menlo Park, California 94025, and includes Stanford faculty and staff whose relevant activities are funded through the Contract or conducted using SLAC’s federal facilities.

5. Policy Statement

The Stanford Research Policy Handbook (RPH) establishes broad principles to guide research and ensure scholarly integrity at Stanford University, including at SLAC. However, due to SLAC’s status as a DOE FFRDC and the terms of the Contract, there are instances where SLAC follows different policies or requirements. This policy outlines the applicability of RPH policies to SLAC and identifies key distinctions where SLAC practices differ.

6. Roles and Responsibilities

The following outlines the roles and responsibilities accountable for ensuring compliance with this policy:

1. SLAC Laboratory Director: Responsible for ensuring SLAC’s compliance with applicable Stanford and DOE policies.

2. Vice Provost and Dean of Research (VPDoR): Provides oversight to ensure that SLAC policies are integrated within Stanford’s broader research framework.

3. Principal Investigators (PIs): Responsible for complying with applicable research policies based on their funding source and appointment structure, unless otherwise specified by applicable laws, regulations, or agency requirements.

4. Stanford-SLAC Joint Faculty: Responsible for adhering to the applicable policies of both Stanford and SLAC, and for coordinating with appropriate offices to resolve any policy conflicts.

7. Key Differences Between SLAC and Stanford Research Policies

7.1   Areas Where the RPH Applies to SLAC

The RPH establishes broad principles to guide research and ensure the integrity of scholarly inquiry at Stanford University, including at SLAC. However, due to SLAC’s status as a DOE FFRDC and the terms of the Contract, which impose DOE-specific requirements and procedures, there are circumstances where SLAC follows different procedures or requirements than those set forth in the RPH. In addition, SLAC often engages in non-research and non-scholarly activities under the Contract, such as the management and operation of federal facilities, to which the RPH generally does not apply.

This policy outlines the applicability of RPH policies to SLAC. If an RPH policy is not explicitly addressed in this policy, it is presumed to apply to SLAC unless otherwise specified by applicable laws, regulations, contractual obligations, or SLAC-specific institutional policies and requirements. 

7.2   Categories of RPH Policies in Relation to SLAC 

As detailed in the appendix to this policy and in Section 10 below, the applicability of the RPH policies to SLAC varies:

• Some RPH policies explicitly identify differences for SLAC.

• Others are silent and are presumed to apply to SLAC, subject to the limitations outlined in Section 7.1.

• Some RPH policies are fully replaced by SLAC-specific policies and procedures.

• Certain RPH policies state general principles that apply to SLAC, but their specific procedures do not. In these cases, responsible officials and researchers should follow SLAC requirements while aligning with the intent of the broader policy.

7.3    Conduct of Research and Site Access

The authority to perform work, including research at SLAC stems from the Contract between Stanford and DOE. As SLAC is a federal facility on DOE-leased land, site access is subject to requirements established by the DOE under the Contract. These include requirements for advance registration and potential background checks mandated by DOE for individuals accessing its federal facilities. 

Similar requirements apply for access to SLAC network infrastructure, which is separate from Stanford’s and is subject to distinct information security protocols established by the DOE. 

7.4    Fiscal Responsibilities of Researchers

SLAC operates under distinct fiscal requirements under the Contract, with separate policies governing proposal preparation, project management, and sponsor notifications. While SLAC has different roles and responsibilities for researchers funded under the Contract, RPH 2.1 (Principal Investigator Eligibility and Criteria for Exceptions) provides for certain exceptions for SLAC researchers to serve as Stanford PIs outside of the Contract. 

7.5    Conflicts of Commitment and Conflict of Interest

SLAC follows the policies in RPH Chapter 4 relating to conflicts of interest and commitment, with specific distinctions mandated by the DOE. For example, all SLAC faculty and staff must obtain prior approval for outside activities, including professional services as defined in RPH 4.1. 

In cases of conflicts among researchers with joint appointments or Stanford-SLAC collaborations, SLAC collaborates with VPDoR and school leadership to develop appropriate management and oversight mechanisms that are consistent with DOE requirements. 

7.6    Data Availability and Transparency as it Pertains to SLAC Records.

SLAC researchers and staff must comply with applicable state, federal, and Stanford University requirements related to data retention, access, research transparency, data stewardship, and the handling of controlled information.

As a DOE FFRDC, SLAC operates under specific obligations concerning the availability, retention, and disclosure of data. Certain SLAC records, including research data, operational documentation, communications, and financial records, may be subject to federal and state access requirements, DOE reporting obligations, and government audit or disclosure mandates.

Stanford’s RPH policies regarding data management apply to SLAC unless specifically superseded by SLAC’s M&O Contract or other federal laws and regulations. In particular:

• RPH 1.9 (Retention of and Access to Research Data) is superseded where SLAC-specific data retention policies, information technology resource protocols, and Department of Energy requirements apply.
   

• RPH 1.10 (Information Security) may differ in implementation at SLAC, as SLAC’s cybersecurity and information protection policies are governed by DOE directives. These policies govern the safeguarding of electronic data, ensuring its confidentiality, integrity, and availability in accordance with federal standards. 

SLAC-specific policies are designed to align with DOE mandates while maintaining consistency with the broader principles established in Stanford’s RPH. In cases where policy differences exist, SLAC researchers and staff are expected to comply with SLAC-specific requirements while upholding the overarching principles of transparency and integrity in research.

7.7    Intellectual Property

Intellectual property (IP) rights at SLAC are governed by the Contract, which generally provides that the U.S. government owns all technical data and computer software developed under the Contract. While Stanford may elect to retain title to certain inventions or copyrights under specific conditions, the government typically retains at least non-exclusive rights to IP developed at SLAC and may impose additional restrictions on licensing intellectual property developed with SLAC funding or facilities.

The SLAC name and mark are owned by DOE, and their use must comply with Stanford’s license agreement with DOE. 

Questions regarding intellectual property matters should be referred to SLAC Legal Counsel.

7.8    Sponsored Project Proposals

The RPH in Chapters 2, 3, and 14 establishes the requirements for sponsored project proposal submission at Stanford. In general, these policies do not apply when SLAC submits proposals as the lead institution for FFRDC-eligible funding opportunities. SLAC follows its own proposal submission processes in such cases. 

RPH policies apply when Stanford is the lead institution and SLAC is a subawardee, or when a SLAC PI with a Stanford appointment applies for funding through a Stanford department or a Stanford–SLAC joint institute.

8. Resolution of Policy Conflicts, Exceptions, and Updates 

The SLAC Director and VPDoR, or their designees, are authorized to resolve questions, provide clarifications, or grant exceptions to this policy. As the RPH is updated, the SLAC Director and VPDoR, or their designees, may update the Appendix to reflect such changes. 

9. References 

• U.S. Department of Energy/Stanford University Contract for the Management and Operation of SLAC National Accelerator Laboratory: SLAC M&O Contract

• SLAC National Accelerator Laboratory Institutional Policies: SLAC Policies

• SLAC National Accelerator Laboratory Conflicts of Interest and Commitment Policies: SLAC COI/COC Policies

• Stanford University Research Policy Handbook: Stanford Research Policy Handbook

10.  Appendix 

The Appendix to this policy provides an overview of RPH policies and their applicability to SLAC. 

Appendix 

Applicability of Stanford Research Policy Handbook (RPH) to SLAC

This is not an exhaustive list of all RPH policies that may pertain to SLAC. If a RPH policy is not specifically mentioned, it is presumed to apply to SLAC unless superseded by applicable laws, regulations, contractual obligations, or SLAC-specific institutional policies and requirements. RPH policies generally fall into the following four categories with respect to their applicability to SLAC:

1. Applicable
   The policy applies to SLAC without modification. In some cases, clarifications are provided in the Appendix.

2. Applicable with Modifications or Exceptions
   The policy is generally applicable but has SLAC-specific adaptations, exclusions, or requirements.

3. Inapplicable 
   The policy does not apply to SLAC due to overriding federal regulations, contractual obligations, or SLAC-specific policies and requirements.

4. Generally Inapplicable 
   The policy is generally inapplicable to SLAC, but specific provisions may apply under defined circumstances or may be partially adopted.