0.1 Updates, Additions, Deletions and Publishing

1. How to Publish, Update and Archive Policies in the RPH

The Office of the Vice Provost and Dean of Research is responsible publishing of all policies in the Research Policy Handbook on the DoResearch website. Individual organizations such as the Academic Senate, Dean of Research, EH&S etc.  are responsible for the approval, creation, maintenance and archiving of individual policies. Please contact Patti McCabe if you need to publish a new policy or revise an existing policy.  

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2. Updates, Additions, Deletions to the RPH




1.10 Information Security 01/1619

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

10.1 Academic Staff-Research 10/23/18

Update to affirmative action statement for job postings, per Office of General Counsel.

4.1 Faculty COI Policy 10/18/18

Update to clarify U.S. government service in relation to outside activities

4.3 Faculty Consulting Policy 10/18/18

Update to clarify faculty must disclose outside activities related to foreign entities.


Use of Human Subjects in Student Projects, Pilot Studies, Oral Histories and QA/QI Projects



Updated section 5, primarily administrative updates


Academic Staff-Research


Added clarifying sentence about dual appointments for teaching and research activities


Memoranda of Understanding and Letters of Intent


Clarification about policy added to About Section: This policy does not apply to sponsor funding announcements that require a Letter of Intent with a project description for the sponsor to review and determine which investigators will be invited to submit a full proposal.  These types of LOIs are allowable and do not require special approval.


Memoranda of Understanding and Letters of Intent


New Policy on Memoranda and Letters of Intent


Academic Staff Grievance Policy


Updated contact information


Policy and Procedures for Academic Staff-Research Appointments


Updates for grammar, insert reminders about when research appointments required and COI policy, update supplemental comp language, insert related items links


Preparation and Submission of Proposal Budgets


Updated in paragraph 3.1.4  the sentence "Research-only faculty on 12-month appointments may typically charge up to 95% to sponsored projects year round (Adding) and must reserve a minimum of 5% effort for non-sponsored activities.


Postdoctoral Scholars



Updated two forms in Section 2, paragraph G;  a request from the PI form and a training plan from the scholar form.


Preparation and Submission of Proposal Budgets


Updated paragraph 3.1.4 to include the School of Medicine's (SOM) long standing policy on effort (applicable only to SOM faculty) and for clarifying what is meant by ‘research activities’.


 Relationship Between Students and Outside Entities


Updated policy to address that students must follow the same policy as faculty.


Principal Investigator Eligibility and Criteria for Exceptions


Update policy to continue indefinitely the expanded career development award exceptions for selected School of Medicine clinical fellows and postdoctoral fellows.


Consulting and Other Outside Professional Activities by Faculty


Added clarifying language on the use of titles by faculty involved in outside activities.


Faculty Policy on Conflict of Commitment and Interest


Added clarifying language on the use of titles by faculty involved in outside activities.


Management of Project Expenditures


Added to section 5. responsibilities if the PI of an on-going sponsored project will not be engaged in the project for a period of three months or more with regards to PI review and certification. 


Management of Project Expenditures



Has been updated to align with the new eCertification System.


 Categories of Sponsored Projects


Updated to provide updated definition of University Research for the purpose of making the definition clearer. Please see the updated definition and the new checklist in order to determine whether research funding is university research or departmental research.


Post Doctoral Scholars


Section 2, Terms of Appointment, add a new section, entitled “H. Early Termination by Appointing Department”.



Post Doctoral Scholars


Added to Attachment B. "Stanford files employment-based visa petitions only on behalf of beneficiaries receiving 100% of the support described in their offer letter as income reportable on a W-2 document.”


Program Income


New RPH Policy on Program Income. The policy defines Program Income and describes how to account for it.


 Specialized Categories of Sponsored Projects



Updated definition of Industry Sponsored Clinical Trials


Copyright Policy


Deleted teaching and/or and scholarship in Paragraph 2c. Patent and Copyright Agreement: SU-18


Federal-wide Assurance for Protection of Human Subjects





Updated the Veteran's Administration Palo Alto Health Care System Federal-wide Assurance expiration date to 7/18/2022.

RPH 3.2

Management of Project Expenditures


Deleted reference to Annual Payroll Distribution Certification as this is not required in CY 17.

RPH 8.7

Recordkeeping Requirements (Export Controls)


House keeping updates and deletion of statement: Furthermore, each original Stanford Certification must be provided to the Office of the Dean of Research.”Statement predates electronic submission of Stanford export certifications, obviating physical submissions to DoR."


RPH 8.4

Accepting a Third Party’s Export Controlled Items or Information


Edited for readability.

RPH 8.3

Export Licenses for Overseas Shipments


Edited for readability.

RPH 8.1

Applicability and Policy Background, and Regulatory Authority


Edited for readability.

RPH 5.7

Training in the Protection of Human Subjects in Research


Revision to policy to include Good Clinical Practice Training. Stanford University has determined Good Clinical Practice training will apply to all human subjects clinical trials regardless of funding source. This includes sponsored projects funded by external sponsors and non-sponsored projects funded with department or gift funding.

RPH 7.10


Operation of Unmanned Flying Vehicles


Updated UFV Application Form (current date 10/25/2016)

RPH 10.9

Visiting Postdoctoral Scholars


This new policy sets forth policies and procedures related to the appointment, roles, requirements and responsibilities of Visiting Postdoctoral Scholars at Stanford.

RPH 15.8

Cost Transfer Policy for Sponsored Research


Small changes, most notable: added non-capital ET changes in same award as exception, added refunds and credits as exception.

SECTION 4B (Documentation): a. Quantified “large transfers” b. Added additional documentation requirements for large, late or early/late transfers c. Added examples of acceptable documentation for these transfers (BI and FFIT reports)  

RPH 10.1

Policy and Procedures for Appointment and Promotion: Academic Staff - Research


Update title for Academic Staff and other administrative changes.

RPH 10.3

Postdoctoral Scholars


Medical Insurance: changed PPO Plans to Aetna Choice POS II.  Updated Life and Accidental Death Insurance from $20,000 to $50,000 in both places in section

RPH 3.1

Submission of Proposal Budgets


Changed title to Preparation and Submission of Proposal Budgets from Preparation and Submission of Proposed Budgets. Added requirement for those with University Research be required to take PI Training. Updated cost sharing section to be consistent with the Cost Sharing Policy

RPH 3.2

 Management of Project Expenditures


Updated Section 3 SBS to exclude honorarium (effective CY2015) and vacation accrual to be consistent with annual payroll certification. Updated certification to include the use of the OBI 149 Report. 

RPH 4.7

Institutional Conflict of Interest in Research Involving Human Subjects


Added to Section 3.A 3   2) that clinical trial research ends at Stanford, [ and or when the license is terminated, or the product which was the subject of the clinical trial is no longer being developed by a licensee/sublicensee.

RPH 1.4

Openness in Research


Updated & Approved by the Academic Senate Addressed the transition from the document being about "non-secrecy" to "openness". Updated section 4.b to reflect modern National Security Controls and made grammatical corrections.

RPH 13.1

Gift vs. Sponsored Projects and Distinctions from Other Forms of Funding



Updated Title to better reflect policy content.

1. The period of performance and return of unspent funds are no longer by themselves an indication that funding must be accepted as a sponsored project.

2. Attachment A. to RPH 13.1, Determining Whether Funding is a Gift or Sponsored Project has been updated to reflect the new Gift or Sponsored Project Screening Questions in the Gift Transmittal System.    

RPH 15.2

Indirect  (F&A) Cost Waivers


Changed Title to reflect the Uniform Guidance name for Indirect Cost.

RPH 10.7

Procedures for Appointing Visiting Student Researchers


Added to Paragraph 2. Enrollment Status, or audit to the following sentence. Persons registered in the VSR category are not permitted to enroll in or audit any classes.

RPH 10.3

Postdoctoral Scholars


A five year term limit policy (extended from the previous four year limit) for postdoctoral scholars was approved by the university.

RPH 5.4

Use of Human Subjects in Student Projects, Pilot Studies, Oral Histories and QA/QI Projects


Updated determination of Human Subject Research application document.

RPH 10.7

Procedures for Appointing Visiting Student Researchers


Clarified how clarify how Visiting Student Researchers can and cannot be paid.

RPH 5.2

Federal-wide Assurance for Protection of Human Subjects


Updated the  Federal Wide Assurance (FWA) document for LPCH. The new expiration date is 12/20/2020.

RPH 15.2 

Facilities and Administrative (Indirect) Cost Waivers


Updated procedure so outside of the School of Medicine, indirect (F&A) cost waiver requests can be launched from the budget page of the PDRF (Proposal and Development Routing Form) in SeRA.

RPH 18.4

Confidentiality of Administrative Panel Proceedings


Updated annual reports to go to the Vice Provost and Dean of Research.

RPH 18.3

Administrative Panels for Research Compliance



Updated reporting from the President to the Vice Provost and Dean of Research.

RPH 15. 8

Cost Transfers


Added to section 4. b The allocation methodology used if transferring expenses to multiple PTAs.

RPH 10.3

 Post Doctoral Scholars


Updated section Attachment D. 3.A. Sick Leave to comply with the new State of CA  sick time law (AB1552) which is applicable to some postdocs.

RPH 18.3

Administrative Panels for Research Compliance


Updated Section 3. based on a AAHRPP accreditation.

RPH 10.3 

Post Doctoral Scholars


Update Benefits information deleting Blue Shield EPO. This plan was replaced with Stanford Healthcare Alliance (SHCA).

RPH 16.4

Subrecipient Monitoring


Updated section 5.3 to include PI signature requirement and required language effective September 1, 2015.

RPH Chapter 16



Updated to include references to the Uniform Guidance.

RPH 14.1

Preparation, Review, and Submission of Sponsored Project Proposals


Revised information on the proposal submission deadline.

RPH 2.1

Principal Investigator Eligibility and Criteria for Exceptions


The Senate of the Academic Council approved a policy to allow the director of SLAC to approve SLAC distinguished and senior staff scientists to be principal investigators (PIs) on non-Department of Energy-funded research proposals.

RPH 2.1

Principal Investigator Eligibility and Criteria for Exceptions


¶P 2. A. 4 Pending Appointments for New Faculty

Faculty whose appointment start date is in the future may apply for proposals but an award cannot be accepted until the appointment has begun.

RPH 3.1

Preparation and Submission of  Proposed Budgets



¶P 3. A. Voluntary Cost Sharing

Propose cost sharing on federal proposals with the understanding it will not be part of the merit review unless stated in the solicitation.

¶P6. Budget Justification

Propose administrative/clerical salaries that are integral to the project and detail benefit in the budget justification.

RPH 3.3

Special Requirements Related to Sponsor Notifications and Prior Approvals


¶P 1. A Changes in PI Status

Recognizes that a PI can be absent from campus and remain engaged in the project

RPH 14.1

Preparation, Review, and Submission of Sponsored Project Proposals





¶P 2. Submitting Proposals

Added information about the SOM Policy on proposal submission timeline.

¶P 2 B. Budget Justifications

Propose administrative/clerical salaries that are integral to the project and detail benefit in the budget justification.

RPH 14.2

Academic Policies Pertaining to Sponsored Project Proposals




¶P 4. Presence at Stanford

Recognizes that a PI can be absent from campus and remain engaged in the project.

RPH 14.3

University Commitments Pertaining to Sponsored Project Proposals



¶P 5. Participation by Faculty or Staff from Multiple Departments

Deleted entire paragraph requiring the Department Head and Dean's Office must approve participation of faculty or staff in sponsored projects outside their own academic department or School via the PDRF.

RPH 15.1

Facilities & Administrative (Indirect Cost) and Fringe Benefits Rates




MTDC is the base to which F&A (indirect cost) rates are applied. The Uniform Guidance now excludes participant support costs from the MTDC base. Participation support cost are not subject to F&A costs for federal projects. Non- federal projects participant support costs are subject to F&A. Once an award is made use expenditure type 52436 for participant support costs for all sponsored projects awarded on or after December 26, 2014 that are subject to the Uniform Guidance.

RPH 15. 3

Cost Sharing Policy



¶P 1. C. Voluntary Cost Sharing

Cost sharing on federal proposals will not be a factor during the merit review of a proposal except when allowed in the program announcement.

¶P 3. B  Facilities and Administrative Costs (Indirect Costs)

For federal awards, unrecovered indirect costs on cost sharing may be included as part of cost sharing only with prior approval of the federal sponsoring agency.

¶P 5. Source of Funds for Cost-Shared Expenditures

In the School of Medicine, neither operating budget nor designated clinic accounts can be used for this purpose.

RPH 15.4 

Charging for Administrative and Technical Expenses



¶P 3.  Uniform Guidance Implementation

Follows the Uniform Guidance concept administrative salaries that are integral to the project.

4. OMB Circular A-21  Implementation

Follows the A-21 concept of major project or activity.

RPH 1.2

Rights and Responsibilities in the Conduct of Research


Updates section 4, Proposal Preparation 

RPH 3.2 

Fiscal Responsibilities of the PI: Management of Project Expenditures


Updates section 8, Charging Proposal Expenses to Ongoing Projects

RPH 13.4 

Establishment of Industrial Affiliates and Related Membership-Supported Programs


The changes clarify Affiliate Program policies, particularly in the area of the minimum requirements for website content.  A new requirement is that, in order to remain active, affiliates programs must submit a form each year with information about program operations. The Industrial Affiliates Program Approval and Renewal Form must be filled in, signed and emailed ICO by October 15 of each  year, beginning October 15, 2014.  Programs in compliance with the policies will be approved for active operations in the subsequent fiscal year.

RPH 5.2 

Federal-Wide Assurance for Protection of Human Subjects


Changed to accommodate the name change of the VA’s Palo Alto Institute for Research and Education (PAIRE) to Palo Alto Veterans Institute for Research (PAVIR). Also update PAVIR Assurance.


RPH 3.2

Management of Project Expenditures


Updated to include the new requirement for Annual Payroll Distribution review and certification

RPH 15.5

Salary Cap Administration


Updated to include the FY 2014 NIH Salary cap ($181,500)

RPH 4.7 

Institutional Conflict of Interest in Research Involving Human Subjects


Updated key elements

RPH 3.2

Management of Sponsored Projects


Changes review requirement for expenditure statement (RM 149) to quarterly

RPH 9.2 

Attachment A to  Statement on Teaching and Outside Activities


Provides guidance to the university  in the areas of educational technology and its use both on-campus and off.

RPH 4.2 

PHS and NSF Requirements Regarding Financial Disclosures and Agency Notifications


Institutional Review of COI disclosures, requirements for the University tp provide information to the NIH

RPH 4.1

Attachment B 

Faculty Investment in Stanford Student Companies


Q&A on Faculty Investment in Stanford Student Companies


RPH 5.2

Federal-wide Assurance for Protection of Human Subjects


FWA for Protection of Human Subjects Updated                                  


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