Independent Labs, Institutes and Centers

Guide to Requesting a PI Waiver

The waiver procedures for Independent Labs, Institutes and Centers depends on the PI Waiver Request Type or purpose:

  • Career development
  • Conference, workshop, travel, etc.
  • Part of a larger interdisciplinary program
  • Rare Exception

Contact

Questions about this topic can be answered by:

Career Development

  1. Academic Council member initiates request
  2. Address request to Vice Provost and Dean of Research
  3. Identify:
  • candidate’s name
  • degree
  • current appointment
  • category of career development indicated
  • sponsor name
  • proposal title
  1. (e.g.K99/R00) waiver includes  a statement indicating that approval of this waiver does not promise the candidate a faculty position.
  2. Confirm that the project will be conducted in existing laboratory space assigned to the department and that incremental space will not be required.
  3. Obtain department chair and/or lab director approval for the waiver request.
  4. Attach:
  • CV or Biosketch
  • program announcement identifying the initiative as career development
  1. Email request to Ken Merritt, Research Administration and Compliance, in the Dean of Research office, dor_research_compliance_group@lists.stanford.edu.
  2. Confirmation of approval will be emailed to the department administrator, PI mentor and career development candidate. The approved PI waiver will need to be uploaded as an attachment in the PDRF record in SeRA.

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Conferences, Exhibits, Workshops, or Public Events:

  1. Academic Council member initiates request
  2. Address request to Vice Provost and Dean of Research
  3. Identify:
  • candidate’s name
  • degree
  • current appointment
  • category of conference, exhibits, workshop or Public event indicated
  • sponsor name
  • proposal title
  1. Obtain department chair and/or lab director approval for the waiver request
  2. Attach:
  • CV or biosketch
  • Program announcement identifying the initiative as Conference, Exhibit, Workshop or Public Event
  1. Email request to Ken Merritt, Research Administration and Compliance, in the Dean of Research office, dor_research_compliance_group@lists.stanford.edu
  2. Confirmation of approval will be emailed to the department administrator and PI.  The approved PI waiver will need to be uploaded as an attachment in the PDRF record in SeRA.

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Part of a Large Interdisciplinary Program

  1. Academic Council member initiates request

  2. Address request to Vice Provost and Dean of Research, Dr Ann Arvin

  3. Identify:

  • Candidate’s name
  • Degree
  • Current appointment
  • CV or biosketch
  • Category of interdisciplinary program indicated
  • Sponsor name
  • Proposal title
  1. Describe the existing large interdisciplinary program and an explain  how this proposal fits into that program
  2. Confirm that there is not a member of the Academic Council associated with the large interdisciplinary project who is qualified to take responsibility for the scientific direction of the prospective research project
  3. Confirm that no incremental space will be required for the project
  4. Confirm for each graduate student participating on the project, an Academic Council member has been identified to serve as research advisor to assure that the student’s research program and the education derived from it are consistent with the degree for which the student is a candidate
  5. Obtain department chair and/or lab director approval for the waiver request
  6. Email request to Ken Merritt, Research Administration and Compliance, in the Dean of Research office, dor_research_compliance_group@lists.stanford.edu.
  7. Confirmation of approval will be emailed to the department administrator and PI. The approved PI waiver will need to be uploaded as an attachment in the PDRF record in SeRA.

A large interdisciplinary program is defined as follows:

  • Directed by a member of the Academic Council
  • Has an expected duration beyond the involvement of any individual faculty
  • Has more than one faculty member involved
  • Requires expertise in more than one discipline or technical area

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Rare Exception

  1. Academic Council member initiates request
  2. Address request to Vice Provost and Dean of Research
  3. Identify:
  • candidate’s name
  • degree
  • current appointment
  • CV or biosketch
  • category of rare exception indicated
  • sponsor name
  • proposal title
  • statement of confirmation responding to items 1-6 below
  • explanation why rare exception should be made
  1. Statement confirming items 1-6 below
  2. Explanation why a rare exception should be made
  3. Obtain department chair and/or lab director approval for the waiver request
  4. Email request to Ken Merritt, Research Administration and Compliance, in the Dean of Research office, dor_research_compliance_group@lists.stanford.edu
  5. Confirmation of approval will be emailed to the department administrator and PI. The approved PI waiver will need to be uploaded as an attachment in the PDRF record in SeRA.

The following six criteria must be met for a rare exception waiver to be requested:

1) The proposed research must meet a programmatic need of Stanford. Meeting a programmatic need means addressing an area of investigation that is not currently covered at Stanford and is endorsed by a sponsoring member of the Academic Council or MCL (Medical Center Line) faculty as directly relevant to and supportive of the research or teaching programs of the faculty.

2) The proposed research cannot be funded and/or conducted effectively at Stanford unless the proposed individual is the principal investigator.

3) The proposed principal investigator’s qualifications to direct the project provide assurance that the work will be conducted in accordance with the standards of excellence of the University.

4) No incremental space will be required for the project.

5) For each graduate student participating on the project, an Academic Council member has been identified to serve as research advisor to assure that the student’s research program and the education derived from it are consistent with the degree for which the student is a candidate.

6) The research must be designed and conducted in such a way that the work can be discontinued when programmatic need ends or if the sponsoring faculty member ceases to be available.

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