Research Policy Handbook

The Research Policy Handbook is a collection of policies, guidelines and general information related to the research enterprise at Stanford.

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Chapter Listing

0. What's New?

Policies

0.1 Updates, Additions and Deletions

1. Conduct of Research

Policies

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

2. Principal Investigatorship

Policies

2.1 Principal Investigator Eligibility and Criteria for Exceptions

2.2 Acting Principal Investigatorship

3. Fiscal Responsibilities of Principal Investigators

Policies

3.1 Preparation and Submission of Proposed Budgets

3.2 Management of Project Expenditures

3.3 Sponsor Notifications and Prior Approvals

4. Conflicts of Commitment and Interest

Policies

4.1 Faculty Policy on Conflict of Commitment and Interest

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 Medical Center Line Faculty

4.4 Conflict of Commitment and Interest for Academic Staff and Other Teaching Staff

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

5. Human Subjects and Stem Cells in Research

Policies

5.1 Human Research Protection Program

5.2 Federal-wide Assurance for Protection of Human Subjects

5.3 Women 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

6. Laboratory Animals in Research

Policies

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

7. Environmental Health and Safety

Policies

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

8. Export Controls

Policies

8.1 Applicability and Policy Background, and Regulatory Authority

8.2 Definitions

8.3 Export Licenses for Overseas Shipments

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

9. Intellectual Property

Policies

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

10. Non-Faculty Research Appointments

Policies

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

10.2 Grievance Procedure: Academic Staff

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 Procedures for Appointing Visiting Student Researchers

10.8 Graduate Student Research Assistantships

11. Establishing and Managing Independent Laboratories, Institutes and Centers

Policies

11.1 Establishing and Managing Independent Laboratories, Institutes and Centers

12. Skeletal Remains

Policies

12.1 Human Skeletal Remains

13. Definitions and Types of Agreements

Policies

13.1 Definition of 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

14. Sponsored Project Proposals

Policies

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

15. Financial Aspects of Sponsored Projects Administration

Policies

15.1 Facilities and Administrative (Indirect Cost) and Fringe Benefits Rates

15.2 Facilities and Administrative (Indirect 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

16. Subawards

Policies

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

17. Property Management

Policies

17.1 Control of Property

18. Committees and Panels That Support Research

Policies

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