Policies & Procedures
The links below take you to policy, process and resource pages; not only on Stanford University websites, but also sponsor and government websites. Each of these sites will have additional links on them to related policies, procedures and guidelines as well, so please take some time to review these sites.
Stanford Policies
Research Policy Handbook (RPH)
Openness in Research (RPH.2.6) Expresses Stanford's commitment to openness in research; defines and prohibits secrecy, including limitations on publishability of results; specifies certain circumstances which are acceptable under this policy. Stanford's Openness in Research Checklist - Review when preparing a proposal to ensure they do not require secrecy or impose unacceptable restrictions.
Fiscal Responsibilities of Principal Investigators (RPH 3.1) Summarizes some of the obligations imposed on Principal Investigators by law and by Stanford policy. This document incorporates and supersedes the documents entitled "Responsibilities of Principal Investigators" and "Salaries Charged to Sponsored Projects," both published in the 1989 Stanford Research Policy Handbook.
Definitions and Categories of Sponsored Projects (RPH 3.2) Defines sponsored projects, as distinguished from gifts and other supported activities, and illustrates the major categories of sponsored projects, i.e., organized research (including both sponsored research and University research), sponsored instruction, and other sponsored activities.
Cost Sharing: Stanford University Policy and Procedure (RPH 3.5) Establishes procedures to meet government requirements to report cost sharing to sponsors. It also reflects the July 15, 1993 revisions to OMB Circular A-21 regarding the definition of University Research. Modified to provide clarification and streamline the process. Updated in December 1999 to incorporate revisions to policy on charging for administrative and technical expenses, and to reflect changes in the accounting treatment for cost sharing.
Charging for Administrative and Technical Expenses (RPH 3.6) OMB Circular A-21 establishes the principle that administrative expenses (salaries of clerical and administrative personnel, supplies and other expenses) should normally be treated as Facilities and Administrative (F&A) or indirect costs. The policy also reflects the A-21 circumstances where it is appropriate to charge administrative expenses directly to sponsored agreements.
Subcontracts (RPH 3.7) Presents policies and procedures for and discussion about application of Facilities & Administrative (F&A) rates (also known as indirect costs) to and monitoring of subcontracts. Defines types of subcontracts and the extent to which F&A rates will be charged to each.
Salary Cap Administration (RPH 3.8) Presents procedures for implementation of agency regulations that set a maximum salary level for project participants (salary cap). Currently, the only agencies that establish salary caps are the Department of Health and Human Services (DHHS), which includes the National Institutes of Health (NIH), and the Department of Defense (DoD). The NIH salary cap is indexed to a specified Executive Pay Level and changes periodically. See Funding Limitations below, updated in January 2001.
Cost Transfer Policy for Sponsored Projects (RPH 3.13) Provides guidance and discusses requirements related to timely cost transfers involving sponsored PTAs; careful monitoring for compliance with Stanford University policy, federal regulations and policies; federal cost principles that underlie all fiscal activities of sponsored projects.
Human Subjects in Research (RPH Chapter 7) Discusses the responsibilities for use of human subjects in research.
Animals in Research (RPH Chapter 8)
Research Participation Agreements (RPH 10.6)
Defines policy for the establishment of agreements to make Stanford personnel, academic facilities and/or laboratory equipment available to non-Stanford entities. Defines necessary criteria and approvals for such agreements.
See also RPA Implementation Guidelines
Human Embryonic Stem Cell Research (RPH 10.7) Discusses issues related to registered and non-registered human embryonic stem cell research, and is designed to mitigate compliance and operational risks associated with the conduct of non-registered human embryonic stem cell (hESC) research. Requires for all hESC research:
- identification of and training for involved researchers,
- use of special operating procedures for laboratories where hESC research is conducted, and
- compliance monitoring and reporting to ensure that established requirements and procedures are implemented as intended.
Administrative Guide Memos
Following are several Administrative Guide Memos (GM), or sub-sections of Guide Memos. You can view the entire Administrative Guide if you wish.
GM 1 Code of Conduct
GM 34.1 University Funds
Excerpt from GM 34.2, Grant and Contract Activities/Accounts
GM 34.4, Retention of Financial Records
GM 34.5 Cost Policy
GM 36, Authorizing Expenditures
GM 38, Cost Transfers
GM 38.1, Allocations and Offsets
Rates
Tuition Remission for Research Assistants (RPH 3.9) Provides guidance regarding federal regulations which, effective September 1, 1997, will require Stanford to charge the tuition of Graduate Student Research Assistants directly to sponsored projects. This document provides basic policy guidance; separate Attachments provide implementation guidelines and sample calculations.
Pro-Rated Tuition Calculation Table
Minimum Salary Rates for Grad Student Research Assistants, Teaching Assistants and Postdoctoral Research Affiliates
Indirect Cost and Fringe Benefit Rates
Application of Indirect Cost Rates Memo
Changes in Indirect Cost Rates Memo
Animal Care Rates
Other
Research Compliance Panel Meeting Schedule
Human Subjects Website
Human Embryonic Stem Cell Website
Guidelines and Explanations
Cost Sharing Implementation Guidelines
Administrative Charging Implementation Guidelines
Effort Allocation "Resource Page" (Including explanation of fundamentals of effort allocation and salary charging)
Example: 9 Month Salary Paid Over 12 Months
Salary Cap "Resource Page" (including examples and templates)
DoD IDC Cap
Salary charges for PIs
Human Subjects Website
Checklists, Sample Formats and Decision Trees
Gift vs. Sponsored Project - Process and Checklist
Decision Tree: Process for Routine and Non-Routine Determinations
Conditions of Gift Award (letter template) and Determination Process Checklist
Gift or Sponsored Projects Indicators (HTML comparison chart) - If, after reviewing definitions and considering the intent of the source of funding and nature of the agreement in question, there remains a question about the proper classification of an award, this list of indicators may be helpful. This collection of indicators should be viewed as a continuum. Placement toward one side or the other, taken together with the analysis of the source of funds and the terms of the agreement, should help to classify questionable awards.
Financial Reports: Expenditure, Revenue and Operating Statements
Timelines and Calendars for Expenditure Review/Certification
Checklist for Transfer Documentation
Vacation Charges Resource Page A web resource exists for staff members to understand the rules and issues around where to charge vacation pay. These rules come in to play when staff members terminate and are paid out their vacation, or when they transfer from one department to another. There is also a link to a downloadable excel spreadsheet to help calculate the amount of vacation pay that can be charged to "restricted" accounts.
Sample Formats for charging administrative effort to multiple accounts
- Simple Version: This simple format could be used to track effort when relatively large percentages of effort are expended on relatively few projects. The sample indicates distribution of effort for one month. It can be used for whatever time period makes the most sense (weekly? quarterly?).
- More detailed version: (downloadable excel spreadsheet)
Decision Tree for Administrative/Technical expenses
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