Research Management Group (RMG)

Policies, Compliance and other Resources

                  On this webpage

Questions regarding these policies, compliance and other resources? 
Please contact your department's Research Process Manager (RPM) >>

What's New
Provisional Facilities & Administrative Rates
announced 08/19/2014 more >>

Link to the Institutional Facts webpage
Contains frequently used ID numbers for your grant proposals including animal care, human subject, DoD FICE, CAGE, DUNS, Stanford Tax payer ID number, etc. more >>

 


POLICIES AND COMPLIANCE



Administrative Expenses

 

RPH 15.6 Charging for Administrative and Technical Expenses DoResearch webpage* >>
*this link takes you to the new DoResearch webpage for the renumbered RPH 15.6 policy (formerly RPH 3.6)


A-21 & A-133 Circulars

 

A-21 Circular >>
Office of Management and Budget. This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions.

A-133 Circular Compliance Supplement 2010 >>.
Office of Management and Budget: This Circular is issued pursuant to the Single Audit Act of 1984, P.L. 98-502, and the Single Audit Act Amendments of 1996, P.L. 104-156. It sets forth standards for obtaining consistency and uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal awards

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Animal, Human Subject, and Environmental Safety Compliance

 

Cancer Institute: Scientific Review Committee (SRC)
The SRC is charged with providing peer review of local, national, and international research studies involving cancer patients treated at Lucile Packard Children's Hospital and Stanford Hospital and Clinics; and study participants involved in cancer-related research at Stanford University.
more >>


Environmental Health and Safety homepage more >>


Research Compliance

  • The Research Compliance Office (RCO) is responsible for oversight and management of Stanford’s Administrative (Compliance) Panels and ensures compliance with applicable policies, accreditation standards and external regulations.
  • Environmental Health and Safety is responsible for the Biosafety and Radiological Safety Panels.
  • The Administrative panels report to the President through the Office of the Vice Provost and Dean of Research. 
    more >>

 

Medical Human and Non-Medical Human Subject Research:
Human Subjects and IRB website >>
Human Rights Protection Program (HRPP) and Guidances including Human Subject Research Determination more >>
Contact information more >>
Required Tutorial on Human Subject Research Protection (CITI) more >>
Human subjects Federal-Wide Assurance Number FWA #00000935  RPH 5.2 >>
NIH Policy on IRB Review NIH Notice 05/01/2000 more >>
NIH Notice 08/25/2000: Required Education in the Protection of Human Subjects Participants more >>
Training in the Protection of Human Subjects in Research (RPH 5.7 >>)
Human Research Protection Program (RPH 5.2 >>)
IRB Review Fee  May 2006 memo

Animal Subjects
Administrative Panel on Laboratory Animal Care (APLAC) more >>
Animal Welfare Assurance Number: A3213-01 (06/17/2013-05/31/2017) RPH 6.1 >>
AAALAC Approval. Effective: March 16, 2010
USDA License Number: 93-R-004
VA Animal Welfare Assurance Number: A3088-01

Animal Setup and Boarding Rates for VA, Stanford, or PARE Admin Projects of VA Investigators 

  • NIH Proposal-Resources "animal" section
    (Download document containing the necessary resources animal section text for your NIH proposal)
  • Animal Subject protocol transactions should be submitted at the Animal Subjects eProtocol website [SUNET ID required]

Biosafety (Biohazardous Agents and Recombinant DNA)
Environmental Health and Safety Biosafety webpage more >>

Radiological Hazards
Radiological Hazards RPH 7.6 >>
Laser Safety RPH 7.7 >>
Radiological Safety-Environmental Health and Safety website more >>
* Nuclear Regulatory Commission (NRC) Number: 0676-43
* VA NRC Number: 04-23242-01For general information and assistance related to
Radiological Hazards, contact the Stanford Radiation
Safety Officer, Lance Phillips (650-725-1412).


 

 

Conflict of Interest


Includes an index of topics: Overview, Policies, COI Disclosure and Review Procedures,
COI School Contacts, and COI Training and Other Information
DoResearch COI webpage* >>

COI Training Module for faculty: Avoiding Financial Conflict of Interest Learning Module

Who should take this course?
If you receive PHS funding, you must complete this class before a PHS award can be accepted on your behalf. Your certification is valid for four years. You must retake this class when your certification expires.
In addition to those faculty support with PHS funding, Stanford requires all newly-hired faculty to complete this class.

This is a self-paced, web-based module designed to provide an overview of the high-risk situations that can lead to financial conflicts of interest for faculty. It is available to all members of the Stanford community with SUNet IDs through the Stanford Training and Registration System (STARS).
COI Certification Training Module DoResearch webpage* >>

School of Medicine Questions?
Questions about the requirements of these updated policies may be directed to Barbara Flynn, Director, School of Medicine Conflict of Interest Review Program. barbara.flynn@stanford.edu

Article: NIH Revised Conflict of Interest Rules
Q&A on the NIH's revised conflict of interest rules with Dr. Harry Greenberg, Senior Associate Dean for Research more >>


Stanford Industry Interactions Policy

Policy and Guidelines for Interactions between the Stanford University School of Medicine, the Stanford Hospital and Clinics, and Lucile Packard Children's Hospital with the Pharmaceutical, Biotech, Medical Device, and Hospital and Research Equipment and Supplies Industries ("Industry")
Stanford Industry Interactions Policy webpage >>

Date:      April 20, 2012
To:          School of Medicine Faculty
From:      Dr. Harry Greeenberg, Senior Associate Dean for Research


Download COI Policy Change Memo pdf

Required for individuals who receive PHS funding and for all newly-hired faculty: COI Training Module for faculty: Avoiding Financial Conflict of Interest Learning Module see above section >>

 

 


Contracts

 

The Research Management Group (RMG) Clinical Trial Contract Officers handle the following:
See the RMG CT Contract Officer department assignments >>

  • All clinical contracts (including clinical trials and clinical research)
  • "Clinical" means studies involving humans, human tissue or blood, or data from patients (besides clinical trials, examples are studies that involve a chart review to do a comparison of two study drugs, or studies that use a Stanford based patient dataset on the web-like the recent Stanford Heart Network agreement, or studies (sometimes called assay agreements) that support clinical trials, such as the CV med core lab).

The Office of Sponsored Research Contract Officers handle the following:
See the OSR Contract Officer assignments >>

  • All contracts that have a government (federal, state or local) sponsor or prime
  • All other contracts and subcontracts (foundations, other non-industry) that do not fit in the OTL definition above

The Office of Technology and Licensing
The Industrial Contract Office handles:

  • Non-clinical industry research agreements
  • Vitro or animal studies for industry sponsors (only)
  • All Material Transfer Agreements
  • Contracting process and negotiaton


Cost Sharing

 

RPH 16.1 Cost Sharing Policy DoResearch webpage * >>
*this link goes to the new DoR webpage for renumbered RPH 15.3 policy (formerly RPH 3.5)
Cost sharing represents that portion of the total project costs of a sponsored agreement borne by the University, rather than by the sponsor. Cost sharing of direct expenditures represents a redirection of departmental or school resources from teaching or other departmental and school activities to support sponsored agreements.

 

 


Export Controls


RPH 8.1 Applicability and Policy Background, and Regulatory Authority DoResearch webpage**

This document codifies Stanford commitment to comply with all applicable laws and regulations concerning export controls.The policy describes those requirements, including requirements for record-keeping, and includes links to several resources for faculty and staff.

As a reminder, export controls apply to any shipments of materials outside the borders of the United States, as well as to the disclosure of controlled data or material to foreign nationals to on our soil (a "deemed export").



Faculty salary and effort

Effort for Faculty and Staff DoResearch webpage* >>
Salaries constitute the largest component of the expenses charged to sponsored projects. It is essential that Stanford managers, including Principal Investigators (PIs), understand the basic principles underlying the allocation of effort, and the corresponding charging of salaries, to those projects.


Fiscal Responsibility of Principal Investigators RPH 3.0 >>
At Stanford, the Principal Investigator (PI) has overall responsibility for the technical and fiscal management of a sponsored project. This includes the management of the project within funding limitations, adherence to reporting requirements and assurance that the sponsor will be notified when significant conditions related to project status change.

School of Medicine Policy on Sponsored Program Faculty Salary Support
The new RPH 3.1 policy eliminates the wording that requires a minimum of 1%. However, in the School of Medicine we have our own policy that requires ALL faculty participating on a sponsored project to devote effort and budget for that effort. Therefore, in the SoM there is not much of a change. RMG webpage >>

 

 

Fellowships vs. Grants



Definition of Sponsored Projects and Distinctions from Other Forms of Funding
RPH 13.1 >>
RPH 13.1(4) includes a definition of fellowships/scholarships and student aid, as distinguished from sponsored projects.
Postdoctoral Fellowships are not normally defined as sponsored projects. However, because they typically provide support for the recipient’s research activities, applications are processed through the research administration offices of the University. This helps to assure appropriate internal controls as regards to research policy, as well as the inclusion of the funds in the appropriate base for the calculations of Stanford’s indirect cost rates and the appropriate classification of the research space.

Attachment A, Checklist for Determining Whether Funding is a Postdoctoral Fellowship or a Sponsored Project. Download checklist >> PDF file
(The above form is also available on the new DoResearch webpage for RPH 13.1: Scroll to the bottom of the new DoResearch webpage RPH 13.1 to the Related Items section, click on the "Documents" tab, and select Attachment A.
)

RPH 13.2  Categories of Sponsored Projects RPH 13.2 >>



 

Gifts vs. Sponsored Projects

 

Forms
FINGATE webpage: Quick Steps: Process Donor Gift Checks>>

Go to the above webpage for:

  • Gift Transmittal Forms < $1,000
  • Gift Transmittal Forms > $1,000
  • Additional form for Gifts > $20,000: Gift or Sponsored Project Determination Process and Checklist form

Cardinal Curriculum Training module: Gift Administration at Stanford webpage >>
Individuals who are involved in the processing of gifts, including those who complete and sign gift transmittal forms, are required to be adequately trained.  

Definition of Categories of Sponsored Projects and Distinctions from Other Forms of Funding  
RPH 13.1 >>
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.

Checklist for Determining Whether Funding is a Gift or Support for a Sponsored Project
Download checklist >> PDF file


The above form is also available on the new DoResearch webpage for RPH 13.1 Definitions of Categories of Sponsored Projects (formerly RPH 3.2) : Scroll to the bottom of the new DoResearch webpage RPH 13.1 to the Related Items section, click on the "Documents" tab, and select "Checklist for Determining Whether Funding is a Gift or Support for a Sponsored Project".

 

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Graduate Students on Research Grants

 

Pro-rated Tuition Calculation Rate Chart webpage* >>
*Your SUNET ID is required for access to this Dean of Research webpage. This chart includes approved 2013-2014 rates.

RPH 15.6 Tuition Allowance for Research Assistants webpage* >>
*this link takes you to the new DoResearch webpage for this policy. Note: the policy has been renumbered. (Formerly RPH 3.9)

Memos for the charging of Graduate Student Research Assistant salary and tuition
2014-15 Minimum RA/TA Salaries webpage* >>
2013-14 Minimum RA/TA Salaries webpage * >>
2012-13 Minimum RA/TA Salaries webpage * >>
*this link takes you to the new DoResearch webpage entitled "Minimum RA/TA Rates"

Please note: the School of Medicine and other schools pay higher rates than those which appear in the Research Policy Handbook RA/TA Salary memo. For specific details, please contact your department's Research Process Manager (RPM) >>.

Graduate Student Assistantships
Administrative Guide Memo 10.2.1: Graduate Student Assistantships more >>
Graduate Student AssistantshipSalary and Tuition Allowance Tables
Academic Year 2014-2015 more >>

Academic Year 2013-2014 more >>

Biomedical Graduate Student Ph.D. Salary/ Stipend:
$28,500.00 (FY 08-09)
$29,250.00 (FY 09-10)

$29,500.00 (FY 10-11)

Clarification of OMB A-21 Treatment of Voluntary Uncommitted Cost
OMB Memo 01-06, January 5, 2001 webpage* >>
*this webpage takes you to the Office of Management and Budget on the White House website.
This memorandum clarifies the treatment of voluntary uncommitted cost sharing effort in the computation of facilities and administrative (F&A) rates in accordance with OMB Circular A-21. Voluntary uncommitted cost sharing effort is defined, for the purpose of this memorandum, as university faculty (including senior researchers) effort that is over and above that which is committed and budgeted for in a sponsored agreement.

NIH NRSA Requirements (Graduate Student Compensation)
Stanford clarification: The Graduate Student Compensation Limit for Fiscal Year 2012 NRSA awards research grants is tied to the "0" level of experience stipend level for postdocsTherefore, the limit is $39,264 (salary plus benefits and tuition) when budgeting graduate students on research grants.


NIH Notice: Stipend Levels for FY2012
webpage >>
*The budgetary categories described in this NIH Notice NOT-OD-12-033 are effective only for Kirschstein-NRSA awards made with FY 2012 funds. All FY 2012 awards issued using FY 2011 stipend levels will be revised to increase the stipend category to the FY 2012 level. For institutional training grants already awarded in FY 2012, if trainees have been appointed to the FY 2012 budget period, the grantee institution must amend those appointments to reflect the FY 2012 stipend level once the revised award is received. Amended appointments must be submitted through xTrain in the eRA Commons. Retroactive adjustments or supplementation of stipends or other budgetary categories with Kirschstein-NRSA funds for an award made prior to October 1, 2011 are not permitted.



NIH Notices-previous stipend level changes:
NIH Stipend Levels for FY2014 (NOT-OD-14-046)
NIH Stipend Levels for FY2012 (NOT-OD-12-033)
NIH Stipend Levels for FY2011
NIH Stipend Levels for FY2010
NIH Stipend Levels for FY2009  
NIH Stipend Levels for FY 2008


(Reference: Office of Postdoctoral Affairs Salary Guidelines webpage >>.)

 

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Indirect Cost Waiver


IDC Waiver Requests

IDC Waiver requests- School of Medicine
Please contact your department's Research Process Manager (RPM) >> for assistance.
IDC Waiver Requests-Outside the School of Medicine
RPH 15.2 Facilities and Administrative (Indirect Cost) Waivers RPH 15.2 >>

Looking for the F&A Waiver Request Form: Go to the RPH 15.2 webpage* >> , scroll down to "Related Items" and click on the Documents tab.   
For case-by-case waiver requests, per see RPH 15.2(5), outside of the School of Medicine only, individuals must submit a F&A Waiver Request Form. This form is available for downloading by going to the "Related Items" section of the RPH 15.2 webpage >> then clickin on the "Documents" tab. The policy revision (Sept. 2008) distinguishes between pre-approved and case-by-case waivers, and clarifies the criteria required for each. It also explains those circumstances in which indirect cost waivers will not be approved
Looking for the Pre-Approved IDC Waiver List? Go to the RPH 15.2 webpage* >> , scroll down to "Related Items" and click on the "Documents" tab.


Verification of nonprofit  

"GuideStar"-national database of nonprofit organizations
Provides Tax ID# and financial information for indirect cost waivers
http://www.guidestar.org  (This is a free service which requires registration to access.)


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Indirect Cost Crossover Between Departments



School of Medicine Policy on Indirect Cost Crossovers Between Departments
RMG webpage >>

The development of the Operating Budget each year includes a determination of the amount of indirect costs to be allocated to each department. One of the factors that impact this allocation is the amount of indirect costs generated by each department, which in the past has been adjusted by crossovers between departments.

An indirect cost crossover policy is necessary in order to establish uniform procedures in accounting for crossovers and to encourage understanding and cooperation among principal investigators and department administrators that will enhance research efforts in the school.


Infrastructure Charge Policy

 

University Policy on Infrastructure Charge
The new DoResearch Infrastructure webpage >>

School of Medicine Policy for Infrastructure Charge
On September 1, 2005, the University implemented a revised infrastructure charge policy that increased the infrastructure charge to 8%.
The infrastructure charge applies to:

  • (1) non-sponsored revenue sources, and
  • (2) non-federally funded sponsored awards that carry an indirect cost rate of 0%.

At the time of implementation, the Dean decided to help mitigate the impact on trainees and junior faculty by covering this cost on behalf of Departments. 
In the January 9, 2006 Dean’s Newsletter, the Dean wrote about this infrastructure charge and the effort to provide some mitigation and further stated that the decision would be re-evaluated in three years.  Due to fiscal challenges, we have had to re-evaluate many policies, and we have now determined that this infrastructure cost most appropriately resides at the Department, and not at the Dean’s level.  This is consistent with the other Schools in the University.  It also brings the SoM approach for gift and sponsored funding activities as it relates to infrastructure charges into alignment. It has been the policy for many years that when a donor refuses to allow infrastructure charges against their gift, the Department must provide an alternate unrestricted PTA to which the infrastructure cost can be charged.  Effective in FY 2012, this will also be the practice for all new and renewal proposals submitted to non-federal sponsored awards.

The Research Management Group (RMG) works with faculty who are submitting grant proposals to ascertain if the sponsor will pay indirect costs.  When it is determined that a non-federal sponsor does not allow indirect costs, the department will be required to provide an alternate PTA for the infrastructure cost.  In accepting these fellowships and grants we are incurring real costs – and it is often worth doing so in order to support trainees and junior faculty.  The department will be responsible for the applicable infrastructure expenses.  The Dean will continue to pay the Stanford University tax on these revenue sources at a rate of 7.18% on all sponsored funding, and at a rate of 9.3% on all gifts.
 




Institutional Rates

 

Policy
Facilities and Administrative (Indirect Cost) and Fringe Benefit Rates RPH 15.1 >>


Rates DoResearch webpage* >>
This "Rates" webpage includes: Chart for F&A Cost Rates, Fringe Benefit Rates, Vacation Accrual/Disability Sick Leave Rates, Other Rates, and Non-sponsored receivable rates.
Fringe Benefit Rates Chart (includes FY14) more >>



Provisional Rates-announced

Stanford and the Office of Naval Research (ONR) have signed a Provisional agreement for Facilities and Administrative (Indirect Cost) rates. These rates are effective beginning September 1, 2014. The Provisional rate agreement is dated August 19, 2014. The Provisional rates will be replaced with final rates once the final rate agreements are signed.
These new provisional rates, per this DoResearch webpage >>, should be used for all proposal budgets.

 

 

 

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Intellectual Property

 

RPH 9 Intellectual Property RPH 9 >>

  • RPH 9.1 Inventions, Patents and Licensing (Formerly RPH 5.1)
  • RPH 9.2 Copyright Policy . (Formerly RPH 5.2)
  • RPH 9.3 Administration of Copyright Policy
  • RPH 9.4 Tangible Research Property (Formerly RPH 5.3)
  • RPH 9.5 Other intellectual property: Trademarks, Patents, and Proprietary Information

Patent and Copyright Agreement for Personnel at Standord Form (SU-18)

To download the instructions for completing the online SU-18 form via AXESS, you need to go to the new DoResearch RPH 9.1 Inventions, Patents, and Licensing webpage >> (formerly RPH 5.1), scroll down to the bottom of the webpage to the "Related Items" section and then click on the "Document Tab".

Aug. 1, 2005 Memo from the Dean of Research Office**
**this webpage link no longer works since the new DoResearch webpage was launched. This memo does not appear on the RPH 9.1 webpage.
This memo updated the guidance on the web about our intellectual property policies and the requirement for IP agreements from all researchers.



Internal Proposal Deadline


Stanford University Internal Proposal Deadlines webpage >>
*this links to the RMG webpage created for the memo
Effective June 1, 2006, a copy of the complete and final sponsor application along with a signed/completed electronic PDRF (replaced the SU-42) must be submitted to your institutional representative at least 5 full working days in advance of the sponsor's due date (or one calendar week).

This requirement applies both to proposals that will be submitted electronically as well as those being submitted on paper. The five day lead time does not include the time required by your local unit/department/school for their review.


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NIH Salary Cap

 

Policy: RPH 15.5 Salary Cap Administration RPH 15.5 >>
*this link takes you to the new DoResearch website. Note: the RPH has been renumbered. (Formerly 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.


Links to NIH webpages:
NIH Salary Cap Notice 2014
NIH Salary Cap Notice 2012

NIH Salary Cap Notice 2011
NIH Salary Cap Notice 2010   
NIH Salary Cap Notice 2009 
NIH Salary Cap Notice 2008
NIH Salary Cap Summary 1990-2008*

 

 

 

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NIH Training grants

 

Graduate Student Tuition Rates webpage * >>
*this link, which requires your SUNET ID for access, goes to the Dean of Research Pro-Rated Tuition Calculation webpage containing tuition rates for the academic year through Academic Year 2013-2014


Health Insurance Rates:

  • Health Insurance Rates (Postdoc)- Office of Postdoctoral Affairs webpage >>
  • Health Insurance Rates (Graduate Students)- Vaden Health Center Stanford webpage >>


NIH Ruth L. Kirschstein National Research Service Award (NRSA) Stipends, Tuition/Fees and Other Budgetary Levels

NIH Stipend Levels for FY2012
NIH Stipend Levels for FY2011
The budgetary categories described in this Notice are effective only for Kirschstein-NRSA awards made with FY 2011 funds. All FY 2011 awards issued using FY 2010 stipend levels will be revised to increase the stipend category to the FY 2011 level. For institutional training grants already awarded in FY 2011, if trainees have been appointed to the FY 2011 budget period, the grantee institution must amend those appointments to reflect the FY 2011 stipend level once the revised award is received.
NIH Stipend Levels for FY2010
NIH Stipend Levels for FY2009  
NIH Stipend Levels for FY 2008

NIH NRSA Training Grants & Fellowships
Comprehensive NIH NSRA webpage.

NIH Website:  FAQ's re: NRSA Training Grants

 

 

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Non-Disclosure Agreements (NDAs) and Confidentiality Disclosure Agreements (CDAs) or Confidentiality Agreements


Confidentiality Agreements webpage* >>
*this link takes you to the new DoResearch webpage formerly entitled, "Handling Non-Disclosure or Confidentiality Agreements"

In the course of their Stanford work, Principal Investigators and other researchers may be asked to accept confidential, proprietary or restricted information, materials, software code or technology from a third party. The third party - a company or a government agency, for example - will require that the researcher sign a Non-Disclosure Agreement (NDA), sometimes also called a Confidential Disclosure Agreement (CDA) or Confidentiality Agreement.

These can come up in the context of several kinds of institutional arrangements, including equipment or software loans, technology licensing, data sharing agreements, or material transfer agreements. In these kinds of university agreements, a Stanford office, usually the Office of Sponsored Research or the Industrial Contracts Office, will be involved and can negotiate appropriate terms on behalf of the University.

In other cases, a third party may ask an individual at Stanford to sign such an agreement as part of an ongoing or proposed activity in which there is mutual interest, such as a clinical trial or potential collaborative research project. In these cases, the NDA is between the third party and the individual. The researcher cannot sign on behalf of Stanford University.

 

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Payroll Distribution Certification: New Regulatory Requirement for Annual Payroll Distribution Certification

 

"New Regulatory Requirement for Annual Payroll Distribution Certification" June 20, 2013-Memo from Dr. Ann Arvin, Dean of Research Office, and Randy Livingston, Vice President for Business Affairs and CEO  
Download
 
PDF file


The federal government is requiring Stanford to augment its certification of payroll charges to sponsored and non-sponsored activities. To satisfy this requirement, Stanford will add a process for annual certification of 100% of payroll charges for calendar year 2013 for each faculty, staff, student and postdoctoral scholar whose Stanford paid salary is charged in whole or in part to one or more of the following:

  • federally sponsored projects
  • subawards with a federal prime sponsor
  • cost sharing accounts for federally sponsored projects
  • non-federally sponsored projects that incorporate Office of Management and Budget federal requirements (A-21)

Calendar year 2013 certification begins in spring 2014
Faculty and individuals with principal investigator (PI) waivers who have salary charged to any of the sources listed above will review and electronically certify their sponsored and non-sponsored payroll charges. PIs will also review and electronically certify the annual sponsored and non-sponsored payroll charges for each of their staff, and salaried students and postdoctoral scholars. Staff supervisors may need to review and certify certain non-sponsored salary charges for employees who report to them. For additional information download the above memo.

Preparing for the annual process begins in 2013
Two new reports will facilitate understanding of this new responsibility and process. These reports will reflect 100% of payroll charges for the 2013 spring academic quarter and are for informational purposes only. They will not require certification.

  1. Finance and/or research administrators will receive an employee FYI Quarterly Payroll Distribution Report for each PI they support beginning July or August 2013.  (Faculty and their salaries are excluded from these reports.) They will review the reports with PIs.
  2. Faculty will receive their individual faculty FYI Quarterly Payroll Distribution Report beginning August 2013. Administrators will not receive this report.

Reviewing expenditure statements for sponsored projects
PIs will continue the current practice of reviewing and certifying quarterly expenditure statements for each of their sponsored projects. Staff will continue the current practice of reviewing the monthly expenditure statements and verifying their review by signing and dating the monthly statements through August 2013. Beginning in September 2013, staff will review the monthly expenditure statements and will verify their review by signing the quarterly expenditure statements.

Further communications and training will be provided regarding this new process. If you have questions about this new certification or your responsibilities, please contact Sara Bible atsbible@stanford.edu, Ken Schulz at kschulz@stanford.edu or Patti McCabe at pmccabe@stanford.edu

 



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PI Certification & Quarterly Report Policy and Procedures


School of Medicine

RMG webpage: Quaterly Post Award Reporting Policy and Procedure

University Monthly Review and Quarterly PI Review and Certification
DoResearch webpage >>

 

 

PI Training, Stewardship and Compliance


Online training: Principal Investigator Responsibilities at Stanford University
PIs are responsible for the intellectual direction of research and scholarship and for educating and training students. In carrying out these critical tasks, PIs are also responsible for compliance with laws and regulations that touch on all aspects of the research enterprise. Regardless of their field of research and scholarship, all PIs should understand the requirements that flow from law and agency regulations pertaining to environmental health and safety, expenditures of project funds, financial disclosures and conflicts of interest, invention disclosures, and reporting of scientific misconduct. Depending on the type of research being done, there are also important requirements related to research methods, e.g., use of chemicals and other hazardous materials, human subjects, lab animals, radiological hazards, and biosafety.

To protect the individual as well as the university, Stanford requires each of its PIs to complete a brief review of these topics. PIs can do this by reviewing the material on the DoResearch website. Stanford University will not release project funding for a PI who has NOT satisfied this requirement.

Principal Investigator (PI) Training overview
05/13/2014: Per Patti McCabe in the Dean of Research Office, the former database containing individuals who have completed the PI training is no longer available. A replacement database will be available in the near future via this webpage:
http://doresearch.stanford.edu/training/piship

Stewardardship and Compliance for Principal Investigators-PI training:
http://doresearch.stanford.edu/training/piship/stewardship-and-compliance-principal-investigators

 

 

PI Waivers


Prinicipal Investigator (PI) Eligibility and PI Waiver webpage* >>
*this webpage takes you to the School of Medicine RMG webpage containing information on Principal Investigator (PI) and the various types of PI waivers and procedures.



Postdoctoral Fellows on Research Grants


Fellowship office at the RMG (Procedures>>

Minimum Salary for Postdoctoral Fellows
The University Provost establishes minimum funding levels based on the years of cumulative research experience a Postdoctoral Scholar has when appointed. The minimum annual funding (salary and/or stipends) amounts are available on the following webpage:
Office of Postdoctoral Affairs-Funding Guidelines webpage >>


Subawards




New DoResearch webpages:

 

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Telecommunications Rate for School of Medicine

 

Download Background and FAQ (06/18/2012) >>  PDF

On 9/1/2012, the SoM implemented a telecommunications rate for distributing the desktop phone service costs back to individual units/departments.  This was in response to the University’s announcement that they would no longer bill desktop phone services directly to individual depts/units through monthly detailed statements. Instead, the desktop phone service is now charged in a single lump sum to a SoM Dean’s Office fund and the SoM distributes the desktop phone service costs back to individual units/departments through the charging of the telecommunication rate.  

 Effective 9/1/2013, the telecommunication rate will increase from 0.8% to 1.5%. 

*Application to Sponsored Projects
The telecommunication charge applies to non-federal/non-government sponsored projects administered through the School of Medicine only.  RMG will calculate the 1.5% rate on all salaries (i.e. faculty, staff, postdocs, and students, and TBN positions) listed on the proposal budget and then enter the amount as a line item in the Other Expenses category as a “Telecommunications Charge”.  

NOTE- direct charging of Stanford ITS provided desk-top telephone services on any sponsored project (non-federal, federal, or government) will no longer be allowable in the School of Medicine.

 

 

 

RESOURCES

 

 

Cardinal Curriculum

Link to the Office of Research Administration (ORA) online
Cardinal Curriculum Training for Research Administrators

 

Material Transfer Agreements (MTAs)     

 

Material Transfer Agreements (MTAs) are short contracts governing the transfer of tangible research property (often biological materials) for in vitro research use. For more information:

Industrial Contract Office (ICO) webpage >> with links to sections devoted to Researchers, Administrators, and Industry

 

NIH Data Use Certification (DUC)

The NIH has certain datasets that they will send Stanford researchers only after we sign a “Data Use Certification.” When completing the NIH DUC application, faculty should select their respective OSR Grant and Contract Officer as the signing official.  OSR will review the DUC and submit it electronically.  OSR will also route a PDRF to the PI for approval.  The DUC will receive a SPO# and will be tracked in SeRA.
A list of previously approved NIH data use certifications can be found at http://www.stanford.edu/group/ICO/researcher/reResources.html.

If you have questions, you may contact your OSR Grant and Contract Officer (CGO). The OSR CGO assignment list is located in DoResearch Pre-Award Operations.  Click on “Pre-Award Contract and Grant Officer Assignments” located near the bottom of the page.  A PDF version of the assignment list will display.  Scroll to the section listing the School of Medicine.  Find your department, then find the assigned OSR CGO.



NIH Quick links

 

NIH Public Access-NIH Video Training Tools on YouTube

NIH has published the following training videos to You Tube to address training needs of faculty and administrative staff with respect to the Public Access Policy.   A tabel of contents with links to the following seven videos can be found on this YouTube webpage >>

 

 

NIH Research Performance Progress Report (RPPR)

 

What’s New:
On 3/9/2012 NIH announced its intention to implement the Research Performance Progress Report (RPPR) through a new eRA Commons Module in the fall of 2012.  See NIH notice NOT-OD-12-083 >>.

The RPPR will replace the:

  • PHS Non-competing Continuation Progress Report (PHS 2590 >>)
  • eSNAP module in the eRA Commons
  • NIH and AHRQ Ruth L. Kirschstein National Research Service Award Individual Fellowship Progress Report for Continuation Support (PHS 416-9 >>).

Pilot testing of the RPPR for NIH awards began in late April 2012 with 7 institutions.  On June 16th, 2012 early access to the RPPR was extended to Federal Demonstration Partnership institutions, this includes Stanford University.

 

What this means for Principal Investigators with NIH awards:

Principal Investigators who utilize the NIH Commons to prepare and submit their progress reports will have the RPPR link available to them in the Commons.   Upon selecting this link, the PI will have the option of launching a progress report via eSNAP or via RPPR.  Come 2013, the eSNAP module will be eliminated and the RPPR module will remain.  We encourage all Principal Investigators to begin utilizing the RPPR module to prepare their progress reports so that when it is fully implemented in 2013, it is not new to you.

Full implementation for fellowships and all awards issued under the Streamlined Non-competing Award Process (SNAP) is scheduled for awards made in Calendar Year 2013.  Implementation for complex mechanisms and non-SNAP awards has not been determined and further guidance will be provided at a later date.

Implementation also includes the following agencies:

  • Food and Drug Administration (FDA)
  • Agency for Healthcare Research and Quality (AHRQ),
  • Centers for Disease Control and Prevention (CDC)

Additional Information:

 

 

Payment Addresses / Wire Transfer Information

 

What should I do with checks received in my department?

Checks received in the department for payment on sponsored projects must be forwarded to the OSR Lockbox for deposit. Please do not mail them to the OSR office. Payments are to be made payable to Stanford University. Each check payment or wire transfer must reference the research project title, agreement number, invoice or voucher number, and the name of the Principal Investigator for identification. Any documentation or notes indicating the fund to which the money should be applied must be forwarded with a photocopy of the check to the appropriate OSR representative for retention in the file.  This includes a copy of any check remittance/advice or an attached memo or letter.  Preferred documentation includes  a sponsored projects (SPO)  number and/or award numbers. In general, the sponsor should not send checks directly to the department. The sponsor  should  be instructed to send checks  directly to OSR's  lockbox at the following address:

 

Stanford's Tax ID Number: 941156365
First Class Mail
(U.S. and Foreign):


Stanford University
P.O. 44253
San Francisco, CA 94144-4253
Wire or ACH Payments
Domestic and Foreign

Name of Bank:  
          Wells Fargo Bank
Address:                     420 Montgomery St.
                                     San Francisco, CA 94163
Swift Code:                 WFBIUS6S (Foreign)
Sort/Routing/ABA:    121000248 (Domestic)
Bank Account number:
School of Medicine staff and faculty: to obtain this account number, please contact your department's Research Process Manager (RPM) in the Research Management Group.
Note: Please ask remitters to include information which describes who the funds are from and what they are for in the message line.

Detailed questions about the payments should be directed to
ORA Accounts Receivable
Overnight/Certified Mail

(Update April 2012: any carrier is accepted.)

Wells Fargo Lockbox
Stanford University Lockbox 44253
3440 Walnut Ave, Bldg A, 2nd Floor
Fremont , CA 94538

Verification of Package Receipt:
(510) 745-5200



 

 

 

 

Veterinary Service Center (VSC) Charges

 

Department of Comparative Medicine animal care rates >>

The Veterinary Service Center (VSC) is a component of the department of Comparative Medicine that oversees all laboratory animal care and use at Stanford University. The VSC is responsible for assuring that all use of animals is humane and complies with all relevant policies and legal requirements.

 

 

 

OTHER ADMINISTRATIVE OFFICES

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