On This Page
- Administrative Expenses
- A-21 & A-133 Circulars (Office of Management and Budget)
- Capital Equipment Threshold
- Cardinal Curriculum Training for Research Administrators
- Clinical Trial Program and Resources
- Compliance--
--Cancer Center Scientific Review Committee (SRC)
--Medical and Non Medical Human Subjects (IRB)
--Laboratory Animals
--Biosafety
--Radiologic Hazards
Stem Cell Oversight (SCRO)
- Conflict of Interest
- Contracts
- Cost Sharing
- Deadline (5-day internal submission policy: university-wide)
- DFA Lock Box (Edwards Bldg)
- Export Controls
- Faculty salary and effort
- Gifts vs. Sponsored
Projects
Gift processing forms
- Graduate Students on Research Grants
- Grants.gov at Stanford
(eRA Commons, eSubmit)
(Electronic proposal submission) - Human Embryonic Stem Cell Research (hESC)
Cardinal Curriculum - Indirect Cost Waiver
- Indirect Cost Crossover Between Departments
- Infrastructure Charge Policy
--Infracture waiver list
--Infrastructure Charge (ISC) Exemption Request Form - Institutional Rates
- Intellectual Property
- Internal Proposal Deadlines
- IRB Review Fees
- Material Transfer Agreements (MTAs)
- New Faculty Guide
- NIH Salary Cap
- NIH Resources
- NIH
Training Grants
Non-Disclosure Agreements - Office of Sponsored Research
- Oncore Database (Cancer Center)
- OTL Researcher Portal
- Payment /checks received from sponsors
- PI Certification
Quarterly Report Policy and Procedure - PI Stewardship & Compliance
--PI Training - PI Waivers
- Postaward
Administration - Postdoctoral Fellows on Research Grants
- SPIDERS/SPO Log/PRISM Access Request Form and Computer Set Up Procedures
- Subawards
- Vacation charges
- Veterinary Service Center (VSC) Charges
New! Institutional Facts webpage containing frequently used ID numbers for your grant proposals including animal care, human subject, DoD FICE, CAGE, DUNS, Stanford Tax payer ID number, etc. |
Administrative Expenses
Charging for Administrative and Technical Expenses (RPH 3.6)
Administrative Charging Q&A's: Stanford Report interview Internal Audit (April 07, 2004)
A-21 & A-133 Circulars
A-21 Circular (revised 05/10/04). 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 (revised 06/27/03). 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.
Capital Equipment Threshold
Approval of $5,000 Equipment Capitalization Threshold in FY04
(Beginning September 1, 2003) (April
1, 2002 Memo)
Cardinal Curriculum
Link to the Office of Research Administration (ORA) online
Cardinal Curriculum Training for Research Administrators
Compliance
Cancer Center Animal Setup and Boarding Rates for VA, Stanford, or PARE Admin Projects of VA Investigators
Biosafety (Biohazardous Agents and Recombinant DNA) |
Top
Conflict of Interest
School of Medicine and University policy and procedures
Conflict of Interest Annual Disclosure and Ad Hoc Disclosure
procedures
Tips for faculty for managing their outside relationships in order to avoid conflict of commitment and interest
Effective 10/01/06: Stanford Industry Interactions Policy
Conflict of interest Supplmental form:
"Disclosure of Financial Interests Related to Research Activity" must be completed by the PI and attached to the SU-42 for each proposal. See Forms webpage.
Contracts
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 negotiation
Office
of Sponsored Research/
The OSR
School of Medicine Team (Click on "Office Group" and select "Medicine") handles:
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).
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
Cost Sharing
Cost
Sharing: Stanford University Policy and Procedure (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.
Federal Requirements for Cost Sharing
Attachment
A to Research Policy Handbook RPH 3.5a
Administrative requirements for including cost sharing on federal grants and cooperative agreements are defined in OMB Circular A-11
DFA Lock Mail Box
The DFA Lock Mail box has been installed on an exterior wall in the Edwards Building. Mail/checks for the Office of Medical Development can be dropped off at that location. Download PDF file with photo and location
Export Controls
Export Controls (RPH 10.2)
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.
Export Controls Resource webpage includes: templates that can be downloaded and used to document appropriate exemptions and exceptions to licensing requirements, as well as a "decision tree" to help in determining when such documentation is needed.
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 Allocation-Dean of Resarch Office resource 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.
School
of Medicine Policy
Policy on Sponsored Program Faculty Salary Support (5/6/97)
Fiscal Responsibility for Principal Investigators (RPH 3.1)
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.
Functional Role
Functional Roles within the School of Medicine. Download PDF file.
Gifts vs. Sponsored Projects
Forms
Gift Transmittal Formsnow available via Fingate. 
Note: *There
are two pages to this form. Page 2 includes a section
on conflict of interest and special procedures required for
gifts $20,000 or greater.
Cardinal Curriculum Training module
Individuals who are involved in the processing of gifts, including those who complete and sign gift transmittal forms, are required to be adequately trained. A module has been added to Stanford's Cardinal Curriculum on "Gift Administration at Stanford."
Research Policy Handbook
Definitions
of 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.
Attachment
A: Gift or Sponsored Projects Determination Process Checklist
Download this checklist from the Research Policy Handbook RPH 3.2A webpage under Section
D1.
"Condition
of Gift Award" (Word Document/memo)
Download this memo from the Research Policy Handbook RPH 3.2A webpage under Section
B.1 Process For Determination-FIRST LEVEL.
Graduate Students on Research Grants
Pro-rated Tuition Calculation
Rate Chart
(SUNET ID required for access to this Dean of Research webpage)
RPH 3.9- Policy for Tuition Allowance for Research Assistants Policy
Memos for the charging of Graduate Student Research Assistant salary and tuition:
2008-09 Minimum RA/TA Salaries
2009-10 Minimum RA/TA Salaries
(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 Research Process Manager (RPM).)
Graduate Student Assistantship Salary and Tuition Allowance Tables
Academic Year 2007-2008
Academic Year 2008-2009
Academic Year 2009-2010
Biomedical Graduate Student Ph.D. Salary/ Stipend:
$28,500.00 (FY 08-09)
$29,500.00 (FY 09-10)
Clarification of OMB A-21 Treatment of Voluntary Uncommitted
Cost
Sharing and Tuition Remission Costs, OMB Memo M-0106, January 5,
2001 [ PDF file ]
NIH NRSA
Requirements (Graduate Student Compensation)
Effective with all Kirschstein-NRSA awards made on or after October 1, 2008, per NIH Notice NOT-OD-09-075:
Stanford clarification: The Graduate Student Compensation Limit for Fiscal Year 2009
NRSA awards research grants is tied to the "0" level of experience stipend level for postdocs. Therefore,
the limit is $37,368 (salary plus benefits and tuition) when budgeting graduate students
on research grants.
(Reference: Office of Postdoctoral Affairs Salary Guidelines Table.)
Grants.Gov
Stanford procedure Grants.gov at Stanford webpage
Getting Started tips/Setting up your computer/PI resources, etc.
Grants.gov allows electronic access to more than 1,000 grant programs offered by all Federal grant-making agencies.
Grants.gov replaces paper applications with electronic forms and requires electronic submission of all applications. It is the central portal for grant announcements and submissions.
Grants.gov at Stanford eSubmit
eSubmit is Stanford's drop box for electronic research proposals and provides storage, routing and tracking features. Potential users include faculty, departmental staff, and central office staff who participate in the creation, approval and submission of these electronic proposals.
Direct link to eRA Commons | eRA Commons FAQs
The Electronic Research Administration (ERA) Commons is a virtual meeting place where NIH extramural grantee organizations, grantees, and the public can receive and transmit information about the administration of biomedical and behavioral research. The ERA Commons is divided into both unrestricted and restricted portions that provide for public and confidential information, respectively.
Human Embryonic Stem Cell Research (hESC)
Human Embryonic Stem Cell Research (RPH 10.7)
"Human embryonic stem cells" are pluripotent cells that are self-replicating, derived from human embryos and are capable of developing into cells and tissues of the three primary germ layers. Although human embryonic stem cells may be derived from embryos, such stem cells are not themselves embryos.
In the RPH 10.7 policy, those human embryonic stem cell lines that were in existence on August 9, 2001, that meet requirements established by the Presidential directive of that date, and that are registered with the National Institutes of Health are defined as "registered stem cell lines"; any human embryonic stem cell lines created after August 9, 2001 are defined as "non-registered stem cell lines." (See Special Operating procedures. Note change**)
**The Stem Cell Research Tracking Form and the hESC Training are no longer needed.
Implementation of Executive Order on Removing Barriers to Responsible Scientific Research Involving Human Stem Cells (NIH NOT-OD-09-085). This NIH Guide Memo dated April 17, 2009 states they will continue to restrict funding of hESC research until NIH develops new guidance based on the President's Executive Order. Please note, this is a restriction on direct cost funding and not on indirect support. This means, they do not restrict the use of federally funded space or equipment. * There is no longer a need for a hESC Tracking Form or hESC training.
Research Compliance Office
Stem Cell Oversight Resource
Stem Cell eProtocol website (SUNET ID required for access)
Indirect Cost Waiver
IDC Waiver Requests-- Outside the School of Medicine:
For case-by-case waivers requested outside of the School of Medicine only, a new IDC waiver request form is also provided on the RPH 3.10 Indirect Cost Waiver policy webpage. 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
School of Medicine IDC Waiver requests,
Please contact your Research Process Manager (RPM) for assistance.
Verification of nonprofit
organizations tax exempt status
"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.)
Indirect Cost Crossover Between Departments
School of Medicine Policy
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
Infracture waiver list:
Office of Research Administration Infracture resource webpage for the Infrastructure charge policy and waiver list.
To download a form to request Infrastruction (ISC) Exemption request form:
Infrastructure Charge (ISC) Exemption Request Form (School of Medicine) 
Institutional Rates
Office of Research Administration (ORA) Facilities and Administrative Cost Rates
(FY98-FY10).
Policy
Facilities & Administrative (F& A) and Fringe Benefits Rates: Definitions and Calculations (RPH 3.3)
Revised to clarify the application of indirect cost rates to either the Modified Total Direct Costs (MTDC) base or the Total Direct Costs (TDC) base
Intellectual Property
Stanford Research Policy Handbook (RPH Chapter 5)
5.1 Inventions, Patents and Licensing
5.2 Copyright Policy
5.3 Tangible Research Property
Aug. 1, 2005 Memo from the Dean of Research Office which updates the guidance on the web about our intellectual property policies and the requirement for IP agreements from all researchers.
Patent and Copyright Agreement Form (SU-18)
The signature for this electronic form will be via AXESS.
Internal Proposal Deadline
Announcement from the Office of the Dean of Research
Effective June 1, 2006, a copy of the complete and final sponsor application along with a signed/completed 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.
Material Transfer Agreements (MTAs)
MTAs are short contracts governing the transfer of tangible research property (often biological materials) for in vitro research use.
Industrial Contract Office (ICO) MTA/Information for Researchers webpage
Industrial Contract Office (ICO) Home page with links to sections devoted to Researchers, Administrators, and Industry.
New Faculty Guide
http://www.stanford.edu/dept/DoR/newfac.html
Policies and regulations
Information about funding opportunities
Resources for researchers
Stanford offices
People who can answer questions
RMG New and Junior Faculty Resources
NIH Resource webpages
NIH resource webpage (RMG webpage)
Grants.gov@Stanford (ORA webpage)
NIH Salary Cap
Salary Cap Resource Webpage
This page contains information and examples, links to policy
documents and calculation templates.
NIH Salary Cap Notice 2009
NIH Salary Cap Notice 2008
NIH Salary Cap Summary 1990-2008*
Policy: RPH 3.8, Salary Cap Administration
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.
NIH Training grants
Graduate
Student Tuition Rates
*SUNET ID required for access.* Link to the Dean of Research Pro-Rated Tuition Calculation webpage containing tuition rates for the academic year 2008-2009.
Health Insurance Rates (Post Doc) Office of Postdoctoral Affairs website.
Health
Insurance Rates (Graduate Student) Vaden Health Center/Stanford website.
NIH Stipend Levels for FY 2009
Effective with all Kirschstein-NRSA awards made on or after October 1, 2008, the following annual stipend levels apply to all individuals receiving support through institutional research training grants or individual fellowships, including the Minority Access to Research Career (MARC) and Career Opportunities in Research (COR) programs
NIH Stipend Levels for FY 2008
Ruth L. Kirschstein National Research Service Awards (NRSA): Funds for the NRSA program are held at FY 2007 levels and policies for tuition and training-related expenses established for FY 2007 remain in effect for FY 2008.
NIH NRSA Training
Grants & Fellowships
Comprehensive NIH NSRA webpage.
NIH Website: FAQ's re: NRSA Training Grants
Non-Disclosure Agreements (NDAs) and Confidentiality Disclosure Agreements (CDAs) or Confidentiality Agreements
Handling Non-Disclosure or Confidentiality Agreements-Dean of Research Office resource webpage
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.
Office of Sponsored Research
New ORA website.
Office of Sponsored Research--School of Medicine Team
Contact list
Oncore Database (Cancer Center)
Stanford has two versions of Oncore* The production version of Oncore provides a secure environment for capturing authentic (actual) protocol and subject data. * The demo/training version of Oncore provides an environment used for training and demonstration purposes. It contains disguised patient data generated by PercipEnz. You can use this for learning more about Oncore. If you would like access to this version of Oncore, please send me email and I will create a user account for you in the system.
RMG staff:
POPUPs must be allowed for the Oncore site.
Use your SUNet ID and password to log into Oncore. As a member of the RMG role in Oncore, you have read-only access to all protocols (Oncology protocols only) and no access to subject data PHI.
SRC Requirements for Cancer Studies
The SRC is part of the PRMS (Protocol Review and Monitoring System); see http://cancer.stanford.edu/trials/protocol.html for more info. The "Review and Reporting Requirements by Type of Study" chart on the PRMS page identifies the types of studies which require SRC Review and/or tracking in Oncore.
OTL Researcher Portal
The Office of Technology and Licensing OTL Researcher Portal provides researchers online access to:
--online disculosure form for submitting new inventions
--detailed paent, marketing and information on the researcher's active inventions
--information on the researcher's industrial sponsored research, collaborations and MTAs (Material Transfer Agreements)
Payment
Addresses / Wire Transfer Information
Stanford's Federal Tax ID No.:
Check with your department's Research Process Manager (RPM) to obtain Stanford's Federal Tax ID #.
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:
-
By First Class Mail:
Stanford University
P.O. 44253
San Francisco, CA 94144-4253
By Federal Express:
Wells Fargo Lockbox
Stanford University Lockbox 44253
3440 Walnut Ave, Bldg A, 2nd Floor
Fremont , CA 94538
Verification of package receipt:
(510) 745-5200*
*phone number now required for FEDEX deliveries.
Fed Ex Point of Contact/New customer setup:
(213) 614-3014
ACH Wire Transfer-
Domestic and Foreign
Wells Fargo Bank
Treasury Management-Client Services
707 Wilshire Blvd., 13th Floor,
Los Angeles, CA 90017
Swift Code: WFBIUS6S
Sort/Routing/ABA: 121000248
Bank Account: 4944-863588
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
PI certification & Quarterly
Report Policy and Procedures
School of Medicine
Quaterly
Post Award Reporting Policy and Procedure
University PI Certification Guidelines
Information and Guidelines, Due Dates
PI Training, Stewardship and Compliance
As of June 1, 2000, PI Training will be required before an award
can be accepted.
Online PI training
(The navigation
button, "NEXT". at the bottom of the webpage below will advance you
through the materials. You will need your SUNET ID and password to
proceed.)
PI Waivers
PI
Waiver Policies, Guidelines, Procedures
Postaward Compliance
Research Management Group/School of Medicine Compliance Process
Postdoctoral Fellows on Research Grants
Fellowship office at the RMG (Procedures )
Minimum
Salary for Postdoctoral Fellows
2008-2009 Stipend/Salary Levels have been approved by Vice Provost and Dean of Research, Ann Arvin, and Vice Provost for Graduate Education, Patti Gumport, with the support of Provost John Etchemendy (see the Postdoctoral Salaries at Stanford website)
SPIDERS/Spo Log/PRISM Access and Computer Set Up
SPIDERS/SPO Log Access Request Form and
SPIDERS/SPO Log PRISM computer set up instructions (RMG Webpage)
Subawards
OSR Subawards webpage which provides various tools to assist the departments in establishing subawards under sponsored agreements.
RPH 3.7, Subawards
Revised to reflect custodial transfer of subaward issuance and oversight from Procurement and Internal Audit to OSR. Also includes new forms and processing requirements.
Forms no longer needed for subawards under grants:
--OSR Form 32, Sole Source Justification
--OSR Form 46, Fair and Reasonable Cost Analysis (Subawards under Grants - PI Checklist) (form eliminated)
The use of these forms has been eliminated based upon updated interpretations of OMB Circular A-110 by the Federal Demonstration Partnership, the Office of Naval Research, the Office of Management and Budget, Stanford and other academic institutions.
Forms needed for subawards under contracts.
--OSR Form 32, Sole Source Justification, and
--OSR Form 45, Fair & Reasonable Cost Analysis (Subawards under Contracts - PI Checklist)
These forms must be filled out completely and in detail, with supporting documentation supplied for OSR Form 45.
Vacation Charges
Managing salary charges to pay for earned and accumulated vacation. Dean of Research vacation resource webpage.
Veterinary Service Center (VSC) Charges
Department of Comparative Medicine animal care rates.
