Stewardship and Compliance
for Stanford PIs



Resources Indexed Below:
this site
A-21, OMB Circular
Administrative/clerical expenses
Administrative Panels
    Human Subjects: Medical Research
    Human Subjects:Nonmedical Research
    Laboratory Animal Care
    Radiological Safety
Administrative resources, School and University offices
Allocability, cost principle
Allocability, documentation
Allocation of credit for research
Allocation Methods (financial)
Allowability, cost principle
    See also Other Resources
"Ask the Experts" links
    Focus on direct costs
    Responding to
    See also Other Resources

Budget justification language, administrative charges

Certification of project expenditures
Clerical/administrative expenses
Conflict of Commitment and Interest
Consistency in charging costs
Consulting by faculty
Cost Principles, examples
Cost Principles, explanation
Cost Sharing, commitments
Cost Sharing, examples
Cost Sharing, national discussion
Cost transfers

Department Property Administrators (DPAs)

Early Accounts
Effort Allocation
Effort: Proposing, Charging, Reporting
Environmental Health & Safety (EH&S)
Ethical reporting responsibilities
Export Controls

Faculty effort on projects
Federal Government-University Research Partnership, Federal report
Financial disclosures
Final Reports
    See also Terms and Conditions
FTE, effort/salary allocation

Hennessy, John, letter from
Human subjects in research

Institutional Animal Care and Use Committee (IACUC)
Institutional Review Board (IRB)
Intellectual property

Laboratory animals
Laboratory safety
Late-in-Period Expenses

"Major Projects," A-21 examples
Misconduct (research)

Navigation through this site
No-Cost Extension
Notification requirements:
    Changes in PI effort
    LOF/LOC notifications
    LOF/LOC sample letter
    PI absence from project

Office of Management and Budget (OMB)
OMB Circular A-21
Openness in research
Overdrafts and cost sharing

PI effort on projects
Pre-approvals for expenditures
Pre-award costs
Principles Concerning Research, Stanford statement
Protection of human subjects in research
Publication delays

Reasonableness, cost principle
Record retention (financial)
Record retention (scientific)
Reporting of violations
Reports, technical
    See also Terms and Conditions
Research misconduct
Research volume, Stanford University
Resources, research administration
    School offices
    University offices
Responsible Conduct of Research (RCR)

Salary charges
Secrecy in research
Spending patterns
SUNet Ids

Terms and conditions, award
"Test your knowledge" links
Transfers of expenses
Transfers to avoid overdrafts

University Safety Partners

Web site format and navigation
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Stanford Policies
referenced in
this site

RPH  >

AGM  >

(All Administrative Guide Memos are PDF files)
Administrative Panels for Research Compliance (RPH 1.4)
Allocations and Offsets (AGM 38.1)
Charging for Administrative and Technical Expenses (RPH 3.6)
Conflict of Commitment and Interest, Faculty policy (RPH 4.1)
Consulting, Faculty policy (RPH 4.3)
Control of Property (RPH 3.12)
Cost Policy (AGM 34.5)
Copyright Policy (RPH 5.2)
Cost Sharing: Stanford University Policy (RPH 3.5)
   Cost Sharing: School of Medicine restriction
Cost Transfers (AGM 38)

Export Controls (RPH 10.2)

Faculty Consulting Policy (RPH 4.3)
Faculty Policy on Conflict of Commitment and Interest (RPH 4.1)
Fiscal Responsibilities of Principal Investigators (RPH 3.1)

Health and Safety at Stanford University: Principles, Responsibilites and Practices (RPH 6.2)

Inventions, Patents and Licensing (RPH 5.1)

Openness in Research (RPH 2-6)

PHS and NSF Requirements Regarding Financial Disclosures and Agency Notifications (RPH 4.2)
Principles Concerning Research (RPH 2.1)

Research Misconduct: Policy on Allegations, Investigations and Reporting (RPH 2.5)
Retention of and Access to Research Data (RPH 2.10)
Retention of Financial Records (AGM 34.4)
Rights and Responsibilities in the Conduct of Research (RPH 2.2)

University Code of Conduct (AGM 1)

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Other Resources
linked to
this site
Administrative Charges, Decision Tree
   Graphical version
Administrative Charges, Implementation Guidelines
Administrative Charges, Resource Page
Allowability, discussion of (Controller's Office site)
Audit Survival Guide
Academic Authorship (Don Kennedy paper)

   Expenditure Review
   Transfers of expense
Conflict of interest disclosures
   Ad hoc disclosure
   Annual faculty disclosure [Stanford access only]
   Information for the School of Medicine
Cost Sharing, Resource Page
Cost Sharing, comments on a report from the
    National Science and Technology Council
DPA Update

Early Accounts: A Good Business Practice
Early/Extended Account Form
   Acrobat pdf file
Effort Allocation, Resource Page
Expenditure Review Checklist
Export Controls: Information and Resources

Financial disclosures
   Ad hoc disclosure
   Annual faculty disclosure [Stanford access only]

Getting Started in Research at Stanford

Lab Animals Resource Page

NIH Grants Policy Guidance
NSF Grant Proposal Guide

On Being A Scientist: Responsible Conduct In Research
   (National Academy of Sciences)
Openness in Research checklist

Property Administration Manual
Property Service Representatives, list of
Protecting Research Subjects
   Donna Shalala in New England Journal of Medicine
Protection of Human Subjects in Research
   A required tutorial

Safety Resources, Stanford University
Safety Training Resources (General)
Safety Training Resources (Medicine)

Transfer Checklist
Transfers and Overdrafts, Decision Trees
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Dean of Research and Graduate Policy, which includes:
   Environmental Health & Safety
   Research Compliance Office (Administrative Panels)

Office of Research Administration, which includes:
   Office of Sponsored Research
   Cost and Management Analysis
   Property Management Office

Comparative Medicine
Controller's Office

Internal Audit Department

Office of Technology Licensing

Research Management Group
   (School of Medicine)

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