Research Policy Handbook

Establishing and Managing Independent Laboratories, Institutes and Centers at Stanford University (RPH 2.9)

Current version: October 29, 2007

Summary:

Discusses Independent Laboratories, Institutes and Centers at Stanford. Defines terms, presents considerations and procedures for establishing and managing them.

Stanford's ability to promote interdisciplinary scholarship and research is enhanced by the existence of Independent Laboratories, Institutes and Centers, which exist outside of organized schools and departments. These units facilitate faculty research into new areas while offering students and others a unique opportunity to explore interdisciplinary studies that extend beyond the boundaries of traditional programs, departments and schools.

However, because these entities represent exceptions to the principle of organizing our research programs within regular academic channels, they may create unique challenges that must be addressed in order for them to succeed.

This memo sets forth considerations, guidelines, and procedures for establishing and managing Independent Laboratories, Institutes and Centers at Stanford.

This policy is organized according to the following sections:

1. Definitions
2. Rationale and Impact of Establishing New Independent Laboratories, Institutes or Centers
3. Procedures for Establishing New Independent Laboratories, Institutes or Centers
4. Ongoing Evaluation of the Unit.

1. DEFINITIONS
   

   The terms "Laboratory," "Institute," or "Center" may be used informally to designate research efforts or programs within single departments. Alternatively, they may be more formally structured between several departments within one school, or as separate organizational units reporting to a school dean.

   As used in this policy, the term "Independent Laboratory, Institute and Center" designates those formally-organized research or scholarly programs which involve faculty members from more than one School, and which report to the Vice Provost and Dean of Research. These entities have the following characteristics:

   • They must be directed by tenured faculty.
   • They may not offer courses for student credit that are not cross-listed with regular academic departments.
   • They do not admit students nor confer degrees.
   • Typically, they do not have faculty billets which exist outside regular academic departments. (Faculty billets may be approved by the Provost in limited circumstances. Designated policy centers or institutes may also be authorized to appoint Senior Fellows and Center Fellows. For additional information see Faculty Handbook 2.3.)

   The term interdisciplinary research describes research collaboration across at least two disciplines of study. The purpose of interdisciplinary research is to break down the barriers between traditional areas of study in order to solve complex problems at the intersection of various disciplines. Such interdisciplinary collaborations are essential in the search for solutions to significant global and societal problems.

2. RATIONALE AND IMPACT OF ESTABLISHING NEW INDEPENDENT LABORATORIES, INSTITUTES OR CENTERS
   

   There are many reasons for establishing Independent Laboratories, Institutes and Centers at Stanford. These entities extend the University's research to areas that go beyond the boundaries of traditional departments and require mutual effort by faculty from various disciplines. In addition, such research units create a programmatic focus to multidisciplinary research that helps to attract new faculty and external funding.

   In addition to their advantages, these new enterprises also create demands for incremental University resources in the form of funding, space, and/or administration. These entities directly and indirectly influence the interactions, program directions, and priorities of faculty and graduate students and their relationships to their academic departments.

   Therefore, the impact of proposed Independent Laboratories, Institutes, or Centers must be carefully assessed before they are approved. The following key questions must be addressed when considering the need for a new independent unit:

   • What advantages are realized if the program(s) are conducted and managed outside of existing organizational units?
   • What is the likelihood of long-term and active participation by faculty and graduate students?
   • What impact (positive or negative) will the Laboratory, Institute or Center have on the participating faculties' home academic department?
   • What resources will be required to support the unit, and how will those resources be obtained and managed?
   • To what extent will establishment of the new entity help to attract external support?
   • Does Stanford have the expertise and resources for the new program to become one of the top centers in the country in its field?
3. PROCEDURES FOR ESTABLISHING NEW INDEPENDENT LABORATORIES, INSTITUTES OR CENTERS
   

   Faculty interested in establishing a new Independent Laboratory, Institute or Center should first informally discuss their proposal with their department chairs, school deans, and the Vice Provost and Dean of Research. If the cognizant chairs and deans endorse the concept, a written proposal should be submitted to the Vice Provost and Dean of Research.

   Written Proposal
   In addition to the considerations outlined above, the written proposal must also contain the following:

   • Description of Proposed Activity
   • Faculty Participation
   • Draft Charter
   • Plan of Governance
   • Anticipated Funding Sources
   • Other Resource Requirements

   Proposals should address specifically the impact of the creation of the new unit on university general funds. In addition, because proposals to external entities are not always successful, a clear set of alternatives should be laid out in the event proposed external funds, either gift or sponsored, are not raised.

   As a Stanford research unit, all regulatory requirements related to the conduct of research, including those dealing with environmental health and safety, protection of human or animal subjects, and fiscal management are applicable to Independent Laboratories, Institutes and Centers. Inasmuch as these units do not report to any particular school, the organizations responsible for providing guidance and monitoring in areas concerning research compliance should be clearly defined.

   Attachment A [pdf file] contains a template for the proposal with additional detail. Faculty members preparing such proposals are advised to consult in advance with the staff of the Dean of Research office.

4. ONGOING EVALUATION OF THE UNIT
   

   Research programs, including interdisciplinary efforts, evolve over time. They should not be assumed to be permanent entities, but rather should be established with a clear understanding of their goals and potential life cycle. These enterprises depend upon continued oversight by and participation of tenured faculty to provide the intellectual leadership, including assuming responsibility for directorship of the Laboratory, Institute or Center.

   Reviews
   Each Laboratory, Institute or Center should be reviewed periodically to determine whether the circumstances that led to its creation still exist and whether the entity continues to meet its goals. Such reviews need to evaluate the continued intellectual vitality of the unit, the commitment of the tenured faculty to its program, the involvement of students and visiting scholars, and the availability of funding and other resources.

   Outcomes and Sunset Provisions
   In order for the Independent Laboratory, Institute or Center to continue, the Vice Provost and Dean of Research must affirm the continuation of the research program. Other possible outcomes of such reviews include discontinuation of the unit; revision of the charter to reflect changes in program direction, priorities and/or participants; restructuring of the unit into a new academic department within a school; or renewal of the unit without change.

   If assimilation into a school or department is deemed desirable, the decision should require transfer of budget responsibility to a school dean unless there is an explicit reason for exception. In any of these cases, it is crucial to articulate the financial basis on which the Independent Laboratory, Institute or Center would be continued or would be phased down.