STANFORD UNIVERSITY
COMMITTEE ON RESEARCH
=====================
ANNUAL REPORT FOR 1996-97: Attachment A
Guidelines for the Establishment and Review of Centers
at Stanford University
Background
Centers proliferate at Stanford, and, indeed, are signs of the entrepreneurial
spirit of the faculty of this University. The establishment of centers may
take place for different reasons and bring different benefits. For example,
many centers are focal points for interaction with industry, and are the
source of the many benefits, financial and non-financial, that such
interaction brings. The existence of other centers, particularly those
involving several faculty members or even several institutions, may serve as
focal points for interchange between Stanford faculty from different
disciplines. Some centers also strengthen Stanford's position in bids for
federal funding of research in broad areas of combined faculty expertise.
Our free and unfettered approach to the establishment of centers has brought
many benefits, but it also exposes us to some dangers. When a faculty member
who is a director of a center speaks, the outside world may attribute more
authority to that voice than might be attributed to the faculty member without
the title of "center director." The outside world may assume that Stanford as
an institution has established this center to represent Stanford's expertise
in the focus area of the center. An undesignated faculty member may gain the
appearance of greater authority simply by declaring himself or herself to be
the director of a one-person center, and might be perceived to speak with some
authority for the institution as a whole.
Centers typically amplify the perceived importance of the activities and
individuals with which their name is associated. For the great majority of
centers such amplification is either beneficial or harmless to the University
because it increases the visibility and influence of associated faculty.
However, in those rare instances where misconduct by members of a center
occurs, the potential for harm to the institution is also amplified, such that
relatively minor instances of unprofessional or even ill-advised conduct may
result in significant potential harm or liability to the University. An
example of abuse of the center privilege could include the assertion, either
explicit or implied, that a particular opinion, endorsement, or criticism
expressed by the center represents in some way an official position of the
University.
While cases of abuse of the center-establishment privilege are rare,
nonetheless it would seem wise for the University to adopt guidelines for the
establishment of new centers and indeed for the continuance of those that
already exist. These guidelines are provided so that the legitimate benefits
that accrue from centers are not impaired, but also so that when problems are
identified, the center's activities can be reviewed, and in some cases,
perhaps, curtailed. In addition, the following guidelines will allow the
University to be aware of the many centers in which Stanford faculty
participate.
A basic philosophical viewpoint underlying these guidelines is that the
University as a whole, rather than individual faculty members, is responsible
for the establishment of departments, schools, and other major components of
the University's administrative structure. For more minor, but still not
trivial, organizations such as centers, substantially more faculty autonomy is
appropriate, but the University should at a minimum be informed concerning
such centers, and should maintain the ability to intervene in situations where
problems may arise.
Definitions and Applicability
These guidelines apply to "Centers", "Laboratories", and "Institutes"1,2, and
to any other organizations outside of the normal Stanford University academic
and administrative structure, which:
a) operate within or on any academic premises of Stanford University, or
operate outside Stanford University but with substantial use of University
resources or substantial involvement of Stanford faculty or staff members'
professional time; and
b) have an apparent association with Stanford University combined with
substantial activities or visibility outside of the University.
These guidelines are not intended to apply: to organizations or facilities
whose functions, operation, and impact are primarily internal to the
university, such as departmental service centers; to student organizations
which operate under separate policies governing student organizations at
Stanford; or to primarily avocational or personal activities carried on by
faculty or staff members outside their Stanford professional responsibilities
and with no use of University resources. (Please refer to Chapter 4 of the
Research Policy Handbook, which discusses conflicts of commitment and interest
and outside consulting activities.)
Examples of situations that may satisfy subparagraph b) above would include
appearance of the organization's name or title as a separate organization in
official University bulletins or directories, on letterheads, on web pages,
and especially on external reports, brochures, journal articles or other
professional publications, or external policy statements or news releases.
These guidelines are applicable independent of whether the name "Stanford"
appears in the name or title of the organization, especially if the words
"Stanford" or "Stanford University" are used in the address of the
organization. (In regard to the use of the name "Stanford," faculty are
reminded of the need to comply with the terms of Administrative Guide Memo
15.5, "Ownership and Use of the Stanford Name.)
Guidelines for Establishment and Review of Centers
The primary reason for the establishment of a center is to encourage
interactions in a particular area of research, scholarship, or faculty
interest. Therefore it is expected that more than one faculty member will
normally be involved in the center. In the rare circumstance that an
individual faculty member can make a compelling case to be the only faculty
member associated with the center, the department chair and school dean may
authorize an exception.
The primary guideline is that faculty who propose to start a new center should
notify their appropriate department chair(s) (or dean(s) in schools where
there are no departments) with a brief memorandum that describes the purpose
of the center. The department chair(s) or dean(s) may be interested in the
following details about the new center: its focus area, the membership, a
justification for its existence, its relevance to the department, the extent
of student involvement, its financial support, and its resource needs.
Additionally, if researchers from outside Stanford are expected to participate
in an on-going way, the department chair(s) or dean(s) may want to understand
their role, their use of University resources, and their likely contribution
to the center. If any aspect of the center will involve administrative costs
for the department, school, or university, these must be approved in advance
by the chair/dean/Dean of Research (as appropriate).
In the unusual situation in which problems may be anticipated if a center is
established, the department chair or dean may request further details from the
faculty members, and may choose to set up a small review committee to provide
guidance. Faculty members should refer to the Research Policy Handbook,
Section 2.2, "Rights and Responsibilities in the Conduct of Research", for
overall guidance since these policies apply both to individual and group
research efforts.
If problems should arise during the operation of a center, the department
chair or dean also has the discretion to review the center, and to take
appropriate actions, including closing the center if warranted. This process
would be carried out after consultation with the center faculty, and may, at
the discretion of the department chair (or dean, as above) involve an ad hoc
faculty committee. Decisions made by the department chair may be appealed to
the school dean.
Individual schools may have more, but not less, restrictive internal policies
than those set forth by these guidelines. Decisions made by the school dean
can be appealed to the Vice Provost and Dean of Research and Graduate Policy,
whose decision shall be final.
Authority
The Vice Provost and Dean of Research and Graduate Policy is responsible for
these guidelines and their implementation, and is the point of contact for
further information.
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1 Reporting directly to the Dean of Research, the Independent Laboratories,
Centers, and Institutes are formally established entities within Stanford's
academic and administrative structure. Specific guidance regarding their
establishment, review, and dissolution is found in the Research Policy
Handbook, Section 2.9.
2 The determination of what constitutes a policy center or institute rests with
the Provost, with advice from the Advisory Board of the Academic Council...As
of September 1, 1997, only the Institute for International Studies, the Center
for Economic Policy Research (including the Center for Research on Economic
Development and Policy Reform) are designated policy centers or institutes.
Further information can be found in the Faculty Handdook, Section IIE.