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1.1.1 University Code of Conduct

Last updated on:
07/23/2018
Formerly Known As Policy Number: 
1

This Guide Memo defines the University's Code of Conduct.

Authority: 

This Guide Memo was approved by the President.

Applicability: 

The Code applies to these groups of people, referred to as members of the Stanford University Community:

  • Faculty, staff, students and postdoctoral scholars of Stanford University;
  • Members of the Board of Trustees;
  • Consultants, contractors and others, when performing services for the University or interacting with members of the University Community, acting on behalf of the University, or otherwise required under contract to comply with this Code; and
  • Individuals who perform services for the University as volunteers.

1. Introduction and Purpose

a. Introduction
All members of the University Community are responsible for sustaining the high ethical standards of this institution, and of the broader community in which we function. The University values integrity, diversity, respect, freedom of inquiry and expression, trust, honesty and fairness and strives to integrate these values into its education, research, health care and business practices.

b. Purpose
In that spirit, this Code is a shared statement of our commitment to upholding the ethical, professional and legal standards we use as the basis for our daily and long-term decisions and actions. We all must be aware of and comply with the relevant policies, standards, laws and regulations that guide our work. We are each individually accountable for our own actions and, as members of the University Community, are collectively accountable for upholding these standards of behavior and for compliance with all applicable laws, regulations and policies.

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2. Standards of Integrity and Quality

Stanford recognizes that it must earn and maintain a reputation for integrity that includes, but is not limited to, compliance with laws and regulations and its contractual obligations. Even the appearance of misconduct or impropriety can be damaging to the University. Stanford must strive at all times to maintain the highest standards of integrity and quality.

There are times when Stanford's business activities and other conduct of its University Community members are not governed by specific laws or regulations. In these instances, rules of fairness, honesty, and respect for the rights of others will govern our conduct at all times.

In addition, each individual is required to conduct University business transactions with the utmost honesty, accuracy and fairness. Each situation needs to be examined in accordance with this standard. No unethical practice can be tolerated, even if such practice is "customary" outside of Stanford or even if some of the goals it serves are worthy. Expediency should never compromise integrity.

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3. Respect for Others

Stanford University is an institution dedicated to the pursuit of excellence and facilitation of an environment that fosters this goal. Central to that institutional commitment is the principle of treating each University Community member fairly and with respect, and embracing diversity and inclusion. See Statement from the President and Provost on Advancing Free Speech and Inclusion.

The University prohibits discrimination and harassment and provides equal opportunities for all Community members and applicants regardless of their race, color, religious creed, national origin, ancestry, physical or mental disability, medical condition, marital status, sex, age, sexual orientation, gender identity, veteran status or any other characteristic protected by law. Where actions are found to have occurred that violate this standard the University will take prompt action to cease the offending conduct, prevent its recurrence and discipline those responsible. Find policies in support of this standard at these locations:

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4. Compliance with Laws and Applicable Policies and Procedures

Members of the Stanford University Community must transact University business in compliance with applicable laws, regulations, and University policy and procedure. Managers and supervisors are responsible for teaching and monitoring compliance. When questions arise pertaining to interpretation or applicability of policy, contact the individual who has oversight of the policy. Refer all unresolved questions and/or interpretation of laws and regulations to the Office of the General Counsel. University-wide policy documents can be found at policy.stanford.edu.

a. Contractual, Grant and Other Obligations
The acceptance of an agreement, including sponsored project funding, may create a legal obligation on the part of Stanford University to comply with the terms and conditions of the agreement and applicable laws and regulations. Therefore, only individuals who have authority delegated by an appropriate University official may enter into agreements on behalf of the University. See Administrative Guide Memo 5.1.1 Procurement Policies.

b. Environmental Health & Safety, including Workplace Health and Safety
Members of the University Community must be committed to protecting the health and safety of its members by providing safe workplaces. The University will provide information and training about health and safety hazards, and safeguards. University Community members must adhere to good health and safety practices and comply with all environmental health and safety laws and regulations. See Stanford Health and Safety Training Policies.

c. Non-University Professional Standards
Some professions and disciplines represented at the University are governed by standards and codes specific to their profession (such as attorneys, certified public accountants, and medical doctors). Those professional standards generally advance the quality of the profession and/or discipline by developing codes of ethics, conduct, and professional responsibility and standards to guide their members. Those belonging to such organizations are expected to adhere to University policies and codes of conduct in addition to any professional standards. If a University Community member believes there is a conflict between a professional standard and University policy, he/she should contact the Office of the General Counsel.

d. Academic Policies
See Academic Policies and Statements on the Stanford Bulletin website for academic policies.

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5. Confidentiality, Privacy and Information Security

University Community members receive and generate various types of confidential, regulated, proprietary and private information on behalf of the University. All members of the Community are expected to comply with all applicable rules, laws, and regulations (whether federal, state, local or foreign), contractual obligations, and University policies pertaining to the use, protection and disclosure of this information. When disaffiliating from Stanford, University Community members must return all sensitive University data unless an exception has been granted.

Find office websites and supporting policies at the following locations:

 

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6. Financial Responsibilities and Internal Controls

Members of the University Community are expected to employ sound business practices and exercise prudent financial management in their stewardship of University resources. Refer to Section 3 of the Administrative Guide for responsibilities related to protection and management of University financial assets.

 

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7. Use of University Resources

University resources must be reserved for business purposes on behalf of the University. They may not be used for personal gain, and may not be used for personal use except in a manner that is incidental, and reasonable in light of the employee's duties. University resources include, but are not limited to:

  • University systems (e.g., telephone systems, data communication and networking services),
  • The Stanford domain for electronic communication forums,
  • Stanford name, logo, and letterhead,
  • University equipment (e.g., computers and peripherals, University vehicles),
  • Stanford facilities,
  • Procurement tools such as purchasing cards, travel cards and petty cash,
  • University records including student, employee, donor, sponsor, and patient records, and
  • The time and effort of staff, students and others at Stanford.

Please see the following policies for more information:

 

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8. Conflict of Commitment/Conflict of Interest

University Community members who are Stanford faculty and staff owe their primary professional allegiance to the University and its mission to engage in the highest level of education, research, health care and business practices.

A conflict of commitment can arise when a person’s external activities, e.g., consulting agreements, speaking engagements, public service, personal business, etc. interfere with the person’s responsibilities to the university. A conflict of commitment usually involves issues of time allocation.

Outside professional activities, private financial interests or the receipt of benefits or gifts from third parties can cause an actual or perceived conflict of interest.

Relationships between Stanford and its vendors or sponsors must be free of any real or perceived impropriety or favoritism. University Community members should not solicit any gift, and should not personally accept any material gift, gratuity or payment, in cash or in kind, from any third party seeking to do business with the University or currently doing business with the University.

In order to protect our primary mission, University Community members with other professional or financial interests shall disclose them in compliance with applicable conflict of commitment/conflict of interest policies and, if permitted, manage them in compliance with all controls put in place. The policies are available on the following websites:

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9. Response to Governmental or Other Investigations

Stanford University is committed to cooperating with government investigators as required by law. If an employee receives a subpoena, search warrant or other similar document, before taking any action, the employee must immediately contact the Office of the Chief Risk Officer or the Office of the General Counsel. The Office of the General Counsel is responsible for authorizing the release or copying of any University records or documents.

If a government investigator, agent, or auditor comes to the University, an employee should contact his/her supervisor and the appropriate University office before discussing University business with such investigator, agent, or auditor. If the appropriate office is unknown, the supervisor should contact the Office of the Chief Risk Officer or the Office of the General Counsel.

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10. Reporting Suspected Violations

Adherence to this Code also requires that any suspected violations of applicable standards, policies, laws or regulations be brought to the attention of the appropriate cognizant office. Raising such concerns is a service to the University and does not jeopardize the University Community member’s position or employment.

a. Reporting to Management
Members of the University Community should report suspected violations of applicable laws, regulations, government contract and grant requirements or this Code and University policies and procedures. This reporting should normally be made initially through standard management channels, beginning with the immediate supervisor, instructor or advisor. If for any reason it is not appropriate to report suspected violations to the immediate supervisor (e.g., the suspected violation is by the supervisor), or the employee is uncomfortable doing so, individuals may go to a higher level of management within their school or department.

b. Other Reporting

If for any reason it is not appropriate to report suspected violations through management channels within the school or departments, or the employee is uncomfortable doing so, individuals may go to:

  • Human Resources,
  • The Office of the Chief Risk Officer,
  • The Office of the General Counsel,  
  • The Office for Institutional Equity and Access,
  • The Compliance and Ethics Helpline at:

Every concern is treated seriously and reviewed in the appropriate manner.

c. Confidentiality
Concerns may be reported confidentially, and even anonymously, although the more information given, the easier it is to investigate the concerns. The only anonymous reporting mechanism at the University is the Compliance and Ethics Helpline web form: helpline.stanford.edu.

d. Cooperation
All members of the University Community are expected to cooperate fully in the investigation of potential violations of University policy and applicable rules, laws, or regulations.

e. Non-Retaliation

Stanford policy prohibits retaliation against an individual who in good faith reports or provides information about concerns or suspected violations. Retaliation is an adverse action taken because an individual has made a report or has participated in an investigation. An adverse action is any action that materially affects that individual's standing or terms and conditions of employment. False accusations made with the intent of harming or retaliating against another person may subject the accuser to disciplinary action. 

f. Consequences of Violation

Confirmed violations will result in appropriate disciplinary action up to and including termination of employment or other relationships with the University. In some circumstances, civil or criminal charges and penalties may apply. 

 

 

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1.2.1 University Organization

Last updated on:
06/22/2015
Formerly Known As Policy Number: 
11

This Guide Memo describes the governing organization of the University. Lists of the current names of both administrative and academic officers are published in the Stanford University Bulletin and in the Stanford University Faculty/Staff Directory.

Authority: 

This Guide Memo was approved by the President.

1. Founding of the University

a. Founding Grant
The Leland Stanford Junior University was founded by Senator and Mrs. Leland Stanford on November 11, 1885, in memory of their only child. The founding of the University was accomplished by a Grant of Endowment after Senator Stanford had procured passage on March 9, 1885, of an enabling act by the legislature of the State of California. The Founding Grant conveyed to trustees certain properties, directed that a university be established, and outlined the objectives and government of the university.

b. Amendments
The Founding Grant reserved to the Founders the right to amend the Grant. In the years following the death of Senator Stanford in 1893, Mrs. Stanford made several amendments in the form of addresses to the Board of Trustees on such points as the nonsectarian, nonpartisan nature of the University, the powers of the President, duties of the Trustees, financial management, housing on campus, gifts from others than the Founders, summer schools, research, and tuition.

c. Legislation and Court Decrees
The University operated under the Founding Grant without complications until Senator Stanford's death. However, some problems became apparent in connection with the transfer of the trust money to the Trustees, the taxation of property and revenue, and the legal status of the University. Provisions were presented to and approved by the California legislature to correct defects, and the Trustees were authorized to petition the courts for judicial decrees in matters concerning the legal status of the University and the role of the Trustees.

d. Information About the Founding
Detailed accounts of the steps taken in the founding of Stanford University, the texts of the various legal documents, and the history of the University are in the University Archives in the Green Library. The University also publishes a booklet, The Founding Grant with Amendments, Legislation, and Court Decrees, and a listing of some general works of history can be found in the bibliography of the Faculty Handbook

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2. The Board of Trustees

a. Powers and Duties
The Board of Trustees is custodian of the endowment and all the properties of the University. The Board administers the invested fund, sets the annual budget, and determines policies for operation and control of the University. The powers and duties of the Board of Trustees derive from The Founding Grant, Amendments, Legislation, and Court Decrees. In addition, the Board operates under its own bylaws and a series of resolutions of major policy.

b. Membership
Board membership is set at a maximum of 38 including the President of the University, who serves ex officio and with vote. Eight of the Trustees are elected or appointed in accordance with the Rules Governing the Election or Appointment of Alumni Nominated Trustees. All members of the Board serve five-year terms and, in general, are eligible to serve two such consecutive terms (except alumni nominated trustees, who serve one five-year term only).

c. Officers of the Board
The Officers of the Board are the chair, one or more vice chairs, the secretary, and the associate secretary. Officers are elected to one-year terms, with the exception of the Chair, who serves a two-year term. Their terms of office begin July 1.

d. Committees
The six standing committees of the Board are the Committee on Audit, Compliance and Risk; the Committee on Development; the Committee on Finance; the Committee on Land and Buildings; the Committee on Student, Alumni and External Affairs; and the Committee on Trusteeship. Standing committees meet prior to each regular Board meeting unless otherwise directed by the Chair.

e. Meetings
The Board generally meets five times each year, in October, December, February, April and June. Meetings are normally on the second Tuesday of the month.

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3. The President

a. Appointment
Among the powers given to the Trustees by the Founding Grant is the power and duty to appoint a President of the University, who shall not at the time of appointment be one of their number, and to remove him or her at will. In accordance with the by-laws of the Board of Trustees, the President of the University shall be appointed or removed only by the affirmative vote of a majority of the Board of Trustees.

b. Powers and Duties
The by-laws and resolutions of the Board of Trustees set forth the following duties of the President of the University in addition to those he derives from the Founding Grant or by office:

  • "He shall be responsible for the management of the University and all its departments, including the operation of the physical plant and the administration of the University's business activities."
  • "The President shall report to the Board at each regular meeting on problems and progress of the University, and he shall make recommendations for action."
  • "In conformance with general objectives approved by the Board, he shall be responsible for preparation of the annual University operating budget and other annual budgets as specified. He shall submit these budgets to the Board for review and subsequent action and shall submit periodic reports to the Board on the status of plans and projections basic to preparation of budgets for succeeding years."

c. Appointment of Staff
To assist in the performance of presidential duties, the President of the University, with the approval of the Board, appoints and prescribes the powers and duties of a Provost, a Vice President for Business Affairs and Chief Financial Officer, a Vice President for Medical Affairs, a Vice President for Development, and a General Counsel. The President of the University, with the approval of the Board, may appoint and prescribe the powers and duties of other officers and employees as the President may deem proper.

d. Absence or Inability to Act
In the absence or inability to act of the President, the Provost shall be Acting President and shall perform the duties of the President of the University. If both the President and the Provost are unable to act or otherwise believe the circumstances warrant, the President (or Provost when functioning as President) may designate one or more persons to act on the President's behalf. In emergencies, the Chair of the Board of Trustees may designate one or more persons to act on the President's behalf or as Acting President and, if the tenure exceeds 30 days, such designation must be confirmed by the Board.

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4. The Provost

a. Responsibilities
The Provost, as the chief academic and budget officer, administers the academic program (instruction and research in schools and other unaffiliated units) and University services in support of the academic program (student affairs, libraries, information resources, and institutional planning). In the absence or inability of the President to act, the Provost becomes the Acting President of the University.

b. Principal Staff
The principal staff officers of the Provost are shown in the organization chart in Guide Memo 9.2.1.

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5. The University Cabinet

a. Membership
Chaired by the President, membership of the University Cabinet includes the Provost, Deans of the seven Schools, the Vice Provost and Dean of Research, the Director of the SLAC National Accelerator Laboratory, the Director of the Hoover Institution, the Vice Provost for Undergraduate Education, and the Vice Provost for Graduate Education.

b. Responsibilities
The primary function of the University Cabinet is to recommend and review principles, policies, and rules of University-wide significance. Its purpose is to assure the centrality of academic objectives in the work of the University. The President and the Provost seek the Cabinet's advice on issues of University direction, policy and planning including but not limited to:

  • Long range planning for faculty and academic program development
  • Strategic planning on financial, facilities and fund-raising matters
  • Faculty and student affairs
  • Personnel policies

The Cabinet advises the President and Provost on other matters as appropriate.

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1.3.1 Academic Governance

Last updated on:
09/01/2004
Formerly Known As Policy Number: 
13

The following briefly summarizes the roles of various faculty groups on issues that affect the academic policy of the University. Detailed descriptions of the academic organization of the University may be found in the Faculty Handbook and the Senate and Committee Handbook. Questions concerning academic governance may be directed to the Office of the Academic Secretary to the University.

1. Academic Council

a. How Formed
Includes the Tenure Line Faculty, Non-Tenure Line Faculty, Senior Fellows at specified policy centers and institutes, and specified academic administrative officers. (Does not include Medical Center Line Faculty or Center Fellows at specified policy centers and institutes.)

b. Role

Vested by Board of Trustees with all powers and authority of the faculty. Delegates functions to the Senate of the Academic Council, but retains review and referendum rights.

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2. Advisory Board of the Academic Council

a. How Formed
Elected by Academic Council from among its members

b. Role
  • Receives recommendations for appointments to professoriate that have originated in departments and have been approved by school Deans and Provost. 
  • Makes recommendations to the President on faculty appointments, promotions and dismissals, and on creation and dissolution of departments, etc. 
  • Holds hearings in cases which arise under the Statement on Faculty Discipline and in certain cases the Statement on Academic Freedom and the Statement on Faculty Grievance Procedures.

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3. Senate of the Academic Council

a. How Formed
Elected by Academic Council from among its members.

b. Role
  • Makes decisions on academic policy; reports decisions to Academic Council. 
  • Hears reports and discusses matters of importance to the faculty. 

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4. Chair and Steering Committee of the Senate

a. How Formed
Elected by Senate from among its members plus the President (or Provost) as a non-voting member.

b. Role
Directs the business of the Senate
 

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5. Committee on Committees (of the Senate)

a. How Formed
Appointed by Steering Committee from among members of the Senate.

b. Role
  • Appoints faculty members to Committees of the Academic Council. 
  • Nominates faculty members to University Committees, Panels, and Boards. 
  • Advises as requested on membership in other committees. 

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6. Planning and Policy Board (of the Senate)

a. How Formed
Appointed by Committee on Committees and Steering Committee from among members of the Academic Council.

b. Role
Exercises, on behalf of the faculty as a whole, responsibility for the general academic health of the University, examining long-term trends and formulating academic policy issues for further consideration.

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7. Committees of the Academic Council

The Committees of the Academic Council include:

  • Academic Computing & Information Systems (C-ACIS) 
  • Graduate Studies (C-GS) 
  • Libraries (C-Lib) 
  • Research (C-Res) 
  • Review of Undergraduate Majors (C-RUM) 
  • Undergraduate Admission & Financial Aid (C-UAFA) 
  • Undergraduate Standards and Policy (C-USP) 

a. How Formed
Faculty members appointed by Committee on Committees from among members of the Academic Council. Student members nominated by ASSU. 

b. Role
Make recommendations to the Senate on academic policy matters as laid out in committee charges. 

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8. Departmental Professoriate

a. How Formed
Members of Academic Council, appointed by Board of Trustees to department.

b. Role
Directs the work of instruction in department and internal administration of department. 

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1.4.1 Academic and Business Relationships With Third Parties

Last updated on:
08/11/2014
Formerly Known As Policy Number: 
14

From time to time, the University enters into agreements with various independent entities that may result in an ongoing business or academic relationship with the University. For example, entities with current relationships include Howard Hughes Medical Institute, Stanford Bookstore, Inc., and Stanford Federal Credit Union.

Although these types of entities remain independent from the University, nonetheless, the nature of the relationships makes it desirable to outline how the relationships might be structured. This Guide Memo also provides guidance to University officers, faculty and staff concerning issues that might arise and that need to be addressed prior to entering into such third party agreements.

Authority: 

This Guide Memo was approved by the President.

1. General Guidelines

a. Potential Issues
The agreement between the University and the other entity should make adequate provision for issues that may be called into play by the nature of the proposed relationship. Such issues might include the following:

  • Potential property tax or unrelated business income tax imposed on the University
  • Failure to appropriately file for a property tax exemption associated with leases of on-campus or off-campus space
  • Government contract and similar allocation issues
  • Vicarious liability to the University and indemnities
  • Issues relating to public image or government scrutiny
  • Effects on legal compliance of University benefit plans
  • All aspects of land use and landowner issues regarding environmental matters
  • The potential for liens or claims against Stanford property or assets
  • Fraud and abuse issues in the medical area
  • Employment law issues
  • Private inurement or private use where University assets, income or facilities may be used in a way that benefits or results in profits to private individuals or entities
  • Utilities issues
  • Conflicts of interest
  • The potential triggering of other statutes or governmental regulations

b. Definition of Relationship
The agreement should provide a clear definition of the nature of the relationship and of any responsibilities or obligations undertaken by the parties. The agreement should also address appropriate limitations on those responsibilities or obligations in both time and scope; the defense and indemnification of the University in the event of suit or other adverse action; the need for the University to be named as an additional insured on policies of insurance; the right of the University to review financial records of the entity, where appropriate in light of the relationship; and a date for termination or reevaluation of the agreement and relationship.

c. Form of Agreement
A detailed contract will not always be necessary; often a well-drafted business letter agreement may suffice. Whatever form the agreement takes, the other parties need to understand that the University does not seek to intrude inappropriately into the internal affairs of the other parties and in no way is taking on responsibility for their actions—except as to specified actions (if any) for specific reasons that are relevant to the relationship and are clearly delineated in the agreement.

Land, Buildings and Real Estate (LBRE)/Real Estate department  must receive a copy of any lease agreement made with third parties, for consideration of property tax or property tax exemption issues.

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2. Approvals and Consultations

a. Delegated Authority
The appropriate office or offices for reviewing and/or approving an agreement will depend upon the areas in which the proposed relationship arises. In this regard, please refer to the relevant resolutions and memoranda concerning delegations of authority by the University President, Vice Presidents and other senior officers. For more information concerning such delegations, contact the Office of the Secretary of the Board of Trustees.

b. Cognizant Offices
The following are examples of elements that may be present or contemplated and the corresponding office that needs to be consulted and whose approval generally will be required in connection with that element:

Element Office
Use of buildings or other facilities on Stanford academic land
Land, Buildings and Real Estate (LBRE)/University Architect/Campus Planning and Design (UA/CPD)
Use of buildings or other facilities on 
Stanford non-academic land
LBRE/Real Estate department
Application for appropriate property tax exemption in connection with any on-campus or off-campus lease
LBRE/Real Estate department
Use of Stanford's accounting or payroll systems
Controller's Office
Use of Stanford's benefits programs Benefits Department
Reliance on Stanford's insurance or self-insurance Office of Risk Management
Use of Stanford's networks or computing resources
Executive Director of IT Services
Use of Stanford's purchasing services Purchasing Department
Use of Stanford University Medical Center services or facilities
The Dean of the School of Medicine, the Chief Executive Officer of Stanford Health Care or the Chief Executive Officer of Lucile Salter Packard Children’s Hospital (for activities involving their respective organizations) 
Use of the Stanford name, marks or tax identification number 
The Provost (for activities involving teaching or research), the Dean of the School of Medicine (for matters involving any medical activities at the School of Medicine), the Chief Executive Officer of Stanford Health Care (for matters involving any medical activities at Stanford Health Care), the Chief Executive Officer of Lucile Salter Packard Children’s Hospital (for matters involving any medical activities at Lucile Salter Packard Children’s Hospital), the Director of Business Development (for matters involving use of Stanford tradenames or products or services offered for sale to the general public) and the Vice President for Business Affairs and Chief Financial Officer (in all other situations)
Personnel Appointments (of the entity's personnel to Stanford's faculty or staff, or of Stanford personnel to the staff or governing body of the entity)
The Provost (for activities involving teaching or research), the Dean of the School of Medicine (for matters involving  medical activities), and the Vice President for Business Affairs and Chief Financial Officer (in all other situations)
Toxic or Hazardous Materials Office of Environmental Health and Safety
Campus Sales (by Outside vendors) The Director of Business Development
Income to Stanford Controller's Office
Licensing of Technology Office of Technology Licensing 

c. Guidance on Legal or Liability Issues
As a general proposition, if the arrangement presents novel legal issues, or if the Stanford entities involved in the relationship would like general legal guidance, the Office of the General Counsel should also be consulted. Similarly, the Risk Management Department should be consulted on proposed relationships that raise risk or liability concerns, or whenever Stanford personnel expect their activities (whether on-site or off-site) to be covered by the University's policies of insurance and self-insurance.

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3. Situations not Covered By This Guide Memo

The following situations or types of agreements are not covered by this Guide Memo:

  • Conferences and summer camps
  • Arrangements with individuals to become visiting scholars
  • Consulting agreements with individuals
  • Externally-sponsored projects and gift-supported programs
  • Financial investments managed by the Stanford Management Company
  • Real estate investments managed by LBRE
  • The procurement of goods or services for University use in the ordinary course of business
  • Normal business and licensing transactions entered into by the Office of Technology Licensing

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Additional guidance on issues raised in this Guide Memo may be found in the following sources:

Guide Memo 1.5.2: Staff Policy on Conflict of Commitment and Interest
Research Policy Handbook Document 4.1: Faculty Policy on Conflict of Commitment and Interest
Guide Memo 1.5.3: Unrelated Business Activities
Guide Memo 8.2.1: University Events
Guide Memo 8.2.2: Conferences

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1.5.1 Political, Campaign and Lobbying Activities

Last updated on:
08/14/2015
Formerly Known As Policy Number: 
15.1

Stanford University, as a charitable entity, is subject to federal, state, and local laws and regulations regarding political activities—campaign activities, lobbying, and the giving of gifts to public officials.

While all members of the University community are naturally free to express their political opinions and engage in political activities to whatever extent they wish, it is very important that they do so only in their individual capacities and avoid even the appearance that they are speaking or acting for the University in political matters. The University expressly disavows any political communications that are not made in accordance with these provision: such communications are not authorized and may not be attributed to the University.

In the limited circumstances where individuals must speak or act on behalf of the University in the political arena, they must do so in accordance with the provisions of this Guide Memo.

Authority: 

This Guide Memo was approved by the President.

Applicability: 

This policy applies to all members of the University community.

a. Campaign Activities
Contributions of money, goods, or services to candidates for political office and in support of or opposition to ballot measure campaigns are subject to a wide variety of political laws. Depending on the jurisdiction and the campaign, political contributions may be prohibited or limited and, in nearly all cases, are subject to a complicated series of disclosure rules. Because of the University's tax-exempt status, the University is legally prohibited from endorsing or opposing candidates for political office or making any contribution of money, goods, or services to candidates. It is important, therefore, that no person inadvertently cause the University to make such a contribution.

b. Lobbying
Lobbying can generally be described as any attempt to influence the action of any legislative body (e.g., Congress, state legislatures, county boards, city councils and their staffs) or any federal, state, or local government agency. Laws regulating lobbying exist at the federal, state, and local levels and can differ widely in scope, depending on the jurisdiction. Some laws, for example, only regulate lobbying of the legislative branch. Others, however, also cover lobbying of administrative agencies and officers in the executive branch (e.g., lobbying for federally-funded grants). To one degree or another, however, most lobbying laws require registration and reporting by individuals engaged in attempts to influence governmental action.

Tax-exempt organizations are permitted to lobby, and the University engages in lobbying on a limited number of issues, mostly those affecting education, research, and related activities. There is usually some threshold of time or money spent on lobbying that triggers registration and reporting requirements. Regardless of thresholds, however, no University employee—other than the following individuals, on matters under their jurisdiction—may lobby on behalf of the University without specific authorization:

  • President
  • Provost
  • Deans of the Seven Schools
  • Vice Provost and Dean of Research
  • Vice Provost for Graduate Education
  • Vice President for Business Affairs and Chief Financial Officer
  • Vice President of Human Resources
  • Vice President for Land, Buildings and Real Estate
  • Director of the SLAC National Accelerator Laboratory
  • Director of the Hoover Institution
  • General Counsel
  • Vice President for Public Affairs

The Vice Provost and Dean of Research may grant permission to faculty members to lobby on behalf of the University for specific purposes. The Vice President for Public Affairs may grant permission to staff members to lobby on behalf of the University for specific purposes. All lobbying on behalf of the University should be coordinated with the Vice President for Public Affairs. Please see the Federal Lobbying Guidelines for Stanford Faculty and Staff in the Research Policy Handbook.

c. Giving of Gifts to Public Officials and Staff
Almost all jurisdictions have strict rules on the extent to which gifts and honoraria may be given to public officials (both elected and non-elected officials and, often, staff). In some cases gifts and honoraria are prohibited; in others they are limited; and in most cases they are subject to detailed disclosure. In addition, in some jurisdictions, such as California, gifts to both state and local public officials can result in a public official's disqualification from participation in any governmental action affecting the interests of the donor. Meals, travel, and entertainment are the most common types of gifts, but gift rules can also apply in cases where public officials attend a reception or receive tickets to sporting or other events.

As a non-profit organization, the University generally does not give gifts to public officials and, in those limited cases where it does give such gifts, it must do so in accordance with all applicable laws and regulations. Therefore, any University employee who, on behalf of the University, wishes to make a gift to a public official must receive prior approval from the Vice President for Public Affairs before making such a gift.

d. Reporting of Political Activities
The University must report most of its political activities above certain thresholds. Therefore, any University employee engaging in such activities on behalf of the University should carefully review the remainder of this Guide Memo and should discuss the relevant activities in advance with the Vice President for Public Affairs.

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2. Prohibited and Restricted Political Activities

a. In General:

(1) No person may, on behalf of the University, engage in any political activity in support of or opposition to any candidate for elective public office (including giving or receiving funds or endorsements), nor shall any University resources be used for such purpose.
(2) No person may, on behalf of the University, lobby (or use University resources to lobby) any federal, state, or local legislative or administrative official or staff member unless specifically authorized to do so. Any lobbying activity, even when authorized, must be conducted in compliance with this Guide Memo, other applicable University policies, and applicable law.
(3) No person may, on behalf of the University, give a gift (or use any University resources to give a gift) to any federal, state, or local official or staff member, except in compliance with this Guide Memo, other applicable University policies, and applicable law.
(4) No person supporting candidates for public office or engaging in other political activities may use University space or facilities or receive University support, except in the limited ways described in section 3.a.
(5) No person may use for lobbying activities federally-funded contract or grant money received by the University.

Even the foregoing activities that are only restricted, rather than prohibited, may be subject to limitations imposed by law. Therefore, any person engaging in the activity, or contemplating doing so, should consult with the Vice President for Public Affairs.

b. Guidelines for Avoiding Prohibited Political Activities
The following guidelines should assist in preventing the involvement or apparent involvement of the University in political activities in support of or opposition to any candidate for elective public office, including both partisan and non-partisan elections. Except in the limited circumstances set forth in section 3.b., below:

(1) Use of Name and Seal
Neither the name nor seal of the University or of any of its schools, departments, or institutions should be used on letters or other materials intended to influence such political elections.

(2) Use of Address and Telephones
No University office should be used as a return mailing address for such political mailings, and telephone service that is paid by the University, likewise, should not be used for such political purposes. (Obviously, a student's dormitory room and telephone service that are personal to the student may be used for these purposes.)

(3) Use of Title
The University title of a faculty or staff member or other person should be used only for identification and should be accompanied by a statement that the person is speaking as an individual and not as a representative of the University.

(4) Use of Services and Equipment
University services, such as Interdepartmental Mail; equipment, such as copy machines, computers, and telephones; and supplies should not be used for such political purposes.

(5) Use of Personnel
No University employee may, as part of his or her job, be asked to perform tasks in any way related to prohibited political purposes.

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3. Permissible Political Activities

a. In General
As noted above, the federal, state, and local laws which limit the partisan political activities that can take place in University facilities and with University support in no way inhibit the expression of personal political views by any individual in the University community. Nor do they forbid faculty, students, or staff from joining with others in support of candidates for office or in furtherance of political causes. There is no restriction on discussion of political issues or teaching of political techniques. Academic endeavors which address public policy issues are in no way prohibited or constrained.

Because the University encourages freedom of expression, political activities which do not reasonably imply University involvement or identification may be undertaken so long as regular University procedures are followed for use of facilities. Examples of permissible activities are:

(1) Use of areas, such as White Plaza, for tables, speeches, and similar activities.
(2) Use of auditoriums for speeches by political candidates, but subject to rules of the Internal Revenue Service, the Federal Election Commission, and the California Fair Political Practices Commission, and other applicable laws. Arrangements must be made with University Events & Services. (See also Guide Memo 8.2.1: University Events, for more information.)

To reiterate, because tax and political compliance laws impose restrictions, and even prohibitions, on certain political activities and on the use of buildings and equipment at a non-profit institution such as the University, any such activities must be in compliance with these legal requirements.

Individuals taking political positions for themselves or groups with which they are associated, but not as representatives of the University, should clearly indicate, by words and actions, that their positions are not those of the University and are not being taken in an official capacity on behalf of the University. 

b. Limited University Political Activities
Limited activities relating to specific federal, state, or local legislation or ballot initiatives are permissible where (1) the subject matter is directly related to core interests of the University's activities; (2) the President has determined that the University should take a position; and (3) the individuals who speak or write on the University's behalf are specifically authorized to do so.

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4. Research Involving Political Campaigns

Any Stanford researcher considering doing research involving political campaigns should consult with the General Counsel's Office for any legal restrictions, and should submit the research proposal in advance to Stanford's Institutional Review Board as appropriate under its policies and procedures.

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5. Responsibility for Interpretation

The Vice President for Public Affairs, in consultation with the General Counsel, is the administrative officer responsible for interpretation and application of the above guidelines. Questions on whether planned student activities are consistent with the University's obligations should be directed to the Dean of Student Life, who will consult with the Vice President for Public Affairs and/or the General Counsel. All other questions on whether planned activities are consistent with the University's obligations should be addressed directly to the Vice President for Public Affairs or the General Counsel.

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1.5.2 Staff Policy on Conflict of Commitment and Interest

Last updated on:
08/30/2012
Formerly Known As Policy Number: 
15.2
Authority: 

Approved by the Vice President of Human Resources.

Applicability: 

Members of the Academic Council are covered by Research Policy Handbook 4.1: Faculty Policy on Conflict of Commitment and Interest. Academic Staff are covered by Research Policy Handbook 4.4: Conflict of Commitment and Interest. This Guide Memo summarizes existing policies and practices applicable to other University employees. Additional University policies are applicable to employees in individual departments and units, e.g., SLAC, Sponsored Projects and Purchasing Services. Individuals who use the department's services must follow the department's policies.

Purpose: 

When University staff members, or members of their immediate families (defined below), have significant financial interests in, or consulting or employment arrangements with, other business concerns, it is important to avoid actual or apparent conflicts of interest between their University obligations and their outside interests.

In addition to the conflict of interest concerns mentioned above—which apply to all University staff—Stanford staff members who are exempt from governmental regulations regarding compensation for overtime work owe their primary professional allegiance to the University. Care should be taken so that external activities do not result in inappropriate conflicts of commitment, i.e., conflicts regarding allocation of time and energies.

In order to preclude inappropriate actual or apparent conflicts of interest or conflicts of commitment, this Guide Memo sets forth related University policies and procedures.

1. Definitions

a. Significant Financial Interest
Current or pending ownership interest in an entity amounting to at least one-half percent (0.5%) of the company's equity or at least $10,000 in ownership interest (except when the ownership is managed by a third party such as a mutual fund).

b. Immediate Family Member
Spouse, dependent child as determined by the Internal Revenue Service, domestic partner.

c. Cognizant University Officer
President, Provost, Vice Presidents, Vice Provosts, Deans, Directors of SLAC, Hoover Institute and Athletics, and the University Librarian.

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2. Policy

The following actions on the part of staff members are prohibited:

a. Personal Gain
Transmitting to outsiders or otherwise using for personal gain University-funded or supported property, work products, results, materials, property records or information developed with University funding or other support.

b. Confidential or Privileged Information
Using for personal gain or other unauthorized purposes, confidential or privileged information acquired in connection with the individual's University-supported activities. Confidential or privileged information is non-public information pertaining to the operation of any part of the University including, but not limited to, documents so designated, medical, personnel, or security records of individuals; anticipated material requirements or price actions; knowledge of possible new sites for University-supported operations; knowledge of forthcoming programs or of selections of contractors or subcontractors in advance of official announcements; and knowledge of investment decisions. Questions about confidential information may be referred to the University Privacy Officer at privacyofficer@stanford.edu.

c. Approvals
Participation in negotiating or giving final approval to financial or other business transactions between the University and other organizations in which the individual or an immediate family member has a Significant Financial Interest or with which the individual or an Immediate Family Member has an employment or consulting arrangement.

All staff should also note that originating or approving financial or other business transactions between the University and other organizations with which the staff member has any financial or family ties (even those not rising to the level of Significant Financial Interest or constituting an Immediate Family Member) may create the appearance of a conflict of interest. It is required that all such situations be disclosed in writing to the cognizant University officer and this disclosure should be documented and retained for the duration of the business relationship.

d. Gratuities and Special Favors
Acceptance of gratuities, unsolicited gifts exceeding $50 in value, solicited gifts in any amount or special favors from private or public organizations or individuals with which the University does or may conduct business or extending gratuities or special favors to employees of any sponsoring government or other agency or entity.

e. University Resources
Use of University resources including, but not limited to, facilities, departmental parking permits, personnel or equipment, except in a purely incidental way, for any purposes other than the performance of the individual's University employment. Note: Acceptable use of University vehicles is covered in Guide Memo 8.4.2: Vehicle Use.

f. Business Relations
Acceptance of or continuing in employment, an official relationship, or a consulting arrangement with another concern which has or seeks to have a business relationship with the University.

g. Commitment
For staff members exempt from governmental regulations regarding compensation for overtime work: Acceptance of employment, consulting, public service, or pro bono work which can result in conflicts or the appearance of conflicts with a staff member's primary commitment of time and energy to the University.

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3. Procedures for Exceptions

Because it may be in the interest of the University to grant exceptions to the rules in Section 2, the following procedure has been established:

a. Disclosure
Whenever a staff member anticipates a situation where he/she may be potentially in violation of the policies in Section 2, that staff member must immediately make full disclosure in writing of the details of the situation, through his/her supervisor, to the cognizant University officer and request an exception. Exceptions must be approved in writing in advance. If a staff member finds that he/she has engaged in conduct that violates the policies in Section 2, such situation must be reported immediately to the cognizant University officer.

b. Responsibility of University Officers
Any requests for exception shall be reviewed and all facts thoroughly examined for apparent conflicts. Exceptions may be granted at the sole discretion of the University. If the cognizant University officer determines that the University would best be served by the granting of the requested exception, he/she may do so in writing with justification for the granting and delineating any conditions placed on the approval. Except in rare instances, University officers may not delegate this responsibility and any delegation must be in writing. If the designee grants an exception, the designee must provide the University officer with a memorandum detailing the circumstances of the exception.

Copies of the approval must be retained throughout the period of employment.

c. Annual Reports
University officers who receive and grant exceptions to the policies in this Guide Memo shall, at the end of each academic year, provide a detailed summary report to the Provost.

d. Other Reports
In addition to Section 3.c, cognizant University officers may establish, within their areas of responsibility, mandatory periodic conformance and compliance reporting procedures for all staff.

e. Consequences
Failure to adhere to any aspect of the policy and procedures shall subject the involved employee(s) to disciplinary action, up to and including termination of employment.

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1.5.3 Unrelated Business Activity

Last updated on:
12/15/2010
Formerly Known As Policy Number: 
15.3
Authority: 

Approved by the Administrative Council April 1, 1987. It is reissued with approval of the Provost's Office and Controller's Office.

1. Policy

Stanford's resources exist to support the University's missions of creation, preservation, and dissemination of knowledge. The University's assets must be preserved for these purposes, not for the personal gain of individuals nor for outside parties' uses which do not further Stanford's academic objectives. The University receives frequent requests for access to its resources by outside entities, typically in exchange for some form of compensation to Stanford. Many of these, if granted, would constitute unrelated business activities. The purpose of this statement is to remind the University community that it is Stanford policy not to engage in unrelated business activities.

Unrelated business activities have the potential for distorting the University's primary teaching and research missions. Furthermore, revenues from such activities generally are taxable under the Internal Revenue Code, and thus carry consequences to the University in terms of income tax liability. They also can have implications for property tax as well as product liability, and they can create unfair competition with the for-profit sector.

Permission to engage in unrelated business activities at Stanford may be granted only by the Provost, and then only in those cases in which there is strong likelihood that the activity will significantly benefit the University as a whole.

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2. Definition

a. Generation of Revenue
For the purpose of this statement, "unrelated business activities" are activities that use Stanford resources to generate revenue from third parties, and that are unrelated in a programmatic sense to the teaching, research, and other educational functions of the University. An unrelated activity normally would not be thought to further the University's teaching or research activities, except for the revenue it produces. Because the Internal Revenue Code does not define with precision what activities are unrelated for tax purposes, a general rule of thumb to apply is to assume that any activity undertaken primarily for the revenue it produces is likely to be unrelated.

b. Support of Mission
However, there are certain activities which might at first appear to be unrelated, but which, under scrutiny, are in fact related in a programmatic sense or provide direct support to Stanford's academic missions. For example, certain services or programs may be conducted on campus for the convenience of University faculty, staff and students, such as food sales at Tresidder.

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3. Implementation and Exceptions

a. Need for Review
Because of the necessarily imprecise definition of "unrelated," activities that would generate income and are proposed to be undertaken on behalf of an outside party that involve the use of University lands, buildings or instrumentation or the rendering of services by University personnel must be reviewed in the context of the unit's programmatic mission, Internal Revenue regulations and prior case rulings before they may be approved. Examples include fabrication by University machine shops, testing or analysis of materials, use of University computer facilities and similar activities.

b. Responsibility
The responsibility for implementing this policy rests with line management. If a department chair, director, or dean has any question as to whether a proposed arrangement under his/her purview might constitute an unrelated business activity, it is his/her responsibility to have the activity reviewed by the cognizant vice president's office, who in turn may need to seek counsel from the Controller's Office—University Tax Director. Questions arising from departments or schools reporting to the Provost should be directed to the Office of the Vice Provost and Dean of Research.

c. Exceptions
If the cognizant vice president endorses a request for an arrangement that is determined to be an unrelated business activity, the proposal should be forwarded to the Controller's Office for a review of the potential tax consequences, and means of accommodating them, before the request is sent to the Provost for approval.

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1.5.4 Ownership and Use of Stanford Trademarks and Images

Last updated on:
07/25/2017
Formerly Known As Policy Number: 
15.5

This Guide Memo establishes the policies governing use of Stanford's registered trademarks, as well as the use of unregistered names, seals, logos, emblems, images, symbols and slogans that are representative of Stanford (together referred to herein as "Marks").

Authority: 

This Guide Memo was approved by the President.

Applicability: 

This Guide Memo applies to all uses of Stanford's Marks.

1. Marks

Stanford’s Marks are owned by Stanford and they are a valuable university asset.  Faculty, students, staff and alumni share in the benefits associated with the Marks, and therefore also share responsibilities to ensure correct use.  Stanford’s Trademark Licensing Office at trademarks@stanford.edu is to be consulted with any questions about Stanford’s Marks and their use.  

  1. Registered Marks: A partial list of Stanford’s registered Marks includes, but is not limited to:
    • The word “Stanford”
    • The Block "S" with tree emblem
    • The Stanford University seal

The Office of the General Counsel maintains a complete list of registered Marks.

  1. Unregistered Marks: A partial list of Stanford’s unregistered Marks includes, but is not limited to:
    • The word “Cardinal”
    • “Farm” or “The Farm”
    • The phrase “Fear the Tree”
    • Block “S” without tree emblem

Trademark Licensing maintains a complete list of unregistered Marks.

  1. Buildings and Landmarks: All buildings and landmarks that are generally recognizable as being located on Stanford’s campus or associated with Stanford are considered to be Marks. These images include, but are not limited to:
  • Hoover Tower
  • Memorial Church
  • Palm Drive
  • The Oval
  • The Main Quad
  • Memorial Courtyard
  • Bing Concert Hall
  • Cantor Arts Center
  • Stanford Stadium
  • The Engineering Quad
  • The Knight Management Center

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2. Authority

The President has delegated authority for approving use of Stanford's Marks as follows:   

  1. Provost: for use in connection with educational, research and athletics activities (including courseware and related materials developed for teaching at Stanford) and for special events.
     
  2. Vice President for Business Affairs and Chief Financial Officer: for use by manufacturers of merchandise and products, in connection with Stanford’s business activities, and by vendors (including promotional use). Only the Vice President for Business Affairs and Chief Financial Officer may grant permission for use of Stanford's Marks on merchandise and products.
     
  3. Dean of the School of Medicine: for use in connection with Stanford Medicine’s activities.
     
  4. Vice President for University Communications: for use in film, video, print and digital media, including the University's web pages.
     
  5. General Counsel: for use in connection with legal affairs.

Authority for approving all other uses of Stanford’s Marks remains with the President.

These individuals, or their delegates, will collaborate on situations that fall within the scope of authority of more than one office in order to ensure a consistent application of this policy.

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3. Use of Marks

  1. General: Stanford’s Marks may only be used by Stanford faculty, staff, students, and alumni as provided in this policy and for no other purposes. Stanford faculty and staff include only those individuals who meet the criteria listed in Sections 1 through 11 of Administrative Guide Memo 2.2.1: Definitions. Students include only individuals currently enrolled in a degree-granting program at Stanford. Alumni include only individuals who have completed at least three quarters of a degree-granting program at Stanford. No other individuals or entities may use Stanford’s Marks without the permission of an individual listed in Section 2, above, or their delegate. 
     
  2. Faculty and Staff: Stanford faculty and staff may only use Stanford’s Marks in connection with Stanford departments, institutes, events, programs, projects, activities, publications and products that are officially sponsored or sanctioned by Stanford.
    1. When a faculty or staff member is involved in activities that are not officially sponsored or sanctioned by Stanford (such as independent consulting, outside business activities, civic and volunteer work, and publications), use of Stanford's name and marks is limited to identification of the individual’s Stanford affiliation (e.g., Jane Smith, Professor of History, Stanford University). Stanford’s seal and other emblems may not be used.
       
    2. The Trademark Licensing Office (trademarks@stanford.edu) is to be consulted before using Stanford’s Marks on any product, in a book title, in the name of any non-Stanford business or activity, or in the name of a course or program that is not owned by Stanford.
       
    3. Faculty and staff members may not grant permission for use of Stanford’s Marks to individuals and entities outside of Stanford without consultation with the Office of the Vice President for Business Affairs and Chief Financial Officer (trademarks@stanford.edu), which will then consult with the appropriate individual with delegated authority as specified in Section 2, above. This prohibition includes granting permission to (a) vendors and others in a business relationship with Stanford, (b) research sponsors, (c) donors, and (d) industrial affiliate program members. 
       
    4. All use of Stanford’s Marks in film, video, print and digital media (including in press releases) must comply with this Administrative Guide, as well as the policies established by University Communications (brandmanager@stanford.edu).
       
    5. This policy is not intended to limit use of the Stanford’s Marks in situations that fall within the normal scope of Stanford’s activities as a residential academic institution, as a research institution and as an employer. In these instances, Stanford's Marks may be used in accordance with the review processes established by schools, departments, centers and programs so long as the uses approved are consistent with the policies included in this Administrative Guide.
       
  3. Students and Alumni: Students and alumni may only use Stanford’s Marks as described below:
    1. Students and alumni may use Stanford’s name, but no other Marks, to identify their attendance at and degrees from Stanford on resumes and on digital channels such as personal web sites and social media. 
       
    2. Undergraduate and graduate students may use Stanford’s name and the Block S with tree emblem on business cards which identify their student status. The approved business card format is included in the Identity Toolkit. Alumni may not use Stanford Marks on business cards.
       
    3. Students and alumni may use Stanford’s Marks in connection with the University-sanctioned activities of student and alumni groups that have received and maintain official ASSU or Stanford Alumni Association recognition, respectively. When the Marks are used in these instances, it must be clear that the activity is either a student activity or an alumni activity, and not a University activity. 
       
    4. Only recognized student and alumni groups may produce merchandise that incorporates Stanford Marks. Such merchandise may only be produced in connection with University-sanctioned activities and must comply with all policies and procedures established by the Trademark Licensing Office for licensed product.
       
  4. Additional Considerations: Use of Stanford’s Marks must comply with the following:
    1. In all situations, use of Marks by an authorized individual or entity must be consistent with Stanford’s academic and research mission and its reputation for excellence. 
       
    2. All uses of Stanford’s Marks must comply with applicable policies and guidelines, including those included in the Trademark Licensing website, the Identity Toolkit, the Name Use Guidelines, and all other policies and guidelines listed in Section 8, below.
       
    3. All uses of Stanford’s Marks must carry proper trademark designations, as established by the Office of the General Counsel and specified on the Trademark Licensing website. This includes ® on registered marks and TM on unregistered Marks when required.
       
    4. Stanford’s Marks may never be altered or combined with another organization’s name or logo without permission from Stanford’s President, Provost or other individual with delegated authority under Section 2, above.

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4. Prohibited Use of Marks

The following uses of Stanford’s Marks are not permitted, except as otherwise authorized by (a) this policy, (b) the Name Use Guidelines, (c) other published guidelines or (d) Stanford’s President, Provost or other individual with delegated authority under Section 2, above:

  1. By non-Stanford individuals and entities. This includes, but is not limited to, vendors, technology licensees, research funders, donors, industrial affiliate program members, collaborators, partners and guest speakers.
     
  2. In a manner that endorses or implies endorsement of (a) a non-Stanford entity, or (b) the programs, products or services of a non-Stanford entity.
     
  3. By faculty, staff, students, alumni or others in association with any commercial activity or outside venture.
     
  4. In situations which will negatively impact Stanford’s reputation, or which may have the potential to impact negatively Stanford’s reputation. Such situations include, but are not limited to, use of Marks in connection with materials which (i) violate any law or regulation, (ii) have the potential to offend a person or group on the basis of gender, ethnic origin, religion, race, disability or sexual orientation, (iii) could be considered to be pornographic, or (iv) could be considered to be defamatory.
     
  5. In connection with partisan political activities. See Administrative Guide Memo 1.5.1: Political, Campaign and Lobbying Activities.

Involvement by individual faculty, staff, students, or alumni in a non-Stanford activity is not a sufficient basis for indicating University sponsorship or endorsement and Marks may not be used in connection with such activities.

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5. Trademark Licensing Program

All merchandise bearing any Marks must be produced by a licensed vendor and be approved by Stanford’s Trademark Licensing Office. The Trademark Licensing Office will issue or approve all licenses, issue guidelines governing the production, sale and other distribution of licensed merchandise, and manage Stanford’s trademark licensing program. All merchandise produced for sale (including items that are sold to cover the cost of production) will be royalty-bearing at the rate established by the Trademark Licensing Office. Only items that are produced for internal use by Stanford, and are not offered for re-sale, are not royalty-bearing. Net proceeds from Stanford’s trademark licensing program royalties are used to support undergraduate financial aid and the Department of Athletics and Physical Education. 

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6. Registrations

  1. Domain Names: Domain names that incorporate the words "Stanford" or "Cardinal" may only be registered in the name of the Board of Trustees of Stanford University and may only be used in connection with activities that are officially sponsored or sanctioned by Stanford. 
     
  2. Marks: Trademarks for the University may only be registered in the name of The Board of Trustees of Leland Stanford Junior University and may only be used in connection with activities that are officially sponsored or sanctioned by Stanford. The Office of the General Counsel is responsible for registration of all trademarks for the University.     

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7. Enforcement of Rights

The University will actively protect its Marks from improper or misleading use by individuals or organizations not associated with Stanford and will ensure that use of Marks by Stanford faculty, students, staff, alumni, schools, departments, institutes, centers and programs conforms to all applicable policies and guidelines. The Office of the General Counsel is responsible for enforcement of Stanford's Marks.

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8. Further Information

Additional information can be found by contacting the offices listed below:

  • Questions about use of Stanford’s Marks on merchandise or about Stanford’s Trademark Licensing Program should be directed to the Trademark Licensing Office at trademarks@stanford.edu.
  • Questions about use of Stanford’s Marks by vendors, business partners, research and other sponsors, industrial affiliates, foundations and other non-Stanford enterprises should be directed to the Trademark Licensing Office at trademarks@stanford.edu.
  • Questions about use of Stanford’s Marks in connection with Stanford’s educational and research activities should be directed to the Office of the Provost at provost@stanford.edu.
  • Questions about use of Stanford’s Marks for promotional or marketing purposes, in the media, or in digital communications, should be directed to University Communications at brandmanager@stanford.edu.
  • Questions about use of Stanford’s Marks by donors should be directed to the Office of Development at giving.to.stanford@stanford.edu.
  • Questions about use of Stanford Medicine emblems and branding should be directed to the Office of the Dean of the School of Medicine at sombranding@stanford.edu.
  • Questions about use of Stanford Health Care emblems and branding should be directed to brand@stanfordhealthcare.org.
  • Questions about use of Stanford Children’s Health emblems and branding should be directed to marketing@stanfordchildrens.org, and additional information can be found online: http://www.stanfordchildrens.org/en/about/brand.
  • Questions concerning registration of internet domain names should be directed to Web Communications at webcom@stanford.edu.
  • Questions about trademark registrations and enforcement of Stanford’s Marks should be directed to the Office of the General Counsel at trademarkenforcement@stanford.edu.

All other questions about use of Stanford's Marks should be directed to the Office of the Vice President for Business Affairs and Chief Financial Officer at trademarks@stanford.edu, which will help identify the correct person or office.

Misuse of Stanford’s Marks by non-Stanford entities should be reported to the Office of the General Counsel at trademarkenforcement@stanford.edu.

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The following policies and resources include related information:

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1.5.5 Ownership of Documents

Last updated on:
09/01/2003
Formerly Known As Policy Number: 
15.6

Documents produced, received or filed in connection with Stanford's business activities are the property of the University.

Authority: 

This Guide Memo was approved by the President.

Applicability: 

This policy applies to all Stanford business documents.

Purpose: 

The purpose of this policy is to reiterate the University's ownership of business documents.

1. Document Ownership Policy

Documents produced, received or filed in connection with Stanford's business activities may be considered the property of the University. For purposes of this policy, the word "document" includes any memorialization of a communication, whether by paper, film, video, audio, electronic or other media. Also for purposes of this policy, the term "business activities" includes administration of a department, school, laboratory, office or other entity of the University (for example, a safety inspection conducted by a member of a dormitory staff would be a "business activity").

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2. Further Information

Questions regarding application and implementation of this policy may be directed to the Legal Office.

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The following policies are available online:

Research Policy Handbook Document 9.2: Copyright Policy
Research Policy Handbook Document 4.1: Faculty Policy on Conflict of Commitment and Interest
Guide Memo 1.5.1: Political Activities
Guide Memo 1.5.2: Staff Policy on Conflict of Commitment and Interest
Guide Memo 2.1.3: Personnel Files and Data

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1.6.1 Privacy Policy

Last updated on:
03/15/2013
Formerly Known As Policy Number: 
16.1

Stanford University has an interest in ensuring that the privacy of its students, faculty, and staff is respected. The University is committed to protecting the privacy of Prohibited, Restricted and Confidential Information within its control in a manner consistent with applicable laws, regulations and University policies.

Authority: 

Approved by the Vice President for Business Affairs and CFO.

Applicability: 

This policy is applicable to all members of the Stanford community and visitors to the University, including but not limited to students, post doctoral scholars, faculty, lecturers/instructors, staff, third-party vendors, and others with access to Stanford's campus and University Prohibited, Restricted and Confidential Information.

1. Definitions

a. Disclosure: "Disclosure" is the release of, transfer of, provision of access to, or other communication of Information outside of the Stanford community.

b. Use: "Use" is the examination, sharing, or other utilization of Information within the Stanford community.

c. Information: "Information" is all Stanford University Prohibited, Restricted and Confidential information, whether in electronic or paper format, defined in Stanford's Data Classification, Access, Transmittal and Storage Guidelines.

d. Guidelines: "Guidelines" refer to the Information Security Office's secure computing guidelines and its Data Classification, Access, Transmittal and Storage Guidelines.

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2. Information Privacy

a. General Policy
Stanford should limit the collection, use, disclosure or storage of Information to that which reasonably serves the University's academic, research, or administrative functions, or other legally required purposes. Such collection, use, disclosure and storage should comply with applicable Federal and state laws and regulations, and University policies.

b. Legal and University Process
Notwithstanding the General Policy contained in section 2.a, the University may disclose Information in the course of investigations and lawsuits, in response to subpoenas, for the proper functioning of the University, to protect the safety and well-being of individuals or the community, and as permitted by law.

c. Policies That Apply to Special Categories of Information
Stanford has adopted policies governing certain categories of Information. These policies are listed in this section, 2.c. To the extent that there is a conflict between this Administrative Guide Memo 16.1 and any of these special policies, the special policy will control. For more information about Stanford's compliance with any of the laws and policies referenced below, please contact the University Privacy Officer at privacyofficer@stanford.edu or the individual listed in section 4.b as responsible for compliance.

(1) Prohibited Information, including Social Security Number ("SSN") and Drivers License Number ("DLN")
Stanford should not use an individual's SSN or DLN as a personal identifier unless required by law or approved by Stanford's Vice President for Business Affairs and Chief Financial Officer or the Data Governance Board. Prohibited information, including SSNs and DLNs, may be stored electronically only in compliance with the Guidelines. If Prohibited Information must be stored on paper, the files must be stored securely with access provided only to authorized persons.

(2) Student Records
Students have rights with respect to access to their education records under the Family Educational Rights and Privacy Act of 1974 ("FERPA"). These rights are outlined in the Stanford Bulletin.

(3) Health Information
Individuals have rights with respect to the privacy and security of their health information under Federal and state laws and regulations, including the Health Insurance Portability and Accountability Act of 1996 ("HIPAA"). These rights are outlined in Guide Memo 1.6.2 and in the University health information privacy policies that can be found at the HIPAA website.

(4) Human Subjects Research Information
In addition to the rights afforded by HIPAA and other laws related to health information, the Federal Policy for the Protection of Human Subjects ("Common Rule") outlines provisions specific to the privacy of research participants and the confidentiality of their information. The Stanford Research Compliance Office maintains the Human Research Protection Program ("HRPP") that includes the University policies related specifically to human subjects' research information.

(5) Financial Services Records
The Gramm-Leach-Bliley Act ("GLBA") requires that Stanford protect the privacy and security of information collected in the course of providing certain financial services, such as student financial aid or faculty staff housing loans. Stanford has adopted polices to protect this information. These policies are located on the Office of General Counsel's website.

(6) Information Collected in the Course of Electronic Commerce
Some areas of the Stanford website operate commercial enterprises online. Stanford also delivers online service through its network. To comply with the California Online Privacy Protection Act of 2003 when Stanford (or any of its partners) collects personally identifiable consumer information on one of the commercial areas of its website or as the operator of an online service, it will conspicuously post either a privacy policy or a link to a privacy policy on the portal page for the commercial activity. This policy will:

(a) Identify the categories of personally identifiable information collected through the commercial portions of its website or through its online service;
(b) Identify the categories of third-parties with whom Stanford may share that personally identifiable information;
(c) Provide a description of how an individual may request changes to their personally identifiable information collected through the Web site or online service and retained by Stanford, if any process exists;
(d) Describe the process by which Stanford will notify users of the commercial portion of Stanford's website or its online service of material changes to the Stanford's privacy policy for that portion of the website or online service (it is sufficient to say that the policy will be updated online); and
(e) Identify the effective date of the privacy policy and all updates.

d. Confidentiality Agreement
Members of the Stanford community are subject to the Confidentiality and Privacy provisions set forth in Section 3 of the Code of Conduct contained in Administrative Guide Memo 1. As a reminder of Stanford's commitment to privacy, students, faculty, staff and other members of the workforce may be asked to sign a confidentiality statement based on the Code of Conduct and this privacy policy. Failure to sign such a statement in no way diminishes the obligation to uphold Stanford's policies.

e. Training
Departments within Stanford University are responsible for ensuring that all members of their workforce (including, among others, faculty, staff, students, consultants and volunteers) receive appropriate training on Stanford's privacy and security policies to the extent necessary and appropriate for them to carry out their required job functions. Departments will maintain adequate records of workforce training, which will be provided upon request by the Office of the General Counsel, the University Privacy Officer, the Chief Information Security Officer, Internal Audit, Human Resources or other University official with a reasonable Stanford-related need for the information.

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3. Expectation of Privacy

a. General Policy
Stanford respects and values the privacy of its faculty, students and staff and will not monitor its community members without cause except as required by law or as permitted by the policies and agreement referenced below:

b. Photography and Recording on Campus
In order to protect the privacy of the Stanford community, photographs, video recordings and other recordings may be made only in accordance with University policies on campus photography.

c. Visitors on Campus
The University is private property; however, some areas of the campus typically are open to visitors. These areas include White Plaza, public eating areas, retail establishments, outdoor and indoor guided touring areas, roads, walkways, designated parking areas and locations to which the public has been invited by advertised notice (such as for public educational, cultural, or athletic events). Even in these locations, visitors must not interfere with the privacy of students, postdoctoral scholars, faculty, lecturers/instructors, and staff, or with educational, research, and residential activities. The University may revoke at any time permission to be present in these, or any other areas. Visitors should not be inside academic or residential areas unless they have been invited for appropriate business or social purposes by the responsible student, post doctoral scholar, faculty member, lecturer/instructor, or staff member.

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4. Responsibilities

a. University Privacy Officer
The University shall have a Privacy Officer who is responsible for:
(1) Interpreting this Administrative Guide Memo 1.6.1;
(2) Providing advice with a view to encouraging compliance with all privacy laws and regulations, improving privacy practices, and resolving problems;
(3) Establishing privacy policies and procedures in areas not covered by section 5.c below.
(4) Recommending privacy policy and policy changes in all areas related to privacy at Stanford;
(5) Chairing the Data Governance Board; and
(6) Facilitating special privacy-related situations.

In order to discharge these responsibilities, the University Privacy Officer will collaborate with Stanford's Chief Information Security Officer, the General Counsel, other University privacy officials and other University administration, as appropriate.

b. Establishing Privacy Policies and Procedures
The University has designated certain officials with primary responsibility for establishing policies and procedures governing University compliance with certain specific privacy laws and regulations:

  • FERPA. The University Registrar has primary responsibility for establishing policies and procedures related to compliance with the Family Educational Rights and Privacy Act.
  • HIPAA. The University Privacy Officer has primary responsibility for establishing policies and procedures related to compliance with the Health Insurance Portability and Accountability Act of 1996 for Stanford's Affiliated Covered Entity;
  • GLBA. The University Privacy Officer has primary responsibility for establishing policies and procedures related to compliance with the Gramm-Leach-Bliley Act.

c. Information Custodians and System Owners
Each individual who retains custody of Information, and each system owner, is responsible for the application of this Guide Memo1.6.1 and all related University policies to the systems and Information under their care or control.

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5. Violations of this Policy

a. Failure to follow proper policies and procedures concerning access, storage and transmission of Information may result in sanctions and disciplinary action up to and including termination of employment, referral to Judicial Affairs or other applicable administrative process.

b. Members of the Stanford community who believe that these policies have been violated should report such violations to the University Privacy Officer, Office of the University Ombuds, Internal Audit or Office of the General Counsel. Complaints or concerns may also be reported anonymously by calling the University Compliance Officer at (650) 721-2667 or reporting it online.

c. Any School or Department found to have violated this policy may be held accountable for the financial penalties and remediation costs that are a direct result of this failure.

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6. Relevant Laws

a. State of California Constitution, Article 1

b. The Family Educational Rights and Privacy Act of 1974 (FERPA) (also known as the Buckley Amendment) 20 U.S.C. § 1232g; 34 C.F.R. § 99.1 et seq.

c. The Gramm-Leach-Bliley Act 15 U.S.C. § 6801 et seq., 16 CFR § 313.1 et seq.(privacy)16 CFR § 314.1 et seq. (safeguarding)

d. Health Insurance Portability and Accountability Act of 1996 (HIPAA) (Pub. Law 104-191) and HIPAA regulations, including but not limited to the HIPAA Privacy Rule and HIPAA Security Rule, 42 CFR Parts 160, 162, 164

e. Health Information Technology for Economic and Clinical Health (HITECH) Act (H.R.1, 2009, Sec. 13001 et seq.) and related regulations, including but not limited to:

  • Breach Notification interim final rule: 74 Fed. Reg. 42740 (2009)
  • Enforcement Interim Final Rule: 74 Fed. Reg. 56123 (2009)

f. California breach notification law (businesses), CA Civ. Code 1798.8

g. Confidentiality of Medical Information Act, CA Civil Code 56 et seq.

h. Employee Health Information Privacy, CA Civ. Code 56.20

i. Lanterman Petris Short Act, CA W&I Code 5328 et seq.

j. Patient Access to Health Records Act, CA H&S 123100-123149.5

k. HIV Privacy, CA H&S 121010 et seq., 121075 et seq., CA Penal Code 12020.1, 1524.1

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a. Student Discipline — See Student Life/Codes of Conduct/Fundamental Standard/Honor Code
b. Staff Discipline — See Administrative Guide Memo 2.1.16: Addressing Conduct and Performance Issues
c. Faculty Discipline — See the Statement on Faculty Discipline
d. Computer and Network Usage — See Administrative Guide Memo 6.2.1, Computer and Network Usage Policy
e. Privacy Incident Response — See Administrative Guide Memo 6.6.1: Information Security Incident Response; HIPAA Policy, Breach Notification Policy for Incidents Involving Electronic and Non-Electronic PHI
f. The policies identified in sections 1, 2 and 3 of this Administrative Guide Memo 1.6.1.

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1.6.2 Privacy and Security of Health Information (HIPAA)

Last updated on:
03/15/2013
Formerly Known As Policy Number: 
16.2

This Guide Memo describes Stanford University's implementation of the Health Insurance Portability and Accountability Act of 1996 ("HIPAA") and its regulations ("Privacy Rule" and "Security Rule") governing the protection of identifiable health information by health care providers and health plans. The portions of Stanford University that are impacted by HIPAA include the Stanford University HIPAA Components and the Group Health Plan, defined in Sections 3 and 4, respectively.

This Guide Memo references Stanford University HIPAA Components policies on the University HIPAA website and the Group Health Plan HIPAA policies. The Group Health Plan maintains HIPAA policies and procedures in the Resource Library section of the Benefits website. These policies outline more specific rights of individuals regarding their protected health information ("PHI") as well as the operational and system requirements to comply with the Privacy and Security Rules.

Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer and the Vice President of Human Resources.

Applicability: 

This policy applies to all staff, faculty, physicians, volunteers, students, consultants, contractors and subcontractors who are part of the Stanford University HIPAA Components and the Stanford University Group Health Plan ("Group Health Plan") workforce. Stanford Health Care ("SHC"), including Menlo Health Alliance and Lucile Packard Children's Hospital ("LPCH"), and their respective ERISA health benefit plans have separate HIPAA policies.

1. The Privacy Rule

The Health Insurance Portability and Accountability Act of 1996 ("HIPAA") Privacy Rule limits Stanford University's use and disclosure of information that could potentially associate an individual's identity with his/her health information. Stanford University may not use or disclose PHI except as authorized by the individual, or as permitted or required by law. Use or disclosure of health information that does not have the potential to reveal an individual's identity is not limited.

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2. The Security Rule

The Security Rule requires Stanford University to implement administrative, technical, and physical safeguards to ensure the confidentiality, integrity and availability of PHI maintained in an electronic form ("ePHI") and to protect ePHI against any reasonably anticipated threats or hazards, unauthorized uses or disclosures. The Security Rule protects ePHI stored in University systems during processing and during transmission

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3. Stanford University HIPAA Components Designation

The portions of Stanford University that provide health care, or share PHI with those portions, are "health care components" and are known collectively as the "Stanford University HIPAA Components." Stanford University has authorized its Privacy Officer to designate the health care components to be included in the Stanford University HIPAA Components. A list of the schools, departments and functions designated as part of the Stanford University HIPAA Components can be found on the Stanford University HIPAA website or requested from the University Privacy Officer. Anyone who believes that his/her department or program uses or discloses PHI and ought to be designated as part of the Stanford University HIPAA Components should contact the University Privacy Officer.

In addition, the Stanford University HIPAA Components have joined Stanford Health Care ("SHC"), including Menlo Health Alliance and Lucile Packard Children's Hospital at Stanford ("LPCH") which are together referred to as the "Hospitals," to form a single affiliated entity under the Privacy and Security Rules, known as the Stanford Affiliated Covered Entity. By combining as a single affiliated entity, the Stanford University HIPAA Components and the Hospitals have the greatest flexibility to share information with one another to accomplish their missions.

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4. Group Health Plan

As an employer, Stanford University sponsors and maintains various ERISA health benefits plans that comprise the Group Health Plan. The Group Health Plan is a separate covered entity from the Stanford University HIPAA Components and, as such, has separate HIPAA privacy and security policies. The list of the plans included in the Group Health Plan can be found on the Stanford University HIPAA website or requested from the University Privacy Officer.

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5. Privacy and Security Information

a. Privacy Officials
Stanford University has designated a HIPAA privacy officer (the "University Privacy Officer") for the Stanford University HIPAA Components, the Stanford Affiliated Covered Entity and the Group Health Plan. The University Privacy Officer is responsible for the development and implementation of the policies and procedures necessary to comply with the Privacy Rule. Contact information for the University Privacy Officer is located in Section 13.

The University Privacy Officer may request that local privacy officials be designated by a school, department or program included in the Stanford University HIPAA Components or by the Group Health Plan (collectively and individually referred to as "Program") as necessary in order to implement the policies within their program effectively. Programs will promptly comply with any such request.

b. Security Officials
Stanford University has designated a HIPAA security officer (the "Chief Information Security Officer") for the Stanford University HIPAA Components and the Group Health Plan. The Chief Information Security Officer is responsible for the security of Stanford University HIPAA Components and Group Health Plan ePHI, including development of the policies and procedures necessary to comply with the Security Rule and the implementation of security measures to protect ePHI. Contact information for the Chief Information Security Officer is located in Section 13.

The Chief Information Security Officer may designate local security officials ("delegates") as necessary to facilitate the implementation of policies, local procedures, and security measures.

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6. Policies and Procedures

The University Privacy Officer has developed policies and guidelines designed to keep the Stanford University HIPAA Components and the Group Health Plan in compliance with the Privacy Rule. The University Privacy Officer may add or modify policies and guidelines as necessary and appropriate to incorporate changes in the law or to improve the effectiveness of compliance with the Privacy Rule.

The Chief Information Security Officer has developed policies and guidelines to comply with the Security Rule and may add or modify those policies and guidelines as necessary and appropriate to improve Security Rule compliance.

Each of the Stanford University HIPAA Components programs and the Group Health Plan must develop, implement, document, and train its workforce on the procedures necessary to comply with the appropriate HIPAA policies and this Administrative Guide Memo. For information concerning specific program procedures, workforce members should contact the local privacy or security official, as appropriate, or his or her supervisor.

Programs will comply with requests by the University Privacy Officer, the Chief Information Security Officer, the Office of the General Counsel and/or the Internal Audit Department to make written procedures and training materials available for review.

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7. Safeguards

The Stanford University HIPAA Components and the Group Health Plan will institute reasonable and appropriate administrative, technical, and physical safeguards to protect PHI from any intentional, incidental or unintentional use or disclosure that is in violation of the requirements of HIPAA, the Privacy Rule, the Security Rule or the Stanford University HIPAA policies.

Please see the Stanford University HIPAA website for more details.

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8. Training

The Stanford University HIPAA Components and Group Health Plan will train members of their respective workforces, including management, on the Stanford University privacy and security policies and Program procedures to the extent necessary or appropriate for the members of the workforce to carry out their functions. New members of the workforce for whom HIPAA training is necessary or appropriate will be trained prior to initial contact with PHI and in no event later than 30 days from the first date of employment. Each member of the workforce whose functions are affected by a material change in the policies or procedures will be trained on those changes in a timely manner, but normally not later than 30 working days from the effective date of the change. Programs will document that workforce training has been completed and will retain these records in the format requested by the University Privacy Officer and Chief Information Security Officer. Training documentation will be provided on request to the University Privacy Officer or the Secretary of the United States Department of Health and Human Services.

The Chief Information Security Officer will implement a security awareness program to instruct all workforce members on good security practices. The content of the security awareness program will include, but not be limited to information about (a) guarding against, detecting and reporting malicious software, (b) monitoring login attempts and reporting discrepancies, and (c) creating, changing and safeguarding passwords. The program will include periodic updates and reminders on pertinent security measures and issues, including environmental and operational changes affecting the security of ePHI.

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9. Violations

Anyone who knows or has reason to believe that the Privacy Rule and/or Security Rule, the Stanford University HIPAA policies, the policies contained in this Administrative Guide Memo, or any Program procedure developed to implement these regulations and policies have been violated should report the matter promptly to his or her supervisor, a local HIPAA official, the University Privacy Officer or Chief Information Security Officer, as appropriate. All reported matters will be investigated in a timely manner and, when possible, will be handled confidentially.

See Appendix A: Guidelines for the Implementation of Corrective Action in Matters Involving Violations of Patient, Research Participant and other Medical Information Privacy or Security.

If the workforce member requires anonymity, he or she may also report such matters to the Institutional Compliance Hotline. If the workforce member does not have internet access, he or she may contact Institutional Compliance at (650) 721-COMP or 721-2667.

To the extent practical, any known harmful effect from a violation of the Privacy Rule or the Security Rule or a security incident will be mitigated. Where appropriate, sanctions will be considered and imposed by the program and/or the University. Programs should document all investigations, resolutions, remedies and sanctions, and forward a copy of such documentation to the University Privacy Officer or Chief Information Security Officer, as appropriate.

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10. Refraining from Intimidating or Retaliatory Attacks

The Stanford University HIPAA Components and Group Health Plan will not intimidate, threaten, coerce, discriminate against, or take other retaliatory action against any patient, physician, employee, or any other person for exercising his or her rights, or for participating in any process, established under the Privacy Rule or Security Rule, including submitting a complaint or reporting a violation. Any attempt to retaliate against a person for reporting a violation in accordance with Section 9 above, may itself be considered a violation of this policy and may result in sanctions. An individual who raises concerns about any act or practice allegedly made unlawful by the Privacy Rule or the Security Rule, however, must have a good faith belief that the act or practice is unlawful, and the manner of raising such concerns must be reasonable and not violate the Privacy Rule or Security Rule.

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11. Sanctions

Violations of the Privacy Rule or Security Rule may, under certain circumstances, result in civil or criminal penalties. Members of the workforce who violate the Privacy Rule, the Security Rule, policies contained in this Guide Memo or the Stanford University HIPAA policies, or any program's procedures implementing these policies, may be subject to disciplinary action up to and including termination of employment, contract, or other relationship with the University.

See Appendix A: Guidelines for the Implementation of Corrective Action in Matters Involving Violations of Patient, Research Participant and other Medical Information Privacy or Security.

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12. Evaluation and Reporting

Each program will provide to the University Privacy Officer or Chief Information Security Officer all requested information in order that the University Privacy Officer or Chief Information Security Officer may (a) adequately address complaints, (b) respond to requests from the Secretary of the United States Department of Health and Human Services (HHS) or other HHS official, and (c) inform Stanford University or Hospital leadership about compliance with the Privacy and Security Rules.

Stanford University HIPAA Components and the Group Health Plan will periodically, and when deemed necessary in response to environmental or operational changes affecting the security of ePHI (e.g., newly identified security risks, newly adopted technologies), conduct a technical and non-technical evaluation of its security safeguards to establish the extent to which its security policies and procedures meet the requirements of the Security Rule, and document its compliance with the Security Rule.

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13. For More Information

Questions: If you have questions about these policies, please contact your supervisor. Department management should contact the appropriate program official and/or the University Privacy Officer (with respect to the Privacy Rule) or the Chief Information Security Officer (with respect to the Security Rule) with any questions related to the interpretation of these policies and/or the development of departmental procedures. It is important that all questions be resolved as soon as possible to ensure compliance with the Privacy Rule and Security Rule.

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14. Appendix A: Guidelines for the Implementation of Corrective Action in Matters Involving Violations of Patient, Research Participant and other Medical Information Privacy or Security

OVERVIEW

Stanford University is committed to conducting business in compliance with all applicable laws, regulations and University policies. The University endeavors to provide a strong infrastructure that promotes a culture committed to safeguarding the privacy and security of patient, medical and research participant information. These guidelines serve a dual purpose. They provide faculty, staff, trainees, students, contractors, vendors, volunteers, and other members of the Stanford community ("workforce members") notice of the consequences they will face for violating the Health Insurance Portability and Accountability Act ("HIPAA"), the Health Information Technology Economic and Clinical Health (HITECH) Act, the Confidentiality of Medical Information Act ("COMIA"), or other federal and state laws and regulations governing the confidentiality and security of patient information ("applicable laws"), or University policies relating to privacy and security of patient, medical and research participant information.

Separately, the guidelines provide University offices (e.g., privacy offices, human resources, academic and student affairs offices) and individual managers direction in determining appropriate consequences for workforce members who violate applicable laws or University policies that safeguard protected health information ("PHI") and other patient medical information. These guidelines should be used in conjunction with the corrective action or discipline policy applicable to the relevant workforce member including:

For definitions pertaining to HIPAA and frequently asked questions relating to HIPAA and other applicable laws relating to the protection of patient health information, see the University's HIPAA website. 
 

PRINCIPLES

A. Imposition of Appropriate Sanctions
Workforce members will be sanctioned appropriately in the event that they:

(1) access, use or disclose more than the minimum PHI necessary to complete their job-related functions;
(2) fail to adequately protect PHI in accordance with Stanford University's information security policies;
(3) fail to promptly report a known or suspected HIPAA violation; or
(4) violate any of Stanford University's other HIPAA policies, procedures or guidelines.

Sanctions may also be imposed for failure to report a known or suspected HIPAA violation or for violating any of Stanford University's other HIPAA policies, procedures or guidelines. Sanctions for violations of HIPAA may include, without limitation, counseling, written warning, suspension, and termination. A workforce member's compensation and eligibility to continue in an academic or training program may also be impacted in the event of a violation. These guidelines are not intended to dictate a particular consequence in any particular situation. Rather, in consultation with the appropriate Human Resources and/or Privacy Office, managers, academic affairs and student affairs administrators have the discretion to decide:

(1) at which level to start the corrective action process based on the severity of the offense, the potential or actual harm to the patient and/or the Hospital(s) or University, and any mitigating factors; and
(2) whether immediate termination is justified based on the seriousness of the offense.

B. Levels of Violations
The level of a violation is determined by the severity of the privacy or security breach, whether the breach was intentional or unintentional or motivated by malice or personal gain, and the impact on the patient and/or institution. The following outlines some, but not all, types of violations and categorizes them broadly according to likely severity.

Level 1: A workforce member carelessly or inadvertently accesses PHI without a job-related need to know, or carelessly or unintentionally reveals PHI to which he/she has authorized access. Examples of Level 1 violations include, but are not limited to:

(1) Leaving PHI in a public area in the workplace or disposing of it in the trash instead of shredding receptacles;
(2) Misdirecting faxes, emails or other documents that contain PHI;
(3) Discussing PHI in public areas where the discussion could be overheard;
(4) Other behaviors reflecting carelessness or lack of judgment in handling PHI.

Level 2: A workforce member intentionally accesses PHI without authorization or seriously fails to protect PHI. Examples of Level 2 violations include, but are not limited to:

(1) Intentionally accessing or asking another to access PHI without a job-related need to know, the PHI or a friend, relative, co-worker, public personality or any other individual (including searching for the existence of a record or an address or phone number);
(2) Leaving paper files and records, computers, laptops, notebooks, smart phones or other devices containing PHI accessible and unattended;
(3) Sharing log-in IDs and passwords with others;
(4) Using personal email accounts (e.g., Hotmail, Gmail, Yahoo), cloud computing, or other media or storage devices not approved by Stanford University for transmission or storage of PHI or not meeting required security standards (such as encryption, secure email, password protection);
(5) Removing PHI from the Stanford University workplace without supervisor approval or failing to appropriately safeguard PHI if removed with supervisor approval or while in transit;
(6) Other behaviors reflecting intentional conduct or serious failure to safeguard PHI.

Level 3: A workforce member intentionally accesses, uses or discloses PHI without authorization, often motivated by willful disregard, malice or personal gain. A Level 3 violation is considered serious misconduct. Examples of Level 3 violations include, but are not limited to:

(1) Intentionally using or disclosing without a job-related need to know the PHI of a friend, relative, co-worker, public personality, or any other individual’s PHI;
(2) Accessing, using or disclosing PHI for personal purposes or gain, or with an intent to harm the patient or any third party;
(3) Discussing or disclosing PHI with any third party either directly or via social networking or blogging sites, such as Twitter and Facebook.
(4) Intentionally assisting an individual in gaining unauthorized access to PHI.
(5) Jeopardizing the integrity of Stanford University’s systems.
(6) Failing to cooperate during the investigation of a privacy or security incident.
(7) Falsifying information during a privacy investigation or reporting in bad faith or for malicious purposes.
(8) Other behaviors reflecting personal purpose or gain, malice or misconduct.

C. Considerations in Evaluating Violation for Appropriate Sanctions
Factors in determining appropriate disciplinary action may include, but are not limited to:

(1) Whether the breach was intentional or inadvertent;
(2) The nature of the breach, including whether the breach involved specially protected information such as HIV, psychiatric, substance abuse, or genetic data;
(3) The magnitude of the breach, including the number of patients and the volume of protected health information accessed, used or disclosed;
(4) The workforce member’s motive in accessing, using or disclosing PHI, and whether there was an element of malice or desire for personal gain;
(5) Whether the workforce member has committed prior HIPAA violations;
(6) The workforce member’s response or conduct during investigation;
(7) Risk of harm to the victim(s) of the breach or to the University;
(8) The existence of any compelling, aggravating or mitigating factors.

PROCEDURES

A. Prompt Reporting and Investigation
Each workforce member must report any alleged, apparent, or potential violations of HIPAA or applicable privacy and security laws promptly (within no more than twenty-four hours) to his/her supervisor/designee or to the supervisor's supervisor. Suspected violations shall be investigated appropriately and in coordination with the relevant supervisor, Human Resources officer, and the Privacy Officer. Matters involving faculty, students or trainees should also be brought to the attention of the appropriate senior associate dean(s) which may include:

  • Senior Associate Deans for Clinical Affairs—for events related to clinical faculty
  • Senior Associate Dean for Medical Student Education—for events related to medical students
  • Senior Associate Dean for Finance and Administration—for events related to any other individuals to whom this policy applies
  • Dean, Vice Dean and Senior Associate Dean for Academic Affairs, as applicable—for events related to faculty
  • Senior Associate Dean for Graduate Education and Postdoctoral Affairs—for events related to graduate students or postdoctoral scholars 
Results of the investigation and any decision regarding discipline will be documented in writing and disciplinary actions will be made part of the workforce member’s personnel, training or student file. Discipline will be issued in accordance with existing discipline or corrective action policies applicable to the particular workforce member. When faculty members are involved, the Senior Associate Dean shall be consulted, and the faculty member shall have the rights outlined in relevant faculty policies and grievance procedures. The cognizant vice president or dean, or his or her designee, retains final authority concerning sanctions and will review any sanction involving suspension, dismissal, or termination before it is implemented.
 

In the event of a possible violation of HIPAA or applicable law involving both University and SHC or LPCH personnel, the investigation must be coordinated and any correction actions or sanctions must be consistent between the organizations. Reports to state/federal oversight agencies may be required. In addition to any internal corrective action, employees may be subject to criminal and civil penalties, and referral to applicable licensing boards.

B. Guidelines for Sanctions
The following will serve as guidelines for appropriate sanctions for violations of HIPAA or other applicable laws or policies.

Faculty:
Appropriate sanctions will be imposed in accordance with the Statement on Faculty Discipline, Faculty Handbook section 4.3.

Employees, post-doctoral fellows, volunteers:
Students enrolled in undergraduate or graduate degree programs:

  • Level 1. Violations shall, in most cases, result in oral or written counseling and/or retraining. Repeat Level 1 violations shall be subject to further disciplinary action up to and including termination.
  • Level 2. Violations shall, in most cases, result in a written disciplinary warning with or without an unpaid suspension, and retraining shall be required. Disciplinary action up to and including termination may be taken for repeat Level 2 violations.
  • Level 3.Violations, in most cases, shall result in immediate termination of employment, academic appointment or ending of a volunteer assignment.

Students enrolled in undergraduate or graduate degree programs:

  • Level 1: Violations shall, in most cases, result in oral counseling and/or retraining. Repeat Level 1 violations shall be subject to progressive disciplinary action up to and including termination from the program of study.
  • Level 2: Violations shall, in most cases, result a written reprimand in the student’s file and retraining. The student may also be suspended from the program of study.
  • Level 3: Violations, in most cases, shall result in immediate termination from the program of study.

Contractors/Vendors:
Violations of any level shall, in most cases, result in termination of the contract/business relationship and disqualification from future contractual/business relationships.

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1.7.1 Sexual Harassment

Last updated on:
08/02/2016
Formerly Known As Policy Number: 
2.2.4; 23.2

Stanford University strives to provide a place of work and study free of sexual harassment, intimidation or exploitation. Where sexual harassment has occurred, the University will act to stop the harassment, prevent its recurrence, and discipline and/or take other appropriate action against those responsible. See also: Sexual Harassment Policy Office website.

Authority: 

Approved by the President.

Applicability: 

Applies to all students, faculty, staff and others who participate in Stanford programs and activities including Stanford affiliates providing services to Stanford such as mentors and volunteers, and other third parties, such as contractors, vendors, and visitors. Its application includes Stanford programs and activities both on and off-campus, including overseas programs. Students may be complainants under this policy; however complaints against students will fall under Guide Memo 1.7.3 [2] and its applicable processes. See Appendix “A” for applicability chart.

1. In General

a. Sanctions for Policy Violations
Individuals who violate this policy are subject to discipline up to and including discharge, expulsion, removal and/or other appropriate sanction or action.

b. Respect for Each Other
Stanford University strives to provide a place of work and study free of sexual harassment, intimidation or exploitation. It is expected that students, faculty, staff and other individuals covered by this policy will treat one another with respect.

c. Prompt Attention
Reports of sexual harassment are taken seriously and will be dealt with promptly. The specific action taken in any particular case depends on the nature and gravity of the conduct reported and may include intervention, mediation, investigation and the initiation of grievance and disciplinary processes. Where sexual harassment has occurred, the University will act to stop the harassment, prevent its recurrence, and discipline and/or take other appropriate action against those responsible. Supervisors and “Responsible Employees” (as defined by Guide Memo 1.7.3) are expected to report any complaints of sexual harassment they are aware of to the Sexual Harassment Policy Office.

d. Confidentiality
The University recognizes the importance of confidentiality. Sexual harassment advisers and others responsible for implementing this policy will respect the confidentiality and privacy of individuals reporting or accused of sexual harassment to the extent reasonably possible. Examples of situations where confidentiality cannot be maintained include circumstances when the law requires disclosure of information and/or when disclosure by the University is necessary to protect the safety of others.

e. Protection Against Retaliation
Retaliation is any materially adverse action that would dissuade a reasonable person from making or supporting a claim of harassment or discrimination. Retaliation violates the law and Stanford’s policy. Retaliation can be direct such as changing an employee’s work location, pay or schedule, or for students, changing a grade or denying access to a program, or it can be indirect such as intimidating, threatening, or harassing an employee or student who has raised a claim or participated as a witness in an investigation. All parties to a concern are prohibited from engaging in intimidating actions directly or through support persons.

However, intentionally making a false report or providing false information is grounds for discipline.

f. Relationship to Freedom of Expression
Stanford is committed to the principles of free inquiry and free expression. Vigorous discussion and debate are fundamental to the University, and this policy is not intended to stifle teaching methods or freedom of expression generally, nor will it be permitted to do so. However, sexual harassment is neither legally protected expression nor the proper exercise of academic freedom. It compromises the integrity of the University, its tradition of intellectual freedom and the trust placed in its members.

g. Required Training
In compliance with California Government Code Section 12950.1, all supervisors (including faculty) who are employed by Stanford are required to participate in a minimum 2-hour sexual harassment training at least every two years. Other topics covered by this program include illegal discrimination, abusive behavior in the workplace, forms of sexual violence, how to be an active “upstander,” supervisor’s responsibility to report and how to appropriately respond to reports of sexual violence or harassment within the student and staff communities. Details on who is included and how this requirement can be met are located on the Sexual Harassment Policy Office website. Further, Stanford may require sexual harassment training of non-supervisory employees. All new employees who are not faculty and who do not supervise other workers will be provided Harassment Prevention Training for New Non-Supervisory Staff generally within six months of hire. Participants will learn how to recognize sexual harassment in the workplace and about campus resources. Other topics covered by this program include illegal discrimination, abusive behavior in the workplace, forms of sexual violence, how to be an active “upstander,” how to report and appropriately respond to reports of sexual violence or harassment within the student and staff communities. Registration is through Axess on the STARS /Training tab.

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2. What Is Sexual Harassment?

Unwelcome sexual advances, requests for sexual favors, and other visual, verbal or physical conduct of a sexual nature constitute sexual harassment when:

a. It is implicitly or explicitly suggested that submission to or rejection of the conduct will be a factor in academic or employment decisions or evaluations, or permission to participate in a University activity (Quid Pro Quo), OR

b. The conduct has the purpose or effect of unreasonably interfering with an individual's academic or work performance or creating an intimidating or hostile academic, work or student living environment (Hostile Environment).

Determining what constitutes sexual harassment depends on the specific facts and context in which the conduct occurs. Sexual harassment may take many forms; subtle and indirect or blatant and overt. For example, it may:

  • Be conduct toward an individual of the same or different gender, gender expression, gender identity or sexual orientation.
  • Occur between peers or between individuals in a hierarchical relationship.
  • Be aimed at coercing an individual to participate in an unwanted sexual relationship or it may have the effect of causing an individual to change behavior or work performance.
  • Consist of repeated actions or may even arise from a single incident if sufficiently egregious.

The University’s policy on Prohibited Sexual Conduct (see Guide Memo 1.7.3), may also apply when sexual harassment involves unwanted physical contact. Under Title IX, sexual violence (sexual misconduct and sexual assault) is a severe form of sexual harassment.

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3. What to Do About Sexual Harassment

Use these resources for additional information:

  • For information, consultation, advice or to lodge a complaint, contact the Sexual Harassment Policy Office at Kingscote Gardens, Suite 230, 419 Lagunita Drive, Stanford, CA 94305-8210, (650) 724-2120; email to harass@stanford.edu. Note: Anonymous inquiries can be made to the SHPO by phone during business hours.
  • The Sexual Harassment Policy Office web page at http:/harass.stanford.edu.
  • Any designated Sexual Harassment Adviser or resource person listed in Sections 3.a or 5.a.
  • For incidents involving students, contact Jill Thomas, Title IX Coordinator at Kingscote Gardens, Suite 240, 419 Lagunita Drive, Stanford, CA 94305-8219, (650) 497-4955; email to titleix@stanford.edu. See also https://sexualviolencesupport.stanford.edu.

The following are the primary methods for dealing with sexual harassment at Stanford when the respondent is a faculty, staff, affiliate, or other third party. (For situations in which a student is the alleged wrongdoer, the process followed is provided in the Student Title IX Process). There is no requirement to follow these options in any specific order. However, early informal methods are often effective in correcting inappropriate behavior.

a. Consultation
Consultation about sexual harassment is available from the Sexual Harassment Policy Office, Sexual Harassment Advisers including residence deans, human resources managers, employee relations specialists, counselors with the Confidential Support Team or Counseling and Psychological Services (CAPS) or the Faculty & Staff Help Center, deans at the Office for Religious Life at Memorial Church, the Ombuds and others. A current list of Sexual Harassment Advisers is available from the Sexual Harassment Policy Office and their web directory of Sexual Harassment Advisers. Consultation is available for anyone who wants to discuss issues related to sexual harassment, whether or not "harassment" actually has occurred or the person seeking information is a complainant, a person who believes their own actions may be the subject of criticism (even if unwarranted), or a third party.

Often there is a desire that a consultation be confidential or "off the record." This can usually be achieved when individuals discuss concerns about sexual harassment without identifying the other persons involved, and sometimes even without identifying themselves. Confidential consultations about sexual harassment also may be available from persons who, by law, have special professional status, such as:

For students:

For faculty, staff and postdoctoral scholars:

For all in the Stanford Community:

In these cases, the level of confidentiality depends on what legal protections are held by the individual receiving the information and should be addressed with them before specific facts are disclosed. For more information see http://harass.stanford.edu/help/resources.

b. Student Processes

Unless the matter involves sexual harassment of a student by faculty, staff, affiliate, or other third party, allegations of sexual harassment against a student are not subject to Guide Memo 1.7.1, but are instead subject to the sexual harassment definition provided in Guide Memo 1.7.3 and allegations are reviewed under the Student Title IX Process.

To report a student matter contact Jill Thomas, Title IX Coordinator, at Kingscote Gardens, Suite 240, 419 Lagunita Drive, Stanford, CA 94035, (650) 497-4955; email to titleix@stanford.edu. See also https://sexualviolencesupport.stanford.edu.

c. Faculty & Staff Processes

(1) Direct Communication
Although not required, an individual may act on concerns about sexual harassment directly, by addressing the other party in person, or writing a letter describing the unwelcome behavior and its effect and stating that the behavior must stop. A Sexual Harassment Adviser can help the individual plan what to say or write, and likewise can counsel persons who receive such communications. Reprisals against an individual who in good faith initiates such a communication violate this policy.

(2) Third Party Intervention
Depending on the circumstances, third party intervention in the workplace or academic setting may be attempted. Third party may be the Sexual Harassment Advisers, human resources professionals, the Ombuds, other faculty or staff, or sometimes a mediator unrelated to the University. When third party intervention is used, typically the third party(ies) meets privately with each person involved, tries to clarify their perceptions and attempts to develop a mutually acceptable understanding that can insure the parties are comfortable with their future interactions. Other processes, such as a mediated discussion among the parties or with a supervisor, may also be explored in appropriate cases. Possible outcomes of third party intervention include explicit agreements about future conduct, changes in workplace assignments or other relief, where appropriate.

(3) Investigations

If significant facts are contested, a prompt investigation may be undertaken. The investigation will be conducted by impartial and trained personnel in a way that respects, to the reasonable extent possible bearing in mind the safety of the campus community, the privacy of all of the persons involved. In appropriate cases, professional investigators may be asked to conduct or assist in the investigation. In making a finding, the investigator will use the “preponderance of the evidence” standard; is it more likely than not that the reported allegations are true. The guideline for investigations to conclude is 60 days; however in some cases, there are unforeseen circumstances that may impact this timeline. The results of the investigation may be used in the third party intervention process or in a grievance or disciplinary action.

(4) Formal Grievance, Appeal and Disciplinary Processes
Grievance, appeal or disciplinary processes may be pursued as applicable.

(5) Grievances and Appeals
The applicable procedure depends on the circumstances and the status of the person bringing the charge and the person against whom the charge is brought. Generally, the process consists of the individual's submission of a written statement, of fact-finding process or investigation by a University representative, followed by a decision and, in some cases, the possibility of one or more appeals, usually to Stanford administrative officers at higher levels. The relevant procedure (see below) should be read carefully, since the procedures vary considerably. If the identified University fact-finder or grievance officer has a conflict of interest, an alternate will be arranged; the director of the Sexual Harassment Policy Office or the directors in Employee & Labor Relations, University Human Resources can help assure that this occurs. Stanford affiliates providing services to Stanford such as mentors and volunteers, and other third parties, such as contractors, vendors, and visitors do not have grievance or appeal rights under this policy.

In most cases, grievances and appeals must be brought within a specified time after the action in question. While informal resolution efforts will not automatically extend the time limits for filing a grievance or appeal, in appropriate circumstances the time for filing a grievance or appeal may be extended. See Stanford’s Grievance Policy 2.1.11; or as applicable, Faculty Handbook, section 4.1.C

A list of the grievance and appeal procedures are located online or from the Sexual Harassment Policy Office.

(6) Disciplinary Procedures
In appropriate cases, disciplinary procedures may be initiated. The applicable disciplinary procedure depends on the status of the individual whose conduct is in question. Faculty members are subject to the Statement on Faculty Discipline.

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4. Procedural Matters

a. Record keeping
The Sexual Harassment Policy Office will track reports of sexual harassment for statistical purposes and report at least annually concerning their number, nature and disposition to the University President through the Dean of Research.

The Sexual Harassment Policy Office may keep confidential records of reports of sexual harassment and the actions taken in response to those reports, and use them for purposes such as to identify individuals or departments likely to benefit from training so that training priorities can be established. No identifying information will be retained in cases where the individual accused was not informed that there was a complaint.

b. Indemnification and Costs
The question sometimes arises as to whether the University will defend and indemnify a Stanford employee accused of sexual harassment. California law provides, in part, "An employer shall indemnify [its] employee for all that the employee necessarily expends or loses in direct consequence of the discharge of his/her duties as such..." The issue of indemnification depends on the facts and circumstances of each situation. Individuals who violate this policy, however, should be aware that they and/or their schools, institutes, or other units may be required to pay or contribute to any judgments, costs and expenses incurred as a result of behavior that is wrongful and/or contrary to the discharge of the employee's duties. In general, see Guide Memo 2.4.6.

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5. Resources for Dealing with Sexual Harassment

a. Advice
Persons who have concerns about sexual harassment should contact the Sexual Harassment Policy Office, any Sexual Harassment Adviser or one of the other individuals listed below. Reports should be made as soon as possible. The earlier the report, the easier it is to investigate and take appropriate remedial action. When reports are delayed for a long period, the University will try to act to the extent it is reasonable to do so, but it may be impossible to achieve a satisfactory result after much time has passed.

Likewise, anyone who receives a report or a grievance involving sexual harassment should promptly consult with the Sexual Harassment Policy Office or with a Sexual Harassment Adviser.

There are a number of individuals specially trained and charged with specific responsibilities in the area of sexual harassment. In brief, they are:

  • Sexual Harassment Advisers, serve as resources to individuals who wish to discuss issues of sexual harassment, whether because they have been harassed or because they want information about the University's policy and procedures. There is usually at least one Sexual Harassment Adviser assigned to each of the schools at the University and to each large work unit. All of the residence deans and deans in the Graduate Life Office also have been appointed as Sexual Harassment Advisers. Advisers are also authorized to receive complaints.
  • The Director of the Sexual Harassment Policy Office is responsible for the implementation of this policy. This office also provides advice and consultation to individuals when requested; receives complaints and coordinates their handling; supervises the other Advisers; encourages and assists prevention education for students, faculty and staff; keeps records showing the disposition of complaints; and generally coordinates matters arising under this policy. Because education and awareness are the best ways to prevent sexual harassment, developing awareness, education and training programs and publishing informational material are among the most important functions of the Sexual Harassment Policy Office.
  • As stated previously, individuals with concerns about sexual harassment may also discuss their concerns informally with psychological counselors (for example through the counselors with the Confidential Support Team, CAPS, or the Faculty & Staff Help Center) Deans in the Office for Religious Life, or the University or Medical School Ombuds. For more information, go to https://harass.stanford.edu/help/resources.
  • Title IX Coordinator: students and others may confer with Jill Thomas, Title IX Coordinator, at Kingscote Gardens, Suite 240, Stanford, CA 94035, (650) 497-4955, titleix@stanford.edu.

b. External Reporting
Sexual harassment is prohibited by state and federal law. In addition to the internal resources just described, individuals may pursue complaints directly with the government agencies that deal with unlawful harassment and discrimination claims, e.g., the U.S. Equal Employment Opportunity Commission (EEOC), the Office for Civil Rights (OCR) of the U.S. Department of Education, and the State of California Department of Fair Employment and Housing (DFEH). A violation of this policy may exist even where the conduct in question does not violate the law.

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6. Policy Review and Evaluation

This policy went into effect on October 6, 1993, and amended November 30, 1995, May 30, 2002, August 30, 2012, June 11, 2013, December 6, 2013, and August 2, 2016. It is subject to periodic review, and any comments or suggestions should be forwarded to the Director of the Sexual Harassment Policy Office.

APPENDIX “A”

Applicability of Stanford Policies Pertaining to Sexual Harassment
 

NOTE: The applicable policy for sexual harassment is based on the role of the alleged wrongdoer within the University. Administrative Guide Memo 1.7.1 applies to incidents in which a faculty, staff or other third parties is alleged to have engaged in sexual harassment of a University community member.  Stanford’s Guide Memo 1.7.3 (Prohibited Sexual Conduct policy) applies to incidents in which a student is alleged to have engaged in sexual harassment of a University community member. Guide Memo 1.7.2 applies to all University members who are alleged to be in a prohibited consensual sexual or romantic relationship.

  Sexual harassment sexual violence, dating or relationship violence, stalking prohibited consensual relationships
Student
Alleged
Wrongdoer
Guide Memo 1.7.3 Guide Memo 1.7.3 Guide Memo 1.7.2
Faculty/Staff Alleged
Wrongdoer
Guide Memo 1.7.1 Guide Memo 1.7.3 Guide Memo 1.7.2
Affiliate
Alleged Wrongdoer
Guide Memo 1.7.1 Guide Memo 1.7.3 Guide Memo 1.7.2 (as to some affiliates only)
Third Party
Alleged Wrongdoer
Guide Memo 1.7.1 Guide Memo 1.7.3 Not applicable

 

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1.7.2 Consensual Sexual or Romantic Relationships In the Workplace and Educational Setting

Last updated on:
11/21/2017

This policy highlights the risks in sexual or romantic relationships in the Stanford workplace or academic setting between individuals in inherently unequal positions; prohibits certain relationships between teachers and students; and requires recusal (from supervision and evaluation) and notification in other relationships.

Authority: 

Approved by the President.

Applicability: 

Applies to all students, faculty, staff, and others who participate in Stanford programs and activities.

1. In General

There are special risks in any sexual or romantic relationship between individuals in inherently unequal positions, and parties in such a relationship assume those risks. In the university context, such positions include (but are not limited to) teacher and student, supervisor and employee, senior faculty and junior faculty, mentor and trainee, adviser and advisee, teaching assistant and student, principal investigator and postdoctoral scholar or research assistant, coach and athlete, attending physician and resident or fellow, and individuals who supervise the day-to-day student living environment and their students.

Because of the potential for conflict of interest, exploitation, favoritism, and bias, such relationships may undermine the real or perceived integrity of the supervision and evaluation provided. Further, these relationships are often less consensual than the individual whose position confers power or authority believes. In addition, circumstances may change, and conduct that was previously welcome may become unwelcome. Even when both parties have consented at the outset to a sexual or romantic involvement, this past consent does not remove grounds for a charge based upon subsequent unwelcome conduct.

Such relationships may also have unintended, adverse effects on the climate of an academic program or work unit, thereby impairing the learning or working environment for others – both during such a relationship and after any break-up. Relationships in which one party is in a position to evaluate the work or influence the career of the other may provide grounds for complaint by third parties when that relationship gives undue access or advantage, restricts opportunities, or simply creates a perception of these problems. Additionally, even when a relationship ends, there may be bias (even if unintentional) for or against the former partner, or there could be an ongoing impression of such bias; in other words, the effects of a romantic or sexual relationship can extend beyond the relationship itself.  

For all of these reasons, sexual or romantic relationships--whether regarded as consensual or otherwise--between individuals in inherently unequal positions should in general be avoided and in many circumstances are strictly prohibited by this policy. Since these relationships can occur in multiple contexts on campus, this policy addresses certain contexts specifically. However, the policy covers all sexual and romantic relationships involving individuals in unequal positions, even if not addressed explicitly in what follows.

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2. With Students

At a university, the role of the teacher is multifaceted, including serving as intellectual guide, mentor, role model and advisor. This role is at the heart of the University’s educational mission and its integrity must be maintained. The teacher’s influence and authority can extend far beyond the classroom and into the future, affecting the academic progress and careers of our students.

Accordingly, the University expects teachers to maintain interactions with students free from influences that may interfere with the learning and personal development experiences to which students are entitled. In this context, teachers include those who are entrusted by Stanford to teach, supervise, mentor and coach students, including faculty and consulting faculty of all ranks, lecturers, academic advisors, and principal investigators.  The specific policies on teachers outlined below do not apply to Stanford students (undergraduates, graduates and post-doctoral scholars) who may at times take on the role of teachers or teaching assistants, policies for whom are addressed in a separate section.

As a general proposition, the University believes that a sexual or romantic relationship between a teacher and a student – even where consensual and whether or not the student is subject to supervision or evaluation by the teacher – is inconsistent with the proper role of the teacher.  Not only can these relationships harm the educational environment for the individual student involved, they also undermine the educational environment for other students. Furthermore, such relationships may expose the teacher to charges of misconduct and create a potential liability, not only for the teacher, but also for the University if it is determined that laws against sexual harassment or discrimination have been violated.

Consequently, the University has established the following parameters regarding sexual or romantic relationships with Stanford students:

First, because of the relative youth of undergraduates and their particular vulnerability in such relationships, sexual or romantic relationships between teachers and undergraduate students are prohibited – regardless of current or future academic or supervisory responsibilities for that student.   

Second, whenever a teacher has had, or in the future might reasonably be expected to have, academic responsibility over any student, such relationships are prohibited. This includes, for example, any faculty member who teaches in a graduate student’s department, program or division.  Conversely, no teacher shall exercise academic responsibility over a student with whom he or she has previously had a sexual or romantic relationship. “Academic responsibility” includes (but is not limited to) teaching, grading, mentoring, advising on or evaluating research or other academic activity, participating in decisions regarding funding or other resources, clinical supervision, and recommending for admissions, employment, fellowships or awards.  In this context, students include graduate and professional school students, postdoctoral scholars, and clinical residents or fellows.

Third, certain staff roles (including deans and other senior administrators, coaches, supervisors of student employees, Residence Deans and Fellows, as well as others who mentor, advise or have authority over students) also have broad influence on or authority over students and their experience at Stanford. For this reason, sexual or romantic relationships between such staff members and undergraduate students are prohibited. Similarly, relationships between staff members and other students over whom the staff member has had or is likely in the future to have such influence or authority are prohibited.

When a preexisting sexual or romantic relationship between a university employee and a student is prohibited by this policy – or if a relationship not previously prohibited becomes prohibited due to a change in circumstances – the employee must both recuse himself or herself from any supervisory or academic responsibility over the student, and notify his or her supervisor, department chair or dean about the situation so that adequate alternative supervisory or evaluative arrangements can be put in place. This obligation to recuse and notify exists for past as well as for current relationships. Failure to disclose the relationship in a timely fashion will itself be considered a violation of policy. The university understands that sexual or romantic relationships are often private in nature and the university treats such information sensitively and (to the extent practicable) confidentially.

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3. Between Students (Student Teachers, Teaching Assistants and Graders)

Many existing policies govern student responsibilities towards each other.  The current policy applies when undergraduate or graduate students or post-doctoral scholars are serving in the teaching role as teachers, TAs, graders or research supervisors. The policy does not prohibit students from having consensual sexual or romantic relationships with fellow students. However, if such a relationship exists between a student teacher and a student in a setting for which the student teacher is serving in this capacity, s/he shall not exercise any evaluative or teaching function for that student.  Furthermore, the student teacher must recuse himself or herself and notify his or her supervisor so that alternative evaluative, oversight or teaching arrangements can be put in place.  This obligation to recuse and notify exists for past as well as for current relationships. Failure to notify and recuse in this situation will be subject to discipline under the Fundamental Standard.  The university understands that sexual or romantic relationships are often private in nature and the university treats such information sensitively and (to the extent practicable) confidentially.

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4. In Other Contexts

Consensual sexual or romantic relationships between adult employees (including faculty) are not in general prohibited by this policy. However, relationships between employees in which one has direct or indirect authority over the other are always potentially problematic. This includes not only relationships between supervisors and their staff, but also between senior faculty and junior faculty, faculty and both academic and non-academic staff, and so forth.

Where such a relationship develops, the person in the position of greater authority or power must recuse him/herself to ensure that he/she does not exercise any supervisory or evaluative function over the other person in the relationship. Where such recusal is required, the recusing party must also notify his/her supervisor, department chair, dean or human resources manager, so that person can ensure adequate alternative supervisory or evaluative arrangements are put in place. Such notification is always required where recusal is required. This obligation to recuse and notify exists for past as well as for current relationships. Failure to disclose the relationship in a timely fashion will itself be considered a violation of policy. The university understands that sexual or romantic relationships are often private in nature and the university treats such information sensitively and (to the extent practicable) confidentially.

The University has the option to take any action necessary to insure compliance with the spirit of this policy, including transferring either or both employees to minimize disruption of the work group.

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5. Additional Matters

If there is any doubt whether a relationship falls within this policy, individuals should disclose the facts and seek guidance rather than fail to disclose. Questions may be addressed to your supervisor or cognizant dean or to the Sexual Harassment Policy Office, or in confidence to the University Ombuds or the School of Medicine Ombuds. In those rare situations where it is programmatically infeasible to provide alternative supervision, academic responsibility and/or evaluation, the cognizant dean, director or supervisor must approve all (as applicable) academic responsibility, evaluative and compensation actions.

Employees who engage in sexual or romantic relationships with a student or other employee contrary to the guidance, prohibitions and requirements provided in the policy are subject to disciplinary action up to and including dismissal, depending on the nature of and context for the violation.   They will also be held accountable for any adverse consequences that result from those relationships.

Stanford’s policy with regard to employment of related persons can be found in the Administrative Guide 2.1.2.2c and is excerpted here:

Employment by a related person in any position (e.g. regular staff, faculty, other teaching, temporary, casual, third party, etc.) within an organizational unit can occur only with the approval of the responsible Vice Provost, Vice President (or similar level equivalent to the highest administrative person within the organizational unit), or his/her designee. Under no circumstances may a supervisor hire or approve any compensation action for any employee to whom the supervisor is related. An individual may not supervise, evaluate the job performance, or approve compensation for any individual with whom the supervisor is related.

Even when the criteria discussed here are met, employment of a related person in any position within the organization must have the approval of the local human resources office, in addition to the approval of the hiring manager's supervisor, including faculty supervisors. 

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6. Policy Review and Evaluation

This policy was originally part of the Sexual Harassment policy, which went into effect on October 6, 1993, and was amended November 30, 1995, May 30, 2002, August 30, 2012 and June 11, 2013. Its revision and conversion to a separate policy was made on December 6, 2013 and updated on January 21, 2014. Comments or suggestions should be made to the Provost.

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1.7.3 Prohibited Sexual Conduct: Sexual Misconduct, Sexual Assault, Stalking, Relationship Violence, Violation of University or Court Directives, Student-on-Student Sexual Harassment and Retaliation

Last updated on:
03/11/2016
Formerly Known As Policy Number: 
2.2.5; 23.3

This Guide Memo outlines Stanford University's definitions and policies relating to sexual misconduct, sexual assault, stalking and relationship violence for all members of the Stanford community. This Guide Memo also defines student-on-student sexual harassment (see also Guide Memo 1.7.1, Sexual Harassment in the Workplace). Finally, this policy applies to violations of University directives or court orders and acts of intimidation/retaliation relating to the aforementioned conduct or allegations of conduct. This conduct is prohibited by Title IX of the Education Amendments of 1972 relating to sexual harassment (including sexual violence, stalking, and domestic and dating violence), the Violence Against Women Reauthorization Act of 2013 (VAWA) and its implementing regulations, and California Education Code sections 67380, 67383 and 67386; Stanford University refers to this collective group of misconduct as Prohibited Sexual Conduct. In conjunction with this Guide Memo, Stanford has disciplinary and administrative procedures for making formal determinations of whether Prohibited Sexual Conduct has occurred, which are described in Section 11 of this Guide Memo. Prohibited Sexual Conduct is a severe form of sexual harassment.

Authority: 

Approved by the President.

Enforced under the authority of the Vice Provost for Student Affairs, the Vice President of Human Resources and the Provost.  In addition, an individual who violates this policy may be subject to criminal prosecution and civil litigation.

Applicability: 

All students, faculty, staff, affiliates and others participating in University programs and activities are subject to this policy. This policy also applies to reports of incidents of Prohibited Sexual Conduct as required by Title IX, VAWA and California Education Code sections 67380, 67383 and 67386.

1. Policy Statement

Acts of Prohibited Sexual Conduct are not tolerated at Stanford University. The University investigates or responds to reports of Prohibited Sexual Conduct under circumstances in which the accused person(s) (Responding Party) is subject to this policy and (i) the individual(s) who believe he/she/they have experienced the Prohibited Sexual Conduct (Complainant) are students, faculty, staff members or program participants and there is a connection between the allegations and University programs or activities; or (ii) investigation and response are necessary for the proper functioning of the University, including the safety of the University community or preservation of a respectful and safe climate at the University. Students, faculty and staff found to be in violation of this policy will be subject to discipline up to and including termination, expulsion or other appropriate institutional sanctions; affiliates and program participants may be removed from University programs and/or prevented from returning to campus.

A comprehensive University web page dedicated to sexual violence awareness, prevention, response and support for those who have experienced sexual violence can be found at https://sexualviolencesupport.stanford.edu. The web page contains a list of resources and describes reporting options. Resources are also provided at the end of this policy in Section 18 and at and at titleix.stanford.edu.

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2. What is Prohibited Sexual Conduct?

Prohibited Sexual Conduct is the umbrella term that Stanford uses to collectively define different types of misconduct relating to assault, violence or exploitation of a sexual nature, or connected to an intimate relationship. Prohibited Sexual Conduct includes (a) Student-on-Student Sexual Harassment, (b) Sexual Misconduct, (c) Sexual Assault, (d) Stalking, (e) Relationship (dating or domestic) Violence, (f) Violation of University Directive or Court Order relating to Prohibited Sexual Conduct or allegations of Prohibited Sexual Conduct and (g) Retaliation relating to Prohibited Sexual Conduct or Allegations of Prohibited Sexual Conduct. Under federal law, Prohibited Sexual Conduct is a severe form of sexual harassment. (See Administrative Guide Memo 1.7.1 for more information regarding Sexual Harassment in the workplace and Administrative Guide Memo 1.7.2 for information about Consensual Sexual or Romantic Relationships in the Workplace and Educational Setting.)

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3. What Is Student-on-Student Sexual Harassment?

Unwelcome sexual advances, requests for sexual favors, and other visual, verbal or physical conduct of a sexual nature constitute sexual harassment when the conduct has the purpose or effect of unreasonably interfering with an individual's academic performance or creating an intimidating or hostile academic or student living environment.

Determining what constitutes sexual harassment depends on the specific facts and context in which the conduct occurs. Sexual harassment may take many forms:  subtle and indirect or blatant and overt. For example, it may:

  • Be conduct toward an individual of the opposite sex or the same sex
  • Occur between peers or between individuals in a hierarchical relationship
  • Be aimed at coercing an individual to participate in an unwanted sexual relationship or have the effect of causing an individual to change behavior
  • Consist of repeated actions or may even arise from a single incident if sufficiently egregious

Whether the unwanted sexual conduct rises to the level of creating an intimidating or hostile environment is determined using both a subjective standard and an objective standard.

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4. What Are Sexual Misconduct and Sexual Assault?

a. What is Sexual Misconduct?
Sexual misconduct is the commission of a sexual act, whether by a stranger or nonstranger and regardless of the gender of any party, which occurs without indication of consent.

1. The following acts or attempted acts can be the subject of a Sexual Misconduct or Sexual Assault charge:
a) vaginal or anal intercourse;
b) digital penetration;
c) oral copulation; or
d) penetration with a foreign object

2.  Additional Acts of Sexual Misconduct
The following completed acts can be the subject of a Sexual Misconduct charge:
a) unwanted touching or kissing of an intimate body part (whether directly or through clothing); or
b) recording, photographing, transmitting, viewing or distributing intimate or sexual images without the knowledge and consent of all parties involved.

b. What is Sexual Assault?
Sexual Assault is an act described in Section 4.a.1 accomplished by use of (a) force, violence, duress or menace; or (b) inducement of incapacitation or knowingly taking advantage of an incapacitated person.

Definitions of force, violence, duress or menace
The following definitions (drawn from California law) inform whether an act was accomplished by force, violence, duress or menace:

  • An act is accomplished by force if a person overcomes the other person’s will by use of physical force or induces reasonable fear of immediate bodily injury.
  • Violence means the use of physical force to cause harm or injury.
  • Duress means a direct or implied threat of force, violence, danger, hardship, or retribution that is enough to cause a reasonable person of ordinary sensitivity to do or submit to something that he or she would not otherwise do or submit to. When deciding whether the act was accomplished by duress, all the circumstances, including the age of the impacted party and his or her relationship to the responding party, are relevant factors.
  • Menace means a threat, statement, or act showing intent to injure someone.

c. What is Consent?
Consent is an affirmative nonverbal act or verbal statement expressing consent to sexual activity by a person that is informed, freely given and mutually understood. It is the responsibility of person(s) involved in sexual activity to ensure that he/she/they have the affirmative consent of the other or others to engage in the sexual activity. Affirmative consent must be ongoing throughout a sexual activity and can be revoked at any time. Lack of protest or resistance does not mean consent, nor does silence mean consent. Consent to one act by itself does not constitute consent to another act. The existence of a dating relationship between the persons involved, or the fact of past sexual relations, should never by itself be assumed to be an indicator of consent. Whether one has taken advantage of a position of influence over another may be a factor in determining consent.

d. What is Incapacitation?
Incapacitation means that a person lacks the ability to voluntarily agree to sexual activity because the person is asleep, unconscious, under the influence of an anesthetizing or intoxicating substance such that the person does not have control over his/her body, is otherwise unaware that sexual activity is occurring, or is unable to appreciate the nature and quality of the act. Incapacitation is not the same as legal intoxication.

A party who engages in sexual conduct with a person who is incapacitated under circumstances in which a reasonable sober person in similar circumstances would have known the person to be incapacitated is responsible for sexual misconduct.  It is not a defense that the Responding Party’s belief in affirmative consent arose from his or her intoxication.

d. Stranger Assault and Nonstranger Assault
For the purposes of this policy, a nonstranger is someone known to the Complainant, whether through a casual meeting or through a longstanding relationship, including a dating or domestic relationship. A stranger is someone unknown to the Complainant at the time of the assault. California law requires universities to describe how a school will respond to instances of stranger and nonstranger assaults: Stanford applies the same policies for both stranger and nonstranger assaults.

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5. What is Stalking?

Stalking is the repeated following, watching or harassing of a specific person that would cause a reasonable person to (a) fear for his or her safety or the safety of others, or (b) suffer substantial emotional distress.

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6. What is Relationship Violence?

Violence is Stanford’s umbrella term that includes dating and domestic violence. Relationship violence is physical violence relating to a current or former romantic or intimate relationship regardless of the length of the relationship or gender/gender identity of the individuals in the relationship, including conduct that would cause a reasonable person to be fearful for his or her safety.

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7. What is a Violation of a University Directive or Court Order?

A violation of a University Directive is the failure to comply with a directive issued by the University that restricts the activities of an individual in connection with an allegation or finding of Prohibited Sexual Conduct. A violation of a court order is the failure to comply with any formal order issued by a state or federal court or authorized police officer that restricts a student’s access to another Stanford community member, such as an emergency, temporary or permanent restraining order.

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8. What is Retaliation?

It is a violation of this policy to retaliate against any person making a complaint of Prohibited Sexual Conduct or against any person participating in the investigation of (including testifying as a witness to) any such allegation of Prohibited Sexual Conduct. Retaliation should be reported promptly to the Title IX Coordinator. Individuals engaging in retaliation are subject to discipline (for students and faculty), employment action (for employees) and/or removal from responsibilities or campus. Retaliation includes direct or indirect intimidation, threats, coercion, harassment or other forms of discrimination against any individual who has brought forward a concern or participated in the University’s Title IX process. Both parties are prohibited from engaging in intimidating actions directly or through support persons that reasonably could deter either a party or a witness from participating in a Title IX investigation or hearing.

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9. Getting Immediate Help

If you or someone you know has experienced Prohibited Sexual Conduct, here are some steps to consider:

a. If you are in immediate danger, or if you believe there could be an ongoing threat to you or the community, please call 911 or 9-911 from a campus phone.

b. Get to a safe place and speak to a confidential resource.  Confidential resources have special legal protection and will not share your name or personal information with anyone.  They are able to provide for your immediate mental well-being and to discuss your options with you.  A list of confidential resources is provided in Section 18.

  1. For students, the Stanford University Confidential Support Team is available 24 hours a day. Office: (650) 736-6933. After Hours Hotline: (650) 725-9955.
  2. Counseling and Psychological Services (CAPS) at (650) 723-3785.
  3. For all University community members, the YWCA Rape Crisis Hotline is available 24 hours a day at (650) 493-7273 or (408) 287-3000.

c. You are encouraged to seek medical attention and a medical-legal examination for evidence collection purposes. Please see Section 13 for information about medical resources.

d. You are encouraged to contact the police, although you are not required to make a report to the police. Stanford has its own Department of Public Safety, which you can reach at (650) 723-9633, for assistance and support.  University officials also will assist you in contacting local law enforcement authorities, if you request assistance.  If you believe that there is an ongoing threat to your safety from a particular individual, you may request an Emergency Protective Restraining Order from a California police officer. Please see Section 15 for more information about restraining order options.

e. If you are able, you are encouraged to write down what you remember about the incident. (You might also ask a friend to help you.) If possible, record information in a chronological order including details, such as names of the accused and witnesses, time-estimates and locations. This record will assist you in recalling the event later and might assist you in any further process, such as speaking to the police, doctors or University staff.

f. Students in need of immediate University assistance or interim accommodations should contact the resources listed here; Stanford provides 24-hour assistance.  Please note that requesting interim safety measures or accommodations (e.g., housing or academic) will result in a formal notification to the University. For an immediate No Contact Order, a temporary housing accommodation or similar urgent assistance, contact:

During business hours:
Jill Thomas, Title IX Coordinator, at Kingscote Gardens, Suite 240, 419 Lagunita Drive, Stanford, CA 94305-8231, (650) 497-4955, titleix@stanford.edu. The Title IX Coordinator will coordinate with appropriate staff. After hours: undergraduate students should call a Residence Dean and graduate students should call a Graduate Life Office Dean (see below).

Undergraduate students during regular business hours call:
(650) 725-2800, for Residence Deans or other residential house staff. If there is no answer or if you have an urgent, after-hours issue, contact the campus operator at (650) 723-2300 and ask to be connected to the undergraduate Residence Dean on call.

Graduate students during regular business hours call:
(650) 736-7078, for a Graduate Life Office Dean.  If there is no answer or if you have an urgent, after-hours issue, call the 24-hour pager: (650) 723-8222, pager ID 25085.

g. Employees in need of University assistance relating to employment responsibilities or interim accommodations should contact the Sexual Harassment Policy Office at (650) 724-2120, harass@stanford.edu, a Human Resources Representative or a Sexual Harassment Adviser at harass.stanford.edu/help/advisers. Please note that requesting interim measures or accommodations will result in a formal notification to the University.

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10. Reporting Acts of Prohibited Sexual Conduct to the University

a. Where to Report
Reports of Prohibited Sexual Conduct relating to students, either as the Complainant or as the Responding Party, should be reported to:

  • Jill Thomas, Title IX Coordinator, at Kingscote Gardens, Suite 240, 419 Lagunita Drive, Stanford, CA 94305, titleix@stanford.edu, (650) 497-4955

All other reports should be made to the Sexual Harassment Policy Office:

  • Sexual Harassment Policy Office, at Kingscote Gardens, Suite 230, 419 Lagunita Drive, Stanford, CA 94305, harass@stanford.edu, (650) 724-2120

b. What to Report
For University staff members who are required to report Prohibited Sexual Conduct, the following information (if known) should be provided:
• Name of person who may have experienced Prohibited Sexual Conduct
• Name of Responding Party (accused party) (if known)
• Date of the incident
• Date of report
• To whom report was made
• Location of the incident (be specific: not "Responding Party’s room" but “RP’s room in Stern Hall" or "off-campus in downtown Palo Alto")
• Time of the incident
• Nature of the conduct (be as specific as possible, identify the category(ies) of Prohibited Sexual Conduct—sexual misconduct, sexual assault, stalking, relationship violence; and also specific allegations: e.g., sexual misconduct, IP awoke to RP touching her breasts without permission.)

c. Who Must Report
Except for University-recognized confidential resources, the following University staff members (including student staff members) with knowledge of unreported concerns relating to Prohibited Sexual Conduct are required to report such allegations to the Title IX Coordinator (for students) or the Sexual Harassment Policy Office (for all other reports): (i) supervisors; (ii) staff within: (a) Residential Education; (b) Vice Provost for Student Affairs; (c) Vice Provost for Undergraduate Education; and (d) Vice Provost for Graduate Education; and (iii) faculty and staff who have responsibility for working with students in the following capacities: teaching; advising; coaching or mentoring. Reporting by these individuals is required regardless of whether the subject of the Prohibited Sexual Conduct has or has not indicated they will contact the appropriate office.

The University urges individuals who have been subjected to Prohibited Sexual Conduct to make an official report, whether or not they intend at that time to seek criminal or civil redress or pursue internal disciplinary measures. A report of the matter will be dealt with promptly and equitably. The University will not discipline reporting parties or witnesses for drug and alcohol violations (relating to voluntary ingestion) or similar Fundamental Standard (not Honor Code) offenses related to the reported incident that do not place the health or safety of any other person at risk.

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11. University Response to Allegations of Prohibited Sexual Conduct

a.  Immediate Response
Upon notice of any concern regarding Prohibited Sexual Conduct, the University will promptly assess the situation and respond, including instituting any immediate safety measures or accommodations necessary to ensure the safety of the Complainant and the Stanford Community.

b. Investigation Process for Matters involving a Student as the Alleged Wrongdoer
For matters in which a concern has been brought against a student in a degree-granting program as the alleged wrongdoer, the University will follow the Student Title IX Process, which is managed by the Title IX Coordinator.

c. Investigation Process for Matters involving Faculty or Staff as the Alleged Wrongdoer
The University will first assess whether an investigation will be conducted; that is, whether the allegation(s), if true, would rise to the level of Prohibited Sexual Conduct and, if so, whether a formal investigation is appropriate under the circumstances, taking into account the Complainant's request for confidentiality. The decision-makers to assess whether to move forward to an investigation are: for all matters in which a student is a Complainant, the Title IX Coordinator; for matters in which no student is involved and the respondent is faculty, the cognizant dean or program director; for matters in which no student is involved and the respondent is staff, Human Resources; faculty and staff decision-makers should confer with the Sexual Harassment Policy Office.

In instances in which the University decides to move forward to an investigation, each party will have the same opportunities within the process including: written notice of the concern, an opportunity to respond and be interviewed, and an opportunity to identify relevant witnesses and evidence. Investigations of Prohibited Sexual Conduct will be timely and equitable. The University will review relevant information. While corroborating evidence of accounts is helpful, it is not always available and the credible account of one party can be sufficient to establish a fact. The University makes good faith efforts to complete investigations under Title IX in a 60 day timeframe, although extensions may be appropriate in some matters. Investigations of allegations of Prohibited Sexual Conduct may be conducted by the Title IX Coordinator or her trained designee, by a Human Resources or trained Sexual Harassment Adviser in consultation with the Sexual Harassment Policy Office and the Title IX Office, or by outside resources, depending upon who the parties are and the nature of the conduct alleged. All cases involving students will be investigated in consultation with the Title IX Office. The standard of proof for all determinations of Prohibited Sexual Conduct during an administrative review process is preponderance of the evidence, that is, the conduct more likely than not occurred. Appeal rights are as provided in specifically applicable policies:

d. Support Resources, Interim Measures & Remedies:

The University will take steps to prevent the recurrence of Prohibited Sexual Conduct through safety measures and will redress its effects through appropriate accommodations. The University in implementing such measures and accommodations will seek to minimize the impact and burden on the involved parties consistent with protecting the well-being of the involved parties and the community. To the extent reasonable and feasible, the University will consult with the Complainant and the Responding Party in determining accommodations and safety measures. (Students are directed to Appendix C of the Student Title IX Process for additional information.) Appropriate support resources, interim measures and remedies may include:

  • Housing accommodations
  • Counseling services
  • Academic accommodations
  • No contact directives, stay-away letters, or campus bans
  • Escorts
  • Limitation on extracurricular or athletic activities
  • Removal from University community
  • Referral to University disciplinary process
  • Review or revision of University policies or practices
  • Training
  • Climate surveys

1. Obtaining Interim Measures
When the University has notice of an allegation of Prohibited Sexual Conduct, involving a student, the Title IX Coordinator is authorized to implement interim measures as appropriate, which will generally remain in effect throughout the duration of the University investigation. When the University has notice of an allegation of Prohibited Sexual Conduct that does not involve a student, the Sexual Harassment Policy Office is authorized to implement interim measures as as appropriate, which will generally remain in effect throughout the duration of the University investigation. Interim Measures may include the same safety measures or accommodations provided above.

2.  Potential Accommodations in the Event of No Investigation
Even if the University decides not to confront the Responding Party because of the Complainant's request for confidentiality, the University may pursue other reasonable steps to limit the effects of the Prohibited Sexual Conduct as feasible and reasonable in light of the Complainant’s request for confidentiality. The University’s response may be limited, however, by a request for confidentiality.

e.  Disciplinary & Corrective Action Processes
The University has processes that focus on the imposition of discipline (students and faculty) or corrective action (staff) for individuals found responsible for violating the Fundamental Standard or a University Policy.

1. Student Discipline
Student discipline is implemented through the Student Title IX Process.

The Title IX Office investigates all formal disciplinary complaints of Prohibited Sexual Conduct, and files formal charges if the evidence supports the allegation. Specially trained panelists consider allegations of Prohibited Sexual Conduct after the matter has been investigated and charged. Parties to the process are invited to work with support persons. Sanctions for students found responsible for such a violation range from a formal written warning to suspension for a period of time or expulsion from the University. Expulsion is the expected sanction following a finding of sexual assault and expulsion must be considered for all findings of Prohibited Sexual Conduct. Mediation between parties is not available for cases of sexual assault or misconduct.

2. Faculty & Staff Discipline/Corrective Action
For faculty and staff, violations of this policy are addressed according to applicable faculty and staff personnel policies. Employees in a collective bargaining unit are covered by policies in the applicable agreement. When violations are found, possible sanctions range from censure to dismissal from the University.  For more specific information, please see the following resources:

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12. Confidentiality of Information

The University will make reasonable and appropriate efforts to preserve an individual's privacy and to protect the confidentiality of information. However, because of laws relating to reporting and other state and federal laws, the University cannot guarantee confidentiality relating to incidents of Prohibited Sexual Conduct except where those reports are privileged communications to Confidential Resources. (See below.) Exceptions to maintaining confidentiality are set by law; for example, physicians and nurses who treat any physical injury sustained during a sexual assault are required to report it to law enforcement. Also, physicians, nurses, psychologists, psychiatrists, teachers and social workers must report a sexual assault committed against a person under age 18.

Except for Confidential Resources, information shared with other individuals is not legally protected from being disclosed. If the individual requests confidentiality or requests that there be no investigation, the University’s ability to respond may be limited, including pursuing discipline or administrative remedies against the accused, although, where feasible, the University will take reasonable steps to prevent Prohibited Sexual Conduct and limit its effects. It is not always possible to provide confidentiality depending on the seriousness of the allegation and other factors, which will be weighed by the Title IX Coordinator in conjunction with an individual’s request for confidentiality or a request not to pursue an investigation. These factors include circumstances that suggest an increased risk of the accused committing additional acts of Prohibited Sexual Conduct or other violence, whether the Prohibited Sexual Conduct was perpetrated with a weapon, the age of the student, and the ability of the University to obtain evidence by other means. The University takes requests for confidentiality seriously while at the same time considering its responsibility to provide a safe and nondiscriminatory environment for all students and the University community. The University in such circumstances will make sure the Complainant is aware he/she/they are protected from retaliation.

As required by the Clery Act, all disclosures to any University employee of an on-campus or “non-campus property” sexual assault must be reported for statistical purposes only (without personal identifiers) to the Stanford University Department of Public Safety, which has the responsibility for tabulating and annually publishing sexual assault and other crime statistics. Such reports are for statistical purposes and do not include individual identities or other personally identifiable information.

In California, a police officer is required to ask a victim of sexual assault and domestic violence (specifically section 273.5 Penal Code) if he or she wants his or her name to remain confidential (Penal Code 293(a)). If a victim elects to have his or her name remain confidential, the police will not list the victim's name in a crime log or release it to university officials without permission (Penal Code 293(d)). If the District Attorney elects to prosecute a sexual assault, the name of an adult victim may be subject to disclosure. 

If a formal complaint against a student is filed with the Title IX Coordinator then the process provided for in the Student Title IX Process will be followed.

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Individuals who have experienced a sexual assault are encouraged but not required to have a medical-legal exam performed by a trained medical professional as soon as possible (i.e., within 72 hours) after the assault. The medical professional will address an individual’s medical needs related to the assault as well as collect evidence in accordance with established protocols for evidence collection.

In order to preserve evidence, individuals are advised not to shower, wash, urinate, wipe, change clothes, eat, drink or brush their teeth prior to the exam, if possible.  

Even if an individual is uncertain about whether to pursue criminal or other remedies, participating in the exam allows for the collection and preservation of evidence that might be useful should the individual decide to pursue some type of action at a later date.

In Santa Clara County, medical-legal exams are performed at the Santa Clara Valley Medical Center (SCVMC) in San Jose. Medical-legal exams will be performed at no cost to a victim of sexual assault. A victim does not need to file a report in order to obtain a medical-legal exam; however, hospitals are required to notify the police if a physical injury has been sustained, so the hospital will notify the police agency that has jurisdictional responsibility where the assault took place. Victims have the option to speak with the police or not. The ability to have a medical-legal exam performed is not dependent upon speaking with the police or filing a police report.  

If a victim needs assistance traveling to the SCVMC, a University staff person or a member of DPS will provide assistance. 

For assistance in receiving a medical-legal exam, contact:
YWCA Rape Crisis Hotline:  (650) 493-7273 or (408) 287-3000
Department of Public Safety:  9-1-1 or  (650) 723-9633
SCVMC Emergency Department:  (408) 885-5000

To collect and preserve evidence of Prohibited Sexual Conduct, individuals experiencing unwanted sexual conduct are encouraged to photograph injuries; retain emails, text messages, phone records and other similar evidence; and maintain a journal or other means to document incidents.

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14. Reporting to the Police

For a sexual assault that occurs on the Stanford campus, contact the Stanford Department of Public Safety at (650) 723-9633 or, in case of an emergency, 9-1-1 or 9-911 from a campus phone.

For an off-campus incident, call the local police jurisdiction:
Palo Alto, call 911 or (650) 329-2307
Menlo Park, call 911 or (650) 325-4424

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15. University Action in Conjunction with Civil & Criminal Processes

In addition to University disciplinary actions, a person who engages in Prohibited Sexual Conduct may be the subject of criminal prosecution and/or civil litigation.

Individuals experiencing Prohibited Sexual Conduct have the option to notify law enforcement or not to notify law enforcement. These individuals do not need to report matters to the police to be eligible to receive accommodations from the University under Section 11.d. University officials will assist individuals wishing to report a matter to the police. A police report must be made before a criminal prosecution can be considered by the local District Attorney's Office. The chances of successful prosecution are greater if the report to the police is timely and is supported by the collection of medical-legal evidence (See Section 13, above, Medical Legal Evidence Collection). Victims have the right to request that law enforcement implement an Emergency Protective Restraining Order. Victims who receive emergency or permanent protective or restraining orders through a criminal or civil process should notify the University’s Title IX Coordinator, titleix@stanford.edu. The University will work with the victim and the person who is the subject of the restraining order to manage compliance with the order on Stanford’s campus.

Because the requirements and standards for finding a violation of criminal law are different from the standards for finding a violation of this Policy, criminal investigations or reports are not determinative of whether Prohibited Sexual Conduct, for purposes of this Policy, has occurred. In other words, conduct may constitute a violation under this Policy even if law enforcement agencies lack sufficient evidence of a crime and therefore decline to prosecute. Moreover, the filing of a complaint of Prohibited Sexual Conduct with the University is independent of any criminal investigation or proceeding. The University will not wait for the conclusion of any criminal investigation proceeding to commence its own investigation and/or to take interim measures to protect the Complainant and University community. Both a criminal investigation and a University investigation involving the same incident(s) may occur simultaneously.

A person who wishes specific information about legal options should consult a private attorney or advocacy organization. Please see Section 18, Resources, at the end of this policy.

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16. Education and Prevention

a. Bystander Intervention
Stanford University expects all members of the Stanford Community to be Active Bystanders against sexual violence. The following information is based on Bystander Intervention research being done at the University of New Hampshire and the guidelines developed by UNH. ("Bringing in the Bystander®" is a registered trademark of the University of New Hampshire on behalf of Prevention Innovations. Learn to recognize the signs of danger and learn how to intervene safely. Commit to being an Active Bystander.

1. Some simple steps to becoming an Active Bystander:

  • Notice the situation: Be aware of your surroundings.
  • Interpret it as a problem: Do I recognize that someone needs help?
  • Feel responsible to act: See yourself as being part of the solution to help.
  • Know what to do: Educate yourself on what to do.
  • Intervene safely: Take action but be sure to keep yourself safe (see next step).

2. How to Intervene Safely:

  • Tell another person. Being with others is a good idea when a situation looks dangerous.
  • Ask person(s) you are worried about if they are okay. Provide options and a listening ear.
  • Distract or redirect individuals in unsafe situations.
  • Ask the person(s) if they want to leave. Make sure that they get home safely.
  • Call the police (911) or someone else in authority or yell for help.

3. What can my friends and I do to be safe?

  • Take care of each other.  Remember these tips when you are out.
  • Have a plan.
    Talk with your friends about your plans BEFORE you go out. Do you feel like drinking? Are you interested in hooking up? Where do you want to go? Having a clear plan ahead of time helps friends look after one another.
  • Go out together.
    Go out as a group and come home as a group; never separate and never leave your friend(s) behind.
  • Watch out for others.
  • If you are walking at night with friends and notice a student walking alone in the same direction, ask the person to join you so no one is alone.
  • Diffuse situations.
  • If you see a friend coming on too strong to someone who may be too drunk to make a consensual decision, interrupt, distract, or redirect the situation.  If you are too embarrassed or shy to speak out, get someone else to step in.
  • Trust your instincts.
  • If a situation or person doesn’t seem “right” to you, trust your gut and remove yourself, if possible, from the situation.

b. Education Resources
Stanford University provides resources for education about and prevention of Prohibited Sexual Conduct. Incoming students participate in online training before arriving at Stanford and undergraduates participate in a series of educational events during New Student Orientation. Throughout the year both undergraduates and graduates are invited to participate in programming on the prevention of Prohibited Sexual Conduct. Students, faculty and staff are urged to take advantage of on-campus prevention and education resources (both University-supported and student-led) and are encouraged to participate actively in prevention and risk reduction efforts.

  • Office of Sexual Assault & Relationship Abuse Education & Response (SARA) (650-725-1056) provides comprehensive and consistent response to incidents of sexual and relationship violence to the campus community. SARA provides case consultation to students and staff, case management for reported assaults and information and referrals to services on and off campus. The office also assists with educational outreach and training to increase awareness, sensitivity, and community accountability in the prevention of these acts. Online information is available at the SARA Office.
  • Sexual Harassment Policy Office (650-724-2120) provides training programs regarding sexual harassment for the campus community. Some programs are required for faculty, staff supervisors, instructors and newly hired staff. Information is available at http://harass.stanford.edu.
  • Stanford University Department of Public Safety (650-723-9633) conducts educational programs and distributes educational literature to students, faculty and staff.
  • Students United for Risk Elimination (SURE) (650-725-SURE) is an evening golf cart escort service for students, faculty and staff designed to enhance safety for the campus community.

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17. Public Release of Information

a. Public Information
Requests for information concerning an incident of Prohibited Sexual Conduct should be directed to the Stanford University News Service (650-723-2558) or the Stanford University Department of Public Safety (650-723-9633).

b. Public Notification of Incidents
As required by state and federal law, the Stanford Department of Public Safety must collect and report annually statistical information concerning sexual assaults occurring in its jurisdiction. To promote public safety, the Department also alerts the campus community to incidents and trends of immediate concern.

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18. Resources

The University is committed to providing information regarding on- and off-campus services and resources to all parties involved. A comprehensive website dedicated to Prohibited Sexual Conduct awareness, prevention and support can be found at https://sexualviolencesupport.stanford.edu.

Confidential Campus Resources
The following resources have the ability to keep a victim's name confidential and anonymous. Reporting an incident of Prohibited Sexual Conduct to one of these resources will not lead to a university or police investigation.1

• Stanford University Confidential Support Team:
• YWCA Rape Crisis Hotline:  
• Counseling and Psychological Services (CAPS)--students only:
• Faculty Staff Help Center (faculty and staff only):
• Office for Religious Life:
• University Ombuds:
• School of Medicine Ombuds:   
(650) 725-9955 or (650) 736-6933
(650) 493-7273 or (408) 287-3000
(650) 723-3785
(650) 723-4577
(650) 723-1762
(650) 723-3682
(650) 498-5744

1 Individuals who meet the definition of a mandated reporter under California Penal Code 11165.7, 11166 and 11167 must report those incidents of child abuse and neglect. A person under the age of 18 years of age is considered to be a child.
 

Medical Resources2

• Vaden Health Center:
• Stanford Health Care Emergency Department:
• Santa Clara Valley Medical Center (medical-legal exam): 
• Planned Parenthood Mountain View:             
(650) 498-2336, ext. 1
(650) 723-5111
(408) 885-5000
(650) 948-0807

2 Pursuant to California Penal Code 11160, medical clinicians are required to notify the police if they observe physical injuries they believe were caused by assaultive conduct, including sexual assault.
 

Campus Resources3

• Jill Thomas, Title IX Office/Title IX Coordinator:
   titleix@stanford.edu
   Kingscote Gardens
   419 Lagunita Drive
   Stanford, CA 94305
SARA Office:
  saraoffice@stanford.edu

(650) 497-4955

(650) 725-1056 or
(650) 725-9129
 Residential Education/House Staff:
(Residence Deans, Resident Assistants,
Peer Health Educators, Resident Fellows).
If there is no answer or if you have an urgent, after-hours issue,
contact the campus operator at (650) 723-2300 and ask to be
connected to the Undergraduate Residence Dean on call.
(650) 725-2800
Graduate Life Office Deans:
If there is no answer or if you have an urgent, after-hours issue,
call the 24-hour pager: (650) 723-8222, pager ID 25085.
(650) 736-7078
Office of Community Standards:
Office of the General Counsel: 
Sexual Harassment and Policy Office:
(650) 725-2485
(650) 723-9611
(650) 724-2120
Human Resources:
General:
School of Medicine:
SLAC:

(650) 725-8356
(650) 497-2750
(650) 926-2358

 3 These resources are obligated to report Prohibited Sexual Conduct to the Title IX Office when the Complainant or the Responding Party is a student.
 

Legal and Advocacy Resources

• YWCA Rape Crisis Hotline:

• YWCA Silicon Valley Domestic Violence:
• Next Door Solutions to Domestic Violence: 
• Community Solutions:

• Santa Clara County District Attorney's Office
Sexual Assault  Investigations Team:
• Santa Clara County District Attorney's Office
Domestic Violence Investigations Team:
• National Domestic Violence Hotline:
• Rape, Abuse & Incest National Network Hotline:
• Bay Area Legal Aid:

(650) 493-7273 or
(408) 287-3000
(800) 572-2782
(408) 279-2962
(877) 363-7238

(408) 792-2516

(408) 792-2551

(800) 799-SAFE
(800) 656-HOPE
(650) 358-0745

Restraining Order Information for San Mateo County, including additional referrals
Restraining Order Information for Santa Clara County, including additional referrals

 

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1.7.4 Equal Employment Opportunity, Non-Discrimination, and Affirmative Action Policy

Last updated on:
11/20/2017
Formerly Known As Policy Number: 
2.2.1

The policies in this Guide Memo are fundamental to Stanford University's employment policies.

Authority: 

Approved by the President of the University.

Applicability: 

This policy applies to all faculty, staff and others who participate in Stanford programs and activities including Stanford affiliates providing services to Stanford such as mentors and volunteers, and other third parties, such as contractors and vendors. Its application includes Stanford programs and activities both on and off-campus, including overseas programs.

1. Equal Employment Opportunity

It is the policy of Stanford University to provide equal employment opportunities for all applicants and employees in compliance with all applicable laws. This policy applies in all aspects of the employment relationship including (but not limited to) recruiting, selection, placement, supervision, working conditions, compensation, training, promotion, demotion, transfer, layoff, and termination. All university personnel policies, procedures, and practices must be administered consistent with the intent of this policy.

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2. Protection against Discrimination

(a) Stanford University does not discriminate on the basis of race, religious creed, color, national origin, ancestry, physical or mental disability, medical condition, genetic information, marital status, age, sex, sexual orientation, gender, gender identity, gender expression, military status, veteran status, or any other characteristic protected by law, in connection with any aspect of employment at Stanford.


(b) Harassment on the basis of any legally protected characteristic is a form of discrimination and is likewise prohibited by this university policy. Prohibited harassment occurs if a hostile environment has been created that is sufficiently severe, pervasive, or persistent so as to unreasonably interfere with a person's work performance or participation in university activities.

Prohibited harassment may take the form of (but is not limited to) offensive slurs, jokes, and other offensive oral, written, computer-generated, visual or physical conduct which is aimed at an individual or group because of their protected status.

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3. Affirmative Action

As a matter of institutional policy and consistent with its obligation as a federal government contractor, Stanford University is committed to principles of diversity and affirmative action, and will comply with all affirmative action requirements in accordance with law.

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4. Resources

(a) Employees or applicants who believe they have been discriminated against, harassed, or retaliated against in violation of this policy may direct their complaint to any of the following:

  • the Office of Diversity and Access at equalopportunity@stanford.edu or 650-723-0755,
  • their local Human Resources office,
  • their supervisor,
  • University Human Resources/Employee & Labor Relations at stanfordelr@stanford.edu or 650-721-4272,
  • the Senior Associate Provost for Institutional Equity & Access at 650-721-1084,
  • the School of Medicine Office of Employee Relations at med.stanford.edu/hrg.html or 650-497-2750, or
  • the SLAC Manager of Employee Relations and Training at 650-926-2358.

(b) Concerns regarding sexual harassment or consensual sexual or romantic relationships in the professional or academic workplace may also be made to the Sexual Harassment Policy Office (650-724-2120 or harass@stanford.edu) or to any Sexual Harassment Adviser listed at harass.stanford.edu. See Guide Memo 1.7.1.

(c) Concerns regarding gender or sex discrimination (including sexual harassment, sexual misconduct, sexual assault, relationship (dating and domestic) violence and stalking) involving students should be made to the Title IX Office at titleix@stanford.edu or 650-497-4955. See Guide Memo 1.7.3.

(d) Concerns regarding conduct believed to be unethical or unlawful may be made to the University Compliance and Ethics Office at compliance@stanford.edu or 650-721-2667.  Anonymous concerns of any type can be submitted to the Compliance and Ethics Helpline (at helpline.stanford.edu). 

(e) Confidential Resources: The University Ombuds at 650-723-3682, the School of Medicine Ombuds at 650-498-5744, and the Faculty & Staff Help Center at 650-723-4577 are also available as confidential resources to discuss concerns for staff. Confidential resources for students include the University Ombuds at 650-723-3682, the School of Medicine Ombuds at 650-498-5744, Counseling and Psychological Services at 650-498-2336, and the Confidential Support Team at 650-725-9955, who specialize in sexual violence and domestic/dating violence. Anonymous complaints and/or discussions with a confidential resource described in this paragraph will not constitute “notice” to the university.

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5. Internal Reporting

For faculty and staff concerns, reports of discrimination, harassment, or retaliation should be made orally or in writing and as soon as possible to the local Human Resources office. The earlier the report, the easier it is to investigate and take appropriate remedial action. Supervisors and responsible employees as identified in Guide Memo 1.7.3 are expected to report any complaints of discrimination, harassment, or retaliation of which they are aware. Remedial actions can include direct communication with the other person, third party intervention by a human resource professional or other staff member, or, where facts are in dispute, an investigation.

Making a false report or providing false information may be grounds for discipline in the absence of a good faith belief that the report/information is true.

The university is committed to promptly and fairly investigating and remediating claims of discrimination, harassment, and retaliation. Investigations are conducted as necessary by impartial and qualified personnel and will reach conclusions based on the evidence collected. Unless otherwise required by law, the guideline for investigations to conclude is 90 days; however, this timeline may be extended in some cases, such as complex matters or where there are unforeseen circumstances. Personnel conducting investigations will document and track investigations for reasonable progress and timely closures. If inappropriate conduct or misconduct is found, appropriate corrective and/or disciplinary action will be taken. All individuals covered by this policy are expected to fully and truthfully cooperate in the investigation of any claim of discrimination, harassment, or retaliation. Failure to cooperate and/or be truthful in an investigation when requested may be grounds for discipline.

Depending upon an individual's category of employment (e.g., faculty, academic staff, regular staff, postdoctoral scholar, etc.) and the nature of the complaint, applicable grievance or other procedures also may be used to report complaints or to appeal findings of an investigation.

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6. Confidentiality

The university recognizes the importance of confidentiality.  Personnel responsible for implementing this policy will respect the confidentiality and privacy of individuals reporting or accused of discrimination, harassment, and retaliation to the extent reasonably possible. Examples of situations where confidentiality cannot be maintained include circumstances when the law requires disclosure of information and/or when disclosure by the university is necessary to protect the safety of others.

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7. Protection Against Retaliation

Stanford University policy prohibits retaliation against individuals who raise concerns of perceived discrimination or harassment or who participate in the investigation of any claim of discrimination or harassment. Retaliation is any materially adverse action that would dissuade a reasonable person from making or supporting a claim of harassment or discrimination. Retaliation violates the law and Stanford’s policy. Retaliation can be direct such as changing an employee’s work location, work assignments, pay or schedule, or it can be indirect such as intimidating, threatening, or harassing an employee who has raised a claim or participated as a witness in an investigation. All parties to a concern are prohibited from engaging in intimidating actions directly or indirectly through other persons. 

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8. External Reporting

Discrimination, harassment, and retaliation is prohibited by state and federal law. In addition to the internal resources described above, individuals may pursue complaints directly with the government agencies that deal with unlawful discrimination, harassment, and retaliation claims, e.g., the U.S. Equal Employment Opportunity Commission (EEOC), the U.S. Department of Education's Office for Civil Rights (OCR), and/or the State of California Department of Fair Employment and Housing (DFEH). A violation of this policy may exist even where the conduct in question does not violate the law.

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1.8.1 Protection of Minors

Last updated on:
05/25/2017
Authority: 

This Guide Memo is approved by the Vice President for Human Resources.

Applicability: 

This policy applies to all university departments and organizations. Athletic camps, academic camps, licensed childcare facilities, instructional programs, and other organized programs and activities intended for Minors are within the scope of this policy, whether they are limited to daily activities, involve the housing of minors in residence halls, or take place off campus as part of a program directed or sponsored by Stanford (“Covered Programs”).

1. Definitions

“Minor”: Any person under the age of 18.

“Covered Program”: Any activity directed or sponsored by Stanford and intended for Minors. Covered Programs also include programs and activities intended for Minors that are operated by a third party organization on Stanford’s campus. Covered Programs do not include: single performances or events open to the general public not targeted toward Minors, events or social functions that may be attended by Minors who are accompanied by their parents/guardians, or organized school field trips or tours  where Minors are under the supervision of an authorized adult or adults.

“Program Staff”: Administrators, faculty, staff, students, and volunteers who work directly with, supervise, chaperone or otherwise oversee Minors in Covered Programs.

“Live Scan”: The required method of criminal background check for Program Staff working with Minors. This method uses a fingerprinting device. For information on conducting a Live Scan check, contact University Human Resources.

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2. Purpose and Scope of Policy

  1. Stanford University is dedicated to the welfare and safety of all persons who participate in university-sponsored events. However, because Minors are a particularly vulnerable population, Stanford takes extra precautions to protect Minors who participate in activities and programs on Stanford’s campus or under the authority and direction of the university at other locations. Stanford expects all members of the university community to adhere to and act in accordance with this policy.
  2. This policy describes the responsibilities of Program Staff and informs all members of the university community of their obligation to report any instances of known or suspected abuse or neglect of Minors. Failure to comply with the requirements set forth in this policy may lead to disciplinary action (up to and including termination) and/or revocation of the opportunity to use Stanford facilities and land.
  3. Although Stanford is committed to the welfare and appropriate treatment of all Minors, the administrative requirements of this policy do not apply to programs or activities involving:
    • Matriculated Stanford students who are Minors.
    • Minors who are employed at Stanford. However, if a minor employee will be working in a Covered Program, they will be required to complete a background check and training as required by this policy.
    • Minors participating in Institutional Review Board approved research.
    • Patient care-related activities pertaining to Minors at Stanford Hospital or Lucile Packard Children’s Hospital. These activities are addressed in relevant health care policies.
  4. The Program Staff background check and training requirements of this policy do not apply for individual events lasting one day or less. However, these events must still be registered with Stanford Conferences and have adequate adult supervision, and Program Staff must abide by Stanford's Guidelines for Appropriate Behavior with Minors. In addition, Program Staff for these events must include at least one identified adult staff person present at all times who has a current background check on file.
  5. In the event an exception to this policy appears to be necessary, the unique facts of the situation and business necessity should be discussed in advance with University Human Resources. When necessary, cognizant Vice Presidents, Vice Provosts, or university officers will be included in the decision making of proposed exceptions. Exceptions to this policy must be approved by the Vice President for Human Resources.

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3. Minors Not Participating in University-Sponsored Activities

  1. Stanford, as a research university, is generally not a proper environment for Minors unless they are participating in an authorized program or activity and adequately supervised by adults who have the appropriate training and credentials. Accordingly:

1. Stanford students who have a Minor relative, friend or other guest stay with them on campus must comply with the Guest Policy in their Residence Agreement. Minor guests must be accompanied in the residence by their host, and must be registered with the Housing Front Desk when required under the Guest Policy.

2. Daycare or babysitting services are not permitted except if provided by one of Stanford’s NAEYC-accredited Early Education and Childcare centers, or by a licensed vendor who complies with all state licensing requirements and is authorized by Stanford to offer the services.  In-home childcare arrangements in private residences located on Stanford lands are permitted.

3. Pursuant to other university policies and/or Federal and/or State laws and regulations, Minors should not be present in certain facilities and environments. If a parent or guardian brings their minor child to work, the parent or guardian is responsible for the Minor’s welfare and must ensure that the Minor child does not visit such restricted locations.

  1. In general, Minors should not be left unsupervised on Stanford’s campus. It is the responsibility of those who bring Minors to campus (including Program Sponsors or Third Party Program Directors) to ensure appropriate supervision. Certain Covered Programs for high school age students do allow limited unsupervised time on campus, with parental authorization and subject to any program rules and restrictions.

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4. Requirements for Sponsoring Covered Programs

  1. Register the Program

Each Covered Program, whether operated by the university or a third party, must have an identified Stanford department or other organization serving as the Program Sponsor, represented by a faculty or staff member from the sponsoring organization.

1. The Program Sponsor must register the program with Stanford Conferences and complete and sign a registration form. The registration form will require Program Sponsors to provide a description of the program, the expected age range and estimated number of attendees, and, for programs operated by a third party, the name and contact information for the director of that program (“Third Party Program Director”).

2. After the program is registered, the Program Sponsor or Third Party Program Director will be required to provide the names and contact information for planned Program Staff sufficiently in advance of the Covered Program start date to allow time for Program Staff to complete background checks and training as required by this policy.

3. The Program Sponsor or Third Party Program director is also responsible for obtaining required medical and emergency contact information and liability waivers from the parent/guardian of each participating Minor before they may participate in a Covered Program. Assistance with the registration process is available at http://protectminors.stanford.edu.

  1. Background Check Requirements for Program Staff Working with Minors

  1. Unless specifically excluded under this policy, all Program Staff must undergo a criminal background check before working with Minors in a Covered Program. For Covered Programs operated by a third party, the Third Party Program Director must ensure that a current criminal background check has been completed for all individuals who will be assisting with the Covered Program, and inform Stanford of any criminal history that was identified for any of these individuals. In the event that prior criminal history is revealed for any proposed Program Staff, a review committee comprised of University Human Resources, the local Human Resources office, Office of the General Counsel and/or Risk Management will assess background check results and, in consultation with the Program Sponsor as necessary, make a determination as to whether the individual should be allowed to work in the Covered Program.
  2. Volunteers who work directly with minors in Covered Programs but do not supervisor, chaperone, or otherwise oversee minors, and who have not undergone a Live Scan background check may be allowed to work in a Covered Program under the direct supervision of Program Staff who have current background checks on file. Such volunteers may not have unsupervised contact with any Minor.
  1. Required Training

  1. In recognition of the imperative of protecting minors, unless specifically excluded under this policy, all Program Staff should receive training regarding the following prior to the program start date:

  • Recognizing sexual abuse, child abuse and neglect and obligation and avenues to report suspected incidents

  • Appropriate ratio of adults to Minors

  • Appropriate behavior with Minors

  1. Training materials may be obtained from University Human Resources, or at http://protectminors.stanford.edu. If a sponsoring department or organization chooses to design and conduct its own training, the training at a minimum must cover the topics listed above and incorporate the materials provided by University Human Resources. Confirmation of attendance and completion of in-person training must be submitted to University Human Resources.

  2. For Covered Programs operated by third parties, the Third Party Program Director is required to ensure that all adults who will interact with Minors undergo training on these topics, understand their obligations, and agree to comply.

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5. Minimum Appropriate Staffing Ratio of Adults to Minors

Staffing needs for Covered Programs may vary depending on the type of program, the activities involved, and requirements imposed by the Program Sponsor. However, all Covered Programs must meet the following minimum staffing ratios:

Participant Age Number of Staff Number of Overnight Participants Number of Day-Only Participants
Appropriate Staffing Ratio of Adults to Minors
6-8 years 1 6 8
9-13 years 1 8 10
14-17 years 1 10 12

 

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6. Appropriate Behavior with Minors

Adults should be positive role models for Minors, and act in a caring, honest, respectful and responsible manner that is consistent with the mission and guiding principles of the university. The behavior of all members of the Stanford community is expected to align at all times with Guide Memo 1.1.1: University Code of Conduct. In addition, all members must abide by the university’s Guidelines for Appropriate Behavior with Minors, at http://protectminors.stanford.edu.

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7. Report Allegations of Inappropriate Behavior

"If you see something, say something." Every member of the university community has an obligation to report immediately instances or suspected instances of the abuse of or inappropriate interactions with Minors. This includes information about suspected abuse, neglect, or inadequate care provided by any Program Staff. Reports should be made to the Program Sponsor and University Human Resources/Employee & Labor Relations at (650) 721-4272.

Individuals identified as Mandated Reporters are legally obligated to immediately report known or reasonably suspected child abuse or neglect to authorities. A written report must be made to the same authorities within 10 hours. Mandated Reports making a report in good faith will be protected from criminal and civil liability for making the report. Further, it is the policy of the university that no person making a good faith report of suspected abuse or neglect will be retaliated against in the terms and conditions of employment or educational program. More information about Mandated Reporters may be found at https://hr.stanford.edu/processes/mandated-reporter.

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2.1.1 Staff Personnel Policies

Last updated on:
09/01/2011
Formerly Known As Policy Number: 
22

This policy describes general information on the development of, administration of, and decisions about personnel policies at Stanford University.

Authority: 

Approved by the Vice President of Human Resources.

1. Purpose

Staff personnel policies and procedures have been developed on topics that are:

  • Required to comply with applicable laws and regulations, and/or
  • Considered essential in an organization the size and scope of Stanford.

The policies and procedures are intended for supervisors and administrators to:

  • Provide guidance for consistent personnel actions and decisions, and
  • Establish generally applicable performance and behavior expectations in the workplace.

For employees, violation of any policy or procedure described in Chapter 2 (or any other applicable University policy or procedure) may result in disciplinary action up to and including termination.

Many of these policies extend to students and others who work for, or provide services to Stanford. Disciplinary action for these community members are delegated to the appropriate authority.

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2. Policy Authority

a. Policy Development
Personnel policies are approved and authorized by the Vice President of Human Resources, in consultation with Vice Presidents, Vice Provosts and other University officials.

b. Policy Revisions
Send proposals for policy changes to the Vice President of Human Resources for study and recommendation. Approved changes are published in the Administrative Guide and may be communicated in the Stanford Report or by written notice to officers and administrators. Changes in policies for benefit plans (e.g., health, life insurance, disability, and retirement) are reflected in the summary plan descriptions and brochures of the individual plans.

c. Policy Interpretation
Questions regarding policy interpretation should be brought to the attention of senior management and/or your local Human Resources office.

d. Alleged Policy Violations
Suspected policy violation information should be brought to the attention of local senior management and/or local Human Resources office.

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3. Administration of Staff Personnel Policies

University officers and administrators, both academic and nonacademic, are responsible for the administration of University policies and procedures including those applicable to staff. Supervisors who work for officers and administrators are responsible for ensuring that individual employees receive information about personnel policies and procedures as well as providing policy interpretations and/or referrals to appropriate resources.

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4. Exceptions to Personnel Policies

In the event an exception to established policy appears to be necessary, the unique facts of the situation should be discussed in advance with an appropriate representative from Human Resources, usually an Employee Relations Representative. When necessary, cognizant Vice Presidents, Vice Provosts or University officers will be included in the decision-making of proposed exceptions. Exceptions to personnel policies must be approved by the Vice President of Human Resources, or his/her designee.

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2.1.2 Recruiting and Hiring of Regular Staff

Last updated on:
12/14/2017
Formerly Known As Policy Number: 
22.1

This policy reviews all phases of the recruiting and hiring process and the corresponding areas of responsibility.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

All regular staff of the University and SLAC (as defined in Admin Guide Memo 2.2.1: Definitions), with some limitations:

  • Bargaining Unit—For policies specific to employees covered by collective bargaining agreements, see agreements at Labor Relations & Collective Bargaining
  • SLAC National Accelerator Laboratory (SLAC)—Some procedures in this policy do not apply at SLAC. For procedures specific to SLAC, contact SLAC's Human Resources Department.
  • Hospital—"Hospital" refers to both Stanford Health Care (SHC) and Lucile Packard Children's Hospital (LPCH). The hospitals are separate employers, each with its own policies and procedures. Contact SHC or LPCH Human Resources.
Purpose: 
  • To provide policies and guidance that support recruiting and hiring a diverse and talented workforce. To accomplish this, Stanford strongly encourages hiring supervisors to develop the broadest possible applicant pool allowing the best and the brightest candidates—internal and external—to fairly compete for all open positions. Through fair and open competition and application of equitable evaluation criteria, Stanford hires the best available candidates.
  • To meet University policies and practices and comply with federal and state regulations.

1. General Recruiting and Hiring Responsibilities

a. University Human Resources
University Human Resources is responsible for developing, monitoring and overseeing employment policies and providing the University with support services necessary to attain staffing objectives.

b. Local Human Resources Manager
Local Human Resources Manager is the person responsible for administering recruiting and hiring policies for each organization.

c. Hiring Supervisors
Hiring Supervisors are those faculty and staff designated to make staff hiring decisions. Hiring supervisors are responsible for making such decisions in accordance with the policies and procedures established by the University and set forth in this Guide Memo. Each hiring supervisor is accountable for his/her actions in matters relating to applicable sections of this policy, compliance with federal and state regulations governing employment, and performance in achieving affirmative action program goals. Questions on these policies that cannot be resolved at the local level should be referred to the Vice President for Human Resources.

Guide to Supervisors

Typical responsibilities for University Human Resources

  • Conducts full-service recruiting and recruitment programs
  • Develops recruitment and hiring-related programs
  • Consults on recruitment strategies, compliance, diversity, selection and on-boarding
  • Administers online recruiting systems and websites
  • Ensures regulatory compliance; administers recruiting and hiring policies
  • Oversees contingent staffing, international hiring, background checks, third party management (including executive search firms)

Typical responsibilities for Local Human Resources Managers

  • Represents needs of the unit to University HR
  • Develops programs to support local recruiting needs
  • Consults on, and facilitates, the recruiting process within the local unit and between the local unit and University HR
  • Conducts and coordinates position searches, including selection and use of employment search firms
  • Emphasizes the need to ensure affirmative action goals are considered by hiring supervisor
  • Implements and administers recruitment and hiring policies

Typical responsibilities for Hiring Supervisors

  • Makes selection and hiring decisions within the stipulated policies and parameters, including reviewing resumes, interviewing candidates, conducting reference checks, and documenting process and decisions
  • Implements recruiting and staffing policies, programs and processes locally
  • Contributes toward the achievement of affirmative action goals

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2. Recruiting and Hiring Policies

a. Equal Employment Opportunity & Affirmative Action
In accordance with all applicable law, it is the policy of University to:

  • Comply with all affirmative action requirements, and
  • Provide equal employment opportunities for all applicants and employees.

Guide to Supervisors

All employees in a position to make hiring decisions (“hiring supervisors”) are expected to comply with the “Equal Employment Opportunity Statement” distributed annually by the University’s Diversity & Access Office and Guide Memo 1.7.4: Equal Employment Opportunity, Non-Discrimination, and Affirmative Action Policy ' provision on “Equal Employment Opportunity and Affirmative Action Policy.”

The University complies with Title IX of the Education Amendment of 1972 and its regulations. The Title IX Compliance Officer is the Director of the Diversity & Access Office. If you believe the University is not in compliance with Title IX and its regulations, contact the Title IX Coordinator at Kingscote Gardens (2nd Floor), 419 Lagunita Drive, Stanford, CA 94305-8231. Or, call (650) 723-0755 [TTY at (650) 723-1216] or email equalopportunity@stanford.edu.

b. Employment Rights and Preferences of Former and Current Regular Staff
The University gives current and former regular staff certain reemployment rights and preferences described below:

(1) Right to Reemployment or Return to Active Employment
(a) Definition
The right of a former regular staff to reemployment or return to active employment in his/her former University position to the extent required by law.
(b) Who Qualifies
Reemployment rights extend to former regular staff who:

  • Terminated employment to serve in the military. A department that receives an inquiry about reemployment of a former employee returning from the Armed Services should consult with an Employee Relations Representative.
  • Returns from a leave of absence on or before the agreed upon return date (e.g., military, childbirth, family, medical) when the leave was formally requested and granted in accordance with University policy.

(2) Hiring Preference
The University is committed to hiring the best qualified candidate for the job. When the qualifications stated in the job listing and predetermined job-related selection criteria are used to determine each candidate's qualifications, and more than one qualified candidate competes for a job, the employment offer must be extended first to the candidate who has preference according to 2.b.3 below.

(3) Order of preference
Follow this order when considering substantially equal candidates:

(a) First Preference:
Regular staff who have been given written notice of permanent layoff or who are permanently laid off under the policies in Guide Memo 2.1.17: Layoffs. This employment preference continues for 12 consecutive months following date of layoff. Layoff preference also applies to regular staff whose positions are being eliminated and who have been informed that they will be laid off if they do not obtain alternative employment in the same department/administrative unit.
(b) Second Preference:
Current regular staff who meet the qualifications for the position and for whom placement in this job would constitute a promotion, or who have successfully completed a formal training program for the specific job.
(c) Third Preference:
Current temporary or casual employees on the Stanford payroll applying for a position in the same work group reporting to the same supervisor where the employee currently works in a temporary or casual role.

Guide to Supervisors

Policy conflicts may occur between consideration of the hiring preferences and consideration of affirmative action goals. In these circumstances, consult with the local Human Resources Office before making an offer of employment.

c. Employment of Related Persons
Employment by a related person in any position (e.g., regular staff, faculty, other teaching, temporary, casual, third party, etc.) within an organizational unit can occur only with the approval of the responsible Vice Provost, Vice President (or similar level equivalent to the highest administrative person within the organizational unit), or his/her designee. Under no circumstances may a supervisor hire or approve any compensation action for any employee to whom the supervisor is related. An individual may not supervise, evaluate the job performance, or approve compensation for any individual with whom the supervisor is related.

Even when the criteria discussed here are met, employment of a related person in any position within the organization must have the approval of the local human resources office, in addition to the approval of the hiring manager's supervisor, including faculty supervisors. 

Guide to Supervisors

Employment by a related person in any position (e.g., regular staff, faculty, other teaching, temporary, casual, third party, etc.) within an organizational unit can result in an actual or perceived conflict of interest and is strongly discouraged.

The university recognizes that relationships may develop in the workplace. The university expects its employees to disclose relationships as appropriate, and specifically in the case of direct reporting relationships and/or potential conflict of interest situations. Failure to properly disclose a relationship or family connection may lead to corrective action measures being taken.

All of the above requirements also apply to employing and hiring those with consensual sexual or romantic relationships. In addition, consensual sexual or romantic relationships must also be disclosed in compliance with section 4 in Guide Memo 1.7.2: Consensual Sexual or Romantic Relationships In the Workplace and Educational Setting.

Definition of Related Person—The employee’s spouse; same-sex domestic partner; children of the employee, spouse or same-sex domestic partner; parents and parents-in-law; parent surrogate; brothers and sisters of the employee; grandparents and grandchildren of the employee; and, any other dependent family member who lived in the employee’s residence.

d. Rehiring Former Regular Staff
Regardless of the reason for rehire, all former staff must serve a new Trial Period, including those former staff who meet the reinstatement criteria set forth below.

(1) Reinstating the Hire Date:
Former regular staff will have their hire date reinstated if they left the University in good standing and meet these timelines:
(a) Former regular staff who has been laid off and is reemployed by the University within 24 months following the date of layoff will have the most recent hire date prior to layoff reinstated.
(b) Former regular staff whose employment was terminated for reasons other than layoff will have the most recent date of hire prior to termination reinstated if reemployment occurs within 12 months following the date of termination. Reinstatement includes all of the following:

  • Bridging of service by restoring the most recent hire date in a benefits-eligible position before termination,
  • Restoration of any sick leave balance at the time of termination, and
  • Vacation accrual rate based on the reinstated hire date.

(2) Rehire After Involuntary Discharge
If a regular staff member was terminated from the University for cause, supervisors must consult their local HR Office and Employee Relations Representative before rehire or reinstatement. An individual who was terminated for gross misconduct is not eligible for rehire.

Guide to Supervisors

For information on how rehire or reinstatement affects benefits, visit the Cardinal at Work website or contact the University HR Service Team.

Hiring Hospital Employees—See Guide Memo 2.1.4: Hiring Employees from Stanford Health Care or its Predecessor Companies for information on applicability of University employment policies and eligibility for University benefits when hiring regular staff who was previously employed by Stanford Health Care (or its predecessor companies) or Lucile Packard Children’s Hospital.

e. Age as a Hiring Factor
Age (except for persons under 18 who have not graduated from high school) may not be used as a factor in hiring unless it can be shown as a necessary job qualification.

f. Employment of Minors
Before an offer of employment is made, the hiring department must obtain a work permit for applicants under age 18 years who have not graduated from high school. A permit is obtained from the applicant's school district and is retained in the department file.

Guide to Supervisors

The Fair Labor Standards Act (FLSA) and California law restricts the hours and conditions of employment for minors. Because restrictions on the employment of minors can be complex, supervisors should consult with their local Human Resources Office about specific cases. General restrictions include:

  • Except as part of approved University programs (e.g., Take Our Children to Work Day), minors are not permitted to visit in areas where they would not be permitted to work as employees.
  • Minors ages 16-17: In addition to the above, prohibited from working on hazardous jobs. No other restrictions.
  • Minors ages 14-15: In addition to all the above, during school session, cannot work more than 3 hours/day, 18 hours/week. During school vacation, cannot work more than 8 hours/day, 40 hours/week.
  • Minors under age 14: In addition to all the above, prohibited from most non-agricultural work.

 

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3. Policies And Practices—Search Phase

a. Job Descriptions
Before a job description is entered into the HR Applicant Tracking system:

(1) Hiring supervisor's responsibilities: Identify the functions of the job, define and describe the duties and responsibilities of the position, include required regulatory training, develop and document objective criteria for the selection process, and obtain local Human Resources Office's confirmation of position level and salary range. For guidance, visit Staff Compensation. Qualifications cannot unnecessarily prevent or lessen the employment opportunities for any class of applicants or potential applicants, as identified in Section 2.b.
(2) Local Human Resources Office's responsibilities: Reviews the Position Summary for clarity and content, classification and salary range, and ensures that the job description is entered into the HR Applicant Tracking system. The job requisition is also reviewed for appropriateness of posting.

Guide to Supervisors

Selection Criteria—Use the job description and other relevant criteria established by the hiring supervisor (including education, experience, essential skills, abilities and competencies) to screen applicants and aid in the selection process.

b. Announcing Job Openings
(1) Local Human Resources Offices
All regular staff vacancies must be listed with the appropriate Human Resource office.

  • For SLAC, SLAC Human Resources Department.
  • For campus and School of Medicine, Staffing Services in University Human Resources. Staffing Services announces all openings on Stanford Careers and may use other media as appropriate.

(2) Temporary Employment
Non-regular staff vacancies that do not lend themselves to employment of Stanford students due to the nature of the work and work schedule, may be listed with commercial temporary employment services and/or StanfordTemps.

(3) Text of Advertisements
Advertising and other notification of vacancies must be non-discriminatory and must include reference to the University's commitment to affirmative action and equal opportunity: “Stanford is an equal opportunity employer and all qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by law.”

c. Posting Period
(1) Definition
A posting period is the period during which information about the job opening is made available and applications are accepted. Generally, postings should not exceed six months except where the hiring supervisor is actively seeking and reviewing applications for the position.
(2) Length of Posting Period
All vacant positions except those filled through an approved posting period waiver (see Section 3.d for information on waivers) are posted online for a minimum of 10 calendar days. The posting period begins when the approved online requisition updates the Applicant Tracking system. Applications are accepted through the full posting period.
(3) Changes in Posting Period
Posting periods may not be shortened or eliminated except through the waiver process (see Section 3.d). Posting periods may be extended at the hiring supervisor's discretion and applications may be accepted beyond the posting period at the supervisor's discretion.
(4) Timing of Employment Offer
Offers of employment may not be made until after the expiration of the posting period or an approved waiver of posting (see Section 3.d).

d. Waiver of Posting
All regular staff vacancies not posted for the minimum posting period must have an approved waiver of posting before an employment offer can be made. The local Human Resources Office may approve waiver requests. However, waiver requests for positions falling within job groups with affirmative action goals for the University must also be approved by the Diversity and Access Office.

Guide to Supervisors

For a list of considerations to help determine if a waiver is appropriate, go to the Staffing Services website.

The local Human Resources Office (HRO) is responsible for following the waiver policy. Every job posting should be reviewed to determine if it is within an EEO job category that is currently underutilized with respect to women and/or minorities for which the University has an affirmative action goal. In addition, approved waivers should meet the approval criteria outlined below. The HRO also ensures that waiver requests do not unduly restrict consideration of individuals with employment preferences, and that Staffing Services receives the waiver documentation in writing (preferably in the Applicant Tracking system).

The Diversity and Access Office will approve or deny waiver requests for positions that fall within EEO job categories for which Stanford has an affirmative action goal.

Approval Criteria—The hiring department must have consulted with Staffing Services to determine if qualified layoff candidates are available. The hiring department must document the reason for requesting the waiver. The local Human Resources Office may approve the waiver request if:

  • The department documents critical operational need, or
  • Affirmative action goals are not negatively impacted, or
  • There is a uniquely qualified/skilled applicant and it is unlikely a better qualified candidate would apply, or
  • The department can reuse a recent (within past six months) applicant pool for a comparable job likely to result in a similar pool.

Denial Criteria—The local Human Resources Office may deny a waiver request if it is determined that the requested action would be inconsistent with the University’s waiver or affirmative action policies.

e. Recruitment of Applicants

(1) Definition of an Applicant
Currently Stanford requires resumes for regular staff positions to be submitted through the Stanford Careers (or Jobs@SLAC) website. Consistent with this requirement, an applicant is defined as any person who meets all of these criteria:

(a) The individual submits a resume for a specific position through the Stanford Careers (or Jobs@SLAC) website,
(b) Stanford considers the individual for employment in a particular position,
(c) The individual's resume indicates the individual possesses the basic qualifications for the position, and
(d) The individual at no time during the selection process prior to receiving an offer of employment removes him/herself from further consideration or otherwise indicates that he/she is no longer interested in the position.

 (2) Equal Opportunity Policy 
With the assistance of Staffing Services and the local Human Resources Office, departments must make every effort to recruit qualified individuals for job openings, keeping in mind the University's commitment to equal opportunity and affirmative action, and any specific affirmative action goals (as opposed to quotas or preferences, which may not be used) established for specific classifications and departments.

(3) International Recruitment
Please review Section 6, International Hiring, before recruiting or hiring outside of the United States.

(4) Search Firms
In general, Stanford makes limited use of the services of executive search firms or employment agencies. In the instances where it is necessary to use such services (e.g., senior level vacancies), departments must consult with the local Human Resources Office before making any arrangement with an outside firm or agency.

Guide to Supervisors

The hiring supervisor is accountable for assuring that the firm or agency is fully informed with regard to its responsibility for meeting the University’s institutional affirmative action and record keeping responsibilities. Consultation on search firms is available from Staffing Services.

For a checklist on how to choose a search firm that meets Stanford’s requirements to provide a widely diverse selection of applicants and the ability to track the applicant pool, go to the Staffing Services website.

Receiving Electronic Resumes—Electronic resumes are submitted to Staffing Services using Stanford Careers. Staffing Services will send applications a written acknowledgement that his/her resume has been received. Electronic resumes are submitted to SLAC using Careers at SLAC.  

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4. Policies and Practices—Selection Phase

a. Employment Application Form

b. International Candidates
Please review Section 6, International Hiring, before selecting an international candidate.

c. Interviews
(1) Standard Administration—Hiring supervisors must ensure standard administration of the interview process, including the equivalent treatment of candidates, avoidance of discriminatory questions and uniform interview content.
(2) Accommodation—At the request of a disabled candidate, accommodation during the interview process may be required.

d. Testing
(1) Prior Approval—
All testing or screening devices used in the employment process must be approved by the AVP, Recruitment & Talent Management in consultation with the Diversity & Access Office, as appropriate. Only standardized, validated test instruments may be considered.
(2) Accommodations—At the request of a disabled applicant, accommodation to enable testing may be required.
(3) Applicability of Test—When used, approved tests must directly relate to essential job functions and be given to all applicants or finalists under the same or equivalent conditions. The test must be scored, evaluated and used as a selection factor equally for all applicants or finalists and maintained with other applications and selection materials.

e. Reference Checks
The hiring supervisor is required to obtain a minimum of two reference checks from previous employers. Reference checks must be part of the candidate’s evaluation and may be used as a factor in the hiring decision if the information is job-related. No offer of employment can be made before completing the hiring process, including reference checks.

GUIDE TO SUPERVISORS

The hiring supervisor must exercise caution to assure that:

  • The names of those contacted for references are retained in the search documentation with any unsolicited written references provided by the candidate,
  • Inconsistent or negative information obtained in a reference check is corroborated, if possible, before it is used in making a hiring decision, and
  • Reference information used in the hiring decision is job-related and can be shown to be a predictor of job performance.

Local Human Resources Offices may provide consultation.

f. False and/or Misleading Statements
Withdraw from consideration any applicant found to have misleading and/or false statements on the employment application or other documents.

g. Review of Personnel Files
Hiring supervisors have access to personnel files of current and former University employees who are finalists for the position. No offer of employment can be made before the hiring supervisor or Human Resources reviews the personnel files.

GUIDE TO SUPERVISORS

Contact the local Human Resources Office for details and assistance (see Guide Memo 2.1.3: Personnel Files and Data).

 

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5. Hiring Decisions, Offers and Documentation

a. Hiring Decisions
Hiring decisions for regular University staff positions are based on the relative job-related qualifications of the applicants for the positions, with full consideration of the employment rights and preferences specified in Section 2.b.

  1. The hiring supervisor is responsible for judging the relative qualifications of each applicant and for making the hiring decision, consistent with University policy and applicable governmental laws and regulations.
  2. The local Human Resources Office is responsible for reviewing proposed hiring decisions and for ensuring compliance with regulations, laws, and/or University employment policies.
  3. The Diversity & Access Office, if notified by an applicant or administrator regarding a particular opening, may delay a proposed hiring action for further review if it appears inconsistent with the University's Affirmative Action Program.

b. Employment Offers

(1) Timing of OfferEmployment offers should be made after:

  • The expiration of the posting period (or, after approval of a waiver request), and
  • The employment action (including in-hire salary) has received all required approvals.

(2) Conditional Offer of Employment—A written conditional offer of employment must be issued by the hiring department to the successful candidate using an approved offer letter template. Approved templates include those for standard hires, promotions and out-of-country hires. If a background check is required by policy, the written conditional offer of employment will inform the candidate that the offer is contingent upon successfully completing and passing a background check.

Guide to Supervisors

Workplace Accommodation—At the request of a candidate or applicant who has a disability, workplace accommodation may be needed. The hiring supervisor should refer to Guide Memo 2.2.7: Requesting Workplace Accommodations for Employees with Disabilities
 
Out-of-Country—If this is an offer of employment for the applicant to work in a primary site outside the U.S., Staffing Services will assist the local Human Resources Office with arrangements. See Section 6 for details on International Hiring.

c. Background Checks
Stanford may conduct background checks, as required by policy. Additional background checking may be required in some job classifications (e.g., Deputy Sheriffs). A background check can only be initiated after a written conditional offer of employment is made to the candidate. Local Human Resources Offices will provide information on specific requirements.

d. Criminal Records
A criminal record will not automatically disqualify a candidate from employment with the university. University Human Resources/Employee & Labor Relations will conduct an individualized assessment of any criminal record revealed during the background check process. If individual circumstances warrant, a candidate with a criminal record may be disqualified from employment.

e. Documentation and Record Keeping

(1) Pre-Employment
New, transferred, rehired or promoted employees may not start work in the new position until all appropriate forms have been signed and processed.

(2) Non-Selected Applicants

  • The hiring supervisor is responsible for oral or written notification to all non-selected applicants who were interviewed.
  • The hiring supervisor must ensure that all search summary records are completed, including indication of all applicants' status (disposition data) in the HR Applicant Tracking system. For more information, see the Staffing Services website.

(3) Completeness
Records must include the resume and application materials of all applicants for a position, as well as documents pertaining to individuals considered for the position.

(4) Patent and Copyright Agreement
All employees must complete a Patent and Copyright Agreement Form (SU18) as a condition of employment.

(5) Retention Time
The hiring department must retain records relating to a search, selection and employment decision for a minimum of three years following the decision. Should there be a dispute (grievance/litigation), the documents must be retained until the matter is resolved, if not resolved by the conclusion of the three-year period.

(7) More Information
For more information, see the Staffing Services website.

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6. International Hiring

Hiring, transfer or assignment of regular staff outside of the United States must be supported by a demonstrable University business purpose, and approved in writing by the cognizant School Dean or VP. Copies of such approvals should be forwarded to the Global HR Programs Manager in University Human Resources and the Global Business Director in Business Affairs.

Employees assigned or working outside of the United States are subject to local law as well as University policy and procedures when not in conflict with local law.

Guide to Supervisors

Employment Options—Employment regulations in other countries may be very different than the U.S. In light of operational and regulatory complexities, careful consideration should be given to the various employment options in satisfaction of programmatic requirements, before considering an international hire, transfer or assignment. 
Administrative Costs—Assignments outside of the United States typically involve significant additional administrative costs in light of the regulatory and operational complexity involved in such assignments. Accordingly, the supervisor hiring or assigning the employee outside of the United States is responsible for ensuring that the added administrative expense of such an assignment is covered by the applicable budget for the duration of the assignment.
 
Work Authorization—Work authorization and immigration issues may require significant lead-time, and HR managers are responsible for ensuring that appropriate documents are secured prior to foreign employment. The local Human Resources Office cannot process an assignment until the proper work authorization is obtained. All offer letters must be approved by the local Human Resources Office in consultation with the Global HR Programs Manager.
 
Consulting Arrangements—It should be noted with caution that what may appear to be a consulting arrangement by U.S. standards, could in fact constitute an employment relationship in a foreign country, potentially triggering employment, tax and other regulatory considerations.

In general, the same policies and practices are required for international hires as detailed in the ensuing guidelines for U.S. employment. However, local country norms and requirements take precedence, and it is the responsibility of local HR managers and the supervisor to ensure that the employee is apprised of such requirements prior to the effective date of the assignment. Assignments should be of a limited duration for the purpose of addressing tax, expatriate status and visa considerations.

Additional guidance may be obtained from the Global HR Programs Manager at globalhrprograms@stanford.edu in University Human Resources and/or the Global Business Director in Business Affairs.

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2.1.3 Personnel Files and Data

Last updated on:
09/09/2018
Formerly Known As Policy Number: 
22.2

The University maintains personnel information for each employee in order to have a complete, accurate and current record of the employee's salary and job history at the University. This guide memo sets forth policies and procedures to facilitate the establishment, use and maintenance of personnel data, in whatever form maintained.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to regular employees (as defined in Guide Memo 2.2.1: Definitions), Academic Staff - Research, and Academic Staff - Libraries. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements between Stanford University and SEIU Higher Education Workers Local 2007 and the Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining

While these policy statements are applicable to all University staff, the SLAC Human Resources Department maintains its own centralized personnel files and should be contacted for specific procedural information relating to personnel files for SLAC employees.

1. Definition

Employee Personnel Files are defined to include the application for employment, and records which are used or have been used to determine an employee's qualifications for promotion, compensation, termination, or disciplinary action. A detailed list of appropriate contents is provided in Section 3.

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2. Location

Because of the decentralized personnel function at Stanford, the documents which form an employee's personnel file can be found (1) on computerized record-keeping systems and/or digital imaging systems, (2) locally in the Dean's, Director's, Vice Provost's or Vice President's office, (3) in the department head's or supervisor's office, (4) in the Payroll office, and/or (5) at the Personnel Records area at SLAC. All such documents comprise the personnel file.

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3. Contents

Employee personnel files should contain only that information which is directly related to the employee's job duties, salary, performance and general employment history. Medical files, where applicable, must be maintained separately from other files (see Guide to Supervisors on next page). Listed in the three following subsections are many types of documents which, if they exist, are appropriate for retention in employee personnel files. Documents that have not been shared with the employee and the supervisor do not belong in the file(s).

a. Personnel Files and Data Maintained by the Department/Division:

  • Attendance and Absence Records (Note: At SLAC, these items are located in Payroll)
  • For areas that do not use PeopleSoft HRMS, and for periods of time that predate the implementation of PeopleSoft HRMS:
    • Leave of absence correspondence (includes vacation and PTO)
    • Time sheets: TTR, RHT, Hours Worked Record (SU-28); at SLAC, located in Payroll
    • Vacation and sick leave records; at SLAC, located in Payroll
    • Yearly leave records; at SLAC, located in Payroll
  • Offer and/or confirmation of employment letters
  • Classification review letters addressed to employee
  • Correspondence between employee and supervisor that relates to employment
  • Copies of compliance agreements and other University-required agreements, such as HIPAA and those related to use of patents or confidential personnel information/data
  • Disciplinary memos issued to employee
  • I-9 documents and supporting documentation (SLAC)
  • Job application and any attachments (resume, etc.)
  • Job descriptions
  • Job requisitions
  • Layoff notice issued to employee
  • Performance evaluations issued to employee; employee responses thereto
  • Personnel action forms (PAF)
  • Photo ID where required (SLAC)
  • Resignation letter
  • STAP forms and related documents
  • Termination notice issued to employee
  • Transfer or promotion requests
  • Years of applicable experience calculation

b. Payroll and Other Forms Maintained by Payroll:

  • Automatic bank deposit form
  • Disability insurance adjustment forms (DIA)
  • Long term disability vouchers
  • I-9 documents and supporting documentation
  • One-time payment and reduction forms
  • Time sheets (RHTs)
  • Special salary processing form
  • Wage attachments or garnishment notices (completed)
  • W-4 form

Guide to Supervisors—Supervisors are cautioned that “notes to the file” and other documentation not addressed to the employee do not belong in the employee personnel file. The following list provides some examples of the types of documents that should be retained, but separate from the personnel file.

Contact your local Human Resources office if you are ever in doubt of what to retain and/or where to retain it.

  • Auxiliary medical files:
    -Disability Claim Forms; SU-17: Accident/Injury Report
    -Physician evaluations
  • Communications from or to University attorneys
  • Employee settlement agreements
  • Employee lawsuits
  • Employee charges to outside agencies (EEOC, DFEH, OFCCP)
  • Employee Relations advice
  • Grievances, grievance responses, and grievance-related documents
  • Memos between management and the Compensation office
  • Personal financial information (loan applications)
  • Records relating to the investigation of a possible criminal offense

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4. Access and Use

Personnel files are confidential and access is limited to protect employee privacy. See:
Guide Memo 1.1.1: University Code of Conduct, section 3
Guide Memo 1.5.2: Staff Policy on Conflict of Commitment and Interest, section 2.b and 2.e
Guide Memo 6.1.1: Administrative Computing Systems, section 3.c
Guide Memo 6.2.1: Computer and Network Usage Policy
Guide Memo 6.4.1: Identification and Authentication Systems, section 5

a. Access by the Employee
Each employee may review their own local personnel files by requesting an appointment with the local Human Resources office during regular business hours. An employee may review their own Payroll and related forms by making an appointment with and presenting appropriate identification to the Payroll Office. At SLAC, make an appointment with the Personnel Records group in SLAC Human Resources.

A Human Resources or Payroll staff member will remain present during the time the file is reviewed, allowing sufficient inspection time commensurate with the volume of the file. The employee is permitted to take notes during the inspection. When requested by the employee, Stanford must provide copies of any document signed by the employee relating to the obtaining or holding of employment (i.e., performance evaluation or employment application). Copies of documents may be provided at the employee's expense.

b. Access by a Former Employee
A former employee of the University may have access to their file for up to two years after termination. Copies of documents may be provided at the former employee's expense.

c. Access by University Officials
University officers, managers, deans, department heads, Human Resources professionals, representatives of the General Counsel's office, and other University officials with a business need to do so may review individual files. This access is also extended to hiring officers within the University when the employee is a finalist for promotion or transfer.

d. Access by Summons/Subpoenas
Process servers with summons or subpoenas for documents contained in an individual employee's personnel file should be directed to Payroll, or to the Manager of Employee & Labor Relations at SLAC. Departments are not authorized to accept service of summons or subpoenas.

e. Outside Employment Verification Requests (Former and Current Employees)
Stanford does not respond directly to any employment verification requests. Stanford contracts with a third party service supplier to provide employment, salary, and immigration verification services. Employees should follow the instructions at Stanford's Gateway to Financial Activities for employment verification. Requests for information on SLAC employees should be referred to the SLAC Human Resources Department.

f. Access by Agents of the University
Agents of the University are required by contract to certify that University personnel data will be treated confidentially and only used for the purposes specified in the contract.

g. Requests for Employment References (Former & Current Employees)
Requests from outside the University for employment references should be directed to the local Human Resources office. Requests for information about SLAC employees should be referred to the SLAC Human Resources Department. Information other than the dates of employment and job classification requires the employee's written consent before the release of information.

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5. Maintenance and Retention

a. Current Employees
An employee's work history at Stanford may include service with many different departments. To streamline recordkeeping, the local personnel files should follow the employee from one department to the next, thereby creating a consolidated personnel file containing the employee's complete job history. Local personnel files must be kept in a secure location to prevent unauthorized access.

No one should be responsible for maintenance of their own personnel file or data. For example, the personnel file of a department or school's file administrator should be maintained by that individual's supervisor or manager, as appropriate.

b. Terminated Employees
The final department where a former employee worked is responsible for ensuring that appropriate records are retained for the requisite length of time. Records of former Stanford employees should be retained for eight years following the date of termination.

c. Destruction of Outdated Information
Personnel files contain confidential information and must be destroyed by shredding, incinerating or, in the case of digital records, purged by the system administrator. When the requisite period of data retention has passed, the records should be destroyed. Contact University Human Resources/Employee & Labor Relations or the SLAC Human Resources Department before the destruction or purging of any personnel information.

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2.1.4 Hiring Employees from Stanford Health Care or its Predecessor Companies

Last updated on:
09/01/2014
Formerly Known As Policy Number: 
22.3

This policy sets out the applicability of University employment policies and eligibility for University benefits in situations where an SHC employee becomes a University employee.

Authority: 

Approved by the Vice President of Human Resources.

Applicability: 

Applies to Stanford Health Care (SHC) employees who become University employees.

1. Overview

a. Background and Purpose
The University is separate and independent of Stanford Health Care (SHC). Each entity maintains its own Human Resources department, employment policies and employee benefits.

This Guide Memo explains when the hire date from Stanford Health Services (SHS), Lucile Packard Children's Hospital (LPCH), UCSF Stanford Health Care (USHC), or SHC will be used instead of the new University hire date for certain University benefits for eligible employees.

b. Definitions
For purposes of this Guide Memo, the following definitions apply:

  • Employed—earning wages or on an approved leave of absence from a regular position eligible for health and welfare benefits with the applicable employer.
  • SHS Hire Date—the actual date of hire at SHS.
  • LPCH Hire Date—the later of January 17, 1997, or the actual date of hire at LPCH.
  • USHC Hire Date—the actual date of hire at USHC.
  • SHC Hire Date—the actual date of hire at SHC.

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2. Eligibility Requirements

a. Eligible Employee
An eligible employee must have been employed by SHS, LPCH or the Stanford University School of Medicine on or before October 31, 1997, or must have been employed on or after April 1, 2000, by SHC (including employment by LPCH). The Tuition Grant Program benefits described in section 8 uses its own definition of Eligible Employee.

b. Direct Change
An eligible employee must "change directly" to employment with the University. For purposes of this policy, a direct change occurs when the employee ceases employment with SHC on one business day and commences employment with the University on the next University business day.

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3. Pay Rate

An eligible employee who becomes a University employee receives a rate of pay consistent with the guidelines that apply to internal University transfers and promotions.

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4. Voluntary Change

An eligible employee who at his/her own discretion applies for and accepts University employment is considered to have made a voluntary change of employers. In such situations, the following criteria apply for benefits eligibility:

a. The most recent University hire date will be used to determine the period of continuous University employment for:

  • Layoff and severance
  • Tuition Grant Program eligibility, except as provided in section 8
  • Staff Development Program — Guide Memo 2.1.12: Staff Development Program

b. The SHS, LPCH, USHC or SHC hire date as defined in 1.b will be used to determine:

  • Vacation accrual rate
  • Eligibility for participation and vesting in any University retirement plans
  • Eligibility for and participation in any University-sponsored retiree medical plans

c. Verification Required
Where the SHS, LPCH, USHC or SHC hire date is to be used for purposes specified in section 4.b., the hiring supervisor must verify that hire date with Human Resources Management at SHC.

d. Previous University Employment
Where the SHS, LPCH, or SHC hire date occurred upon a direct change of employment from the University, the preceding University hire date plus service while employed at SHC or its predecessors will be used for purposes specified in section 4.b.

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5. Involuntary Change

Occasionally management of SHC may determine that a function performed by a staff member will no longer be provided. If the University offers such an employee the option of continuing his/her position as a University employee, it is considered an involuntary change of employer and the following policies will apply if the employee is eligible:

a. The most recent University hire date will be used to determine the period of continuous University employment for:

  • Tuition Grant Program eligibility, except as provided in section 8, below
  • Staff Development Program — Guide Memo 2.1.12: Staff Development Program

b. The SHS, LPCH, USHC or SHC hire date as defined above in 1.b will be used to determine the period of continuous University employment for:

  • Layoff and severance
  • Vacation accrual rate
  • Eligibility for participation and vesting in any University retirement plans
  • Eligibility for and participation in any University-sponsored retiree medical plans

c. Verification Required
Where the SHS, LPCH, USHC or SHC hire date is to be used for purposes specified in section 5.b., the hiring supervisor must verify that hire date with Human Resources Management at SHC.

d. Previous University Employment
Where the SHS, LPCH, or SHC hire date occurred upon a direct change of employment from the University, the preceding University hire date plus service while employed at SHC or its predecessors will be used for purposes specified in section 5.b.

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6. Layoff from USHC OR SHC

An employee who accepts layoff and severance from USHC or SHC and subsequently hired by the University will be considered a new employee and the SHS, LPCH, USHC or SHC hire date shall not be used for any purpose.

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7. Trial Period

All employees who become University employees will serve a new trial period with the University, even if they have completed a trial period at SHS, LPCH, USHC or SHC or in previous positions at the University.

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8. Tuition Grant Program (TGP)

a. Eligible Employee
For purposes of this section, an eligible employee is a person whose job transferred from the University to SHC, USHC, or SHS because of one of the business transactions specified below, and who was actively employed by the University on the Applicable Date related to the specific transaction, as shown in the chart below. To be eligible, an employee must have had living dependent children on the Applicable Date.

Tuition Grant Program (TGP) Eligibility

 

Applicable Date

Business Transaction Description

August 31, 1994 SHS created
August 31, 1996 Cowell clinical employees transferred from SU to SHS
October 31, 1997 USHC created

 

 The Vice President of Human Resources may determine that other business transactions involving the involuntary transfer of positions and persons in those positions to SHC from the University may result in eligibility of those persons for reinstatement of TGP benefits upon their return to the University.

b. TGP Eligibility
When an eligible employee is re-hired by the University, he/she will have:

  • Prior years of service reinstated and counted towards TGP eligibility under the TGP Guidelines, and
  • Years of service with SHC, USHC, or SHS counted towards TGP eligibility in accordance with the TGP Guidelines.

If, at the time of reinstatement, prior years of service with the University plus years of service with SHC, USHC, or SHS equal 5 or more years of benefits-eligible service, then the employee will be immediately eligible for TGP benefits, assuming all other TGP criteria as stated in the TGP Guidelines, are met.

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2.1.5 Compensation of Staff Employees

Last updated on:
05/25/2017
Formerly Known As Policy Number: 
22.4

This Guide Memo outlines Stanford University's compensation policies.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to regular employees not covered by a collective bargaining agreement and Academic Staff-Libraries as defined in Guide Memo 2.2.1: Definitions. For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining for details. This policy also applies to:

  • Temporary and casual employees, where specified
  • SLAC, but implementation procedures may differ
Policy Statement: 

It is Stanford University's policy to pay salaries that reflect the duties and responsibilities of the position and the amount and quality of the work performed in comparison with other university employees, regardless of funding sources. It is also the intention of the university to set salary ranges that provide competitive pay opportunities comparable with relevant labor markets. Consistent with its obligations under the law, Stanford shall not discharge, or in any manner discriminate or retaliate against, employees or applicants because they have discussed, inquired about, or disclosed their own pay or the pay of another employee or applicant. For questions or further information, contact your local Human Resources office.

1. Information Sources

University compensation policies and procedures for staff employees are described in this Guide Memo and these publications and memoranda:

a. Annual memoranda that describe the salary program, issued by the Vice President for Human Resources. These memoranda include current policies and procedures that are reviewed and approved each year.

b. To find specific administrative information on the staff compensation program, see the Compensation website.

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2. Hours of Work and Work Records

a. Workweek
The basic full-time workweek is 40 hours of work on five consecutive eight-hour days. The standard week is a seven-day period commencing at 12:01 a.m. Monday and ending at midnight the following Sunday. Salaried staff employed for a work week of less than the basic 40-hour week receive reduced salary based on the ratio of hours worked to 40 hours. Staff employees who are employed at an hourly rate are paid for the actual time worked.

Straight time is time worked up to eight hours a day and 40 hours a week unless the employee is on an alternative work schedule (see section 6, Alternative Work Schedule).

b. Nonstandard Workweek
Departments may establish other workweek schedules or work arrangements to meet their requirements, including a workweek that begins and ends on other days or hours than the basic workweek (outlined in section 3.a), if approved in advance by the local Human Resources office. See guidelines at Flexible Work Options.

c. Make-Up Time
At the written request of the employee, and with the approval of the supervisor, a non-exempt employee may reduce their work hours on one day and make up the hours not worked on another day during the same workweek. The employee may do this by working more than eight hours but not more than 11 hours in one day, with the understanding that no overtime premium will be paid unless the total number of hours worked in any one day exceeds 11 hours or the total number of hours worked in any one workweek exceeds 40.

If the supervisor compels the employee to work more than eight hours in a day, beyond any request for flexible schedule by the employee, then the employee is due the overtime premium.

d. Day of Rest
Non-exempt employees working more than 30 hours a week are entitled to have at least one day off in seven in compliance with California state law.

e. Rest Periods
The university provides non-exempt employees a 15-minute paid rest period for each four hours of work or "major fraction" of four hours of work (i.e., more than two hours), provided the employees work at least three-and-one-half hours per day. Insofar as practicable, rest periods should be scheduled in the middle of each work period. Rest periods should also be arranged so that disruptions of work and services are held to a minimum. Employees are not permitted to use their rest periods to shorten the workday or to extend the meal break.

f. Meal Periods
Meal periods normally are for one hour and are unpaid. Time taken for meal periods is not part of the work day, provided the employee is relieved of all duty. A non-exempt employee must be provided with an unpaid meal period of at least 30 minutes after no more than five hours of work, and a second meal period of at least 30 minutes after no more than ten hours of work, unless the employee waives the right to the second meal period. A non-exempt employee who works no more than six hours in the workday may also waive the right to a meal period if the supervisor approves.

If a non-exempt employee is not provided with a meal break and/or is not relieved of all duty during a meal break, then the time must be recorded as work hours. Additionally, a penalty of one hour of the employee's straight time hourly rate must be paid to the employee.

g. Note to Supervisors
Unpaid meal breaks, including actual start and stop times, must be recorded in each employee's Axess Timecard. If a meal break is not provided, a one-hour penalty must also be recorded.

h. Work Records

  1. Records for Non-Exempt Employees
    Federal and state laws require non-exempt employees to keep an accurate daily record of hours actually worked, including actual start and stop times and meal breaks. Axess Timecard, in the human resources management system (HRMS) is the system of record to indicate hours worked, including overtime hours and vacation, sick, holiday and other leave time taken by each non-exempt employee.  in  system, records must be updated by the end of each pay period, but it is recommended that employees update their actual work hours each work day. Supervisors (or their departmental designees) must approve non-exempt employees' time records and must approve any variance from the employees' normally scheduled work hours.                                     

    Also see Guide Memo 2.1.6: Vacations, Guide Memo 2.1.7: Sick Time, Guide Memo 2.1.8: Miscellaneous Authorized Absences, and Guide Memo 2.1.13: Paid Holidays.
  2. Records for Exempt Employees
    Axess Timecard, in the human resources management system (HRMS), is the system of record to indicate vacation, sick and other leave time taken by each regular exempt employee. In that system, records must be updated by the end of each pay period. For exempt employees it is not necessary to report any vacation, PTO or Floating Holiday time less than four hours. For reporting purposes of four or more hours, record a minimum of four hours or the actual time taken if over four hours. Sick time may be taken in any increment. In the case of intermittent Family and Medical Leave, the local Human Resources office must be consulted to ensure that (a) accurate records are maintained of time used for Family and Medical Leave, and (b) the employee's leave balance is properly reduced for time charged to intermittent Family and Medical Leave. Supervisors (or their departmental designees) must approve exempt employees' leave records.
    Also see Guide Memo 2.1.6: Vacations, Guide Memo 2.1.7: Sick Time, Guide Memo 2.1.8: Miscellaneous Authorized Absences and Guide Memo 2.1.13: Paid Holidays.
  3. Records for Non-Employees
    Stanford is not required to keep a record of hours for consultants or employees of another employer with whom the university has a contract for service.

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3. Establishing Salary Ranges

The Vice President for Human Resources establishes the job classifications and the minimum and maximum rates for each classification's salary range and is responsible for administering the overall salary program. The Vice Presidents, Vice Provosts, Deans or Directors are responsible for administering the pay and classification actions in their area(s).

a. Minimum Wage
In compliance with federal and state laws, employees must be paid the current minimum wage or higher unless a request for a specific exception is allowable under the law and approved by the Vice President for Human Resources. Information on the current minimum wage rate is available from University Human Resources Staff Compensation.

b. Non-Cash Compensation
When the university provides perquisites such as room, apartment, or meals, their value (as determined under tax laws) is added to cash compensation to establish total base pay for computation of insured benefits. When required to be taken as a condition of employment, perquisites are not subject to federal income tax.

c. Performance Increases
Staff employees are eligible for pay increases based on performance. Pay increases are not automatic. Internal pay relationships and relevant market information are considered in setting pay increases.

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4. Overtime Compensation

a. Employees Exempt from Overtime Compensation

(1) Definition of Exempt Employee
Certain employees hold jobs that are exempt from governmental regulations regarding compensation for overtime work. In general, employees are exempt when employed in executive, administrative or learned, creative or computer professional positions as defined by the Fair Labor Standards Act. Exempt University employees are not entitled to receive overtime pay.

The Vice President for Human Resources or designee determines the exempt or non-exempt status of university classifications. Special circumstances, such as an employee working in more than one job (also referred to as a dual appointment) that may affect their exempt status, must be discussed with the local Human Resources office before hiring employees into additional jobs.

Normal Expectations—Because of the many activities required to keep the university functioning, full-time members of the academic staff and regular exempt staff may be called upon to perform a variety of services for the institution apart from those normally considered to be their regular job duties. These staff members may be assigned these tasks either within their department or for another area within the university.

Further, it is understood that regular academic and exempt staff may often be expected to work in excess of 40 hours a week. Because these situations are considered to fall within the normal expectations for these staff, they would not constitute grounds for payment of additional compensation and the staff member would not receive payment in excess of 100% of the FTE salary.

If an employee receives a request to perform additional work for a department other than the employee's home department assignment (whether related or unrelated to the employee's current responsibilities), the employee must receive formal approval in advance from their supervisor or provide notification to the supervisor, depending on the duties:

  • For non-teaching duties, the employee must receive prior written approval from their current supervisor and the local Human Resources Office.
  • For teaching duties:
    - If the teaching duties occur outside the employee's normal work schedule, the employee must give prior written notification to their current supervisor and the local Human Resources office.
    - If preparation and/or teaching duties occur during the employee's normal work schedule, the employee must receive prior written approval from his/her current supervisor and the local Human Resources Office.

(2) Further Information
For regular non-bargaining unit staff and academic staff-libraries, contact your Human Resources office.

b. Overtime Entitlement
Any employee holding a non-exempt job and who is required to work more than eight hours in a day, or more than 40 hours in a week, is entitled to compensation in accordance with (1) below. The total hours worked for one or more departments of the university are to be counted in determining overtime even though employment in any one department does not exceed the standard 8-hour day or 40-hour week. University policy provides for overtime payment for hours worked in excess of eight in one day in accordance with state regulations. University policy provides overtime payment for hours worked in excess of 40 in one week in accordance with state and federal regulations. Overtime policies are applicable to non-exempt temporary and/or casual employees as well as to regular non-exempt employees. University requirements and government regulations make it mandatory that overtime hours worked by non-exempt employees be recorded and compensated.

(1) Overtime Rate
The university's policy is to compensate non-exempt employees at a premium rate of one-and-one-half times the hourly rate of pay. Shift premiums are added to the straight-time rate to compute the overtime premium. For employees working a 40-hour week, the hourly rate is the monthly salary divided by 173.33 hours.

  • Non-exempt employees who work in excess of 12 hours per workday or in excess of eight hours on the seventh consecutive day of work in a single work week will be compensated for those excess hours at the rate of twice their regular hourly pay.
  • Overtime Rates:

a. Time and one-half: hours eight through 12 in one workday
b. Double-time: hours after 12 in one workday
c. Time and one-half: first eight hours on seventh consecutive workday
d. Double-time: after eight hours on seventh consecutive workday
e. Time and one-half: after 40 hours in one work week, unless a double-time premium applies

(2) Overtime Hours
Authorized paid time off (e.g., vacation, sick leave, personal time off, holidays, etc.) counts as time worked in determining if a non-exempt employee is entitled to overtime compensation. Leave without pay does not count as time worked.

(3) Overtime Limitations
Overtime work is to be kept to a minimum because of costs. Departments should permit overtime work by non-exempt employees only when it is essential to the operation of the department. State law prohibits persons under age 18 from working more than eight hours per day under any circumstances.

(4) Approval of Overtime Work
Overtime work by non-exempt employees requires approval in advance by the department head or a designated representative who has the authority to schedule work and approve overtime compensation. Non-exempt employees cannot be authorized to schedule or approve overtime work for themselves. Non-exempt employees cannot be authorized to work unpaid overtime. In circumstances where a part-time employee plans to work in more than one job for the same or other department(s), the employee’s supervisors should contact the local Human Resources office for consultation on both topics before implementation.

(5) Approval of Extended Overtime
Departments finding it necessary to schedule overtime for one or more employees on a regular basis for six months or longer as the only means of meeting work requirements, must obtain approval in advance from the appropriate Vice President or Vice Provost.

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5. Alternative Work Schedule

a. Definition
"Alternative work week" refers to a standard work week (40 hours) that is condensed into fewer than five full days. A common alternative work week schedule is four 10-hour days.

b. Guidelines
Guidelines for Flexible Work Options.

c. Administrative Considerations
Managers should consider their operational needs before implementing an alternative work schedule. For example, an alternative work schedule may be used in the academic departments where expanded service hours are needed to accommodate client needs during irregular hours (e.g., students or clients in other time zones), but may be impractical when 8 a.m. to 5 p.m. coverage is the priority.

d. Alternative Work Schedule Election
Upon secret ballot election by affected employees conducted in strict compliance with applicable laws, and with the concurrence of management, non-exempt employees may work an "alternative work week," such as four 10-hour work days, with the understanding that no overtime premium will be due unless the employee works more than 40 hours in any one week, or the supervisor compels the employee to work more than the agreed upon hours in any work day. No alternative work schedule for non-exempt employees may be implemented unless it meets all legal requirements and prerequisites and is reviewed in advance by Employee & Labor Relations in University Human Resources. Contact your local Human Resources office if you are interested in exploring the option of implementing an alternative work schedule, or consult with Employee & Labor Relations and review these guidelines for alternative work schedules or flexible work options.

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6. Special Compensation Situations For Non-Exempt Employees

a. Call-Back Time
"Call-back" time occurs when a non-exempt employee responds to an emergency call and returns to work outside their normal working hours without advance notice. The minimum compensation for "call-back" time is two hours pay. Compensation for "call-back" time includes the actual time spent traveling to and from the "call-back" duty.

b. Standby and Beeper Pay
Employees away from work may be required to remain accessible for consultation or to return to work. Non-exempt employees assigned such duties are eligible to receive partial salary for the duration of the assignment if that assignment restricts their personal activities.
(1) Beeper Pay
If that restriction is to carry an electronic "beeper" (or similar device) and remain within range of the device, and be within 15 minutes travel time to a telephone from which to return a beeper page, the partial salary is 5% of the employee's base pay for hours assigned to beeper duty, but not at work (called "beeper pay"). See Guide Memo 2.2.1: Definitions. However, should an affected employee fail to respond to the page, they will forfeit reimbursement of the beeper pay provision.
(2) Standby Pay
If the restriction is narrower than discussed in (1) above, and the assignment requires the employee to remain at a specific telephone within a specific distance from work to permit being called instantly to return to work, the partial salary is 50% of the employee's base pay for hours assigned to standby duty, but not at work (called "standby pay"). See Guide Memo 2.2.1: Definitions.

c. Shift Pay
Shift premiums are paid to non-exempt full-time employees assigned to shifts other than daytime schedules. Non-exempt employees working full-time and assigned to swing shifts (shifts starting between 2 p.m. and 10 p.m.) will be paid a 10% shift premium. Non-exempt employees working full-time and assigned to owl/night shifts (shifts starting between 10 p.m. and 3 a.m.) will be paid a 15% shift premium.

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7. Temporary Compensation for Work in a Higher Classification

Additional temporary compensation may be appropriate when an employee temporarily fills a position at a higher classification for two or more consecutive months, but typically no longer than six months, subject to additional considerations. The employee retains their classification during the temporary assignment. In addition, non-exempt employees remain non-exempt during the temporary assignment and receive overtime premiums for hours worked in excess of the overtime threshold. For questions or further information, contact your local Human Resources office.

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2.1.6 Vacations

Last updated on:
09/01/2017
Formerly Known As Policy Number: 
22.5

This Guide Memo describes university policy and procedures on accrual and use of vacation leave.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to regular staff employees (as defined in Guide Memo 2.2.1: Definitions), Academic Staff-Research, and Academic Staff-Libraries, except Instructors and Clinician Educators in the School of Medicine. For policies that apply to staff employees covered by collective bargaining agreements, refer to the agreements between Stanford University and SEIU Higher Education Workers Local 2007 and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining. Procedures for SLAC employees may vary. Contingent staff employees do not accrue vacation (see Guide Memo 2.2.1: Definitions, Section 7.b.).

1. Accrual of Vacation

a. "Period of Service" for the Purpose of Determining Vacation Accrual Rates
"Period of service" for the purpose of determining vacation accrual rates means the years of service counted from the employee's initial hire date as a "regular staff employee," as defined in Guide Memo 2.2.1: Definitions. Months that count as service are:

(1) those for which some pay is received, and

(2) those following layoff when rehire occurs within 24 months.

b. Accrual Rate Change Dates
Changes in vacation rate accruals (both increases and decreases) are effective on the first day of the employee's anniversary or status change month. The accrual change is credited in the system by the last day of that month.

c. Vacation Accrual Amounts

(1) For Full-time Employment
Vacation leave accrues according to the following tables:

Vacation Leave Accruals, Non-exempt Staff

Qualifying Service
Non-Exempt Staff
Per Hour on Straight Time Pay Status Approximate Days Accrued per Year
During first year 0.057700 15
Beginning year 2 through end of year 9 0.07693 20
Beginning year 10 and thereafter 0.092310 24

 

Vacation Leave Accruals, Exempt Staff

Years of Service
Exempt Staff (Do not track hours worked)
Hours per Calendar Month Approximate Days per Year
During first year 10 15
Beginning year 2 through end of year 9 13.33 20
Beginning year 10 and thereafter 16 24

(2) For Part-time and Part-month Employment
Vacation is credited on a prorated basis for all hours in straight time pay status (not overtime) in the month credited. "Straight-time pay" for the purpose of vacation accrual includes both straight-time pay for work performed and pay for holidays, vacation, and sick time. (For more information, see Guide Memo 2.1.5: Compensation of Staff Employees.) Accrual for exempt employees is prorated based on the proportion of the employee's FTE.

d. Method of Accruing Vacation

(1) Vacation Does Accrue
Vacation accrues from the first month of employment during non-overtime periods of work, sick time, and vacation. During seasonal layoff, vacation accrues as if the employee were continuing to work regular time. Vacation is credited at the end of each month of service.

(2) Vacation Does Not Accrue
No vacation accrues:

  • During any period of terminal vacation, pursuant to section 2.g.(2).
  • During periods of leave with or without pay, including periods of short-term disability, long-term disability, Workers' Compensation, or when using Family Temporary Disability wage replacement (FTD).

e. Maximum Vacation Accumulation

(1) Accrual Limits
Unused vacation accumulates from year to year, but the maximum amount of vacation that a full time employee can accrue is 240 hours (30 work days). If an employee has accrued the maximum, vacation ceases to accrue Vacation time will again accrue after the employee uses vacation time and the balance falls below 240 hours. The employee is not credited any vacation not earned due to having reached the 240 hour accrual maximum. New accruals will not exceed the 240 hour maximum.

(2) Accrual Limits for Part-time Employment
The maximum allowable accrual is prorated based on the eligible employee's FTE.

(3) Approval for Exceptions
Any exception to the maximum allowable accrual must be requested in writing in advance by the employee's department, must identify the unique operational requirements that warrant the exception, and must be directed to the Vice President for Human Resources. Only the Vice President for Human Resources may grant an exception to the accrual maximum.

(4) Change in Status
When an employee's change in status from full-time to part-time results in an employee's vacation accumulation exceeding the employee's new maximum, the employee is paid for the excess at the time of the status change unless the employee and the employee's department mutually agree upon arrangements for the excess to be taken within a short period of time. Such arrangements can provide for a combination of payment and vacation. Payment is based on the pay rate that was in effect immediately before the status change.

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2. Use of Vacation

a. No Advance on Vacation
Employees may not use vacation before it has been credited, except for borrowing up to the amount the employee would normally accrue in one month to cover time that would otherwise be unpaid during Winter Closure.

b. Scheduling of Vacations
Departments are responsible for providing opportunities for employees to take vacations each year. Vacation should normally be taken in the fiscal year when it is accrued. Specific arrangements are subject to supervisory approval and scheduling compatible with depart-mental operational needs, and should consider the employee's preferences. If an employee has not scheduled vacation, they may be required to use accrued vacation time before the close of the fiscal year in which it was accrued, or before the close of a grant or contract that supports the employee's salary.

c. Reporting Vacation Time

­(1) Non-Exempt Employees
Record all vacation time taken during a pay period in the human resources management system (HRMS).

(2) Exempt Employees
Vacation time is generally not reported in increments of less than four hours. For reporting purposes of four or more hours, record a minimum of four hours or the actual time taken if over four hours.

d. Use of Vacation for Non-vacation Absences
Vacation accruals can be used for other absences (e.g., disability, personal, Winter Closure) when requested by the employee and approved by the supervisor.

e. Advance Pay for Vacations
See Guide Memo 2.2.3: University Payroll.

f. Pay in Lieu of Vacation
Vacation accruals cannot be converted to cash except when employment terminates or when a change in employment status results in an employee's accumulation exceeding the maximum allowable (see 1.e.(1) above).

g. Vacation Payment upon Termination

(1) Lump Sum Payment. At the termination of their regular staff employment with Stanford University, employees receive a lump sum payment at their current rate of pay for their accrued vacation and any unused PTO time and Floating Holiday hours.

(2) Terminal Vacation. Terminal vacation is a benefit the university offers to employees who are retiring or being laid off, in which the affected employee may elect to use their accrued vacation, unused PTO, and Floating Holiday hours in the period immediately following the employee's last day of active work. The time is used at the work commitment level held at retirement or layoff (e.g., a full-time employee will use 8 hours per day) to remain on the payroll. Any remaining accruals that are less than a full day are paid out to the employee on the last full day of terminal vacation.

a. Eligibility: Only employees who are retiring or being permanently laid off may elect to use unused Vacation accruals, Floating Holiday time and PTO hours after the last day of actual work.

b. Notice: A laid off employee must submit to the local Human Resources office written notice of their election to use accumulated hours in the form of terminal vacation within seven (7) calendar days of receiving notice of layoff. A retiring employee must submit to the local Human Resources office written notice of their election to use accumulated hours in the form of terminal vacation at least seven (7) calendar days prior to the last day of active work.

c. Additional Employment: While an employee is receiving terminal vacation pay, they cannot be employed in any other Stanford University position if such employment would cause the total hours/amount paid to be more than the work commitment and pay level that existed prior to layoff or retirement.

d. On the first work day following the Terminal Vacation Period:

  • The effective date of layoff or retirement will begin.
  • The laid-off employee's bridging period and severance repayment period begins.

h. Leaves of Absence
An approved leave of absence without pay is not a termination of employment and lump-sum payment of accumulated vacation is not provided when an employee takes leave without pay.

i. Changing Positions
When an employee leaves one position and accepts another position within the university, the employee retains their accumulated vacation accruals. The employee is subject to any policies applicable to the new position regarding vacation time, including policies regarding vacation time use and limits on vacation time accruals.

j. Fixed-Term Appointees and Employees on Fixed Funding
Employees on fixed-term appointments and regular staff employees paid from fixed funding sources may be required to use all accrued vacation before the end of the fixed-term appointment period or the expiration of the funding source.

k. Non-exempt Employees Working Premium Shifts
Employees who regularly work swing or owl/night shifts (see Guide Memo 2.1.5: Compensation of Staff Employees, Section 7.c) and thus normally receive shift premium pay continue to receive shift premium pay for hours charged to vacation leave.

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3. Guide to Supervisors

a. Records and Reports of Vacation
Employees must update leave records at the end of each pay period. When an employee terminates, refer to the Human Resources Management System job aids and look in the Termination section. To compute the monetary value of vacation, see How to: Calculate Vacation Accrual. For more information, see Guide Memo 2.1.5: Compensation of Staff Employees.

b. Reporting Vacation Accumulation to Employees
Employees can view their vacation accrual amounts in Axess or on their pay statements.

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2.1.7 Sick Time: Regular Staff Employees, Regular Academic Staff-Research and Regular Academic Staff-Professional Librarians

Last updated on:
12/09/2016
Formerly Known As Policy Number: 
22.6

This Guide Memo describes paid sick time accrual and usage policies for regular staff employees, regular academic staff-research staff, and regular academic staff-professional librarians.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to regular staff employees not covered by a collective bargaining agreement, regular Academic Staff-Research Staff, and regular Academic Staff-Professional Librarians, as defined in Administrative Guide Memo 2.2.1: Definitions. For purposes of this Guide Memo, all these types of employees will be referred to as "regular staff employee(s)."

For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining. Procedures for SLAC employees may vary.

1. Accrual

a. Eligibility
Regular staff employees of the University delineated in the Applicability section above accrue and use sick time as described below.

b. Accrual of Sick Time

  • Regular staff employees accrue sick time as follows:
    • Exempt regular staff employees accrue sick time at the rate of 8 hours per month of full-time pay.
    • Non-exempt regular staff employees accrue sick time at the rate of .046154 hours per hour of straight time. This equates to 96 hours or 12 days a year in an average year of 2,080 straight time hours.
    • For part-time and part-month employment, sick time is credited on a prorated basis for any month a regular staff employee receives any straight-time pay. Straight-time pay for this purpose includes both straight-time pay for work performed and pay for holidays, vacation and sick. Accrual for an exempt regular staff employee who is employed part-time or part-month is based on the proportion of the regular staff employee with 100% FTE.
  • Unused sick time accumulates from year-to-year, with no maximum limit.
  • When changing positions: When a regular staff employee leaves one position and accepts another position within the university, the employee retains his/her sick time. The employee is subject to any policies applicable to the new position regarding sick time, including policies regarding sick time use and limits on sick time accruals. If a regular staff employee's acceptance of a new position results in a limit on sick time accruals due to the policy applicable to the new position, any sick time in excess of the limit will be returned to the employee's accruals if the employee returns to a regular staff employee position consistent with the service bridging timelines set out in Section 2 of Administrative Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff.
  • No advance: Sick time must be accrued before it can be used.
  • During temporary layoff, sick time accrues as if the laid-off regular staff employee continued to work regular time. (For more information, see Section 2 of Administrative Guide Memo 2.1.17: Layoffs).
  • If a regular staff employee separates from the University in good standing and is rehired by the University into a regular staff employee position within 12 months from the date of separation, previously accrued and unused sick days shall be reinstated. In the case of a layoff, previously accrued and unused sick days shall be reinstated if the regular staff employee is rehired into a regular staff employee position within 24 months from the date of layoff. (For more information about the University's policy regarding bridging of service, see Administrative Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff.)
  • Sick time shall not be paid out upon separation of employment.
  • A maximum of 24 hours or three scheduled workdays of protected sick time use per year, whichever is greater, may be used pursuant to the California Paid Sick Leave Law enacted by Assembly Bill 1522. After this amount of sick time has been used, regular staff employees may use remaining sick time pursuant to this Guide Memo 2.1.7, and the remaining sick time is not subject to the protections of the California Paid Sick Leave Law.

c. No Sick Time Accrues

  • No sick time accrues during periods of leave with or without pay beginning 8/1/05 or later, including short-term disability, long-term disability, worker's compensation and family temporary disability wage replacement (FTD).
  • No sick time accrues during a laid off or retiring regular staff employee's use of terminal vacation. (For more information, see Administrative Guide Memo 2.1.6: Vacations.)

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2. Acceptable and Unacceptable Uses of Sick Time

a. Illness or Injury
Sick time may be used when a regular staff employee's illness or injury prevents the regular staff employee from working.

b. Medical and Dental Appointments
Sick time may be used for all medical and dental appointments. Medical and dental appointments may also be charged to vacation, PTO or floating holiday. Medical and dental appointments include:

  • Diagnosis, care or treatment of an existing health condition
  • Preventive care
  • Appointments associated with a work injury (e.g., physical therapy)

c. Domestic Violence, Sexual Assault or Stalking
Sick time may be used by a regular staff employee who is a victim of domestic violence, sexual assault or stalking in order to:

  • Obtain or attempt to obtain any relief, including but not limited to a temporary restraining order, restraining order or other injunctive relief, to help ensure the health, safety or welfare of the victim or his/her child
  • Seek medical attention for injuries caused by domestic violence, sexual assault or stalking
  • Obtain services from a domestic violence shelter, program or rape crisis center as a result of domestic violence, sexual assault or stalking
  • Obtain psychological counseling related to an experience of domestic violence, sexual assault or stalking
  • Participate in safety planning and take other actions to increase safety from future domestic violence, sexual assault or stalking, including a temporary or permanent relocation

d. University Holidays and Sick Time
For holidays that occur on days when a regular staff employee's absence due to illness/injury is fully charged to sick time, and the regular staff employee is not on other leave status, the time off is charged as a paid holiday.

e. During Vacation
When a regular staff employee is hospitalized or confined to bed by medical direction while on vacation, the time of hospitalization/confinement should be charged to accrued sick time. If appropriate, a claim should be submitted for disability plan benefits. (For instructions about submitting a disability claim, see Administrative Guide Memo 2.3.5: Disability and Family Leaves.)

f. During Winter Closure
If a regular staff employee has to use vacation, PTO or floating holiday for certain days during Winter Closure, accrued sick time may be used instead but only in the following limited circumstances:

(1) Sick time may be used for days during Winter Closure that occur within an approved medical leave period, provided the regular staff employee was on the approved medical leave immediately prior to Winter Closure.
(2) Sick time may be used for days during Winter Closure for which Liberty Mutual approved or approves disability or family temporary disability payments and for which days the regular staff employee needs to use paid sick time in order to maintain base pay. (For more information, see Administrative Guide Memo 2.3.5: Disability and Family Leaves.)

g. Family Sick Time

(1) Family Sick Time
Regular staff employees may use a maximum of 15 sick days during a calendar year of service (January 1 to December 31) for diagnosis, care or treatment of an existing health condition of, or preventive care for, a regular staff employee's family member. For the purpose of this policy, family member includes only the regular staff employee's:

  • Spouse or registered domestic partner
  • Children of the regular staff employee or spouse or registered domestic partner (including a biological, adopted or foster child, stepchild, legal ward or a child to whom the regular staff employees stands in loco parentis, regardless of the child's age or dependency status
  • Parents and parents-in-law (including a biological, adoptive or foster parent, stepparent, or legal guardian of a regular staff employee or the regular staff employee's spouse or registered domestic partner, or a person who stood in loco parentis when the regular staff employee was a minor)
  • Brothers and sisters
  • Grandparents or grandchildren
  • Other family member dependent on the regular staff employee and living in the regular staff employee's household

(2) Regular staff employees may also apply for family sick leave. (For instructions about submitting a family sick leave claim, see Administrative Guide Memo 2.3.5: Disability and Family Leaves.)

h. Use of Sick Time to Maintain Pay during Disability
Unless the regular staff employee applies to his/her department in writing for an exception, which is approved, the university uses a regular staff employee's accrued sick time to maintain the regular staff employee's base pay during times when the regular staff employee is receiving disability benefits payments. (For more information, see Administrative Guide Memo 2.3.5: Disability and Family Leaves.)

j. Unacceptable Use of Sick Time:
Unless otherwise specifically allowed by this Guide Memo 2.1.7, sick time may only be used for an absence that a regular staff employee has during scheduled work hours.

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3. Administration

a. Notification of Absence
The regular staff employee reports the absence (or planned absence) to the supervisor. The department is responsible for establishing and communicating rules on how regular staff employees notify the department of absences. If the need for sick time use is foreseeable, the regular staff employee shall provide reasonable advance notice. If the need for sick time use is unforeseeable, the regular staff employee shall provide notice of the need for sick time use as soon as practicable. The first 24 hours or three scheduled workdays of accrued sick time use per year of employment, whichever is greater, shall not be denied for a regular staff employee's failure to provide details about the sick time use. Regular staff employees may be asked to schedule appointments at a time convenient for the department. Where flexible schedules are possible for the department, supervisors are encouraged to accommodate appointments by flexing a regular staff employee's work hours.

b. Recording and Reporting Sick Time Accumulation and Use
The University uses the human resources management system (Axess/PeopleSoft HRMS) to record sick time credited, used and accumulated for all regular staff employees. Records must be updated each pay period for all employees who used sick time. (For more information, see Administrative Guide Memo 2.1.5: Compensation of Staff Employees. For information about Axess see the Time & Leave System overview.)

c. Sick Time Credit Date
Sick time is credited at the beginning of each month of service. An adjustment is made at the beginning of the following month when the actual accrual is different than anticipated.

d. Tax Status
Sick time is taxable income. Federal, state, and FICA taxes are deducted.

e. Medical Confirmation

(1) Medical Confirmation Related to Use of Sick Time
Acceptable medical evidence may be required for the use of sick time. However, for a regular staff employee's use of the first 24 hours of sick time (or three scheduled work days, whichever is greater) during each year of employment, excepting circumstances involving abuse or misuse of sick time as stated in subpart (2) below, supervisors may not require acceptable medical evidence, and supervisors should not deny sick time use based on a regular staff employee's failure to provide details about the sick time use. The supervisor who approves the use of sick time is responsible for confirming that the conditions for use of sick time are met.

(2) Medical Confirmation Related to Possible Abuse or Misuse of Sick Time
If the University has reasonable basis to believe that a regular staff employee may have engaged in abuse or misuse of sick time at any time (even during the first 24 hours or three scheduled workdays of sick time use during each year of employment), the University may ask for acceptable medical evidence or other proof showing that a regular staff employee has not engaged in abuse or misuse of sick time. Abuse or misuse of sick time, failure to follow sick time notification procedures (e.g., failing to provide reasonable advance notice for foreseeable sick time use, not providing requested medical information when abuse or misuse is suspected, or not giving notice as soon as practicable for unforeseeable sick time use) may be a basis for discipline, up to and including termination of employment. Also, use of sick time may be denied if there is abuse or misuse of sick time.

(3) Acceptable Medical Evidence
Acceptable medical evidence includes, but is not limited to, a healthcare practitioner's statement that certifies a medical need for sick time, the expected duration of absence and anticipated return to work date, and any work-related limitations or restrictions (including the duration of those limitations or restrictions) when a regular staff employee is released to return to work.

f. Applying for Disability
A regular staff employee must apply for disability benefits if using sick time for more than 5 consecutive working or 7 consecutive calendar days for the same illness or injury.

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2.1.8 Miscellaneous Authorized Absences

Last updated on:
10/06/2018
Formerly Known As Policy Number: 
22.7

This policy summarizes the leaves of absence, paid and unpaid, approved by the university.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all regular employees as defined in Guide Memo 2.1.7: Sick Time: Regular Staff Employees, Regular Academic Staff-Research and Regular Academic Staff-Professional Librarians. For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining.

Paid absences approved in advance count as hours worked for purposes of calculating overtime payment [refer to Guide Memo 2.1.5: Compensation of Staff Employees, section 5.b(3)]. The university authorizes these absences: Vacations in Guide Memo 2.1.6, Sick Time in Guide Memo 2.1.7, and Paid Holidays in Guide Memo 2.1.13. In addition, the following absences with continuation of pay are authorized by the university:

a. Voting
When a regular full-time employee, because of the work schedule, is not able to vote outside of regularly scheduled work hours, supervisors shall authorize necessary time off, but not to exceed two hours with pay. Such time off should be scheduled when least disruptive to the department's work.

b. Jury Duty
A regular employee summoned to jury duty receives time off with pay for the periods of absence from scheduled work as required by the court. The employee retains any payments received from the court. The employee must provide verification from the court or jury commissioner of time spent on required jury duty.

c. Court Appearances
A regular employee subpoenaed as a witness in a non-work-related matter receives time off with pay for the periods of absence from scheduled work as required by the court.

Absences to appear as a plaintiff or defendant in a non-work-related matter should be charged to personal time off, vacation leave, or personal leave without pay.

d. Personal Time Off
(1) Use of Personal Time Off
A regular employee may take time off from scheduled work for personal reasons with the supervisor's prior approval. An appropriate use of available Personal Time Off (PTO) is to continue pay during winter close. A full-time employee may use a maximum of 24 hours of paid time off for their personal reasons each year. The maximum allowance per year should be pro-rated for newly hired or rehired employees, and for part-time employees.

PTO is available at the beginning of the calendar year. Employees may "borrow" up to their full amount of PTO before it is credited to cover time that would otherwise be unpaid during winter close. PTO may not be carried forward from year to year. If the employee is to be terminated and has unused PTO, arrange for the employee to take PTO before termination. Any remaining unused PTO is paid in the employee's final paycheck.

(2) Reporting Personal Time Off

  • Non-Exempt Employees: Record all PTO taken during a pay period in the human resources management system (Axess/PeopleSoft HRMS).
  • Exempt Employees: PTO is generally not reported in increments of less than four hours. For reporting purposes of four or more hours, record a minimum of four hours or the actual time taken if over four hours.

(3) Scheduling Personal Time Off

An employee is not obligated to explain how they intend to use personal time off. Specific arrangements are subject to supervisory approval and scheduling compatible with departmental operational needs.

(4) Change in Status

When an employee leaves one position and accepts another position within the university, the employee retains their unused PTO. The employee is subject to any policies applicable to the new position regarding PTO, including policies regarding PTO use and limits on PTO allowance.

f. PTO Augmenting Disability Payments
Unless the employee applies to their department for an exception, which is approved, the university uses an employee's accrued time off (sick, PTO for the calendar year, floating holiday and vacation, in that order) to maintain the employee's base pay during times when the employee is receiving disability benefit payments. See Guide Memo 2.3.5: Disability and Family Leaves, section 6.

g. Bereavement Leave
When there is a death of a close family member of a regular employee, regular pay continues for the necessary period of absence from work, not to exceed five working days. When additional time off is needed, a department may approve use of vacation or personal leave without pay. Definitions of terms used:

  • Close family member: limited to the employee's spouse; same-sex domestic partner; children of the employee, spouse or same-sex domestic partner; parents and parents-in-law; parent surrogate; brothers and sisters of the employee; grandparents and grandchildren of the employee; and, any other dependent family member who lived in the employee's residence.
  • Necessary period of absence: the time required to attend the funeral or memorial service and discharge related responsibilities. This period is subject to approval by the employee's department.

h. Military Training Leave
When required to perform annual military training duty a regular employee receives time off for the period of actual training, up to 17 calendar days a year. The university supplements the employee's military base pay for the scheduled working days of absence, up to the employee's full salary or wage. Employees must complete one year of employment in order to receive supplemental military training pay from the university. (Refer to section 4.f. for procedures.) See your Human Resources Manager for more information.

i. Paid Organ Donor Leave
Under California law, eligible employees are entitled to a paid leave of absence up to 30 days for the purpose of organ donation and up to 5 days for bone marrow donation in any one-year period. Use of accrued time for a portion of the leave will be required to the extent permitted by law. For details, see Guide Memo 2.3.5: Disability & Family Leave, section 4.

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2. Other Absences

NOTE: These leaves of themselves are unpaid and do not result in the employee receiving pay from the university. Depending on the nature of the leave, however, an employee may be required to use other accrued time off, e.g., accrued vacation, personal time off, or sick time, during the leave or may be eligible to receive disability benefits pursuant to the terms of the university's Voluntary Disability Insurance plan.

a. Types of Leave of Absence Without Pay

(1) Personal Leave
A regular employee may be placed on personal leave without pay at a department's discretion. Extra time off in conjunction with paid vacation or time off to take care of family circumstances are examples of situations that may be the basis for granting personal leave.

(2) Disability Leave
See Guide Memo 2.1.7: Sick Time: Regular Staff Employees, Regular Academic Staff-Research and Regular Academic Staff-Professional Librarians, and Guide Memo 2.3.5: Disability and Family Leaves, for information relating to leaves necessitated by the employee's own injury or illness or the illness of a family member.

(3) Professional or Educational Leave
A regular employee may be granted a leave of absence by a department to pursue activities or educational courses that will enhance the employee's value to the university. This type of leave should not exceed one year. Stanford Benefits must be notified prior to the leave start date for continuation of the university’s contributions toward health benefits plans and retirement savings plan. (Time for participation in training, education, or professional development required and assigned by the department is paid work time. Refer to Guide Memo 2.1.12: Staff Development Program, for policy regarding time off with pay to participate in staff training and development programs.)

(4) Public Service Leave
A department may grant a regular employee a leave of absence for temporary participation in community, state, or national affairs, including elective public office. However, long-term or continuing full-time employment by a public or community agency normally is not a suitable basis for approval of a leave of absence.

(5) Military Service Leave
A regular employee who voluntarily enters military service or is called for active duty for an extended period should contact their Human Resources Manager for more information. [For short-time periods of military training duty refer to "military training leave" under 1.f. above; for leave of absence right for spouses of military personnel refer to 2.a.(6)-Other Leaves, below.] Certain leaves for family of members of the armed forces are outlined in Guide Memo 2.1.18: Military Leave.

(6) Other Leaves
The university provides leaves of absence as required by law, such as Volunteer Firefighters Leave, Parent's Leave for School Discipline, Parent's Leave for Children in School, Literacy Leave, time off from work for victims of domestic violence or sexual assault, absence from work for victims of crime and certain persons related to victims for judicial proceedings, and leave of absence right for spouses of military personnel while such personnel are on a leave from deployment. Consult with Employee and Labor Relations for details about any of these leaves.

b. Benefits Continuation During Unpaid Absences

(1) Benefits Continuation
The employee's insurance and health care plans will continue during an unpaid leave of absence if the employee pays their portion of the cost of coverage. Exception: An employee on a personal leave of absence must pay the entire cost of coverage (employee and employer portion). The employee will be billed the appropriate amount for their benefits during the unpaid leave of absence.

(2) Retirement Contributions
All retirement plan contributions stop while employees are on an unpaid leave of absence.

(3) Benefits Cancellation
An employee on an unpaid leave may choose to cancel coverage during the leave period. If the coverage is not cancelled within 31 days of the start of the leave, the employee will be billed for coverage. To cancel coverage, the employee must take action; visit the Cardinal at Work website or contact the University HR Service Team. The employee can re-enroll in benefits as soon as they return to work in a benefits-eligible position.

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3. Policies for Leaves of Absence

a. Length of Leave
Each leave of absence must be for a definite period with specific starting and ending dates. A leave cannot extend beyond the end of a fixed-term appointment. Whenever a proposed leave will result in a total period of absence exceeding 12 months, prior approval is required from local Human Resources Manager and the Vice President for Human Resources (or their designee) or the Director of Human Resources at SLAC. Approval of leaves exceeding 12 months should be rare.

b. Reinstatement Requirement
A department granting or recommending a leave of absence is obligated to reinstate the employee in the same or a similar position at the end of the leave. Under special circumstances, the Vice President for Human Resources (or their designee) may approve a recommended leave when the employee has waived in writing the reemployment obligation. A leave of absence is not appropriate when the employee cannot provide reasonable assurance of intention to return to University employment at the end of the leave.

c. Termination of Leave by Layoff
When a layoff situation occurs in a department while an employee is on a leave of absence, normal layoff procedures will apply and will include the employee on leave. If a leave is terminated by layoff, the standard provisions for severance pay, reemployment, and benefits continuation are applicable.

d. Failure to Return from Leave
When an employee does not return to work at the end of a leave, or when a department learns that an employee will not return, the department initiates a termination of the leave and of the individual's employee status, citing the reason for the employee's separation.

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4. Guide to Supervisors

a. Records
PeopleSoft/Axess should reflect both paid and unpaid absences indicating the type of leave and the period of absence. Retain in the department files documentation such as evidence of disability and written request for leave.

b. Advance Approval
When a leave requires advance approval from the Vice President for Human Resources (or the Director of Human Resources at SLAC), the department's request for approval should include the department's written recommendation.

c. Change in Circumstances During Leave Without Pay
When any change in circumstances make it necessary to modify a leave of absence, discuss the situation with the Human Resources Manager before any action is taken.

d. Benefit Plan Arrangements
Employees on an unpaid leave of absence will be billed by Vita Administration Companies for their insurance and health plan premiums on an after-tax basis. Employees must pay the premiums promptly to Vita.

e. Work Schedule Modifications
Supervisors should adhere to University policies and government requirements regarding overtime pay when modifying a nonexempt employee's work schedule to provide the employee with personal time off. (See Guide Memo 2.1.5: Compensation of Staff Employees, for policies on work scheduling.)

f. Procedures for Military Training Pay
The employee should be placed on Leave of Absence Unpaid for reason of Military Service so health and life benefits are not interrupted. When training leave ends, the employee must provide a copy of the pay stub verifying income received from the military. The department then adjusts the employee's pay for the leave period so that the adjusted salary plus military pay equals the usual full-time salary. (See Guide Memo 2.1.18: Military Leave.)

g. Reemployment Rights of Veterans
Any employee who enters military service may have legally guaranteed reemployment rights. When an employee goes into military service, the employee's department should obtain information about these rights from Human Resources.

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2.1.9 Separation from Employment

Last updated on:
08/24/2018
Formerly Known As Policy Number: 
22.8

This Guide Memo outlines Stanford University's policies and procedures for carrying out the separation of employment for regular employees and academic staff.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all regular employees and academic staff as defined in Guide Memo 2.2.1: Definitions. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements at Labor Relations & Collective Bargaining. For additional provisions that may apply to certain members of the academic staff, consult with the appropriate local Human Resources office. While policy statements apply to the entire University including SLAC, some specific procedures given here do not apply at SLAC. Employees should contact the SLAC Human Resources Department for information on separation procedures at SLAC.

1. Policy Statement

It is the goal of the University to separate regular employees and academic staff from University employment as appropriate and necessary and in conformance with all laws and regulations. To that end, the policies and procedures in this Guide Memo will be followed.

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2. Resignation

a. Definition
A resignation is a voluntary termination of employment initiated by the employee. Resignations should be confirmed in writing (see Guide to Supervisors below). A confirmed resignation may be withdrawn at the sole discretion and written approval of the supervisor and the local Human Resources office.

b. Guide to Supervisors
For planning purposes the University requests that employees notify their supervisors as soon as possible of any intention to resign. At least two weeks' prior notice of resignation is expected from non-exempt employees. At least four weeks' prior notice is expected from exempt employees. Supervisors should request that the employee submit a written statement of resignation that includes the date of, and reasons for the resignation. If the employee does not provide a written statement, the supervisor should confirm the oral resignation in writing.

At the supervisor's discretion, along with approval from the local Human Resources Manager, the employee's resignation date may be advanced to an earlier date and pay in lieu of notice given for the remainder of the expected notice period (two weeks for non-exempt employees; four weeks for exempt employees). Pay in lieu of notice may not exceed four weeks.

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3. Retirement

a. Definition
Retirement occurs when an employee who meets the eligibility requirements for an Official University Retiree voluntarily terminates from employment. See Guide Memo 2.1.10: Staff Retirement.

b. Guide to Supervisors
Upon notification of an employee's intended retirement, supervisors should counsel employee to attend a Retirement Workshop presented by the Benefits Department at least 2-3 months before retirement. Find a list of dates and times at the Benefits website in the Events Calendar section.

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4. Death

In the event of an employee's death, the supervisor should notify Stanford Benefits and the local Human Resources office as soon as possible. All employees in benefits-eligible positions (working at least 50% time) are covered by no less than basic life insurance of one times pay up to a $50,000 maximum. See Guide Memo 2.3.1: Survivor Benefit Plans, and corresponding plan summaries.

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5. Conclusion of a Fixed-Term Appointment

a. Definition
A fixed-term appointment is an appointment for which a planned termination date is established and recorded at the time the employee is hired or appointed.

b. Policy
An employee hired or appointed for a fixed-term is terminated by the department at the end of the appointment unless an extension or reappointment has been approved.
(1) Notice
At the time of appointment, the department is to notify a fixed-term employee in writing of the planned termination date. Most Academic Staff appointments have additional requirements regarding notice of either non-renewal or renewal. Consult with the policies specific to those appointments for further guidance.
(2) Grievance Procedure Not Applicable
A termination occurring because of the expiration of a fixed-term appointment is not considered a discharge for cause and not subject to any grievance procedure.
(3) Separation Prior to Planned Termination Date
A fixed-term employee may be involuntarily terminated for cause or laid off before the planned termination date of his/her fixed-term appointment. See Guide Memo 2.1.17: Layoffs and Guide Memo 2.1.16: Addressing Conduct & Performance Issues.

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6. Discharge

a. Definition
A discharge is an involuntary termination of employment from the University. See these resources for additional information:

b. Policy
With the exception of Trial Period and Senior Staff, employees cannot be terminated without some form of cause as defined in Guide Memo 2.1.16. A supervisor must consult with the local Human Resources Office before the decision to discharge an employee, and cannot finalize the discharge decision without the concurrence of their next level manager and review and approval by the Office of the Vice President for Human Resources or their designee.

(1) Notice
Discharged employees receive two weeks' notice, pay in lieu of notice, or a combination of pay and notice, except in any of these circumstances:

  • Gross misconduct. Employees discharged for gross misconduct do not qualify to become an Official University Retiree, see Guide Memo 2.1.10: Staff Retirement.
  • Facts that lead the University to conclude the employee has abandoned the job.
  • Failure or inability of the employee to return to work at the end of an authorized absence, e.g., temporary layoff, leave of absence or vacation.
  • Other unauthorized absence from work.

(2) Grievance Policy Applies
A termination resulting from conduct and/or performance issue is considered a discharge for cause and subject to Guide Memo 2.1.11: Grievance Policy.

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2.1.10 Staff Retirement

Last updated on:
08/24/2018
Formerly Known As Policy Number: 
22.9

This Guide Memo describes the retirement income plans, health care coverage, and other perquisites available to employees who retire from the University.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

This policy applies to all faculty, academic staff, and regular employees as defined in Administrative Guide Memo 2.2.1: Definitions. For policies that apply to employees covered by collective bargaining agreements, refer to the applicable agreements between Stanford University and SEIU Higher Education Workers Local 2007 and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining

1. Retirement Plans

a. University Retirement Plans
Income from University retirement plans is available to all participants who are vested in these plans, whether or not they are Official University Retirees. For detailed information about eligibility, contributions, vesting, and benefits please see each plan's Summary Plan Description, available at the Benefits web site. The Summary Plan Description is the official University communication on these plans and contains a description of how each plan operates and participants' rights under the plan and federal law.

  • Staff Retirement Annuity Plan (SRAP)
    This retirement plan is for certain employees covered by collective bargaining unit agreements. Additionally, due to certain historical Plan provision changes and participant elections, some exempt and nonexempt staff may either:
    (a) Be a current participant in SRAP, or
    (b) Have an accrued SRAP benefit from previous participation while in an active SRAP status.
  • Stanford Contributory Retirement Plan (SCRP)
    This retirement plan is for faculty, academic staff and exempt and non-exempt employees. However, due to certain plan provision changes and participant elections, some employees elected to continue participation in SRAP rather than participate in SCRP. The Summary Plan Description is available on the Benefits web site in the Resource Library.

b. Voluntary Tax-Deferred Annuity Plan (TDA)
This retirement plan is available to all eligible employees immediately upon hire and is intended to supplement the retirement benefits from Social Security and either the SRAP or SCRP plans. For purposes of this plan, "employee" includes faculty and staff; post doctoral scholars; and temporary, casual and contingent employees. Employees make tax-deferred contributions to this supplemental plan and direct where to invest their contributions.

c. Social Security Retirement Benefits 
The Social Security program provides retirement benefits to individuals who have worked long enough in covered employment to become fully insured. Reduced benefits are payable to retirees starting at age 62 and before Social Security normal retirement age based on year of birth. Increased benefits result from deferring retirement beyond normal retirement age. After the start of benefits, amounts earned from gainful employment in excess of limits set by law may reduce Social Security payments. Employees and employers pay the costs of the Social Security program. Local offices of the Social Security Administration will provide additional information and assistance with applications for benefits.

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2. Official University Retirees

a. Eligibility
Only current employees and former employees who have not been terminated for gross misconduct (and informed in writing that they are ineligible for rehire by the University) may qualify to become an Official University Retiree if age and service requirements are met.

1. Employees Hired Before January 1, 1992
Employees with a benefits-eligible hire date before January 1, 1992 can qualify as an Official University Retiree one of two ways:

  • Complete at least 10 years of benefits-eligible service and are at least age 55 at the time of retirement, or
  • Meet the "Rule of 75" [see (2) below].

2. Employees Hired On or After January 1, 1992
Employees with a benefits-eligible hire date on or after January 1, 1992 qualify as an Official University Retiree when all the following requirements are met:

  • At least 10 years of benefits-eligible service, and
  • Age and years of service total 75 or more.

This rule is called "The Rule of 75."

3. Gradual Retirement
A full-time staff member who qualifies for Official Retiree status but wishes to retire gradually by continuing to work part-time may make such arrangements when mutually acceptable to his/her department (including a department to which an employee is redeployed), in any increment of time, but no more than a total of two (2) years. Retirement benefits will continue to accrue on part-time employment when provided for in the applicable retirement plan.

4. Reemployment of Retirees
If a retiree returns to Stanford employment, he or she should call Stanford Benefits at (650) 736-2985 to discuss the effect, if any, on retiree health benefits.

b. Official University Retiree Benefit Program

  • Medical Benefits
    Official Retirees may participate in a University-provided retiree medical plan. See the Retiree Health & Welfare Summary Plan Description, available at the Benefits web site for detailed information about eligibility, coverage, University contributions, costs and benefits. At age 65, retirees and spouses must apply for and maintain Medicare Parts A and B.
  • Dental Plans
    Official Retirees may participate in the University-provided retiree dental plan. See the Retiree Health and Welfare Summary Plan Description for detailed information.
  • Perquisites
    Official University Retirees may use University libraries and recreation/ athletic facilities and receive staff discounts for certain athletic events, as provided by the rules and policies of the department which provides the services or facilities. Official University Retirees remain eligible to participate in the Tuition Grant Program.

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3. Guide to Supervisors

a. Arrangements for Retirement
(1) An employee is encouraged to attend a retirement meeting at least 2-3 months prior to his/her potential retirement date.
(2) Retirement is a form of voluntary termination of employment. See Guide Memos 2.1.9: Separation from Employment and 2.2.3: University Payroll.

b. Retirement Gifts
Departments may use University funds to purchase a retirement gift for the retiree. However, a gift of more than nominal value may be taxable to the recipient as additional income. For more information see Guide Memo 2.2.10: Gifts and Awards for University Employees.

c. Reemployment of Retirees
When individuals who have retired from the University are reemployed, the provisions of Guide Memo 2.1.2: Recruiting and Hiring of Regular Staff, and Guide Memo 2.2.3: University Payroll, are applicable.

Health Care: Retirees who are recalled to a benefits-eligible position working between 20-40 hours per week become eligible for the same benefits as an active employee and will need to enroll as such. If a recalled retiree fits these requirements, he/she should call Stanford Benefits at (650) 736-2985. When the recalled retiree terminates employment again, call Stanford Benefits at (650) 736-2985 to re-enroll in retiree medical benefits.

d. Recalled Retiree
If a retiree is receiving payments from SRAP, SCRP or TDA, those benefit payments continue if the retiree is recalled to a benefits-eligible position. In addition, the recalled retiree starts accruing additional retirement benefits based on salary.

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2.1.11 Staff Grievance Policy

Last updated on:
03/09/2017
Formerly Known As Policy Number: 
22.10

This Guide Memo outlines the policy to resolve staff employee complaints at Stanford through a formal grievance process and is designed specifically for regular employees as defined in the "Applicability" section. The Staff Grievance Process is intended to supplement, not replace, routine and informal methods of responding to and resolving employee complaints.

The Staff Grievance Process is located in the Address a Workplace Concern section of the Cardinal at Work website.

Employee complaints covered by the Staff Grievance Process include written corrective actions that are placed in an employee’s personnel file (e.g., written warnings) and involuntary terminations (including layoffs) only. The Staff Grievance Process does not apply to employee complaints regarding other issues such as performance appraisals, Performance Improvement Plans, compensation/benefits or job classifications. Information regarding resources to address workplace concerns can be found at Address a Workplace Concern.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all regular employees as defined in Guide Memo 2.2.1: Definitions.

It does not apply to:

If a trial period, casual, or temporary employee who is involuntarily terminated has concerns and/or feedback regarding their employment, they may contact the local Human Resources Office or University Human Resources/Employee & Labor Relations.

1. Informal Resolution

Regular and effective communication between supervisors and employees reduces the likelihood of misunderstanding and conflict. Stanford University expects and encourages supervisors and employees to communicate openly and regularly so that the interests of the employee and the university are best served. To support this commitment, the university has this Staff Grievance Process and resource offices such as the local Human Resources Office, University Human Resources/Employee & Labor Relations, the Faculty Staff Help Center and the Office of the Ombuds to assist employees in resolving employee complaints.

Before initiating Step 1 of the Staff Grievance Process, the employee is strongly encouraged to make at least one informal attempt to resolve their concerns. If the employee feels uncomfortable in attempting to do this by him/herself, assistance is available through the local Human Resources Office, University Human Resources/Employee & Labor Relations, the Faculty Staff Help Center, or the Office of the Ombuds.

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2. Formal Staff Grievance Process

If the employee is unsuccessful in resolving their complaint informally, they may file a formal grievance with University Human Resources/Employee & Labor Relations. The Staff Grievance Process and other information is located in the Address a Workplace Concern section of the Cardinal at Work website.

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3. Representation and Support

a. Self-Representation
The employee will act as their own representative at each step in the Staff Grievance Process.

b. Support Person
In the case of a grievance that is heard by a Grievance Advisory Board, the employee may choose to have a support person accompany them to the grievance hearing. The employee may select any one university employee who:

  • is not employed as an attorney
  • is both willing and able to attend the hearing without impairing their own work duties, and
  • receives their supervisor's approval

c. Outside Representation
The Staff Grievance Process does not allow for outside representation of any kind at any step of the process. If at any time before or during the Staff Grievance Process the employee chooses to elect action related to the grievance issue(s) outside of the internal process (such as filing a charge with the EEOC, DFEH, other administrative body, or a lawsuit), the Staff Grievance Process will be terminated without any decision being reached.

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4. Time Frames

All times frames indicated in the Staff Grievance Process are computed in calendar days unless noted otherwise. All parties involved in the Staff Grievance Process must adhere to the time frames specified. Exceptions to this rule will be handled on a case by case basis and must be approved by the Vice President of Human Resources (or designee). The period of the Winter Close is excluded from the time frames.

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5. Administration

University Human Resources/Employee & Labor Relations have primary responsibility for administering and coordinating the Staff Grievance Process. In addition, University Human Resources/Employee & Labor Relations is the primary source of assistance for employees and supervisors who have questions or concerns pertaining to the Staff Grievance Process.

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6. Protection Against Retaliation

No adverse action may be taken against any employee because of their good faith participation in the Staff Grievance Process. An adverse action is any action that materially affects that individual’s terms and conditions of employment.

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2.1.12 Staff Development Programs

Last updated on:
07/28/2015
Formerly Known As Policy Number: 
22.11

The Staff Development Program (SDP) supports employee development by providing partial or full reimbursement of the cost of courses, seminars and workshops that enable employees to improve performance in current jobs, prepare for career development, or meet requirements of degree programs related to current performance or planned career development. The SDP consists of two parts: Staff Training Assistance Program (STAP) for job related or career enhancing courses and seminars and Staff Tuition Reimbursement Program (STRP) providing partial to full tuition payment for individuals enrolled in a degree program. See Educational Assistance Programs for additional information.

Authority: 

Approved by the Vice President for Human Resources.

1. Eligibility

To be eligible for the Staff Development Program, an employee must meet all the following criteria:

  • Be a continuing regular or fixed-term staff employee (including a bargaining unit employee). See Guide Memo 2.2.1 for definition of regular staff or fixed-term employee.
  • Receive no financial assistance from other sources that would duplicate SDP assistance (scholarships, grants, and departmental funds may augment but not duplicate SDP assistance).

Staff Training Assistance Program (STAP)

  • STAP assistance funds are available to each eligible staff member on the first date of employment.
  • Academic Staff-Teaching: senior lecturers, lecturers, artists-in-residence who work at least 50% time are also eligible for the Staff Training Assistance Program.
  • Faculty, students, temporary employees, retirees, and other non-staff University affiliates are not eligible for STAP assistance.

Staff Tuition Reimbursement Program (STRP)

  • Available after an eligible employee has completed one year in a continuing benefits-eligible position at 50% Full Time Equivalent (FTE) or greater.
  • The amount provided is pro-rated if eligible staff works less than full-time, but at least 50% part-time.
  • Faculty, students, and other temporary workers are not eligible for STRP assistance.

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2. Staff Training Assistance Program (STAP)

STAP assistance may be requested for job-related training, career development, STAP approved health improvement courses through the Stanford Health Improvement Program (HIP), and academic pursuit through the Stanford Continuing Studies Program.

a. Job-Related Training
Training must be directly related to performance requirements of the employee's current assignment, and either maintain or improve job skills; be required by law; or respond to organizational or operational need as defined by employee's supervisor including training required to respond to organizational or operational need as defined by the employee's supervisor or the university. STAP does not cover training to meet minimum educational requirements of the current job, or qualify the employee for a new trade or business.

Training may be a formal course given for academic credit or certificate of completion by an accredited college, university, technical/vocational school or institute, special skills school, or adult education school; a seminar, workshop or special emphasis short-duration program presented by an approved provider; or training obtained at a conference or professional organization. Online training may be allowable if it meets the requirements outlined in Section 2.a. The employee's supervisor must approve the training in advance. Questions about whether the training or the provider is eligible for STAP should be directed to the Stanford STAP administrator prior to the start of the training course or activity.

(1) Release Time/Time Off with Pay for Required Training
An eligible staff employee's supervisor must approve in advance the course as job-related training and approve the release time, if any, to attend the training. Such time off must be compatible with the work schedule of the department and consistent with requirements of contracts and grants regarding time worked. The department funds time off with pay for training.

(2) Reimbursement
Requests for reimbursement of allowable expenses through STAP must be made within 20 days of satisfactory completion of the training, with the supervisor's approval. Submitted requests will be charged against the STAP funds based on the class start date. When employees are reimbursed in advance of course completion, the employee must provide evidence of satisfactory completion to the supervisor. (See Section 5 for procedure).

b. Career Development Training
Training must be related to an identified and planned training objective for career development. Such training may be a formal course given for academic credit or certificate of completion by an accredited college, university, technical/vocational school or institute, special skills school, or adult education school; or be a seminar, workshop or special emphasis short-duration program presented by an approved provider. Career development must only be for training activity that will assist the employee in qualifying for a new position or advancement within his or her current trade or business at Stanford. The employee's supervisor must approve in advance this training and any release time needed to attend.

(1) Release Time/Time Off Without Pay
An eligible staff employee may be granted a maximum of 24 hours per month of release time without pay for approved training for career development purposes if no comparable course is offered during non-work hours. Time off for eligible part-time staff should be pro-rated based on the percent time worked. Approval of time off is at the department's discretion and must be compatible with the work schedule of the department and consistent with requirements of contracts and grants regarding time worked.

(2) Reimbursement
Requests for reimbursement of allowable expenses through STAP must be made within 20 days of the satisfactory completion of the training with the supervisor's approval. Submitted requests will be charged against the STAP funds based on the class start date. When employees are reimbursed in advance of course completion, the employee must provide evidence of satisfactory completion to the supervisor (see Section 5 for procedure). For IT Services, HIP and Continuing Studies courses, the STAP allowance will be deducted from the fee when employees register for classes.

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3. Staff Tuition Reimbursement Program (STRP)

Eligible employees may request STRP support for courses that fulfill undergraduate or graduate degree requirements at a fully accredited college, university, technical/vocational school or institute, special skills school, or adult education school when the employee is admitted to the degree program (certificate programs excluded). Courses must be taken at, or online through, a regionally-accredited institution recognized by the U.S. Department of Education in order to be eligible for reimbursement. The employee's supervisor must approve the request if release time/time off (with or without pay) is requested.

Covered degree programs:

  • Associate
  • Bachelor
  • Master
  • Doctoral

Programs that are not covered:

  • Individual courses
  • Certifications
  • Graduate Certificate
  • Degree program entrance exams, such as SAT, ACT, GRE, LSAT, GMAT, MCAT
  • Challenge exams or credit by exam, such as CLEP, UEXCEL and DSST

a. Release Time/Time Off without Pay
An eligible staff employee may be granted a maximum of 24 hours per month of release time, without pay, for an approved undergraduate or graduate course, if no comparable course is offered during non-work hours. Time off for part-time regular staff should be pro-rated based on the percent time worked. Approval of time off is at the department's discretion and must be compatible with the work schedule of the department and consistent with requirements of contracts and grants regarding time worked.

b. Tuition Payment
Payment of tuition and covered fees through STRP will be made directly to the institution before attendance each quarter or semester.

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4. Allowable Expenses

An employee may not receive reimbursement under STAP and reimbursement under STRP for the same course or program. For example, you cannot use STRP for tuition and STAP for books, supplies and equipment for the same course or program.

a. STAP Expenses

  • The current maximum STAP reimbursement is:
    • $800 for eligible employees not covered by the SEIU Collective Bargaining Agreement
    • $700 for eligible employees covered by the SEIU Collective Bargaining Agreement
      • $100 of STAP funds for SEIU-represented staff are reallocated for a leadership, training and educational program, known as the Apprenticeship Program. (For additional information, refer to the 2014 Collective Bargaining Agreement between SEIU Higher Education Workers Local 2007 and The Board of Trustees of the Leland Stanford Junior University, Side Letter 7: Leadership, Training and Educational Fund).
  • Costs of tuition, registration fees and required textbooks, CDs, e-books or tapes are allowable for reimbursement up to a maximum determined each fiscal year.
  • Travel expenses, parking, lodging, meals, professional memberships, testing and exam fees, reference books and professional subscriptions are not allowable.

b. STRP Expenses

  • The current maximum annual STRP benefit amount is $5,250 granted to the eligible employee at the beginning of each fiscal year. Payments and reimbursements are pro-rated for part-time eligible staff working at least 50% time.
  • Covered fees are limited to the cost of tuition, registration fee, lab fees, course fees and eLearning fees.
  • Covered expenses are limited to required books, CDs, DVDs, and other published materials, supplies and equipment, including software. Supplies, equipment and software that the employee may keep after the course is completed are not a covered expense.
  • An employee may not use STAP and STRP funds for the same course or program.

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5. Reimbursement

a. Timing of STAP Reimbursement
Requests for reimbursement of allowable expenses through STAP must be made within 20 days of satisfactory completion of the training, with the approval of the supervisor. Submitted requests will be charged against the STAP funds based on the class start date. Refer to the STAP Frequently Asked Questions for details on the reimbursement process.

b. Timing of STRP Payment
Payment of tuition and covered fees will be made directly to the institution by the program administrator before attendance each quarter or semester. If the employee makes payment directly to the institution, the employee must submit the invoice to the program administrator through a Direct Bill request. The program administrator will make payment directly to the institution, and the institution will issue a credit or reimbursement to the employee.

c. Departmental Reimbursement
When covered costs exceed the current STAP/STRP limit, the excess cost may be partially or fully reimbursed by the employee's department. Departmental reimbursement is at the department's discretion and is determined based on available departmental funds for training. Reimbursement for work-related or career development training may be taxable if the total exceeds $5,250 in one tax year (see Section 7a), regardless of the source of university funds. Departmental reimbursements have the same tax consequences as STAP/STRP reimbursements.

d. Employee Obligation
When the University reimburses an employee for training costs through STAP prior to completion of the activity, the employee assumes an obligation to complete the supported training in a satisfactory manner. An employee who does not complete University-reimbursed training must repay the University the total amount of the reimbursement.

e. Evidence of Satisfactory Completion
Employees utilizing funds for training expenses through STAP must provide the supervisor with evidence of satisfactory completion as soon as possible—but no later than 60 days after the training activity is completed. For STRP, evidence of satisfactory completion must be provided to both the supervisor (if supervisor approval was required) and to EdAssist, the STRP administration vendor, within 60 days of the course end date. Such evidence may be an official grade card or transcript from the institution or provider of the course. Failure to submit evidence of course completion within 60 days will require the employee to repay the tuition/fee/expense amount to Stanford and could result in denial of all future requests for tuition assistance. Refer to the STRP Guidelines for details on the Evidence of Satisfactory Completion submission process.

  • For undergraduate academic courses using STRP funds, a grade C or better, or pass grade in a pass/fail course is required. A grade of C- or less will not be accepted as a satisfactory grade.
  • For graduate academic courses, using STRP funds, a grade B or better, or pass in a pass/fail course is required. A grade of B- will not be accepted as a satisfactory grade.
  • If a course may be taken for either a letter grade or a pass/fail grade, the employee must take the course for a letter grade to be eligible for STRP funds for this course.

f. Repayments
Staff members who have utilized STRP are required to repay tuition and fees that were paid to STRP to an institution for coursework if:

  • Employee withdraws from a course after the tuition was paid
  • Employee fails to submit proof of satisfactory completion
  • For undergraduate course work, the employee receives a grade of C- or lower or Fail (if a Pass/Fail course)
  • For graduate course work, the employee receives a grade B- or lower or Fail (if a Pass/Fail course)

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6. Application Process

a. STAP
An employee planning a training or development activity should discuss development and performance objectives with his/her supervisor before registering for the course or program. Decisions regarding applicability of training and issues regarding release time should be made at this time. The employee and the supervisor should review career development plans before registration. No application form is needed.

Departmental Review
The supervisor should review the staff training assistance request and evidence of satisfactory completion, confirming the following:

  • Employee eligibility (see Section 1)
  • Program applicability (see Section 2 and 3)
  • Covered fees and expenses (see Section 4)
  • Course completion (see Section 5)

Courses taken through the Stanford Health Improvement Program (HIP) or Stanford Continuing Studies Program (CSP) are not subject to supervisor approval unless release time is required.

b. STRP
Prior to April 30, 2015, employee must submit a completed/signed STRP application to the Tuition & Training Programs Office before the beginning of the designated institution's academic year. The application and instructions can be found on the STRP website (My Learning Center). A supervisor's signature is required if release time/time off with pay is requested.

On or after April 30, 2015, employee must submit an application for each term (quarter or semester) no earlier than 90 days prior to the start of classes and no later than 30 days after the start of classes. If a supervisor's signature is required for release time/time off with pay, employee must complete the Supervisor Approval Form. The Supervisor Approval Form can be found and printed from the Stanford My Learning Center website and must be sent to the Stanford STRP office with the employee and supervisor signature within five business days of application submission. Failure to submit the Supervisor Approval Form will result in a denial of the application.

Payment of Tuition and Covered Fees
The Direct Bill option should be used to request payment of tuition and fees directly to the employee's school by following the four-step application process in My Learning Center, located on the STRP website.

Expense Reimbursement
The Expense Reimbursement option should be used if the employee has paid for tuition and/or allowable fees and or expenses. The employee must make the request and submit documentation as proof of payment within 60 days of the course end date.
Detailed information about the application, payment and reimbursement process can be found on the STRP website.

c. Tuition & Training Programs Review
The Tuition & Training Programs office monitors and periodically audits applications for conformance with standards of eligibility, applicability and allowability as outlined in this Guide Memo. The Tuition & Training Programs office has final approval over any disputes, of application denial or denial of payment and reimbursements for approved applications. A decision by Tuition & Training Programs office concerning approval or disapproval of applications, payments or reimbursements is not subject to review under any grievance procedure. Appeal of a decision by the Tuition & Training Programs office may be made in writing to the Director of Tuition & Training Programs in University Human Resources.

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7. Termination of Employment

a. New Applications
No applications will be accepted after employment with the university or SLAC ends.

b. Expense Reimbursement
If employment with the university or SLAC ends before a request for reimbursement of covered expenses has been submitted, an employee may submit a manual request for reimbursement if the reason for termination is for any of the following reasons:

  • Layoff
  • Layoff to Retirement
  • Retirement
  • Military Service
  • Transfer from the University to SLAC
  • Transfer from SLAC to the University

If employment with the University or SLAC ended for any other reason, an employee will not be eligible to request or receive reimbursement for expenses after the date employment ended.  However, if an application was submitted and approved, and tuition and fees were paid directly to the employee’s school prior to the date employment ended for any reason, he or she will not be required to repay that amount.

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8. Tax Implications

SDP is intended to provide benefits that are, to the extent possible, excluded from taxation under federal and state laws. Accordingly, this Guide Memo constitutes a separate written plan for the exclusive benefit of employees under sections 127 and 132(d) of the Internal Revenue Code and its regulations, to provide such employees with educational assistance.

a. General Rule
In general, an employee may exclude up to $5,250 received for graduate or undergraduate education under STRP and up to $800 received under STAP from his/her gross income each tax year for allowable tuition and covered fees and expenses.

b. Tax Year
Employees should note that STRP provides reimbursements of up to $5,250 for each Stanford fiscal year. Because Stanford's fiscal year runs from September 1 through August 31, an employee could be eligible to receive reimbursements in excess of $5,250 for the employee's tax year.

c. Other Situations
Amounts paid to an employee in excess of $5,250 may also be excluded if they are payments for certain job-related training, when such training maintains or improves the skills of an employee. However, if the training is necessary for the employee to meet the minimum educational requirements for employment, or if the training will qualify the employee for a new trade or business, the payments will not qualify for this additional exclusion.

d. Getting Help
Employees should consult their personal tax advisor with any questions.

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9. Status and Duration of Staff Development Program

a. Administration
SDP is administered by the University. The University has the discretionary authority to determine all matters with respect to SDP, including, without limitation, eligibility issues, benefit amounts, evidentiary matters and tax treatment. Its decisions shall be final and binding on all persons.

b. Amendment and Termination
The University reserves the right to modify SDP in any respect, or to discontinue SDP, at any time.

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2.1.13 Paid Holidays

Last updated on:
03/11/2016
Formerly Known As Policy Number: 
22.12

This Guide Memo describes University policy on designation of and payment for holidays. Review current University holidays on the Cardinal at Work website.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to Stanford University employees not covered by collective bargaining agreements. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements between Stanford University and SEIU Higher Education Workers Local 2007 and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining. This policy does not apply to contingent employees.

1. Eligibility for Paid Holidays

a. Regular staff employees (those appointed for six months or longer on a continuing or fixed-term basis and for at least 20 hours a week) are eligible for paid holidays starting with the first day of employment. Contingent employees are not eligible for paid holidays.

b. To receive holiday pay, an employee must work or be on previously approved paid leave status on his/her regularly-scheduled work day, both immediately before and after the holiday. The sole exceptions are employees on seasonal/temporary layoff, or employees with approved unpaid leave status beginning the day after or ending the day before the holiday.

c. Employees whose last day of work precedes a holiday are not eligible for holiday pay.

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2. Days Designated as Paid Holidays

a. Scheduled Holidays
The days designated by the University for the observance of the following holidays are scheduled each year by the Cabinet. Those dates are normally scheduled as listed below:

Days Designated as Paid Holidays
Holiday Name Date of Holiday
New Year's Day January 1
Martin Luther King, Jr. Day January - third Monday
Presidents' Day February - third Monday
Memorial Day May - last Monday
Independence Day July 4
Labor Day September - first Monday
Thanksgiving November - fourth Thursday
Friday after Thanksgiving November - as stated
Winter Holiday In December; determined each year
Winter Holiday In December; determined each year
Floating Holiday See Section 5 below

 

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3. Policy When A Holiday Falls on a Saturday or Sunday

A holiday that falls on Saturday is observed by the University on the preceding Friday. A holiday that falls on Sunday is observed on the following Monday. When Christmas falls on Saturday and the holiday is observed on Friday, the "Day before Christmas" holiday is observed on Thursday.

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4. Policy When a Holiday Falls During Winter Closure

The University may have a winter closure during the work weeks that include the day before Christmas, Christmas or New Year's Day holidays. Employees in operational units that observe winter closure will receive holiday pay for holidays that fall during the closure, and may use available PTO, floating holiday, accrued vacation, unpaid time off, or any combination of these, on the remaining closure days. See Administrative Guide Memo 2.1.8: Miscellaneous Authorized Absences.

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5. Floating Holiday

a. Floating Holiday Policy
For regular, full-time employees, eight hours of floating holiday are available on January 1 (or date of hire for employees hired after January 1) and can be taken on any day or partial day within that calendar year that is mutually agreed upon by the employee and supervisor. For employees working less than full time, the amount of time credited as the floating holiday is prorated based on the employee's regularly scheduled work hours.

b. Reporting Floating Holiday Time

  • Non-Exempt Employees: Record all floating holiday time taken during a pay period in the human resources management system (Axess/PeopleSoft HRMS).
  • Exempt Employees: It is not necessary to report any floating holiday time less than four hours. For reporting purposes of four or more hours, record a minimum of four hours or the actual time taken if over four hours.

c. Floating Holiday and Winter Closure
Employees may "borrow" up to their full amount of the next year's floating holiday to cover time that would otherwise be unpaid during winter closure.

d. Guide to Supervisors: Floating Holiday in Cases of Termination
If an employee is to be terminated and the earned floating holiday has not been used by the employee, arrangements should be made for the employee to take the floating holiday prior to termination. If this is not possible, report the unused floating holiday on the Termination Web Form. The employee will receive regular pay for the holiday.

e. More information
For more information, contact your local Human Resources Manager (HRM). For a list of HRMs, please see the Public Listing of Stanford HR Managers and Associates on the HR at Stanford website.

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6. Holiday Pay Policy

a. When Day of Holiday Observance Falls on a Scheduled Work Day and Employee Does Not Work on That Day

  • Full-time and Part-time Exempt Salaried Staff
    Full-time and part-time exempt salaried staff receive regular pay for the day.
  • Full-time Non-exempt Regular Employees
    Full-time non-exempt regular employees receive up to eight hours of regular pay for the straight-time scheduled hours for the day.
  • Part-time Non-exempt Regular Employees
    Part-time non-exempt regular employees receive pay either for their straight-time hours scheduled for the day, or for the number of hours obtained by dividing their normal number of scheduled weekly work hours by five days, whichever is greater.

b. When Day of Holiday Observance Falls on Employee's Scheduled Day Off and Employee Does Not Work on That Day

  • Full-time Exempt Salaried Employees
    Full-time exempt salaried employees receive another day off with pay in the same calendar year, or when the employee's department determines that another day off is not feasible, eight hours are added to personal time off effective January 1 of the following calendar year.
  • Part-time Exempt Salaried Employees
    (a) When a normal work schedule is the same number of hours daily for five days per week, the employee receives another day off with pay. However, if the employee's department determines that time off on another day is not feasible, the hours are added to personal time off.
    (b) When work schedule is four or fewer days per week or varying numbers of hours daily during each week, the employee receives time off with pay on another work day for the number of hours obtained by dividing the normal number of weekly hours by five days. However, if the employee's department determines time off on another day is not feasible, the hours are added to personal time off.
  • Full-time Non-exempt Regular Employees
    Full-time non-exempt regular employees receive another day off with regular pay, or when the employee's department determines another day off is not feasible; the employee receives an extra day's pay at one and one-half times the straight-time rate.
  • Part-time Non-exempt Regular Employees
    Part-time non-exempt regular employees receive another day off with regular pay on another workday either for the straight-time hours normally scheduled for the alternate day off, or for the number of hours obtained by dividing the normal number of weekly work hours by five days, whichever is greater.

c. When Employee Works on Day of Holiday Observance

  • Full-time and Part-time Exempt Salaried Employees
    Full-time and part-time exempt salaried employees may receive partial or full compensatory time off when authorized by the supervisor as appropriate for the operational circumstances.
  • Full-time Non-exempt Regular Employees
    Full-time non-exempt regular employees receive time and one-half pay for the hours worked on the holiday and either another day off with regular pay in the same pay period, or, when time off cannot be provided, eight hours of extra pay (including shift premium, if applicable).
  • Part-time Non-exempt Regular Employees
    Part-time non-exempt regular employees receive time and one-half pay for the hours worked on the holiday and either time off with pay for the same number of hours within the pay period, or, when time off cannot be provided, extra pay for this number of hours.
  • Temporary or Casual Employees
    Temporary or casual employees, including student employees, receive the established straight-time rate of pay for the time worked or the overtime rate if any time actually worked exceeded eight hours in a day or 40 hours in a work week.

d. When Day of Holiday Observance Occurs While Employee is on Leave

  • When the employee is on vacation, sick leave, or other paid leave from which the employee is expected and scheduled to return to work, the time shall be charged as a paid holiday rather than as vacation, sick leave, or other paid leave.
  • When the employee is receiving Long-Term Disability payments, he or she will not receive holiday pay.
  • When the employee is on a seasonal/temporary layoff period not exceeding 25 calendar days, regular holiday pay for the employee's normally scheduled number of hours will be paid upon the employee's return to work.
  • When the employee is on an unpaid leave of absence, he/she will not receive holiday pay.

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2.1.14 Senior Staff

Last updated on:
08/24/2018
Formerly Known As Policy Number: 
22.13
Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to employees designated at level N, O, P, N11 and N 99 in the university classification system. The list of positions designated as Senior Staff is maintained by the Office of the Vice President for Human Resources.

1. Policy Statement

Senior Staff employees have responsibilities and functions that require different policies and conditions governing their employment and termination. These employees are "at-will" employees and may be terminated at any time for any reason, including layoff, or no reason. Guide Memo 2.1.16: Addressing Conduct and Performance Issues, and the grievance procedure in Guide Memo 2.1.11: Grievance Policy, are not applicable to Senior Staff. Senior Staff have access to the Senior Staff Administrative Review described below.

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2. Purpose

This policy describes the unique employment relationship of Senior Staff to the university. It further sets forth the process for administrative review of Senior Staff employment disputes.

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3. Definition

Effective July 1, 2015, Senior Staff positions are designated at levels N, O, P, N11, and N99 within the university classification system.  Only employees in positions designated at level N, O, P, N11, or N99 on or after July 1, 2015 are considered Senior Staff.

  1. TGP Eligibility. Employees who were designated as Senior Staff prior to July 1, 2015, but who are designated at classification level A-M on July 1, 2015 will no longer be considered Senior Staff, but will retain the TGP coverage they had prior to July 1, 2015.
  2. Housing Program Eligibility. University staff employed 100% time and matched to classification levels O, P and N11 are eligible for one or more housing assistance programs.  For those staff employees who were eligible for staff housing assistance before this date, but are not in classification levels O, P and N11, they will lose their eligibility for any applicable staff housing assistance unless they are already participating in the program.  For any questions about housing program eligibility or details of the programs, please contact Faculty Staff Housing at FSHousing@stanford.edu or 725-6893.

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4. Termination of Senior Staff Employees

a. Termination Policy
Senior Staff may be terminated at any time for any reason, including layoff, or no reason upon the approval of the Dean, Vice Provost, Vice President, Provost or the President and the concurrence of the Vice President for Human Resources or their designee. Such termination is subject to the appropriate administrative review, but will not be subject to review under any grievance procedure in the University. Senior Staff who are terminated by the university receive notice and severance pay as described in section 4.c, except when the President or the Vice President for Human Resources or their designee determines the termination is for gross misconduct. Senior staff who voluntarily resign are not entitled to notice or severance pay.

b. Policy on Extended Notice
Senior Staff receive at least three months' notice. When pay is given in lieu of notice, the maximum payment period is three months. A combination of notice and pay in lieu of notice may be appropriate at the university's discretion. In such an arrangement, severance pay may be contingent on serving out a specified portion of the notice period.

c. Policy on Payment of Severance Pay
Senior staff will be paid a minimum of three months' salary and a maximum as listed in the following table, provided a General Release of All Claims and Severance Repayment Agreement is executed. Severance is not payable until the expiration of any revocation period in the General Release of All Claims and Severance Repayment Agreement.

Senior Staff Severance Pay

Years of continuous regular University employment

Severance pay eligibility in months of base pay

Less than 10 years 3
10 years but less than 12 4
12 years but less than 14 5
14 years but less than 16 6
16 years but less than 18 7
18 years but less than 20 8
20 years but less than 22 9
22 years but less than 24 10
24 years but less than 26 11
26 years or more 12


d. Policy on Continuation of Benefits

Senior Staff may continue their university medical insurance and receive the university's regular contributions for three months after the date of termination, subject to prompt payment of any required contributions by the employee. Stanford Contributory Retirement Plan (SCRP) Basic contributions continue during the notice period, including any period of pay in lieu of notice. If the Senior Staff member makes employee contributions to the plan during the notice period, matching contributions will also continue.

e. Policy on Repayment of Severance Pay
The months following the termination date comprise the "severance repayment period." This period is equal to the number of months of severance pay received. If a Senior Staff employee is reemployed by the University before the end of the severance repayment period, that portion of the severance pay equal to the base pay they would have earned if not terminated may be retained by the employee. The balance must be repaid to the University as stated in the General Release of All Claims and Severance Repayment Agreement.

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5. Senior Staff Administrative Review

a. Purpose

  • The Senior Staff Administrative Review is a formal guideline for examination by line management of any action that the employee believes constitutes improper treatment and has directly affected them.
  • The Administrative Review does not preclude informal discussions with senior university managers in an attempt to resolve problems.

b. Procedure

  • Discussion With Supervisor
    The Senior Staff employee should first discuss the problem with their immediate supervisor, indicating the nature of the complaint, the university policies involved, and the desired resolution. The supervisor should respond orally or in writing as expeditiously as possible, but no longer than one week.
  • Written Statement
    If the matter is not resolved by this discussion, the Senior Staff employee may present the problem in writing to the cognizant Dean, Vice President, Vice Provost, or Provost within one week. The Dean, Vice President, Vice Provost, Provost or their designee shall consider the issue, make whatever disposition they deem appropriate, and respond to the employee in writing within two weeks.
  • Appeal
    The determination of the Dean, Vice President, Vice Provost, or Provost shall be final except in circumstances where they had direct and immediate involvement in the decision that gave rise to the complaint in the first instance. In this case, an appeal may be made to the Vice President for Human Resources or their designee. Unless the Vice President for Human Resources determines the matter is appropriate for Presidential review, the decision of the Vice President for Human Resources, or their designee, shall be final.

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6. Cognizant Offices

a. Policy Revisions
Send proposals for policy changes to the Vice President for Human Resources for study and recommendation.

b. Policy Interpretations
Address questions of policy interpretation to the Vice President for Human Resources.

c. Records
Send copies of appeals and dispositions to the Vice President for Human Resources.

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2.1.15 Trial Period

Last updated on:
03/09/2017
Formerly Known As Policy Number: 
22.14
Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all regular employees as defined in Guide Memo 2.2.1: Definitions. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements found at Labor Relations & Collective Bargaining

1. Definition and Purpose

The trial period is an initial period of service during which the department assesses the performance of a newly hired regular employee to determine if the employee meets the requirements and expectations of the position.

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2. Policies

a. Length of Trial Period
The trial period is an employee's first 12 months of service as a regular employee with the university, including service as a trainee.

The trial period is automatically extended for the duration of any approved leave of absence. No other extensions of the trial period are permitted.

b. Salary Increases and Bonuses During Trial Period
Trial period employees are not eligible for a salary increase based on merit.  However, trial period employees may receive equity or retention adjustments, and spot or team bonuses, at any time during their trial period.

c. Additional Trial Periods
An employee who has completed a trial period does not serve an additional trial period when transferred, promoted, or assigned to different duties within the university. However, employees who have been rehired must serve a new trial period, including those employees whose original hire date is reinstated pursuant to Administrative Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff.

d. Completion of Trial Period
The department should notify the employee by the last day of the trial period that the trial period has been completed or extended due to an approved leave of absence. When such notice is not given, the trial period is considered to have been completed. In extenuating circumstances, the Human Resources Manager may determine that the trial period is not completed if timely notice could not be given.

e. Layoff Trial Period
An employee will serve a layoff trial period for the initial six months in the new position when:

  • Hired into another position following permanent layoff, or
  • Given formal notification of permanent layoff, or
  • Given notice that layoff will result if the employee does not obtain alternative employment in the same department or administrative unit.

If the employee does not complete the layoff trial period successfully, then the employee may revert to layoff status and receive any benefits that may accrue to that status. Reversion to layoff during the layoff trial period may be invoked either by the employee or by the department.

An employee may serve only one layoff trial period following any one layoff, and may invoke the option to revert to layoff status only once. If hired into a second job (either a subsequent or a simultaneous job), the employee does not serve a layoff trial period. Extension of layoff trial period or completion of layoff trial period is handled as described for the trial period.

f. Termination During Trial Period or Layoff Trial Period
The provisions of Guide Memo 2.1.16: Addressing Conduct & Performance Issues do not apply. During the trial period, the employment relationship between the employee and the university is "at-will." This means that employment can be terminated by either the employee or the university at any time and for any reason, or no reason, with or without notice.

The Vice President for Human Resources or his/her designee must approve such terminations.

If an employee who is terminated during their trial period has concerns and/or feedback regarding their employment, they may contact the local Human Resources Office or University Human Resources/Employee & Labor Relations.

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3. Guide to Supervisors

Planning the Trial Period
Supervisors are expected to establish and communicate performance expectations and try to resolve problems during the trial period. Supervisors should consult with their local Human Resources Office about extending a trial period due to an approved leave of absence, or any problems that could lead to a termination of the employee during or at the end of the trial period.

Please contact your local Human Resources Office for any questions related to the trial period.

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2.1.16 Addressing Conduct and Performance Issues

Last updated on:
08/24/2018
Formerly Known As Policy Number: 
22.15

This Guide Memo provides guidance on when and how to use corrective action (including termination of employment) to deal with unsatisfactory performance, unsatisfactory conduct, or a combination of both.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all academic staff and regular employees (who have successfully completed the Trial Period) as defined in Guide Memo 2.2.1: Definitions, except Senior Staff. For policies that apply to employees covered by collective bargaining agreements, refer to the applicable agreements between Stanford University and SEIU Higher Education Workers Local 2007, and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining.  

1. Policy Statement

It is the policy of the University that employees are expected to carry out their assigned tasks and responsibilities as instructed and to conduct themselves in accordance with reasonable rules and expectations for the work place. University policy is: Employees cannot be terminated without some form of cause. "Cause" is defined broadly as any legitimate business reason, including but not limited to: Failure to satisfactorily perform job duties or meet job requirements, unavailability for work, excessive absences or tardiness, disclosure or misuse of confidential information, damage or misuse of University property, insubordination, failure to follow University policies and procedures, failure to return from an approved leave, failure or refusal to fully cooperate with a university investigation and/or request for information, unsatisfactory conduct or any other conduct or acts detrimental to or that disrupt the reputation or operations of the University.

Written corrective action and involuntary termination is subject to Guide Memo 2.1.11: Staff Grievance Policy.

Corrective action is taken when an employee has not conformed to performance or conduct expectations. University policy does not require corrective action be taken in any formal steps or order, and recognizes that the determination of appropriate corrective action will depend on the facts and circumstances of the particular situation. Moreover, some forms of conduct, including any form of gross misconduct, warrant immediate termination.

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2. Purpose

The purpose of this policy is to make clear to supervisors and employees when corrective action or termination can be imposed.

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3. Guide to Supervisors

a. Overview
It is the responsibility of the supervisor to provide honest and constructive performance feedback to their direct reports.

b. Notice
Supervisors are normally required to give written notice (e.g., memo, performance evaluation, letter, etc.) that performance or behavior is unsatisfactory and improvement is needed before terminating an employee. Such notice may or may not be preceded by verbal coaching. However, prior notice is not necessary in cases where immediate termination is appropriate (please consult with local Human Resources office).

c. Discharge
As mentioned in section 3.b, supervisors are normally required to provide notice to an employee of performance deficiencies before termination. However, there is no requirement that notice be provided before termination of employment in all cases. A supervisor must consult with the local Human Resources office before the decision to discharge an employee, and cannot finalize the discharge decision without the concurrence of their next level manager and review and approval by the Office of the Vice President for Human Resources, or their designee.

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2.1.17 Layoffs

Last updated on:
07/22/2016
Formerly Known As Policy Number: 
22.16

This Guide Memo outlines Stanford University's policies and procedures for carrying out the temporary, seasonal or permanent layoff of employees.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all academic staff and regular staff employees as defined in Guide Memo 2.2.1: Definitions. Lecturers, Senior Lecturers, and Senior Staff should refer to Guide Memo 2.1.9: Separation from Employment, and Guide Memo 2.1.14: Senior Staff. For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining. While policy statements apply to the entire university, including SLAC, some of the specific procedures given here do not apply at SLAC. Employees should contact the SLAC Human Resources Department for information relating to the procedural aspects of layoff at SLAC. Trial period and contingent (temporary and casual employees) are not eligible for layoff benefits.

1. Policy Statement

Layoffs may be temporary or permanent, and may occur because of budgetary reasons, lack of work, reorganization, or redefinition of the university’s or the department’s needs. The university shall determine when layoffs will occur, the administrative unit, department, or work group in which the layoff will occur (i.e., the layoff unit), and which position(s) are subject to layoff. Such decisions are not subject to review. The layoff process and implementation must be carried out in coordination with the local human resources manager with the approval of Employee & Labor Relations.

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2. Definitions

a. A temporary or seasonal layoff is the removal of a regular staff employee from work for a period not exceeding four months.  A temporary or seasonal layoff occurs when, in the judgment of the university, a temporary reduction in the workforce or of a particular kind of work is necessary within a particular layoff unit. There is no break in continuity of university service during temporary or seasonal layoff.

b. A permanent layoff is the separation from university employment of a regular staff employee who has completed the trial period due to:

  1. the elimination of a position, or
  2. the reduction of a position to less than 75% time, or
  3. the reduction of a position from regular to non-regular status.

 

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3. Layoff Notice

  1. Temporary or Seasonal Layoff
    1. Employees designated for temporary or seasonal layoff should be given at least two weeks’ (14 calendar days’) notice in advance of the layoff date, except in cases of emergency or in circumstances beyond the university’s control.  If notice is provided orally, it should be followed with confirming written notice by no later than the actual date of layoff.
    2. The written notice must include the effective date of layoff and the date the employee is instructed to return to work. Any change to the terms in the layoff notice should also be confirmed in writing.
  2. Permanent Layoff
    1. Notice or Pay in Lieu of Notice: In cases of permanent layoff, the department must give at least one month's (e.g., June 15 through July 14) written notice but no more than three months' written notice. When pay is given in lieu of notice, one month is the maximum period for which such payment can be made.
  3. Early Resignation: If an employee resigns after receiving written notification of permanent layoff and prior to the effective date of layoff, the balance of the notice period will not be converted to pay. However, the employee remains eligible to receive severance pay in accordance with the terms of this policy and the schedule below (see section 6).
  4. Layoff of Academic Staff-Research and Academic Staff-Libraries
    1. When layoffs of research associates or librarians occur for programmatic reasons, the employee must be given at least three months’ written notice. When pay is given in lieu of notice, three months is the maximum period for which such payment can be made.
    2. When layoffs of research associates or librarians occur for non-programmatic reasons, such as lack of available financial support, the employee must be given at least one month’s written notice, or when pay is given in lieu of notice, a maximum of one month's pay.
  5. Change in Layoff Status: Notice of layoff to a regular staff employee may be changed in the following circumstances:
    1. Deferral of Layoff: A regular staff employee who is notified of layoff but has not yet been laid off and who subsequently accepts work that is anticipated to last less than six months will have their layoff date deferred to the end of the temporary assignment. Work can be within the same department or a different department. A letter deferring the layoff must be issued to the employee with the new layoff date. Each layoff can be deferred one time only. If the employee resigns after notification of the deferral, they can receive severance pay, which will be recalculated to reflect the last day of employment. Severance pay is based on the employee’s rate of pay and percentage of full time in the position from which they were laid off.
    2. Rescission of Layoff: A regular staff employee who has received notice of layoff but has not yet been laid off and subsequently is retained by the department either in the same, or a substantially equivalent, regular, benefits-eligible position, will have their layoff rescinded. Under these circumstances, the department shall give written notice to the employee that their layoff has been rescinded, after which the employee is no longer in "layoff status," and will not receive severance pay if they resign. An employee who resigns after receiving a letter of layoff rescission will be considered a "voluntary resignation," insofar as the employee has not received a new notice of layoff. For any future staff reductions, the department should follow the normal notice and layoff procedures of this Guide Memo.
    3. Rehire in a Different Department: A regular staff employee who has received notice of layoff but has not yet been laid off and subsequently is hired by any Stanford University department in a regular, benefits-eligible position will not receive severance pay. The position selected for layoff will still be eliminated or reduced. The employee will serve a layoff trial period as described in Guide Memo 2.1.15: Trial Period.

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4. Benefits and Time Off

  1. Medical Plan Coverage: Stanford will continue its contribution to a laid off employee's medical plan for the employee and their enrolled dependents during the first three months after layoff, provided the employee completes the necessary medical coverage selection within the required timeframe and subject to prompt payment of any required contributions by the employee. The laid off employee is required to pay the full cost of the plan coverage, plus the administrative fee for coverage, after the first three months of COBRA coverage. For temporary or seasonal layoffs, the university will make contributions during the layoff period (up to four months).
  2. Dental and Vision Coverage: The laid off employee pays the full cost of COBRA coverage, plus administrative fees, for dental and vision, beginning with the first day of COBRA eligibility. The university makes no contribution.
  3. Vacation and Sick Leave Accruals: A regular staff employee who has received notice of layoff may accrue vacation and sick leave in any month in which the employee receives pay, unless the employee is on terminal vacation. During temporary or seasonal layoff, vacation and sick leave accrue as if the employee were continuing to work regular time (please see Guide Memo 2.1.6: Vacations and Guide Memo 2.1.7: Sick Time: Regular Staff Employees, Regular Academic Staff-Research and Regular Academic Staff-Professional Librarians).
  4. Floating Holiday/Personal Time Off: A regular staff employee who has received notice of layoff but has not yet been laid off will have floating holiday hours and personal time off made available on January 1 in accordance with Guide Memo 2.1.13: Paid Holidays and Guide Memo 2.1.8: Miscellaneous Authorized Absences, unless the employee is on terminal vacation.
  5. Holiday Pay/Time Off: A regular staff employee who has received notice of layoff may receive holiday pay for any month in which the employee receives pay, and in which the employee is on paid status preceding and the day following the university designated holiday, unless the employee is on terminal vacation. When the employee is on a temporary or seasonal layoff period not exceeding 25 calendar days, regular holiday pay for the employee's normally scheduled number of hours will be paid upon the employee's return to work (link to Guide Memo 2.1.13).
  6. Outplacement Services: Regular staff employees whose employment terminates due to permanent layoff will be eligible for three months of outplacement services to be used within six months of the date the employee receives written notification of their layoff. The outplacement services shall be provided by an outplacement agency designated by the university, in its sole discretion, and the cost for such services shall be borne by the university in an amount to be determined from time to time, with additional amounts, if any, to be paid by the department from which the employee was laid off and approved by the Vice President of Human Resources (or designee).

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5. Selection for Layoff

  1. Temporary or Seasonal Layoff: Management of the administrative unit, work group, or department decides which employees will be placed on temporary or seasonal layoff. The Dean of Research will review all cases involving senior research associates or research associates.
  2. Permanent Layoff    
    1. Prior to providing notice of layoff to a regular staff employee within the layoff unit, the university should consider terminating temporary and trial period employees, provided the employees remaining in the layoff unit possess sufficient skills and abilities to do the work required. The elimination or reduction of a position as determined above will not result in a notice of layoff if:
      1. The position is occupied by an employee still in the trial period, in which case the employee undergoes termination during the trial period (see Guide Memo 2.1.15: Trial Period), or
      2. The position is occupied by a fixed-term employee whose fixed term of employment concludes at the same time as the position is eliminated or reduced, or
      3. The position is occupied by a temporary employee, in which case the temporary employee will be terminated, or
      4. The position is occupied by an employee who accepts alternate university employment prior to the effective date of the layoff.

Except in the above four cases, the elimination or reduction of a position may result in a notice of layoff.

  1. Management will determine the selection of employees for layoff or retention based on its judgment of the current and prospective operational and performance requirements in the layoff unit, and whether the affected employee's demonstrated performance, knowledge, skills, and abilities meet those requirements.
  2. When management deems that the performance, knowledge, skills, and abilities of employees necessary to meet the current and prospective operational and performance requirements are substantially equal, then length of continuous employment with the university and the university's affirmative action commitments will be considered in selecting employees for layoff, reassignment, or retention.
  3. Failure to Return to Work: If an employee on temporary or seasonal layoff fails to return to work when scheduled to return to work or when recalled to work, the employee’s employment shall be terminated unless a leave of absence is requested and approved in advance of the return date. Written notice of termination must be given to the employee no later than the termination date and must include the date of termination and notice of the employee's right to apply for unemployment compensation benefits.
  4. Reemployment from Layoff Status: An employee who has received notice of permanent layoff and who applies for other employment within the university will have an employment preference for hiring purposes (see Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff). 

 

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6. Severance Pay

  1. Each eligible regular staff employee with one year or more of continuous university employment is eligible to receive severance pay on the date of permanent layoff in accordance with the Severance Pay Table below, provided a signed General Release of All Claims and Severance Repayment Agreement is executed and the Agreement’s revocation period has expired. Severance payment generally is made on the last day of employment or within five working days after expiration of any revocation period in the General Release of All Claims and Severance Repayment Agreement, whichever is later.
  2. An employee will not receive severance pay more than once for the same period of service with the university. To calculate future severance pay eligibility for an employee who was previously laid off:
    1. Determine the severance pay eligibility (in months of base pay) from the table below.
    2. Subtract the eligibility corresponding to the number of months of severance pay previously received.
    3. Add back in any months or partial months of severance pay previously repaid to the university (see Section 6(c)).

For purposes of any future severance calculation for a subsequent layoff, an employee who has received severance pay under the terms of a collective bargaining agreement is reemployed by the university in a position that is not covered by that collective bargaining agreement shall be considered a new employee with length of continuous service with the university only from the date of reemployment unless the severance allowance is repaid in accordance with Section 6(c).


Severance Pay Table

Years of continuous regular University employment1 severance pay eligibility in months of base pay2
1 year but less than 2 0.5
2 years but less than 4 1
4 years but less than 7 2
7 years but less than 10 3
10 years but less than 12 4
12 years but less than 14 5
14 years but less than 16 6
16 years but less than 18 7
18 years but less than 20 8
20 years but less than 22 9
22 years but less than 24 10
24 years but less than 26 11
26 years or more 12
  1. Repayment of Severance Pay
    1. If an employee who has received severance pay is reemployed by the university as a regular benefits-eligible employee before the end of the severance repayment period (see Table in Section 6(b)), the employee may retain only that portion of the severance pay equal to the base pay they would have earned if not laid off (e.g., only the base pay the employee would have received between the dates of layoff and rehire). The balance of the severance pay is to be repaid in full at the time of reemployment, unless the employee authorizes and the university approves a reasonable schedule of repayment and payroll deduction, not to exceed one year in length, in writing on a form provided by Employee & Labor Relations.

Severance repayment will be prorated for an employee rehired into a position with a lower percentage time commitment than the position from which the employee was laid off. An employee may request other arrangements, and if approved, the schedule of repayment will be established by written agreement between the employee and the Vice President for Human Resources. (In the case of Senior Research Associates, Research Associates and all levels of Librarians, such other arrangements shall be between the employee and the Provost's Office.)

2. Effect of Terminal Vacation on Severance Repayment: If the laid off employee elects to take terminal vacation as described in Guide Memo 2.1.6: Vacations, the severance repayment period begins on the first work day following the terminal vacation period.

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7. Grievance

Involuntary termination due to layoff is subject to Guide Memo 2.1.11: Grievance Policy. Only the decision to select the particular employee for layoff can be grieved.

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Footnote(s): 

1 When used in this Guide Memo, continuous university employment is the period of employment beginning with the employee's most recent hire date as a regular staff employee. Reinstatement of hire date after a break in service is described in Section 2.d of Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff.

2 Base pay means the monthly salary of record and does not include any premium pay (e.g., shift differential, pay for overtime, or supplemental pay). Severance payment is calculated on the base monthly pay at the time of separation or the average base monthly pay earned over the preceding 12 months, whichever is greater.

2.1.18 Military Leave

Last updated on:
01/01/2015
Formerly Known As Policy Number: 
22.17

The Uniformed Service Employment and Reemployment Rights Act of 1994 ("USERRA") prohibits employers from discriminating against employees who fulfill non-career military obligations in the Uniformed Services. It also requires employers to provide a leave of absence to allow employees to perform military obligations. Separately, the Family Medical Leave Act ("FMLA") entitles eligible employees to take leave for a "qualifying exigency" when a covered family member is called to active duty or to care for a covered family member who is injured in the line of duty.

This policy provides military leaves as required by these and other laws and complies with the other relevant provisions of USERRA, other related regulations or as approved by Stanford University.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to all regular staff as defined in Guide Memo 2.2.1: Definitions, Academic Staff-Research, and Academic Staff-Libraries. For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining

1. Military Training Leave

a. When required to perform annual military training duty, a regular employee receives time off for the period of actual training, up to 17 calendar days a year. The University supplements the employee's military base pay for the scheduled working days of absence, up to the employee's full salary. Employees must complete one year of employment to receive supplemental military training pay from the University. Contact your local Human Resources Office for more information if needed.

b. Procedures for Military Training Pay
The affected employee should be placed on Leave of Absence Unpaid for reason of Military Service so health and life benefits are not interrupted. Upon conclusion of the training leave, the employee must provide a copy of the pay stub verifying income received from the military. The department then adjusts the employee's pay for the leave period so that the adjusted salary plus military pay equal the usual full salary.

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2. Military Active Service Leave

An employee who voluntarily enters military service or is called to active duty for an extended period will have reinstatement rights to his/her current position if these requirements are met:

  • The employee ensures Stanford receives advance written or verbal notice of military service,
  • The period of service does not exceed five years,
  • The employee returns to work or applies for reemployment in a timely manner after service ends, and
  • The employee separates from military service under honorable conditions.

Contact your local Human Resources office with any questions about this information.

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3. Military Spousal Leave

a. Type of Leave
Under California law, up to 10 days of unpaid leave is available to eligible employees who are spouses/domestic partners of deployed members of the military when the military spouse/domestic partner is on leave from deployment during a time of military conflict.

b. Eligibility
To be eligible for this form of leave, an employee must work an average of 20 or more hours per week and be the spouse or domestic partner of a "qualified member" of the United States Armed Forces, National Guard, or Reserves. A "qualified member" is a member of the United States Armed Forces who has been deployed during a period of military conflict. The employee also must provide: 

  • notice of intention to take family military leave within two business days of receiving official notice that the employee's military spouse will be on leave from deployment, and
  • documentation certifying the employee's military spouse will be on leave from deployment during the time that the employee requests leave.

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4. Leave for Families for Members of the Armed Forces (FMLA)

a. Qualifying Exigency (Emergency) Leave
Qualifying emergency leave allows eligible employees (see 4.c) to use some or all of their 12-week FMLA leave entitlement for an emergency due to a family member's active duty or call to active duty in any branch of the U.S. Armed Forces. Armed Forces include National Guard and Reserves. Qualifying emergencies are defined by regulation and include issues arising from a short-notice deployment, military events, child care, school activities, financial or legal arrangements, counseling, rest and recuperation, post-deployment activities, or any issue the University and employee agree to designate as a qualifying emergency.

b. Military Caregiver Leave
Military caregiver leave allows eligible employees (see 4.c) up to 26 weeks of job-protected FMLA leave in a rolling 12-month period that begins on the verified FMLA start date to care for covered family member who is a member of the Armed Forces and who:

  • suffers serious injury or illness in the line of duty, or
  • undergoes medical treatment, recuperation, or therapy for a serious injury or illness.

Service member means veterans and current members of the U.S. Armed Forces including the National Guard or Reserves.

Eligible employees may request caregiver leave to care for a veteran who:

  • is undergoing medical treatment, recuperation, or therapy for a qualifying serious injury or illness incurred in the line of duty, while on active duty. (A serious illness or injury can include a preexisting injury or illness that was aggravated in the line of duty, while on active duty.), and
  • was a member of the Armed Forces (including the National Guard or Reserves) at some point during the five-year period before undergoing the treatment, recuperation or therapy.

c. Eligibility
(1) Employee must be a spouse, parent, son or daughter of the service member.
(2) Employees are eligible to take this type of leave if employed by the University at least one year and have worked at least 1,250 hours (paid time off, paid leave and unpaid leave not included) during the 12 months before the start of the requested leave.

NOTE: This leave entitlement does not increase the amount of time an employee can be off work for FMLA reasons, except that up to 26 weeks of unpaid leave is available to care for an injured service member during a 12-month period.

For example, if an employee has used 12 weeks of FMLA leave for the birth of a child, the employee is not entitled to an additional 12 weeks of leave within that 12-month period to deal with exigent circumstances arising from a family member call to active duty. But, the employee would be entitled to up to another 12 weeks (for a total of 26 weeks combined) to care for a covered family member who is injured in the line of duty.

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5. Benefits During Military Leave

a. Health and Life Benefits
Employees on unpaid leave for Military Service (MIL) will have the same University benefit contributions as when actively employed. The employee will be billed for the employee portion of the costs on an after-tax basis on the 7th and 22nd of each month.

b. Retirement Savings Plan (SCRP)
When an employee receives adjusted pay upon return from Military Leave, retirement savings plan benefit accruals and/or contributions will be made, subject to plan provisions.

c. Retiree Medical Eligibility
Time on Leave for Military Services counts toward official retiree medical eligibility.

d. Benefits in Cases of Termination

  • Medical and Dental Coverage
    A regular employee whose University employment is terminated while the employee is on Military Leave may continue medical and dental coverages at the employee's expense through COBRA for 18 months.
  • Life Insurance
    Life insurance portability or conversion to an individual plan is available. The employee should contact Stanford Benefits at the time of termination for the appropriate forms.

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2.1.19 Relocation of Faculty and Staff

Last updated on:
03/20/2018
Formerly Known As Policy Number: 
36.8; 2.1.20

This Guide Memo sets forth policies and procedures to facilitate the moving and reassignment of new or current Stanford faculty and staff, where such action is considered to be in the best interests of the University. The policy is designed to give maximum flexibility to schools, departments and other organizational units while assuring compliance with federal and state regulations. The provisions of this policy apply only when an offer of employment is made. Allowances during the recruitment process are at the discretion of the vice president or vice provost for the area making the hiring decision (see Guide Memo 5.4.2: Travel Expenses, section 13).

Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer and the Vice President for Human Resources.

Applicability: 

This policy applies to new and current Stanford faculty and staff except those covered by collective bargaining agreements. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements at Labor Relations & Collective Bargaining

While policy statements are applicable to the entire University, including SLAC, some of the interpretations of policy contained in this Guide Memo may be different at SLAC. Employees should contact the SLAC Travel Office for guidance regarding relocation policy interpretation at SLAC.

1. Tax Implications

a. Reimbursement Reported as Additional Income
When applying this relocation policy, departments should be aware that the Internal Revenue Service (IRS) requires the University to report any payments, reimbursements, and advances associated with the move of the employee, the employee’s immediate family, and their household goods and personal effects as additional compensation income to the employee, subject to payroll taxes.

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2. General Policies

a. Responsibility for Administering Policy
This policy is administered by the appropriate vice president, vice provost, dean or designee. Guidance on policy interpretation and procedural issues may be obtained from the Vice President for Human Resources and from the SLAC Travel Office.

b. Responsibility for Relocation Costs
The unit approving the relocation bears all costs.

(1) Charges to Sponsored Projects
Where costs are to be charged to a sponsored project, the terms of the applicable sponsored project award will take precedence.
(2) Exceeding Relocation Allowances
The appropriate vice president, vice provost, dean or designee may authorize the reimbursement of actual moving expenses in excess of the relocation allowances stated in this policy.

c. Reimbursement Authorization
When an offer is made to pay moving expenses, a letter of authorization must be sent to the new employee at the time employment is offered. It is the responsibility of the department issuing the reimbursement request to be sure it complies with the letter of authorization. The letter of authorization must specify:

  • Reimbursable expenses and the maximum actual expenses that will be paid by the University
  • Any lump sum amounts that would be in excess of actual expenses
  • Any expenses subject to tax reporting and withholding

d. Preferred Carriers
The department or the individual being moved can go to Moving Services for information.

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3. Eligibility

Relocation allowances should be offered only when the University feels that payment of part or all of relocation expenses is a significant factor in being able to attract a potential employee to Stanford, or in being able to attract an employee to accept a temporary reassignment. Eligibility for relocation allowances does not establish an entitlement. Payment of relocation expenses to an eligible person is at the discretion of the hiring unit.

a. Stanford Employees
Employees eligible for taxable moving reimbursements and advances per IRS guidelines (see section 1) include:

  • New full-time employees whose new Stanford job location is at least 50 miles farther from their former home than their old job location was from their former home.
  • Current full-time employees temporarily reassigned to a location 50 or more miles away. If such a reassignment is for less than a year, it is a Stanford business expense and not tax-reportable. Travel rules apply; see Guide Memo 5.4.2: Travel Expenses. However, if relocation is for a year or more, relocation rules apply, as covered in this Guide Memo.

Exceptions to the eligibility criteria may be made by the appropriate vice president, vice provost, dean or designee.

Tax Note: Exceptions that do not meet IRS guidelines (for example: full-time employment or 50-mile distance) are tax-reportable to the employee.

b. Spouses/Same-Sex Domestic Partners and Dependents
Relocation costs for spouses/same-sex domestic partners and dependents are reimbursable to the extent described in this Guide Memo.

Tax Note: Domestic partner expense reimbursements are tax-reportable to the employee.

c. Non-employees and Distinguished Visitors
Travel reimbursements for non-employees and distinguished visitors are described in section 11 of this Guide Memo.

Tax Note: Any reimbursement of moving expenses for a part-time appointment is tax reportable.

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4. House-hunting Expenses

a. Policy
All or part of the expenses associated with a trip to Stanford for the purpose of house-hunting may be reimbursed to a prospective employee. Generally these may include those expenses reimbursable for travel by University employees (see Guide Memo 5.4.2: Travel Expenses), except that the per diem method may not be used. However, the Per Diem Rates may be used as a guideline for defining reasonable costs.

In addition, the vice president, vice provost, dean or designee may authorize the following:

  • Expenses related to bringing a spouse/same-sex domestic partner
  • Expenses for necessary child care
  • Expenses related to a professional relocation service

Reimbursement for house-hunting expenses does not apply to dependents other than to a spouse/same-sex domestic partner.

b. Procedure — In any instance where house-hunting trip expenses are to be reimbursed by the University, the cognizant University officer should specify in writing to the prospective employee the terms and conditions of the reimbursement, including a maximum dollar amount to be reimbursed. It is the responsibility of the department issuing the reimbursement request to be sure it complies with the letter of authorization. Receipts must be submitted for expenses, as required in Guide Memo 5.4.2: Travel Expenses, section 14.

Tax Note: All house-hunting expenses are tax reportable.

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5. En Route/Travel Expenses

a. Policy
All or part of the actual expenses associated with a new employee's travel to commence a position at Stanford may be reimbursed. This policy also covers spouses/same-sex domestic partners and dependent children living at home. Costs covered include reasonable transportation costs (see Guide Memo 5.4.2: Travel Expenses) and actual and reasonable costs of lodging, meals and gratuities. Mileage reimbursement is at the current Stanford rate (see Mileage Reimbursement Rates).

b. Procedure
See section 4, House-hunting Expenses.

c. Guidelines
The cognizant vice president, vice provost, dean or designee defines reasonable costs. If further guidance is needed the following guidelines are suggested:

  • Transportation Costs — Airline tickets may be reimbursed. If a vehicle is driven, a typical minimum expectation for travel by personal auto is 350 to 400 miles per day.
  • Lodging, Meals and Gratuities — Although the per diem method may not be used for reimbursement, the per diem rates may be used as a guideline for defining reasonable costs.

Tax Note: Tax-reportable items in en route/travel expenses include:

  • All domestic partner expenses
  • Airline tickets
  • Meals and gratuities
  • Vehicle mileage allowance over the IRS approved mileage rate for moving (see Mileage Reimbursement Rates)

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6. Temporary Living Expenses

a. Policy
A reasonable part (as defined by the cognizant vice president, vice provost, dean or designee) of the actual or incremental expenses associated with temporary living arrangements while relocating near the University may be reimbursed.

b. Procedure
See section 4, House-Hunting Expenses.

Tax Note: All temporary living expenses are tax reportable, except for the day of departure from the old location and day of arrival in the new location.

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7. Moving of Household and Personal Effects

a. Policy
All or part of the actual and reasonable expenses of moving the household and personal effects of a new employee may be reimbursed. This policy also covers spouses/same-sex domestic partners and dependent children living at home. Where a mobile home is the principal place of residence, the University may reimburse the employee for expenses associated with unblocking, wheel rental, transportation, and resetting at the new location.

b. Procedure
In addition to the procedures outlined in section 4 (House-Hunting Expenses) above, the cognizant officer should specify the appropriate details in the letter of authorization. Unless there are unusual circumstances, a reasonable weight allowance is 15,000 pounds.

(1) Reimbursable Costs
The moving allowance may include:

  • The actual cost of packing, crating, transporting, unpacking, and uncrating household effects
  • Costs incurred for moves to and from storage
  • Storage costs (limited to 60 days)
    Tax Note: Tax-reportable after 30 days.
  • Costs of connecting and disconnecting household equipment
  • “All risk” replacement cost insurance (which should be arranged through the shipping agent or carrier)
  • Household pets

Tax Note: All relocation expenses are taxable, including airfare, meals/hotel/travel costs in transit, and domestic partner/spouse/family expenses.

(2) Non-reimbursable Costs
Moving allowances exclude such items as:

  • Animals (except for household pets)
  • Pleasure boats
  • Airplanes
  • Vacation trailers
  • Recreational vehicles
  • Canned, frozen and bulk foodstuffs
  • Building supplies
  • Plants
  • Storage sheds
  • Farm equipment
  • Firewood

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8. Moving of Laboratories

a. Policy
Moving of laboratory supplies and equipment is a Stanford business expense, not subject to IRS reporting.

b. Procedure
The letter of authorization should instruct the moving company to document the costs of packing, crating, transporting, uncrating, and unpacking laboratory effects separately from the costs of moving household effects.

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9. Auto Shipment

The vice president, vice provost, dean or designee may authorize all or part of the actual and reasonable expenses of moving two cars per household. The cars may be driven or shipped.

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10. Expenses for Return Trips to Former Residence

a. Policy
In a case where a new employee must return to his/her former residence to help with a move, or where the new employee is separated from his/her family for more than one month, the cognizant officer may authorize reimbursement for expenses relating to up to two trips to the employee's former residence.

b. Procedure
Any reimbursement should cover transportation costs only and should be confirmed in writing before the travel takes place. Receipts are required (see Guide Memo 5.4.2: Travel Expenses.)

Tax Note: All expenses for return trips are tax reportable.

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11. Limited Assignment Expenses

a. Policy
The payment of expenses by the University may be authorized for faculty and regular staff with specifically limited assignments and for non-employees and distinguished visitors who perform teaching, research, or other related services. Limited assignments are for one calendar year or less and presuppose no change in permanent residence nor primary affiliation with another organization. All travel expense policies of the University (Guide Memo 5.4.2: Travel Expenses) apply to limited assignments, with these points of clarification:

b. Expenses are reimbursable only to the extent authorized in a formal letter of authorization (invitation). Transportation expenses for dependents may be allowed at the discretion of the vice president, vice provost, dean or designee, but will not be allowed for an assignment of fewer than 30 days.

Tax Note: Limited assignment expenses are tax reportable unless these conditions occur:

  • The person on limited assignment has duplicate expenses (both the home residence and the limited assignment lodging).
  • A member of the person's family continues to live in the home residence.
  • The person retains a primary affiliation to the home institution (i.e., to Stanford for employees on limited assignment elsewhere, to their other employer for visitors to Stanford).
    Tax Note: Dependent expenses for a person on limited assignment are tax reportable.

c. Local transportation costs should be held to a minimum by the use of University vehicles and public transportation, but car rentals and taxi expenses are reimbursable when necessary and reasonable, to the extent authorized in the letter of authorization.

d. Reimbursement
The University will not reimburse expenses except those specifically detailed in the letter of authorization. Expenses reimbursed by other sources may not be included in the reimbursement request.

e. Lodging
While a person is seeking longer term suitable housing, payment by the University of actual and reasonable short term lodging costs or a per diem reimbursement is allowed, consistent with section 5 (En Route/Travel Expenses) of this Guide Memo. After suitable housing is obtained, a lodging allowance may be authorized if deemed necessary. A lodging allowance may be necessary if the employee has actual expenses greater than those incurred living in his/her primary residence. Any income from renting the primary residence while on temporary assignment must be considered in the lodging reimbursement calculation.

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12. Reassignment Expenses

If reassignment of a faculty or staff member for official University purposes requires relocation, the University may pay the actual, reasonable, and necessary costs incurred, as approved by the cognizant vice president, vice provost, dean, or designee, subject to a maximum agreed upon in writing in advance. Expense incurred in connection with sabbaticals (unless retained on salary by Stanford) and leaves of absence will not be reimbursed.

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13. Expense Advances

Where appropriate, the University may elect to advance a relocating employee an amount to cover anticipated expenditures. Such advances may cover only expenses reimbursable to the employee and must be made in accordance with Guide Memo 5.4.1, Expense Advances.

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14. Repayment Provisions

Faculty or staff members who receive relocation assistance to accept a Stanford position will be required to reimburse the University for relocation assistance if they voluntarily leave the University for any reason within 12 months from their date of hire. Reimbursement to the University will be pro-rated according to the number of months the employee has worked at Stanford. (For example, an employee who leaves after six months would be required to repay half the relocation allowance paid.) This repayment provision must be included in the offer letter.

Tax Note: Non-repayment of relocation allowances has tax implications.

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15. Reimbursement Procedures

a. Oracle Financials Reimbursement Request
To claim reimbursement for relocation expenses the individual should submit an online Expense Report the through the Oracle Financials Expense Requests system. For requirements on receipts and other documentation, see Guide Memo 5.4.2, Travel Expenses, section 14.

b. Accounting
Relocation expenses are coded to moving expense expenditure types. Most such costs are classified as allowable. However, if the employee voluntarily resigns within 12 months of hire, the net moving costs (that is, the portion not repaid) must be transferred to an unallowable moving expense expenditure type.

c. Tax Withholding
For reimbursements on which income tax and Social Security withholding are required at the time of payment, Travel and Reimbursement will arrange with the Payroll Office for payment to be made through the payroll process.

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2.1.20 Staff Telecommuting and Remote Working

Last updated on:
12/08/2017
Formerly Known As Policy Number: 
2.1.21

As technology has made it possible to be more flexible in the way we work together to achieve our mission, Stanford recognizes that some staff seek the option of telecommuting  on a regular, part-time basis.  In appropriate circumstances, this preference can be accommodated.  In addition, and also in appropriate circumstances, Stanford may hire or transition existing staff to work remotely. This guide memo sets forth policies and procedures to facilitate telecommuting and remote working arrangements for eligible employees in appropriate circumstances.

Authority: 

Approved by the Vice President for Human Resources

Applicability: 

Applies to all regular employees as defined in Guide Memo 2.2.1 – General Employment Policies: Definitions. This policy does not apply to:

  • Casual or temporary employees
  • Employees covered by collective bargaining agreements
  • Faculty
  • Employees who are remotely working outside the U.S. See Guide Memo 12.2.22.
  • Employees telecommuting temporarily but for an extended period outside the U.S. See Guide Memo 12.2.21.

1. Policy Statement/Philosophy

The workplace culture at Stanford is one that is rooted in collaboration, continuous discourse about planned work and projects underway, and in providing stellar service to our faculty, students, patients, alumni and donors. With appropriate use of technology and managerial oversight, staff whose roles allow for some work hours to be performed away from their Regular Stanford Work Location may be eligible for telecommuting. (“Regular Stanford Work Location” is defined below in 2(a)). 

Though telecommuting might be a viable option for many eligible staff employees, it is not a right; it is an option that can be modified or revoked by Stanford at any time. Staff whose work cannot be performed at a location away from their Regular Stanford Work Location are not eligible to telecommute. Further, for a variety of operational reasons, telecommuting may not be extended to all employees who meet the minimum eligibility criteria described in Section 3 below. Decisions about the suitability of telecommuting are discretionary and typically made by the management (“Management”) in the school, department or business unit (“Department”) where the employee works, in consultation with local HR.

Agreements to requests to telecommute may be made when the arrangements are feasible, secure, reliable, effective, and meet Management’s goals and operational needs, all as determined in the discretion of Management. Management generally will determine the specific procedures for evaluating, approving or denying a telecommuting request in a manner consistent with this policy. At all times, telecommuting employees will have access to a fully equipped workspace at their Regular Stanford Work Location.

In addition, some Departments may have work conducive to hiring remote staff.  Remote employees are defined below in Section 2.  

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2. Definitions, Requirements and Obligations

a. Definitions

(1)  “Stanford Campus” means the Stanford historical campus and the Stanford Redwood City Campus.

(2)  “Stanford Alternative Work Location” means Stanford owned or leased premises, other than the Stanford Campus.

(3)  “Regular Stanford Work Location” means the Stanford Campus or Stanford Alternative Work Location designated by Stanford as the primary location at which the employee is generally expected to perform their work.

(4)  “Remote employee” means a Stanford employee who is approved, assigned, or designated by Stanford to work from a site other than the Stanford Campus or a Stanford Alternative Work Location as their primary work location.  This also includes an employee who is approved, assigned or designated by Stanford to telecommute on a full-time but temporary basis (more than 4 consecutive weeks) from a location other than the employee’s Regular Stanford Work Location.

(5)  “Telecommuting” means performing Stanford work on a regular, part-time basis from a location other than the employee’s Regular Stanford Work Location, provided the location is not the Stanford Campus or a Stanford Alternative Work Location. 

b. Telecommuting Requirements and Obligations

(1)  After approval by departmental management, a telecommuting employee must sign the current form of Telecommuting Agreement and any other agreements and documents the Department or university may require.  The Telecommuting Agreement should be reviewed periodically but no less frequently than annually.

(2)  Departments must keep current records of the locations from which an employee telecommutes.  Such records must include the number of employees telecommuting from each city, county and state, the frequency each such employee telecommutes from such location, and the duration of the telecommuting on each such occasion.

(3)  Employees who are approved by their Department to telecommute are responsible to ensure, at their own expense, that their telecommuting worksite is ergonomically appropriate. Stanford resources exist to assist employees in making that determination, including the EHS 3400 training in STARS, the Computer Workstation Ergonomic Evaluation and the SU Work-At-Home Safety Checklist, all available on the Environmental & Health Safety (“EHS”) website at ehs.stanford.edu. Employees who do not have or are not able to provide themselves an ergonomically appropriate place to work should not telecommute and should work instead at their Regular Stanford Work Location.

(4)  Travel between an employee’s home and any telecommuting location is considered part of an employee’s normal commute and is non-reimbursable. The university will continue to provide telecommuting employees with appropriate reimbursement for approved, Stanford-related business travel in accordance with its travel reimbursement policies.

c. Remote Working Requirements and Obligations

(1)  Remote working arrangements must be approved by the Senior Associate Dean, Senior Associate or Associate Vice Provost, or Vice President of the Department as well as the local senior human resources manager. All employees hired as or transitioned to a remote employee status must sign a current Remote Working Agreement (Note:  The general template for this Agreement is approved by Office of General Counsel (“OGC”) and substantive or significant changes may require OGC approval).

(2)  All Departments must keep current records of the locations from which an employee is remote working.  Such records must include the the city, county and state. Remote employees should update their location with the Department within five business days after changing the city, county and/or state from which they are working.  Remote employees must obtain approval from the Senior Associate Dean, Senior Associate or Associate Vice Provost, or Vice President of the Department, or their designee, as well as the local senior human resources manager if they wish to relocate their remote workspace to a different city, state and/or country prior to such relocation.

(3)  Remote employees are paid competitive rates based on the local economy for the geographic region where they work as determined by Management in consultation with University Human Resources--Staff Compensation, all as approved by OGC consistent with applicable laws.  The university may adjust salary rates for employees who become remote employees consistent with the foregoing. In addition, Management should review the provisions of Administrative Guide Memo 2.2.2, and Fingate with respect to out of state payroll for remote employees working in the U.S. but outside of California.

(4)  Generally, the university does not maintain an equipped workspace on the Stanford Campus or a Stanford Alternative Work Location for remote employees. Accordingly, Departments with remote employees are required to provide reasonable reimbursement for (and/or supply) the equipment, services and supplies deemed by the university to be reasonable and necessary to enable remote employees to perform their Stanford work, all in accordance with Stanford’s policies governing reimbursement of business expenses. 

(5)  Remote employees must be provided with appropriate reimbursement for approved, Stanford-related business travel in accordance with its travel reimbursement policies.

(6)  Remote Working arrangements may be discontinued at the discretion of Management or the Department for reasons and upon notice which the Department deems appropriate under the circumstances.  In such event, the Department may consider offering the remote employee the opportunity to work at the Stanford Campus or Stanford Alternative Work Location which the Department deems appropriate, but is under no obligation to do so. Nothing in this Administrative Guide Memo requires a Department to retain a remote employee whom the Department would otherwise terminate or lay off, consistent with university policies.

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3. Eligibility and Expectations

a.     Eligibility Factors for Telecommuting

Generally, Departments and Management should take into consideration, among other factors,  the nature of the job/work, operational needs, whether the Department can maintain the quality of their services to members of the university community (and public, if applicable), performance and productivity of the employee, attendance and the ability of the employee to work independently.  Typically, employees who have received discipline within the preceding twelve months and employees who have not completed at least six months of their trial period should not be considered eligible for telecommuting.

b.    Eligibility Factors for Remote Working

When considering whether remote working is appropriate, Departments and Management should take into consideration, among other factors, the nature of the work, costs described in this AGM above at 2.c.(4), whether the Department can maintain the quality of their services to members of the university community (and public, if applicable) with an employee in such role working remotely, and whether the work should or must be performed remotely.

When an existing employee wishes to transition to work remotely, Departments and Management should take into consideration applicable factors listed above, but also costs associated with travel that would not have been necessary had the employee continued working at their Regular Stanford Work Location, performance and productivity of the employee, the challenges associated with replacing the employee locally, and the ability of the employee to work independently.

c.     General Expectations for Telecommuting and Remote Working

(1)  Telecommuting/Remote Working is not intended to permit staff to have time to work at other jobs, provide dependent or other care during work hours, or run their own businesses. Engagement in any such activities during expected work time may result in immediate termination of the telecommuting agreement/remote working agreement and/or possible corrective action (including potential termination of employment).

(2)  Compliance: Employees who telecommute or work remotely must comply with all Stanford policies and procedures, including adequately safeguarding and securing any restricted or confidential information (including PHI) with which they work in accordance with applicable law as well as Stanford and the Department’s policies and procedures. This may include encryption of all computer equipment used in the performance of Stanford work.  Failure to fulfill work requirements, both qualitative and quantitative, may result in revocation of telecommuting, disciplinary action, or termination of employment.

(3)  Work Schedule: Employees who telecommute or work remotely are expected to have regularly-scheduled and approved work hours (determined by the Department), to be fully accessible during those hours, and to attend meetings and functions in person (some of which may be on the Stanford Campus or Stanford Alternative Work Locations) as may be required, including on days they, if telecommuting, would customarily telecommute. Non-exempt employees who are approved to telecommute or work remotely are required to strictly adhere to required rest and meal breaks, and to accurately report their work hours. Details concerning timing and duration of required rest and meal breaks are set forth in Administrative Guide Memo 2.1.5.  Non-exempt employees must obtain prior approval before working any overtime.

(4)  Telecommuting and remote working arrangements end no later than at the employee’s termination, including for employees who leave Stanford University for Stanford University Hospital or the Lucile Packard Children’s Hospital at Stanford.  A telecommuting arrangement may be discontinued at any time prior to termination of employment in the university or Management’s sole discretion, or at the request of the telecommuting employee.  A remote working arrangement may be discontinued at any time prior to termination of employment for reasons and upon notice which is deemed appropriate by the university in the university or Management’s sole discretion.  

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4. Guide to Supervisors

Supervisors and managers have several key resources available when considering telecommuting or remote work situations, or when hiring a remote worker, including:

(1) The Department Human Resources Manager, who can guide Management through the required approvals and process.

(2) University Employee & Labor Relations (“ELR”), who can provide counsel on flexible work options.  ELR can be reached at stanfordelr@stanford.edu or 650-721-4272.

(3) Environmental Health & Safety, who can guide you on the ergonomic and safety issues.

(4) Global HR, who can guide Human Resources Managers (HRMs) and Management when an employee requests to work outside of the US.  Global HR can be reached at globalhrprograms@stanford.edu or 650 497-4339.

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2.1.21 Sick Time for Temporary and Casual Staff Employees

Last updated on:
12/09/2016
Formerly Known As Policy Number: 
2.1.22

This Guide Memo describes paid sick time accrual and usage policies for temporary and casual staff employees.

Authority: 

This Guide Memo is approved by the Vice President for Human Resources.

Applicability: 

Applies to all casual and temporary staff employees as defined in Administrative Guide Memo 2.2.1: Definitions. In this Guide Memo, these casual and temporary staff employees are referred to as “contingent employee(s).”

1. Accrual

  1. Eligibility

Contingent employees delineated in the Applicability section above accrue and use sick time as described below.

  1. Accrual of Sick Time
  • Contingent employees accrue sick time at the rate of .03334 hours per hour of straight time. This equates to one (1) hour for every 30 hours worked.
  • Unused sick time accumulates from year-to-year, with a maximum limit of 48 hours or six (6) days.
  • When a contingent employee leaves one position and accepts another one within the University, the contingent employee retains his/her sick time balance; the contingent employee is subject to any policies applicable to the new position regarding sick time use and limits on sick time accruals. 
  • If a contingent employee separates from the University and is rehired by the University within 12 months from the date of separation, previously accrued and unused paid sick days shall be reinstated.
  • Sick time shall not be paid out upon separation of employment.

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2. Use of Sick Time

Contingent employees may begin using sick time on the 90th calendar day after the start of employment with the University. Sick time must be accrued before it can be used. The use of sick days is limited to 24 hours or three (3) scheduled work days each year of employment, whichever is greater. Sick time may only be used for an absence that a contingent employee has during scheduled work hours.

Sick time may be used for the following reasons:

a. Absence Due to Illness or Injury

Sick time may be used when a contingent employee’s illness or injury prevents the contingent employee from working.

   b. Medical and Dental Appointments

   Sick time may be used for all medical and dental appointments, including: 

  • Diagnosis, care, or treatment of an existing health condition
  • Preventative care
  • Those appointments associated with a work injury (e.g., physical therapy)

   c. Domestic Violence, Sexual Assault, or Stalking

Sick time may be used by a contingent employee who is a victim of domestic violence, sexual assault, or stalking in order to:

  • Obtain or attempt to obtain any relief, including, but not limited to, a temporary restraining order, restraining order, or other injunctive relief, to help ensure the health, safety, or welfare of the victim or his or her child
  • Seek medical attention for injuries caused by domestic violence, sexual assault, or stalking
  • Obtain services from a domestic violence shelter, program, or rape crisis center as a result of domestic violence, sexual assault, or stalking
  • Obtain psychological counseling related to an experience of domestic violence, sexual assault, or stalking
  • Participate in safety planning and take other actions to increase safety from future domestic violence, sexual assault, or stalking, including temporary or permanent relocation

   d. Family Sick Time

Contingent employees may use sick time for diagnosis, care, or treatment of an existing health condition of, or preventive care for, a contingent employee's family member. For the purpose of this policy, family member includes only the contingent employee's:

  • Spouse or registered domestic partner
  • Children of the contingent employee or spouse or registered domestic partner (including a biological, adopted, or foster child, stepchild, legal ward, or a child to whom the contingent employee stands in loco parentis, regardless of the child’s age or dependency status)
  • Parents and parents-in-law (including a biological, adoptive, or foster parent, stepparent, or legal guardian of a contingent employee or the contingent employee’s spouse or registered domestic partner, or a person who stood in loco parentis when the contingent employee was a minor)
  • Brothers and sisters
  • Grandparents or grandchildren
  • Other family member dependent on the contingent employee and living in the contingent employee's household

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3. Administration

a. Notification of Absence

The contingent employee reports an absence (or planned absence) to the supervisor. The department is responsible for establishing and communicating rules on how contingent employees notify the department of absences. If the need for sick time use is foreseeable, the contingent employee shall provide reasonable advance notice. If the need for sick time use is unforeseeable, the contingent employee shall provide notice of the need for sick time use as soon as practicable. If a contingent employee has accrued sick time available and has not reached applicable limits of sick time use per year of employment, a request to use sick time should not be denied because details are not provided about the sick time use. Contingent employees may be asked to schedule appointments at a time convenient for the department. Where flexible schedules work for the department, supervisors are encouraged to accommodate appointments by flexing a contingent employee’s work hours.

b. Recording and Reporting Sick Time Accumulation and Use

The University uses the human resources management system (Axess/PeopleSoft HRMS) to record sick time credited, used, and accumulated for all contingent employees. Contingent employees record hours of sick time used in the Axess Timecard each pay period. The use of sick time is limited to 24 hours (or three scheduled workdays, whichever is greater) during each year of employment. Up to 24 hours of sick time use may be recorded in Axess; if a contingent employee has three scheduled work days of sick time use that exceeds 24 hours, the contingent employee should request assistance from the local Human Resources Office. Contingent employees are not paid for time spent away from work in excess of the sick time limit per year of employment, and such time is not recorded in Axess. (For information about Axess, see the Time & Leave System overview.)

c. Sick Time Credit Date

Sick time is credited at the beginning of each month of service, calculated based upon work hours recorded during the previous month. If a contingent employee needs to use sick time that has been accrued but not yet credited in Axess, the contingent employee should speak to the local Human Resources Office for assistance.

d. Tax Status

Sick time is taxable income. Federal, state and FICA taxes are deducted.

e. Medical Confirmation

(1) Medical Confirmation Related to Use of Sick Time

Acceptable medical evidence may be required for the use of sick time. However, for a contingent employee’s use of the first 24 hours of sick time (or three scheduled work days, whichever is greater) during each year of employment, excepting circumstances involving abuse or misuse of sick time as stated in subpart (2) below, supervisors may not require acceptable medical evidence, and supervisors should not deny sick time use based on a contingent employee’s failure to provide details about the sick time use. The supervisor who approves the use of sick time is responsible for confirming that the conditions for use of sick time are met.

(2) Medical Confirmation Related to Possible Abuse or Misuse of Sick Time

If the University has reasonable basis to believe that a contingent employee may have engaged in abuse or misuse of sick time at any time (even during the first 24 hours or three scheduled workdays of sick time use during each year of employment), the University may ask for acceptable medical evidence or other proof showing that a contingent employee has not engaged in abuse or misuse of sick time. Abuse or misuse of sick time, failure to follow sick time notification procedures (e.g., failing to provide reasonable advance notice for foreseeable sick time use, not providing requested medical information when abuse or misuse is suspected, or not giving notice as soon as practicable for unforeseeable sick time use) may be a basis for discipline, up to and including termination of employment. Also, use of sick time may be denied if there is abuse or misuse of sick time.

(3) Acceptable Medical Evidence

Acceptable medical evidence includes, but is not limited to, a healthcare practitioner’s statement that certifies a medical need for sick time, the expected duration of absence and anticipated return to work date, and any work-related limitations or restrictions (including the duration of those limitations or restrictions) when the contingent employee is released to return to work.

f. Sources of Funds for Sick Time

As sick time is used to replace scheduled work hours, it should be recorded in Axess on the timecard associated with the job for which the work time was scheduled. Sick time used is charged to the department that owns this job record.

g. Applicable Laws

The intent of this Guide Memo 2.1.22 is to meet or exceed requirements of all applicable laws, including, without limitation, the California Paid Sick Leave Law enacted by Assembly Bill 1522.

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4. Disability Insurance and Family Temporary Disability

a. Voluntary Disability Insurance (VDI) and Short Term Disability (STD)

The VDI and STD plans provide partial income continuation for periods of disability. Stanford’s VDI and STD plans are administered by Liberty Mutual Insurance Company, and there are specific rules regarding disability insurance benefits, including rules about eligibility and duration. For more information, contingent employees should contact their supervisors, the applicable local Human Resources office, or contact the University HR Service Team; they also may contact Liberty Mutual Insurance Company at (800) 896-9375 or submit a claim at www.mylibertyconnection.com (claimant service ID: stanford).

b. Family Temporary Disability (FTD)

FTD provides partial income replacement to care for seriously ill family members or to bond with a new child. Stanford’s FTD plan is administered by Liberty Mutual Insurance Company, and there are specific rules regarding the FTD benefit, including rules about eligibility. For more information, contingent employees should contact their supervisors, the applicable local Human Resources office, or contact the University HR Service Team; they also may contact Liberty Mutual Insurance Company at (800) 896-9375 or submit a claim at www.mylibertyconnection.com (claimant service ID: stanford).     

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2.2.1 Definitions

Last updated on:
09/19/2016
Formerly Known As Policy Number: 
2.2.2, 23.1

"General Personnel Policies" has been re-named to "Equal Employment Opportunity, Non-Discrimination, and Affirmative Action Policy" is now located at 1.7.4.

This Guide Memo defines various types of academic and non-academic employees, and other groups who have a specified relationship with the University.

Authority: 

Approved by the President.

Applicability: 

Applies to faculty, staff, students and others who have relationships with the University. For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining

1. Professoriate

The Professoriate consists of the tenure line professoriate, the non-tenure line professoriate, and the Medical Center Line. Appointments to the Professoriate require approval by the department chair, school dean, Provost, Advisory Board of the Academic Council, and the President of the University.

a. Tenure Line Professoriate
Professor, Associate Professor, Assistant Professor. Members of the Tenure Line Professoriate are members of the Academic Council. Professors are normally appointed with tenure; i.e., without limit of time. Associate Professors may be appointed either for a term of years or with tenure. Assistant Professors are appointed for a term of years. Individuals appointed to the rank of Assistant Professor with a "Subject to Ph.D." contingency are not members of the Academic Council until official confirmation of completion of Ph.D. requirements is received.

b. Non-tenure Line Professoriate
Professor or Associate Professor followed by the parenthetical designation (Clinical), (Performance), (Research), or (Teaching); Assistant Professor (Research); and Professor (Applied Research). The "Performance" designation is used in the fine arts, "Clinical" in the Medical School, and "Applied Research" at the SLAC National Accelerator Laboratory (SLAC). Members of the non-tenure line professoriate are members of the Academic Council.

c. Medical Center Line
Professor, Associate Professor, or Assistant Professor of "Subject" at "a specified Medical Center," such as the Stanford University Medical Center or the Lucile Packard Children's Hospital at Stanford. Faculty in the Medical Center Line are voting members of the Faculty Council of the Medical School but are not members of the Academic Council. They are eligible to vote on departmental and school matters according to departmental and school policies, and to serve on faculty committees, except for those specifically reserved for Academic Council members.

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2. Academic Appointments in Specified Policy Centers and Institutes

a. Senior Fellow
Senior Fellows at specified policy centers and institutes are members of the Academic Council. Their appointments are for a specific period of time or for a continuing term (subject to programmatic need and/or funding) and are not in the tenure line. (Note: Senior Fellows at the Hoover Institution are not members of the Academic Council. Their appointments require different procedures.)

b. Center Fellow
Center Fellows are not members of the Academic Council. Appointments are for a specific period, renewable, and contingent on programmatic need and/or funding.

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3. Academic Staff

Non-professorial academic staff is comprised of the teaching staff (Lecturers, Senior Lecturers, PWR Advanced Lecturer, and Artists-in-Residence), research staff (Research Scientists, Senior Research Scientists, Senior Research Engineers, Senior Research Scholars) and Professional Librarians (Assistant Librarian, Associate Librarian, Librarian, and Senior Librarian). These appointments are made for a specific period of time, for a continuing term (subject to satisfactory performance, programmatic need, or financial support), or for the duration of an administrative appointment or project. Procedures for Academic Staff-Teaching appointments are established by the Provost's Office. Procedures for Academic Staff-Research are established by the Office of the Dean of Research. Academic staff are not members of the Academic Council.

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4. Other Teaching Titles

Appointments to the following positions require approval of the department chair and school dean. These appointments may be for a specific period of time or for a continuing term (subject to programmatic need and/or funding), with or without salary, and for various percentages of time. Other Teaching Title appointees are not members of the Academic Council. Individuals in any of the following categories who teach academic courses for credit and who receive compensation from Stanford must be Stanford employees, paid through normal payroll procedures.

a. Acting Professor, Acting Associate Professor, Acting Assistant Professor, Acting Instructor

b. Visiting Professor, Visiting Associate Professor, Visiting Assistant Professor, Visiting Instructor, Visiting Lecturer

c. Adjunct Professor and Adjunct Lecturer

d. Adjunct Clinical Professor, Adjunct Clinical Associate Professor, Adjunct Clinical Assistant Professor, Adjunct Clinical Instructor
See Voluntary Clinical Appointments and Faculty Handbook Chapter 6: Adjunct Clinical Faculty

e. (By Courtesy) Appointments

f. Teaching Specialist

g. Instructor Role

h. Clinician Educator Role

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5. Postdoctoral Scholars, Postdoctoral Fellows and Postdoctoral Research Affiliates (Postdocs)

A Stanford postdoctoral scholar is a non-matriculated trainee, in graduate student status, in residence at Stanford University pursuing advanced studies beyond the doctoral level in preparation for an independent career. Postdoctoral Scholars are appointed for a limited period of time and may participate on Stanford research projects and/or may be supported by external awards or fellowships. In all cases, their appointment at Stanford is for the purpose of advanced studies, research, and training under the mentorship of a Stanford faculty member. For more information, see the Research Policy Handbook.

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6. Visiting Scholars

Guests of the University who are pursuing individual research or other scholarly activities. Visiting scholars must hold a doctoral degree (or be a recognized expert in his or her field) and be from an outside institution or organization. "Visiting scholars" do not receive compensation or benefits provided for students, faculty, or staff. They are sponsored by schools or academic departments and have certain courtesy privileges.

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7. Staff Employees

Individuals on the University payroll who are not Stanford students, faculty, academic staff, other teaching staff or postdoctoral research affiliates. "Staff employees" are subject to appointment procedures and terms set forth in memos of the Administrative Guide or applicable collective bargaining agreements. Clinician/Educators and Instructors are staff employees subject to the terms set in the Administrative Guide memos except that procedures for appointments, pay and grievance review are established by the Dean of the School of Medicine.

For more information about Clinician/Educators and Instructors, see:
http://med.stanford.edu/academicaffairs/CEs/,
http://generalsurgery.stanford.edu/academicaffairs/handbook/chapt8_TOC.html, and
https://med.stanford.edu/academicaffairs/administrators/handbook/chapt5.html

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8. Regular Employees

Employees have "regular" status when appointed at 50% FTE or more for at least six consecutive months, or as described in the applicable collective bargaining agreement. Regular status is a requirement for most health and welfare benefit plans and programs. In the Administrative Guide, "benefits-eligible" refers to regular employees who are eligible for University sponsored health and welfare benefits.

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9. Casual Employees

Employees on the University payroll appointed less than 50% FTE and work no more than 980 hours during the calendar year for all job assignments. [Note: Departments may elect a discretionary limit of less than 980 hours based on their business need.] Once a casual employee reaches the 980-hour limit, the position should be posted and filled as a regular, benefits-eligible employee on the University payroll for any further work in the same calendar year. An individual should not be hired or rehired into a casual position if it can reasonably be anticipated that the assignment will result in the employee working 980 hours or more in a calendar year as a casual (or temporary) employee.

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10. Temporary Employees

Employees on the University payroll appointed at 50% FTE or more for no longer than six consecutive months and work no more than 980 hours during the six-month period for all job assignments. [Note: Departments may elect a discretionary limit of less than 980 hours based on their business need.] Once a temporary employee reaches the 980-hour limit, the position should be posted and filled as a regular, benefits-eligible employee on the University payroll for any further work in the same calendar year. An individual should not be hired or rehired into a temporary position if it can reasonably be anticipated that the assignment will result in the employee working 980 hours or more in a calendar year as a temporary (or casual) employee.

Important Notes on CASUAL and TEMPORARY Employees:

a. If duties are technical, maintenance, or service, employees may be appointed at 50% FTE or more for no longer than four consecutive months.

b. Temporary and casual employees are not regular employees. Temporary or casual employees are considered "at-will” for the duration of their employment. This means that employment can be terminated by either the employee or the university at any time and for any reason, or no reason, with or without notice.

c. An individual may be hired in a regular benefits-eligible position at any time after reaching the 980-hour maximum, as long as he/she meets all employment requirements. Admin Guide Memo 2.1.2: Recruiting and Hiring of Regular Staff, outlines information about employment preference provided to temporary or casual staff.

d. Temporary and casual employees are not guaranteed a particular number of hours per week or duration of assignment.

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11. Stanford Student Employees

Employees who are registered Stanford students have "student" status excepting those whose employment is totally independent of and unrelated to their Stanford student role. Stanford students who are not currently registered are considered casual or temporary employees.

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12. Exempt Employees

All University employees, including students, faculty, and staff are subject to federal and state requirements regarding minimum wages, payment for overtime work, and related record keeping. However, employees may be exempt from the overtime pay and record keeping requirements when they occupy bona fide professional, managerial, or executive positions. At Stanford, "exempt" positions typically include executive officers, faculty, academic staff, other teaching staff, and certain professional, administrative, and executive staff. The Vice President of Human Resources, in accordance with provisions of the Fair Labor Standards Act and regulations of the U.S. Department of Labor determines exempt status.

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13. Non-exempt Employees

These are the employees who are not "exempt" under federal and state overtime regulations. They must receive compensation for overtime work.

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14. Salary Basis of Compensation

A "salary," as distinguished from an "hourly wage" is compensation established by the month (e.g. $1,000 per month) with the amount remaining the same each month without regard to the variations from month to month in the normal number of working hours (e.g., in 2010 a salaried full-time employee received the same salary for January with 184 working hours and for February with 160 working hours.)

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15. Hourly Basis of Compensation

Compensation established on an hourly basis, so that pay varies with the actual number of hours worked (or on paid leave) in each pay period.

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16. Pay Period

Each month has two pay periods: The first day of the month through the 15th and the 16th through the last day of the month. Paychecks are issued on the workday that falls on or immediately prior to the seventh calendar day after the end of each pay period.

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17. Staff Benefits

Plans and programs made available by the University for the benefit of faculty and staff. Included are legally required programs such as Social Security and short-term disability insurance, as well as University programs such as health plans, personal and life insurance, disability income plans, education and training plans, retirement income plans, and recreation facilities.

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18. Term (Duration of Employment)

All faculty and staff have one of the following appointment terms:

a. Continuing
Without a specified duration or time limit.

b. Fixed-term
Employees who meet the definition of regular staff employees and appointed for a fixed duration with a specified ending date. Fixed-term employees are subject to University policies applicable to regular staff except as those policies may be modified by the specific terms of their fixed-term offer letters or other written employment contracts or agreements.

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19. Base Pay

Base Pay is the hourly rate or monthly salary paid for a job performed. It does not include any premium pay, e.g., overtime, shift differentials, supplemental pay, or any pay element other than the base rate.

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20. Regular Pay

Regular Pay is the hourly rate or monthly salary paid for a job performed, including any premium pay, e.g., shift differentials, supplemental pay, or any pay element other than the base rate.

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2.2.2 Out-of-State Employees

Last updated on:
12/14/2012
Formerly Known As Policy Number: 
2.2.12, 23.11

This Guide Memo presents policy for hiring and/or reassigning out-of-state employees. 

Authority: 

This Guide Memo was approved by the Vice President for Business Affairs and Chief Financial Officer.

Applicability: 

This policy applies to all Stanford University employees, including SLAC and employees covered by collective bargaining unit agreements.

1. Definition

An "out-of-state employee" is defined as an employee of Stanford University whose primary work site is located outside the state of California. All individuals defined in Guide Memo 2.2.1: Definitions, are considered employees for the purpose of this Guide Memo. Consultants and contractors are not covered by this Memo.

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2. Policy

a. Applicable laws
Employees outside the state of California and Stanford University as their employer are subject to all employment-related laws of the state or foreign nation in which they work.

State taxes, employment tax, and workers compensation provisions vary from state to state. University Payroll is primarily responsible for compliance with these various rules. Therefore, departments must notify Payroll immediately of any prospective arrangements involving Stanford employees outside the state of California by submitting a HelpSU ticket (Category: Financial Management, Request Type: Payroll).

The existence of Stanford University employees in a state outside California may trigger additional compliance requirements besides those relating to employment. Therefore, the hiring or reassignment of employees to positions outside California must be supported by an important University business purpose and not be merely an accommodation to the employee.

b. Approval
Approval of the hire or reassignment must be obtained in advance in writing from the responsible Vice Provost, Vice President (or similar level equivalent to the highest administrative person within the organizational unit), or his/her designee, identifying the key University business reasons for the assignment.

c. Payroll
Notify University Payroll of the out-of-state assignment in advance of the start of work outside of California by sending a completed Approval of Out-of-State Employee Approval form to the Payroll Office. 

d. Administrative costs
Administrative costs per capita for out-of-state employees are high due to the extraordinary costs to assure compliance and, in some cases, liability for unemployment and disability benefits. Therefore, a one-time $500 fee is charged to the assigning department for each new out-of-state employee on payroll, to be assessed when the assignment begins. Departments are also charged $200 each year for each out-of-state employee. Failure to report out-of-state employees to University Payroll in a timely manner may result in compliance penalties, which will be assessed to the assigning department.

e. Benefits
The choices of health and welfare benefits plans may be more limited for employees who work outside of the Bay Area. You can find more information at https://cardinalatwork.stanford.edu/benefits-rewards.

f. When Employee Works in California
Notify University Payroll of any days that the out-of state employee is present in California on Stanford business. Compensation earned on such days is considered California-sourced taxable income regardless of employee’s state of residence and is subject to all California tax provisions. Use the Out-of-State Employee Days Worked in California form to report annually the number of days an out-of-state worker works in California.

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3. For More Information

Contact University Payroll by submitting a HelpSU ticket (Category: Financial Management, Request Type: Payroll).

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2.2.3 University Payroll

Last updated on:
02/11/2017
Formerly Known As Policy Number: 
35

This Guide Memo contains general policies concerning the university payroll. SLAC National Accelerator Laboratory (SLAC) currently applies the applicable policies contained herein. SLAC departments should consult SLAC Business Services Division for SLAC procedures.

Authority: 

Approved by the Senior Associate Vice President for Finance.

1. Employer/Employee Relationship

Whether an individual is a university employee or an independent contractor is a determination with important practical and legal consequences.

a. General Rule
Federal tax rules define an employee as an individual who performs services subject to control by an employer both as to what services shall be performed and how they shall be performed. If the university has the legal right to control both the method and result of services, that person is considered an employee and therefore subject to income tax withholding.

b. Questions on Employee or Independent Contractor Status
In cases of doubt about an individual's status, contact Human Resources or Procurement/Special Contracts for advice. See "Hiring Contractors and Consultants".

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2. Employment Categories

Employees are categorized within the payroll system according to the length of the appointment, the percentage of time worked, and the type of position they fill. These categories in combination affect eligibility for most employment benefits.

a. Length of Appointment
(1) Continuing
Continuing employees are expected to remain on the payroll for six months or more (four months or more for Bargaining Unit employees).
(2) Temporary
Temporary employees are expected to remain on the payroll for less than six months (less than four months for Bargaining Unit employees). Stanford students working less than 50% time may be appointed for the entire academic year as temporary employees. Temporary employees are not eligible for employment benefits.

b. Scope of Appointment
The percentage of a full-time equivalent position (% FTE) an employee works affects both eligibility and level of benefits. See Guide Memo 2.2.1: Definitions, for the % FTE of a continuing appointment that grants "regular employee" status and eligibility for most benefit plans and programs.

c. Type of Position
The job classification defines whether the position is:
(1) Salaried or Hourly-Paid

  • Salaried employees are paid their semi-monthly salary (less authorized deductions) every pay period unless an exception (such as authorized overtime hours or leave without pay) is reported. Subject to exceptions, the gross salary amount of the paycheck is the same for each pay period, regardless of the number of working days in the period.
  • Hourly-paid employees are paid for actual hours worked (less authorized deductions) as shown on a timecard submitted for the pay period.

(2) Exempt or Non-exempt
See the definitions in Guide Memo 2.2.1. Employees who are exempt from the provisions of the Fair Labor Standards Act are not paid overtime.

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3. Compliance with Employment Law

a. Documentation of Eligibility for Employment
(1) Completing Form I-9
All new and rehired employees must complete a U.S. Citizenship and Immigration Services (USCIS) Form I-9 by the end of the day on their first day of (re) employment, and provide appropriate original document(s) to establish identity and work authorization. The hiring department, or other university designee, must review the original document(s) and complete the employer portion of this form within three business days of the first day of employment. Employers cannot specify which document(s) the employee must present. Completed forms are submitted to Payroll for review and document retention.
(2) Updating Form I-9
Eligibility to work in the U.S. may expire for certain types of temporary visitors. Documentation of continued eligibility to work must be provided before the work eligibility expiration date.
(3) Re-verifying Form I-9
A new or re-verified Form I-9 must be completed after any break in employment. Students who are continuously employed, except during normal school break periods, are not subject to the re-verification requirement.
(4) Failure to Complete/Update Form I-9
Failure to comply with USCIS Form I-9 requirements will result in ineligibility for employment and/or immediate termination.

b. Tax Requirements
(1) Withholding Tax Information
New employees must complete a withholding declaration at hire. In the absence of a completed withholding declaration, withholding tax will be applied as if the employee had claimed "Single" status with no withholding allowances on their W-4 and DE-4.
(2) Tax Treaties
Some employees who are not residents of the U.S. may qualify for full or partial exemption from withholding tax based on tax treaties between the U.S. and their country of tax residence. Texts of most treaties (in both English and the language of the other country) are available from the IRS website. For more information and to obtain the necessary documents to claim a tax treaty, see How to: Claim Tax Treaty for Salary Payments.
(3) Social Security Number
A Social Security number is required for all employees working in the U.S. Employees who do not already have a Social Security Number may begin employment, but must immediately apply for a Social Security Number and obtain a receipt of application. Once received, the hiring department must enter the Social Security Number in the PeopleSoft HR system.

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4. Payroll Accounting

a. Semimonthly Payroll
University employees are paid semimonthly. Pay periods are the 1st through 15th and the 16th through the last day of the month.

b. Salary Approvals
Department heads or other authorized university officers approve charges of salaries and wages to their projects, tasks and awards (PTAs) in accordance with budgets, compensation policies and collective bargaining agreements. In addition to the department head, certain offices have responsibility for reviewing salaries and wages for specific categories of employees. Salary changes, supplementary compensation, salary during leave of absence and termination of salary require the same authorization and review. Supervisors (or, in their absence, designees with first-hand knowledge of employees work hours) are responsible for approving employee timecards, including leave usage for exempt and non-exempt employees and work hours for non-exempt employees.

  • Faculty and Academic Staff: Salaries for faculty and academic staff are reviewed and approved by the cognizant dean and the Provost's Office.
  • Salaried Staff: Salaries for staff employees are established, reviewed and approved by the cognizant dean, director or equivalent university officer. In some cases, review by Human Resources is also required.
  • Hourly-paid Staff: Hourly wages are reviewed and approved by Human Resources.
  • Students: See Undergraduate Student Wage Scales, Guide Memo 10.2.1: Graduate Student Assistantships, and the Graduate Student Assistantship Supplement.

c. Charges to Projects, Tasks and Awards
Financial Management Services (FMS) charges salary and wage expenditures to PTAs designated by the department. Charges are reported on monthly expenditure or detail reports. Departmental staff provides the charging instructions through "Labor Schedules" in the Oracle Financials Labor Distribution module. Training and signature of a Confidentiality Statement is required.
(1) Multiple Activities/Accounts
If an employee is paid from more than one PTA, the authorized portion of salary or wage is allocated to the appropriate PTA. The paycheck or bank deposit advice delivered to the employee combines all earnings into one check.
(2) Organization Suspense Account
Each department designates an unrestricted PTA as an Organization Suspense Account to which salaries of department employees are charged whenever the source of salary funding (such as a grant or contract) runs out and is not immediately replaced by alternative funding. Charges to Organization Suspense Account PTAs, which are charged to the expenditure type 51610, should be reviewed on a timely basis to determine if transfers are needed. See Guide Memo 3.2.2: Cost Transfers.

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5. Taxes on Salaries and Wages

a. Taxable Earnings
The university withholds Federal, State, and other applicable taxes from all taxable earnings paid to employees. Taxable earnings include regular pay, overtime pay, supplementary compensation and any additional and miscellaneous payments for work performed for the university. This may also include taxable reimbursements. See Guide Memo 5.4.3: Reimbursable Expenses for additional details on taxable reimbursements.

b. W-2 Statements
At the end of each tax year (January 1 through December 31), Stanford compiles and distributes a W-2 Statement for each employee. As a default, W-2 Statements are mailed to the employee's mailing address on file with the university. Employees may elect to have their W-2 Statement sent to them electronically in the Axess portal. The university also sends Form W-2 data, as required, to Federal and State governments.

c. Tax Exemptions
Employees may not claim more withholding allowances than those allowed by the Internal Revenue Service or Franchise Tax Board. Fewer allowances may be claimed or additional dollar amount of taxes may be withheld if an employee wishes to increase the amount of tax withheld. Information about completing the IRS W-4 form and Franchise Tax Board form DE-4, used to specify withholding allowances, is located at How to: Declare or Change Withholding Allowances

d. Student Employees
Students who take jobs with the university while pursuing their studies are paid through the university payroll. Degree-seeking Stanford student employees, who are employed while enrolled in classes, do not pay Social Security taxes or Disability Insurance.

e. Scholarships and Fellowships
Scholarship and fellowship payments are not considered payments for work performed and the recipients are not placed in an employer-employee relationship because of receipt of this money from the university.

f. Research and Teaching Assistants
Research and teaching assistantships are taxable, and tax is withheld from the semi-monthly salary.

g. Non-California Residents
All employees who physically work in California are treated as California residents for California tax purposes.

h. Tax Status of Non-U.S. Residents
Salaries and wages paid to non-residents of the U.S. fall under the tax laws of the United States and the State of California. The specific provisions of the tax laws, treaties, conventions, and determinations in regard to non-residents are handled by the Internal Revenue Service and the California Franchise Tax Board.

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6. Payroll Deductions

a. Deductions for Benefits
Employees eligible for benefits (e.g., regular staff, faculty) may pay the employee's share of the cost of some insurance programs and benefits by payroll deduction. For more information, go to the Cardinal at Work website.

b. Other Authorized Deductions
The university has authorized voluntary payroll deductions for payments to certain organizations (such as the Stanford Faculty Club). Any employee who wishes to use this procedure should make arrangements directly with the organization for which the deduction is authorized. That organization will send the authorization to Payroll.

c. Reporting Deductions
Deductions from each paycheck are itemized on the pay statement. The amounts deducted are sent to the designated organizations.

d. Cessation of Deductions
(1) Benefits
Payroll deductions for benefits cease during leaves of absence without pay. An employee on leave without pay will receive information from the university's leave administrator on how to pay for the employee's share of the costs for applicable insurance plans. Benefit deductions also stop when an employee's status changes to a non-benefits-eligible position (see Guide Memo 2.2.1: Definitions) and when employment terminates. At that time, terminated employees may call Stanford Benefits at (650) 736-2985 to determine when they can start the paperwork to receive payment from their retirement savings.
(2) Other Authorized Deductions
Payroll deductions arranged through an organization external to Stanford are available to all employees, and are not affected by a change in employment status. Such deductions cease during leaves of absence without pay, at termination of employment, or on retirement.

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7. Delivery of Checks and Bank Deposit Advices

a. Direct Deposit of Paychecks
Employees are encouraged to have their paychecks deposited directly into their bank accounts. Employees may use any bank, savings and loan or credit union that is a member of the Automated Clearing House and can accept electronic fund transfers. Direct deposit enrollment instructions are available at How to: Enroll/Update/Cancel Direct Deposit

b. Delivery of Semi-monthly Paychecks and Advices
Pay statements are provided for all employees electronically in the Axess portal. Payroll distributes live paychecks and paper pay statements through interdepartmental mail. Other employees who wish to receive a paper pay statement must select this option in the Axess portal.

c. Undelivered Checks
A paycheck for an absent employee may be held by the department until the employee's return, if the absence is for no longer than one pay period. The department can mail the check if requested by the employee. Checks returned by the Post Office should be forwarded to Payroll for handling. Paychecks issued in error must be returned to Payroll for cancellation and reversal of earnings from employee's W-2.

d. Stale-Dated Checks
Paychecks are negotiable for six months from date of issue. Stale-dated checks should be returned to Payroll for reissue. Funds from checks not cashed after one year from date of issue must be remitted to the State of California Unclaimed Property Bureau.

e. Delivery of Final Paycheck
An individual's final paycheck must include the total amount of salary or wages owed as of the date of termination. This includes all payments due, including accumulated, unused vacation leave, PTO and floating holiday, less authorized deductions. The department should contact Employee & Labor Relations in advance if questions arise.
(1) If the university initiates the termination, or if the employee initiates the termination and gives at least 72 hours notice, the final paycheck must be given to the employee on the date of termination.
(2) When an employee initiates the termination and gives less than 72 hours notice, the final paycheck is due to the employee within 72 hours after termination. Departments are responsible for making sure final paychecks are delivered to employees under the time limitations provided by law. A completed Termination Transaction must be submitted to Payroll in order to process the final paycheck. 

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8. Salary and Wage Calculations

a. Vacation Payment and Vacation Credit
Vacation earned but unused at termination is paid on the basis of the employee’s hourly rate at termination. For salaried employees at 100% FTE, the hourly rate is calculated by dividing the annual salary by 2080 (hours in a working year). If an employee leaves one position and accepts another position within the university, the employee retains his/her accumulated vacation accruals. (See Guide Memo 2.1.6: Vacations). For more information about the policy on accrual and use of vacation leave, contact Systems & Reporting Operations (SRO) in Financial Management Services (FMS). The Vacation Accrual template found at How to: Calculate Vacation Accrual can be used to calculate vacation when an employee terminates.

b. Partial Pay Period Pay Calculation
Pay for less than a full pay period for new or terminating salaried employees is calculated by dividing the annual salary by 2080 (hours in a working year) and multiplying that number by the number of days the employee actually worked, including adjacent holidays, in the pay period times 8 (assume 8 hours/day for a full-time exempt employee.) Holidays are counted as workdays when the employee works or is on paid leave (including vacation) both the day immediately preceding and the day following a holiday.

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9. Special Situations

a. Salary Advances
Under certain circumstances as described below, salary advances are available to regular staff employees who are not in bargaining units. (Find information on salary advances for Bargaining Unit members in the applicable agreement.)
(1) Vacation Advance
An employee scheduled to take vacation leave of at least 10 consecutive workdays outside San Francisco Bay Area, may request early payment of any regular paychecks that would be issued during that period.
(2) Emergency Advance
Only in an emergency and with the concurrence of his/her department, a regular employee may receive an advance of salary already earned in one pay period prior to the regular payday for that pay period. No more than two emergency advances for the same employee will be processed in a 12-month period.

b. Faculty Terminations
A faculty member leaving after completing the employment obligation but before the designated end date of his/her appointment may receive the balance of salary through a special processing procedure. If this option is exercised, the faculty member's status as an employee ends on the termination date. The termination date must not be later than the date of the final check.

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2.2.4 Violence in the Workplace

Last updated on:
12/15/2010
Formerly Known As Policy Number: 
2.2.11, 23.9

This policy provides guidelines for responding to violence or threats of violence in the workplace, including all University locations.

Authority: 

Approved by the Vice President of Human Resources.

Applicability: 

Applies to all Stanford University employees, and to all individuals who, while not Stanford employees, perform work at Stanford for its benefit.

1. Policy

Stanford University strives to provide employees a safe environment in which to work; therefore, the University will not tolerate violence or threats of violence in the workplace. All weapons, as defined by California Penal Code, are banned from University premises unless written permission is given by Stanford Department of Public Safety. Employees who violate this policy will be subject to corrective action, including termination. Employees who intentionally bring false charges will also be subject to corrective action, including termination. Non-employee violations of this policy will be handled in accordance with applicable laws.

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2. Definitions

a. Acts of violence include any physical action, whether intentional or reckless, that harms or threatens the safety of another individual in the workplace.

b. A threat of violence includes any behavior that by its very nature could be interpreted by a reasonable person as an intent to cause physical harm to another individual.

c. Workplace includes all University locations and off-campus locations where faculty, staff, or student employees are engaged in University business.

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3. Procedures

a. General Roles and Responsibilities

(1) In general:

(a) Any person experiencing or observing imminent violence should call emergency services at 9-911 immediately.
(b) Any employee who believes a crime has been committed against him/her has the right to report that to the proper law enforcement agency.

(2) Employee:
Each employee:

(a) Should report any acts or threats of violence to his/her immediate supervisor, human resources manager (see the online directory of school/unit HR Managers), to Employee & Labor Relations (650) 723-2191 at SLAC (650) 926-5555, or to the nearest member of management. Such reports will be promptly and thoroughly investigated.
(b) Should notify his/her supervisor of any restraining orders against individuals that include the workplace.

(3) Supervisor:
The immediate supervisor's responsibilities are:

(a) To respond promptly to issues related to workplace safety.
(b) In the event of a potential or actual incident, contact the appropriate personnel including the local Human Resources Office/Employee and Labor Relations (650) 721-4272 and the Stanford Department of Public Safety (650) 723-9633, Medical Center Security (650) 723-7222, or SLAC Site Security (650) 926-5555.
(c) To promptly inform his/her supervisor, the local Human Resources Office/Employee and Labor Relations about any acts or threats of violence even if the situation has been addressed.
(d) In the event he/she is advised of a restraining order, contact the local Human Resources Office/Employee and Labor Relations.

(4) Human Resources Managers (HRMs)
Human resources managers are responsible to:

(a) Contact the appropriate Employee and Labor Relations Representative/Specialist as soon as possible when made aware of a violent act or threat of violence.
(b) Conduct investigations of situations as directed by the Employee and Labor Relations Representative/Specialist.

(5) Employee and Labor Relations staff

(a) Consult and advise management regarding concerns about violent and potentially violent employees or others.
(b) In the event of an act or threat of violence, determine the investigation process and coordinate with the assigned investigator. Work with management, legal counsel, and police/security to determine the appropriate action to be taken as needed.
(c) Gather and maintain University-wide information on workplace acts or threats of violence.

(6) Help Center Counselors [or (650) 723-4577]

(a) Provide confidential counseling services to any employee desiring assistance with situations relating to anger or threats or violence in the workplace.
(b) Provide educational, emotional support and consultation to groups and individuals who are victims, observers, or otherwise adversely affected by a violent incident or threat.
(c) Provide consultation to management on evaluating the potential for violence by employees.
(d) Provide initial assessment of violent or threatening employees and make an appropriate referral for clinical evaluation or treatment as needed.

(7) Police/Security

(a) The Stanford Department of Public Safety takes appropriate law enforcement actions.
(b) SLAC Site Security and Medical School Security notify and cooperate with all law enforcement agencies as appropriate.

(8) Threat Assessment Team

The University's Threat Assessment Team, (typically consisting of representatives from the Ombuds office, Human Resources, Office of the General Counsel, President's Office, CAPS, the Faculty and Staff Help Center, Vaden Health Center and the Department of Public Safety). This Team may coordinate the assessment of any situation where there is a concern for risk of potential threat or violence, and may provide additional assessment of situations to determine if further resources and actions are needed.

b. Threats of Violence: Responsibilities

(1) Any individual who experiences or observes a threat of violence should immediately report the incident to his/her supervisor, local Human Resources office, or the police.
(2) The supervisor or other person notified calls the appropriate local Human Resources Office or Employee and Labor Relations Representative as soon as possible.
(3) Local management should attempt to ensure the safety of other employees.
(4) Employee and Management Services, along with the supervisor, conduct an investigation of the alleged threat, including interviewing any witnesses.
(5) Based on the finding of the investigation, appropriate action, disciplinary or otherwise, is taken.

c. Acts of Violence Not Involving Injuries or Weapons: Responsibilities

(1) The employee should report the incident immediately to his/her supervisor, the local Human Resources Office, or the police.
(2) The supervisor or other person notified calls the local Human Resources Office HRM or Employee and Labor Relations Representative as soon as possible.
(3) Employee and Management Services or its designee coordinates, if appropriate, with the Help Center counselors for intervention, consultation, or referral for clinical evaluation or treatment.
(4) Employee and Management Services or its designee conducts an independent University investigation of the incident and, in conjunction with management, takes appropriate action, disciplinary or otherwise.

d. Acts of Violence Involving Injuries or Weapons: Responsibilities

(1) Any person observing an incident should call 9-911 first, then, if at the Medical School call Medical School Security (650) 723-7222, and if at SLAC call the SLAC Main Gate Security Officer (650) 926-5555, and then notify local management.
(2) Local management should attempt to ensure the safety of other employees.
(3) Management or employees should not intervene unless, in their best judgment, (a) the situation is too critical to wait for law enforcement officials and, (b) they believe intervention would be successful.
(4) Once Medical School Security, SLAC Site Security, or Stanford Department of Public Safety are notified, they coordinate with the appropriate law-enforcement agencies and assist in controlling the situation.
(5) Separate from any criminal investigation that the police may conduct, Employee and Management Services or its designee takes the lead for the University in conducting an independent investigation into the incident and, in conjunction with management, takes appropriate action, disciplinary or otherwise.
(6) If necessary, the Help Center counselors arrange to work with victims and observers of the incident.

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2.2.5 Requesting a Lactation Accommodation

Last updated on:
01/19/2018
Authority: 

Vice President for Human Resources

Applicability: 

This policy applies to all faculty, academic staff, other teaching staff, and staff employees.

Students and postdoctoral scholars with questions about lactation accommodations may contact the Title IX Office at titleix@stanford.edu or 650-497-4955.

1. Policy Summary

Stanford University supports the importance of health and bonding for parents nursing their infants. It is the policy of the university to follow all state and federal laws and regulations in this area, including California Labor Code (Sections 1030-1033) and Patient Protection and Affordable Care Act (PPACA). In promoting a family-friendly work environment and to ensure equality of access for employees who wish to breastfeed, the university will provide reasonable accommodations to enable employees to express breastmilk.

Lactation spaces are available to all members of the university community, including students, postdoctoral scholars, and third parties who participate in Stanford programs and activities. The WorkLife Office maintains a list of campus spaces that may be used for lactation.

All Stanford University affiliated nursing parents, including students and postdoctoral scholars, are encouraged to register for the Stanford Lactation Support Program. Additional resources for lactation support information and educational resources are available on Cardinal at Work at: worklife.stanford.edu

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2. Implementation and Responsibility

a. Employees: are responsible for notifying a supervisor as soon as a lactation accommodation is needed. It is recommended that an employee anticipating an accommodation discuss their needs with their supervisor before a family leave is taken, including the anticipated schedule and request to access an appropriate space. Requests from staff employees should be made to the supervisor or Human Resources Manager. Faculty, academic staff and other teaching staff should contact their Chair and departmental faculty affairs officer.

b. Supervisors: are responsible for receiving requests for a lactation accommodation, and in consultation with the Human Resources Manager, reviewing accommodation requirements, identifying appropriate space and schedule for the employee, and discussing the accommodation with the employee. In the case of faculty, academic staff and other teaching staff, the term ‘supervisor’ in this policy refers to the Department Chair.

c. Human Resources Managers: are responsible for advising supervisors of accommodation requirements and assisting supervisors in consultation with the building or facilities managers to identify appropriate space to accommodate the employee. To identify the local Human Resources office, call the appropriate number: Campus 650-721-4272; School of Medicine 650-497-2750; SLAC 650-926-2358.

d. Department Chairs and Departmental Faculty Affairs Officers: are responsible for receiving faculty, academic staff and other teaching staff requests for a lactation accommodation and, in consultation with the Human Resources Manager or departmental faculty affairs officer, reviewing accommodation requests and requirements, identifying appropriate space for the employee and discussing the accommodation with the employee.

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a. Step One – Request: Employees are responsible for initiating the request for a lactation accommodation. The request does not need to be made in writing, nor is a doctor’s note required. The employee should consider discussing a request with their supervisor or Human Resources Manager before taking a family leave.

b. Step Two – Discussion: When received, the supervisor or Human Resources Manager will meet with the employee to acknowledge the request and help develop an accommodation. The supervisor or Human Resources Manager should confirm that the employee has a private, clean and secure place to express breastmilk (see Section 6: Identifying Space). If the employee has questions or concerns about expressing breastmilk at work, questions should be referred to the Human Resources Manager or the WorkLife Office.

c. Step Three – Follow up: The supervisor or Human Resources Manager should confirm the accommodation in writing and offer to revisit the plan with the employee after two to three weeks to see if any changes are needed. 

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4. Accommodation Periods

An accommodation includes a reasonable amount of time taken as needed by the employee to express breastmilk in a space that complies with state and federal requirements (see Section 6: Identifying Space). When possible, time should be taken during regularly scheduled meal and rest periods. The number of breaks needed to express breastmilk may vary. A nursing parent will typically need two or three breaks during an eight-hour period; however, additional break times may be necessary. If the time to express breastmilk exceeds an employee’s regularly-scheduled meal or rest periods, non-exempt employees may request to be provided an opportunity to make up time per Admin Guide Memo 2.1.5. If no reasonable opportunity exists for a non-exempt employee to make up time, the time to express breastmilk that exceeds paid rest periods will not be paid. The break schedule should be based on the employee’s needs and the operational needs of the department.  

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5. Identifying Space

Appropriate space that complies with state and federal requirements includes any clean space that can be made private, shielded from view and free from intrusions from coworkers or the public, and is not located in a bathroom. Appropriate space can include a private office, a conference room with a locking door, or any other compliant space that can be secured and shielded from view.

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6. Employee's Own or Adjacent Building

Every effort should be made to identify space in the employee’s building when possible. It may be necessary to identify more than one space in order to meet the needs of both the employee and department. Space may be identified at an adjacent building within a reasonable walking distance and that is accessible to the employee during the arranged lactation schedule. A reasonable distance is recommended as no more than a 5-minute walk from the employee’s building. 

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7. Identified Lactation Locations

If space cannot be identified in the employee’s building or an adjacent building, the WorkLife Office maintains a list of campus spaces that may be used for lactation. 

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2.2.6 Smoke-Free Environment

Last updated on:
04/13/2015
Formerly Known As Policy Number: 
23.4
Authority: 

Approved by the President.

Applicability: 

Applies to all academic and administrative units of Stanford University, including SLAC and all campus student housing. This policy does not supersede more restrictive policies that may be in force to comply with federal, state, or local laws or ordinances. The President must approve more restrictive policies not required by law.

1. Policy

It is the policy of Stanford University that all smoking, including but not limited to tobacco products and the use of electronic smoking devices, is prohibited in enclosed buildings and facilities and during indoor or outdoor events on the campus.

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2. Definition

“Smoke-free” refers to an environment that is free of smoke from, among other things, tobacco products and/or vapors from electronic smoking devices.

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3. Guidelines

a. Smoking-Prohibited Areas
Specifically, smoking is prohibited in classrooms and offices, all enclosed buildings and facilities, in covered walkways, in University vehicles, during indoor or outdoor athletic events, during other University sponsored or designated indoor or outdoor events and in outdoor areas designated by signage as "smoking prohibited" areas.

  • Ashtrays will not be provided in any enclosed University building or facility.
  • "Smoking Prohibited" signs will be posted.

b. Outdoor Smoking Areas
Except where otherwise posted as a "smoking prohibited area," smoking is generally permitted in outdoor areas, except during organized events. Outdoor smoking in non-prohibited areas must be at least 30 feet away from doorways, open windows, covered walkways, and ventilation systems to prevent smoke from entering enclosed buildings and facilities. To accommodate faculty, staff and students who smoke, Vice Presidents, Vice Provosts and Deans may designate certain areas of existing courtyards and patios as smoking areas, and must provide ashtrays. The specific academic or administrative unit(s) will be responsible for absorbing all costs associated with providing designated smoking areas and ashtrays.

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4. Enforcement

This policy relies on the consideration and cooperation of smokers and non-smokers. It is the responsibility of all members of the University community to observe and follow this policy and its guidelines.

a. Smoking Cessation Information
Smoking cessation programs are available for faculty and staff through the Center for Research in Disease Prevention, Health Improvement Program (HIP). Students may contact the Health Promotion Program (HPP) through the Student Health Center for smoking cessation information or programs.


b. Repeated Violations
Faculty, staff and students repeatedly violating this policy may be subject to appropriate action to correct any violation(s) and prevent future occurrences.

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5. Implementation and Distribution

This policy will be disseminated to all faculty, staff and students and to all new members of the University Community.

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2.2.7 Requesting Workplace Accommodations For Employees With Disabilities

Last updated on:
12/15/2011
Formerly Known As Policy Number: 
23.5

This Guide Memo outlines Stanford University's policies and procedures for employee requests for disability-related accommodations.

Authority: 

Approved by the President.

Applicability: 

This policy applies to all University employees, including SLAC. However, some procedures discussed here do not apply at SLAC. Employees should contact the SLAC Human Resources Department for information on how to request workplace accommodations.

1. Policy

Stanford University values diversity and is committed to provide equal employment opportunities to all qualified employees, including those with disabilities. The University follows all state and federal laws and regulations, including the California Fair Employment and Housing Act (CFEHA), the Americans with Disabilities Act of 1990 (ADA) and Section 504 of the Rehabilitation Act of 1973 (Section 504). Disability is defined as any physical or mental impairment that limits one or more of an individual's major life activities (e.g., caring for oneself, walking, seeing, hearing, speaking, breathing, learning, sitting, standing). To ensure equality of access for employees with disabilities, the University will provide reasonable accommodations and auxiliary aids to enable the employee to perform the essential functions of his/her job and participate in University programs and activities.

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2. Implementation and Responsibility

a. Employees: are responsible for initiating requests for any desired disability related workplace accommodations. Requests by non-faculty employees should go to the supervisor or human resources manager; faculty employees should contact their Chair, departmental or school faculty affairs officer, or the ADA/Section 504 Compliance Officer.

b. Supervisors: are responsible for receiving requests for workplace accommodations, informing employees of the process and referring requests to the appropriate human resources manager. Supervisors are responsible for initiating a discussion concerning accommodations when they have reason to believe an employee's disability precludes the employee from initiating a request. Supervisors should inform the local human resources manager of all requests and accommodations.

c. Human Resources Managers: are responsible for evaluating the request, determining what type of documentation is necessary, and determining if the requested accommodation is appropriate and effective. To identify your human resources manager, call the appropriate number: Campus (650) 721-4272; School of Medicine (650) 497-2750; SLAC (650) 926-2358.

d. Compliance Officer: The ADA/Section 504 Compliance Officer provides information on the employment provisions of the ADA and employer obligations. You can also contact the Compliance Officer for information on campus accessibility, how to get technical and assistive equipment, and funding sources. You can reach the ADA/Section 504 Compliance Officer at the Diversity & Access Office located in Kingscote Gardens, 419 Lagunita Drive, Stanford, CA 94305, (650) 725-0326, FAX (650) 723-1791, TTY (650) 723-1216.

e. Chairs and Faculty Affairs Officers: are responsible for receiving requests for workplace accommodations and referring requests to the ADA/Section 504 Compliance Officer for handling under procedures similar to Section 3.

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3. Process—Recommended Steps

a. Step One - Request: The employee is responsible for requesting a workplace accommodation for his/her disability. The request shall be made to either the employee's supervisor or the local human resources manager. Requests should be in writing and include:

  • Employee's name, telephone number and address
  • Department
  • Supervisor
  • Physical or mental condition and its duration
  • Nature of request
  • Brief explanation of how the requested accommodation will enable the employee to perform the essential functions of his/her job.

b. Step Two - Discussion: When received, the supervisor or human resources manager will meet with the employee to acknowledge the request and explain the process. The supervisor or human resources manager will also meet with the employee as necessary to discuss the request and accommodation alternatives.

c. Step Three - Documenting the Disability: The supervisor or human resources manager evaluating the requested accommodation will determine what type of documentation is necessary to verify the disability. This may vary depending on the nature and extent of the disability and the accommodation requested. It is the employee's responsibility to provide the requested documentation on his/her disability. If the University determines it is appropriate to get a second professional opinion concerning the nature or impact of a physical or mental disability, the Department will bear the cost of the second opinion. The request for an accommodation will be evaluated once the employee submits all documentation to the human resources manager and/or the supervisor.

d. Step Four - Evaluation: Appropriate accommodations are determined following an individualized assessment of each request. The supervisor or human resources manager will consider the needs and requests for reasonable accommodation to determine whether the necessary equipment or services exist already in a different department or unit before investing in new equipment or additional services. Among the factors considered in determining reasonable accommodations for employees are:

(1) What is the nature of the employee's physical or mental condition and how does it affect his/her needs in the workplace setting?
(2) Does the employee's physical or mental condition limit one or more major life activities?
(3) Will the requested accommodation allow the employee to perform the essential job functions effectively?
(4) Will the requested accommodation alter or remove an essential function of the job?
(5) What impact will the requested accommodation or modification have on the department or unit?

The University is not required to provide an accommodation that will eliminate an essential function of the job in question or to provide an accommodation or service that is personal in nature, such as a hearing aid or wheelchair. Furthermore, the University is not required to lower performance, production or conduct standards, or alter attendance requirements expected of all employees.

e. Step Five - Notification: The supervisor or human resources manager evaluating the request for an accommodation shall provide the employee with written notification of the determination within 15 calendar days of receiving the completed request (including the requested documentation). If the determination includes an accommodation, the notice will also include the expected implementation date. If the supervisor or the human resources manager needs additional time to assess a request or to provide an accommodation, he/she shall provide the employee with written notification of the status of the request and the proposed date of determination.

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4. Funding

If the accommodation is appropriate and reasonable, then the department bears the initial responsibility for funding the accommodation. If the cost is beyond the department's means, the cost should be shared by higher levels in the department's/office's reporting line. For information on additional funding resources for disability-related accommodations, contact the Diversity & Access Office at (650) 725-0326.

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5. Resolving Disagreements

In the event an employee disagrees with the determination and/or proposed accommodation, he/she may contact the ADA/Section 504 Compliance Officer at the Diversity & Access Office, Kingscote Gardens, 419 Lagunita Drive, Stanford, CA 94305, telephone 723-0755, FAX 723-1791, for assistance in resolving the disagreement.

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6. Confidentiality and Records

All University employees have a legal obligation to maintain confidentiality regarding a staff or faculty member's disability-related information. To that end, Supervisors and local human resources managers shall provide information to staff and faculty only when necessary to facilitate accommodations.

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2.2.8 Controlled Substances and Alcohol

Last updated on:
03/15/2012
Formerly Known As Policy Number: 
23.6
Authority: 

Approved by the Vice President of Human Resources.

Applicability: 

Applies to all Stanford employees, certain individuals who are not Stanford employees (as defined in the Policy section) and students.

1. Background and Purpose

a. Health Risks
It is widely recognized that the misuse and abuse of controlled substances, illegal drugs (collectively called controlled substances1 and alcohol are major contributors to serious health problems and social and civic concerns. The health risks associated with the use of illicit drugs and the abuse of controlled substances and alcohol include various physical and mental consequences including addiction, severe disability and death. Information concerning the known effects of alcohol and specific drugs is available from the Office of Alcohol Policy and Education at (650) 723-3429.

b. Federal Legislation
In response to these concerns, the U.S. Congress passed the Drug-Free Workplace Act of 1988, the Drug-Free Schools and Communities Act Amendments of 1989 and the Omnibus Transportation Employee Testing Act of 1991.In accordance with these Acts, Stanford University has enacted the following policy applicable to all employees and students.

1Controlled substances are those defined in 21 U.S.C.812 and include, but are not limited to, such substances as marijuana, heroin, cocaine and amphetamines.

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2. Policy

It is the policy of Stanford University to maintain a drug-free workplace and campus. The unlawful manufacture, distribution, dispensation, possession and/or use of controlled substances or the unlawful possession, use or distribution of alcohol is prohibited on the Stanford campus, in the workplace or as part of any of the University's activities. (For clarification of what activities related to controlled substances and alcohol are unlawful, see the Appendix at the end of this Guide Memo.) The workplace and campus include all Stanford premises where the activities of the University are conducted. Moreover, employees are prohibited from being under the influence of controlled substances or alcohol while at work. Violation of this policy may result in disciplinary sanctions up to and including termination of employment or expulsion. Violations may also be referred to the appropriate authorities for prosecution.


a. Employees
As a condition of employment, all Stanford employees are expected to report to work in a condition that enables them to perform their job duties, with or without reasonable accommodation, in a safe manner that does not jeopardize their own safety or the safety of others.

Employees are prohibited from being under the influence of controlled substances or alcohol while at work. "Under the influence" is a condition where an employee's sensory, cognitive, motor functions or job related capabilities are affected, impaired or diminished and may be exhibited through various behaviors including slurred speech, difficulty walking, red eyes, erratic or threatening behavior, the odor of alcohol, etc. (Note: Lawfully prescribed prescription drugs used in accordance with their instructions are not subject to this policy.)

Employees who unlawfully manufacture, distribute, dispense, possess or use controlled substances or unlawfully use, possess, or distribute alcohol in the workplace, on the campus, or as part of any University activity will be subject to discipline up to and including termination of employment. Employees required to obtain Commercial Drivers Licenses to drive vehicles heavier than 26,000 pounds, vehicles placarded for the transportation of hazardous materials, and/or vehicles designed to carry 16 or more persons are subject to a protocol of testing for the use of drugs and alcohol in accordance with DOT guidelines. Employees at SLAC National Accelerator Laboratory must comply with SLAC's Fitness for Duty policy.

b. Students
Students are bound by this policy and the Stanford Student Alcohol Policy.

c. Others on Campus
Individuals who are not Stanford employees, but who perform work at Stanford for its benefit (e.g., independent contractors, temporary employees provided by agencies, visitors engaged in joint projects at Stanford or volunteers) are required to comply with this policy. Such individuals who violate this policy may be barred from further work for and at Stanford.

d. Rehabilitation
Successful completion of an appropriate rehabilitation program (including participation in aftercare) may be considered evidence of eligibility for continued or future employment or for reinstatement of student status.

e. Reporting of Convictions
An employee who is convicted (including a plea of nolo contendere) of a criminal drug statute violation occurring in the workplace or on Stanford property must, notify Stanford University of the conviction within five days after the conviction. Notification must be in writing to the local human resources office, the Associate Vice President of Employee & Labor Relations (for staff) or the Dean (for faculty).

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3. Guide to Supervisors

Responsibility for effective implementation and enforcement of Stanford's Controlled Substances and Alcohol Policy begins with supervisors. Supervisors must be alert to indications or evidence of the use or presence of controlled substances or alcohol in the workplace.

a. Communication
Supervisors must make sure that employees are aware of Stanford's Controlled Substances and Alcohol Policy and understands that violation of this policy is a serious matter and cause for disciplinary action including possible termination.

b. Consultation with Human Resources
If and when an employee is suspected of violating this policy, the supervisor should consult with the local human resources office to plan and carry out an appropriate investigation and resolution of the situation.

c. Impaired Performance on the Job: Under the Influence of Controlled Substances or Alcohol in the Workplace
Performance problems on the job can have many causes. In discussions with an employee concerning any performance problem, the supervisor should offer to help the employee determine the source of the problems and offer guidance on appropriate assistance, counseling or other resources.

When job performance has become impaired, the supervisor should take normal corrective action, beginning with discussion with the employee. When the behavior of an employee on the job raises safety concerns for the employee and/or others in the workplace, the supervisor must take immediate action and prohibit the employee from continuing on the job until it is determined that he/she is fit to return to work and perform safely. Specific actions to be taken depend on the facts of the particular situation. Supervisors should consult with their local human resources office and document any cases of suspected employee impairment while at work.

In a situation when the employee acknowledges to the supervisor that poor performance or unacceptable conduct results from a substance or alcohol abuse problem, the supervisor should urge the employee to seek help from a qualified substance abuse treatment resource. If the employee requests a leave of absence for a rehabilitation program, the supervisor should take normal steps to review the leave request. After a review of the situation, any misconduct, performance issues or policy violations which occur before, or coincident with, a voluntary admission of impairment may form the basis of disciplinary consequences up to and including termination.

d. Testing for Drugs and Alcohol
Supervisors of employees who are required to obtain a Commercial Drivers License to drive vehicles weighing more than 26,000 pounds, vehicles placarded for the transportation of hazardous materials, and/or vehicles designed to carry 16 or more persons are responsible for making sure the appropriate tests for the use of drugs and/or alcohol are administered through a suitable drug testing service provider. The department/ school is responsible for managing the testing process and determining if the use of an outside vendor is needed for this purpose.

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4. Getting Help

Employees concerned about substance use, abuse, and rehabilitation are strongly encouraged to contact their physician, their medical plan, or the Stanford Faculty & Staff Help Center, which can refer employees to appropriate resources (community or private agencies) that provide complete, confidential substance abuse counseling.

Stanford's medical insurance plans provide coverage for substance abuse programs. Go to the Stanford Benefits website for additional information.

Students (including employees who are also Stanford students) are urged to contact the Office of Alcohol Policy and Education at (650) 723-3429.

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The unlawful manufacture, distribution, dispensing, possession, and/or use of a controlled substance or alcohol is regulated by a number of federal, state and local laws. These laws impose legal sanctions for both misdemeanor and felony convictions. Criminal penalties for convictions can range from fines and probation to denial or revocation of federal benefits (such as student loans) to imprisonment and forfeiture of personal and real property.

This Appendix contains a list of some of the laws pertaining to the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance or alcohol. Because the laws change from time to time, the information provided in the Appendix is illustrative, not exhaustive. More detailed and current information is available from the Stanford Department of Public Safety.

APPENDIX

Generally, as of February 2006 it is a criminal offense:

  • to illegally manufacture, sell, distribute or possess controlled substances (those listed in Schedules I through V of the Controlled Substances Act (21 U.S.C.812) (21 U.S.C. 828, 841, 844, 859, 860)
  • to unlawfully possess or possess for sale controlled substances specified in California Health and Safety Code 11054, 11055, 11056, 11057, 11058
  • to possess, cultivate, sell or possess for sale marijuana (CA Health and Safety Codes 11357, 11358, 11359)
  • to use or be under the influence of a controlled substance (CA Health and Safety Code 11550)
  • to transport, sell, or distribute marijuana to a minor or to use a minor to transport, sell, or distribute marijuana (CA Health and Safety Code 11361)
  • to possess, furnish or manufacture drug paraphernalia (CA Health and Safety Code 11362 et seq.)
  • to provide any alcoholic beverage to a person under 21 or to any obviously intoxicated person (CA Business and Professions Code 25658; 25602)
  • to be under the influence of alcohol in a public place and unable to exercise care for one's own safety or that of others [CA Penal Code 647(f)]
  • for persons under 21 to have any container of alcohol in any public place or any place open to the public (Business and Professions Code 25662)
  • to operate a motor vehicle while under the influence of alcohol or other intoxicants or with a blood alcohol level of .08% or higher (CA Vehicle Code 23152)
  • for any person under the age of 21 to operate a motor vehicle with a blood alcohol level of .05% or higher (CA Vehicle Code 23140)
  • to have an open container of alcohol in a motor vehicle and for persons under 21 to drive a vehicle carrying alcohol or to possess alcohol while in a motor vehicle (CA Vehicle Code 23223; 23224)
  • to have in one's possession or to use false evidence of age and identity to purchase alcohol (CA Business and Professions Code 25661)
  • for any person under age 21 to purchase alcohol (CA Business and Professions Code 25658.5)

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2.2.9 Employee Training

Last updated on:
08/30/2012
Formerly Known As Policy Number: 
23.7

Stanford University is obligated to provide necessary training to employees of the University, and retains the right to identify certain training as required. Where identified as required, training will be considered a job responsibility, as it is integral to the quality of work performed by the employee and contributes to the overall effectiveness of organizational operations.

Authority: 

This policy is established by the Vice President of Human Resources, who determines training requirements upon consultation with the other University officials and groups as appropriate. Additionally, Deans, Vice Presidents or members of the Provost's staff may determine that specialized training is required within their Schools or organizations. Such training will be identified and delivered locally, with support from central training providers as appropriate and available.

Applicability: 

The policy is applicable to all Stanford University employees, including faculty, staff and students.

1. Purpose/Rationale

The increasing complexity of the work environment requires continuing development of competencies and upgrading of knowledge and skills relating directly to the performance of work. In addition, changes in external regulation and Stanford policies, procedures and practices have created risks/liabilities which require the delivery of consistent information to Stanford University employees (faculty, staff and students) with specific responsibilities. The documented delivery of training is in some cases mandated by external agencies and subject to audit review (for example, in areas such as financial management, health and safety practices, and sponsored project administration).

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2. Actions and Instructions

a. Department Managers are responsible for:

  • Identifying those employees who perform work requiring specific training.
  • Taking necessary actions to enable the delivery of necessary training, including identifying appropriate courses and providing release time as needed for participation.
  • Monitoring job performance, and incorporating ongoing training and development as an element of continuing staff performance appraisal.
  • Providing support after training to maximize application of skills on the job.

b. Departments providing required University-wide training are responsible for:

  • Responding to client needs by developing curriculum to address job requirements; considering the content and delivery of training to maximize value, while minimizing the time needed to achieve proficiency, and considering alternatives to classroom instruction whenever feasible.
  • Continually evaluating the effectiveness of training programs.
  • Recommending to the Vice President of Human Resources specific training for required delivery to University populations. Such recommendations must include definition of:
    - rationale for requiring training
    - populations for which training is a requirement
    - delivery plans (including necessary resources)
    - methods for documenting delivery

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3. Documentation and Enforcement

Satisfactory completion of required training must be documented within the organization requiring the training. Such documentation is a prerequisite for authorization to perform certain tasks; e.g., for authority to expend University funds or for access to particular information or materials.

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4. Cognizant Offices

Questions about this policy may be directed to Learning & Organizational Effectiveness at (650) 723-4635 and learningdev@stanford.edu. This office chairs the University Training Advisory Committee.

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5. Definitions

a. Required Training—Material for which competency must be demonstrated as a condition of employment in certain jobs, or for the assignment of certain tasks.

b. University-wide—Having general applicability to members of the University community, not specific to any School, department or office.

c. Local Training—Having specific applicability to the needs of an individual School, department or office.

d. Release Time—Time away from the job made available for participation in training or other job-related activities. Release time is compensable working time.

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2.2.10 Gifts and Awards for University Employees

Last updated on:
07/23/2018
Formerly Known As Policy Number: 
23.8

This Guide Memo provides specific guidelines for conferring non-taxable gifts or awards upon eligible University employees.

Authority: 

This Guide Memo was jointly approved by the Vice President for Human Resources and the Controller.

Applicability: 

This policy applies to all faculty, academic staff, and regular staff as defined in Guide Memo 2.2.1: Definitions.

1. Policy Statement

At the discretion of each department or school, gifts or awards may be made to University employees for non-performance related recognition, such as to acknowledge years of service or celebrate retirement. The expense of such gifts or awards must come from appropriate University funds. In addition, the succeeding award guidelines must be followed or all or part of the value of gifts or awards will be reportable to the Internal Revenue Service (IRS) as taxable income to the employee.

This policy does not cover ordinary business expenses in the promotion of employee morale. Examples of such business expenses are: occasional business lunches; office gatherings; or flowers for bereavement, hospitalization, or family crises. Nor does this policy cover performance-based awards or bonuses, which are generally taxable to the recipient and are processed through Payroll. Furthermore, this policy does not preclude individual faculty or staff members from giving personal gifts to their colleagues provided University funds are not used for this purpose.

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2. Purpose

Stanford University understands the importance of maintaining morale by recognizing employee length-of service, retirement or other special occasions. This guide memo provides specific guidelines regarding the value and type of gifts or awards that are nontaxable income.

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3. Staff Length of Service/Retirement Rewards

A regular staff employee and an academic staff employee must be in active service on his/her anniversary date to receive the length-of-service award. Length of service is determined by computing the period of service as defined in Guide Memo 2.1.6: Vacations, Section 1.a. The following length-of-service/retirement award guidelines have been developed according to IRS regulations. Awards which adhere to the following parameters and are given to eligible employees are not subject to taxes:

a. Timing
The length-of-service or retirement award may not be made within the employee's first five years of service or more frequently than every five years. Length-of-service or retirement awards given within the first five years of service or more frequently than every five years will be taxable in full and must be reported as such to the Controller's Office.

b. Dollar Limit
The value or cost of the length-of-service or retirement award should not exceed $400 during the taxable year. Also, it is recommended that the value or cost of the award be commensurate with the number of years of service being recognized (e.g., the 15-year service award is greater than the 10-year service award). Length-of-service or retirement awards with a value or cost over $400 will be taxable to the extent the value or cost exceeds the dollar limit (e.g., if a $450 award is given, then $50 will be taxable).

If the staff employee elects to retire the same year he/she becomes eligible for a length-of-service award, then the maximum total value or cost of the award(s) should not exceed $400 for the award(s) to be nontaxable. In rare circumstances the nontaxable amount of the award may be higher than $400. Any exceptions must be approved in advance by the Controller's Office Business Expense Manager.

c. Form of Awards
In order to avoid tax reporting as income, the award must be in the form of tangible personal property. The IRS does not consider gift cards, gift coupons, gift certificates, vacations, meals, lodging or tickets to theater or sporting events for service or retirement awards to be tangible personal property, and accordingly, they are subject to tax. If the award is in the form of cash, check, or gift certificate, the value of such items is treated as additional wages regardless of cost or value (see Section 5.a. below for an exception for nominal gifts).

d. Meaningful Presentation
The award must be presented in a meaningful presentation or ceremony. Every attempt should be made to give a length-of-service/retirement award during the year the anniversary occurs. To avoid tax liabilities to the attendees, departments or schools should ensure that special presentation events are conducted only on an occasional basis and that the costs of the events are reasonable.

Deans/Vice Provosts/Vice Presidents are responsible for ensuring that award programs at different levels within their organization comply with all the above IRS requirements for nontaxable gifts.

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4. Faculty Retirement Awards

Faculty members with more than 5 years of service are eligible to receive an award from the University upon retirement or departure from the University to recognize their service and contribution. (Faculty members do not participate in the staff 5-year incremental length-of-service award.) For retirement awards to be nontaxable to the recipient, they must meet the 5-year service requirement noted in this section as well as the requirements listed under Sections 3.b. to 3.d. of this policy. Any award that does not meet the IRS requirements will be taxable income and must be reported as such to the Controller's Office. For example, if an award is granted prior to 5 years of service or is a gift certificate, the entire award amount is taxable income. Also, if the award value/cost exceeds $400, then any amount over $400 will be taxable (e.g., if a $600 retirement award is given, then the $200 over the dollar limit will be taxable income).

It is the Department Chair's responsibility to ensure that awards comply with the IRS requirements. In rare circumstances the non-taxable amount of the award may be higher than $400. Any exceptions must be approved in advance by the Associate Controller that oversees Disbursements. (See the Financial Management Services Organization Chart.

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5. Nominal Gifts

Each department or school determines who is eligible and what occasions warrant the gift. To ensure these gifts are nontaxable to the recipient(s), departments need to follow the IRS regulations outlined below:

a. Dollar Limit
The aggregate gift value should not exceed $50 per individual. If the value of the gift(s) exceeds $50, then the entire gift will be taxable. Qualifying gift certificates in amounts not exceeding $50 will be considered nominal and not taxable. To qualify, a gift certificate must be one that requires the recipient to exchange the certificate for tangible personal property from the issuing vendor, and cannot be convertible to cash or used to reduce the balance of the recipient's account with the company issuing the gift certificate.

b. Frequency
The gift should be given only on an occasional basis. Gifts given to an employee(s) on a regular or routine basis do not qualify for nontaxable treatment and must be reported as taxable income.

c. Noncash Gift
The gift must be tangible personal property. That is, it may not be a check, or a gift certificate over $50. (see qualifying gift certificate description in 5.a. above).

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6. Guide to Supervisors

a. Nontaxable Gifts/Awards
The cost of the nontaxable gift and/or award may be paid personally and reimbursed by the University using the Oracle Financials reimbursement application or purchased using a university PCard. The name of the employee and the occasion for the gift (e.g., 10-year service) must be included on the request or included in the PCard verification information to ensure timely processing. For more information see Guide Memo 5.4.3: Reimbursement of Expenses.

b. Taxable Gifts/Awards
The cost of gifts or awards that fail to meet one or more of the IRS requirements outlined in this policy may be paid personally and reimbursed by the University using the Oracle Financials reimbursement application or purchased using a University PCard. The name of the employee, his/her employee ID number and occasion for the gift must be included on the request, or included in the PCard verification information, to ensure timely processing of the request. All reimbursements processed for these types of gifts will be sent to the Payroll Department and the amounts will be included in the employee's W2 or 1099 forms. For more information, see Guide Memo 5.4.3: Reimbursement of Expenses. Any gift purchased using the PCard must be clearly identified in the business purpose as being a gift. The PCard verifier must be able to provide tax information to Disbursements upon request in order to properly complete any required tax reporting to the recipient. Failure to do so will result in loss of card privileges.

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7. Resources

For more information about employee gifts, please contact the appropriate local human resources manager.

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2.3.1 Survivor Benefit Plans

Last updated on:
02/10/2014
Formerly Known As Policy Number: 
27.1
Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

All faculty and staff are subject to this policy if appointed 50% time or more for a period of at least six consecutive months. For specific questions, contact Stanford Benefits. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements between Stanford University and SEIU Higher Education Workers Local 2007 and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining.

1. Group Life and Accidental Death & Dismemberment Insurance

For information about coverage, eligibility, enrollment, benefits and costs, go to Stanford Benefits

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2. Business Travel Accident Insurance

a. Brochure
The plan brochure for this insurance is available on the Cardinal at Work website.

b. Guide to Supervisors
In the event of the accidental death, dismemberment or permanent total disability of any employee while engaged in the performance of authorized travel for the University, the employee's department should immediately contact Stanford Benefits. An affidavit will be required from the University certifying that the travel was undertaken for an official University purpose. In processing expense reimbursement vouchers for official travel, supervisors should remind employees that individually purchased "trip life insurance" is not a reimbursable expense because the University provides this automatic blanket travel accident insurance.

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3. Social Security Survivor Payments

Under some circumstances the Social Security program, which covers all regular Stanford employees, provides payments upon the death of an employee. Information about these benefits is available at http://www.ssa.gov/ or at a local office of the Social Security Administration.

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4. Stanford Retirement Plan Survivor Benefits

Under some circumstances, the University's retirement plans include benefits for survivors or beneficiaries when the employee dies before retirement. Refer to the applicable Summary Plan Description on the Cardinal at Work website or contact the University HR Service Team.

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5. Workers' Compensation Survivor Payments

Death benefits will be paid to surviving dependents if an injury results in death. Death benefits paid to survivors are set by State law according to the number of dependents. Contact the Risk Management Office for assistance.

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2.3.2 Health Plans

Last updated on:
03/15/2010
Formerly Known As Policy Number: 
27.2

The University provides Health Plans for eligible employees. This Guide Memo provides details on eligibility and links to further information.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

This policy applies to regular employees (as defined in Guide Memo 2.2.1: Definitions. For policies that apply to employees covered by collective bargaining agreements, refer to the agreements between Stanford University and SEIU Higher Education Workers Local 2007 and Stanford University and the Stanford Deputy Sheriffs' Association. Agreements can be found at Labor Relations & Collective Bargaining. While these policy statements are applicable to all University staff, the SLAC Human Resources Department should be contacted for specific information relating to SLAC employees.

1. Eligibility

All faculty and staff are eligible to enroll if hired/appointed to a 50% time or more position for a period of at least six consecutive months (four months or more for bargaining unit employees). Eligible dependents may also be enrolled. Additional information is available on the Cardinal at Work website. Exceptions (not eligible): Temporary employees, employees working less than 50% time, Stanford students, visiting scholars and postdoctoral fellows.

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2. Coverage Available to Faculty and Staff

a. Medical Plan
The University makes available to each eligible employee and official University retiree several medical plan choices. These medical plan choices are described in the Summary Plan Descriptions (SPD) and the Evidence of Coverage (EOC) on the Cardinal at Work website or by contacting the University HR Service Team. The SPD is the official University communication on the plan and contains information on eligibility, enrollment and participants' rights under the plan and federal law, and certain other subjects. Each carrier's EOC describes the carrier's benefits and how the plan operates.

b. Dental Plan
The University offers a choice of dental plans, covering certain expenses for necessary dental coverage for enrolled employees. The Summary Plan Description is available on the Cardinal at Work website or by contacting the University HR Service Team. It includes information on eligibility, benefits and participants' rights under each plan and federal law, and certain other subjects.

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3. Enrollment

a. New Hire
Faculty and staff may enroll themselves and dependents in a medical and/or dental plan by completing the online enrollment during the first 31 calendar days after their hire/appointment date.

b. Change in family status
Mid-year enrollments and changes are allowed (as defined by federal law) within 31 calendar days of a qualified family status change. For more information, visit the Cardinal at Work website.

c. Open Enrollment
Stanford has an annual open enrollment period, usually in November, to enable employees to review and/or change their benefit options. Elections are effective at the beginning of the new plan year, January 1.

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4. Stanford Contributions to Health Plans

For the current University contributions to medical and dental plans visit the Cardinal at Work website or contact the University HR Service Team.

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5. Privacy

Stanford's ERISA (Employee Retirement Income Security Act) benefits plans operate in compliance with the Privacy Rule under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), which governs the treatment of individually identifiable health information.

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2.3.3 Tuition Privileges

Last updated on:
12/15/2009
Formerly Known As Policy Number: 
27.4

This Guide Memo describes a tuition grant program for children of faculty and staff and auditing privileges for Stanford University courses.

Authority: 

Approved by the Vice Provost for Student Affairs and the Vice President for Human Resources.

Applicability: 

This policy applies to all Stanford employees except those covered by collective bargaining agreements. For benefits applicable to employees covered by collective bargaining agreements, refer to the applicable agreement at Labor Relations & Collective Bargaining.

1. Tuition Grant Program for Children of Faculty or Staff

Stanford University has a program under which eligible faculty and staff may receive financial assistance toward the cost of post-high school education for their children. "Tuition Grant Program (TGP) Guidelines" provides information about eligibility, coverage, benefits, and application procedures. Guidelines and FAQ are available on the Cardinal at Work website, or contact the University HR Service Team. Schools and divisions at their discretion may provide tuition assistance to other staff (not to exceed the benefit provided by the tuition grant program). That tuition assistance is taxable and will be reported as income to the employee.

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2. Auditing Stanford Courses

a. Courses Available
It is necessary to limit the audit privilege to lecture courses. Auditing is not feasible and will not be authorized for courses which involve individual instruction such as creative writing, acting, studio art, music practice, language practice (grammar or conversation), seminars, and courses with laboratories.

b. Eligibility to Audit With Waiver of Fees
The usual fee for auditing will be waived for faculty members and for spouses and same-sex domestic partners of faculty and regular employees, and also for regular employees when the course will improve the employee's efficiency on the job. The children of faculty and staff are not eligible to audit classes with a waiver of fees.

c. Procedures
Registration forms for auditing are available at the Student Services Center in Tresidder Memorial Union. All auditors must obtain the course instructor's permission to audit. Staff employees must also obtain written permission from the department head stating that the course will improve the employee's effectiveness and that time off is approved if needed. All persons requesting to audit will be required to present their Stanford I.D. card at the time they register.

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3. Staff Development and Training

Information about tuition assistance and other training and development programs for regular employees is provided in Guide Memo 2.1.12: Staff Development Program.

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2.3.4 University Housing Programs

Last updated on:
03/15/2010
Formerly Known As Policy Number: 
27.5

This Guide Memo provides information on University housing programs available to eligible faculty (and certain executive staff positions as designated by the Provost's Office).

Authority: 

Approved by the Provost.

Applicability: 

Information about eligibility for University Housing Programs can be found on the Faculty Staff Housing website or by calling (650) 725-6893.

1. Purpose

The purpose of the University's housing programs is to further Stanford's objectives of teaching and research. Access to affordable housing is essential if the University is to recruit and retain outstanding faculty. University housing programs available to faculty (and certain senior staff positions as designated by the Provost's Office) are designed to mitigate the effect of the high cost of local housing in a cost effective manner with available financial, administrative and land resources.

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2. Responsibility

Faculty Staff Housing (FSH) administers the University's housing programs, and monitors eligibility requirements and guidelines for the programs.

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3. Policies and Procedures

To qualify for University housing programs, one must meet the criteria for an Eligible Person. Information about current housing programs and eligibility criteria is available from the FSH website. You may contact FSH by calling (650) 725-6893 or emailing fshousing@stanford.edu. The Faculty Staff Housing office is located at Owen House, 552 Lane A, Stanford, CA 94305-8630. Programs and eligibility requirements are subject to modification or discontinuation without notice by the University.

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2.3.5 Disability and Family Leaves

Last updated on:
01/01/2015
Formerly Known As Policy Number: 
27.7

This Guide Memo describes medical and other disability-type leaves, and the coordination of these types of leave with University benefit plans.

Authority: 

Approved by the Vice President for Human Resources.

Applicability: 

Applies to regular Stanford University employees not covered by collective bargaining agreements, regular Academic Staff - Research, and regular Academic Staff - Libraries. (The term "regular employee" is defined in Guide Memo 2.2.1: Definitions.) For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining.  

Notes:

  • Procedures for SLAC employees may vary.
  • Faculty may consult the Faculty Handbook, chapter 3.
  • See information on each disability plan for specific details about plan eligibility.

1. Overview

Eligible University employees can participate in a variety of family and medical leaves (also known as Family and Medical Leave Act, and referred to in this document as FMLA) and disability benefit plans. Policies are described in this document. Before you go out, consult with your local Human Resources Office and contact Stanford Benefits. Important information regarding the scope and use of the disability benefit plans is included in the relevant plan brochures available on the Stanford Benefits website.

a. Specific Process for a filing a disability claim:
(1) The employee reports the absence (or planned absence) to his/her immediate supervisor.
(2) The employee calls Liberty Mutual's toll-free number, (800) 896-9375, or uses http://www.mylibertyconnection.com/ to initiate a claim. Liberty Mutual will inform the employee if there are any forms to submit.
(3) If the employee does not call Liberty Mutual, it is the department's responsibility to notify Liberty Mutual.
(4) Continue steps per general process for all disabilities in section 1.b.

b. General Process:

(1) Timeliness
Employees must give notice of anticipated family or medical leaves and file claims for disability plan benefits as soon as feasible. Notice should be given to the immediate supervisor, the HR Disability Leave Administrator and Liberty Mutual. For work-related leaves, refer to section 4, Workers' Compensation. For example, an employee who will be hospitalized on a pre-determined date should contact Liberty Mutual before entering the hospital. In addition, the employee must submit the signed Authorization to Release Information card to his/her physician's office as soon as possible. No disability benefits can be paid until Liberty Mutual has received the completed physician's form with appropriate verification of the disability. If not hospitalized, the employee still needs to report the absence to Liberty Mutual and his/her supervisor.

(2) Workers' Compensation
When the employee's disability is, or may be, work-related, the department should report the circumstances to the Risk Management Office within 24 hours of the employee's injury. See section 4, Workers' Compensation. SLAC employees should refer to SLAC Human Resources for the relevant reporting requirements.

(3) The HR Disability Leave Administrator
The local HR Disability Leave Administrator notifies and coordinates with Disability and Leave Services (DLS) in Human Resources. The local HR Disability Leave Administrator works with the employee, his/her supervisor and DLS to ensure that information is communicated in a timely manner.

(4) DLS
DLS updates the employee's Axess/PeopleSoft record and works with Stanford's benefits vendors and the local Disability Leave HR Contact.

(5) Supervisor's Ongoing Communication
The supervisor (or local Human Resources Office on the supervisor's behalf) should routinely check the determination made on the employee's claim for short-term (VDI/SDI) disability benefit or Workers' Compensation benefit payments. The supervisor should arrange with the employee to be kept informed about the estimated return to work date for an employee who is absent for an extended period. If the employee is unable to advise the supervisor personally about his/her inability to return to work, the supervisor should make other arrangements to be kept advised of the status of the employee's return to work.

(6) Medical Certification
The employee must call Liberty Mutual to initiate a leave request and open a disability or FTD claim. Liberty Mutual will work with the employee to obtain the necessary certification from a health care provider. The employee must provide certification within 15 days to Liberty Mutual. Certification is also required to request a leave extension.

(7) Length of Leave

  • Maximum Duration
    Except as otherwise required by law, the maximum duration that a regular employee is eligible to be on an approved medical leave of absence due to a non-work-related injury or illness is no more than 12 consecutive months, inclusive of any periods of full- or part-time leave, Family Medical leave, pregnancy disability leave, or leave for personal reasons. If an employee is unable to return to work at the end of an approved medical leave, the employee will be terminated. Twelve months of leave is not guaranteed. The maximum duration of leave will be determined based on the particular circumstances of the situation, including the operational needs of the department, the number of times extensions of leave have been previously granted, and any disability accommodation leave that may have been granted.
  • Exceptions
    If a proposed leave will result in a total period of absence exceeding 12 months, prior approval is required from the local Human Resources Office and in concurrence with the Vice President of Human Resources (or his/her designee). Requests for exceptions must be submitted in writing to the local Human Resources Office. Such exceptions are likely to be approved only in limited circumstances.

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2. Family and Medical Leaves

a. Introduction
Family Medical Leave is leave authorized by the federal Family and Medical Leave Act (FMLA) and/or the California Family Rights Act (CFRA). Certain leaves for members of the armed forces and their families are outlined in Guide Memo 2.1.18. In most cases, FMLA and CFRA run concurrently with each other and with Short-Term Disability Leave, including leave due to work-related illness or injury, and with Family Temporary Disability Leave (FTD). Eligible employees are assured up to 12 weeks unpaid leave during a rolling 12-month period that begins on the verified FMLA start date. "Assured" means the department cannot refuse the leave when any one of the following situations is appropriately verified:

  • The birth of a child or the placement of a child with the employee for adoption or foster care.
    Limitations: Leave for birth or placement of a child for adoption or foster care should generally be taken in blocks of time (two weeks minimum) and must be concluded within the first 12 months after the birth or placement. A request for baby bonding leave in less than two weeks' duration may be granted on any two occasions.
  • A serious health condition that makes the employee unable to perform his or her job.
  • The serious health condition of a spouse, same-sex domestic partner, parent or child that requires the employee's absence from work to care for the ill family member.

Definition of "Serious Health Condition"
Serious health condition (as defined by the Dept. of Labor) means an illness, injury, impairment, or physical or mental condition that involves either:

  • Inpatient care (i.e., an overnight stay) in a hospital, hospice, or residential medical-care facility, including any period of incapacity (i.e., inability to work, attend school, or perform other regular daily activities) or subsequent treatment in connection with such inpatient care; or
  • Continuing treatment by a health care provider, which includes: 

1. A period of incapacity lasting more than three consecutive, full calendar days, and any subsequent treatment or period of incapacity relating to the same condition that also includes:

a. treatment two or more times by or under the supervision of a health care provider (i.e., in-person visits, the first within 7 days and both within 30 days of the first day of incapacity); or
b. one treatment by a health care provider (i.e., an in-person visit within 7 days of the first day of incapacity) with a continuing regimen of treatment (e.g., prescription medication, physical therapy); or

2. Any period of incapacity related to pregnancy or for prenatal care. A visit to the health care provider is not necessary for each absence; or
3. Any period of incapacity or treatment for a chronic serious health condition that continues over an extended period, requires periodic visits (at least twice a year) to a health care provider, and may involve occasional episodes of incapacity. A visit to a health care provider is not necessary for each absence; or
4. A period of incapacity that is permanent or long-term due to a condition for which treatment may not be effective. Only supervision by a health care provider is required, rather than active treatment; or
5. Any absences to receive multiple treatments for restorative surgery or for a condition that would likely result in a period of incapacity of more than three days if not treated.

b. Eligibility
Employees working in the U.S. are eligible if employed by Stanford at least one year and have worked at least 1,250 hours (paid time off, paid leave and unpaid leave not included) during the 12 months before the start of the requested leave.

c. Notification
Employees are expected to provide 30 days advance notice to their manager when the need for leave is foreseeable (i.e., anticipated date of birth, adoption or planned medical treatment). When advance notice is not possible, employees should give as much advance notice as feasible. If advance notice is not provided when the employee had sufficient prior knowledge of the need for leave, the department may deny leave until 30 days have elapsed. Such denial should be made only when operationally necessary, and always in consultation with the local Human Resources Office. Employees are required to give a minimum of two days notice if the return to work will be later or earlier than the expected return date.

d. Medical Certification
The employee must call Liberty Mutual to request FML/CFRA leave. Liberty Mutual will work with the employee to obtain certification from a health care provider that the employee, his/her child, parent, spouse, or same-sex domestic partner in fact has a serious health condition, the condition's expected duration, and the need for the employee to attend to the family member. The employee must provide certification within 15 days to Liberty Mutual. Certification is also required to request a leave extension.

e. Intermittent Leave
Under some circumstances, employees may take FMLA leave intermittently (taking leave in separate blocks of time for a single qualifying reason) or on a reduced schedule (reducing the employee's usual weekly or daily work schedule). When leave is needed for planned medical treatment, the employee must make a reasonable effort to schedule treatment to avoid unduly disrupting department operations.

For birth and care of a child or "baby bonding" under California (CFRA) law, an employee may use intermittent leave in segments of two weeks. A request for baby bonding leave of less than two weeks duration may be granted on any two occasions.

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3. Pregnancy and Disability Leave

California law currently provides eligible employees up to four months off for pregnancy disability leave (PDL). The first three months of PDL run concurrently with the employee's federal FMLA entitlement. Following PDL, the employee may be eligible to use up to 12 weeks of California Family Rights Act (CFRA) leave. Verified pregnancy disability leave does not count against an employee's California Family Rights Act (CFRA) leave entitlement unless the employee has exhausted the maximum pregnancy disability leave permitted by law.

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a. Introduction
Under California law, eligible employees are entitled to a paid leave of absence up to 30 days for the purpose organ donation and up to 5 days for bone marrow donation. The leave may be taken in increments during any one-year period. The one-year period starts on the first day of leave. Use of accrued time for a portion of the leave will be required (see section 4.d). Periods of authorized Paid Organ Donor leave do not run concurrently with either FMLA or CFRA leave and are not counted against an employee's annual FMLA/CFRA entitlement.

b. Eligibility
The employee must complete at least 90 days of service with the University before requesting Paid Organ Donor leave.

c. Medical Certification
The employee must call Liberty Mutual to request a Paid Organ Donor leave and provide written medical verification that he /she is an organ or bone marrow donor and the medical necessity for the donation. Liberty Mutual must receive the certification within 15 days of the Paid Organ Donor leave request.

d. Pay During Leave
During the period of Paid Organ Donor leave, employees will be required to use 5 days of accrued time for bone marrow donation and 10 days for organ donation. Once the amount of required accrued time is used, the employee will be on paid leave of absence for the remainder of the Paid Organ Donor leave.

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5. Workers' Compensation

a. Introduction
The purpose of this coverage is to provide partial income continuation during absences resulting from work-related injuries or illnesses, and payment of necessary medical, surgical, and hospital services for such injuries and illnesses. The University pays the full cost of Workers' Compensation coverage. Workers' Compensation payments are a non-taxable benefit paid directly to the employee by Zurich North America, a third party administrator.

b. Eligibility
All employees of the University, including student employees, staff, and faculty, are covered by Workers' Compensation. Work-related disability provisions are applicable to temporary, student and casual employees; however, the charging (or not charging) of vacation and/or sick time is not applicable.

c. Reporting and Recording Work Injuries and Related Absences From Work
Departments have additional requirements for reporting all work-related injuries and illnesses. See Guide Memo 7.6.1: Accident and Incident Reporting.

d. Payments
The Workers' Compensation administrator (Zurich) normally pays benefits from the fourth day of the disability period or the first day of hospitalization, whichever occurs first. If the employee is out of work more than 14 days (need not be consecutive) with a doctor's authorization, the three-day waiting period is waived and retroactive payments will be made so that payments start with the first day of disability. For Workers' Compensation, Stanford charges up to the initial five full work days of absence (days need not be consecutive) of an accepted claim to work-related disability paid leave. The University will augment the Workers' Compensation benefit with salary during this period. An employee's sick time or vacation is not charged for these days of absence. By state law, an employee may not receive both Workers' Compensation benefits and full pay. Therefore, employees are required to reimburse the University for any Workers' Compensation benefits paid for the first five days including any associated holidays, because the University has already paid the employee for the time. For part-time employees, the full day is prorated based on the employee's normal work schedule.

e. Delayed Claims
If acceptance of a claim is delayed, the initial five full days of absence (need not be consecutive) are charged to accumulated sick time and the claim is handled as a short-term non-work-related disability. If accumulated sick time is exhausted, the time is charged to accrued PTO, floating holiday and vacation, in that order. If the employee does not have enough accrued time, the remaining hours are unpaid. If the claim is then accepted under Workers' Compensation, any sick, PTO, floating holiday, and /or vacation taken during the first five days will be restored.

f. Supplementing Workers' Compensation Payments
Employees may receive both paid leave and disability plan benefits concurrently, not to exceed the employee's base pay. After the initial five work days of disability, accumulated sick, PTO, floating holiday and vacation time will be used, in that order, to supplement Workers' Compensation benefits. Thus, the employee continues to receive income equivalent to full pay.

g. Role of Disability and Leave Services
Disability and Leave Services (DLS) updates Axess/PeopleSoft HRMS records each pay period for all employees on absences due to work-related disability. DLS makes certain that combined income from disability payments and Stanford does not exceed pre-disability pay and keeps accurate records of leave time used.

h. More Information
Details regarding claims procedures, accident reports, and related matters may be obtained from the Risk Management Office, (650) 723-7400, Workers' Compensation Benefits. Also, Guide Memo 7.6.1: Accident and Incident Reporting, has additional information about Workers' Compensation. SLAC employees should refer to SLAC Human Resources

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6. Income During Family and Medical Leaves

a. Use of Accrued Time
Accrued time consists of sick time, PTO for the calendar year, floating holiday for the calendar year and vacation, to be used in that order. During medical leaves (including Workers' Compensation, FMLA, CFRA and PDL), the University will use an employee's accrued time to maintain the employee's base pay. For FTD leaves, please see section 6.d. When the employee is also receiving disability benefits, DLS ensures that combined income from both the disability vendor and the University does not exceed pre-disability pay. Accrued time is used until the employee goes off disability, including Worker's Compensation, or until all balances are exhausted. The use of some forms of accrued time is at the employee's option during certain FMLA leaves. If an employee chooses not to use accrued time during a medical leave, the employee must contact the department's HR Disability Leave Administrator or HR department to complete the Disability/Leave Request Form. An employee's request to opt out of the payment practice can only be for future pay cycles and not retroactively. Disability and Leave Services (DLS) administers the employee's records in the Human Resources Management System. Procedures at SLAC will differ.

Thus, if the employee has accrued time and is also receiving disability benefits, the employee will receive disability checks from Liberty Mutual and/or Zurich and reduced paychecks from the University until his/her accrued time has been exhausted. Once the accrued time is exhausted, the employee will only receive disability checks from the disability vendor for the duration of the approved leave.

b. Overpayment
If an employee has been overpaid, the employee must reimburse the University for the overpayment either by direct payment or through payroll deduction.

c. Voluntary Disability Insurance / Short-Term Disability
(1) Introduction
The University's VDI plan is state-approved to take the place of SDI by providing benefits that are better than those of the state's plan. The VDI plan provides partial income continuation for periods of disability of up to 52 weeks or a maximum dollar amount. This plan is described in the Statement of Coverage available on the Cardinal at Work website or by contacting the University HR Service Team. For information on SDI, go to the Employment Development Department's website at www.edd.ca.gov.
(2) Eligibility
Faculty and staff based in California are covered for short-term disabilities by either the University's voluntary disability insurance plan (VDI) or State Disability Insurance (SDI) if the employee opted out of VDI. Non-California employees are covered under a separate 13-week short-term disability plan (STD).
(3) Benefit Waiting Period
Refer to the Voluntary Disability Insurance Statement of Coverage on the Cardinal at Work website, or contact the University HR Service Team.
(4) Taxability
Short-term disability (VDI/SDI) payments are non-taxable benefits. These non-taxable benefits are paid directly to the employee by Liberty Mutual.

d. Family Temporary Disability (FTD)
(1) Introduction
This California state program provides partial income replacement during absences from work to care for seriously ill family members (parent, child, spouse, registered domestic partner, grandparent, grandchild, sibling, or parent-in-law) or to bond with a new child.
(2) Eligibility Faculty and staff based in California contribute to a Family Temporary Disability Insurance Benefit (FTD) according to state law as part of the VDI deduction.
(3) Vacation usage
Employees must take two weeks of earned but unused vacation leave before receiving FTD insurance benefits. One of these vacation weeks can be used during the seven-day waiting period. If an employee does not have two weeks accrued vacation time, vacation time will be used to the nearest full day increment up to the two-week requirement. If less than one week of vacation is available, PTO or floating holiday will be used for the remaining portion of the waiting period. If no PTO or floating holiday is available, the remaining portion of the waiting period will be without pay. For a new mother who has received pregnancy disability benefits due to pregnancy/maternity disability the two-week vacation period will apply, however, there is no additional waiting period for bonding.
(4) Supplementing FTD Payments
During Family Temporary Disability Leaves the University will use an employee's accrued time to maintain the employee's base pay during times when the employee is receiving FTD benefit payments as described below: 

  • In cases of FTD Bonding Leaves, eligible accrued time consists of PTO for the calendar year, floating holiday and vacation, in that order.
  • In cases of FTD Family Care Leaves, eligible accrued time consists of Family Sick Leave, as restricted by the FSL policy, PTO for the calendar year, floating holiday and vacation, in that order.

This accrued time is used until the employee goes off approved Family Temporary Disability Wage Replacement (FTD), or until all balances are exhausted. Disability and Leave Services (DLS) administers the employee's records in the human resources management system. DLS ensures that combined income from both the disability vendor and the University does not exceed pre-disability pay. Procedures at SLAC will differ.
Thus, if the employee has accrued time, the employee will receive FTD benefit checks from Liberty Mutual, and a reduced paycheck from the University while on approved FTD until the employee's applicable accrued time has been exhausted. Once the applicable accrued time is exhausted, the employee will only receive the FTD benefit checks from Liberty Mutual for the duration of the approved leave.
(5) Overpayment
If an employee has been overpaid, the employee must reimburse the University for the overpayment either by direct payment or through payroll deduction.
(6) Taxability
FTD is a non-taxable benefit for state and FICA, but is a taxable benefit for Federal tax purposes.
(7) More Information
The benefit is described at http://benefits.stanford.edu/ Forms are available on this website in the Resource Library.

e. Long-Term Disability (LTD)
(1) Introduction
This plan provides partial income continuation during longer periods of disability. LTD benefits could start after a disability period of 90 consecutive days. After a disability period of 15 months, the plan's benefits are more restricted because a more stringent definition of "disability" is used.
(2) Eligibility
Employees whose approved disability continues past 90 consecutive days may be eligible for Long-Term Disability. The disability vendor provides the employee with the appropriate information when the employee's disability period approaches 90 days.
(3) Taxability
Long-term disability benefits are taxable for federal and state, non-taxable for FICA.
(4) More Information
The Summary Plan Description for the Long-Term Disability Plan provides information about coverage, definition of disability, and benefits. It is available on the Cardinal at Work website.

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7. Benefits During Disability Periods

a. Health and Life Benefits
(1) Paid Leave
There will be no change in benefit deductions. Employees on paid FMLA, FTD, VDI or Workers' Compensation will have their applicable benefit contributions deducted from their reduced paychecks. See (3) for LTD.
(2) Unpaid Leave
Employees on unpaid FTD, VDI, Workers' Compensation, and all LTD participants (paid or unpaid) will have the same University benefit contributions as when actively employed. The employee will be billed for the employee portion of the costs on an after-tax basis on the 7th and 22nd
(3) LTD and Part-Time Work
If an employee continues to receive LTD benefits, but is able to work part-time, there will be no change in benefit contributions. Employees will have applicable benefit contributions deducted from their reduced paychecks. of each month.

b. Retirement Savings Plan (SCRP)
(1) Paid Leave
When an employee continues to receive pay for accrued sick, PTO, floating holiday and vacation, retirement savings plan benefit accruals and/or contributions continue, subject to plan provisions.
(2) LTD Plus Paid Leave
Employees who supplement LTD benefits with accrued time (e.g., sick, vacation, PTO, floating holiday) will have that paid time counted as earnings for University retirement savings plans, subject to plan provisions.

c. Retiree Medical Eligibility
During the first 90 days on Short-Term Disability or Workers' Compensation, time is counted toward official retiree medical eligibility. After 90 days on LTD, the time does not count toward official retiree medical eligibility.

d. Benefits in Cases of Termination
(1) Medical and Dental Coverage
A regular employee whose University employment is terminated while the employee is receiving benefit payments from a Short-Term Disability plan or Workers' Compensation plan may continue medical and dental coverages at the employee's expense through COBRA for 18 months, or until LTD is approved. If LTD is approved, the employee may contact Stanford Benefits, for information on their eligibility for medical and life insurance plans.
(2) Life Insurance
Life insurance portability or conversion to an individual plan is available. The employee should contact Stanford Benefits at the time of termination for the appropriate forms.

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8. For More Information

Consult with your local Human Resources Office or review the Cardinal at Work website. General questions about State Disability Insurance (SDI) and Workers' Compensation should be referred to the appropriate government office.

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2.3.6 University Resources

Last updated on:
06/15/2007
Formerly Known As Policy Number: 
27.8

This Guide Memo lists some of the services and resources available for faculty, staff and students, and gives references for obtaining additional information.

Authority: 

Approved by the President.

1. Policy Statement

Stanford University provides resources and services to support employees and students in balancing their work/family/personal lives.

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2. Applicability

The services and resources are available to Stanford faculty, staff and students; some services are also available to the families of faculty, students and staff.

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3. Family Support

The WorkLife Center supports Stanford community members in all the stages of family life, providing information on education, campus and community programs and services for a variety of issues. See WorkLife Center for more information.

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4. Child Care

a. Policy
All matters regarding the provision of child care services on the Stanford University campus must have the concurrence of the Director of the WorkLife Center. On the Stanford campus child care is permitted only in designated Stanford University academic or administrative buildings which are licensed by the State of California, Department of Social Services, Community Care Licensing.

b. Services, Resources and Referrals
Information on campus programs, community child care centers and home-based child care is available from the WorkLife Center, or (650) 723-2660.

c. Child Care Grant Program
Information is available from the WorkLife Center, or (650) 723-2660.

d. Adoption Expense Reimbursement
Information is available from the WorkLife Center, or (650) 723-2660.

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5. Counseling and Dispute Resolution

a. Human Resources Managers (HRMs)
Human resources managers in each academic school or functional area are responsible for the implementation of Stanford's personnel policies and can also help and advise on personnel matters. To find the human resources manager in your School or area, visit the HR at Stanford website or call (650) 725-8356. If you are in the School of Medicine, call (650) 497-2750; if you work at SLAC, call (650) 926-2358.

b. Employee & Labor Relations
Employee and Labor Relations provides resources for solving workplace problems, and offers policy interpretation and advice. Your area may also have an Employee Relations Specialist you can contact. Email stanfordelr@stanford.edu or call (650) 721-4272. If you are in the School of Medicine, please call (650) 497-2750. If you work at SLAC, contact SLAC Employee/Labor Relations at (650) 926-2358.

c. Faculty Staff Help Center
Free, confidential counseling, workshops and groups are offered for Stanford faculty, staff and their families. See the Help Center website or call (650) 723-4577 for more information.

d. Ombuds
Contact the Ombuds' Office and Mediation Center for impartial dispute resolution. See the Office of Ombuds website or call (650) 497-1542. If you are in the School of Medicine, please call (650) 498-5802.

e. Dispute Resolution
Formal Grievance, Appeal, and Disciplinary Processes are on the Cardinal at Work website, or can be obtained from the Sexual Harassment Policy Office.

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7. University Privacy Officer

The University Privacy Officer is responsible for Stanford's compliance with the Privacy Rule under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), which governs the treatment of individually identifiable health information.

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8. Additional Resources

a. Diversity & Access Office
For information about Cultural Centers, Disability Access, Staff Groups, and the University's Affirmative Action plans, see the Diversity & Access Office call (650) 725-0326.

b. Public Safety
Stanford's Department of Public Safety is a multi-service agency providing law enforcement, security, safety, crime prevention and emergency services on the Stanford campus 24 hours a day. See the Stanford's Department of Public Safety or call (650) 723-9633. At the School of Medicine, contact the Stanford Medical Center Security Services at (650) 723-7222.

c. Recreation
Consult the Stanford University Home Page for further information.

d. Other Resources
Consult http://www.stanford.edu/about/administration/ for a complete listing of University centers, services and programs.

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2.4.1 Visas for and Employment of Foreign Nationals

Last updated on:
08/09/2018
Formerly Known As Policy Number: 
28.1

This Guide Memo contains policies on obtaining entry visas for foreign nationals visiting Stanford and links to web pages detailing procedural information.

Authority: 

Approved by the President.

Applicability: 

This policy applies to Stanford faculty, academic and regular staff, and non-matriculated students, including the SLAC National Accelerator Laboratory, except where SLAC maintains its own services. Consult SLAC Human Resources for information about SLAC.

1. Responsibilities

a. Departments responsible for filing a visa petition on behalf of a prospective foreign national seeking employment with the University. The host department will gather the necessary information, complete the required forms and secure the necessary departmental/school approvals in order to submit the completed petition to the Bechtel International Center. See Working with the Bechtel International Center for detailed procedures for each type of application and petition.

NOTE: Appointments or employment must be approved and confirmed before visa petitions or certificates will be prepared. See Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff Employment of Regular Staff, for hiring information. Immigration status is not to be used as a means to discriminate against foreign nationals.

Information can be found at the following websites:

b. Foreign Scholar Services
Coordinates procedures and provides specific instructions for departments seeking to host or employ foreign faculty, staff or researchers (internationalscholars@stanford.edu)

c. Foreign Student Advisor
Assists students with immigration, social, cultural and adjustment issues. The office is located at Bechtel International Center (internationalstudents@stanford.edu)

d. Local Human Resources Office
Responsible for providing guidance, reviewing and verifying materials prepared by departments for non-academic staff for H-1B visas and submitting completed petitions to Foreign Scholar Services at Bechtel Center. Guidance will also be provided on the processing of a visa petition for academic staff, post docs or faculty.

e. Legal Representation
In the event that, in the opinion of the Foreign Scholar Services Office, an issue requires legal interpretation or advice, the Office of the General Counsel will review the matter and determine whether or how it should be pursued. Departments or individuals may not engage private attorneys to represent the University to government agencies. This policy, however, does not prevent an individual foreign national from retaining legal counsel (and paying for any legal fees incurred as a result) for the purpose of obtaining his or her own legal advice or pursuing a self-sponsored immigrant petition, provided the University is not named as a petitioning employer.

f. Office for International Visitors
Arranges meetings and coordinates programs for short-term visits (usually one day) by international scholars, scientists, University and public delegations, and other official visitors to Stanford University. See https://international.stanford.edu/

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2. Special Situations in the Immigration Area

a. Physicians
A physician who is to have patient contact requires a California Medical License or exemption or review letter. Contact the Director of House Staff, Stanford University Hospital, (650) 723-5948, for more information.

b. Volunteers
A foreign national who is not authorized to work in the U.S. cannot volunteer at Stanford in a position for which wages would normally be paid.

c. Dependents
Dependents are the responsibility of the foreign national.

d. Clinical Fellows
Clinical fellows must hold a California license/exemption or review letter.

f. Postdoctoral scholars

g. Green Card/Permanent Residence: The University may sponsor faculty and certain academic and other staff for permanent residence only with the approval of the cognizant dean or vice president. The USCIS processing fees and any legal fees associated with the permanent residence process are the sole responsibility of the foreign national petitioner or applicant unless otherwise agreed in writing by the sponsoring department and the individual with the approval of the cognizant dean or vice president, or his or her designee; provided, however, that, pursuant to Department of Labor regulations, the legal fees and costs associated with any labor certification application submitted in connection with the permanent residency process must be paid by the sponsoring department.

  • Faculty: Tenure-line and tenured faculty are eligible for sponsorship.
  • Academic Staff-Research: Research Associates must hold a continuing appointment of at least 75% of full-time effort in order to qualify internally for sponsorship for permanent residence. The individual must meet applicable USCIS criteria to establish a reasonable likelihood of success on the merits. Research Associates with fixed term appointments, or appointments that are continuing but less than 75% FTE will not be sponsored for permanent residence by the University.
  • Regular Staff/Academic Staff-Teaching/Academic Staff-Librarians: The University will not sponsor non-exempt staff or staff with fixed term appointments for permanent residency. Exempt, regular staff, Academic Staff-Teaching and Academic Staff -Librarians are also not eligible for sponsorship of permanent residence except in instances where it is determined by the cognizant dean or vice president, or his or her designee, in consultation with the Office of the General Counsel, that the University has an important business interest in pursuing the petition and the petition has a reasonable chance of succeeding on the merits. Such instances are expected to be rare.

h. Validity of Temporary Petitions: Employment-based nonimmigrant visa petitions such as H-1or O-1 should not exceed the term of the individual's appointment at Stanford. The legal fees and USCIS processing fees associated with O-1 petitions are the sole responsibility of the individual foreign national unless otherwise agreed in writing by the sponsoring department and the foreign national. The legal and filing feels of H-1B petitions are the sole responsibility of the sponsoring departments, with the exception that the $1,410.00 USCIS premium processing fee associated may be paid by the foreign national at his or her option.

i. Two-year Residence Requirement: Bechtel International Center does not support, administers or review waivers of section 212(e) of the Immigration and Nationality Act (two-year residence requirement).

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2.4.2 Directories and Distribution Lists

Last updated on:
08/11/2017
Formerly Known As Policy Number: 
28.3

The University maintains lists of names, addresses, telephone numbers and electronic mail accounts of individuals and organizations of importance to the University. This Guide Memo sets forth policies concerning use of such University data and describes the major lists used to conduct the University's business.

Authority: 

Approved by the President.

Applicability: 

This policy applies to all Stanford University employees and students.

1. Use of University Distribution Lists and Directories

a. Publicly Available Information

(1) Privacy
Students have rights with respect to their educational records under the Family Educational Rights & Privacy Act (FERPA); see the Student Bulletin, for more information. Additionally, students, affiliates, faculty and staff may have rights to privacy under California Law with regard to certain information used in distribution lists and directories.

StanfordYou provides members of the community the ability to update key directory and contact information, including work and emergency information. To ensure contact information is available and accessible within the Stanford community, staff must maintain their work information in StanfordYou.

(2) Printed Stanford Directory
Contains information about Stanford employees, and students registered for autumn term. It is available free of charge to all continuing Stanford employees and registered students, and for purchase by the general public. By making this information publicly available, the University relinquishes control over the use to which it may be put. Therefore, particular care is taken to carry out individuals' wishes regarding the confidentiality of their home address and telephone number information. See 1.a (1) above.

(3) StanfordWho
Online directory contains information for and about current Stanford students, faculty and staff, including people affiliated with the University, Stanford Healthcare and SLAC National Accelerator Laboratory (SLAC). This directory allows the public and Stanford community to search for the contact information of members in the community. Results are based on the settings maintained within StanfordYou.

b. Alumni Directory
The Stanford Alumni Association and other school alumni associations publish an online and print directory that is available to alumni, current students and some University departments for the user's personal use only. The directory may not be used for commercial purposes.

c. Lists for University Purposes
Distribution lists not publicly available may be used only for University purposes. Such lists include both mailing lists and electronic mail distribution lists including those created by members of the Stanford community from University sources. Use of the distribution lists (including production of listings of file contents, production of mailing labels and online use of electronic mail distribution lists) is authorized only when all of the criteria below are met:

  • The organization is responsible to the President of the University;
  • The use is for official University business; and
  • When such use is consistent with the University responsibilities of the individual requesting or using the list.

University distribution lists may not, for example:

  • Be used for personal, partisan political, or commercial purposes
  • Be provided to persons or entities outside the University
  • Be used for promotional purposes or solicitations by other than Stanford University

d. Department Responsibilities
Departments are responsible for ensuring that any lists they maintain are used in conformity with University policies. In addition to this Guide memo, the following contain applicable policies:

e. Exceptions
Any request for University data for use other than in accordance with this policy must have the approval of the President of the University or his/her designee.

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2. Person Registry

a. Contents
The Person Registry contains basic identifying information for all faculty, staff, students and affiliates.

b. Original Sources of Information
The Person Registry brings together student information from Student Administration, faculty and staff information from the Human Resources Management System, (HRMS) and sponsored affiliates' information from the SUNet ID system.

c. How Changes are Made
Faculty, staff, students and recent graduates may change their own information using the Axess portal or by using StanfordYou for service related information (e.g., email settings). Faculty and staff may change some personal information in StanfordYou; work-related changes are made in the university's HRMS by human resources administrators, with the exception of a name change, which is personal in nature but must be updated in the HRMS.

d. Outputs
(1) StanfordWho: See 1.a (3) above.
(2) Listings in the Printed Stanford Directory: See 1.a(2) above.
(3) Axess: An Intranet (referred to as the Axess portal) that faculty, staff and students use to complete many tasks.
(4) Corrections to Source Systems: Changes made through StanfordWho and Axess go to the Person Registry and then to the university's Student Administration system and HRMS.
(5) Other authorized uses: Data is available to other official University business systems, e.g., the ID Card system and the Library system.

e. More Information
See the University IT website for more information about the Registry.

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3. Human Resources Management System

a. Contents
The Human Resources Management System (HRMS) contains detailed demographic and work data on all University employees and retirees.

b. Sources of Information
Information on current employees and retirees comes from the university's HRMS and is submitted by the employee or retiree's department.

c. How Changes are Made
(1) Employees' Address and Phone Information
StanfordYou allows employees to update information published in Stanford directories. See StanfordYou for more information.
(2) Work-Related Changes
Changes other than the employee's address and telephone information are generated by the department's human resources administrator online in the university's HRMS.
(3) Retirees
Changes to retiree information are entered on receipt of written instructions from the retiree or by contacting the University HR Service Team. Only emeriti are included in the StanfordWho directory.

d. Outputs
(1) Person Registry
The HRMS feeds data to the Person Registry.
(2) Mailing Labels
The HRMS can generate mailing labels for specific populations. For advice on options available, departments should consult with Mail and Delivery Services.

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4. Student Administration

a. Contents
The university's Student Administration system includes student and applicant demographic information, including physical and email addresses.

b. Sources of Information
(1) Central Offices
Including: Bursar's Office, Office of the Registrar, Financial Aid, and Undergraduate Admissions
(2) Academic Departments
Department administrators with appropriate access enter advisors, graduate degree support information, graduate financial support information, and admissions data.

c. How Data Changes are Made
Central offices and academic departments can, in most cases, update data they have originally entered. Students can update personal information through the Axess portal and StanfordWho.

d. Outputs
(1) Person Registry
The university's Student Administration sends data to the Person Registry.
(2) Student Records
Reporting systems contain detailed student information including personal addresses. Access to this data requires approval by the appropriate School Dean for academic departments or the Registrar's Office for central office staff, and access to private information is set up only on a "need-to-know" basis. Address rosters, mailing labels, and personal reports can be generated for business purposes.
(3) Applicant Information
Undergraduate and graduate applicant demographic information is contained in university systems and/or an authorized vendor's database. Access to this data requires approval by the appropriate School Dean for academic departments or the Registrar's Office for central office staff, and is set up only on a "need-to-know" basis. Mailing labels and personal reports can be generated from the system.

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5. Alumni Information

a. Contents

(1) PostGrads
The PostGrads alumni information database includes basic demographic data for Stanford alumni, parents of students, and University friends, including corporations and foundations. This file is used to create mailing lists for the Stanford Magazine and various mailings and solicitations sent by the Office of Development, the Stanford Alumni Association, and the University. The data in this file may be selected according to particular purposes, such as those alumni who received law degrees in 1980. The Office of Development maintains and controls PostGrads.

(2) Department and School Databases
Some departments and schools keep records of their own alumni and friends. The following restrictions apply to such databases:

  • Schools and departments may receive data changes as a result of their mailings. The data changes should be sent to alumni.information@stanford.edu for updating in PostGrads.
  • Any use of PostGrads information for gift solicitations outside of the Office of Development must be approved in advance by the Office of the Vice President for Development.
  • Any use of records must be consistent with the purpose communicated to the persons providing such information.

b. Sources of Information
(1) Alumni
Data on current and graduated students is downloaded to PostGrads from PeopleSoft Student Administration. Although recent graduates can update information in Axess, information is not currently shared between Axess and PostGrads.
(2) Parents
Data on parents of Stanford students is forwarded to Development Services and PostGrads by the Stanford Parents Program in the Office of Development, which receives the information from the New Undergraduate Student Information Project, administered by the Housing Center.

(3) Stanford Friends
Data on Stanford friends is forwarded to Development Services by various other sections of the Development Office.

c. How Data Changes are Made
Development Services enters changes into PostGrads. Sources of information for changes are returned mail, postal change of address cards, correspondence with individuals on the list, changes made by the individual via their online profile, and notification from a University department with which the individual is associated. Information needed includes:

  • The individual's University ID number
  • The individual's name
  • Change information
  • Name, Stanford department, and phone number of the information source, when the information is not directly from the individual

d. Outputs from File
(1) Lists for Directories
Directories of specific populations published by schools use PostGrads as source data.
(2) Labels and Address Lists

Departments and schools needing output from PostGrads should contact their School's Development Office for assistance, after obtaining approval from the Office of the Vice President for Development. Mailing information will be prepared only for University departments. If an outside vendor provides mailing services, the department is responsible for assuring that the vendor will protect the confidentiality of the data and will gain no rights over the data.

e. Control of File
Only Development Services may make changes to PostGrads biographic and gift information. The Director of Development Services acts as coordinator in resolving questions that may arise in application of University policies on use of PostGrads.

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2.4.3 Stanford Identification Cards

Last updated on:
04/07/2017
Formerly Known As Policy Number: 
28.4

This Guide Memo lists identification cards used at Stanford University and indicates their uses.

Authority: 

Approved by the President.

1. Purpose of Identification Cards

a. Association with the University
Stanford University makes available a machine-readable photo identification card ("Identification Card" or "ID Card") for Stanford students, faculty, staff and other classes of individuals with a close association to the University, as specified in this policy or by the Provost or the Vice President of Human Resources. The primary purpose of the ID Card is to identify and document these relationships.

b. Privileges
Access to certain of Stanford's facilities, resources, benefits and services (together referred to as "Privileges") are available only to Stanford's faculty, staff and students with valid ID Cards. Other individuals with ID Cards may also access certain of these Privileges if permitted under this policy, or with the approval of either the Provost or the Vice President of Human Resources.

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2. Types of Identification Cards

The following types of ID Cards are issued by the Stanford University IT Card Services Office (Stanford Card Office). A more detailed description of eligibility criteria for and the privileges granted by ID Cards may be found at Stanford Card Office. This list may be updated from time to time with the approval of the Provost with respect to faculty, students and academic visitors to campus, and by the Vice President of Human Resources with respect to staff and other campus visitors.

a. Student Card: issued to registered students (undergraduates, graduate students, terminal graduates, and Visiting Researchers and Master of Liberal Arts (MLA) students in Continuing Studies).

b. Postdoctoral Card: issued to postdoctoral scholars.

c. Faculty/Staff Card: issued to Stanford professoriate, academic staff, holders of academic appointments in specified policy centers and institutes, non-affiliated Clinician/Educators, Hoover Institution Senior Fellows, "regular" staff, as defined in Admin Guide Memo 2.2.1: Definitions, and retired and emeritus faculty and staff.

d. Temp/Casual Card: issued to staff and holders of "other teaching titles" who qualify as "casual" or "temporary" as defined in Admin Guide Memo 2.2.1: Definitions.

e. SLAC Faculty/Staff Card: issued to faculty and regular staff with current appointments at SLAC.

f. SLAC Temp/Casual Card: issued to SLAC staff who qualify as "casual" or "temporary" as defined in Admin Guide Memo 2.2.1: Definitions.

g. Fellow Card: issued to fellows, interns and other individuals who are invited to participate in a recognized full-time, campus-based Stanford non-degree program of scholarship or learning. Knight, Stegner, CASBS and Stanford Humanities Center Fellows are entitled to Fellow Cards. A Fellow Card will be issued to an individual who provides evidence of admission to a recognized Stanford program.

h. Visitor Card: issued to individuals who qualify as Visiting Scholars under Chapter 10.5 or Visiting Postdoctoral Scholars under Chapter 10.9 of the Research Policy Handbook and who are resident at Stanford for a minimum of three months and who contribute to Stanford's academic and research mission either by lecturing or actively collaborating with Stanford faculty or students on current Stanford research. A Visitor Card will be issued upon presentation of an invitation that is (1) signed by the appropriate dean or department, program, institute or center director; (2) includes dates of residency at Stanford; and (3) identifies the faculty member issuing the invitation, and the academic organization in which the Visitor will be hosted.

i. Courtesy Card: issued to:
(1) Spouses and domestic partners of students and postdoctoral scholars.
(2) Spouses and same-sex domestic partners of qualified holders of a valid Faculty/Staff or Fellow Card.
(3) Adjunct Clinical Faculty.
(4) Holders of "other teaching titles" who are not on Stanford's payroll.
(5) Staff of the Carnegie Foundation for the Advancement of Teaching located on Stanford campus.
(6) Chaplain Affiliates.
(7) Staff of Associated Stanford Student Union (ASSU) who provide evidence that they are currently employed full-time by ASSU and do not qualify for a Stanford ID Card through other affiliation.
(8) Staff of organizations located on Stanford's campus and which, as determined by the Provost, either provide academic or research support to Stanford's faculty, or engage in other activities to support Stanford's academic and research mission. Examples include the Stanford-based staffs of the Department of Plant Biology at the Carnegie Institution for Science and Howard Hughes Medical Institute.

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3. Management of Identification Cards

a. Issuance
ID Cards may be issued only by the Stanford Card Office.
(1) The ID Card photo must show the full face of the applicant, without hat or dark glasses. Head coverings may be permitted due to religious beliefs, provided the head covering does not obscure the face.
(2) For students, postdoctoral scholars, faculty and staff, the name on the Identification Card must match the official name contained in the official student or employment records maintained by the University unless an exception has been granted by either the Office of the Registrar or Human Resources.
(3) The ID Card will be issued only when the recipient shows a valid government-issued picture ID (i.e., driver's license or passport) containing a recognizable photo and the same name as the:

  • official or preferred name in Stanford's student or employment record (for students, postdoctoral students, faculty and staff),
  • name on the appointment letter (for faculty, academic staff, Chaplain Affiliates, and members of the Board of Trustees),
  • name on the evidence of admission of a Fellow, or
  • name on the invitation to a Visitor, or
  • name on the evidence of employment for ASSU employees.

(4) Courtesy cards will be issued to spouses and eligible domestic partners only when the related Student, Postdoctoral, Faculty/Staff, SLAC Faculty/Staff, or Fellow Card shows acceptable proof of marriage or qualifying domestic partnership.
(5) Initial Student, Postdoctoral, Faculty/Staff, Temp/Casual, SLAC Faculty/Staff, SLAC Temp/Casual, and Fellow Cards will be issued without fee. Courtesy Cards, Visitor Cards and all replacement cards will be issued after payment of the fee established by the Stanford Card Office. Fees are subject to change at any time.
(6) If an ID Card is lost or stolen, the cardholder must immediately report this loss/theft to the Stanford Card Office. The lost or stolen card will then be invalidated.

b. Distribution of Identification Cards
The Stanford Card Office may authorize distribution of ID Cards by other Stanford offices or departments so long as the authorization is in writing and signed by the Director of Card Services. This authorization may not be delegated, and may be revoked at any time by the Stanford Card Office. An authorized party at the Stanford office or department accepting responsibility for ID Card distribution during that academic term or distribution period, must indicate in writing (before taking possession of the cards) its agreement to adhere to requirements of 3.a(3). To ensure compliance with 3.a(3) the department will provide training to everyone distributing ID Cards.

c. Expiration Date
ID cards expire as follows:
(1) Student Card: Student Cards are valid only while the cardholder is enrolled as a student at Stanford. These ID Cards will expire on the sooner of (a) the last day of the quarter in which a student graduates or in which their registration at Stanford ends and (b) a change in status such that the student is no longer enrolled at Stanford. If a student is not registered during summer quarter, the ID Card will remain active during that quarter provided the student is registered for the following fall quarter. No expiration date will be placed on the Student Card.
(2) Postdoctoral Card: Postdoctoral Cards are valid only while the cardholder is a postdoctoral scholar at Stanford. These ID Cards will expire on the sooner of (a) the last day of the quarter in which the scholar's registration at Stanford ends and (b) a change in status such that the scholar is no longer enrolled at Stanford. No expiration date will be placed on the Postdoctoral Card.
(3) Faculty/Staff and SLAC Faculty/Staff Cards: Faculty/Staff and SLAC Faculty/Staff Cards are valid only during either the cardholder's faculty appointment, employment, or retired or emeritus status. These ID Cards will expire on the sooner of (a) the last day of a fixed term, (b) the last day of association with the University for a continuing appointment (other than for retirement), or (c) a change in status such that the cardholder is no longer entitled to Privileges. No expiration date will be placed on the Faculty/Staff and SLAC Faculty/Staff Cards.
(4) Temp/Casual and SLAC Casual/Temp: Temp/Casual and SLAC Temp/Casual cards are valid only while the cardholder remains employed by Stanford. These ID Cards will expire on the sooner of (a) the last day of a fixed term, (b) the last day of association with the University for a continuing appointment, or (c) a change in status such that the cardholder is no longer entitled to Privileges. No expiration date will be placed on the ID Card for casual employees. ID Cards for temporary employees will specify the expiration of their fixed service term.
(5) Fellow and Visitor Cards: Fellow and Visitor Cards are valid only for the period specified in the Fellow's evidence of admission or the Visitor's invitation (in either case, unless terminated sooner). Fellow and Visitor Cards respectively will specify the expiration date contained in the Fellow's evidence of admission or the Visitor's invitation.
(6) Courtesy Card: Courtesy Cards expire on the sooner of (a) the date identified in an appointment letter, (b) the last day of association with the University for a continuing appointment, or (c) a change in status such that the cardholder is no longer entitled to Privileges. If the Courtesy Card is issued to a spouse or domestic partner, the card expires on the same day that their spouse or domestic partner's ID Card expires. No expiration date will be placed on the Courtesy Cards, with the exception of Courtesy Cards issued to ASSU employees, which will contain an expiration date of June 30 following the date of issuance. Notwithstanding the date on the Card, Cards issued to ASSU employees will expire upon termination of employment. They are renewable upon presentation of evidence of continued employment.
(7) When a holder's designated association with the University ends or changes prior to ID Card expiration, the ID Card will become invalid, even if the expiration date has not passed.

d. Surrender of Cards
The Stanford Card is the property of Stanford University and must be surrendered at the earlier of:
(1) expiration, if not renewed
(2) termination of association with the University or
(3) request by a supervisor or other appropriate University official.
The appropriate manager, program director, dean or HR manager will request surrender of all Faculty/Staff, SLAC Faculty/Staff, Temp/Casual, SLAC Temp/Casual, Fellow, Visitor and Courtesy Cards, including Courtesy Cards for spouses and domestic partners, upon expiration (if not renewed) or termination of affiliation with Stanford. Surrendered cards will be destroyed.

e. Stanford Card Office
The Stanford Card Office oversees the production of new and replacement cards. Additional information on eligibility for ID Cards, and the process for obtaining an ID Card, may be found at Stanford IT Services.  

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4. Use of Facilities and Services

The privileges enabled through use of each type of ID Card vary widely. In this section, certain privileges are detailed for reference purposes only, and no reliance should be placed on these descriptions to detail all University facilities and services for which ID Cards grant access, or the eligibility criteria established for their use. Established eligibility criteria are subject to change without notice, and access to facilities and services may be denied at any time. In addition, management of each facility may limit or prohibit use of a facility by an individual card holder who, in the facility management's sole discretion, violates the rules governing use of the facility or other policies established by the University or facility management.

a. Department of Athletics, Physical Education, and Recreation (DAPER): Holders of Student, Postdoctoral, Faculty/Staff, SLAC Faculty/Staff, Temp/Casual, SLAC Temp/Casual, Fellow, Visitor and Courtesy Cards have access to certain facilities and events specified by DAPER, subject to payment of established amounts, if any, for tickets or use fees. Access to Stanford's Golf Course is available only to Stanford professoriate, academic appointments in specified policy centers and institutes, academic staff, non-affiliated Clinician/Educators, regular staff, students, post-doctoral scholars, fellows in official Stanford programs, retirees, emeriti, Trustees, and those of their spouses and domestic partners with a valid Courtesy Card.

b. Libraries: While a Stanford Identification Card may be necessary to gain access to campus library resources, the possession of an ID Card does not assure access to any library. Stanford Libraries has written regulations governing the use of its libraries.

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5. Other Cards

The Stanford Card Office, and certain other departments at Stanford, issue cards which are not considered to be Stanford ID Cards and do not carry the same Privileges as an ID Card. A partial list of these cards includes:

a. Conference Identification Card
A paper card issued by the Conference Office for a specified period to individuals who are participating in summer conferences and institutes but who are not registered as students.

b. Continuing Studies Student Card
A paper card issued quarterly to registrants in Continuing Studies courses, except for those pursuing the Master of Liberal Arts degree, who receives a Student Card.

c. Dependent Card
A card issued annually or for a specified period, to the children of faculty and staff. Before issuing a Dependent Card, the Stanford Card Office must verify the parent's "Faculty/Staff" Stanford Card.

d. Library Cards
Issued by Stanford Libraries to provide library access and/or borrowing privileges.

e. Meal Cards
A card issued for use by certain non-student holders of meal plans at the University, such as children of Resident Fellows and summer conference attendees. These cards are valid only for meals in the Dining Halls.

f. Temp Access Card
A non-photo card that provides access to campus buildings. Policies and procedures related to the issuance and use of these cards are established by the issuing department.

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2.4.4 Property and Liability Insurance

Last updated on:
08/11/2014
Formerly Known As Policy Number: 
28.5

This Guide Memo describes the University's property and liability insurance coverage.

For information on other insurance coverage, see:

  • Business travel accident insurance: Guide Memo 2.3.1: Survivor Benefit Plans.
  • University, government, and personal vehicle collision insurance: Guide Memo 8.4.2: Vehicle Use.
  • Rental vehicle collision insurance: Guide Memo 5.4.2: Travel Expenses.
Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer.

1. General Information

a. Administration of Insurance
The Risk Management Office is responsible for obtaining insurance and self-insurance coverage and processing all claims.

b. Who Pays for Insurance
Risk Management charges income-producing operations, formula schools, auxiliaries and general funds for their Aggregate Annual Insurance Premiums.

c. Special Insurance Coverage
Any department having special risks that it feels should be insured should discuss the issue with Risk Management. If insurance does appear to be the best way of managing a risk, Risk Management will negotiate a policy with the insurance carrier and rebill the cost to the requesting department.

d. What to do in the Event of an Accident
(1) Emergency Action
Take whatever steps are immediately necessary to render emergency medical care, salvage property, or reduce the further extent of the loss. If anyone is injured, see Guide Memo 7.2.1: Emergency/Accident Procedures, for emergency procedures, and Guide Memo 7.6.1: Accident and Incident Reporting, for reporting requirements. Report injuries promptly to comply with state law.
(2) Evidence for Insurance Claim
If possible, do not disturb the evidence or hazard which caused the claim until the area can be inspected, pictures taken, and conditions recorded. Obtain the names and addresses of parties involved, witnesses, etc. Under no circumstances should one admit liability; to do so could jeopardize the insurance coverage. As soon as possible record the details of the accident. The report should include: date, time, place, who or what was involved, how it happened, names, addresses, and estimated ages of persons involved; description of injury, loss or damage; and action that was or will be taken to prevent a recurrence. All claims must be reported immediately to Risk Management.

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2. Property Insurance

a. General Property Insurance 

(1) Situations Covered
Stanford's insurance and self-insurance on buildings and their contents includes coverage for fire, smoke, windstorm, explosion, riot, civil commotion, vandalism, malicious mischief, falling aircraft, and theft.

(2) Situations not Covered
The University does not provide insurance coverage for the following situations:

  • Damage caused by rough wear and tear, rust, dust, mechanical failure, maintenance problems, breakage, scratching, marring and staining
  • Items identified as lost as a result of inventory
  • Failed experiments, or lost or damaged research efforts
  • Management errors, financial decisions, or lost income or opportunities
  • Government-owned property
  • Personal property of faculty, staff, or students
  • Damage caused by earthquake, or natural disaster flood
  • Damage caused by terrorism or bioterrorism, except damage due to terrorism as defined by TRIA (Terrorism Risk Insurance Act) is covered.
  • In any country where trade relations are unlawful, as determined by the Government of the United States of America or its agencies, are not covered. In addition other countries may be excluded from time to time. Please see the Risk Management website for a current list of excluded countries.

(3) Deductible
The first $1,000,000 of each claim is self-insured by the University. The department that suffered the loss or damage of property pays for the first $1,000 of each claim. See Guide Memo 2.4.5: Protection of Property, for information on possible waivers of the $1,000 deductible through the Police Department's STOPP program.

(4) Claim Processing
Risk Management processes all claims for the replacement value or repair of University property that has been stolen, destroyed or damaged. Depending upon the type, size and location of the loss, Procurement or Land, Buildings and Real Estate (LBRE) will be directly involved in the repairs or reconstruction. The preparation of specifications and a bidding process may be necessary. Risk Management must receive copies of all contracts, work orders, and purchase requisitions.

In the event a claim exceeds $1000, insurance or self-insurance may pay for repair or replacement value (whichever is less). "Replacement value" means the cost to repair or replace (not book value). Loss settlements are based on the cost to repair or replace with like kind and quality. Any upgrading will be at the cost of the department that suffers the loss. If property is not to be replaced (due to obsolescence or no continuing need or use for the property) insurance proceeds will not be based on the actual cash or depreciated value.

b. Boilers, Pressure Vessels and Heavy Machinery
(1) Situations Covered
Insurance covers explosion, burning, bulging, and cracking of insured objects; machinery and equipment are covered for sudden and accidental breakdown.
(2) Deductible
There is a $25,000 deductible per occurrence, except $50,000 for medical diagnostic equipment, the full amount of which is coordinated with LBRE/Buildings and Grounds Maintenance (or the department if it is a service center, an income-producing operation, or an auxiliary).

c. Budgeting Total Property Insurance Expense
(1) Total Property Insurance Expense includes General Property Insurance and Boilers, Pressure Vessels and Heavy Machinery Insurance. Following the end of each fiscal year, the Risk Management department will secure an actuarial study of claims under the Property Insurance Program. The actuarial study will provide two key figures that will be used to budget future property insurance expenses:

(a) Self-insurance reserve required to fund claims (and related expenses) that have occurred prior to the end of the recently completed fiscal year but have not yet been settled/completed. (This can be an accumulation of several years of claims estimates, net of settlements). This actuarial required reserve may be higher or lower than the actual reserve balance at Fiscal Year End.
(b) Actuarial projected self-insurance funding levels, or cost of claims and expenses that will be incurred in the next fiscal year. This will be the amount added to the reserve balance each year to cover claims incurred in that year.

(2) During the budget planning cycle (and no later than February 1), Risk Management will provide the Budget Office with the Aggregate Annual Premium to be charged internally for Property Insurance during the next fiscal year. At the same time, Risk Management will also provide the income-producing operations, formula schools, and auxiliaries with their respective property premium allocation to be charged during the next fiscal year. The Aggregate Premium will be composed of the following five elements:

(a) Actuarial Projection of self-insurance funding for the cost of claims and expenses that will be incurred in the budget year.
(b) A reserve for future catastrophic events.
(c) Risk Management's estimate of premiums to be paid to outside insurers for excess coverage insurance during the next fiscal year.
(d) Risk Management's estimate of other direct expenses (e.g., actuarial studies, legal expenses, brokerage fees, operating expenses) associated with the Property Insurance Program.
(e) 30% of the surplus or deficit in the self-insurance reserve to the actuarial required reserve balance at the prior year-end. The application of a portion of the surplus or deficit (vs. 100%) is intended to provide a smoothing effect to avoid large year-to-year changes in the Aggregate Premium.

(3) The Aggregate Annual Premium is allocated to income-producing operations, formula schools, auxiliaries, and general funds based on property replacement values.

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3. Transit Insurance

a. Situations Covered
Stanford's insurance on transit covers all goods shipped inland to or by Stanford when the transit agreement assigns the risk to Stanford. For large (over 75 lbs.) or complicated shipments, including packing and crating, departments are encouraged to use American Overseas Air Freight.

b. Situations Not Covered
(1) Situations described in section 2.a (c).
(2) Waterborne shipments, unless by inland water, by roll-on/roll-off ferries operating between European ports, or by coastal shipments
(3) Shipments to any country where trade relations are unlawful as determined by the Government of the United States of America or its agencies are not covered. In addition other countries may be excluded from time to time. Please see the Risk Management website for a current list of excluded countries.

c. Deductible
The first $50,000 of each claim is self-insured by the University. The first $1,000 of each claim loss is the responsibility of the department.

d. Claim Processing
Immediate notification of loss to Risk Management is required for losses greater than $1,000. Risk Management must receive copies of contracts, purchase orders, bills of lading or any transit agreements, shipping documents and/or invoices.

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4. Liability Insurance

a. Situations Covered
Liability insurance covers all locations and activities including University and government-owned vehicles. (For information on coverage for vehicles, including personal vehicles used on University business, see Guide Memo 8.4.2: Vehicle Use. Liability insurance also covers non-owned aircraft, watercraft, professional liability, employers' liability, products liability, etc. University trustees, officers, faculty, and staff are included as additional insureds for activities arising out of and in the scope of their employment.

b. Situations Not Covered
Stanford and insurers do not cover employees or others for their following personal acts:

  • Criminal acts (including assault, battery, homicide, manslaughter, etc.)
  • Fraudulent/dishonest acts (including theft, plagiarism, false testimony, etc.)
  • Acts in which there is a conflict of interest (including personal gain)
  • Acts not connected with or arising out of or related to Stanford employment or Stanford activities (e.g., personal gain, etc.)
  • Fines, penalties or punishment which government authorities or law places on an individual (includes traffic fines, jail sentences, etc.)

c. Deductible
(1) Public Liability
The first $1,000,000 of each claim for public liability is self-insured by the University.
(2) Employee and/or Student Relations
The first $1,000,000 of each claim for liability claims involving student and/or employee relations is self-insured by the University.

d. Claim Processing
Upon becoming aware of an incident, which could lead to a liability claim or when a claim for liability is received, the department should immediately notify Risk Management.

e. Budgeting Liability Insurance Expense
(1) Liability Insurance includes General Liability, Educators Legal Liability, Automotive, Non-owned Aviation, and Crime Insurance. Following the end of each fiscal year, the Risk Management department will secure an actuarial study of claims under the Liability Insurance Program. The actuarial study will provide two key figures that will be used to budget future liability insurance expenses:

(a) Self-insurance reserve required to fund claims (and related expenses) that have occurred prior to the end of the recently completed fiscal year but have not yet been settled/completed. (This can be an accumulation of many years of claims estimates, net of settlements) This actuarial required reserve may be higher or lower than the actual reserve balance at Fiscal Year End.
(b) Actuarial projected self-insurance funding levels, or cost of claims and expenses that will be incurred in the next fiscal year. (This will be the amount added to the reserve balance each year to cover claims incurred in that year.)

(2) During the budget planning cycle (and no later than February 1), Risk Management will provide the Budget Office with the Aggregate Annual Premium to be charged internally for Liability Insurance during the next fiscal year. At the same time, Risk Management will also provide the income-producing operations, formula schools, and auxiliaries with their respective liability premium allocation to be charged during the next fiscal year. The Aggregate Premium will be composed of the following four elements:

(a) Actuarial Projection of self-insurance funding for the cost of claims and expenses that will be incurred in the budget year
(b) Risk Management's estimate of premiums to be paid to outside insurers for excess coverage insurance during the next fiscal year
(c) Risk Management's estimate of other direct expenses (e.g., actuarial studies, legal expenses, brokerage fees, operating expenses) associated with the Liability Insurance Program
(d) 30% of the surplus or deficit in the self-insurance reserve to the actuarial required reserve balance at the prior year-end. The application of a portion of the surplus or deficit (vs. 100%) is intended to provide a smoothing effect to avoid large year-to-year changes in the Aggregate Premium.

(3) Allocation of Liability Insurance Expense
A portion of the Aggregate Annual Premium will be carved out and allocated to certain income-producing operations, formula schools and auxiliaries based on use, attendance, occupancy and square footage measures. The balance of the Aggregate Annual Premium after carve outs is then allocated to all income-producing operations, formula schools, auxiliaries, and general funds based on the prior year's actual payroll and headcount data.

Vehicle insurance premiums are allocated on a per vehicle basis and are not included in the Liability Aggregate Annual Premium calculations.

(4) Allocation of Settlement Costs
Following the end of each fiscal year, Risk Management will provide an analysis of the cost of settling all liability claims paid during the year (regardless of the year the claim was incurred). To the extent settlement costs for a particular income-producing operation, Formula School, or auxiliary exceeds the liability insurance premium paid by that unit over the same time period, the unit will be responsible for paying eighty percent (80%) of the excess cost back to the self-insurance reserve account over a three year period. To the extent that these settlement costs are less than the liability insurance premium paid by that unit over the same period, 50% of the surplus will be credited to the unit over a three-year period. To the extent that these settlements result in over funding of the reserve account, the surplus will be applied to lower the Aggregate Annual Premium charged across the University as described in the budget section above.

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5. Crime Insurance

a. Situations Covered
Crime insurance covers loss of monies and securities due to robbery, burglary, theft, or employee dishonesty.

b. Situations Not Covered
Once a loss due to the dishonesty of an employee becomes known, the insurance company will not pay for any future losses caused by that employee. Departments must report claims promptly and take action to prevent or reduce further loss.

c. Deductible
The first $1,000,000 of each claim is self-insured by the University.

d. Claim Processing
(1) Police Report
The department must notify the Police Department immediately (see Guide Memo 2.4.5: Protection of Property.
(2) Internal Audit Report
The department must notify the Internal Audit department, which will conduct an audit of procedures and policies and make recommendations to strengthen internal controls to help prevent a recurrence of losses.
(3) Insurance Claim
The department must contact the Risk Management office for assistance and instructions on processing a claim.

e. Budgeting Crime Insurance
Included in General Liability Budgeting Process section above.

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6. Other Property and Liability Insurances

a. Bonds
Notary and other miscellaneous bonds are arranged through Risk Management. The premium is charged to the requesting department.

b. Property Leased or Loaned to Stanford
Arrangements must be made through Procurement for any property, which is to be received or accepted as a loan or a lease. It is important that an authorized official sign the agreement. The agreement must indicate the description and value of the property, the party responsible for insurance, the perils to be covered, the party responsible for transportation insurance (both coming and going), etc. Copies of such agreements must be sent to Risk Management.

Forms for loan of artwork are available from the Risk Management forms webpage.

c. Aircraft and Watercraft
If aircraft (other than scheduled airlines) or watercraft (25 H.P. or more and/or 26 feet in length or more) are to be used on University business, call Risk Management, as special insurance arrangements may be necessary to protect both the University, faculty, and staff.

d. Medical Malpractice Insurance
Contact Risk Management for additional information.

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2.4.5 Protection of Property

Last updated on:
12/15/2005
Formerly Known As Policy Number: 
28.6

This Guide Memo outlines departmental responsibilities for safeguarding University property.

Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer.

1. Security of Facilities

a. Arrangements
Each department is responsible for making whatever arrangements are necessary to secure University facilities when they are not in use.

b. Instructions to Employees
All employees should be instructed to lock all windows, doors, and storage facilities when they leave an area unattended and at the close of normal work. Employees who work outside of regular hours should relock doors upon entering as well as when leaving a building.

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2. Protective Measures Against Theft and Vandalism

a. Keys
The number of people given keys to buildings, offices, labs, and storerooms should be kept to a minimum. A list of people with keys should be kept by each department. Keys must be returned upon termination of employment. Arrangements should be made to change keys and locks from time to time.

b. Safeguarding Equipment
Each department is responsible for the inventory and safeguard of all valuable equipment. If equipment is loaned, a record should be kept of each temporary assignment. Portable equipment of value should be kept in locked storage when not in use if this can be arranged. Consideration should be given to bolting or chaining computers, microscopes, and similar equipment to the working surface. Contact the Police Department at 650/723-9633, or see http://police.stanford.edu for advice concerning security of property through the STOPP program. Monetary losses to the department may be reduced by implementation of the program and the $1,000 insurance deductible may be waived.

c. Valuable Papers and Records
Special arrangements should be made for protecting valuable, irreplaceable, and confidential papers and records. Desks, file cabinets, and safes containing confidential or valuable documents must be locked whenever they are unattended, even for a short time. Consideration should be given to maintaining duplicate records, disks, tapes, or microfilms. Off-site storage should be arranged for valuable records. Such records should be kept current.

d. Safe Deposit Boxes
If items are to be kept in a safe deposit box, the box should be rented in the name of Stanford University and fees billed to the University (not to an individual). Notification of the box location and authorized signatures should be sent to the Risk Management Office and the Accounting Officer, Controller's Office.

e. Money and Personal Property
Employees should be reminded periodically not to leave cash, wallets, pocketbooks, or personal possessions of value in accessible locations. Personal automobiles should be locked.

f. Works of Art, Precious Metals, and Stones
Whenever works of art, precious metals (such as gold, silver, platinum, rhodium, and rhenium), or valuable stones (diamonds, opals, sapphires, etc.), whose total value is significant are acquired by purchase, donation, or loan to the University, the department is responsible for providing an adequate security and accountability system. The Police Department and the Risk Management Office are available for assistance in developing an auditable system for the receipt, inventory, storage, and accountability of the precious items. A written description of procedures should be filed in the department. Departments accepting loans or gifts of such property should send a copy of the inventory to the Risk Management Office for insurance coverage.

g. Vandalism
Adequate protection against theft should provide equal protection against acts of vandalism. If physical facilities are such that unauthorized access is possible, departments may ask the advice of the Stanford Police for methods of obtaining adequate protection.

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3. Reports of Theft or Vandalism

a. Immediate Reports to the Police
Thefts, evidence of attempted theft, and acts of vandalism must be reported to the Stanford Police as soon as the discovery is made.

b. Investigation of Theft or Vandalism
Only the police are authorized to conduct an investigation of a theft or act of vandalism. Everyone else is cautioned to refrain from disturbing the evidence and from taking action in the matter except under the direction of the investigating officer.

c. Insurance
The Risk Management Office processes all claims for the replacement value or repair of University property that has been stolen, destroyed or damaged. For more information, see Guide Memo 2.4.4.

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4. Theft by University Employees

a. Staff
A staff employee determined to have participated, as perpetrator or accomplice, in theft of University property or property for which the University is responsible is subject to discharge and legal action.

b. Faculty
Members of the Academic Council are governed by the Statement on Faculty Discipline, which can be found in the Faculty Handbook.

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5. Use of University Property

University property may not be used for personal purposes or for personal gain. See Guide Memo 8.2.1: University Events, and the Public Events Policy and Practice Manual for policy on use of University property for public events.

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2.4.6 Indemnification

Last updated on:
09/01/2005
Formerly Known As Policy Number: 
15.7

This policy covers indemnification of employees.

Authority: 

Approved by the President.

Applicability: 

This policy applies to all employees of the University.

1. Indemnification Policy

Stanford's policy is to indemnify and defend its faculty and staff in compliance with California Labor Code Section 2802.

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2. Sources For More Information

Any questions regarding indemnification should be referred to either the Office of the General Counsel or the Office of Risk Management.

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3.1.1 Responsibility for University Financial Assets

Last updated on:
08/11/2014
Formerly Known As Policy Number: 
34.

This Guide Memo outlines the roles and responsibilities of various University officers and organizations in managing the University's financial assets.

Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer.

By the terms of the Founding Grant and subsequent legislation and court decrees, the properties of Stanford University are held in trust by the University's trustees for the founding, endowment, maintenance and benefit of the University. The trustees have corporate powers and privileges; that is, they may organize and act as a Board of Trustees, elect officers, and adopt by-laws. For more information about the University's founding and the Board of Trustees, see Guide Memo 1.2.1: University Organization.

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2. Delegated Responsibility

a. President
The Board of Trustees has assigned responsibility to the President for the management of the University's business activities. For more information, see Guide Memo 1.2.1: University Organization.

b. University Officers
The Board of Trustees has delegated responsibility to individual University officers for management of funds in their accounts. For more information, and for information on further delegation of authority, see Guide Memo 3.2.1: Authorizing Expenditures. University officers also exercise responsibility for financial management decisions through the University's governance structure, which is described in Guide Memo 1.2.1: University Organization, and accompanying organization charts.

c. Schools and Departments
Schools and departments are responsible for appropriateness of expenditures and for recording transactions correctly. For information on mandatory training for all faculty and staff members before signature authority for expenditures is granted, see Guide Memo 3.2.1: Authorizing Expenditures. A person must be given authority through Stanford's online Authority Manager to approve transactions or view financial information online. Access to online financial reports requires the signing of a Confidentiality Statement. For step-by-step instructions, see Quick Steps: Grant Authority for Oracle Financial Reporting.

d. Business Affairs
Business Affairs, headed by the Vice President for Business Affairs and Chief Financial Officer, plays a central role in assuring that the Trustees meet their fiduciary responsibility to donors, government officials, employees, students, and the general public. For more information on Business Affairs organization and responsibilities, see the Business Affairs and CFO website.
(1) Financial Management Services (FMS)
Financial Management Services, including the Controller's Office, Office of the Treasurer, Procurement, Global Services, and Consulting & Support, promotes the academic health of the University by delivering financial and accounting services to the Stanford community. FMS exercises legal and fiduciary responsibility over funds entrusted to the University by maintaining systems of internal control and financial reporting. The organization supports decision making by providing financial information and consulting. FMS is responsible for establishing a sound business environment so that various funding sources (such as government agencies, donors, students, and bondholders) can confidently provide resources to support Stanford's academic mission.
(2) Controller's Office
The Controller's Office is responsible for ensuring proper internal controls and safeguarding of University assets and properly recording the University's assets, liabilities, funds, revenues and expenses in compliance with applicable laws, regulations, University policies and donor requirements. The Controller's Office also provides financial information and analyses to support senior administration decisions and meet reporting requirements such as the annual report and tax return. In addition, the Controller's Office manages the timely and accurate production of payroll for the University community while ensuring compliance with all applicable laws and regulations.
(3) The Office of the Treasurer
The Office of the Treasurer oversees the University's debt program, directs capital market borrowings and communicates with rating agencies and investors in Stanford's debt securities. The office manages the University's operating liquidity, cash management operations and Ecommerce, The Treasurer or specific designees are the only individuals authorized to open bank accounts on behalf of the University.
(4) Procurement
Longer retention times apply to certain documents retained by central offices. For information on a specific document or category of documents, the office responsible for the type of transaction should consult the Office of Sponsored Research (OSR) or Financial Management Services (FMS) consisting of the Controller's Office, Office of the Treasurer, Procurement (including Accounts Payable, Travel & Reimbursements), Global Services, and Financial Management Consulting & Support.
The Board of Trustees has authorized Procurement to handle purchases of goods and services for the University. For more information, see Guide Memo 5.1.1, Procurement Policies.
(5) Global Services
Global Services provides services to enable University activities outside of the United States to be conducted efficiently and in compliance with U.S. and foreign regulatory requirements.
(6) Consulting and Support
Consulting and Support facilitates effective management of university financial assets by providing services to schools, departments and central offices in business process improvement; financial information and reporting systems design and implementation; and ongoing education and communication.
(7) Research Administration
The Board of Trustees has authorized the Office of Sponsored Research to commit the University to the legal terms and conditions of grant or contract agreements. For more information, see the Research Policy Handbook. In addition to administering sponsored projects, the Research Administration Policy and Compliance (RAPC) assists the University in complying with its regulatory obligations to the federal government in the areas of indirect cost recovery, fringe benefits, service centers, capital equipment, space use, and cost studies. Information can be found on the DoResearch website.  The Research Administration Policy and Compliance (RAPC) is also responsible for negotiating both indirect cost and fringe benefits rates on behalf of the University. Detailed information on rates is found on the DoResearch website.
(8) Information Technology Systems & Services
The Information Systems Delivery & Support division of ITS provides the primary business information systems support for Business Affairs. Business systems applications also support administrative functions of schools and departments.
(9) Internal Audit
The mission of the Internal Audit Department is to assist University management and the Stanford Board of Trustees in identifying, avoiding and, where necessary, mitigating risks. The Department is responsible for examining and evaluating the adequacy and effectiveness of (1) the systems of internal control and their related accounting, financial, and operational policies and (2) procedures for financial and compliance monitoring and reporting. The Institutional Compliance Program is online.
(10) Office of Risk Management
The Risk Management Office is responsible for obtaining insurance from third parties, determining appropriate self-insurance coverage levels, and processing all insurance claims. Risk Management's overall goals are to ensure that the University's resources are expended wisely, that risks within a department's area of responsibility are managed effectively and efficiently, and that the University is protected against catastrophic losses.

e. Land, Buildings and Real Estate (LBRE)
The role of LBRE is to provide and sustain the facilities and infrastructure in support of the academic campus. LBRE also manages the real estate that the Board of Trustees has designated for the production of income (e.g., Stanford Shopping Center, Stanford Research Park, certain commercial properties, housing developments, and gift real estate).

f. Office of Development
The Office of Development solicits and processes gifts to the University. For more information, see Chapter 4: Giving to Stanford.

g. Stanford Management Company
The Stanford Management Company (SMC) is a separate division of the University formed in 1991 to manage financial and real estate investment assets. Effective 2006, LBRE assumed responsibility for real estate investments.  SMC manages the investments of the endowment, the expendable funds pool, and life income trusts.

h. Office of the General Counsel
The Office of the General Counsel provides legal advice to the Board of Trustees, the University and its officers concerning the University's legal rights and duties in its financial dealings.

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3. Annual Audit and Annual Report

At fiscal year end, the Controller's Office closes the accounting records for the year and prepares reports on the year's financial activity.

a. Annual Audit
To assure that the University's assets are protected and that transactions and events are recorded properly, an independent auditor selected by the Board of Trustees audits the annual financial statements in accordance with generally accepted auditing standards. The auditor's procedures include obtaining an understanding of University systems, procedures and internal accounting controls, and performing tests and other auditing procedures to provide reasonable assurance that the financial statements neither are materially misleading nor contain material errors.

b. Annual Report
The Office of University Communications publishes the auditor's report, the audited summary statements and accompanying notes to the financial statements as the University's Annual Financial Report. Departments and individuals may obtain copies from Office of University Communications, Bldg. 170 (650) 725-8396.

c. Annual Report Detail
The Controller's Office publishes the financial schedules from which the audited statements are derived in a document distributed to school financial officers.

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3.1.2 University Funds

Last updated on:
03/09/2018
Formerly Known As Policy Number: 
34.1

This Guide Memo describes the University's funds and budgets.

Authority: 

Approved by the Vice President for Business Affairs and Chief Financial Officer.

1. Fiduciary Responsibility for Fund Balances

Individual fund balances are controlled by the fund owner. This may be a faculty member or principal investigator, a department head, a university officer, or the university as a whole. The owner of the fund has the fiduciary responsibility for prudent management of fund balances. While at any time during the fiscal year a fund may go into deficit, by the end of the fiscal year, any fund with a deficit equal to or in excess of $1,000 in cash must be made whole by some other appropriate funding source. Exceptions to this policy must be approved by the University Budget Office and the Office of the University’s Chief Financial Officer.

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2. Basis of Accounting

a. Fund Accounting
The University maintains its accounts in accordance with the principles of fund accounting. Because the University receives funding from a variety of sources, with different types of terms and restrictions, each source must be tracked as a separate accounting entity in a unique fund.

b. Restrictions on Use of Funds
Fund restrictions are classified differently for internal and external reporting purposes.  While some of the terms overlap, they have different meanings depending on the reporting context.  For external reporting purposes, the definitions are based on generally accepted accounting principles.  For internal reporting purposes, the definitions are based on the use of the funds.

(1) Internal Reporting Definitions

  • Restricted: When a donor makes a gift to the University, the donor may provide terms for the use of that gift.  If the terms specify a particular purpose, the funds are restricted to that purpose.  Income and appreciation produced by restricted endowments is also restricted as per the terms of the endowment.  Funding provided by sponsored agencies or corporations for specific grant or contract work is also considered restricted.
  • Unrestricted: Funds without donor terms or with terms that allow the funds to be used anywhere at the University.  If donor terms allow a gift to be used broadly within a school or unit, it is deemed Unrestricted at the unit level, but Restricted by central University administration.
  • Designated: These are unrestricted funds that have been designated for a specific purpose by the Board of Trustees or senior management.  Internal units in the University can designate unrestricted resources to any number of specific purposes, but from a broader analytical perspective those funds are unrestricted for purposes of internal reporting.

(2) External Reporting Definitions

  • Permanently Restricted: The University classifies as Permanently Restricted (a) the original value of gifts donated to the Endowment and (b) accumulations to the Endowment made in accordance with the direction of the applicable donor gift instrument.
  • Temporarily Restricted: Temporarily Restricted assets include gifts and pledges that are subject to donor-imposed restrictions that expire with the passage of time, payment of pledges, or specific actions to be undertaken by the University or the Hospitals; these assets are then released and reclassified as Unrestricted.  In addition, appreciation and income on certain donor-restricted endowments funds are classified as Temporarily Restricted until authorized for spending.  Donor-restricted resources intended for capital projects are initially recorded as Temporarily Restricted and released from their temporary restrictions and reclassified as Unrestricted when the asset is placed in service.  Also included in this category is the University’s net equity in split interest agreements, expendable at maturity.
  • Unrestricted: Funds that are not Permanently Restricted or Temporarily Restricted are treated as Unrestricted for external reporting purposes.  This includes expendable gifts that have donor restrictions, so long as the University is free to spend the gift.  Funds Functioning as Endowment, or FFE, are University resources designated by the Board or internal University units to be held as endowment.  FFE is usually considered Unrestricted per accounting rules, as are most other expendable resources in the University.

c. Chart of Accounts
Stanford’s accounting system uses an alphanumeric code, or chart of accounts. The fund number, also referred to as the award number, is included in the chart of accounts.  The University accounting system also records attributes assigned to each fund that further define the fund purpose and restrictions.  For a detailed explanation of its structure, please see Stanford's Gateway to Financial Activities

The Controller's Office, a unit in Financial Management Services (FMS), and the departments and individuals authorized to spend funds in an account share responsibility for using the chart of accounts appropriately. The Controller's Office is responsible for maintaining the integrity of the chart of accounts and for assigning fund and other account numbers. Schools and departments are responsible for communicating any restrictions on use of funds so that Controller's Office staff can set up the account correctly. Find information on the various kinds of expenditure accounts in Guide Memo 3.1.3: Expenditure Accounts (PTAs).

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3. Fund Groups

The University combines funds with similar characteristics into fund groups for budgeting, planning, and reporting purposes.

a. Expendable Resources
Expendable resources are available for the current operation of the University; balances can be accumulated for future expenditure. Sources of funds include, but are not limited to, the following:

(1) Contracts and Grants
Funds provided by sponsors to reimburse the direct costs of contracts and grants are restricted per internal reporting definitions. The terms of the award and applicable regulations determine how the money may be spent. To apply for a contract or grant the principal investigator for the project submits a proposal through the Office of Sponsored Research (OSR) or its delegate to the sponsor. OSR negotiates the award with the sponsor. For more information, see the OSR website.

(2) Tuition and Fees
The Board of Trustees sets tuition and fee rates. The Student Financial Services Office collects tuition and fee payments from registered students each quarter. Income from tuition and fees is unrestricted per internal reporting definitions.

(3) Gifts
Donor gifts that are not ultimately directed to the endowment are usually considered expendable; exceptions include cases where the funds are not available for the current operation of the University, such as Pending funds and Donor Advised Funds.  Donors typically specify the purpose of gifts, which will determine whether the gifts are assigned to expendable, capital, or endowed purposes. The Office of Development solicits and processes gifts to the University. For more information, see Chapter 4: Giving to Stanford.

(4) Reimbursement of Facilities and Administrative Costs (Indirect Costs)
The Cost and Management Analysis Office calculates  rates that are charged to each contract and grant to pay for facilities and administrative overhead costs associated with sponsored research. These costs include utilities, building maintenance, and administrative support.  The responsible agency for the federal government, which for Stanford is the Office of Naval Research (ONR), approves the rates. Indirect cost reimbursements are unrestricted funds per internal reporting definitions. Information on rate calculations and policy is available on the DoResearch website. 

(5) Reimbursement of Facilities Costs (Infrastructure and Utilities Charges)
Designated Funds and Restricted Funds that do not otherwise pay facilities-related costs (both Sponsored and Non-sponsored) are charged an infrastructure fee to offset operations, maintenance, and utilities costs paid by University unrestricted funds. The fee is a percentage of certain types of expenditures, and these reimbursements are unrestricted funds per internal reporting definitions. More information is available in Guide Memo 3.3.1: Infrastructure Charges.

(6) Auxiliary Activities
Auxiliaries are self-contained financial entities (see Guide Memo 3.1.3: Expenditure Accounts (PTAs)). Income is used to support operations, including overhead, and all income is considered unrestricted per internal reporting definitions.

(7) Special Program Fees & Other Income
Income from outside sources related to programs, patents and royalties, program activities, affiliations, ticket income and the like are collected throughout the institution.  Much of this income is subject to the Infrastructure and Utilities Charge.  All of it is considered unrestricted per internal reporting definitions.

b. Endowment Funds
Funds in the Endowment include:

(1) True Endowment:
Endowment funds created pursuant to the terms of a donor’s gift.  These funds are generally intended to last in perpetuity.  Funds established with gifts directed to the endowment are typically used to purchase “pure” shares in the Merged Pool, and in rare circumstances are held in assets specifically directed by the donor.  True Endowment and payout from True Endowment are considered restricted per internal reporting definitions if the donor terms specify a particular purpose.

The Board of Trustees establishes an annual payout rate for distributions from the University’s endowment funds.  Payout may be made from True Endowment without limitation to income as long as the payout rate is prudently established and the gift terms do not provide otherwise. There is a group of funds referred to as “Pool A” funds that are established by gifts with terms that specify something like the following: “income but no appreciation” may be paid out of the fund. These types of funds are typically no longer established by the University. There are also funds that contain what are known as “Pool B Limited” shares. This situation arises where the donor specifies something like the following: only income and appreciation above the original gift value may be paid out. These types of funds are also typically no longer established by the University. Funds without such terms of limitation are referred to in the University accounting system as “Unlimited."

Payout generated by a true endowment fund that cannot be used for operational purposes can be redirected back to the principal of the fund for investment if provided for in the donor's gift agreement, or at the request of an internal University unit.  When the funds are reinvested pursuant to a provision in the donor’s gift agreement, they add “pure” shares to the Endowment; when they are reinvested at the request of an internal unit they add “quasi” shares to the Endowment. In both cases, reinvestment takes place at year end unless the provision in the donor's gift agreement specifically provides that all payout be reinvested until the True Endowment fund reaches a certain level, in which case reinvestment is made monthly. All such reinvestment is subject to the same donor terms as the original Endowment gift, and is restricted per internal reporting definitions if the donor terms specify a particular purpose. Any reinvestment of unused payout by an internal University unit must be requested by July 31 for the given fiscal year.

For True Endowment funds that contain Pool B Limited shares, payout is limited to income and appreciation in any year. Withdrawals in excess of income and appreciation are only permitted if that fund also contains quasi shares, in which case up to the full value of all quasi shares can be sold to make the full regular payout for that year (or as much of the full regular payout as possible).  Requests for such withdrawals must be made by July 31 for the given fiscal year; refer to the form Withdrawal Guidelines for True Endowment.

(2) Funds Functioning as Endowment (or Quasi-Endowment Funds):
Funds Functioning as Endowment (FFE) are expendable resources (both restricted and unrestricted per internal reporting definitions) that are invested in the Merged Pool (MP) and are considered part of the University’s Endowment. These are created at the request of an internal University unit (department, school, etc.). In order to create a new FFE, the unit must invest a minimum of $1 million. The minimum addition of “new” money to an existing FFE is $250,000. The University’s Chief Financial Officer and Provost are jointly authorized to make an exception to these minimums. Requests to create FFE must be approved by both the Dean or Chair, and the school’s or unit’s Senior Financial Officer. Requests to approve the creation of FFE involving gift funding must be reviewed by the Office of Planned Giving.

To optimize investment returns, the University takes a long term perspective of its investments in the MP which requires minimal unplanned cash flow volatility in the portfolio.  Thus, the MP should not be used by individual fundholders to support short term needs.  Accordingly, FFE invested in the MP these funds are subject to the following guidelines:

Lock-up Periods:

  • Any FFE investment made on or after September 1, 2016, is subject to a 7-year initial “lock-up” period, during which it cannot be redeemed.
  • Any FFE investment made prior to September 1, 2016 is subject to the previous 5-year initial “lock-up” period, during which it cannot be redeemed.

Annual Withdrawal Limits:

Once the “lock-up” period is met, FFE can be withdrawn under the following conditions:

  • FFE invested on or after September 1, 2016 are subject to an annual withdrawal limit, which is the greater of:
    • $5 million, or
    • 10% of an individual fund’s market value. The 10% limit will be calculated as 10% of the fund’s market value which is eligible for withdrawal at the time the request is made, less any amount that has been redeemed or is pending redemption during the same fiscal year.
  • FFE invested prior to September 1, 2016 are grandfathered under the previous FFE policy, and are not subject to an annual withdrawal limit.

Required Approvals:

Withdrawals are also subject to the following approval authority:

  • Withdrawals in keeping with these guidelines may be transferred out of the endowment with the approval of the school financial officer, the University Chief Financial Officer and the Provost. Smaller amounts may be withdrawn only if the remaining balance is being withdrawn.
  • Withdrawals outside these guidelines are not typically allowed and extraordinary exceptions require an action of the Board of Trustees.

Notification Periods:

In order to provide the Stanford Management Company with sufficient time to divest assets, requests for withdrawals must be received by Fund Accounting based on the following minimum notification requirements prior to anticipated month of withdrawal:

  • Up to $150 million – 90 days
  • $150 million-$250 million – 150 days
  • Greater than $250 million – 270 days

Please refer to the "Investment and Withdrawal Guidelines for Funds Functioning as Endowment Greater than $500,000" form for further details.

Reinvestment of Payout:

Even if the amount is less than the minimum for new principal investments, at the request of the creating unit, all unused payout from FFE may automatically be reinvested back in to the principal of the fund at year end; this election can only be made upon the formation of the fund or when additions of $500,000 or more are made to the fund. If a unit chooses not to request the automatic year end reinvestment, they may contact Fund Accounting by July 31 to specify the amount that should be reinvested for the given fiscal year.

(3) Term Endowments: Endowment created at the request of a donor, but intended to be fully spent down on a timeline established by the donor.  These monies are used to purchase “quasi” shares in the Endowment.  Regular withdrawals are made as per the donor terms.

c.  Non-Endowment Funds invested in the Merged Pool
Funds in this group include, but are not limited to:

(1) Life Income Gifts: A life income gift allows donors to give assets to Stanford while providing themselves or others with income for a period of time before Stanford is permitted to use the gift; until that period has ended, the gift is not counted as part of the University Endowment. The university, as trustee, manages the investment of the assets and pays a specified income to the donor, the donor’s designated beneficiaries, or both. Income payments continue for the beneficiaries' lives or, in some cases, for a term of up to 20 years.

(2) Donor Advised Funds: Stanford has Donor Advised Funds. For more information on the size and type of gifts required to create a Donor Advised Fund at Stanford, and the amount of the fund that must ultimately be designated for the use of the University, please refer to the Office of Development’s website. In cases where all or part of a Donor Advised Fund is later used to establish or add to an Endowment fund, it is not counted as part of the Endowment until the funds are explicitly transferred to the endowed fund for use per the terms of the donor’s request.

(3) Pending Funds: These are gifts where the purpose is pending final designation by the donor and the university. In cases where all or part of a Pending Fund is later used to establish or add to an Endowment fund, it is not counted as part of the Endowment until the funds are explicitly transferred to the endowed fund for use per the terms of the donor’s request.

d. Student Loan Funds
Student Loan Funds are not meant to be expensed, but rather are loaned to students as a portion of the financial aid package. As these loans are repaid, the principal and accumulated interest become available for