POLICY CHANGES, DELETIONS, ADDITIONS
November 30, 2018
- Section 4.f.: Updated to clarify amortization of internal loans, particularly with regard to new Bridge Financing loan terms, and how debt service will be charged after substantial completion of the project to the school or unit responsible for repaying the loan.
October 6, 2018
- Section 1.d.: Renumbered to add 1.d(1), 1.d(2), 1.d(3) and 1.d(4), to clarify how PTO is reported and scheduled
- Throughout: Changed references to "his/her" to "they" or "their"
September 9, 2018
- Section 5.b Maintenance and Retention: Terminated Employees: Updated to reflect that records are to be maintained for eight years following a termination.
- Housekeeping edits throughout to clarify who to contact related to personnel files.
August 24, 2018
- Section 6.b(1) Notice: updated to reflect that employees terminated for gross misconduct do not receive two weeks' notice pay and do not qualify to become an Official University Retiree.
- Section 2.a. Eligibility: updated to reflect that employees terminated for gross misconduct do not qualify to become an Official University Retiree.
- Section 4.a Termination Policy: updated to conform with existing practice where involuntary terminations of Senior Staff employees include the concurrence of the VP for HR or designee; also updated to reflect that Senior Staff do not receive notice and severance pay if the termination is for gross misconduct.
- Summary: changed "misconduct" to "unsatisfactory conduct"
- Policy statement: Added "unsatisfactory conduct" and "conduct or acts that disrupt the reputation or operations of the University" as examples of legitimate business reason; added that gross misconduct warranted immediate termination.
August 9, 2018
- Section 2.h.: Validity of Temporary Petitions was updated to conform with the Department of Labor interpretations of the law. Specifically, the responsibilities associated with O-1 petitions and H-1B petitions are updated.
July 24, 2018
AGM 1.1.1: Code of Conduct (updated on 7/23/18)
The Code of Conduct update, and the values it represents, is being published in alignment with Stanford’s Long-Range Plan and Vision.
Applicability: The groups for whom this policy applies was clarified. Postdoctoral scholars and Members of the Board of Trustees were added.
Section 1: Standards of Integrity and Quality
- Diversity, respect, freedom of inquiry and expression, trust and were added to the list of what the University values (integrity, honesty and fairness were already listed). SU’s activities were updated to “education, research, health care and business practices.”
- Sub-sections: c. Violations, and d. Questions were removed as they were duplicative to section 10: Reporting Suspected Violations.
Section 2: Standards of Integrity and Quality
- No major changes to policy; minor language edits.
Section 3. Respect for Others (previously Section 5); section title changed from Human Resources
- The institutional's commitment added “embracing diversity and inclusion.” Link to Statement of the President and Provost on Advancing Free Speech and Inclusion.
- Three additional policies referenced; Faculty Handbook 4.2 Statement on Academic Freedom, Policy for Protection of Minors, and Acts of Intolerance Protocol.
Section 4. Compliance with Laws and Applicable Policies and Procedures (previously Section 7); section title changed from Compliance with Laws
- No major changes to this section; minor language edits.
Section 5. Confidentiality, Privacy and Information Security (previously Section 3); section title changed from Confidentiality and Privacy
- Section language edits. Statement regarding disaffiliation added: “When disaffiliating from Stanford, Community members must return all sensitive University data unless an exception has been granted.”
- Specific privacy laws content removed and replaced with references and links to privacy Administrative Guide policies (eight policies listed).
Section 6. Financial Responsibilities and Internal Controls; section title changed from Financial Reporting
- Section clarified to emphasize University expectation of “sound business practices and exercise prudent financial management in their stewardship of University resources”.
- References and links added to University Policies on Financial Administration.
Section 7. Use of University Resources (previously Section 8)
- Listing of the types of University resources expanded to include: Stanford name, logo and letterhead; Stanford facilities; University records.
- References and links added to specific University policies (three policies).
Section 8. Conflict of Commitment/Conflict of Interest (previously Section 4); section title changed from Conflict of Interest/Conflict of Commitment
- Language expanded to give examples of the types of conflicts of commitment/interest.
- References and links added to specific University policies (six policies).
Section 9. Response to Governmental or Other Investigations (New Section)
- New section describing Stanford University’s commitment to cooperating with government investigators as required by law. Also states what to do when a governmental entity contacts an individual.
Section 10. Reporting Suspected Violations (previously Section 9)
- Expanded the Other Reporting sub-section listing of departments and resources for reporting concerns.
- Non-retaliation sub-section added; emphasizes “Stanford policy prohibits retaliation against an individual who in good faith reports or provides information about concerns or suspected violations.”
- Consequences of Violation sub-section added. States “Confirmed violations will result in appropriate disciplinary action...”
AGM 2.2.10: Gifts and Awards for University Employees (updated on 7/23/18)
- Section 3.b. Dollar Limit: Added "length-of-service or retirement" to clarify the type of award subject to the dollar limit.
- Section 3.c: Form of Awards: Clarified the types of awards the IRS does not consider to be tangible personal property, adding gift cards, gift coupons, vacations, meals, lodging, tickets to theater or sporting events for service or retirement awards to the description.
- Section 3.d.: Meaningful Presentation: Clarified that the award must be presented in a meaningful presentation or ceremony. Removed Directors from the list of those responsible for ensuring awards programs comply with IRS requirements for nontaxable gifts.
June 28, 2018
- Added examples of the types of financial irregularities that can arise, including a list of Asset Misappropriation examples.
- Throughout: Office of the Chief Risk Officer(OCRO) replaces Director of Institutional Compliance as a point of contact.
- Clarification added regarding what a department should not do in situations where suspected financial irregularities arise; e.g., departments should not initiate an investigation, or discuss, investigate or confront individuals.
Section 1: Notification
- Notification to Office of the General Counsel and Chief Financial Officer of financial irregularity moved to the Investigation Process section.
Section 2: Investigation Process
- Policy now states after preliminary research and determination that an investigation is warranted, “the Office of the General Counsel, the Chief Financial Officer, and all appropriate stakeholders will be notified.”
- In the listing of appropriate stakeholders who may be involved in an investigation, Risk Management was removed as it is now a part of OCRO.
- Reference to responsibility for any report was updated.
May 18, 2018
- Updated reference to OMB regulations applicable to sponsored research
- Made appropriate references to revised AGM 2.1.20 and related definitions
- Clarified that “business necessity” exists where an employee is a remote worker as defined by AGM 2.1.20 for purposes of providing or reimbursing such employees for mobile equipment and related services
- Removed the requirement that employees must demonstrate financial hardship in order to receive reimbursement of reasonable business use of home internet service
- Clarified that telecommuting is nota factor establishing “business necessity” for purposes of providing or reimbursing mobile equipment and related services (business use of cell/data service and home internet service)
- Provided links to updated forms for providing or obtaining reimbursement for mobile equipment and/or business use of cell/data service and home internet service
Mobile Equipment and Cell/Data Services Template
This template was re-named “Mobile Equipment and Cell/Data Services Template”, and replaces the “Mobile Equipment and Services Template” found on Fingate. (This form memorializes mobile equipment provided to an employee and is also used to authorize reimbursement of up to $25/month in reasonable business use of personal cell/data service as provided in AGM 8.1.3.) The form also clarifies that reimbursement of home internet must be requested on a separate form pursuant to AGM 2.1.20.
Home Internet Services Reimbursement Form
This template removed the requirement that employees requesting reimbursement for business use of home internet service must demonstrate financial hardship, but kept the requirement that “business necessity” must be established as provided in the revised AGM 8.1.3. The form was also updated to reflect the levels and types of approval required for an employee to receive reimbursement for business use of home internet service, and confirms such reimbursement is authorized up to $35 per month.
March 20, 2018
- Updated according to new Federal tax regulations regarding the taxability of relocation expenses
March 9, 2018
- Updated the Funds Functioning as Endowment (or Quasi-Endowment Funds) section of the policy
- Updated the Intermediate Pool Funds section of the policy
- Updated the title from "Expendable Funds Investment, Interest Allocation and Buffer Policy" to "Expendable Funds Investment, Return Allocation and Buffer Policy"
- Updated the Expendable Funds Investment and Return Allocation Policy section
January 19, 2018
New policy to align with state (CA Labor Code sections 1030-1033) and federal (PPACA) lactation laws and reflects Stanford's commitment to a workplace culture supportive of family care-giving responsibilities.
January 12, 2018