This Guide Memo defines the University's Code of Conduct.
The Code applies to these groups of people, referred to as "members of the Stanford University Community":
As members of the Stanford University community, all faculty, staff, students, members of the Board of Trustees, University Officers and affiliates are responsible for sustaining the highest ethical standards of this institution, and of the broader community in which we function. The University values integrity, honesty and fairness and strives to integrate these values into its teaching, research and business practices.
In that spirit, this Code (the "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 cognizant 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 and policies.
Adherence to this Code also makes us responsible for bringing suspected violations of applicable standards, policies, laws or regulations to the attention of the appropriate cognizant office. Raising such concerns is a service to the University and does not jeopardize one's position or employment. Confirmed violations will result in appropriate disciplinary action up to and including termination from employment or other relationships with the University. In some circumstances, civil and criminal charges and penalties may apply.
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 very damaging to the University. Stanford must strive at all times to maintain the highest standards of quality and integrity.
Frequently, Stanford's business activities and other conduct of its 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 because it is "customary" outside of Stanford or that it serves other worthy goals. Expediency should never compromise integrity.
Community members receive and generate on behalf of the University various types of confidential, proprietary and private information. It is imperative that each community member complies with all federal laws, state laws, agreements with third parties, and University policies and principles pertaining to the use, protection and disclosure of such information, and such policies apply even after the community member's relationship with Stanford ends.
Information on the University's "Principles of Privacy" or specific privacy laws, such as the Family Educational Rights and Privacy Act (FERPA—student records); Health Insurance Portability and Accountability Act (HIPAA—personal health information); California Civil Code section 1798.85 (Social Security numbers); and Civil Code section 3426 (trade secrets) may be obtained from the Office of the General Counsel.
Additionally, Administrative Guide Memo 6.2.1: Computer and Network Usage Policy and the Academic Policies and Statements, for students, govern any privacy rights of information stored on University computer systems.
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, patient care, research and scholarship. Outside professional activities, private financial interests or the receipt of benefits from third parties can cause an actual or perceived divergence between the University mission and an individual's private interests. In order to protect our primary mission, community members with other professional or financial interests shall disclose them in compliance with applicable conflict of interest/conflict of commitment policies, which are available on the following websites:
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 community member fairly and with respect. To encourage such behavior, 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 specific policies in support of this standard at these locations:
The University shall also comply with all laws and regulations governing the circumstances under which former United States military personnel may be employed or retained as consultants.
All University accounts, financial reports, tax returns, expense reimbursements, time sheets and other documents, including those submitted to government agencies must be accurate, clear and complete. All entries in University books and records, including departmental accounts and individual expense reports, must accurately reflect each transaction. See Administrative Guide Memos 3.1.1: Responsibility for University Financial Assets and 3.1.4: Cost Policy.
Members of the 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 General Counsel. University-wide policy documents can be found here.
a. Contractual 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 can 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. 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 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.
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, the use of University systems (e.g., telephone systems, data communication and networking services) and the Stanford domain for electronic communication forums; the use of University equipment (e.g., computers and peripherals, University vehicles); the use of procurement tools such as purchasing cards and petty cash; and, the time and effort of staff, students and others at Stanford.
a. Reporting to Management
Members of the Stanford community should report suspected violations of applicable laws, regulations, government contract and grant requirements or this Code. 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) individuals may go to a higher level of management within their school or department.
b. Other Reporting
All violations of laws or regulations should be reported internally to the Compliance and Ethics Helpline or (650) 721-COMP (721-2667), or to the Office of the General Counsel at (650) 723-9611.
You may report any suspected violations of rules regarding federal funds to the Department of Defense Fraud, Waste, and Abuse Hotline at (800) 424-9098.
You may report any suspected violations of state or federal statutes, rules or regulations to the California Attorney General's Whistleblower Hotline at (800) 952-5225.
Such reports may be made confidentially, and even anonymously, although the more information given, the easier it is to investigate the reports. Raising such concerns is a service to the University and does not in itself jeopardize employment.
All employees are expected to cooperate fully in the investigation of any misconduct.
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.
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.
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
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.
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.
The six standing committees of the Board are the Committee on Audit and Compliance; 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.
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.
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:
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 theapproval 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.
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.
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.
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:
The Cabinet advises the President and Provost on other matters as appropriate.
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.
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.)
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.
a. How Formed
Elected by Academic Council from among its members
a. How Formed
Elected by Academic Council from among its members.
a. How Formed
Elected by Senate from among its members plus the President (or Provost) as a non-voting member.
a. How Formed
Appointed by Steering Committee from among members of the Senate.
a. How Formed
Appointed by Committee on Committees and Steering Committee from among members of the Academic Council.
The Committees of the Academic Council include:
a. How Formed
Faculty members appointed by Committee on Committees from among members of the Academic Council. Student members nominated by ASSU.
a. How Formed
Members of Academic Council, appointed by Board of Trustees to department.
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.
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:
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.
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:
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
|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.
The following situations or types of agreements are not covered by this Guide Memo:
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
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.
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.
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:
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.
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-partison 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.
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.
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 Instititutional Review Board as appropriate under its policies and procedures.
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.
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.
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.
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.
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 firstname.lastname@example.org.
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.
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.
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:
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.
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.
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.
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.
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.
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.
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.
Stanford registered marks, as well as other names, seals, logos and other symbols and marks that are representative of Stanford, may be used solely with permission of Stanford University. Items offered for sale to the public bearing Stanford's name and marks must be licensed. Online Design Guidelines describe proper use of Stanford's emblems and provide downloadable artwork at the Identity Toolkit.
This policy applies to all instances of use of Stanford's names and marks.
The purpose of this policy is to ensure appropriate use of Stanford's names and marks.
Stanford University is internationally known for excellence in teaching, learning, research, medicine, athletics, the arts and similar activities. The widely recognized Stanford name and its associated seals, marks and symbols (together referred to as "name and marks") represent the high caliber of the University's faculty and students and convey the quality and breadth of the University's accomplishments. Stanford's name and marks are among the University's most valuable assets. Faculty, students and staff share in the benefits associated with the University's name and marks, and therefore also share responsibilities concerning their use.
The University will protect its name and marks actively from improper or misleading use by individuals or organizations not associated with the institution and will assure that use of the name and marks by faculty, students, alumni, staff, Stanford programs and others is appropriate. As described below, appropriate use indicates that the activity or product with which the name and marks are being used has the necessary approval for use of the name and marks and reflects appropriately on Stanford's reputation.
Use of the Stanford name and marks in a manner that implies endorsement of programs, products or services of any entity not directly associated with, or licensed in writing by, the University is prohibited.
The University is the owner of a number of marks registered with the United States Patent and Trademark Office. These include:
Additional registrations have been made with the California Secretary of State and in some international jurisdictions. All of Stanford's registered marks, as well as other names, logos, seals and other symbols that are representative of the University or its entities, whether or not registered, are the property of Stanford University. Such names and marks may be used solely with permission of persons having specific authorization by the Board of Trustees or the President of the University. Registered marks should be shown with the symbol, ®, designating their status as federally-registered trademarks. The block "S" without tree, as a non-registered trademark, should be shown with the designation "TM." For emblem artwork with the proper trademark designation, contact the Trademark Associate at (650) 723-3331 or by e-mail at email@example.com.
Use of the Stanford name and marks by third parties is strictly prohibited unless written permission from the University has been granted, in keeping with authority delegated by the President (described below under "Approval for Use.") As stated in the Research Policy Handbook 9.2, courses taught and courseware developed for teaching at Stanford belong to Stanford and may not be further distributed without permission of the University. Use of the Stanford name and marks in association with the distribution of such materials outside the University must be approved by the Provost.
Please refer to the Research Policy Handbook 9.5, for further information on the University's copyright policy.
b. Appropriate Use
The names and marks covered by this policy may be used only in connection with Stanford-sponsored or Stanford-sanctioned activities or materials. Stanford faculty, students, staff and volunteers must assure that use of the Stanford name and marks meets the following criteria:
Use of the Stanford name and marks in association with an event, program, project, publication or product implies some form of involvement by the University. Involvement by individual faculty, students, alumni or staff is not a sufficient basis for indicating University sponsorship or endorsement. The activity must be one in which the University has an institutional role.
(2) Quality Standards
Stanford's name and marks may be used only in connection with activities that meet high standards and are consistent with the University's educational, research and related purposes.
(3) Prohibited Uses
In keeping with its status as a non-profit educational institution, Stanford does not permit its name and marks to be used in connection with partisan political activities. Individual faculty, students, alumni or staff may not use Stanford's name and marks in association with any commercial activity or outside venture without written permission of a person authorized by the Board of Trustees or University President to so act. Use of the name and marks in connection with third parties must conform to the policy provided in Guide Memo 1.4.1: Academic and Business Relationships with Third Parties.
c. Approval for Use
The President has delegated authority as follows for approving use of Stanford's name and marks:
The Office of the General Counsel and the Office of the Vice President for Business Affairs/CFO are responsible for protection of Stanford's name and marks. The Office of the Vice President for Business Affairs/CFO has been authorized to grant licenses for use of Stanford's name and marks on products for sale.
d. Guidelines for Faculty and Staff
In teaching, research and other academic activities of the University, Stanford's name and marks may be used, subject to the normal review processes established within schools, departments, centers and programs. This policy is not intended to limit use of the Stanford name for legitimate purposes that fall within the normal scope of University activities. However, when a faculty or staff member is involved in activities not directly associated with Stanford (e.g., independent consulting, other business activities, publications, etc.), use of Stanford's name and marks is limited to identification of the individual by his or her affiliation (e.g., Jane Smith, Professor of History, Stanford University).
The Stanford name and marks may not be used for purposes other than in direct relation to teaching, learning and research at Stanford without written approval from the designated office described above under "Approval for Use." Faculty members and others engaged in activities involving business relationships with third parties may contact the Office of the Vice President for Business Affairs/CFO for information and assistance on name use issues. For questions concerning courseware and related materials, contact the Vice Provost and Dean for Institutional Planning, Learning Technology and Extended Education.
Examples of permissible use include:
Examples requiring written approval and/or a license from the University:
e. Guidelines for Students and Alumni
Student and alumni groups that have official ASSU or Stanford Alumni Association recognition, and are registered as such, may use the Stanford name in association with their University-sanctioned activities. Recognized student groups producing merchandise for sale that incorporates Stanford's name or marks must comply with licensing and other procedures of the Office of the Vice President for Business Affairs/CFO. Students may use the name of a school, department or other Stanford program outside the University (other than on a resume) only with approval of the appropriate academic officer (dean, department chair, center director, etc.)
f. Registration of Internet Domain Names
No faculty, staff, alumnus, other volunteer or student may register a domain name that incorporates the word "Stanford" or "cardinal" except in accordance with the policies described above concerning use of the name and marks. Domain name registrations incorporating the word "Stanford" or "cardinal" are the property of the Board of Trustees and must be registered as such.
g. Registration of Trademarks
In keeping with its institutional responsibility for trademark protection, the Office of the Vice President for Business Affairs/CFO is responsible for trademark registration, working with the Office of the General Counsel. Faculty, alumni, other volunteers, staff or students seeking to register trademarks in association with University activities must do so by contacting the Office of the Vice President for Business Affairs/CFO. Trademarks registered in connection with any programs, products or services of Stanford University, its schools, departments, centers, alumni or related activities, are owned by the Board of Trustees.
a. License Policy
The Office of the Vice President for Business Affairs/CFO oversees the University's trademark licensing program. Any items offered for sale to the public bearing the Stanford name or marks must be licensed by the University. There are no exceptions. For information on the licensing program, contact the Trademark Associate at (650) 723-3331 or by e-mail at firstname.lastname@example.org.
b. Sellers' Responsibility
University departments, student or alumni groups, or entities having academic or business relationships with the University (e.g., ASSU), or faculty/staff/students/alumni organizations selling items bearing the Stanford name or marks for fundraising or other purposes must acquire such items from a licensed supplier or be licensed if they are self producing the items or using a non-licensed supplier.
c. Design Review
The Office of the Vice President for Business Affairs/CFO reviews the specifications for products bearing the Stanford name and marks and the design incorporating the name and marks prior to licensing.
Camera-ready artwork of the Stanford name and marks is generally provided as part of the License Agreement.
A percentage of the wholesale value of items sold is charged as a trademark licensing royalty fee. Contact the Trademark Associate at (650) 723-3331 or by e-mail at email@example.com for royalty rate information. Net proceeds from the licensing program are designated for undergraduate student support, including financial aid and other purposes.
f. Give-Away Items
Use of the Stanford name or marks on items not sold to the public (such as giveaway items or for charity events) requires permission from the Office of the Vice President for Business Affairs/CFO and may be subject to a use fee. Contact the Trademark Associate at (650) 723-3331 or by email at firstname.lastname@example.org for further information.
g. Items for Internal Use
Items acquired by a University department or student or other group solely for internal University use generally do not require a license. Please check with The Office of the Vice President for Business Affairs/CFO to determine if a license is required for a specific project.
This Trademark Use Policy of the Leland Stanford Junior University ("Stanford") is provided to licensees of certain designations comprising designs, trademarks, and service marks, including, without limitation, the designations "Stanford," "Stanford University," "Stanford University Medical Center" and other designs, seals, and symbols which have come to be associated with Stanford (the "Stanford Trademarks"). This Trademark Use Policy sets forth the requirements for use of the Stanford Trademarks. Use of the Stanford Trademarks is permitted only pursuant to a written agreement with Stanford that includes a license to the Stanford Trademarks and only as permitted by such written agreement. This Trademark Use Policy sets forth requirements in addition to those set forth in any such written agreement. All name and trademark license agreements must be approved by a University officer with delegated authority, as designated in Section 1.c above.
a. Use of Stanford Trademarks
(1) Trademark Notices
The Stanford Trademarks may be used only in the form and manner and with appropriate legends as prescribed from time to time by Stanford. Upon request, each licensee shall cause to appear with each use of the Stanford Trademarks by means of a tag, label, imprint or other appropriate device or mechanism, such copyright, trademark or service mark notices as Stanford may from time to time, upon reasonable notice, designate. Upon request by Stanford, each licensee shall cause all products bearing the Stanford Marks to bear an "Official Licensed Product" label in a form and manner that Stanford may from time to time, upon reasonable notice, designate.
(2) No Use of Identical or Similar Trademarks; No Combination Marks
The Stanford Trademarks may not be used with any other trademark or in combination with any of the other Stanford Trademarks without the prior written approval of Stanford. No licensee shall alter, modify, dilute or otherwise misuse the Stanford Trademarks.
Stanford is the sole owner of goodwill associated with the Stanford Trademark(s). Licensees shall acknowledge this ownership and the value associated with the Licensed Trademark(s). Licensees shall not apply for trademark registration or otherwise seek to obtain ownership of any Stanford Trademarks, including Internet domain names, anywhere in the world, nor act in any manner or contribute in any way to actions or activities that would adversely affect the value of the goodwill associated with the Stanford Trademarks.
(4) Submission of Uses of Stanford Trademarks
Each licensee shall submit, at the licensee's expense, samples of proposed uses of the Stanford Trademarks prior to any particular use of a Stanford Trademark or other distribution to the public. Stanford shall have the right to object to any use within 5 business days of its receipt of a sample if Stanford reasonably believes that such use of the Stanford Trademark will damage the goodwill of the Stanford Trademark, or if the samples do not meet the requirements of this Trademark Use Policy or the written agreement between Stanford and the licensee relating to such Stanford Trademark. No licensee shall make use of a Stanford Trademark until such particular use has been approved in writing by Stanford.
Licensee shall submit to Stanford for approval samples of all tags, labels, packaging, computer images, Web pages and the like to be used in connection any Licensed Product(s) and to remove therefrom or add thereto any element Stanford may from time to time, upon reasonable notice, designate.
Licensee shall submit to Stanford copies of any advertisements or promotional materials containing Licensed Trademark(s) for Stanford's approval prior to any use thereof, and to remove therefrom either any reference to Licensed Trademark(s) or any element which Stanford may from time to time, upon reasonable notice, designate.
(5) No Sponsorship
No Licensee may state or imply, either directly or indirectly, that the licensee's activities, other than those permitted by written agreement, are supported, endorsed or sponsored by Stanford. Upon the direction of Stanford, a licensee shall issue express disclaimers to that effect.
(6) Notification of Infringement
Each licensee shall promptly inform Stanford of any suspected infringement of any Stanford Trademark by a third party. Stanford shall have the sole right and discretion to enforce the Stanford Trademarks, (subject to specific agreements that impose the costs or other duties of enforcement on third parties).
(7) Quality Control and Review
The Stanford Trademarks may be used with and applied to only those products, services and other materials permitted by the written agreement and only for so long as such products, services and other materials meet Stanford's high standard of quality consistent with the level of quality reflected in Stanford's own products and services. By means of example and not limitation,
(a) The Stanford Trademarks may not be used on or in connection with any material that is pornographic or otherwise objectionable in the light of Stanford's reputation for quality educational and medical products and services
(b) The Stanford Trademarks may not be used on or in connection with any material that libels or defames Stanford or any other person or entity
(c) The Stanford Trademarks may not be used on or in connection with any material that violates any state, federal or foreign law or regulation.
b. Negation of Warranties
Nothing in this Trademark Use Policy shall be construed as a warranty or representation by Stanford (i) as to the validity or scope of the Stanford Trademarks or (ii) that anything made, used, sold or otherwise disposed of under any license granted to the Stanford Trademarks is or will be free from infringement of trademarks, copyrights and other rights of third parties.
Stanford may terminate any written agreement granting a license to the Stanford Trademarks by 90 days' prior written notice to the licensee (unless some other period of time has been designated in writing by the person specifically designated in Section 1.3). If a licensee is in default in royalty payments or providing reports, is in breach of any provision of this Trademark Policy or the licensee's written agreement, or provides any materially false report, Stanford may terminate such licensee's license to use the Stanford Trademarks on 30 days' prior written notice if licensee fails to remedy such default, breach or false report within 30 days after receipt of such notice from Stanford. Any cause of action or claim of Stanford that accrued or will accrue as the result of any breach or default by a terminated licensee and a terminated licensee's obligation to pay accrued or accruable royalties shall survive any such termination.
This Trademark Use Policy shall be read in conjunction with any written agreement between Stanford and a licensee; provided that in the event of any conflict between a provision of this Trademark Use Policy and such written agreement, the express provision set forth in the written agreement shall prevail.
a. Approval Questions
Questions concerning the proper office to approve use of Stanford's name and marks may be directed to the Office of University Communications, the Office of Business Development or the General Counsel. Questions concerning registration of trademarks or Internet domain names incorporating the word "Stanford" may be directed to the Office of the Vice President for Business Affairs/CFO or the General Counsel. For information regarding the use of the Stanford name and marks on courseware distributed by videotape or other media, contact the Vice Provost and Dean for Institutional Planning, Learning, Technology and Extended Education. Please see Name Use Guidelines issued by Trademark Licensing for additional guidance.
b. Trademark Licensing Program
Further information on the use of the registration symbols in conjunction with the registered marks, the use of the names and marks on clothing and other merchandise, license application forms, and sample license agreements may be obtained from the Office of the Vice President for Business Affairs/CFO. Contact the Trademark Associate at (650) 723-3331 or by e-mail at email@example.com.
The following policies include related information:
Documents produced, received or filed in connection with Stanford's business activities are the property of the University.
This policy applies to all Stanford business documents.
The purpose of this policy is to reiterate the University's ownership of business documents.
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").
Questions regarding application and implementation of this policy may be directed to the Legal Office.
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
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.
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.
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.
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 firstname.lastname@example.org 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
(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. Confidentiality Agreement
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.
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.
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.
(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:
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.
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.
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:
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
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.
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.
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.
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
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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:
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.
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:
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.
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:
Students enrolled in undergraduate or graduate degree programs:
Violations of any level shall, in most cases, result in termination of the contract/business relationship and disqualification from future contractual/business relationships.
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.
Applies to all students, faculty, staff and others who participate in Stanford programs and activities.
a. Applicability and Sanctions for Policy Violations
This policy applies to all students, faculty and staff of Stanford University, as well as others who participate in Stanford programs and activities. Its application includes Stanford programs and activities both on and off-campus, including overseas programs. Individuals who violate this policy are subject to discipline up to and including discharge, expulsion 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.
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 when disclosure required by the University outweighs protecting the rights of others.
e. Protection Against Retaliation
Retaliation and/or reprisals against an individual who in good faith reports or provides information about behavior that may violate this policy are against the law and will not be tolerated. 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 who are employed by Stanford are required to participate in a minimum 2-hour sexual harassment training at least every two years. 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 in appropriate circumstances. 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. Registration is through Axess on the STARS /Training Tab: https://axess.stanford.edu.
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, 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.
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:
The University’s Policy on Sexual Misconduct and Sexual Assault (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.
Use these resources for additional information:
The following are the primary methods for dealing with sexual harassment at Stanford. There is no requirement to follow these options in any specific order. However, early informal methods are often effective in correcting questionable behavior.
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 at 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 at 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 his/ her 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:
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. For further information on confidentiality, see Section 1(d).
b. Student Processes
(1) Administrative Review
Students who believe they are the target of sexual harassment and who would like administrative remedies to end the unwanted conduct, should bring forward a concern to the Title IX Coordinator. The Title IX Coordinator will review the concern under the Title IX Student Sexual Harassment, Sexual Assault, Sexual Misconduct, Relationship (Dating) Violence and Stalking Policy and Procedures.
Mediation between parties is generally not available in cases of sexual harassment involving students.
Students may confer with, Mark Zunich, Acting Title IX Coordinator at (650) 497-4955, email@example.com.
(2) Disciplinary Process
Students who believe they are the target of sexual harassment may file a disciplinary complaint against another student in the Office of Community Standards, which will be reviewed under the Alternate Review Process.
Students are subject to the Fundamental Standard. Sanctions, for students found responsible for such a violation, range from a formal warning to expulsion from the University.
Students may confer with, Jamie Hogan, Associate Director, Office of Community Standards, firstname.lastname@example.org.
c. Faculty & Staff Processes
(1) Direct Communication
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) Formal Grievance, Appeal and Disciplinary Processes
Grievance, appeal or disciplinary processes may be pursued as applicable.
(4) 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 of Employee & Management Services can help assure that this occurs.
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 complainant and the other relevant parties may mutually agree in writing to extend the time for filing a grievance or appeal.
A list of the grievance and appeal procedures are located online or from the Sexual Harassment Policy Office.
(5) 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.
If significant facts are contested, an investigation may be undertaken. The investigation will be conducted in a way that respects, to the reasonable extent possible bearing in mind the safety of the campus community, the privacy of all of persons involved. In appropriate cases, professional investigators may be asked to assist in the investigation. The results of the investigation may be used in the third party intervention process or in a grievance or disciplinary action.
b. 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.
c. 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 Admin Guide Memo 2.4.6.
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:
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). These agencies are listed in the Government section of the telephone book. A violation of this policy may exist even where the conduct in question does not violate the law.
This policy went into effect on October 6, 1993, and amended November 30, 1995, May 30, 2002, August 30, 2012, June 11, 2013 and December 6, 2013. It is subject to periodic review, and any comments or suggestions should be forwarded to the Director of the Sexual Harassment Policy Office.
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.
Applies to all students, faculty, staff, and others who participate in Stanford programs and activities.
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.
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.
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. Failure to disclose the relationship in a timely fashion will itself be considered a violation of policy.
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. Failure to notify and recuse in this situation will be subject to discipline under the Fundamental Standard.
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. Failure to disclose the relationship in a timely fashion will itself be considered a violation of policy.
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.
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 or evaluation, the cognizant dean, director or supervisor must approve all 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 188.8.131.52c 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.
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.
This Guide Memo outlines Stanford University's definitions and policies relating to sexual misconduct, sexual assault, stalking and relationship violence (“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 8 of this Guide Memo. Prohibited Sexual Conduct is a severe form of sexual harassment; see Guide Memo 1.7.1: Sexual Harassment.
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.
Acts of sexual misconduct, stalking and relationship (dating or domestic) violence (collectively “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 (responding party) is subject to this policy and (i) the individual who believes he or she has experienced the Prohibited Sexual Conduct (impacted party) is a student, faculty, staff member or program participant 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 NotAlone.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 16 and at and at titleix.stanford.edu.
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 Sexual Misconduct, Sexual Assault, Stalking, and Relationship (dating or domestic) Violence. 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 and Administrative Guide Memo 1.7.2 for information about Consensual Sexual or Romantic Relationships in the Workplace and Educational Setting.)
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 3.a.1 accomplished by use of (i) force, violence, duress or menace; or (ii) 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:
c. What is Consent?
Consent is an affirmative act or statement by each person that is informed, freely given and mutually understood. It is the responsibility of each person involved in a sexual activity to ensure that he or she has 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 impacted party, whether through a casual meeting or through a longstanding relationship, including a dating or domestic relationship. A stranger is someone unknown to the impacted party at the time of the assault. While 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.
f. Sexual Harassment
The above examples of conduct of a sexual nature may also violate the University’s sexual harassment policy. In addition, unwelcome conduct of a sexual nature involving less severe acts still may violate the University’s sexual harassment policy. See Guide Memo 1.7.1: Sexual Harassment.
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.
Relationship violence, including dating and domestic 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.
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 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 complete list of confidential resources is provided in Section 16.
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 11 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 16 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:
Mark Zunich, Acting Title IX Coordinator, 2nd Floor, Mariposa House, 585 Capistrano Way, Stanford, (650) 497-4955, email@example.com. The Title IX Coordinator will coordinate with appropriate staff.
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, firstname.lastname@example.org, 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.
a. Where to Report
Reports of Prohibited Sexual Conduct relating to students, either as the Impacted Party or as the accused party, should be reported to:
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 Impacted Party
• Name of Responding 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; (d) Vice Provost for Graduate Education; and (iii) 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 impacted party has or has indicated they will contact the appropriate office.
The University urges an individual who has been subjected to Prohibited Sexual Conduct to make an official report, whether or not he/she intends 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 that do not place the health or safety of any other person at risk.
a. Administrative (Non-Disciplinary) Response & Investigation
Upon notice of any concern regarding Prohibited Sexual Conduct, the University will promptly assess the situation and respond, including instituting any interim safety measures or accommodations necessary to ensure the safety of the Impacted Party and the Stanford Community. 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 Impacted Party’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 either an Impacted Party or respondent, 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 determines 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:
b. Administrative (Non-Disciplinary) Accommodations and Safety Measures
1. Administrative measures available to the University
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 Impacted Party and the Responding Party in determining accommodations and safety measures. Appropriate interim or permanent measures may include:
i. Housing accommodations
ii. Counseling services
iii. Academic accommodations
iv. No contact directives, stay-away letters, or campus bans
vi. Limitation on extracurricular or athletic activities
vii. Removal from University community
viii. Referral to University disciplinary process
ix. Review or revision of University policies or practices
xi. Climate surveys
2. Obtaining Interim Measures
When the University has notice of an allegation of Prohibited Sexual Conduct, a qualified University staff member (such as a Graduate Life Dean, Residence Dean, Residence Fellow, Dean of Student Life, HR Manager, cognizant Dean, Title IX Coordinator or Deputy Title IX Coordinator) may impose interim accommodations or safety measures, which will generally remain in effect throughout the duration of the University investigation. In imposing interim measures, a qualified University staff member should consult with the Title IX Coordinator (for students) or the Sexual Harassment Policy Office (for staff or faculty). Interim Measures may include the same safety measures or accommodations provided above in section b.1.
3. Potential Accommodations in the Event of No Investigation
Even if the University decides not to confront the Responding Party because of the Impacted Party’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 Impacted Party’s request for confidentiality. The University’s response may be limited, however, by a request for confidentiality.
c. 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
Alternate Review Process, Office of Community Standards. An act of Prohibited Sexual Conduct is a violation of the Fundamental Standard governing student behavior.
The Office of Community Standards (650-725-2485) investigates all formal disciplinary complaints of student misconduct, including allegations of Prohibited Sexual Conduct, and files formal charges if the evidence supports the allegation. The Alternate Review Process is the disciplinary process at Stanford designed specifically to consider allegations of Prohibited Sexual Conduct with specially trained reviewers. Sanctions, for students found responsible for such a violation, range from a formal written warning, suspension for a period of time, or expulsion from the University. Mediation between parties is not available for cases of sexual assault or misconduct.
Stanford processes guarantee that the rights of students, including those of the Responding Party, are protected. The Impacted Party and the Responding Party may each choose to be accompanied by a person of his or her choice (a support person) at all stages of the disciplinary process. Both parties have the right to an appeal. The standard of review is preponderance of the evidence (i.e., more likely than not the alleged misconduct occurred) and both parties will be notified of the outcome in disciplinary matters. For more information, please see the process and procedures governing student disciplinary cases involving Prohibited Sexual Conduct.
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:
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, 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 University in conjunction with an individual’s request for confidentiality. 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 Impacted Party is aware they are protected from retaliation.
As required by the Clery Act, all disclosures to any University employee of an on-campus 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 (administrative process) or the Office of Community Standards (disciplinary process) then the Responding Party must be provided with the name of the Impacted Party and advised of the specific allegations.
It is a violation of Stanford University 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) and employment action (for employees). 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.
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 he or she wants 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 he or she wants 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 Impacted Parties 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.
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
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. Impacted Parties do not need to report matters to the police to be eligible to receive accommodations from the University under Section 8.b. 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 11, above, Medical Legal Evidence Collection). Victims have the right to request that law enforcement implement emergency protective restraining orders. Victims who receive emergency or permanent protective or restraining orders through a criminal or civil process should notify the University’s Title IX Coordinator, email@example.com. 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 Impacted Party 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 16: Resources at the end of this policy.
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:
2. How to Intervene Safely:
3. What can my friends and I do to be safe?
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.
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.
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 NotAlone.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 Sexual Assault Counselors:
• 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
|• 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
|• Title IX Office/Title IX Coordinator:
• SARA Office:
(650) 725-1056 or
| Residential Education/House Staff:
(Residence Deans, Resident Assistants,
Peer Health Educators, Residence 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.
|• 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.
|• OCS Alternate Review Process (ARP):
• Office of the General Counsel:
• Sexual Harassment and Policy Office:
|• Human Resources:
School of Medicine:
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
|• Restraining Order Information for San Mateo County, including additional referrals
• Restraining Order Information for Santa Clara County, including additional referrals
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”).
“Minor”: any person under the age of 18.
“Covered Program” is 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 children, 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; the method uses a fingerprinting device. For information on conducting a Live Scan check, contact University Risk Management.
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 his or her 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.
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 that outlines the requirements associated with Covered Programs and the responsibilities of Program Sponsors. 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.
Background Check Requirements for Program Staff Working with Minors
In recognition of the imperative of protecting Minors, unless specifically excluded under this policy, all Covered 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
Obligation to report certain criminal activity as required by the Clery Act
Appropriate ratio of adults to minors
Appropriate behavior with minors
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 Human Resources. For Covered Programs operated by third parties, the Third Party Program Director will be required to provide written confirmation that all adults who will interact with Minors in the Program have undergone training on these topics and have signed an acknowledgment their understanding of their obligations and agreement to comply.
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 still 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.
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|
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 the University’s Code of Conduct. In addition, all members must abide by the University’s Guidelines for Appropriate Behavior with Minors, at http://ProtectMinors.stanford.edu.
"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 or by a parent, guardian, or custodian/caretaker. Individuals 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.
This policy describes general information on the development of, administration of, and decisions about personnel policies at Stanford University.
Staff personnel policies and procedures have been developed on topics that are:
The policies and procedures are intended for supervisors and administrators to:
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.
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.
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.
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.
This policy reviews all phases of the recruiting and hiring process and the corresponding areas of responsibility.
All regular staff of the University and SLAC (as defined in Admin Guide Memo 2.2.2: Definitions), with some limitations:
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.
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 policy 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 of Human Resources.
Guide to Supervisors
Typical responsibilities for University Human Resources
Typical responsibilities for Local Human Resources Managers
Typical responsibilities for Hiring Supervisors
a. Equal Employment Opportunity & Affirmative Action
In accordance with all applicable law, it is the policy of University to:
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 2.2.1: General Personnel Policies' 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 Diversity & Access Office. If you believe the University is not in compliance with Title IX and its regulations, contact the Title IX Coordinator at 585 Capistrano Way, Stanford, CA 94305-8230. Or, call (650) 723-0755 [TTY at (650) 723-1216] or email firstname.lastname@example.org.
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
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:
(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 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 has 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 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 that 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:
(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, go to the Benefits website at http://benefits.stanford.edu or call (650) 736-2985 and press option 9.
Hiring Hospital Employees—See Guide Memo 2.1.4 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.
a. Job Descriptions
Before a job description is entered into the HRMS Applicant 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, go to Additional Base Pay 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.
(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
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 which 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:
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 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 the Office of Staff Employment, 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.
a. Employment Application Form
b. International Candidates
Please review Section 6, International Hiring, before selecting an international candidate.
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:
Local Human Resources Offices may provide consultation.
f. Background Checks
Stanford may conduct background checks on final candidates, as required. Additional background checking may be required in some job classifications (e.g., Deputy Sheriffs). Local Human Resources Offices will provide information on specific requirements. No offer of employment can be made before completing the hiring process, including a background check, if applicable.
g. Criminal Records
A criminal record will not automatically disqualify a job applicant. An applicant with a criminal record can only be barred from employment if the circumstances are reviewed by the local Human Resources Office and Employee and Labor Relations.
h. 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.
i. 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
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.
b. Employment Offers
(1) Timing of Offer
Employment offers should be made after:
(2) Offer Letter
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. Documentation and Record Keeping
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
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.
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 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 email@example.com. in University Human Resources and/or the Global Business Director in Business Affairs.
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.
Applies to regular employees (as defined in Guide Memo 2.2.2: 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 University Human Resources Department maintains its own centralized personnel files and should becontacted for specific procedural information relating to personnel files for SLAC employees.
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.
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.
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:
b. Payroll and Other Forms Maintained by Payroll:
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 University Human Resources manager if you are ever in doubt of what to retain and/or where to retain it.
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 his/her own local personnel files by requesting an appointment with the University Human Resources manager during regular business hours. An employee may review his/her own central personnel file by making an appointment with and presenting appropriate identification to the Payroll Office. At SLAC, make an appointment with Personnel Records group in University Human Resources.
A University 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 his/her 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, University 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 University 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 outsidethe University for employment references should be directed to the local human resource manager. Requests for information about SLAC employees should be referred to the SLAC University Human Resources Department. Information other than the dates of employment and job classification requires the employee's written consent before the release of information.
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 his/her 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 until the later of eight years following the date of termination or, if a claim is brought (e.g., grievance, lawsuit, or charge with state or federal agency), until the disposition of the claim is final.
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 Employee and Labor Relations or SLAC's University Human Resources before the destruction or purging of any personnel information.
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.
Applies to Stanford Health Care (SHC) employees who become University employees.
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.
For purposes of this Guide Memo, the following definitions apply:
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.
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.
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:
b. The SHS, LPCH, USHC or SHC hire date as defined in 1.b will be used to determine:
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.
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:
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:
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.
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.
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.
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.
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:
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.
This Guide Memo outlines Stanford University's compensation policies.
Applies to regular employees not covered by a collective bargaining agreement and Academic Staff-Libraries as defined in Guide Memo 2.2.2: 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:
It is Stanford University's policy to pay salaries that are market equitable and 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 the funds sources. It is also the intention of the University to set salary ranges that provide competitive pay opportunities comparable with relevant labor markets.
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 Provost and the Vice President for Business Affairs and Chief Financial Officer. 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 (secure site).
a. Work Week
The basic full-time work week is 40 hours of work on five consecutive 8-hour days. The standard week is a 7-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 Work week
Departments may establish other work week schedules or work arrangements to meet their requirements, including a work week that begins and ends on other days or hours than the basic work week (outlined in section 3.a), if approved in advance by a Human Resources Manager. 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 his/her work hours on one day and make up the hours not worked on another day during the same work week. 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 work week 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, provided the employees work at least three and a half hours per day. As far 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 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 Axess/People Soft HMRS. If a meal break is not provided, a one hour penalty must also be recorded.
h. Work Records
The Vice President of Human Resources recommends to the President compensation levels for different classifications and minimum and maximum rates for various salary ranges. The President establishes the official compensation levels and pay ranges. The Vice President of Human Resources 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 of Human Resources. Information on the current minimum wage rate is available from University 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
Increases in salaries recommended for staff employees shall be based on performance and contributions are not automatic. Internal pay relationships and relevant market information should be considered.
a. Employees Exempt from Overtime Compensation
(1) Definition of Exempt Employee
Certain employees are exempt from governmental regulations regarding compensation for overtime work. In general, employees are exempt when employed in executive, administrative or professional positions as defined by the Fair Labor Standards Act. Exempt University employees are not entitled to receive overtime pay.
The Vice President of Human Resources or his/her 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 his/her exempt status, must be discussed with the local Human Resources Manager for the area 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.
(2) Further Information
For regular non-bargaining unit staff and academic staff-libraries, contact your Human Resources Manager.
b. Overtime Entitlement
Any non-exempt employee 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.
a. Time and one-half: hours eight through 12
b. Double-time: hours after 12
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 Human Resources Managers for both areas 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.
"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.
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. Contact your local Human Resources Office if you are interested in exploring the option of implementing an alternative work schedule, and read the guidelines about Flexible Work Options.
a. Call-Back Time
"Call-back" time occurs when a non-exempt employee responds to an emergency call and returns to work outside his/her 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, andbe 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 2.2.2: Definitions. However, should an affected employee fail to respond to the page, he/she 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 2.2.2: 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.
Temporary additional compensation may be appropriate when an employee temporarily fills a position at a job level with a higher pay range maximum than his/her own for two or more months, but typically no longer than six consecutive months. The employee retains his/her 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 details, go to the Compensation website.
This Guide Memo describes University policy and procedures on accrual and use of vacation leave.
Applies to regular employees (as defined in Guide Memo 2.2.2: Definitions), Academic Staff - Research, and Academic Staff - Libraries, except Instructors and Clinician Educators in the School of Medicine. 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. Procedures for SLAC employees may vary.
a. Definition of "Period of Service"
"Period of service" means years of service counted from the employee's initial hire date as a "regular employee," as defined in Guide Memo 2.2.2: Definitions. Months which count as service are (1) those for which some pay is received, and, for the purpose of establishing the vacation accrual rate only, and (2) those following layoff when rehire occurs within 24 months. One month of service is counted whenever any service occurs during the month.
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:
|Years of Qualifying Status
|Per Hour on Pay Status||Approximate Days per Year|
|During first year||0.038470||10|
|Beginning year 2 through end of year 4||0.057700||15|
|Beginning year 5 through end of year 9||0.065390||17|
|Beginning year 10 through end of year 14||0.084620||22|
|Beginning year 15 and thereafter||0.092310||24|
|Years of Qualifying Status
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 any month an eligible employee receives any straight time (that is, not overtime) pay. "Straight-time pay" for the purpose of vacation accrual includes both straight-time pay for work performed and pay for holidays, vacation, and sick. (For more information, see Guide Memo 2.1.5: Compensation of Staff Employees.) Accrual for exempt employees is 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 by the end of each month of service.
(2) Vacation Does Not Accrue
No vacation accrues:
e. Maximum Vacation Accumulation
(1) Accrual Limits
Unused vacation accumulates from year to year, but the maximum amount of vacation that can be accrued is stated in the chart below. If the employee has accrued the maximum amount or is in excess of the maximum amount due to the annual reduction of the maximum, no additional vacation time may be accrued until vacation time is used and the balance falls below the maximum.
|Accrual Rate (days/year)||2009 Maximum Accrual (days/hours)||Effective 01/01/2010 Maximum Accrual (days/hours)||Effective 01/01/2011 Maximum Accrual (days/hours)||Effective 01/01/2012 Maximum Accrual (days/hours)|
(2) 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 of Human Resources. Exception is not granted unless approved by the Vice President of Human Resources.
(4) Change in Status
When a change in employment status (e.g., from full-time to part-time or from exempt to non-exempt) 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 immediately before the status change.
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 requirements, and should consider the employee's preferences. If an employee has not scheduled vacation, he/she 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
d. Use of Vacation for Non-vacation Absences
Vacation 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 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. above).
g. Terminal Vacation Payment
Employees who terminate regular staff employment receive a lump sum payment at their current rate of pay for their accumulated vacation. An employee who is retiring or an employee who is being permanently laid off may request to remain on the payroll after the last day of work by using accumulated vacation leave and PTO (called "terminal vacation"). An employee request for terminal vacation must be submitted in writing to the local Human Resources Office. However, in these cases sick leave, vacation, and PTO will not accrue or be credited after the actual last day of paid work and no holidays will be paid or credited. Sick leave cannot be utilized when on terminal vacation.
h. Leaves of Absence
A 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. Transfer of Vacation
When an employee transfers from one department to another within the University, accumulated vacation as of September 1, 2003, is transferred with an online expense transfer to the central vacation accrual account. Please refer to Vacation Balance Funding for guidance on how to account for transferred vacation.
j. Fixed-Term Appointees and Employees on Fixed Funding
Employees on fixed-term appointments and continuing 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) so that they normally receive shift premium pay continue to receive shift premium pay for hours charged to vacation leave.
a. Records and Reports of Vacation
Leave records must be updated at the end of each pay period for all regular employees. When an employee terminates, go to HR PeopleSoft Overview and look in the Termination section. When an employee transfers to another department, accumulated vacation as of September 1, 2003, is transferred with an online expense transfer to the central vacation accrual account. See Vacation Balance Funding for procedures. 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
Departments not currently using Axess should provide employees with written statements at the end of each fiscal quarter showing current vacation accumulation, current accrual rate, and the effective date of the current accrual rate. Departments are encouraged to provide accumulation reports on a more frequent basis if practical; e.g., monthly after accrual and usage data have been posted. Differences should be resolved promptly by reference to written records of attendance. In the absence of such record, departments normally accept the employee's certification of vacation used.
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.
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 2.2.2: 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.
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
c. No Sick Time Accrues
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:
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:
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:
(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.
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.
This policy summarizes the leaves of absence, paid and unpaid, approved by the University.
Applies to all regular employees as defined in Guide Memo 2.2.2: 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:
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
A regular employee may take time off from scheduled work for personal reasons with the supervisor's prior approval. An appropriate use of available PTO is to continue pay during winter closure. A full-time employee may use a maximum of 24 hours of paid time off for his/her personal reasons each year. The maximum allowance per year should be pro-rated for newly hired or rehired employees, and for part-time employees.
Personal Time Off (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 closure. 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.
|Guide to Supervisors: An employee is not obligated to explain how he/she intends to use personal time off. The supervisor's approval or denial of a request for PTO relates only to whether or not the department/work unit can accommodate the employee's absence.|
e. Reporting Personal Time Off
f. PTO Augmenting Disability Payments
Unless the employee applies to his/her 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. Death in the Family 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:
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.
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 2.1.6: Sick Time, 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 his/her 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 his/her 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 go to the Benefits website or call (650) 736-2985 (press option 9). The employee can re-enroll in benefits as soon as he/she returns to work in a benefits-eligible position.
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 of Human Resources (or his/her 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 of Human Resources (or his/her 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.
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 of 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.
This Guide Memo outlines Stanford University's policies and procedures for carrying out the separation of employment for regular employees and academic staff.
Applies to all regular employees and academic staff as defined in Guide Memo 2.2.2: 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.
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.
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.
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.
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.
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.
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.
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.
A discharge is an involuntary termination of employment from the University. See these resources for additional information:
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 HR 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 of Human Resources or his/her designee.
Discharged employees receive two weeks' notice, pay in lieu of notice, or a combination of pay and notice, except in any of these circumstances:
(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.
This Guide Memo describes the retirement income plans, health care coverage, and other perquisites available to employees who retire from the University.
This policy applies to all faculty, academic staff, and regular employees as defined in Administrative Guide Memo 2.2.2: 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.
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.
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.
Only current employees and former employees who have not been terminated for 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:
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:
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). 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 and press option 9 to discuss the effect, if any, on retiree health benefits.
b. Official University Retiree Benefit Program
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 and press option 9. When the recalled retiree terminates employment again, call Stanford Benefits at (650) 736-2985 and press option 9 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.
This Guide memo outlines the policy to resolve employee complaints at Stanford through a formal grievance process and is designed specifically for regular employees as defined in the "Applicability" section. The Grievance Process is intended to supplement, not replace, routine and informal methods of responding to and resolving employee complaints.
The Grievance Process is located in the Employee and Labor Relations section of the HR website at Labor Relations & Collective Bargaining.
Employee complaints covered by the Grievance Process include written corrective action and involuntary termination (including layoff) only. The Grievance Process does not include other employee complaints such as performance appraisals, compensation/benefits or job classifications.
Applies to all regular employees as defined in Guide Memo 2.2.2: Definitions. It does not apply to:
Regular and effective communication between supervisor 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 Grievance Process and resource offices such as the local Human Resources Office, University Human Resources/ Employee and Labor Relations, the Help Center and the Office of the Ombuds to assist employees in resolving employee complaints.
Before initiating Step 1 of the Grievance Process, the employee must make at least one informal attempt to resolve the complaint. 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 and Labor Relations, the Help Center or the Office of the Ombuds.
If the employee is unsuccessful in resolving his/her complaint informally, he/she may contact the Grievance Coordinator in University Human Resources/Employee and Labor Relations Department to file a formal grievance which typically involves a review by the Vice President of Human Resources (or designee) for resolution of the employee complaint.
The employee will act as his/her own representative at each step in the Grievance Process.
b. Support Person
The employee may choose to have a support person accompany him/her to the grievance hearing. The employee may select any one University employee who:
c. Outside Representation
The 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 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 Grievance Process will be terminated without any decision being reached and to avoid the possibility of conflicting determinations.
All times frames indicated in the Grievance Process are computed in calendar days unless noted otherwise. All parties involved in the 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.
University Human Resources/Employee and Labor Relations have primary responsibility for administering and coordinating the Grievance Process. In addition, University Human Resources/Employee and Labor Relations is the primary source of assistance for employees and supervisors who have questions or concerns pertaining to the Grievance Process.
No adverse action may be taken against any employee because of his/her participation in the Grievance Process.
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.
To be eligible for the Staff Development Program, an employee must meet all the following criteria:
Staff Training Assistance Program (STAP)
Staff Tuition Reimbursement Program (STRP)
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 Setion 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.
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.
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.
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 instituion 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:
Programs that are not covered:
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.
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
b. STRP Expenses
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.
Staff members who have utilized STRP are required to repay tuition and fees that were paid to STRP to an institution for coursework if:
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.
The supervisor should review the staff training assistance request and evidence of satisfactory completion, confirming the following:
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.
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.
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.
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:
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.
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.
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.
This Guide Memo describes University policy on designation of and payment for holidays. Review current designated holidays on the University Human Resources website.
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.
Regular 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. Temporary and casual employees are not eligible for paid holidays. To receive holiday pay, an employee must be on paid status on his/her regularly-scheduled work days before and after the holiday, except for employees on seasonal/temporary layoff, or approved leave status beginning the day after or ending the day before the holiday.
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|
|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|
|Day before Christmas||December 24|
|Floating Holiday||See Section 5 below|
|b.Guide to Supervisors
Supervisors are also encouraged to accommodate staff requests to use vacation, personal time off or floating holiday to observe days of religious or other special significance other than those days designated as University holidays.
A holiday which falls on Saturday is observed by the University on the preceding Friday and a holiday which 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.
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.
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. The floating holiday is prorated for employees working less than full time.
b. Reporting Floating Holiday Time
c. Floating Holiday and Winter Closure
Employees may "borrow" up to their full amount of floating holiday before it is credited 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 UHR website's Contacts page.
a. When Day of Holiday Observance Falls on a Scheduled Work Day and Employee Does Not Work on That 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
c. When Employee Works on Day of Holiday Observance
d. When Day of Holiday Observance Occurs While Employee is on Leave
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.
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.
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.
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.
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 or his/her 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 his/her designee determines the termination is for 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.
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 he/she 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.
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.
Send copies of appeals and dispositions to the Vice President for Human Resources.
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.
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:
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
During the trial period, the employment relationship between the employee and the University is "at-will." This means that it can be terminated by either the employee or the University at any time and for any reason, or no reason, with or without notice. In the event of a trial period termination, the employee may file a request for an administrative review as stated in Guide Memo 2.1.19: Administrative Review Policy. The provisions of Guide Memo 2.1.16: Addressing Conduct & Performance Issues, do not apply. The Vice President of Human Resources or his/her designee must approve such terminations.
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.
This Guide Memo provides guidance on when and how to use corrective action (including termination of employment) to deal with unsatisfactory performance, misconduct, or a combination of both.
Applies to all academic staff and regular employees (who have successfully completed the Trial Period) as defined in Guide Memo 2.2.2: 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.
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/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, or any other misconduct or acts detrimental to University operations.
Written corrective action and involuntary termination are subject to Guide Memo 2.1.11: 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 misconduct, warrant immediate termination.
The purpose of this policy is to make clear to supervisors and employees when corrective action or termination can be imposed.
It is the responsibility of the supervisor to provide honest and constructive performance feedback to his/her direct reports.
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).
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 HR 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 of Human Resources, or his/her designee.
This Guide Memo outlines Stanford University's policies and procedures for carrying out the temporary or permanent layoff of employees.
Applies to all academic staff and regular employees as defined in Guide Memo 2.2.2: 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.
The needs of the University for the services of its employees vary over time. Such changes in need for employees can be due to programmatic changes, reorganizations, changes in the ways the University will perform functions or meet its needs, to the cyclic needs for certain services, to needs for economy, to operational needs, to modified plans and/or goals, and/or to reduction and/or reallocation of funding sources, including mandated or discretionary budget reductions. When the University decides to eliminate positions, reduce work force, and/or carry out lesser amounts of particular kinds of work, it may separate employees from the workforce, either temporarily or permanently. Such separations are called layoffs. If a layoff is to be for a period of four months or less, the employee can remain on the payroll in an unpaid "temporary layoff" status. If a layoff is expected to be indefinite, or for a period longer than four months, the employee undergoes "permanent layoff" and is separated from employment with the University. An employee permanently laid off is eligible to apply for employment within the University, and may have an employment preference for hiring purposes (see Guide Memo 2.1.2: Recruiting & Hiring of Regular Staff). This Memo (2.1.17) provides policies and procedures for implementing layoffs.
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 administrative unit, work group, or department.
Management of the administrative unit, work group, or department decides which employees are to be placed on temporary layoff. (The Dean of Research will review all cases involving senior research associates or research associates.)
Employees to be placed on temporary layoff should be given as much notice as possible. Except in cases of emergency or in circumstances beyond the University's control, employees should be given two weeks' (fourteen calendar days) notice. Oral notice should be followed as soon as possible with confirming written notice (no later than the actual date of layoff). The written notice must include the effective date of layoff and the date the employee is instructed to return to work. Any change in the date to return to work should also be confirmed in writing.
d. Continuity of Service
There is no break in continuity of University service during temporary layoff.
e. Benefits Continuation
An employee on temporary layoff may continue to receive the University contributions toward health insurance and group life insurance, if the employee makes direct and timely payment to the University of the employee's own contributions. Vacation leave and sick leave continue to accrue during the temporary layoff as if the employee continued to work regular time.
Holiday pay is not continued during periods of temporary layoff unless the period of temporary layoff does not exceed 25 calendar days, in which latter case regular holiday pay for the employee's normally scheduled number of hours will be paid upon the employee's return to work.
g. Failure to Return to Work
If an employee on temporary layoff fails to return to work when scheduled to return to work or when recalled to work, the employee shall be terminated unless a leave of absence is requested and approved. Written notice of termination must be given 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.
A permanent layoff is the separation from University employment, due to a notice of layoff, of a regular staff employee who has completed the trial period.
b. Position Elimination or Reduction
When in the judgment of the University it becomes necessary within a department, an administrative unit, or a work group either to reduce the workforce or to reduce a particular kind of work, positions may be eliminated or positions may be reduced to lesser percentages of full-time. Whenever a reduction is planned which would result in:
and the position is not currently vacant, a potential for notice of permanent layoff exists. Under these conditions, the following policies for identifying and implementing the layoff apply. The process and implementation must be carried out in coordination with the local human resources manager in consultation with Employee and Labor Relations.
c. Policy on Selection for Permanent Layoff
The University will identify the administrative unit or work group where the permanent layoff(s) will occur. This management decision will not be subject to review.
d. Determination of Notice of Layoff
The elimination or reduction of a position as determined above will not result in a notice of layoff if:
Except in those three cases, the elimination or reduction of a position may result in a notice of layoff and in that event the sections below apply.
e. Notice or Pay in Lieu of Notice
f. Change in Layoff Status
A 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 his/her layoff date deferred to the end of the temporary assignment. A letter deferring the layoff must be issued to the employee with the new layoff date. Work can be within the same department or a different department. Each layoff can be deferred one time only. If the employee resigns after notification of the deferral, he/she 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 he/she was 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 his/her layoff rescinded. Under these circumstances, the department shall inform the employee by letter that his/her layoff has been rescinded. The employee is no longer in "layoff status," and will not receive severance pay if he/she resigns. An employee who resigns after receiving a letter of layoff rescission, but before receiving a new notice of layoff, will be considered a "voluntary resignation." For any future staff reductions, the department should follow the normal notice and layoff procedures of this Guide Memo. Employees who terminate regular staff employment receive a lump-sum payment at their current rate of pay for their accumulated vacation under the terms described in Guide Memo 2.1.6: section 2.f.
g. Policy on Payment of Severance Pay
Each eligible regular employee with one year or more of continuous University employment is eligible to receive a severance allowance on the date of permanent layoff from the University in accordance with the Severance Pay Table, provided a General Release of All Claims and Severance Repayment Agreement is executed. 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 previous laid off:
Severance pay is not payable until the expiration of any revocation period in the General Release of All Claims and Severance Repayment Agreement. Severance payment will generally be 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. See Severance Table below.
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|
1When 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.
2Base 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 will be calculated on the base monthly pay at the time of separation or the average base monthly pay earned over the preceding twelve months, whichever is greater.
h. Policy on Repayment of Severance Pay
i. Outplacement Services
Regular employees whose employment terminates due to layoff (and who are outside the new employee trial period of 12 months) will be eligible for three months of outplacement services to be used within six months of the date the employee receives written notification of his or her 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, in its sole discretion.
j. Medical Plan Coverage
Stanford will continue its contribution to a laid off employee's medical plan for the employee and his/her enrolled dependents during the first three months of COBRA coverage. To receive Stanford's contribution, the employee must complete the COBRA enrollment form, elect medical coverage, and return the form to the third party administrator within the required timeframe. 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.
Dental and Vision Coverage
The laid off employee pays 100 percent of the COBRA coverage, plus administrative fees, for dental and vision beginning with the first day of COBRA eligibility. The university makes no contribution.
k. Terminal Vacation
If the laid off employee elects to take terminal vacation as provided for under Guide Memo 2.1.6: Vacations, the repayment period for severance is based on the date the severance was paid.
Involuntary termination due to layoff is subject to Guide Memo 2.1.11: Grievance Policy.
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.
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.
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:
Contact your local Human Resources office with any questions about this information.
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.
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:
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:
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:
(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.
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
This Guide Memo outlines the formal process to resolve employee complaints at Stanford and is designed specifically for trial period, casual and temporary employees.
The Administrative Review Process is intended to supplement, not replace, routine and informal methods of responding to and resolving employee complaints. Employee complaints covered by the Administrative Review Process apply to involuntary termination actions only.
The Administrative Review Process is located in the Employee and Labor Relations section of the HR website under Grievance Procedures.
Applies to all trial period, casual, and temporary employees as defined in Guide Memo 2.2.2: Definitions. It does not apply to:
Regular and effective communication between supervisor 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 the Administrative Review Process and resource offices such as the local Human Resources Office, University Human Resources/Employee and Labor Relations, the Help Center, and the Office of the Ombuds to assist employees in resolving employee complaints.
Prior to initiating Step 1 of the Administrative Review Process, the employee must make at least one informal attempt to resolve the complaint. 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 and Labor Relations, the Help Center, or the Office of the Ombuds.
If the employee is unsuccessful in resolving his/her complaint informally, he/she may contact the Human Resource Grievance Coordinator in the University Human Resources/Employee and Labor Relations to file a formal request for an Administrative Review which typically involves a review by the Vice President of Human Resources (or designee) for resolution of the employee complaint.
The Administrative Review Process does not allow for outside representation of any kind at any step of the process. If at any time before or during the Administrative Review Process the employee chooses to elect action outside of the internal process (such as filing a charge with the EEOC, DFEH, other administrative body, or a lawsuit), the Administrative Review Process will be terminated without any decision being reached and to avoid the possibility of conflicting determinations.
All time frames indicated in the Administrative Review Process are computed in calendar days unless noted otherwise. All parties involved in the Administrative Review 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.
University Human Resources/Employee and Labor Relations have primary responsibility for administering and coordinating the Administrative Review Process. Also, University Human Resources/Employee and Labor Relations is the primary source of assistance for employees and supervisors who have questions or concerns pertaining to the Administrative Review Process.
No adverse action may be taken against any employee because of his/her participation in the Administrative Review Process.
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).
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.
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 reimbursements and advances associated with the move that exceed IRS guidelines as additional compensation income to the employee, subject to payroll taxes.
b. Reimbursement Not Tax-Reported As Additional Income
Reimbursements and advances of “qualified moving expenses” are not tax reportable as additional income. These reimbursements are reported as information only. IRS guidelines identify the following criteria for “qualified moving expenses:”
(1) The Job is:
(2) The Expense includes reasonable costs for:
(3) The People whose expenses qualify are:
c. Tax-Reportable Reimbursements
Additional reimbursements and advances allowed by Stanford's relocation policy and reported as additional income to the employee may include, but are not limited to:
d. More Information
Guidance on tax issues may be obtained from the Controller’s Office. Further information about tax reporting of moving expenses may be obtained from the IRS web site at http://www.irs.gov. Look for Publication 521.
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 of 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:
d. Preferred Carriers
The department or the individual being moved can go to Moving Services for information.
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 non tax-reportable moving reimbursements and advances per IRS guidelines (see section 1) include:
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.
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:
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.
All or part of the actual expenses associated with a new employee's travel to take up 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).
See section 4, House-hunting Expenses.
The cognizant vice president, vice provost, dean or designee defines reasonable costs. If further guidance is needed the following guidelines are suggested:
Tax Note: Tax-reportable items in en route/travel expenses include:
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.
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.
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.
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:
(2) Non-reimbursable Costs
Moving allowances exclude such items as:
Moving of laboratory supplies and equipment is a Stanford business expense, not subject to IRS reporting.
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.
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.
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.
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.
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:
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.
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.
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.
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.
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.
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.
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.
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.
Like other organizations in Silicon Valley, Stanford thrives on collaboration; sharing information and ideas is the cornerstone of our work in academics, research, and patient care. In the workplace, telecommuting is available for eligible staff employees at the discretion of the department and supervisors. Though telecommuting might be a viable option for some employees, it is not a right; see eligibility criteria for details. Decisions about the suitability of telecommuting are made within the school or business unit where the employee works. When a telecommuting arrangement is agreed to, a formal Telecommuting Agreement must be signed and then renewed annually, and the “SU Work-at-Home Office Safety Checklist” must be completed to ensure the designated workspace meets safety criteria, including an ergonomic assessment.
Applies to all regular employees as defined in Guide Memo 2.2.2: Definitions. It does not apply to:
Departments may consider telecommuting work arrangements that support eligible employees in performing their work at an alternative worksite when it is feasible and meets departmental goals. Telecommuting is available for eligible employees at the discretion of the department and supervisors. The specific procedures for evaluating/approving a telecommuting request are to be determined by the school or unit in a manner consistent with this policy. However, even where a telecommuting arrangement is approved, the employee must maintain a regular presence in the workplace and attend, in person, any meetings or functions.
Telecommuting is a voluntary option that may improve efficiency and productivity in some circumstances. However, while people may be more productive when they are alone, they are more collaborative and innovative when they are together. Like other organizations in Silicon Valley, Stanford thrives on collaboration; sharing information and ideas is the cornerstone of our work in academics, research, and patient care. Our culture values collaboration among members of the university community, particularly during core business hours. As a result of the emphasis placed on collaboration, the vast majority of work time is spent on campus where access to others is easily accomplished.
Though telecommuting might be a viable option for some employees, it is not a right. Many positions do not lend themselves to telecommuting. For non-exempt employees, given the nature of the work, telecommuting arrangements should only be considered in exceptional circumstances. Significant operations needs related to student services, patient care, laboratory/research support, supervision of employees and other work may require employees to be onsite. Decisions about the suitability of telecommuting are made within the school or business unit where the employee works.
Approved telecommuting on an infrequent, one-time, or irregular basis, occasional telecommuting requires supervisor approval, and does not require a telecommuting agreement.
Approved telecommuting (during normal work hours) on a regular basis, whether weekly, bi-monthly, or monthly. Regular telecommuting requires the approval of the supervisor, and HR Manager, as well as a signed telecommuting agreement. Additionally, regular telecommuting that exceeds two days per week requires the approval of the Dean, Vice Provost, or Vice President. Telecommuting agreements must be renewed annually.
The determination that a position may or may not be appropriate for a telecommuting arrangement is made on a case-by-case basis at the department level. Departments evaluate whether a position is suitable for telecommuting based on the nature of the work that is being performed.
Generally, requests to telecommute should be considered when:
Generally, requests to telecommute should not be considered when:
Telecommuting is not intended to permit staff to have time to work at other jobs, provide dependent care during work hours, or run their own businesses. Employees who telecommute must comply with all Stanford policies and procedures, including safeguarding and securing any restricted or confidential information with which they work. Failure to fulfill normal work requirements, both qualitative and quantitative, on account of other employment or activities, may be cause for disciplinary action or termination of employment. Employees who telecommute are expected to have regularly scheduled work hours, to be fully accessible during those hours, and to attend group meetings and functions in person. Non-exempt employees who telecommute are required to report their work hours and take required rest breaks and meal periods.
Departments will determine, with information supplied by the employee and the supervisor, the appropriate equipment needs for each telecommuting arrangement on a case-by-case basis. The university will maintain equipment supplied to the employee. The employee, if deemed appropriate by the department, will maintain equipment supplied by the employee. The university accepts no responsibility for damage or repairs to employee-owned equipment. The university reserves the right to make determinations as to appropriate equipment, subject to change at any time. Equipment supplied by the university is to be used for business purposes only. The telecommuter should sign an inventory of all office property and agrees to take appropriate action to protect the items from damage or theft. Upon termination of employment, all university property will be returned to the university, unless other arrangements have been made.
Duration of Telecommuting Arrangements
Telecommuting arrangements end 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 revoked at any time if it is determined to be in the best interest of the department or university.
A. Supervisor responsibilities:
B. Employee responsibilities:
To ensure a safe workplace can be maintained, the telecommuting agreement should clarify safety-related equipment/furniture needs and maintenance (as applicable). For any workplace health and safety-related questions, contact the SU Department of Environmental Health and Safety at 723-0448.
Positions are typically based at a university location at or near the main Stanford campus. Generally, telecommuting should not be used as an alternative to assigning an employee to report to a university location at or near the core campus. However, two exceptions may arise:
a. Employee requests for extended out-of-area or international location: Employee requests to work in an out-of-area or international location for an extended period of time require the approval of Dean, Vice Provost, or Vice President of the school/unit and the school/unit’s Senior Human Resources Manager. The Global HR Office and Global Financial Services must be consulted regarding any international employee requests prior to any decision, as there may be international laws and requirements that must be considered. Work authorization and tax rules in other countries may make such arrangements cost-prohibitive regardless of the level of approval. Any agreement must contain information regarding the university’s right to end the agreement if necessary.
b. Employees hired in an out-of-area location: Employees who are hired into positions assigned to work at non-campus locations are not considered to be telecommuting, as they are not assigned to a specific campus location. Approval for an out-of-area assignment must be obtained from the Dean, Vice Provost, or Vice President of the school/unit and the school/unit’s Senior Human Resources Manager.
An agreement between the telecommuting employee and the employee’s home department is required, and will be placed in the employee’s local personnel file. The telecommuting agreement may be modified or terminated any time, with appropriate notice. As circumstances, business needs, and job requirements evolve over time, adjustments and modifications may become necessary. At least two weeks notice should be provided whenever possible in advance of ending or changing the agreement. In all cases, telecommuting agreements must be renewed annually.
This Guide Memo describes paid sick time accrual and usage policies for temporary and casual staff employees.
Applies to all casual and temporary staff employees as defined in Administrative Guide Memo 2.2.2: Definitions. In this Guide Memo, these casual and temporary staff employees are referred to as “contingent employee(s).”
Contingent employees delineated in the Applicability section above accrue and use sick time as described below.
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:
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:
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:
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.
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 go to http://benefits.stanford.edu; 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 go to http://benefits.stanford.edu; they also may contact Liberty Mutual Insurance Company at (800) 896-9375 or submit a claim at www.mylibertyconnection.com (claimant service ID: stanford).
The policies in this Guide Memo are fundamental to Stanford University's employment policies.
This policy applies to all employees of the University.
a. 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 basic policy.
(1) 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.
(2) 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.
c. 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.
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 an adverse action taken against an individual because that individual has made a good faith complaint of discrimination or harassment or has participated in the investigation of a claim of discrimination or harassment. An adverse action is any action that materially affects that individual's terms and conditions of employment.
(1) 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:
(2) Concerns regarding sexual harassment or consensual sexual or romantic relationships in the workplace/educational setting may be made to the Sexual Harassment Policy Office (650-724-2120 or firstname.lastname@example.org) or to any Sexual Harassment Adviser listed at https://harass.stanford.edu.
(3) 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 email@example.com or 650-497-4955). or retaliation should be made in writing and as soon as possible: the earlier the report, the easier it is to investigate and take appropriate remedial action.
(4) Concerns regarding conduct believed to be unethical or unlawful may be made to the University Compliance and Ethics Office (at firstname.lastname@example.org or 650-721-2667). Anonymous concerns can be submitted to the Compliance and Ethics Helpline (at helpline.stanford.edu).
(5) Confidential resources: The University Ombuds (at 650-723-3682) and the School of Medicine Ombuds (at 650-498-5744) are also available as confidential resources to discuss concerns. Submitting complaints anonymously or to a confidential Ombuds Office will not constitute “notice” to the University.
f. Internal Reporting
Reports of discrimination, harassment, or retaliation should be made in writing and as soon as possible: the earlier the report, the easier it is to investigate and take appropriate remedial action.
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 investigating and remediating claims of discrimination, harassment and retaliation. All individuals covered by this policy are expected to fully participate and cooperate in the investigation of any claim of discrimination, harassment, or retaliation. Failure to participate and/or cooperate 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: http://elr.stanford.edu/grievance-procedures.
g. External Reporting
Discrimination, harassment, and retaliation are 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 harassment, discrimination, and retaliation claims, e.g., the U.S. Equal Employment Opportunity Commission (EEOC), the State of California Department of Fair Employment and Housing (DFEH), and/or the U.S. Department of Education's Office for Civil Rights (OCR). These agencies are listed in the Government section of the telephone book. A violation of this policy may exist even where the conduct in question does not violate the law.
This Guide Memo defines various types of academic and non-academic employees, and other groups who have a specified relationship with the University.
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.
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.
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.
Nonprofessorial academic staff is comprised of the teaching staff (Lecturers, Senior Lecturers, and Artists-in-Residence), research staff (Research Associates, 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.
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.
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
Appointees to these postdoctoral training titles are considered to be advanced students. They register as non-matriculated students. If they are employed by the University at least 10 percent time, they receive tuition remission.
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.
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:
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.
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.
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.
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.
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.
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 normally are 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.
These are the employees who are not "exempt" under federal and state overtime regulations. They must receive compensation for overtime work.
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.)
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.
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.
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.
All faculty and staff have one of the following appointment terms:
Without a specified duration or time limit.
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.
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.
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.
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.
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. Questions concerning whether an individual is an employee or an independent contractor should be directed to Human Resources or the Stanford Procurement Department. See Section 1.b.
b. Getting Help
In cases of doubt about an individual's status, contact Human Resources or Procurement/Special Contracts for advice. See "Hiring Contractors and Consultants".
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
Continuing employees are expected to remain on the payroll for six months or more (four months or more for Bargaining Unit employees).
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 2.2.2: 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
(2) Exempt or Non-exempt
See the definitions in Guide Memo 2.2.2. Employees who are exempt from the provisions of the Fair Labor Standards Act are not paid overtime.
a. Documentation of Eligibility for Employment
(1) Completing Form I-9
The department must submit a U.S. Citizenship and Immigration Services (USCIS) Form I-9, Employment Eligibility Verification, within three business days of employment for all new and rehired employees, including students. The employee must provide the department with evidence of eligibility to work in the U.S. Failure to comply with this requirement will result in ineligibility for employment and/or immediate termination.
(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. Failure to comply with this requirement will result in ineligibility for employment and/or immediate termination.
(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.
b. Tax Requirements
(1) Withholding Tax Information
New employees must complete a withholding declaration at hire. If the withholding declaration is not received before the deadline of the employee's first pay period, the payroll system will tax the employee as if the employee had claimed "Single" status with no exemption 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 residence. Texts of most treaties (in both English and the language of the other country) may be examined at the Government Documents Division of the University Libraries. Assistance is available from Payroll & Records, or for more information go to How to: Claim Tax Treaty for Salary Payments. To obtain an exemption from withholding, eligible employees must complete IRS Form 8233, Exemption from Withholding on Compensation for Independent Personal Services of a Nonresident Alien Individual, and the appropriate country attachment form (CO 8233 series). Forms and attachments are available in departments, Bechtel I-Center and Payroll & Records. Completed forms must be submitted to Payroll & Records.
(3) Social Security Number
Wages or salaries cannot be paid until an employee's Social Security number is in the PeopleSoft HR system. If the employee has submitted an application for a Social Security number to the Social Security Administration, Payroll & Records will accept a copy of that application so pay may begin.
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 to approve employee timecards (leave usage for exempt and non-exempt employees and work hours for non-exempt employees).
c. Charges to Projects, Tasks and Awards
The Controller's Office 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. This staff is required to take training and to sign a Confidentiality Statement.
(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) Salary Guarantee Activity/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.
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. 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 listed in the PeopleSoft Human Resources database. Employees may elect to have their W-2 Statement sent to them electronically at https://axess.stanford.edu, enabling download into tax preparation software programs. The University also sends copies of Form W-2 to the Federal and State governments.
b. 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.
c. Student Employees
Students who take jobs with the University while pursuing their studies are paid through the University payroll. Stanford student employees do not pay Social Security taxes or Disability Insurance.
d. 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.
e. Research and Teaching Assistants
Research and teaching assistantships are taxable, and tax is withheld from the semimonthly check.
f. Non-California Residents
All employees who physically work in California are treated as California residents for California tax purposes.
g. Tax Status of Non-U.S. Residents
Salaries and wages paid to aliens come 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 aliens are handled by the Internal Revenue Service and the California Franchise Tax Board. The Payroll & Records Office can assist aliens in filling out University-required forms and can provide a copy of tax information published by the Federal and State governments.
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 http://benefits.stanford.edu.
b. Other Authorized Deductions
The University has authorized voluntary payroll deductions for payments to certain organizations (such as the Stanford Faculty Club). Employees are sent notices of the availability of this procedure in each case. 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 & Records.
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
Payroll deductions for benefits cease during leaves of absence without pay. If that happens, the employee 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 2.2.2: Definitions) and when employment terminates. At that time, terminated employees may call Stanford Benefits at (650) 736-2985 (press option 3) 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.
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 Semimonthly Paychecks and Advices
Pay statements are provided for all employees electronically at https://axess.stanford.edu. Payroll & Records distributes live paychecks and paper pay statements for Bargaining Unit employees through interdepartmental mail. Other employees who wish to receive a paper pay statement must select this option at https://axess.stanford.edu.
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 & Records for handling. Paychecks issued in error must be returned to Payroll & Records 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 & Records 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 & Records in order to process the final paycheck.
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 terminates or changes departments, accumulated vacation as of September 1, 2003 is transferred with an online expense transfer to the central vacation accrual account computed in the same manner. (See Guide Memo 2.1.6: Vacations, and Policy Notes: Vacation Balance Funding). For more information about policy on accrual and use of vacation leave; contact Financial Information & Reporting Systems (FIRS) in the Controller's Office. The Vacation Accrual template found at How to: Calculate Vacation Accrual be used to calculate vacation when an employee terminates or transfers.
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.
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.
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.
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.
“Smoke-free” refers to an environment that is free of smoke from, among other things, tobacco products and/or vapors from electronic smoking devices.
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.
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.
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.
This policy will be disseminated to all faculty, staff and students and to all new members of the University Community.
This Guide Memo outlines Stanford University's policies and procedures for employee requests for disability-related accommodations.
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.
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.
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 723-2191; Medical School 725-8607; SLAC 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 Mariposa House, 585 Capistrano Way, (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.
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:
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.
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.
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, Mariposa House, 585 Capistrano Way, telephone 723-0755, FAX 723-1791, for assistance in resolving the disagreement.
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.
Applies to all Stanford employees, certain individuals who are not Stanford employees (as defined in the Policy section) and students.
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.
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.
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.
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.
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 & Management Services (for staff) or the Dean (for faculty).
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.
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.
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 Web site 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.
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.
Generally, as of February 2006 it is a criminal offense:
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.
The policy is applicable to all Stanford University employees, including faculty, staff and students.
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).
a. Department Managers are responsible for:
b. Departments providing required University-wide training are responsible for:
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.
Questions about this policy may be directed to Learning & Organizational Effectiveness at (650) 723-4635 and email@example.com. This office chairs the University Training Advisory Committee.
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.
This Guide Memo provides specific guidelines for conferring non-taxable gifts or awards upon eligible University employees.
This policy applies to all faculty, academic staff, and regular staff as defined in Guide Memo 2.2.2: Definitions.
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.
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.
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:
The length-of-service/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 and/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 award should not exceed $400. 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 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 Associate Controller that oversees Disbursements. (See the Financial Management Services Organization Chart.
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 certificates 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 as part of a special event or celebration that marks the occasion, such as a departmental meeting, party, or luncheon. 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/Directors/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 nontaxablegifts.
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.
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.
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).
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 verficiation 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.
For more information about employee gifts, please contact the appropriate local human resources manager.
This policy provides guidelines for responding to violence or threats of violence in the workplace, including all University locations.
Applies to all Stanford University employees, and to all individuals who, while not Stanford employees, perform work at Stanford for its benefit.
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.
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.
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.
(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.
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) 723-2191 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.
(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.
This Guide Memo presents policy for hiring and/or reassigning out-of-state employees.
This policy applies to all Stanford University employees, including SLAC and employees covered by collective bargaining unit agreements.
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 2.2.2: Definitions, are considered employees for the purpose of this Guide Memo. Consultants and contractors are not covered by this Memo.
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.
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.
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.
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 http://benefits.stanford.edu.
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.
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 at (650) 736-2985 and press option 9. 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.
For information about coverage, eligibility, enrollment, benefits and costs, go to Stanford Benefits.
The plan brochure for this insurance is available in the Benefits Resource Library online; just type "BTA" in the Keywords or Title search box of the webpage.
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 at (650) 736-2985, Option #9. 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.
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.
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 available at http://benefits.stanford.edu/ or call (650) 736-2985 and press option 9.
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 at (650) 723-7400 for assistance.
The University provides Health Plans for eligible employees. This Guide Memo provides details on eligibility and links to further information.
This policy applies to regular employees (as defined in Guide Memo 2.2.2: 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.
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 dependentsmay also be enrolled. Additional information is available at Stanford Benefits. Exceptions (not eligible): Temporary employees, employees working less than 50% time, Stanford students, visiting scholars and postdoctoral fellows.
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) at Stanford Benefits or by calling (650) 736-2985 (press option 9). 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 at Stanford Benefits or by calling (650) 736-2985 (press option 9). It includes information on eligibility, benefits and participants' rights under each plan and federal law, and certain other subjects.
a. New Hire
Faculty and staff may enroll themselves and dependents in a medical and/or dental plan by completing the online enrollment at Stanford Benefits 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, go to Stanford Benefits and click on Life Event.
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.
For the current University contributions to medical and dental plans go to Stanford Benefits and click on Resource Library.
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.
This Guide Memo describes a tuition grant program for children of faculty and staff and auditing privileges for Stanford University courses.
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.
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. It is available from http://hreap.stanford.edu/tgp.html, or call (650) 736-2985 (local) or (877) 905-2985 (toll-free) and press the option for TGP. 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.
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.
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.
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).
Information about eligibility for University Housing Programs can be found on the Faculty Staff Housing website or by calling (650) 725-6893.
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.
Faculty Staff Housing (FSH) administers the University's housing programs, and monitors eligibility requirements and guidelines for the programs.
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 firstname.lastname@example.org. 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.
This Guide Memo describes medical and other disability-type leaves, and the coordination of these types of leave with University benefit plans.
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 2.2.2: Definitions.) For policies that apply to employees covered by a collective bargaining agreement, refer to the agreements at Labor Relations & Collective Bargaining.
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 your local Human Resources Office and Stanford Benefits or (650) 736-2985, option 4. 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 www.mylibertyclaim.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:
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.
DLS updates the employee's Axess/PeopleSoft record and works with Stanford's benefits vendors and the local Disability Leave HR Contact. For more information see the HR Data Services website.
(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
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:
Definition of "Serious Health Condition"
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
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
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.
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.
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.
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.
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.
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.
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.
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.
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 (Axess/PeopleSoft HRMS). 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.
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
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 Stanford Benefits website or by calling (650) 736-2985, press option 9. For information on SDI, go to the Employment Development Department's website at www.edd.ca.gov.
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 Benefits website at http://benefits.stanford.edu, or call (650) 736-2985, press option 9.
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)
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:
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 (Axess/PeopleSoft HRMS). 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.
If an employee has been overpaid, the employee must reimburse the University for the overpayment either by direct payment or through payroll deduction.
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)
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.
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.
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 in the Resource Library of the Stanford Benefits website.
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.
This Guide Memo lists some of the services and resources available for faculty, staff and students, and gives references for obtaining additional information.
Stanford University provides resources and services to support employees and students in balancing their work/family/personal lives.
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.
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.
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.
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 http://uhr.stanford.edu/directors-managers-and-administrators-schools-and-units or call 650/725-8356. If you are in the School of Medicine, call 650/725-8607; 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. See http://elr.stanford.edu/contact-elr or call 650/723-2191. If you are in the School of Medicine, please call 650/725-8607. If you work at SLAC, contact SLAC Employee/Labor Relations at 650/926-2358.
c. The 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
Contact the Ombuds' Office and Mediation Center for impartial dispute resolution. See the Office of Ombuds website or call 650/723-3682. If you are in the School of Medicine, please call 650/498-5802.
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.
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.
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.
This Guide Memo contains policies on obtaining entry visas for foreign nationals visiting Stanford and links to web pages detailing procedural information.
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.
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 (I-Center). See Working with the I-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 (email@example.com)
c. Foreign Student Advisor
Assists students with immigration, social, cultural and adjustment issues. The office is located at Bechtel International Center (firstname.lastname@example.org)
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 http://icenter.stanford.edu/
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.
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.
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.
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 these petitions are the sole responsibility of the individual foreign national unless otherwise agreed in writing by the sponsoring department and the foreignnational, with the exception that the $500 USCIS fraud fee associated with H-1B petitions, whichmust be paid by the sponsoring department.
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).
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.
This policy applies to all Stanford University employees and students.
a. Publicly Available Information
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 allows faculty, staff and students to change, protect and preview information published about them in Stanford directories.
(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.
Official online directory of Stanford University at http://stanfordwho.stanford.edu/, contains directory information for and about current Stanford students, faculty and staff, including people affiliated with the University, the Hospital and SLAC National Accelerator Laboratory (SLAC). Stanford community members may choose to keep some or all of their contact information private in the public and Stanford-only versions of the directory. See 1.a (1) above.
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. It 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:
University distribution lists may not, for example:
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:
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.
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 Axess on the web (https://axess.stanford.edu) or by using StanfordYou for service related information (e.g., email settings). See StanfordYou for details. Faculty and staff may change their own personal demographic information in StanfordYou; work-related changes are made in PeopleSoft HRMS by human resources administrators.
(1) Stanford.Who: See 1.a (3) above.
(2) Listings in the Printed Stanford Directory: See 1.a(2) above.
(3) Axess: A web service that faculty, staff and students use to complete many administrative tasks.
(4) Corrections to Source Systems: Changes made through StanfordYou and Axess go to the Person Registry and then to PeopleSoft Student Administration 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 http://www.stanford.edu/dept/itss/infrastructure/registry/project/ for more details.
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 PeopleSoft 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 change and/or keep private 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 PeopleSoft HRMS.
Changes to retiree information are entered by the Benefits Office, on receipt of written instructions from the retiree. Only emeriti are included in StanfordWho.
(1) Person Registry
PeopleSoft HRMS feeds data to the Person Registry.
(2) Mailing Labels
PeopleSoft HRMS can generate mailing labels for specific populations. For advice on options available, departments should consult with Mail and Delivery Services.
The PeopleSoft Student Administration database 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 Axess, https://axess.stanford.edu, and StanfordYou.
(1) Person Registry
PeopleSoft Student Administration sends data to the Person Registry.
(2) Student Records
PeopleSoft and ReportMart Student Administration 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 from ReportMart for business purposes.
(3) Applicant Information
Undergraduate and graduate applicant demographic information is contained in PeopleSoft, ReportMart and Stanford's web application 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 application vendor, ReportMart, and PeopleSoft Student Administration.
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:
b. Sources of Information
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.
Data on parents of Stanford students is forwarded to Development Operations and PostGRADS by the Stanford Parents section of the Development Office, 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 Operations by various other sections of the Development Office.
c. How Data Changes are Made
Development Operations 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:
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 Senior Director of the Stanford Fund and Operations. 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 Operations may make changes to PostGRADS biographic and gift information. The Managing Director of Development Operations acts as coordinator in resolving questions that may arise in application of University policies on use of PostGRADS.
This Guide Memo lists identification cards used at Stanford University and indicates their uses.
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 Identification Card is to identify and document these relationships.
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.
The following types of ID Cards are issued by the Stanford Card Office. A more detailed description of eligibility criteria for and the privileges granted by ID Cards may be found at Stanford IT Services. 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 2.2.2: 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 2.2.2.
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 2.2.2.
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. Visiting Scholar Card: issued to academic and research visitors who:
(1) are not considered to be Stanford students; (2) are invited by a school, department or other Stanford entity to visit the University without being paid as faculty members or employees; and (3) either holds a doctoral degree or are recognized experts in their field. Individuals entitled to Visiting Scholar Cards must be resident at Stanford for a minimum of one quarter and contribute to Stanford's academic and research mission either by lecturing or actively collaborating with Stanford faculty or students on current Stanford research. A Visiting Scholar Card will be issued to an individual who provides an invitation that is (1) signed by the appropriate dean or program, institute or center director; (2) includes dates of residency at Stanford; and (3) identifies the sponsoring Stanford individual or entity.
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) Staffs 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.
Identification Cards may be issued only by the Student Services Center (for students) or Information Technology Services (all others). For the purposes of this policy, the Student Services Center and Information Technology Services will be individually and collectively referred to as the Stanford Card Office.
(1) The ID Card photo should 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:
(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, Visiting Scholar 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 appropriate 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 Identification Cards to other Stanford offices or departments so long as the authorization is in writing and signed by the Director of Card Services, or for student ID cards, the Director of the Student Services Center. 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 Identification Cards 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 any staff (including hired students and contractors) who will participate in Identification Card distribution.
c. Expiration Date
Identification 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 Visiting Scholar Cards: Fellow and Visiting Scholar Cards are valid only for the period specified in the Fellow's evidence of admission or the Visiting Scholar's invitation (in either case, unless terminated sooner). Fellow and Visiting Scholar Cards respectively will specify the expiration date contained in the Fellow's evidence of admission or the Visiting Scholar'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.
(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, Visiting Scholar 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.
The privileges enabled through use 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, Visiting Scholar 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. Non-holders of ID Cards may be able to access certain DAPER facilities by purchasing a guest card. Information about guest cards is located on the DAPER Physical Education, Recreation and Wellness website.
b. Libraries: The Stanford University Libraries and Academic Information Resources ("SULAIR") has written regulations governing the use of its libraries. Access to many of these libraries, and borrowing privileges at all of them, are through use of either the ID Card or library-issued cards. Access to the collections of Lane Medical, Jackson Business, Hoover Institution, Robert Crown Law, and Stanford Linear Accelerator Center Libraries (each a "Coordinate Library") is determined by each Coordinate Library. 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. If an individual does not have an ID Card, or their ID Card does not allow the library access or borrowing privileges required in order to complete their Stanford-related work, instructions for requesting such access or borrowing privileges may be found at Stanford University Libraries web site.
The Stanford Card Office, and certain other departments at Stanford, issue cards which are not considered to be Stanford Identification 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 paper card issued annually or for a specified period, to the children of faculty and staff. Before issuing a Dependent Card, DAPER must verify the parent's "Faculty/Staff" Stanford Card.
d. Library Cards
Issued by SULAIR and Coordinate 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 which provides access to campus buildings. Policies and procedures related to the issuance and use of these cards are established by the issuing department.
This Guide Memo describes the University's property and liability insurance coverage.
For information on other insurance coverage, see:
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.
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:
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.
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.
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.
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.
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:
(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 y