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

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

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

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

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

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

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

d. Committees
The eight standing committees of the Board are the Committee on Finance; the Committee on Development; the Committee on Alumni and External Affairs; the Committee on Academic Policy, Planning and Management; the Committee on Land and Buildings; the Committee on Audit and Compliance; the Committee on the Medical Center; and the Committee on Trusteeship. Standing committees meet prior to each regular Board meeting unless otherwise directed by the Chair.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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:

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:

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

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

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 privacyofficer@stanford.edu.

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

a. Ownership
The University is the owner of a number of marks registered with the United States Patent and Trademark Office. These include:

• STANFORD®
• STANFORD UNIVERSITY MEDICAL CENTER®
• Block "S" with tree
• Stanford University seal

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 trademarks@stanford.edu.

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:

(1) Accuracy
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:

• To the Provost for use in connection with educational and research activities, including courseware and related materials developed for teaching at Stanford (see Research Policy Handbook 9.2, Copyright Policy and for special events (see Guide Memo 8.2.1: University Events)
• To the Vice President for Business Affairs and Chief Financial Officer for use in connection with business activities of Stanford or by vendors (including promotional use)
• To the Dean of the School of Medicine for use in connection with medical activities
• To the Director of University Communications for use in film, video, print and electronic media, including the University's home pages on the Web
• To the General Counsel

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:

• "John Smith, Professor of Psychology at Stanford University," on a book jacket
• "Stanford Center for Buddhist Studies," as approved in accordance with the Committee on Research "Annual Report for 1996-97: Attachment A, Guidelines for the Establishment and Review of Centers at Stanford University"
• "Stanford Conference on Law," when approved by the cognizant Dean or Department Chair and operated as a University special event

Examples requiring written approval and/or a license from the University:

• Use of the Stanford name on any product that will be sold commercially, such as Stanford sweatshirts
• Use of the Stanford name in the title of a book, such as "The Stanford Guide to Perpetual Youth"
• Use of the Stanford name in the title of a test that will be sold commercially, such as "The Stanford Test of Psychic Abilities"
• Use of the Stanford name in a course that will be marketed or otherwise used outside the University, either by a University official or by a third party, such as "The Stanford Seminar on Successful Startups"
• Use of the Stanford name as part of the name of any outside business or other activity, such as "Stanford Worldwide Online Group, Inc."

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 trademarks@stanford.edu.

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.

d. Artwork
Camera-ready artwork of the Stanford name and marks is generally provided as part of the License Agreement.

e. Fees
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 trademarks@stanford.edu 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 trademarks@stanford.edu 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.

(3) Goodwill
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.

c. Termination
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.

d. Construction
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.

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 trademarks@stanford.edu.

The following policies include related information:

• Guide Memo 1.4.1: Academic and Business Relationships with Third Parties
• Guide Memo 1.5.1: Political Activities
• Research Policy Handbook Chapter 9, Intellectual Property
• Guidelines for the Establishment and Review of Centers at Stanford University, (Committee on Research, Annual Report for 1996-97, Attachment A)
• Conference and Event Policies and Procedures

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 privacyofficer@stanford.edu or the individual listed in section 4.b as responsible for compliance.

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

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

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

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

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

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

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

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

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

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:

• Computer and Network Usage. See section 2.c in Guide Memo 6.2.1: Computer and Network Usage Policy.
• Library Circulation Records. See Stanford University Libraries policy on Disclosure of Borrower Information.
• University Student Housing. See Stanford residence agreement terms for limited circumstances in which student residences may be accessed.

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.
(4) Recommending privacy policy and policy changes in all areas related to privacy at Stanford;
(5) Chairing the Data Governance Board; and
(6) Facilitating special privacy-related situations.

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

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

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

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

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.

a. State of California Constitution, Article 1

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

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

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

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

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

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

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

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

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

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

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

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.

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

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

The University’s Policy on 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:

• For information, consultation, advice or to lodge a complaint, contact the Sexual Harassment Policy Office at 556 O’Connor Lane, Griffin Drell Residence, Room 101 Stanford, CA 94305-8210, (650) 724-2120; email to harass@stanford.edu. Note:Anonymous inquiries can be made to the SHPO by phone during business hours.
• The Sexual Harassment Policy Office web page at http:/harass.stanford.edu.
• Any designated Sexual Harassment Adviser or resource person listed in Sections 3.a or 5.a.
• For incidents involving students, Catherine Criswell, Title IX Coordinator at (650) 497-4955, titleix@stanford.edu, Non-discrimination Resources. 

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.

a. Consultation
Consultation about sexual harassment is available from the Sexual Harassment Policy Office, Sexual Harassment Advisers including residence deans, human resources managers, employee relations specialists, counselors 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:

• Counselors at Counseling and Psychological Services (CAPS),
• Counselors at the Faculty & Staff Help Center, 
• Deans at the Office for Religious Life at Memorial Church
• The University Ombuds, 
• The Medical Center Ombuds

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, Catherine Criswell, Title IX Coordinator at (650) 497-4955, titleix@stanford.edu.

(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, jphogan@stanford.edu.

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.

• For staff, refer to Guide Memo 2.1.11: Grievance Policy, or Frequently Asked Questions on the grievance process.
• For Academic Staff-Librarians and Academic Staff-Research Associates, refer to the Research Policy Handbook at Grievance Procedure: Academic Staff.

(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.

a. Investigations
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.

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

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

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

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

b. External Reporting
Sexual harassment is prohibited by state and federal law. In addition to the internal resources just described, individuals may pursue complaints directly with the government agencies that deal with unlawful harassment and discrimination claims, e.g., the U.S. Equal Employment Opportunity Commission (EEOC), the Office for Civil Rights (OCR) of the U.S. Department of Education, and the State of California Department of Fair Employment and Housing (DFEH). 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.

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:

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

c. What is Consent?
Consent is an affirmative 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?
Incapacitationmeans 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.

1. For students, Stanford University Confidential Sexual Assault Counselors are available 24 hours a day: Office: (650) 736-6933. After Hours Hotline: (650) 725-9955.
2. Counseling and Psychological Services (CAPS) at (650) 723-3785.

3. For all University community members, the YWCA Rape Crisis Hotline is available 24 hours a day at (650) 493-7273 or (408) 287-3000.

c. You are encouraged to seek medical attention and a medical-legal examination for evidence collection purposes. Please see Section 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:
Catherine Criswell, Title IX Coordinator, 2nd Floor, Mariposa House, 585 Capistrano Way, Stanford, (650) 497-4955, titleix@stanford.edu. 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, harass@stanford.edu, a Human Resources Representative or a Sexual Harassment Adviser at harass.stanford.edu/help/advisers. Please note that requesting interim measures or accommodations will result in a formal notification to the University.

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:

• Catherine Criswell, Title IX Coordinator, titleix@stanford.edu, (650) 497-4955
• All other reports should be made to the Sexual Harassment Policy Office:
  Sexual Harassment Policy Office, harass@stanford.edu, (650) 724-2120

b.  What to Report
For University staff members who are required to report Prohibited Sexual Conduct, the following information (if known) should be provided:
• Name of 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:

• Student-Related Matters. Student-related Prohibited Sexual Conduct will be investigated under the Title IX Sexual Harassment, Sexual Assault, Sexual Misconduct, Relationship (Dating) Violence and Stalking Administrative Policy and Procedures, whether the accused (Responding Party) is a student, faculty or staff member, post-doctoral scholar or third party. Both parties have the right to appeal. 
• Staff Investigations. Following an investigation, a staff member may file a grievance under Guide Memo 2.1.11: Grievance Policy.
• Senior Staff. Following an investigation, a staff member may seek administrative review as provided in Guide Memo 2.1.14: Senior Staff.
• Employees covered by collective bargaining agreements. Please refer to Labor Relations & Collective Bargaining.
• Trial period, casual or temporary employees. Following an investigation, an employee may seek administrative review under Guide Memo 2.1.19:  Administrative Review Policy.
• Academic Staff–Librarians and Academic Staff–Research Associates. Following an investigation, please refer to the Research Policy Handbook at Grievance Procedure: Academic Staff.
• Faculty. Please refer to the Faculty Handbook.

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
v.    Escorts
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
x.    Training
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:

• Addressing Conduct and Performance Issues (staff), Administrative Guide 2.1.16, and the policies described above in Section 9.a. above.
• Faculty Handbook—Statement on Faculty Discipline (faculty).

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, titleix@stanford.edu. The University will work with the victim and the person who is the subject of the restraining order to manage compliance with the order on Stanford’s campus.

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

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

2. How to Intervene Safely:

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

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

• Take care of each other.  Remember these tips when you are out.
• Have a plan.
  Talk with your friends about your plans BEFORE you go out. Do you feel like drinking? Are you interested in hooking up? Where do you want to go? Having a clear plan ahead of time helps friends look after one another.
• Go out together.
  Go out as a group and come home as a group; never separate and never leave your friend(s) behind.
• Watch out for others.
• If you are walking at night with friends and notice a woman walking by herself in the same direction, ask her to join you so she doesn’t have to walk alone.
• Diffuse situations.
• If you see a friend coming on too strong to someone who may be too drunk to make a consensual decision, interrupt, distract, or redirect the situation.  If you are too embarrassed or shy to speak out, get someone else to step in.
• Trust your instincts.
• If a situation or person doesn’t seem “right” to you, trust your gut and remove yourself, if possible, from the situation.

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

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

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

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

Medical Resources²

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

Campus Resources³

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

Legal and Advocacy Resources

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

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

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

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

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

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

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.

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:

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

b. Payroll and Other Forms Maintained by Payroll:

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

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

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

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

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.

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

1. Records for Non-Exempt Employees
   Federal and state laws require non-exempt employees to keep an accurate daily record of hours actually worked, including actual start and stop times and meal breaks. The human resources management system (Axess/PeopleSoft HRMS) is the system of record to indicate hours worked, overtime hours, vacations, sick time, holidays and other time off by each non-exempt employee. In that system, records must be updated by the end of each pay period, but it is recommended that employees update their actual work hours each work day. Supervisors (or their departmental designees) must approve non-exempt employees' time records and must approve any variance from the employees' normally scheduled work hours.
2. Records for Exempt Employees
   Records of vacation and sick leave accumulation, vacation and sick leave taken, and other leave time off must be maintained for all exempt regular employees. For exempt employees it is not necessary to report any vacation, PTO or Floating Holiday time less than four hours. For reporting purposes of four or more hours, record a minimum of four hours or the actual time taken if over four hours. Sick time may be taken in any increment. In the case of intermittent Family and Medical Leave, the local Human Resources Manager must be consulted to insure that (a) accurate records are maintained of time used for Family and Medical Leave, and (b) the employee's sick leave balance is properly reduced for time charged to intermittent Family and Medical Leave.
   The human resources management system (Axess/PeopleSoft HRMS) is the system of record and entries in that system must be updated by the end of each pay period. Supervisors must approve leave usage records for exempt employees. Also see Guide Memo 2.1.6: Vacations, Guide Memo 2.1.7: Sick Time, and Guide Memo 2.1.8: Miscellaneous Authorized Absences.
3. Records for Non-Employees
   Stanford is not required to keep a record of hours for consultants or employees of another employer with whom the University has a contract for service.

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.

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

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

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

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

a. Time and one-half: hours eight through 12
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.

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

b. Guidelines
Guidelines for Flexible Work Options.

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

d. Alternative Work Schedule Election
Upon secret ballot election by affected employees conducted in strict compliance with applicable laws, and with the concurrence of management, non-exempt employees may work an "alternative work week," such as four 10-hour work days, with the understanding that no overtime premium will be due unless the employee works more than 40 hours in any one week, or the supervisor compels the employee to work more than the agreed upon hours in any work day. No alternative work schedule for non-exempt employees may be implemented unless it meets all legal requirements and prerequisites and is reviewed in advance by Employee & Labor Relations. 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.

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

b. Accrual of Sick Time

• Eligible employees accrue sick time as follows:
  • Exempt employees accrue sick time at the rate of 8 hours per month of full-time pay.
  • Non-exempt employees accrue sick time at the rate of .046154 hours per hour of straight time. This equates to 96 hours or 12 days a year in an average year of 2,080 straight time hours.
  • For part-time and part-month employment, sick time is credited on a prorated basis for any month an eligible employee receives any straight-time pay. Straight-time pay for this purpose includes both straight-time pay for work performed and pay for holidays, vacation and sick. Accrual for exempt employees is based on the proportion of the employee's FTE.
• Unused sick time accumulates from year-to-year, with no maximum limit.
• When Changing Positions: When an employee leaves one position and accepts another one within the University, the employee's sick time balance is transferred to the new department.
• No Advance: Sick time must be credited to an employee before it can be used.
• During temporary layoff (see Section 2 of Guide Memo 2.1.17: Layoffs), sick time accrues as if the employee continued to work regular time.

c. No Sick Time Accrues

• During periods of leave with or without pay beginning 8/1/05 or later, including short-term disability, long-term disability, Worker's Compensation and Family Temporary Disability wage replacement (FTD).
• During any period of vacation taken by a terminating employee after the employee's last day of actual work.

a. When an employee's illness or injury prevents the employee from working.

b. Medical and Dental Appointments
Time off for all medical and dental appointments, including those associated with a work injury (e.g., physical therapy), is charged to sick time, vacation or PTO. Supervisors are encouraged to explore flexible work schedules to accommodate medical appointments outside regular working hours when possible. However, employees may be asked to schedule appointments at a time convenient for the department.

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

d. During Vacation
When an employee is hospitalized or confined to bed by medical direction while on vacation, the time of hospitalization/confinement should be charged to accumulated sick time. If appropriate, a claim should be filed for disability plan benefits. See Guide Memo 2.3.5: Disability and Family Leaves.

e. During Winter Closure
Accrued sick leave may be used during Winter Closure only in limited circumstances and with the approval of Liberty Mutual, the University's leave administrator. All requirements for using sick leave remain the same.
(1) If the employee had been on an approved medical leave due to his/her own disability immediately prior to Winter Closure.
(2) If the employee becomes disabled or ill during Winter Closure and receives approval for the disability through Liberty Mutual (see Guide Memo 2.3.5: Disability and Family Leaves, for instructions on filing a disability claim).
(3) If the employee receives approval through Liberty Mutual to care for a sick or disabled family member during Winter Closure.

f. Family and Medical Leave
(1) Family Sick Leave
Employees may use maximum of 15 sick days during a calendar year of service (January 1 to December 31) when illness or injury in the employee's close family requires the employee's absence from work. For the purpose of this policy, close family includes only the employee's:

• spouse or same-sex domestic partner
• children, and children of the spouse or same-sex domestic partner
• parents and parents-in-law
• brothers and sisters
• grandparents or grandchildren, or
• other family member dependent on the employee and living in the employee's household.

(2) Employees may also file for Family Medical Leave (FML). For more information, see Guide Memo 2.3.5: Disability and Family Leaves.

g. Use of Sick Time to Maintain Pay during Disability
Unless the employee applies to his/her department for an exception, which is approved, the University uses an employee's accrued sick time to maintain the employee's base pay during times when the employee is receiving disability benefits payments. See Guide Memo 2.3.5: Disability and Family Leaves.

Unacceptable Use of Sick Time:
Use of Sick Time during Terminal Vacation: Employees may not use sick time while on termination vacation.

a. Notification of Absence
The employee reports the absence (or planned absence) to the supervisor. The department is responsible for establishing and communicating rules on how employees notify the department of absences.

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 employees. Records must be updated each pay period for all employees who used sick time. See Guide Memo 2.1.5: Compensation of Staff Employees, for more information. For information about Axess see this 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
Acceptable medical evidence may be required for the use of sick time. The supervisor who approves the use of sick time is responsible for confirming that the conditions for use of sick time are met. Acceptable evidence includes, but is not limited to, personal contact with the employee and a doctor's statement that certifies a medical need for sick time, the expected duration of absence, and any limitations (and duration) when the employee is released to return to work.

f. Applying for Disability
An 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.

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. Definition
A resignation is a voluntary termination of employment initiated by the employee. Resignations should be confirmed in writing (see Guide to Supervisors below). A confirmed resignation may be withdrawn at the sole discretion and written approval of the supervisor and the local Human Resources office.

b. Guide to Supervisors
For planning purposes the University requests that employees notify their supervisors as soon as possible of any intention to resign. At least two weeks' prior notice of resignation is expected from non-exempt employees. At least four weeks' prior notice is expected from exempt employees. Supervisors should request that the employee submit a written statement of resignation that includes the date of, and reasons for the resignation. If the employee does not provide a written statement, the supervisor should confirm the oral resignation in writing.

At the supervisor's discretion, along with approval from the local Human Resources Manager, the employee's resignation date may be advanced to an earlier date and pay in lieu of notice given for the remainder of the expected notice period (two weeks for non-exempt employees; four weeks for exempt employees). Pay in lieu of notice may not exceed four weeks.

a. Definition
Retirement occurs when an employee who meets the eligibility requirements for an Official University Retiree voluntarily terminates from employment. See Guide Memo 2.1.10: Staff Retirement.

b. Guide to Supervisors
Upon notification of an employee's intended retirement, supervisors should counsel employee to attend a Retirement Workshop presented by the Benefits Department at least 2-3 months before retirement. Find a list of dates and times at the Benefits website in the Events Calendar section.

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. Definition
A fixed-term appointment is an appointment for which a planned termination date is established and recorded at the time the employee is hired or appointed.

b. Policy
An employee hired or appointed for a fixed-term is terminated by the department at the end of the appointment unless an extension or reappointment has been approved.
(1) Notice
At the time of appointment, the department is to notify a fixed-term employee in writing of the planned termination date. Most Academic Staff appointments have additional requirements regarding notice of either non-renewal or renewal. Consult with the policies specific to those appointments for further guidance.
(2) Grievance Procedure not Applicable
A termination occurring because of the expiration of a fixed-term appointment is not considered a discharge for cause and not subject to any grievance procedure.
(3) Separation Prior to Planned Termination Date
A fixed-term employee may be involuntarily terminated for cause or laid off before the planned termination date of his/her fixed-term appointment. See Guide Memo 2.1.17: Layoffs and Guide Memo 2.1.16: Addressing Conduct & Performance Issues.

a. Definition
A discharge is an involuntary termination of employment from the University. See these resources for additional information:

• Guide Memo 2.1.16: Addressing Conduct & Performance Issues.
• For trial period discharges, see Guide Memo 2.1.15: Trial Period.
• For information about the separation of employment of senior staff, see Guide Memo 2.1.14: Senior Staff.
• For a layoff, see Guide Memo 2.1.17: Layoffs.

b. Policy
With the exception of Trial Period and Senior Staff, employees cannot be terminated without some form of cause as defined in Guide Memo 2.1.16. A supervisor must consult with the local 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.

(1) Notice
Discharged employees receive two weeks' notice, pay in lieu of notice, or a combination of pay and notice, except in any of these circumstances:

• Misconduct, e.g., theft, assault, actions that are detrimental to or disrupt the reputation or operations of the University.
• Facts that lead the University to conclude the employee has abandoned the job.
• Failure or inability of the employee to return to work at the end of an authorized absence, e.g., temporary layoff, leave of absence or vacation.
• Other unauthorized absence from work.

(2) Grievance Policy Applies
A termination resulting from conduct and/or performance issue is considered a discharge for cause and subject to Guide Memo 2.1.11: Grievance Policy.

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.

a. Self-Representation
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:

• is not employed as a lawyer,
• is both willing and able to work with the employee seeking grievance resolution without impairing his/her own work duties, and
• receives his/her supervisor's approval.

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.

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:

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

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

c. Floating Holiday and Winter Closure
Employees may "borrow" up to their full amount of 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

• Full-time and Part-time Exempt Salaried Staff
  Full-time and part-time exempt salaried staff receive regular pay for the day.
• Full-time Non-exempt Regular Employees
  Full-time non-exempt regular employees receive regular pay for the straight-time scheduled hours for the day.

• Part-time Non-exempt Regular Employees
  Part-time non-exempt regular employees receive pay either for their straight-time hours scheduled for the day, or for the number of hours obtained by dividing their normal number of scheduled weekly work hours by five days, whichever is greater.

b. When Day of Holiday Observance Falls on Employee's Scheduled Day Off and Employee Does Not Work on That Day

• Full-time Exempt Salaried Employees
  Full-time exempt salaried employees receive another day off with pay in the same calendar year, or when the employee's department determines that another day off is not feasible, eight hours are added to personal time off effective January 1 of the following calendar year.
• Part-time Exempt Salaried Employees
  (a) When a normal work schedule is the same number of hours daily for five days per week, the employee receives another day off with pay. However, if the employee's department determines that time off on another day is not feasible, the hours are added to personal time off.
  (b) When work schedule is four or fewer days per week or varying numbers of hours daily during each week, the employee receives time off with pay on another work day for the number of hours obtained by dividing the normal number of weekly hours by five days. However, if the employee's department determines time off on another day is not feasible, the hours are added to personal time off.
• Full-time Non-exempt Regular Employees
  Full-time non-exempt regular employees receive another day off with regular pay, or when the employee's department determines another day off is not feasible; the employee receives an extra day's pay at one and one-half times the straight-time rate.
• Part-time Non-exempt Regular Employees
  Part-time non-exempt regular employees receive another day off with regular pay on another workday either for the straight-time hours normally scheduled for the alternate day off, or for the number of hours obtained by dividing the normal number of weekly work hours by five days, whichever is greater.

c. When Employee Works on Day of Holiday Observance

• Full-time and Part-time Exempt Salaried Employees
  Full-time and part-time exempt salaried employees may receive partial or full compensatory time off when authorized by the supervisor as appropriate for the operational circumstances.
• Full-time Non-exempt Regular Employees
  Full-time non-exempt regular employees receive time and one-half pay for the hours worked on the holiday and either another day off with regular pay in the same pay period, or, when time off cannot be provided, eight hours of extra pay (including shift premium, if applicable).
• Part-time Non-exempt Regular Employees
  Part-time non-exempt regular employees receive time and one-half pay for the hours worked on the holiday and either time off with pay for the same number of hours within the pay period, or, when time off cannot be provided, extra pay for this number of hours.
• Temporary or Casual Employees
  Temporary or casual employees, including student employees, receive the established straight-time rate of pay for the time worked or the overtime rate if any time actually worked exceeded eight hours in a day or 40 hours in a work week.

d. When Day of Holiday Observance Occurs While Employee is on Leave

• When the employee is on vacation, sick leave, or other paid leave from which the employee is expected and scheduled to return to work, the time shall be charged as a paid holiday rather than as vacation, sick leave, or other paid leave.
• When the employee is receiving Long-Term Disability payments, he or she will not receive holiday pay.
• When the employee is on a seasonal/temporary layoff period not exceeding 25 calendar days, regular holiday pay for the employee's normally scheduled number of hours will be paid upon the employee's return to work.
• When the employee is on an unpaid leave of absence, he/she will not receive holiday pay.

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:

• Hired into another position following permanent layoff, or
• Given formal notification of permanent layoff, or
• Given notice that layoff will result if the employee does not obtain alternative employment in the same department or administrative unit.

If the employee does not complete the layoff trial period successfully, then the employee may revert to layoff status and receive any benefits that may accrue to that status. Reversion to layoff during the layoff trial period may be invoked either by the employee or by the department.

An employee may serve only one layoff trial period following any one layoff, and may invoke the option to revert to layoff status only once. If hired into a second job (either a subsequent or a simultaneous job), the employee does not serve a layoff trial period. Extension of layoff trial period or completion of layoff trial period is handled as described for the trial period.

f. Termination During Trial Period or Layoff Trial Period
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.

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. Definition
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.

b. Selection
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.)

c. Notice
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.

f. Holidays
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. Definition
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:

• the elimination of a position, or
• the reduction of a position to less than 75% time, or
• the reduction of a position from regular to non-regular status,

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.

• Reduction of Work Force
  Within the administrative unit, department, or work group, the management will determine those functions or job classifications to be affected by the reduction in work force or of a particular kind of work. This management decision will not be subject to review.
• Selection for Layoff
  Within the functions or job classifications affected, temporary and trial-period employees will be terminated before regular staff employees are selected for layoff, provided the employees remaining in the group possess sufficient skills and abilities to do the work required.
  (a) Management will determine the selection of employees for layoff or retention based on its judgment of the current and prospective operational requirements and the employee's performance, skills, abilities, and competence necessary to meet those requirements.
  (b) When skills, abilities, performance, and competence of employees necessary to meet the current and prospective operations requirements are deemed by the management to be substantially equal, then length of continuous employment with the University and the University's affirmative action commitments will be considered in selecting employees for layoff, reassignment, or retention.

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:

• The position is occupied by an employee still in the trial period in which case the employee undergoes termination during the trial period (Guide Memo 2.1.15: Trial Period), or
• The position is occupied by a fixed-term employee whose fixed term of employment concludes at the same time as the position eliminated or reduced, or
• The position is occupied by a temporary employee, in which case the temporary employee will be terminated, or
• The position is occupied by an employee who prior to notice of layoff elects to remain an employee of the University in the reduced or any other position obtained, full or part time, regular or non-regular.

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

• Notice
  In cases of permanent layoff the department must give at least one-month's (e.g., June 15 through July 14) written notice but no more than three months' written notice. When pay is given in lieu of notice, one month is the maximum period for which such payment can be made.
• Early resignation
  If an employee resigns after having received written notification of permanent layoff, the balance of the notice period will not be converted to pay. However, the employee, if eligible, remains eligible to receive severance pay in accordance with the terms of this policy and the schedule below (see section g.)
• Layoff of Academic Staff
  When layoffs of research associates or librarians occur for programmatic reasons, the employee must be given at least three months written notice. When pay is given in lieu of notice, three months is the maximum period for which such payment can be made. When layoffs of research associates or librarians occur for non-programmatic reasons, such as lack of available financial support, the employee must be given at least one month written notice, or when pay is given in lieu of notice, a maximum of one month's pay.

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:

• Determine the severance pay eligibility (in months of base pay) from the table below.
• Subtract the eligibility corresponding to the number of months of severance pay previously received.
• Add back in any months or part months of severance pay previously repaid to the University (see paragraph h).

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.

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

• If an employee who has received severance allowance is reemployed by the University as a regular benefits-eligible employee before the end of the severance pay eligibility period (see Table in Section g), the employee may retain only that portion of the severance pay equal to the base pay he/she would have earned if not laid off (i.e., only the base pay the employee would have received between the dates of layoff and rehire). The balance of the severance pay is to be repaid in full at the time of reemployment unless a reasonable schedule of repayment and payroll deduction, not to exceed one year in length, is authorized in writing by the employee on a form provided by Employee and Labor Relations.
  Severance repayment will be prorated for an employee rehired into a position with a lower percentage time commitment than the position from which the employee was laid off. An employee may request other arrangements, and, if approved, the schedule of repayment will be established by written agreement between the employee and the Vice President of Human Resources. (In the case of senior research associates, research associates, and all levels of librarians, such other arrangements shall be between the employee and the Provost's Office.)
• An employee who has received severance pay under the terms of a collective bargaining agreement and is reemployed by the University in a position which is not covered by that collective bargaining agreement shall be considered a new employee with length of continuous service with the University only from the date of reemployment for purposes of any future severance calculation unless the severance allowance is repaid in accordance with h(1).

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.

l. Grievance
Involuntary termination due to layoff is subject to Guide Memo 2.1.11: Grievance Policy.

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.

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.

Occasional Telecommuting
Approved telecommuting on an infrequent, one-time, or irregular basis, occasional telecommuting requires supervisor approval, and does not require a telecommuting agreement.

Regular Telecommuting
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:

• The employee (including those who supervise other employees) has demonstrated sustained high performance, and when the manager believes the employee can maintain the expected quantity and quality of work while telecommuting.
• The department can maintain quality of service for students, faculty, and other members of the university community.
• Telecommuting is appropriate considering the nature of the job.

Generally, requests to telecommute should not be considered when:

• The job requires the employee’s physical presence or telecommuting would harm the school or department’s efficiency.
• The employee’s current assignment requires frequent supervision, direction or input from others who are onsite or requires that the employee provide frequent supervision, direction or input from other employees who are onsite.
• The employee’s performance evaluations do not indicate sustained high performance or the ability to work independently.
• The employee’s observed productivity levels are problematic or tracking and confirming work hours is difficult (as in the case of non-exempt employees).
• The employee has received disciplinary action or has a demonstrated attendance problem.
• The employee has less than six months of service in the administrative unit or school.

General Expectations
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:

1. Before telecommuting begins, ensure employees perform a workplace health and safety inspection of their designated workspace (refer to the “SU Work-at-Home Office Safety Checklist”), including an ergonomic self-assessment of their computer workstation.

• Ensure employees perform periodic workplace health and safety inspections (as described above) after telecommuting begins (for office spaces, recommend on an annual basis).

2. Maintain inspection and corrections of deficiencies records for a minimum of one year.
3. Ensure any deficiencies identified from inspections are corrected in a timely manner.

B. Employee responsibilities:

1. Before telecommuting begins, and on a periodic basis thereafter, perform workplace health and safety inspections of the designated workplace (using the resources described above).
2. Provide completed inspection documents to their supervisor.
3. Correct any identified deficiencies in a timely manner.
4. Maintain the alternative workspace free from workplace health and safety hazards and inform their supervisor of any new workplace health and safety hazards needing correction.
5. Immediately report to his/her supervisor any work-related illness or injury suffered while telecommuting and complete required forms.

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.

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.

a. Acting Professor, Acting Associate Professor, Acting Assistant Professor, Acting Instructor

b. Visiting Professor, Visiting Associate Professor, Visiting Assistant Professor, Visiting Instructor, Visiting Lecturer

c. Consulting Professor, Consulting Associate Professor, Consulting Assistant Professor, Consulting Instructor

d. Adjunct Clinical Professor, Adjunct Clinical Associate Professor, Adjunct Clinical Assistant Professor, Adjunct Clinical Instructor
See Voluntary Clinical Appointments and Faculty Handbook Chapter 6: Adjunct Clinical Faculty

e. (By Courtesy) Appointments

f. Teaching Specialist
 

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:
http://med.stanford.edu/academicaffairs/CEs/,
http://med.stanford.edu/academicaffairs/handbook/chapt8.html, and
http://med.stanford.edu/academicaffairs/handbook/chapt5.html.

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:

a. Continuing
Without a specified duration or time limit.

b. Fixed-term
Employees who meet the definition of regular staff employees and appointed for a fixed duration with a specified ending date. Fixed-term employees are subject to University policies applicable to regular staff except as those policies may be modified by the specific terms of their fixed-term offer letters or other written employment contracts or agreements.

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.

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.

• Ashtrays will not be provided in any enclosed University building or facility.
• "Smoking Prohibited" signs will be posted.

b. Outdoor Smoking Areas
Except where otherwise posted as a "smoking prohibited area," smoking is generally permitted in outdoor areas, except during organized events. Outdoor smoking in non-prohibited areas must be at least 30 feet away from doorways, open windows, covered walkways, and ventilation systems to prevent smoke from entering enclosed buildings and facilities. To accommodate faculty, staff and students who smoke, Vice Presidents, Vice Provosts and Deans may designate certain areas of existing courtyards and patios as smoking areas, and must provide ashtrays. The specific academic or administrative unit(s) will be responsible for absorbing all costs associated with providing designated smoking areas and ashtrays.

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.

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.

a. Employees
As a condition of employment, all Stanford employees are expected to report to work in a condition that enables them to perform their job duties, with or without reasonable accommodation, in a safe manner that does not jeopardize their own safety or the safety of others.

Employees are prohibited from being under the influence of controlled substances or alcohol while at work. "Under the influence" is a condition where an employee's sensory, cognitive, motor functions or job related capabilities are affected, impaired or diminished and may be exhibited through various behaviors including slurred speech, difficulty walking, red eyes, erratic or threatening behavior, the odor of alcohol, etc. (Note: Lawfully prescribed prescription drugs used in accordance with their instructions are not subject to this policy.)

Employees who unlawfully manufacture, distribute, dispense, possess or use controlled substances or unlawfully use, possess, or distribute alcohol in the workplace, on the campus, or as part of any University activity will be subject to discipline up to and including termination of employment. Employees required to obtain Commercial Drivers Licenses to drive vehicles heavier than 26,000 pounds, vehicles placarded for the transportation of hazardous materials, and/or vehicles designed to carry 16 or more persons are subject to a protocol of testing for the use of drugs and alcohol in accordance with DOT guidelines. Employees at SLAC National Accelerator Laboratory must comply with SLAC's Fitness for Duty policy.

b. Students
Students are bound by this policy and the Stanford Student Alcohol Policy.

c. Others on Campus
Individuals who are not Stanford employees, but who perform work at Stanford for its benefit (e.g., independent contractors, temporary employees provided by agencies, visitors engaged in joint projects at Stanford or volunteers) are required to comply with this policy. Such individuals who violate this policy may be barred from further work for and at Stanford.

d. Rehabilitation
Successful completion of an appropriate rehabilitation program (including participation in aftercare) may be considered evidence of eligibility for continued or future employment or for reinstatement of student status.

e. Reporting of Convictions
An employee who is convicted (including a plea of nolo contendere) of a criminal drug statute violation occurring in the workplace or on Stanford property must, notify Stanford University of the conviction within five days after the conviction. Notification must be in writing to the local human resources office, the Associate Vice President of Employee & 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.

a. Communication
Supervisors must make sure that employees are aware of Stanford's Controlled Substances and Alcohol Policy and understands that violation of this policy is a serious matter and cause for disciplinary action including possible termination.

b. Consultation with Human Resources
If and when an employee is suspected of violating this policy, the supervisor should consult with the local human resources office to plan and carry out an appropriate investigation and resolution of the situation.

c. Impaired Performance on the Job: Under the Influence of Controlled Substances or Alcohol in the Workplace
Performance problems on the job can have many causes. In discussions with an employee concerning any performance problem, the supervisor should offer to help the employee determine the source of the problems and offer guidance on appropriate assistance, counseling or other resources.

When job performance has become impaired, the supervisor should take normal corrective action, beginning with discussion with the employee. When the behavior of an employee on the job raises safety concerns for the employee and/or others in the workplace, the supervisor must take immediate action and prohibit the employee from continuing on the job until it is determined that he/she is fit to return to work and perform safely. Specific actions to be taken depend on the facts of the particular situation. Supervisors should consult with their local human resources office and document any cases of suspected employee impairment while at work.

In a situation when the employee acknowledges to the supervisor that poor performance or unacceptable conduct results from a substance or alcohol abuse problem, the supervisor should urge the employee to seek help from a qualified substance abuse treatment resource. If the employee requests a leave of absence for a rehabilitation program, the supervisor should take normal steps to review the leave request. After a review of the situation, any misconduct, performance issues or policy violations which occur before, or coincident with, a voluntary admission of impairment may form the basis of disciplinary consequences up to and including termination.

d. Testing for Drugs and Alcohol
Supervisors of employees who are required to obtain a Commercial Drivers License to drive vehicles weighing more than 26,000 pounds, vehicles placarded for the transportation of hazardous materials, and/or vehicles designed to carry 16 or more persons are responsible for making sure the appropriate tests for the use of drugs and/or alcohol are administered through a suitable drug testing service provider. The department/ school is responsible for managing the testing process and determining if the use of an outside vendor is needed for this purpose.

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.

APPENDIX

Generally, as of February 2006 it is a criminal offense:

• to illegally manufacture, sell, distribute or possess controlled substances (those listed in Schedules I through V of the Controlled Substances Act (21 U.S.C.812) (21 U.S.C. 828, 841, 844, 859, 860)
• to unlawfully possess or possess for sale controlled substances specified in California Health and Safety Code 11054, 11055, 11056, 11057, 11058
• to possess, cultivate, sell or possess for sale marijuana (CA Health and Safety Codes 11357, 11358, 11359)
• to use or be under the influence of a controlled substance (CA Health and Safety Code 11550)
• to transport, sell, or distribute marijuana to a minor or to use a minor to transport, sell, or distribute marijuana (CA Health and Safety Code 11361)
• to possess, furnish or manufacture drug paraphernalia (CA Health and Safety Code 11362 et seq.)
• to provide any alcoholic beverage to a person under 21 or to any obviously intoxicated person (CA Business and Professions Code 25658; 25602)
• to be under the influence of alcohol in a public place and unable to exercise care for one's own safety or that of others [CA Penal Code 647(f)]
• for persons under 21 to have any container of alcohol in any public place or any place open to the public (Business and Professions Code 25662)
• to operate a motor vehicle while under the influence of alcohol or other intoxicants or with a blood alcohol level of .08% or higher (CA Vehicle Code 23152)
• for any person under the age of 21 to operate a motor vehicle with a blood alcohol level of .05% or higher (CA Vehicle Code 23140)
• to have an open container of alcohol in a motor vehicle and for persons under 21 to drive a vehicle carrying alcohol or to possess alcohol while in a motor vehicle (CA Vehicle Code 23223; 23224)
• to have in one's possession or to use false evidence of age and identity to purchase alcohol (CA Business and Professions Code 25661)
• for any person under age 21 to purchase alcohol (CA Business and Professions Code 25658.5)