Appointments, Reappointments and Promotions in the Professoriate
Last updated: Febuary 23, 2016
Revised Chapter 2 sets forth the faculty lines, appointment ranks, terms of appointment, and operational policies and procedures for appointments, reappointments and promotions in the Stanford University Professoriate, as defined in Section 1.2.E of this handbook to include the Tenure Line, the Non-Tenure Line, Senior Fellows and Center Fellows at designated policy institutes, and the Medical Center Line. The Statement on Appointment and Tenure, which provides the historical foundations for many of these provisions, is located in Chapter 4 (“Core Policy Statements”) of this handbook.
The criteria for professorial appointments, reappointments and promotions are found in the appointment forms in Appendix B to this handbook, along with other guidelines relevant to these processes. Note that various schools may have school-designated policies and practices that must be followed, and those carrying out search and review processes are urged to consult their Dean’s offices for the pertinent information.
The Tenure Line ranks are:
Persons appointed to any of the above-designated ranks, at either full or part-time, are in the Tenure Line, unless specified to the contrary in the appointment papers and in writing to the individual. Individuals may also be appointed in the Tenure Line as an Assistant Professor with a “Subject to Ph.D.” contingency. (See Section 2.6.A)
Tenure Line appointments are made either for a term of years or “without limit of time” (which is commonly referred to as “with tenure”). The total length of time spent in untenured term appointments in the Tenure Line at any rank may not exceed seven years, except in specified circumstances described in the guidelines below. The usual duration of an appointment (subject to relatively rare exceptions granted by the Provost for good cause and on a case-by-case basis) for each rank is:
According to the Statement on Appointment and Tenure (see Chapter 4 of this handbook), tenure is defined as security of appointment which continues to the date of academic retirement. Tenure Line appointments (including reappointments and promotions) that are “without limit of time” carry tenure. Tenure may also be acquired by length of service.
2.1.D(1) Appointment, Reappointment, or Promotion Without Limit of Time
2.1.D(2) Tenure By Length of Service
Tenure may also be acquired by length of service.
Full time service in the Tenure Line faculty at Stanford at the ranks of Professor, Associate Professor, or Assistant Professor (or a combination thereof) beyond seven years confers tenure by length of service. Individuals holding appointments “Subject to Ph.D.” do not accrue time toward tenure by length of service. As described below, various circumstances may extend the seven year tenure clock deadline (and thus the date on which tenure by length of service would be conferred).
For appointments beginning after August 31, 1996, however, untenured service in a Tenure Line rank may not normally exceed ten years, irrespective of the circumstances that might extend the seven year tenure clock deadline described below in Section 2.1.D(2)c. Accordingly, untenured service in a Tenure Line rank beyond ten years confers tenure by length of service. The ten year appointment clock deadline can only be extended by a Provostially-granted exception for extraordinary personal or institutional circumstances.
In determining tenure by length of service, both the seven year tenure clock deadline and the ten year appointment clock deadline must be calculated. Departments and schools are expected to accurately track and calculate both deadlines. Faculty members with questions about the seven year tenure clock and ten year appointment clock deadlines and clock policies and exceptions should contact their Dean’s Office or the Provost’s Faculty Affairs Office.
SUMMARY OF TENURE AND APPOINTMENT CLOCK POLICIES
Section 2.2 ACADEMIC COUNCIL PROFESSORIATE: NON-TENURE LINE
All members of the Non-Tenure Line faculty are members of the Academic Council of the University. (See Section 1.2.F) Because they are not in the Tenure Line, they do not accrue time toward tenure by length of service.
The Non-Tenure Line ranks are:
In everyday usage, the parenthetical designation may be removed from the titles of Assistant Professors, Associate Professors and Professors holding Non-Tenure Line appointments, but it must remain in the titles in personnel files, CVs, appointment and promotion papers, administrative records and other similar documents.
Appointments to Academic Council ranks in the Non-Tenure Line are for a term of years or for a continuing term. The usual duration of an appointment (subject to relatively rare exceptions granted by the Provost for good cause and on a case-by-case basis) for each rank is:
2.2.C(1) Term of Years Appointments
Although term appointments are frequently made with the clear possibility of reappointment or promotion, there is no entitlement to such action at the end of the term and it is by no means automatic. Instead, decisions on reappointment and promotion, like decisions on initial appointment, are subject to the exercise of professional and scholarly judgment and discretion by the University’s departmental faculty and academic leadership.
Appointments to the Non-Tenure Line (Research) ranks or as Professor (Applied Research), even if stated as for a term of years, are normally coterminous with continued salary and other research support from sponsored projects, or the continuation of contract support. Should such funding cease, the appointment normally would end at that same time. Although University funding beyond the point at which the faculty member’s funding support terminates may be possible in certain instances, it is not an entitlement. Such situations are handled on a case-by-case basis. See Section 2.6.C regarding coterminous appointments.
2.2.C(2) Continuing Term Appointments
A continuing term appointment does not confer tenure. It provides security of appointment without requiring further formal reappointment. Continuing term appointments may be terminated for just cause or (upon proper notice) when satisfactory performance ceases or for programmatic reasons (including funding considerations).
Individual schools may adopt a schedule of periodic reviews of individuals holding continuing term appointments to evaluate performance and/or programmatic need. Although a department or school may expect a continuing programmatic need at the time of an appointment, reappointment, or promotion to a continuing term appointment, that need may change. For example, a department or school may decide to phase out a particular area altogether, or an area may simply be scaled down, decreasing the required number of faculty. Alternatively, a department or school may decide to develop or treat an existing program in ways that may require either the reassignment of duties to Tenure Line faculty, or the appointment of faculty in the Tenure Line rather than in the Non-Tenure Line.
If an Academic Council member holding a continuing term appointment is to be terminated for programmatic reasons (including funding considerations) or when satisfactory performance ceases (short of termination for those reasons stated in Article II, Section 4.4.B(1) of the Statement of Policy on Appointment and Tenure found in Chapter 4), he or she is entitled to fourteen months notice. (But see Section 2.8.C(1) below for special rules involving faculty members whose appointments are conterminous.)
The ranks of Senior Fellow and Center Fellow were approved by the Senate of the Academic Council in 1990. Senior Fellows at designated policy centers and institutes are members of the Professoriate and the Academic Council. (See Section 1.2.F) Center Fellows at designated policy centers and institutes are members of the Professoriate but are not members of the Academic Council. While reaffirming the value of coupling academic appointments in policy centers and institutes to faculty appointments in existing academic departments, it was recognized that interdisciplinary policy centers may have needs not met by regular professorial appointments in existing departments.
The designation of policy centers or institutes authorized to appoint Senior Fellows and Center Fellows is made by the Provost, with advice from the Advisory Board of the Academic Council. In making the determination, the Provost will normally take into account such factors as the size and scope of the policy center or institute, the stability of its financial support, the number of faculty currently appointed to it, and its prospects for long-term intellectual vitality. The authority of any designated policy center or institute to appoint Senior Fellows and Center Fellows will be subject to review every ten years or at such time deemed appropriate by the Provost.The following are designated policy centers and institutes: the Freeman Spogli Institute for International Studies, the Precourt Institute for Energy at Stanford, the Stanford Institute for Economic Policy Research, and the Woods Institute for the Environment.
The Hoover Institution on War, Revolution, and Peace also appoints Senior Fellows following its own procedures, though it is not a designated policy center or institute. Unless the individual also holds a primary appointment as a member of the Stanford Tenure Line or Non-Tenure Line faculty, or is also a Senior Fellow or Center Fellow at a designated policy center or institute, he or she is not a member of the Professoriate or the Academic Council.
2.3.B(1) Joint appointment as Senior Fellow
Many Senior Fellows are also members of the Tenure Line or Non-Tenure Line faculty who have major roles in policy centers or institutes. Those roles are recognized by a primary appointment in an academic department or school and a joint appointment as Senior Fellow in the policy center or institute, just as a faculty member may be jointly appointed in two or more departments or schools. Standards for a joint appointment in a policy center or institute are consistent with those used for a joint appointment in a secondary academic department or school: the faculty member’s involvement with the policy center or institute in terms of time, effort, and programmatic need justifies a joint appointment. The process for making a joint appointment is described in Section 2.6.B of this chapter (“Joint and Multidisciplinary Appointments”). A member of the Stanford Professoriate at any rank who holds a joint appointment as Senior Fellow holds the title Senior Fellow at [Center or Institute] in addition to his or her primary appointment title (e.g., Professor of [Subject]). The Senior Fellow appointment may be made for the duration of the faculty member’s primary appointment or for a lesser period of time.
2.3.B(2) Senior Fellows Appointed Entirely in Designated Policy Centers or Institutes
Senior Fellows whose full appointments reside in a policy center or institute are members of the Professoriate and of the Academic Council. They are not, however, members of the Tenure Line faculty, and therefore do not accrue time toward tenure by length of service. As members of the Academic Council, Senior Fellows are eligible to serve as principal investigators. As with all Academic Council appointments, billet control is exercised by the Provost. Appointments and reappointments at the rank of Senior Fellow are for either a fixed term (generally with the possibility of renewal) or for a continuing term.
In general, the procedures for appointment and reappointment for Senior Fellows who do not have a primary appointment in an academic department or school are consistent with those for the rank of Professor, including review by the Provost and the Advisory Board. An individual appointed entirely in a designated policy center or institute (that is, without a concurrent primary appointment in an academic department or school) holds the title Senior Fellow at [Center or Institute]. A Senior Fellow may also be appointed to a courtesy position in an academic department or school, but this is not mandatory.
The programmatic definition for a Center Fellow appointment is developed by the center or institute director (in consultation with the Senior Fellows), and is subject to review by the cognizant dean. Most Center Fellow appointments are driven by the need for specific expertise relevant to the mission of the policy center or institute. These appointments are specific to a scholarly program and are conditioned on an evaluation of project proposals, as well as by the qualifications of the candidate.
Recommendations for the appointment of individuals to the rank of Center Fellow are made by the director of the designated policy center or institute in consultation with the unit’s Senior Fellows. The cognizant dean conducts the principal review of Center Fellow appointments. This review may involve either an ad hoc review committee appointed for each case or a standing review committee appointed by the Dean. Billet control and prior search authorization are managed by the cognizant dean, subject to review by the Provost. The Provost retains ultimate responsibility for review of Center Fellow appointments and reappointments, and seeks the guidance of the Advisory Board as appropriate. Appointments to the rank of Center Fellow are typically for a fixed term of years and may have the possibility of renewal; reappointments are contingent on excellent performance, continued programmatic need and availability of funding. Center Fellows are not appointed to continuing term appointments.
A member of the Professoriate at any rank may hold a joint appointment as Center Fellow, while holding a primary departmental or school appointment. Such individuals may be appointed to a joint or secondary appointment as a Center Fellow rather than as a Senior Fellow, if such rank is consistent with their intended programmatic role, or if the purpose of the appointment is to carry out a specific scholarly project. An individual appointed in this manner may be a member of the Academic Council Professoriate by virtue of his or her primary academic appointment.
A member of the Professoriate at any rank who holds a joint appointment as Center Fellow holds the title Center Fellow at [Center or Institute] in addition to his or her primary appointment title (e.g., Assistant Professor of [Subject]). The criteria for recommending a joint appointment of a member of the Professoriate as a Center Fellow are consistent with those used for joint appointments in an academic department or school: the faculty member’s involvement with the policy center or institute in terms of time, effort, and programmatic need justifies a joint appointment. The Center Fellow appointment may be made at the time of initial appointment.
To appoint an individual who is already a member of the Professoriate, an Amendment of Professorial Appointment form (Appendix C) must be submitted for review and approval to the Provost; the form must describe the basis for the changed status and the expected duration of the appointment, and contain signatures of the director of the policy center or institute, the cognizant dean, and the individual’s department Chair and Dean. Salary and other support for the Center Fellow will be shared between the academic department or school and the institute.
2.3.C(2) Center Fellows Appointed Entirely in a Specified Policy Center or Institute
A Center Fellow may be appointed entirely in a designated policy center or institute without a concurrent primary appointment in an academic department or school. An appointment of this type does not confer membership in the Academic Council; therefore, the individual is eligible to serve as principal investigator only by exception.
An individual appointed entirely in the center or institute holds the title Center Fellow at [Center or Institute]. Appointment criteria and procedures are generally consistent with those used for appointment to the regular faculty. However, since Center Fellows are not Academic Council members and since they are appointed on the basis of specified programs of research, exact comparability is neither possible nor desirable.
Medical Center Line faculty (often referred to as “MCL faculty”) are members of the Professoriate and are subject to and covered by applicable faculty policies and procedures, including, but not limited to: the Statement on Academic Freedom, the Statement on Faculty Appeal Procedures, the Statement on Faculty Discipline; the general spirit of the Statement on Appointment and Tenure; and certain policies found in the Research Policy Handbook, including, but not limited to, eligibility for principal investigatorship, intellectual property, and conflicts of commitment and interest.
Medical Center Line faculty are not members of the Academic Council. Because they are not in the Tenure Line, they do not accrue time toward tenure by length of service. They are voting members of the Faculty Council of the School of Medicine. They are eligible to vote on departmental and school matters according to departmental and school policies, and they may serve on faculty committees, except for those that require Academic Council membership.
Additional information relevant to members of the Medical Center Line is available from the Office of Academic Affairs in the School of Medicine.
The Medical Center Line ranks are:
Assistant Professor at [specified medical center]
For example, a typical title would be “Professor of Surgery at the Stanford University Medical Center.” For everyday usage, the designation of the specified medical center may be removed from the titles of Assistant Professors, Associate Professor and Professors holding Medical Center Line appointments, but it must remain in the titles in official University publications, CVs, personnel files, appointment, reappointment and promotion papers, administrative records and other similar documents.
Appointments to Medical Center Line faculty ranks are for a term of years or for a continuing term. The usual duration of an appointment (subject to relatively rare exceptions granted by the Provost for good cause and on a case-by-case basis) for each rank is:
2.4.C(1) Term of Years Appointments
Although term appointments are frequently made with the clear possibility of reappointment or promotion, there is no entitlement to such action at the end of the term and it is by no means automatic. Instead, decisions on reappointment and promotion, like decisions on initial appointment, are subject to the exercise of professional and scholarly judgment and discretion by the University’s departmental faculty and its academic leadership.
2.4.C(2) Continuing Term Appointments
A continuing term appointment does not confer tenure. It provides security of appointment without requiring further formal reappointment. Continuing term appointments may be terminated when satisfactory performance ceases or for programmatic reasons (including funding considerations). Funding considerations may be evaluated in the context of the clinical program as a whole and/or of the individual’s contribution.
Individual departments or the school may adopt a schedule of periodic reviews of individuals holding continuing term appointments to evaluate performance and/or programmatic need. Although a department or the school may expect a continuing programmatic need at the time of an appointment, reappointment, or promotion to a continuing term appointment, that need may change. For example, a department or the school may decide to phase out a particular area altogether, or an area may simply be scaled down, decreasing the required number of faculty. Alternatively, a department or the school may decide to develop an existing program in ways that may require either the reassignment of duties to Tenure Line or Non-Tenure Line faculty, or the appointment of faculty in the Tenure Line or Non-Tenure Line rather than in the Medical Center Line.
If a Medical Center Line faculty member holding a continuing term appointment is to be terminated for reasons of programmatic need or when satisfactory performance ceases (short of termination for those reasons stated in Article II, Section 4.4.B(1) of the Statement of Policy on Appointment and Tenure found in Chapter 4), he or she is entitled to fourteen months notice.
See Sections 2.1.D(2) and 2.1.E for circumstances that may extend the seven year tenure clock deadline and the ten year appointment clock deadline for Tenure Line appointments, and the process for extending appointments in those circumstances.
Pregnancy Disability Leave: Pregnancy Disability leave is short-term pregnancy disability leave for the period of time before and after childbirth during which a faculty member is relieved of all normal University responsibilities. Pregnancy disability leave does not extend the appointment. See Chapter 3, Sections 3.5.A and 3.5.C for more information about pregnancy disability leave and childcare leave.
Short Term Disability Leave: Short term disability leave does not extend the appointment.
Sabbatical Leave: The sabbatical leave program is provided to free faculty members from their normal University duties, enabling them to pursue their scholarly interests full time and maintain their professional standing so that they may return to their posts with renewed vigor, perspective, and insight. Periods of sabbatical leave do not extend the appointment regardless of the percentage of sabbatical pay during the leave.
Leave For Periods Of Pure Research: A pure research period is defined as a designated leave from teaching and other institutional responsibilities during which the faculty member receives full or partial salary through Stanford, normally from sponsored research. Such periods when a faculty member is receiving full salary, whether from sponsored research or a combination of sponsored research and regular sabbatical or other pay, do not extend the appointment.
Administrative Appointments: Administrative appointments do not extend the academic appointment.
Part -Time Appointments: In the event a full time appointment is converted to a part-time appointment, the part-time appointment may be extended on a prorated basis.
Leave Without Salary: Any period of leave from service (including childcare leave and Family Medical Care Leave) that is completely without salary extends the appointment for the duration of the authorized leave unless there is advance written agreement by the Provost to the contrary. Periods of partial leave without salary extend the appointment on a proportional basis.
New Parent Extension: A faculty member who becomes a parent, by birth or adoption, is entitled to a one-year extension of his or her appointment. The extension of the appointment is not tied to the number of weeks the faculty member is on pregnancy disability leave, whether he or she requested a reduced teaching or clinical load (see Section 3.5.B), or whether he or she subsequently takes a leave without salary for childcare purposes. The extension applies even if a faculty member becomes a parent during an off-duty quarter (such as summer quarter) and returns immediately to his or her regular work load.
Childcare Leave: Childcare leave is leave without salary that may be taken by any faculty members, male or female, who becomes a parent by birth or adoption, and it does extend the appointment.
Other Personal Circumstances: Short term disability and pregnancy disability do not extend the appointment, as the faculty member is relieved from duties for a relatively short period of time. However, in cases of extended leaves without service, such as long-term disability or other similar personal circumstances that significantly disrupt teaching and scholarly activities for an extended period, faculty should contact their Dean’s Office to explore potential extensions of their appointments through a Provostially-granted exception.
The existence of the circumstances described above that may extend an appointment does not automatically extend the individual’s appointment. This must be accomplished through the normal processes, with the submission of a Recommendation for Amendment of Professorial Appointment form (Appendix C) by the department and/or school. Recommendations to extend appointment terms under these circumstances will ordinarily be granted. Faculty members with questions about extensions to term appointments should contact their Dean’s Office or the Provost Office’s Faculty Affairs group.
Individuals may be appointed to the Tenure Line rank of Assistant Professor with a “Subject to Ph.D.” contingency. Appointment with this designation provides notice that the offer of appointment as a Tenure Line Assistant Professor is made as a result of the standard search and review process and depends upon the candidate’s successful completion of the terminal degree requirements. Although the individual may carry out many of the responsibilities and duties of a regular Assistant Professor, the individual is not a member of the Academic Council while this contingency exists; therefore he or she is eligible to serve as principal investigator only by exception. Individuals holding appointments “Subject to Ph.D.” do not accrue time toward tenure by length of service.
If an individual is being recommended for an Assistant Professorship in the Tenure Line with the contingency “Subject to Ph.D.,” that qualification must be included in the title designation on the professorial recommendation form. The “Subject to Ph.D.” designation may be removed upon receipt of official confirmation from the dean or registrar at the individual’s university stating that all requirements for the Ph.D. have been completed and the degree has been granted. The school in which the individual is appointed must prepare a Recommendation for Amendment of Professorial Appointment form (Appendix C), and supply the confirming documentation. Upon approval by the Provost, the Assistant Professor’s appointment begins.
2.6.B(1) 2.6.B Joint and Multidisciplinary Appointments
Appointments can be made coterminous with specified circumstances, such as continued salary or other support from sponsored projects, or an administrative appointment at Stanford or an affiliated institution.
When an individual is being recommended for such an appointment, department Chairs and Deans are to note the coterminous nature of the appointment in the recommendation. Examples of such appointments include, but are not limited to:
Individuals with appointments that are coterminous with support from sponsored projects or from an affiliated institution are not subject to the same provisions for notice of non-renewal as appointees whose appointments are not coterminous. As a general rule, the appointment (even if for a term of years or for a continuing term) ends at the same time the funding and/or other support or administrative assignment ceases. Although University funding beyond the point at which the faculty member’s support terminates may be possible in certain instances, it is not an entitlement. Such situations are handled on a case-by-case basis, as are cases when a reduction (as opposed to a complete cessation) of the faculty member’s support will result in the immediate termination of the appointment.
Questions concerning the applicability of the coterminous designation should be directed to the Provost’s Faculty Affairs Office.
University policy allows appointment of faculty members at any rank on a part-time basis, although such appointments are in general discouraged because a large number of part-time appointments within any one department could weaken its academic program. The University does look favorably, however, upon family-related needs as a possible justification for granting temporary reductions from full-time to part-time status, such as when the part-time status is expected to exceed the limit of permitted leave.
2.6.D(1) Criteria for Appointments
The criteria relating to full-time appointments, reappointments and promotions likewise apply to part-time appointments, reappointments and promotions.
2.6.D(2) Tenure Clock
Individuals appointed at part-time to a Tenure Line untenured appointment in general accrue time toward the acquisition of tenure on a prorated basis as set out in Section 2.1.D(2)c of this chapter.
2.6.D(3) ResponsibilitiesThose holding part-time appointments are expected, consistent with any policies established in individual schools, to participate as full colleagues making proportional contributions to the life of the department or school, including service on committees and advising of students. An appointment of fifty percent time or more is usually necessary if the faculty member is to contribute to the academic program in the manner described above. Although this is an operational guideline rather than an absolute limit, recommendations for appointment at less than fifty percent time are to indicate the circumstances requiring an exception to this guideline, the expected duration of such an exception, and whether the faculty member has been informed of the impact on benefits eligibility, the tenure clock, and sabbatical accrual.
2.6.D(4) Increasing Percentage of Time
The security of an appointment or tenure for part-time service applies only to the specific fraction stated in the most recently approved appointment action. If the appointment is for less than full-time, increasing the fraction of time to which the security of appointment applies requires the submission of a recommendation for reappointment at the newly proposed level of service. It is possible, of course, to increase the percentage of time actually served for short periods of time above the level specified on the appointment form, in which case supplementary pay would support the additional level of service (just as full-time appointees receive supplementary pay for fourth-quarter service).
2.6.D(5) Accrual of Sabbatical Eligibility
Sabbatical eligibility is accrued by those holding a part-time appointment on a prorated basis as set out in Section 3.2.D of Chapter 3.
2.6.E(1) General Principles
Faculty members often make substantial contributions to departments other than their own, but in ways less formal than would justify a joint appointment. These contributions are sometimes recognized by means of courtesy appointments. There is usually no commitment of funds, space or other support involved in a courtesy appointment, and the faculty member has no voting privileges in the courtesy department. Courses taught by faculty members holding courtesy appointments are often cross-listed in both the primary and courtesy departments, if the course topic warrants it.
2.6.E(2) Appointment Process
If a candidate for a new appointment is also being recommended for a courtesy appointment, the courtesy title should be included in the professorial title. The dates of the courtesy appointment must be indicated on the appointment form. The Chair of the courtesy department and the school Dean should submit the form recommending initial appointment at the University.
A recommendation to appoint an existing member of Stanford’s professoriate to a courtesy appointment is initiated by the department or school wishing to offer it; the primary department or school may not initiate a courtesy appointment in another department or school. Recommendations should include background that justifies the courtesy appointment. The recommendation is submitted to the Provost on the Recommendation for Amendment of Professorial Appointment form (Appendix C). The appointment form must be signed by the Chairs and Deans of both the primary department and school and the courtesy department and school.
2.6.E(3) Duration of Courtesy Appointment
A courtesy appointment may be for the duration of the current professorial appointment or for a shorter period of time. Departments and schools are encouraged to make courtesy appointments for the longest reasonable period. For tenured faculty, a minimum of three years is a reasonable guideline. For faculty members holding a term appointment, the typical length of time would be for the duration of the individual’s current appointment; the courtesy appointment may not extend beyond the end date of the faculty member’s primary appointment.
2.6.E(4) Courtesy Rank and Title
A courtesy appointment is made at the same rank as the faculty member’s primary appointment. The title of a faculty member who has been appointed to a courtesy appointment should read [Primary rank] of [Subject] and, by courtesy, of [Subject]. When an individual who holds a courtesy appointment is promoted to higher rank or granted tenure, the courtesy appointment must be renewed by means of a recommendation originating from the courtesy department by submitting a Recommendation for Amendment of Professorial Appointment form (Appendix C).
An endowed professorship (also referred to as an endowed chair) is one of the highest honors bestowed on a member of the faculty. This prestigious appointment recognizes his or her many outstanding accomplishments and contributions. When a gift is made to the University for the endowment of a professorship, the donor frequently stipulates the school, department, and/or general interest area. The donor may not, however, stipulate a specific faculty member to hold the endowed professorship. The process for designating a faculty member for an endowed professorship begins with a recommendation from the school Dean to the Provost, who evaluates and approves the recommendation. The recommendation may be for a term of years, tied to a particular administrative appointment, in a manner consistent with the needs of the School and the donor’s intentions, or for an unspecified period of time. The endowed chair holder holds his or her endowed professorship at the pleasure of the Provost. The President reports the appointment of endowed chair holders to the Board of Trustees.
2.6.G(1) Emeritus Status
Faculty members who become official university retirees receive the emeritus or emerita title authorized by the Board of Trustees and become senior members of the Academic Council with privileges of the floor and of service on committees, but without the right to vote or hold office (see Chapter 5 of this Handbook for a more complete description of retirement and the emeritus/emerita designation).
Retirement of faculty facilitates change and creates opportunities for new faculty. At the same time, emeriti faculty members often have much to contribute to their departments and academic disciplines. Departments (and schools without departments) must weigh these factors when considering recalling an emeritus faculty member to active duty for the purpose of teaching or research.
An emeritus faculty member may be recalled to active university service on a part-time or full-time appointment for a period up to one year, subject to renewal. Recall appointment recommendations should be initiated by the faculty member’s primary department and should be based on departmental needs that cannot otherwise be met by regular faculty, and consideration must be given to an individual’s ability to carry out the proposed duties and the availability of existing space and other resources within the department or school. Individual schools and departments may have their own policies and practices with regard to available space and other resources. Faculty members retiring under the Faculty Retirement Incentive Plan may be recalled under the specific terms set forth in that plan. See https://facultyaffairs.stanford.edu/frip
2.6.G(3) Appointment Process
The anticipated role, funding source and duration of the recall is described on the Recommendation for Amendment of Professorial Appointment form (Appendix C) prepared by the department, which is then reviewed and approved by the Dean and submitted to the Provost.
2.6.G(4) Intended Role
Appendix B of this handbook contains the forms used throughout the University for faculty appointments, reappointments and promotions. The current versions of the forms are available on-line at http://facultyhandbook.stanford.edu/b.html. These forms include detailed descriptions of the evidence required and evaluative criteria employed for each action, and deserve study by all faculty. These forms may be modified from time to time; users are encouraged to obtain the currently applicable version of the relevant form on-line. Additionally, deans and department chairs are reminded that consideration of appointment, reappointment and promotion cases should include a thoughtful assessment of the future of the department and/or school, and may take into consideration programmatic need in addition to the merit of the candidate.
There are additional policies and procedures applicable to specific departments and schools, including school-specific supplementary criteria for appointments, reappointments, and promotions that have been approved by the Provost’s Office as consistent with overall University policy. These may be obtained from the school faculty handbook, from the department Chair or school Dean, or from the school’s website.
Stanford’s appointment procedures are designed so that each prospective member of the faculty will be suitable for appointment at Stanford and the best available person for the proposed appointment in a broadly defined field.
A rigorous and comprehensive search is required for new appointments to the Stanford Professoriate. When a department or school receives authorization to appoint a new faculty member, the department Chair or Dean should appoint a search committee to carry out the search in a broadly defined field.
The search committee should advertise the position publicly in addition to using other appropriate methods of candidate solicitation. Letters describing the position should be sent to institutions of higher education and other institutions that are likely to provide a suitable candidate.
All searches should engage actively in affirmative action in the search process; professional colleagues should be contacted to solicit names of female and minority candidates (as well as others who would bring diversity to the professoriate) and such candidates should be encouraged to apply. Contacts should be made with resources such as female and minority professional organizations and journals so that such groups are alerted to the search.
Advertisements and letters announcing vacancies must include a statement such as:
“Stanford University is an equal opportunity employer and is committed to increasing the diversity of its faculty. It welcomes nominations of and applications from women and members of minority groups, as well as others who would bring additional dimensions to the University’s research, teaching and clinical missions.”
The Office of the Provost makes available to each Dean’s office availability pool data regarding potential candidates in various disciplines. Search committees are encouraged to obtain this information and seek the assistance of the Faculty Development and Diversity Office http://facultydevelopment.stanford.edu/.
Departments must retain complete records of each search, including vitae of applicants, for at least three years.
2.7.C(2) Affirmative Action
Stanford University is an institution dedicated to the pursuit of excellence. Central to that premise is the institutional commitment to the principles of diversity and affirmative action, as well as to equal opportunity. In that spirit, Stanford prohibits discrimination and harassment and seeks to provide equal opportunity for all employees and applicants for employment regardless of race, color, religious creed, national origin, ancestry, sex, sexual orientation, gender identity, veteran status, marital status, age, disability, or any other trait or status protected by applicable law.
A simple policy of equal employment opportunity may, however, not suffice to attract a diverse applicant pool to our campus. Some barriers unfortunately persist in our society and require the more active responses characteristic of affirmative action for locating and recruiting applicants. Hiring decisions that appear to have been reached neutrally may, in fact, be discriminatory if the applicant process is not equally accessible to (for example) women and minority group members.
The University does not sacrifice job-related standards when it engages in affirmative action. The best-qualified person for a given position must always be hired; that is the essence of equal opportunity. Affirmative action simply asks us to cast our net more widely to broaden the competition, so as to include in the applicant pool groups that have historically been underrepresented in certain roles in our society.
The President and Provost have emphasized Stanford’s continuing interest in and commitment to increasing the diversity of the faculty. See for example: Building on Excellence: Guide to Recruiting and Retaining an Excellent and Diverse Faculty (2008). The primary mechanisms for accomplishing this are through vigorous outreach and recruiting at the time of initial hiring. Affirmative Action at Stanford does not include applying separate standards at the time of review for reappointment or promotion.
Faculty searches are obligated to make particular efforts to seek out qualified candidates who would bring diversity to the professoriate, including women and ethnic minority candidates, and to evaluate such candidates. It is the obligation of the search committee to demonstrate that a search has made a determined effort to locate and consider such candidates. Department Chairs and Deans have the responsibility to make sure that these obligations have been fulfilled. Search committees are encouraged to seek the assistance of the Faculty Development Office.
2.7.C(3) Candidates with Disabilities
Qualified individuals will not be excluded from consideration by reason of disability, in accordance with the Americans with Disabilities Act of 1991 and Sections 504 and 503 of the Rehabilitation Act. Following offer and acceptance of a position, the school and the Provost’s Office will upon request by the candidate discuss such reasonable accommodations as may be required by and appropriate for a candidate who is disabled. (See University Administrative Guide Memo 23.5.) In addition and at any time during a faculty member’s appointment, a faculty member who requires reasonable accommodation for a disability is urged to contact his or her chair or departmental or school Faculty Affairs Office or the University’s ADA/Section504 Compliance Officer. See http://www.stanford.edu/dept/diversityaccess/
2.7.C(4) International Candidates
Before undertaking the appointment of a faculty member who is a citizen of another country, immigration regulations and procedures should be reviewed. The Bechtel International Center provides expertise on visa matters for foreign nationals, advises in matters regarding immigration laws and regulations, and issues visa authorizations and other visa documents for the University. Information about the Bechtel International Center and its services may be found on-line at https://www.stanford.edu/dept/icenter/index.html.
For candidates who are not U.S. citizens or permanent residents, departments and schools should contact the International Center early to begin arrangements for visa authorizations for foreign nationals residing abroad or in the United States. (It should be noted that some candidates currently in the United States completing graduate programs may have a visa status that precludes direct conversion to a visa status appropriate for faculty appointments.)
2.7.C(5) Search Waivers
On occasion, the Provost may approve a search waiver for a professorial position when an exceptionally talented person (usually an eminent scholar who is clearly a leader in his or her field) is unexpectedly available. The existence of such a target of opportunity may become known in the course of a regular search, through communication via professional channels, or even by the individual making it known that he or she is available.
Other potentially appropriate uses of a search waiver for a professorial position may include: for a scholar who would bring diversity (broadly defined) to the school or department; for a transition between faculty lines where there is evidence that the individual’s activities and stature have evolved; or for a spousal appointment. Search waivers for junior faculty appointments are granted only in extraordinary circumstances. There may be rare programmatic reasons that warrant a search waiver; inquiries should be addressed to the Provost’s Office.
A request to waive the search requirement for a professorial appointment must present to the Provost convincing evidence that the candidate would have emerged as the leading candidate if there had been a search in the candidate’s field. To the extent possible, the request should be substantiated by comparative evaluations (from external and/or internal referees) and evidence of the candidate’s significant accomplishments. In addition, a rigorous review of the candidate’s qualifications is expected in the subsequent preparation of the appointment recommendation.
Recommendations resulting in transitions between faculty lines are considered new appointments and occur infrequently. If a full search is not conducted, a search waiver is required. The appointment file should contain information that distinguishes the faculty member’s current and future roles and responsibilities; in particular, it should explain the necessity for the proposed appointment. Assertions that the candidate deserves the recommended appointment for meritorious service or time in rank are not sufficient justifications, since they do not show that the person is the best available candidate for the new position.
Persons who hold or have held acting or visiting titles at Stanford or who have been at the University in other capacities occasionally become candidates for regular professorial appointments. The search committee is obliged to assemble evidence concerning candidates having prior association with the University in the same manner as for external candidates; this obligation should be made clear to candidates who hold or have held Stanford appointments.
2.7.E(1) Review by the Provost
Recommendations in general are made by the Dean and then forwarded to the Provost for his or her review. Recommendations are reviewed by the Provost in consultation with University officers and members of the Provost’s staff. This step in the review process in general is intended to evaluate and confirm the school’s judgment: that the recommended action is a suitable one; that there has been (where appropriate) a satisfactory comparative search; that the documentation is complete; and that prescribed procedures have been followed. The Provost can obtain additional information to help assess the action. He or she can then make a favorable recommendation, a negative recommendation, or remand the case to the department or school for further information or consideration.
2.7.E(2) Review by the Advisory Board
If the Provost’s view is favorable, the next step in the process (in general) is for the Provost to submit the case to the Advisory Board of the Academic Council for its review. The powers and functions of the Advisory Board are described in the Articles of Organization of the Academic Council. The Advisory Board normally assigns at least two, and sometimes more, of its members to read each file. The case is reviewed for adherence to procedural requirements, completeness of documentation, conformance with academic standards, and suitability. Occasionally, the Advisory Board may request additional information before voting on a recommendation or may table the matter for review by each member of the Board. After considering any issues raised by the assigned readers, the Advisory Board votes on the proposed action.
The Provost may also ask the Advisory Board for informal advice on a file, in which case no vote is taken until the case is submitted formally by the Provost to the Advisory Board.
At the end of each Advisory Board meeting, the members report to the Provost and request additional follow-up, as necessary. Because the Advisory Board advises the President, the list of recommendations approved by the Advisory Board is forwarded by the Advisory Board Chair to the President for his or her final review and approval. A list of recommendations not approved by the Advisory Board is forwarded by the Chair to the President for his or her further consideration.
2.7.E(3) Review by the President
The President, who makes the final decision, can choose to accept or not accept the recommendation by the Advisory Board. The President can obtain additional information on the file. He or she can make a favorable decision, a negative decision, or remand the case to the department or school for further information or consideration. Approved actions are incorporated into the President’s Report to the Board of Trustees.
Official notification of a successful appointment, reappointment, or promotion is contained in a letter from the Provost to the candidate. Deans, department chairs, and faculty members are often under pressure to offer assurances before the President renders his final decision, but this pressure should be resisted. Candidates should be generally informed of the University’s procedures and schedule for consideration of recommendations. Deans and department chairs, however, may report to the candidate in general terms on progress of the recommendation through the various stages and may indicate when final action may be expected.
2.7.E(5) Effective Date
The normal term of appointment commences on September 1 and, unless without limit of time or for a continuing term, ends August 31. However, appointments may be made effective on the first of the month following final approval by the President. The Provost is unlikely to consider retroactive appointments.
The entire appointment, reappointment, or promotion proceedings during which specific candidates are discussed are to be held in strict confidence by all participants. It is Stanford’s policy to protect vigorously the sources of information and evaluations used in these proceedings. The opinions expressed by the school or department faculty or by internal or external referees or reviewers shall not be discussed with the candidate or with other parties, except when necessary for University review of the process. The Dean or the Chair of the department (or his or her designee) shall convey whatever information needs to be transmitted to the candidate. A breach of confidence by a participant in an appointment, reappointment, or promotion case is a serious breach of professional ethics and may subject the individual to discipline, among other consequences.The University takes extensive measures to protect the privacy of the candidate by preserving the confidentiality of the information it receives regarding the candidate. The University also expects that candidates will similarly respect the confidentiality of the process. Candidates should not request or seek to discover confidential information from individuals within or outside the University who may be involved in the review process, either while the process is underway or after it has concluded. Any questions regarding the process, its timing, or its eventual outcome, should be discussed with the department Chair or Dean.
A faculty member, regardless of his or her percentage of appointment, is normally not permitted to accept or hold a regular faculty or administrative position at another educational institution. This is true regardless of whether the faculty member is on regular duty at Stanford, on sabbatical, or on leave without salary. (While on sabbatical or leave without salary, a faculty member may accept a visiting professor appointment at another educational institution.) If a member of Stanford’s professoriate wishes to accept a regular faculty or administrative position at another educational institution, he or she will normally be required to resign from the Stanford faculty; a leave of absence for such a purpose will normally not be granted. Upon recommendation from the department Chair and Dean of the faculty member’s school, the Provost may (at his or her discretion) approve an exception to this policy under special circumstances. Such exceptions are rare and based upon compelling reasons.
It is the policy of Stanford University to seek for its faculty the best possible teachers and scholars who are judged to be so in a national or international search preceding each appointment. There are no bars to the appointment of close relatives or domestic partners to the faculty (or staff) in the same or different department, so long as each meets the relevant standard for appointment. (See University Administrative Guide Memo 22.1.2.c, on-line at http://adminguide.stanford.edu/22_1.pdf.)
No faculty member, department chair, dean, or other administrative officer shall vote, make recommendations, or in any other way participate in the decision of any matter which may directly affect the appointment, reappointment, tenure, promotion, salary, or other status or interest of a close relative or domestic partner, nor shall he or she supervise a close relative or domestic partner.
Providing support, guidance, advice and feedback to junior faculty is a high priority for Stanford University. There is variation across the university in how this support and guidance is provided, and the university does not mandate a particular methodology. However, it is expected that counseling and mentoring will occur on a regular basis. These guidelines outline the general expectations for the kinds of support, advice and feedback junior faculty should receive. Faculty members with questions in this area should consult their department chair or dean.
Appropriate areas to discuss may include: scholarship quality and productivity to date; general expectations of the discipline with respect to quantity; form or scholarly venue of publications; expectations, if applicable, about other indicators of recognition such as grant funding; suggestions for the scholarship that may be helpful; teaching quality, quantity, and type to date (including acknowledgment of special efforts in teaching); quality of performance in other academic activities (such as creative works or clinical practice), if applicable; general expectations as to levels of service appropriate for junior faculty (and acknowledgment of special service efforts); and any professional, behavioral or institutional citizenship issues.These counseling sessions should include direct reference to — and discussion of — the university’s and the school’s criteria for reappointment and promotion, as set forth in Appendix B to the Faculty Handbook (available online at http://facultyhandbook.stanford.edu) and as supplemented by the school’s handbook. The comparative and predictive aspects of the tenure/promotion decision should be stressed, as should be the fact that tenure/promotion judgments generally cannot be made until the referee letters are received as part of the evaluation process. For this reason, counseling the junior faculty member that he or she is “on track” to gaining tenure or promotion is inappropriate.
Schools vary in viewpoint and practice as to whether there should be a written record of these annual discussions. The university leaves this matter to each school’s discretion. However, the university does require a written record — the counseling letter — at the time of reappointment, and at the time of promotion to some (but not all) ranks.
The counseling letter provides an opportunity to give candid feedback to a junior faculty member on his or her academic performance and progress to date based on the results of this reappointment or promotion review. The counseling letter provides a vehicle for this feedback, which should be constructive, realistic, and specifically tailored to the candidate and to the standards and criteria he or she will face in a future review or promotion.
The counseling letter is submitted with the recommendation papers. It is expected that the counseling letter submitted with the file will be in draft form. Only after completion of the review process should the counseling letter be finalized and then given to the faculty member. After receiving the counseling letter, the faculty member is encouraged to meet with his or her department chair to discuss in more detail the feedback contained in the letter. Department chairs are in turn encouraged to offer such a meeting, if one is not requested.
Finally, although the purpose of the counseling letter is to offer practical guidance to the junior faculty member in regard to his or her future efforts (such as by pointing out areas for potential attention or improvement), the candidate should understand that the strategic advice offered is not a prescription for achieving tenure or promotion, but rather the letter writer’s best judgment based on the results of this review. As noted more generally below, the ultimate responsibility for career trajectory and success rests with each faculty member himself or herself.
The second aspect of the guidance to be offered to junior faculty is mentoring, that is, the ongoing advice and support regarding the junior faculty member’s scholarship, teaching and (where applicable) clinical performance. Schools are expected to have policies and practices for providing mentoring to junior faculty; these vary across the university. In general, it is recommended that junior faculty be assigned mentors who are senior faculty members but not department chairs. The mentor should be available to provide guidance on an ongoing basis and should meet at least annually with the junior faculty member. In situations in which the initial mentor assignment is not successful, department chairs or deans should work with the junior faculty member to identify a suitable mentor.
Junior faculty should also be encouraged to seek informal mentors from inside or outside their department who may share interests and provide additional perspectives.
2.8.A(3) Information Sessions
Central university offices such as the Vice Provost for Faculty Development and Diversity and the Center on Teaching and Learning provide some general orientation and information sessions for new and junior faculty. However, topics for which practices vary significantly among schools or departments should be discussed with junior faculty locally, by the school and/or department, through information sessions and/or mentoring. These topics might include teaching and grading strategies and practices, graduate student advising, expectations regarding publications in the specific field, expectations for and sources of grant funding, and management of research budgets and personnel.
2.8.A(4) The Junior Faculty Member’s Responsibility
The core purpose of counseling and mentoring is to provide candid and helpful feedback and guidance to the individual. The goal is to provide a supportive atmosphere to assist the junior faculty in succeeding in his or her academic career. However, it should also be recognized and communicated to the junior faculty member (and it is here reiterated) that the ultimate responsibility for career trajectory and success lies with each faculty member himself or herself. Thus it is up to the junior faculty: to respond to invitations to meet with their mentors, department chairs, or deans; to request counseling and mentoring sessions if such sessions are not otherwise scheduled for them; to attend information sessions offered to them; and to be familiar with the policies and procedures concerning reappointment, tenure and promotion, in particular those in the Faculty Handbook (including the criteria in the forms found in Appendix B) and in school faculty handbooks. Similarly the junior faculty member should understand that a faculty mentor’s strategic advice (like the advice contained in the counseling letter written at the time of reappointment) is not a prescription for achieving tenure or promotion, but rather a senior colleague’s best judgment, to be accepted or rejected as the junior faculty member chooses. Accordingly, inadequate counseling and mentoring is generally not considered sufficient grounds for appealing a negative tenure or promotion decision.
Stanford University hires the best and brightest junior faculty and is committed to providing opportunities, resources, and support, including counseling and mentoring, to help them develop into outstanding scholars, teachers, and clinicians. The policies and practices described in these guidelines are intended to assist each faculty member in launching a successful academic career.
Stanford’s policy has for many years been that an individual should be able to learn the general substance of the information contained in his or her personnel file. However, material supplied to the University by a third party (whether inside or outside the University), or supplied by a member of the University to a third party, is presumed to be confidential unless otherwise stated and should not be shown to the individual. Because the quality of the University’s appointment, reappointment and promotion process depends on the candor of the participants in that process, Stanford's policy is to protect vigorously the sources of information. Accordingly, peer evaluations from outside and inside sources, letters from students, departmental or higher-level documents regarding the review process, and documents containing statements based on personal knowledge, judgments or opinions are regarded as confidential. Such material should therefore, upon request, be summarized by a responsible University officer in manner that preserves the confidentiality of the source of the information.
2.8.C(1) General Information
A member of the Tenure Line, Non-Tenure Line, or Medical Center Line faculty whose appointment has no coterminous condition and who holds a renewable appointment for one year shall be notified by March 15 if the appointment is not to be renewed. (For faculty whose appointments have a coterminous condition, see paragraph below.) Failure to give timely notice of non-renewal will entitle the individual to a special reappointment for an additional terminal year. This additional appointment for a terminal year, if granted, does not count toward acquisition of tenure by length of service. (See Section 2.1.D(2) above.)
When a faculty member holding a renewable appointment for more than one year is not given notice of termination or of non-renewal before July 1 of the penultimate year of the contract, the appointee is entitled to a special reappointment for an additional terminal year. This additional appointment for a terminal year, if granted, does not count toward acquisition of tenure by length of service. (See Section 2.1.D(2) above.)
The date specified above by which faculty are to be notified of non-renewal assumes that all appointments expire on August 31 of the academic year. For appointments ending on other dates, an equivalent length of notice should be given. That is, a faculty member holding a one-year renewable appointment should be notified at least five and one-half months prior to the ending date of the appointment if it is not to be renewed. Faculty holding a renewable appointment for more than one year should be notified at least fourteen months prior to the ending date of the appointment. Faculty holding continuing term appointments (i.e., no end date specified) should be notified at least fourteen months prior to the anticipated termination date if he or she is to be terminated for programmatic reasons (including funding considerations) or when satisfactory performance ceases (short of termination for those reasons stated in Section 4.4.B(1) of the Statement of Policy on Appointment and Tenure). Failure to give adequate notice entitles the faculty member to an additional one-year reappointment that does not count toward acquisition of tenure by length of service.
Individuals with coterminous appointments such as those that are “coterminous with continued salary and other research support from sponsored projects” or coterminous with continued support from an affiliated institution (e.g., “coterminous with continuation of contract support at SLAC”) are not subject to the same provisions for notice of non-renewal. As a general rule, the appointment (even if for a term of years or for a continuing term) ends at the same time the funding or other support ceases. Although University funding beyond the point at which the faculty member’s support terminates may be possible in certain instances, it is not an entitlement. Such situations are handled on a case-by-case basis, as are cases when a reduction (as opposed to a complete cessation) of the faculty member’s support will result in the immediate termination of the appointment.
2.8.C(2) Communication Concerning Non-Renewal
After a formal decision to terminate a continuing appointment, or not to renew a term appointment, or not to promote a non-tenured member of the Professoriate, at whatever level, the candidate shall be promptly informed in writing.
In addition, the decision-maker shall set out the grounds for that negative decision in a dated memorandum in enough detail to explain it to one not personally familiar with the case. This memorandum shall be transmitted to all University officers to whom a positive recommendation would have been transmitted, including the Provost. This memorandum is confidential and shall not be shown to the individual. However, at the written request of the candidate submitted to the Provost no later than sixty days after the candidate has been informed of the decision, the substance of the memorandum will be summarized orally or in writing to the candidate by the Provost or a delegate.
Deans and department Chairs should work closely with unsuccessful candidates for reappointment and promotion to address the potentially difficult personal and professional consequences that may accompany the negative decision, as well as to assist in facilitating their successful transition to other academic institutions or opportunities.
Provider: Faculty Affairs, Office of the Provost, Stanford University