Policy and Procedures for Appointment and Promotion: Academic Staff - Research

1. Introduction

Academic Staff - Research (AS-R) are Stanford employees hired in academic units under the supervision of Faculty Principal Investigators (PI) to work on Stanford research activities as defined below. As Stanford employees, AS-R are subject to all policies and procedures related to Stanford employment and receive staff benefits, as applicable. 

Generally, AS-R appointments are focused solely on research. However, separate appointments made to fulfill a teaching role may be held as a concurrent appointment with research scientists, research engineers or research scholars, or with senior appointments in these categories, when the individual is involved in both research and education activities.

2. Definitions/Roles

A. Research Scientist, Research Engineer, Research Scholar

Working in a capacity which ordinarily requires a Ph.D. or its equivalent in research skill and subject knowledge, a Research Scientist, Engineer, or Scholar is involved directly in the execution, and frequently the design, of a PI's research activities. Their primary purpose is to assist the PI in attaining the goals of the PI's research projects. AS-R may participate in the preparation of proposals, progress, and final reports, and may be the coauthor or sole author of research results, with agreement of the PI. Although not usually engaged in formal classroom teaching, the AS-R rank cannot be primary instructors of courses within Stanford degree-granting programs but may serve as co-instructor.  Concurrent Lecturer (AST/OTS Handbook 2.2 Lecturers) appointments would be needed for the primary teaching opportunities in degree-granting programs.  AS-R can be primary instructors for non-degree granting courses with their Dean’s Office approval.  AS-R frequently may assist in the guidance of scientific staff, postdoctoral scholars, graduate and undergraduate students in the laboratory.

Research Scientist: The Research Scientist is responsible for designing, undertaking and analyzing data from controlled laboratory-based investigations, experiments and trials.  They possess excellent analytical and critical thinking research skills to collect and analyze data through a variety of methods such as experiments, surveys and simulations. 

Research Engineer:  Coming from a variety of engineering disciplines, the Research Engineer designs, builds and/or develops products, concepts or processes relevant to the research focus of their laboratory.  They utilize specialized equipment to analyze and test processes, materials, systems, and products to ensure functionality, reliability and relevance.

Research Scholar: The Research Scholar studies the areas of Social Sciences and promotes the exchange of ideas, literature review and mutual enrichment through the relationship between individuals and societies.  The Research Scholar links the study of human society and social relationships in the development and advancement of societal norms. 

B. Senior Positions: Senior Research Scientist, Senior Research Engineer, Senior Research Scholar

Individuals whose accomplishments reflect professional achievement and recognition considerably greater than that of a Research Scientist, Research Engineer, or Research Scholar may be appointed as Senior Research Scientist, Senior Research Engineer, or Senior Research Scholar, whichever is most appropriate to the nature of the individual's work.

Senior Research Scientists, Senior Research Engineers and Senior Research Scholars may serve as Co-investigators in association with a faculty PI on research projects (and on related applications for support) for which they carry a significant role. Designation of Co-investigator is not an entitlement; it requires the permission of the PI. In rare instances, a PI waiver may be granted by the Vice Provost and Dean of Research (VPDoR) Office. (For additional information, see RPH 2.1)

In general, the Senior AS-R will have the following: (1) At least five years of post Ph.D research experience; (2) An expansive first author publication list; and (3) Specific knowledge and accomplishments that makes them uniquely qualified within their research field.  The Senior AS-R may manage programs, regular AS-R, and scientific staff in the laboratory.

3. Procedures for Appointment

A. Selection and Search Procedures

An appointment to the AS-R requires a search. Searches are initiated with a written vacancy announcement, such as in relevant professional journals or other publications.

The text for the announcement must be sent to the Office of the Vice Provost and Dean of Research. Advertisements and letters announcing vacancies must include the following statements:

Stanford is an equal employment opportunity and affirmative action employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other characteristic protected by law. Stanford welcomes applications from all who would bring additional dimensions to the University's research mission.

{And}

The expected pay range for this position is $xx to $xx per annum.

Stanford University has provided a pay range representing its good faith estimate of what the university reasonably expects to pay for the position. The pay offered to the selected candidate will be determined based on factors including (but not limited to) the experience and qualifications of the selected candidate including equivalent years since their applicable education, field or discipline; departmental budget availability; internal equity; among other factors.

The responsibility for a diverse search with a broad and inclusive applicant pool process rests with the PI, relevant members of department leadership, and hiring managers.

Exceptions to the Search process can be permitted if the candidate: (1) has just completed their doctorate or program of postdoctoral study at Stanford and completion of all degree requirements is documented; (2) is uniquely qualified for the particular position; or (3) was previously identified as key personnel, by name, on a written research proposal submitted by the PI to an external funding agency. 

B. Criteria for the Appointment to Rank of Research Scientist, Research Engineer, or Research Scholar

After a candidate has been identified and selected for appointment, a recommendation for appointment form through the Faculty and Academic Staff Appointments (FASA) system must be completed, and approved by the (1) PI, (2) Department Chair, Independent Laboratory, Center or Institute Director, or the unit’s Administrative Director (eg. Director of Finance and Administration (DFA), Director of Finance and Operations (DFO), Independent Lab Associate Director), (3) the cognizant School Dean or their delegate, and (4) the Vice Provost and Dean of Research to ensure that:

• the work to be performed is at the level which ordinarily would require a doctoral degree or equivalent research skill and subject knowledge;
• a serious review has been undertaken of the professional qualifications of a candidate for an AS-R position by subject matter experts (see C.5. below) besides the PI;
• University-wide equity is being maintained; and
• a thorough diverse search with a broad and inclusive applicant pool;  has been conducted or, if a search was not conducted, the requirements for an exception have been met.

Recommendations along with a current Curriculum Vitae must be submitted to the Office of the Vice Provost and Dean of Research prior to the date of anticipated employment. The School Dean's or Laboratory Director's office will be notified of the approved appointment form or if further information or clarification is required prior to approval. Depending on the preference of each School, the Department or School Dean will send written confirmation to the employee indicating the terms, length of employment (e.g. fixed term), identify the duration of funding sources contributing to their salary. Confirmation is sent to the Office of the Vice Provost and Dean of Research by uploading the document to FASA.

C. Criteria and Procedures for the Appointment or Promotion to the Rank of Senior Research Scientist, Senior Research Engineer or Senior Research Scholar

After a candidate has been identified and selected for appointment to a senior AS-R position, a Recommendation for Appointment form through FASA must be completed, approved by the PI, the Department Chair or DFA/DFO (or Independent Laboratory, Center or Institute Director), the cognizant School Dean Representative, and the Vice Provost and Dean of Research, following the same procedure as for AS-R (described in 3.B above).

In many cases, individuals are promoted to senior positions from the ranks of Research Scientists, Research Engineers, or Research Scholars. Candidates for promotion to the Senior AS-R will have the following: (1) At least five years of post Ph.D research experience; (2) An expansive first author publication list; and (3) Specific knowledge and accomplishments that make them uniquely qualified within their research field. 

For both appointments and promotions to senior AS-R positions, the PI is responsible for submitting the following four items of documentation to the Department Chair (or Independent laboratory, Center, Institute Director) for use in review of the candidate:

1. Appointment/Promotion Form (FASA)
2. Current, updated Curriculum Vitae
3. Written evaluations from three referees outside of Stanford who are in positions to judge the professional competence of the candidate.
4. Covering memorandum from the PI to the Department Chair stating the justification for appointment or promotion to Senior Research Staff.
5. A written report of the Ad Hoc Appointment Committee review to the Department Chair regarding the qualifications of the candidate for appointment or promotion.
   1. Ad hoc appointment committee must consist of at least two Academic Council members in addition to the faculty PI, and, if practicable, a Senior AS-R.
   2. Some indicators which may help to evaluate the qualifications of a candidate for the rank of Senior Research Scientist, Senior Research Engineer or Senior Research Scholar are the following:

4. Compensation and Terms of Employment

A. Period of Employment

An AS-R is initially appointed for a fixed, renewable term of six months to five years, contingent on continued programmatic need and funding in hand and for the duration of the appointment. Senior Research Scientists, Senior Research Engineers or Senior Research Scholars may be appointed on either a fixed-term or a continuing basis.

Requests for reappointments of fixed-term appointments are in increments of up to a five-year term.  All appointments, reappointments and/or promotions must be reviewed by the (1) PI, (2) or the unit’s Administrative Director (eg. Director of Finance and Administration (DFA), Director of Finance and Operations (DFO), Independent Lab Associate Director), (3) the cognizant School Dean Representative, and (4) the Vice Provost and Dean of Research.

An AS-R is required to complete a trial period, which consists of an employee's first 12 months of service as a regular employee with the university. Trial period information can be found in the Administrative Guide 2.1.15.

B. Compensation

Although not subject to salary ranges per se, salaries for AS-R are subject to the approval of the cognizant PI, Department Chair, School Dean and Vice Provost and Dean of Research for purposes of maintaining University-wide equity. Data indicating the distribution of Stanford salaries for each classification of AS-R are supplied to school deans and Independent Laboratory, Institute, and Center directors in the form of annual salary curves and matrices. This provides a framework from which to review University-wide salaries to ensure parity. 

At the time of appointment/reappointment, PI’s must confirm funding for the entire duration of the AS-R appointment. AS-R salary levels must meet or exceed the fiscal year postdoctoral salary minimum set by the university. In addition, salaries must meet or exceed the current California minimum exempt salary level. The Vice Provost Dean of Research Office strongly recommends that employees are initially hired at the 25^th percentile or higher of Stanford’s AS-R average benchmark salary range.

Due to the relatively uncertain nature of financial support for sponsored projects which support AS-R members' salaries (whether on fixed terms or continuing appointments), AS-R members shall be informed of the duration of all funding sources which materially contribute to their salaries. This information must be included in the employment confirmation letter and, subsequently, made available to the AS-R member by the PI upon request. 

 AS-R member salaries are reviewed annually as part of the annual salary program.

C. Termination and End of Fixed Term

An AS-R member is entitled to one month written notice, but not to layoff benefits or reemployment preference, when terminated for unsatisfactory performance or other just cause. In extreme cases of termination for just cause, advance notice of termination may be waived with the approval of the Office of the Vice Provost and Dean of Research.

A written notice of either renewal or non-renewal must be given to the employee at least three months in advance of the term end date. The conclusion of a fixed term does not constitute layoff nor is it accompanied by layoff benefits (see discussion below).

D. Layoffs

A layoff (as opposed to end of fixed-term appointment or dismissal for just cause) occurs when a position is eliminated as a result of (1) lack of funds, (2) decreasing a Full-Time Equivalent (FTE) below 75 percent, or (3) changing programmatic needs prior to the scheduled end of a fixed-term appointment or at any time during a continuing appointment. If a layoff is a result of lack of available financial support, the AS-R member must be given at least one month written notice. Selection of the individual(s) to be laid off is a judgment of the PI. These individuals are eligible for layoff benefits and reemployment preference as are applicable for other exempt staff.

Occasionally, a PI chooses to change the direction of their research activities in ways that are not commensurate with the skills or research interests of the AS-R member. When this occurs, layoff is considered on programmatic grounds and the AS-R member shall be given at least three months written notice of layoff. They are eligible for the same layoff benefits and reemployment preferences as are applicable for other exempt staff. 

In the event that the reasons for layoff are both financial and programmatic, the financial requirements shall be used. All layoff activities should be in consultation with the local HR unit who will discuss such actions with Employee and Labor Relations.  Further layoff information can be found at Administrative Guide 2.1.17.

E. Additional Compensation

With approval of their faculty PI, full-time members of the academic staff may perform a variety of services for the institution apart from those normally considered to be their own regular job duties.  As academic staff members, AS-R may be assigned these tasks either within their department or for another area within the University. Further, it is understood that exempt academic staff may be expected to work in excess of 40 hours a week. Because the foregoing situations are considered to fall within normal expectations for these staff, they would not constitute grounds for payment of additional compensation.

AS-R may be eligible for additional compensation when, on a one-time or infrequent basis, they teach in established University programs or University-hosted conferences that:

• clearly fall outside the boundaries of their regular responsibilities,
• require a significant amount of time in excess of the normal work schedule and
• normally provide additional payment to other participants.

This exception does not cover appointments to teach regular University courses in degree-granting programs, in which cases a salary offset, or paid concurrent lecturer appointment, would be appropriate.

Examples for which additional compensation might be appropriate include:

• teaching in the Continuing Studies Programs;
• teaching in the Stanford Center for Professional Development;
• teaching in the Vice Provost for Undergraduate Education Programs;
• teaching in the Postgraduate Medical Education Program;
• teaching in the Graduate School of Business Executive Education Programs;
• teaching in a special event, such as a conference.

An academic staff member who teaches in these Stanford programs must be appointed, where relevant, through the regular appointment process of the program. Their compensation for the activity is limited by the established rates for the particular program. AS-R, employed on a full-time basis, owe their primary commitment of time and intellectual energies to the programs on which they are working. The faculty PI is responsible for assuring that this activity does not adversely impact that obligation.

For activities of the type described above, specific approval for additional compensation is required in advance of the service being performed. Faculty supervisor, the cognizant school Dean and the Vice Provost and Dean of Research must approve all additional compensation involving AS-R. Failure to obtain such approval will, in all likelihood, result in forfeiture of payment.

5. Right, Privileges and Responsibilities

A. Academic Staff - Research Members

AS-R members appointed for terms of six months or longer (at 50% time or more) are entitled to staff benefits available to other regular exempt staff, including vacation and sick leave accrual, with some exceptions related to layoff as outlined above and in the appropriate  grievance process, see Academic Staff Grievance Procedure in RPH 10.2.

With approval of their PI, members of the academic staff may engage in outside consulting activities. Outside consulting for full time AS-R is limited to 13 days per educational quarter. Permission for members of the AS-R to consult, including the reasons for such permission, must be in writing, normally on a prospective basis, by the faculty PI and included within the FASA appointment or modification transactions. Principles that govern outside activities and applicable conflicts of commitment and interest policies can be found at RPH 4.1 and RPH 4.3.

6. Visiting Academic Staff - Research

A. Definitions/ Roles

While the highly professional nature of these positions allows PI to delegate considerable independence and authority to members of the AS-R in support of the PI's research objectives, there are also limitations inherent in these positions. The AS-R rank cannot be primary instructors of courses within Stanford degree granting programs but may serve as co-teacher.  Concurrent Lecturer (AST/OTS Handbook 2.2 Lecturers) appointments would be needed for the primary instructor opportunities as noted above.

Individuals in the AS-R ranks are not members of the Academic Council; except in rare instances (see section 2B), they are not eligible to act as Principal Investigators on sponsored projects (Senior AS-R may act as Co-investigators with the permission of the faculty PI, but may not serve as Co-PI); they are not eligible for sabbatical leaves nor in any way are considered to be on a tenure track. Their positions are coterminous with externally-sponsored support and programmatic need. Appointments from the AS-R to the non-tenure line or tenure-line faculty ranks at Stanford may occur, but such promotions are rare and should not be expected as part of an AS-R member's typical path at the University.

B. Procedures for Appointment

Visiting AS-R or Visiting Senior AS-R appointments may be made for periods not to exceed twelve months for individuals who are permanently employed by another institution or industry equivalent at a level comparable to the AS-R at Stanford. If the individual ceases to hold a regular position elsewhere prior to or during the Stanford appointment, they are not eligible to continue as a Visiting AS-R. Rather, the person may be recommended for a regular AS-R appointment. As with regular AS-R appointments, conflicts of commitment and interest policies need to be reviewed. Conflicts of commitment and interest policies can be found at RPH 4.1.  Formal searches for the visiting appointments are not required as Stanford does not constitute the primary employment commitment to the individual.

As with regular AS-R appointments, the FASA system will be used to appoint Visiting AS-R or Visiting Senior AS-R.  The FASA form will need to be accompanied by a resume or CV of the candidate and applicable visa information.  The FASA form will need to be approved by the PI, the Department Chair or DFA/DFO(or Independent Laboratory, Center or Institute Director), the cognizant School Dean Representative, and the Vice Provost and Dean of Research, following the same procedure as for regular AS-R.

C. Compensation and Terms of Employment

Stanford salary support for Visiting AS-R and Visiting Senior AS-R normally is funded from sponsored research projects, typically at a level based on the individual's salary from their home institution. In any event, minimum full-time equivalent salaries for Visiting AS-R and Senior Research staff are established annually by the Office of the Vice Provost and Dean of Research. At the time of appointment, PI’s must confirm funding for the entire duration of the AS-R appointment. Visiting AS-R and Visiting Senior AS-R compensation conforms to guidelines for AS-R and Senior AS-R as set out under section 4B, above.

D. Rights, Privileges and Responsibilities

Visiting AS-R and Visiting Senior AS-R are eligible for staff benefits, including vacation and sick leave, if employed at 50% time or more for an anticipated length of six months or more. Regular staff policies for fixed-term appointments apply except that the Academic Staff Grievance Procedures, rather than the staff procedures, are applicable. University courtesies and privileges commensurate with the visitors' rank at their home institutions may be granted by the Provost on an exception basis.