A. DEFINITION
Postdoctoral Scholar appointments are intended to provide a full-time program of advanced academic preparation and research training. Postdoctoral Scholars train under the direction and supervision of faculty mentors in preparation for academic or research careers. In addition to pursuing advanced preparation in research, Postdoctoral Scholars may be approved to engage in other activities to enhance teaching and other professional skills. If formal teaching duties are assigned, an appointee must hold both a Postdoctoral Scholar title and an appropriate teaching title. Under this circumstance, the full-time Postdoctoral Scholar appointment percentage will be reduced accordingly. Postdoctoral scholar appointments are temporary positions with fixed end dates.
B. POLICY REFERENCES
Please refer to the Academic Personnel manual for supplementary information:
APM 137 http://www.ucop.edu/acadadv/acadpers/apm/apm-137.pdf Non-Senate Academic Appointees/Term Appointment
APM 390 http://www.ucop.edu/acadadv/acadpers/apm/apm-390.pdf Postdoctoral Scholars
APM 715 http://www.ucop.edu/acadadv/acadpers/apm/apm-715.pdf Leaves of Absence/Family and Medical Leave
APM 751 http://www.ucop.edu/acadadv/acadpers/apm/apm-751.pdf Leaves of Absence/Military Leave
APM 760 http://www.ucop.edu/acadadv/acadpers/apm/apm-760.pdf Leaves of Absence/Childbearing Leave, Parental Leave, and Active Service-Modified Duties
C. TITLES
Within the Postdoctoral Scholar series there are three titles. The appropriate title is determined by the requirement of the relevant funding agency. Postdoctoral Scholars may be assigned to more than one Postdoctoral Scholar title concurrently depending on University and extramural funding agency requirements.
a. Postdoctoral Scholar-Employee
When the funding agency requires or permits the appointee to be an employee of the University; or whenever General Funds, Opportunity Funds or other University discretionary funds are used to support the position.
b. Postdoctoral Scholar-Fellow
When the Postdoctoral Scholar has been awarded a fellowship or traineeship for postdoctoral study by an extramural agency and the fellowship or traineeship is paid through a University account.
c. Postdoctoral Scholar-Paid Direct
When the Postdoctoral Scholar has been awarded a fellowship or traineeship for postdoctoral study by an extramural agency and the agency pays the fellowship or traineeship directly to the Postdoctoral Scholar, rather than through the University. Such appointments shall have a "without-salary" status.
D. CRITERIA
Appointment as a Postdoctoral Scholar requires a doctoral degree (e.g., Ph.D., M.D.) or the foreign equivalent. Postdoctoral Scholars pursue a full-time program of advanced training and research under the direction of a faculty member with an appointment in an academic department or organized research unit.
E. EQUAL OPPORTUNITY, NONDISCRIMINATION AND DIVERSITY
Hiring units should strive to have an inclusive, supportive environment that provides postdoctoral training opportunities and maximizes and values the potential of all Postdoctoral Scholars. Units are encouraged to announce opportunities in order to identify qualified candidates, however Postdoctoral Scholar appointments are exempt from open recruitment documentation (see CAPM 100.500.I.1.g ). At minimum, hiring units should post postdoctoral positions on the campus and or/departmental employment opportunities website in order to promote equal opportunity for all candidates.
F. TERMS OF SERVICE
1. Postdoctoral Scholar appointments are temporary and have fixed end dates. Appointments must be made for a minimum duration of three months and a maximum duration of two years. Postdoctoral Scholars may be reappointed. Reappointments are subject to the same minimum and maximum durations as listed above. For initial appointments, faculty mentors may want to set the maximum duration at one year. The dean may grant exceptions to the minimum and maximum terms of service.
2. The total duration of an individual's postdoctoral service may not exceed six years, including postdoctoral service at other institutions.
3. Pursuant to APM 137-30-b
http://www.ucop.edu/acadadv/acadpers/apm/apm-137.pdf , it is within the University's sole discretion not to reappoint a Postdoctoral Scholar.
G. APPOINTMENT PERCENTAGE
1. Appointments to the Postdoctoral Scholar title are full time, based on the expectation that the postdoctoral Scholar will be fully involved in scholarly pursuits.
2. In special cases, upon written request of the appointee and concurrence of the mentor, an exception may be granted by the dean when the appointee is unable to make a full time commitment for reasons of health, family responsibility, or employment external to the University. Such a request must take into account extramural funding agency requirements, if any.
3. When a reduced-time appointment has been approved, the mentor and Postdoctoral Scholar shall sign a written agreement specifying the reduction in hours of work and concomitant responsibility.
4. When a Postdoctoral Scholar additionally holds a University teaching appointment or other University position(s), the percent time of the Postdoctoral Scholar appointment normally will be reduced so that the sum of the percent times of all appointments equals 100 percent. Certain training grants allow for an exception to this provision. Faculty mentors should request an exception, based on the requirements of the training grant, at the time of appointment or reappointment. The dean has authority to approve this exception.
H. SALARY
1. A salary and stipend scale, with minimum and maximum pay rates, has been established by the Office of the President. The scale will be adjusted annually by the general range adjustment, if any, approved by the President for non-exclusively represented, non-Senate academic appointees.
2. Departments are responsible for determining the salary ranges appropriate for their discipline and establishing the criteria for determining the salary of individual Postdoctoral Scholars within the established range. Such criteria may include, the individual's qualifications, number of years of experience, performance as a postdoctoral scholar, funding availability in the discipline, and competitive salaries and stipends paid by other universities. When a stipend or salary is established for a Postdoctoral Scholar, equity among all appointees in the three Postdoctoral Scholar titles within the academic unit shall be taken into consideration.
3. When extramural agencies establish stipends at a rate less than the minimum and the University elects to proceed with an appointment, the faculty mentor is required to arrange the additional funding to bring the pay level up to the minimum.
4. A "Postdoctoral Scholar-Fellow" or "Postdoctoral Scholar-Paid Direct" may have his or her stipend supplemented with additional funding beyond the scale minimum. Supplementation must be in conformance with the terms of the fellowship or traineeship and, if paid with University funds, be paid in the "Postdoctoral Scholar-Employee" title. The sum of stipend and salary may not exceed the maximum of the scale, and must be consistent with department criteria for determining the appropriate pay level of an individual Postdoctoral Scholar.
I. SALARY INCREASE
1. Salary increases may be recommended for "Postdoctoral Scholars-Employees." A salary increase is awarded on the basis of merit and the availability of funding, and is conducted in conjunction with an annual review or reappointment review. Although the candidate's entire record may be considered, heavy emphasis will be placed on the evaluation of contributions since the last review.
2. Salary increases for "Postdoctoral Scholars-Fellows" and "Postdoctoral Scholars-Paid Directs" should be provided in accordance with the provisions of the extramural funding agency.
J. PRINCIPAL INVESTIGATOR STATUS
1. Postdoctoral Scholars may serve as principal investigators on awards that are restricted to postdoctoral scholars or on short-term awards (those for one year or less) for research expenses or travel, or on other awards with the approval of the Vice Chancellor for Research. A Request for Exception to Policy to Submit a Proposal Form, http://www.ucsc.edu/osp/forms/Exception.pdf, must be completed by the Postdoctoral Scholar and approved by the faculty mentor prior to submission of any proposal.
K. FACULTY MENTOR RESPONSIBILITIES
1. Faculty mentors are responsible for guiding and monitoring the advanced training of Postdoctoral Scholars. In this role, mentors should make clear the goals, objectives, and expectations of the training program and the responsibilities of Postdoctoral Scholars. They should regularly and frequently communicate with Postdoctoral Scholars, provide regular and timely assessments of the Postdoctoral Scholars performance, and provide career advice and job placement assistance.
2. Faculty mentors are also responsible for arranging for required funds to supplement salary to meet minimum pay rates for Fellows and Paid Directs, if necessary, and for identifying possible sources for funds to cover benefit costs.
3. Faculty mentors must conduct an annual review of the Postdoctoral Scholar. This review must be completed no later than the anniversary of the effective date. A written evaluation must be provided to the Postdoctoral Scholar upon request. To conduct the annual review, faculty mentors may use the Annual Review Form for Postdoctoral Scholars (See Appendix A: Annual Review Form for Postdoctoral Scholars ).
L. AUTHORITY
1. The academic deans have been delegated the authority to approve appointments and reappointments to this title. This authority may not be further re-delegated.
2. The dean will notify the individual of the appointment or reappointment in writing, with copies to the faculty mentor, the mentor's unit, and the Dean of Graduate Studies. (See Section R: Appointment and Reappointment Procedures ).
M. GRIEVANCES
1. A Postdoctoral Scholar may present a grievance according to the procedures established in APM 390-40, http://www.ucop.edu/acadadv/acadpers/apm/apm-390.pdf . A grievance is a complaint filed by a Postdoctoral Scholar that alleges one or both of the following:
a) A specific act by the University was arbitrary or capricious and adversely affected the Postdoctoral Scholar's then-existing appointment or training program. For the purposes of this policy, an act is not arbitrary or capricious if the decision-maker exercised reasoned judgment.
b) A violation of applicable University rules, regulations, or policies occurred which adversely affected the Postdoctoral Scholar's then-existing appointment or training program.
2. Grievances are filed with the Postdoctoral Grievance Liaison in the Division of Graduate Studies and Research.
N. LAYOFF AND CORRECTIVE ACTION AND DISMISSAL
A Postdoctoral Scholar may be subject to Layoff or Corrective Action and Dismissal according to the procedures established in APM 390-45 http://www.ucop.edu/acadadv/acadpers/apm/apm-390.pdf , Layoff, and APM 390-50 http://www.ucop.edu/acadadv/acadpers/apm/apm-390.pdf , Corrective Action and Dismissal.
O. SICK LEAVE, TIME OFF AND HOLIDAYS
1. Eligibility for Sick Leave is defined in APM 390-60.
2. Eligibility for Time Off is defined in APM 390-61.
3. Eligibility for Holidays is defined in APM 390-63.
P. ELIGIBILITY FOR LEAVES OF ABSENCE
For leave eligibility, see APM 390-62, APM 390-64, and APM 390-65.
Q. BENEFITS ELIGIBILITY
1. All Postdoctoral Scholars are eligible for designated health and welfare benefits. For enrollment and plan information, see http://www.garnett-powers.com/postdoc/ . The cost of benefits for Postdoctoral Scholars – Employee and Fellow will normally be charged to the same University Account as the salary. For Postdoctoral Scholars – Paid Directs and Postdoctoral Scholars – Fellow where the fellowship does not include sufficient funding for benefits costs, the faculty mentor, department, and/or division must identify appropriate alternative funding. The funding source(s) are determined in accordance with divisional guidelines. The University may collect payments directly from an outside funding agency if available, or from a Postdoctoral Scholar if the agency has provided benefits funding directly to the Postdoctoral Scholar.
2. The campus may not issue an offer of appointment or reappointment to any Postdoctoral Scholar unless an appropriate funding source has been identified to cover the maximum possible employer portion of the benefits costs. The actual cost is determined by the enrollment decisions of the Postdoctoral Scholar after the appointment has been accepted.
3. Postdoctoral Scholars – Employee contribute to the University of California Defined Contribution Plan as Safe Harbor participants and are not eligible for the University of California Retirement Plan . Postdoctoral Scholars – Fellow and – Paid Direct are not eligible for either plan.
R. APPOINTMENT AND REAPPOINTMENT PROCEDURES
1. Definitions:
Appointment: The initial appointment to the Postdoctoral Scholar title, or an appointment to this title after a break in service.Reappointment: The renewal of a previous appointment immediately following the ending of the previous appointment in the same title.
2. Procedures:
The faculty mentor will initiate and prepare the dossier in accordance with the provisions of either the Document Inventory for Appointment to Postdoctoral Scholar Titles or the Document Inventory for Reappointment to and/or salary increase for Postdoctoral Scholar Titles . The mentor will then forward the relevant document inventory to the appropriate department chair or research unit director.In the case of appointment, if external letters are solicited by the University, the solicitor must include the University's confidentiality statement (See Appendix B: Sample Extramural Letter Request and Confidentiality Statement ).
The appointment or reappointment of a Postdoctoral Scholar must receive the concurrence of the department or research unit. The department should review the proposed salary to insure pay equity within the department. The department will forward the dossier to the divisional dean's office.
If the dossier is found to be incomplete or inadequate during the review, additional information may be requested.
In the case of appointment the Postdoctoral Scholar shall be provided a written notice of appointment, which will include the following:
· Mentor 's name
· Begin and end dates of the appointment
· Salary/stipend amount, source of funding
· Work eligibility requirements for U.S. citizens and non-citizens
· APM 390 and benefits website
· Statement that Postdoctoral Scholar must accept the appointment in writing.