POSTDOCTORAL SCHOLAR (PX) Contract Implementation Training October 2012 UC Irvine

1. POSTDOCTORAL SCHOLAR (PX) Contract Implementation Training October 2012 UC Irvine 1

2. OVERVIEW • The Postdoc Labor Agreement is in effect from August 12, 2010 through September 30, 2015. • The bargaining unit includes Postdoctoral Scholar: • Employees(3252) • Fellows(3253) • Paid Directs(3254) • APM 390 will only be used for: • Postdoctoral Scholars whose physical work locations are not located in California. • SOM only under very limited circumstances: Clinical Instructors who are on certain fellowship grants and conducting research not directly related to their clinical work. AP must be consulted before use of these APM 390 title codes are used. . 2

3. EXCLUSIVE REPRESENTATIONTHE LAW Under HEERA, when a union is an exclusive representative, it represents all employees in the bargaining unit. • The union negotiates wages, hours, benefits and working conditions • The negotiated terms in the labor contract govern most of the University’s employment relationship with Postdocs. 3

4. AGREEMENT vs APM 390MUCH IS UNCHANGED • Definition of Postdoctoral Scholar has NOT changed • Have Ph.D. or other terminal advanced degree; engaged in temporary & defined period of work of advanced training … under direction & supervision of faculty mentors. • Postdoctoral Scholars do not “own” the work. Postdoctoral Scholar are “trainees” carrying out research. • When a Postdoc appointment ends, the University is not obligated to replace her/him with another Postdoc, unless required by a training grant. • Relationship with supervisor still involves performance and research expectations. 4

5. SUPERVISOR/POSTDOC RELATIONSHIP • Supervisor • The term “supervisor” is used throughout the Agreement to refer to the person who is responsible for mentoring / performance evaluation, appointment decisions, etc. • Supervisor is used because the Agreement reflects terms and conditions of employment, and therefore the relationships covered by the labor agreement are those of supervisor/employee. 5

6. APPOINTMENTS • Appointments & Reappointments are at the sole discretion of the University. • Terms of service • The initial appointment must be at least one year. • Subsequent reappointments are at management discretion and are normally one year; may be longer at PI discretion or as required by a grant. • Subsequent appointments may be shorter than a yearunder limited circumstances: • Funding is available for less than a full year • Continuation of project is less than one year • Visa Limitations • At request of Postdoc UC may bridge appointment for less than a year. 6

7. APPOINTMENTS • Appointment process: • Appointment and Reappointment delegated to Deans and Vice Chancellor of Research, effective October, 2012 • Revised Appointment Form, UCI-AP-PX1, which combined the offer and appointment process in one form. • Academic Personnel and Graduate Division will continue to serve as policy resources to departments and schools. 7

8. TIME WORKED / TIME OFF • Postdocs are considered “exempt” employees • Exempt = salaried, not hourly; not overtime eligible • Expectation: “at least 40 hours per week” • Supervisor still verifies absences • Postdoc cannot independently determine her/his schedule – supervisor still approves • Emphasis is on meeting professional goals and on demonstrating research and creative capabilities, rather than working a specified number of hours. 8

9. TIME WORKED / TIME OFF • Personal Time Off must be requested and approved in advance • Supervisor cannot unreasonably deny time off • Research considerations still prevail • Religious holiday – UC may not unreasonably deny a request for a religious holiday • “Use-it-or-lose-it” form of time off: no need to pay off unused time off at end of appointment 9

10. GRIEVANCE & ARBITRATION • A Grievance is: “a claim by an individual Postdoctoral Scholar, a group of Postdoctoral Scholars, or the UAW that the University has violated a specific provision of this Agreement during the term of the Agreement.” • Excluded Issues: • Content of Individual Development Plans, Progress Assessments, Annual Reviews • Arbitrator cannot review or substitute own judgment for that of the PI. • The campus steps in the grievance process allow for review by the Dean and/or Vice Provost • Informal – Supervisor/Chair • Step One – Chair/Assoc Dean • Step Two – Graduate Dean • Step Three – Office of the President • Arbitration – 3rd party neutral – full evidentiary hearing 10

11. INDIVIDUAL DEVELOPMENT PLANS • Development of an IDP is OPTIONAL – a PI cannot require a Postdoc to develop one. • The Postdoc is responsible for the development of her/his IDP. • The Supervisor may designate another qualified individual who can work with the Postdoc on her/his IDP. • The IDP may be used as part of the foundation for the Performance Assessment. • Process for developing IDP is outlined in the contract. • The supervisor or designee provides advice about revision • The process serves as a communication tool. http://www.grad.uci.edu/forms/postdoctoral-scholars/Postdoc%20IDP%20Guidelines.pdf http://www.grad.uci.edu/forms/postdoctoral-scholars/Postdoc%20IDP%20Self%20Assessment%20form.pdf 11

12. PROGRESS ASSESSMENTS • Supervisor “shall provide the Postdoc with at least one written review per 12-month period”. • Supervisor must communicate research and progress expectations for coming year; no specific time frame. • Failure to do so could impact ability to discipline for performance • When putting expectations in writing, supervisor may use a pre-established form (UCI-AP-PX3). • Contents of IDPs, Progress Assessments, and Annual Reviews are not grievable. • DOCUMENTATION IS KEY TO SUCCESS 12

13. DISCIPLINE & DISMISSAL • Three levels of discipline: • Letter of Warning • Suspension • Dismissal • Dismissal normally preceded by at least one letter of warning. • UC may proceed to dismissal without written warning when seriousness of misconduct or performance warrants. • Just Cause for Discipline & Dismissal • Process outlined in the Agreement • Disciplinary Actions will be grievable and arbitrable. 13

14. JUST CAUSE (NOT “JUST BECAUSE”) Just Cause includes seven universal standards: Notice: Prior to imposing discipline, employee must have notice of rules and expectations. May need to prove that employee knew the rules/expectations. Reasonable Rule or Order: Must be consistent with labor contract, cannot be arbitrary or capricious. Sufficient Investigation must occur prior to the discipline, be thorough, give employee opportunity to respond, & allow for union representation. Fair Investigation: The result must not be a foregone conclusion; question assumptions & bias. Proof: Level of proof is normally “substantial evidence” but a higher standard may be applied for more serious discipline. Equal Treatment: Did the employer apply rules, orders and penalties evenhandedly – applying same standard of justice it would apply to other (favored) employees? Penalty: Was the degree of discipline administered reasonably related to either the seriousness of the employee’s offense or to the record of past service? 14

15. Layoffs are for “lack of funds” only. • Layoffs are not discipline and cannot be used as a substitute for discipline. • 30 day notice has not changed. • Proposed Layoffs are to be submitted to the Academic Personnel Office for contract compliance review prior to implementation. • Copy of layoff notice to be sent to Union. LAYOFFS

16. Materials to be retained in a Personnel File • Postdoctoral Scholars have rights to access their personnel files. • UC must be able to provide access w/in 5 working days • E-mails may be placed in a personnel file. Example: An e-mail from PI to a Postdoc to memorialize a conversation re. performance, attendance, or conduct • Documents relevant to a Postdoc’s appointment should be included in the personnel file and copies should be provided to the Postdoc. PERSONNEL FILES 16

17. Do I want to hire the postdoc for another year (or less if applicable)? • Do I have the funds? “Postdoctoral Scholar appointments are temporary and have fixed end dates. (Article 2.B.1)” “It is within the University’s sole discretion to appoint, reappoint, or not reappointment a Postdoctoral Scholar. (Article 2.B.5)” • No requirement to reappoint. The Reappointment Decision

18. Currently (since June 1, 2011): • All newly appointed Postdocs must be appointed at least the NIH rate for her/his years of experience as a Postdoctoral Scholar. • All future reappointments must be to at least the appropriate experience based salary/stipend rate. • Postdoctoral Scholars with salary above the appropriate experience level shall receive at least 2% salary increase upon reappointment or on anniversary date (if with multiple-year appointment). COMPENSATION PostDocs Appointed as of June 1, 2011 18

19. Upon reappointment or on anniversary date between June 2011 through May 2014: • If salary above NIH Scale at current experience level: • 2% minimum per year Nothing precludes the University from paying more. • If salary below the NIH Scale: • Salary should be moved to the next appropriate experience scale or receive 3%, whichever is less **may not ever get on scale COMPENSATION PostDocs Appointed PRIOR TO June 1, 2011 19

20. A few reminders when reviewing postdoc compensation level: • Look at when the postdoc was initially appointed: • Prior to June 2011: the salary increase is either: • 2% if above experience level; or • to appropriate experience level or 3%, whichever is less, if below experience level • On or after June 2011: • 2% if above experience level; or • to the next appropriate experience level COMPENSATION

21. Graduate Division • Academic Personnel • Labor Relations • Dean’s Offices • Departments • Research Unit administrators Who To Contact

22. Labor Agreement: atyourservice.ucop.edu/employees/policies_employee_labor_relations/collective_bargaining_units/post_docs/ Academic Personnel : http://www.ap.uci.edu/postdoc/index.html Information for Postdoctoral Scholars: http://www.grad.uci.edu/postdoc/ WebResource Locations