Postdoctoral Scholars Section 1. Introduction The recognizes the importance of assisting Postdoctoral Scholars as they develop into independent investigators. It is our goal to assist junior scholars who have completed their doctoral degrees (Ph.D., Sc.D., M.D., D.D.S., J.D. and equivalent doctorates) by preparing them for full-time academic or research careers, under the guidance of senior scholars. USC welcomes Postdoctoral Scholars who wish to perform their research in collaboration with USC faculty and encourages its faculty to advise, mentor and assist these developing scholars. Section 2. Definition A Postdoctoral Scholar is a trainee in residence at the university pursuing advanced study beyond a doctorate in preparation for a full-time academic and/or research career. To be considered for appointment as a Postdoctoral Scholar at the, the individual must qualify as a: (1) Postdoctoral Research Associate, (2) Postdoctoral Fellow or (3) Postdoctoral Teaching Fellow. The Postdoctoral Research Associate or Postdoctoral Teaching Fellow is appointed as a temporary, fixed-term employee of the university. The Postdoctoral Fellow is registered as a non-matriculated, non-degree seeking, and limited status student of the university. A Postdoctoral Scholar must have been awarded a Ph.D. or equivalent doctorate in an appropriate field within five years of initial appointment. The appointment involves substantial full-time research or scholarship. (In the case of a Postdoctoral Teaching Fellow, teaching is permitted up to 50% of total effort, not to exceed instruction in three courses per year). The Postdoctoral Scholar appointment is viewed as preparatory for a full-time academic and/or research career. Postdoctoral appointments are not part of clinical (patient care) training programs. Appointees work under the oversight of a more senior scholar, who is the faculty mentor. The appointee has the freedom, and is expected, to publish the results of his or her research or scholarship during the period of the appointment. The university category Research Associate is reserved for long-term, career employees who hold the Ph.D. or equivalent doctorate. Unlike a Postdoctoral Scholar appointment, a Research Associate appointment is not preparatory toward a full-time academic and/or research career. Page 1 of 7
Section 3. Title and Benefits Postdoctoral Research Associates are a category of visiting scholars seeking to further their educational and professional development and who meet the above definition. Postdoctoral Research Associates may be in residence at the university for a period not to exceed five years. All Postdoctoral Research Associates appointed at the university must be issued a university letter that sets forth the terms of the appointment. Postdoctoral Research Associates will be eligible for benefits provided to university staff employees, with the exception of tuition assistance benefits. Since Postdoctoral Research Associates are not faculty members, they do not accrue eligibility toward sabbatical leave. Postdoctoral Research Associates may be supported on research projects or grants. Postdoctoral Fellows are a category of visiting scholars seeking to further their educational and professional development and who meet the above definition. Postdoctoral Fellows must be registered as non-matriculated, non-degree seeking students while in residence as Postdoctoral Fellows at the university. Postdoctoral Fellows may be in residence at the university for a period not to exceed five years. All Postdoctoral Fellows appointed at the university must be issued a university offer letter that sets forth the terms of the appointment. Postdoctoral Fellows will be eligible for benefits provided to university students. Postdoctoral Fellows are supported on external training grants, or with USC or external stipends. The postdoctoral fellow category shall only be used when student status is an expectation of the organization that sponsors the postdoctoral appointment. Postdoctoral Teaching Fellows is a category of visiting scholars seeking to further their educational and professional development and who meet the above definition. Postdoctoral Teaching Fellows are appointed for a period of at least one and no more than two years. All Postdoctoral Teaching Fellows appointed at the university must be issued a university letter that sets forth the terms of the appointment. Postdoctoral Teaching Fellows will be eligible for benefits provided to university staff employees, with the exception of tuition assistance benefits. Since Postdoctoral Teaching Fellows are not faculty members, they do not accrue eligibility toward sabbatical leave. Postdoctoral Teaching Fellows may be supported on internal funds or on grants. However, grant funding can only be used to compensate research effort occurring during the fellowship, unless the funder explicitly permits compensation for teaching activity. A Postdoctoral Scholar's financial support provided by external agencies, whether or not called a fellowship, is to be confirmed by the department at the time of the appointment and is considered to be part of the Postdoctoral Scholar's total financial support. An appointment is always subject to the conditions of the agency or organization making the award. When employed by the university to teach or work on a research project or grant, university policies that are applicable to staff employees must be followed. Page 2 of 7
Section 4. Privileges and Obligations of Postdoctoral Scholars As employees of the university, Postdoctoral Research Associates and Postdoctoral Teaching Fellows are eligible to use the university's research facilities and offices that are assigned by the faculty mentor or the department. As registered students of the university, Postdoctoral Fellows are eligible to access the same facilities as Postdoctoral Research Associates and Postdoctoral Teaching Fellows. Postdoctoral Research Associates and Postdoctoral Teaching Fellows are eligible to serve as Coprincipal Investigators on grant applications, but may not be Principal Investigators unless a specific waiver and approval is granted upon recommendation by the department and approval of the appropriate dean of the school. Postdoctoral Scholars have the obligation to abide by the university's policies. Current policies are posted on the university's Web page at http://www.usc.edu/policies, including those that define intellectual property rights, as modified from time to time. Postdoctoral Scholars must also satisfy any requirements imposed by an external sponsor that supports a fellowship, such as education and training requirements. Failure of a Postdoctoral Research Associate or Postdoctoral Teaching Fellow to abide by the policies and regulations of the university or the school are grounds for discipline, and may result in termination or dismissal. Failure of a Postdoctoral Fellow to abide by the policies and regulations of the university or the school are grounds for discipline, and may result in discontinuance of the Postdoctoral Fellow appointment. Postdoctoral Scholars are encouraged and expected to publish the results of their research during the period of their appointment at USC. Faculty mentors are expected to encourage and support publication of research, for the benefit of the Postdoctoral Scholar's professional development. The primary role of the Postdoctoral Fellow or Postdoctoral Research Associate is research. If teaching will be a significant component of a Postdoctoral Scholar s activity, Postdoctoral Teaching Fellow is the preferred category of appointment. In unusual cases a limited amount of teaching may be appropriate for Postdoctoral Fellows and Postdoctoral Research Associates, e.g., as part of preparation for an academic career, if the individual does not have sufficient prior teaching experience. A Postdoctoral Fellow or Postdoctoral Research Associate may not teach more than four courses while at USC unless special permission is obtained from the Provost and may never teach more than one course in a semester. When this occurs, research effort should normally be reduced, so that the fellow or associate has adequate time to devote to teaching. If a Postdoctoral Fellow or Postdoctoral Research Associate teaches, it will be with a title of "Teaching Associate" and only as permitted under the terms of the external award. A Postdoctoral Teaching Fellow has dual roles in research and teaching and may teach up to three courses a year for two years. Page 3 of 7
Faculty mentors are not permitted to assign work tasks to Postdoctoral Fellows. Instead, the relationship is purely that of a mentor, to guide fellows in the research programs that the fellows initiate. The university, through the Office of Research Advancement, shall annually set minimum compensation for all categories of Postdoctoral Scholars. Section 5. Appointment Postdoctoral Scholar appointments are to be for a fixed term. Postdoctoral Research Associate appointments are one-year renewable appointments. Postdoctoral Fellow appointments are for a minimum period of six months. Postdoctoral Research Associates, Postdoctoral Fellows and Postdoctoral Teaching Fellows will be granted a fixed-term appointment letter covering the terms of the appointment, signed by the dean of the school. The fixed-term letter of appointment for a Postdoctoral Fellow or Postdoctoral Research Associate can be renewed up to a maximum of five one-year appointments on the recommendation of the faculty mentor and at the discretion of the dean. Postdoctoral Teaching Fellows are appointed for a period of one to two years, without possibility of extension. Postdoctoral Teaching Fellows are appointed by the dean of a school on the nomination of a department on the basis of (1) distinguished academic record and high potential for securing a tenure-track job, (2) the individual s need for teaching experience, (3) the department s need to have specific courses taught, and (4) the availability of a mentor, who was not the Ph.D. advisor, and a strategy for mentorship leading to a tenure-track appointment. There is no obligation to renew an appointment, which is at the discretion of the university. Cumulatively, all the appointments for a Postdoctoral Scholar should never exceed five years, unless approved in advance by the Provost. Faculty mentors are encouraged to give Postdoctoral Research Associates and Postdoctoral Fellows a minimum of 60 days notice if they do not intend to recommend renewal of appointments, but whether or not such notice is given, the appointment ends on the designated date or on June 30 if no date is designated. In addition, appointments may be prematurely terminated without cause at the discretion of the dean of the school, after consultation with the mentor, on 90 days notice. The school dean must sign the appointment offer letter. The appointment letter must be countersigned by the Postdoctoral Scholar, received by the school, and filed with University Payroll Services prior to the initiation of the appointment. The appointment letter is to include the following: Laboratory, institute, department or school appointing the Postdoctoral Scholar; faculty member who will serve as the mentor; term of the appointment, with starting and ending dates; expectation that a Postdoctoral Research Associate or Postdoctoral Fellow will be involved in essentially full-time research or scholarship; Page 4 of 7
expectation that a Postdoctoral Teaching Fellow will be engaged in both scholarship and teaching and will not accept other contemporaneous employment at USC or elsewhere; university's restrictions on the length of appointment; source of funding to support the Postdoctoral Scholar's research; whether the Postdoctoral Research Associate or Postdoctoral Fellow appointment will end at the conclusion of a particular externally funded fellowship or grant; Postdoctoral Research Associate's or Postdoctoral Teaching Fellow s monthly salary and benefits; statement that a Postdoctoral appointment is subject to university policies, including the policy defining intellectual property rights; confidentiality statement; specific request that Postdoctoral Scholar provide a copy of their doctoral diploma or other certification that indicates that the terminal degree has been completed satisfactorily; statement that Postdoctoral Scholar must adhere to any requirements of the organization that sponsors his or her appointment; statement that a Postdoctoral Scholar will be required to verify their eligibility to work or study in the United States; Agreement to Arbitrate Claims; and At-Will Employment Agreement for Postdoctoral Research Associate or Postdoctoral Teaching Fellow. If the postdoctoral candidate has not yet obtained a doctoral degree, he or she should provide evidence that a thesis has been approved together with a documented indication of the expected date of formal graduation. It is the responsibility of the faculty mentor to verify this documentation. The documentation is to be filed with University Payroll Services through the school s Home Department Coordinator. Departments are expected to contact the Office of International Services early in the recruitment process, when it becomes evident that a candidate for a Postdoctoral Scholar appointment is not a citizen or permanent resident of the United States. Depending on the nature of the appointment, the process of obtaining necessary governmental approval may need to begin prior to an offer of appointment. Once the details of the appointment are known, the OIS J-1 Exchange Visitor Program Coordinator, or the Director of Faculty/Staff Visa Services, will advise departments of the appropriate steps which need to be taken, assist in the completion of procedures, and provide additional services when necessary. Offer letters should follow University Templates, which will be maintained by the Office for Research Advancement. Page 5 of 7
Section 6. Faculty Responsibilities Faculty mentors should treat Postdoctoral Scholars as professional colleagues who are launching their research careers and may soon seek appointment as assistant professors or full-time research scholars. Mentors should orient Postdoctoral Research Associates and Fellows and Teaching Fellows to the university's research policies and, in particular, should discuss in detail the implications of the policies on the conflicts of interest and the policy on intellectual property. Faculty mentors also have a responsibility to provide career advice and encouragement. However, it is not the responsibility of the university to insure that Postdoctoral Scholars obtain permanent positions upon completion of their term of appointment. Section 7. University Responsibilities Deans are responsible to the Provost for monitoring the implementation of the Postdoctoral Scholars policy in their school's departments, centers and institutes. Appointment records for Postdoctoral Scholars should be entered in the university's payroll, personnel, and benefits systems, and in the FACTS system ( Baxter ). In addition, the appointing school or department is responsible for entering the Postdoctoral Fellow's information into the university's student information system. A non-degree program code is used for Postdoctoral Fellows. The Postdoctoral Fellow is then required to register each semester. The university will maintain a standing notice of the opportunity for appointment as a Postdoctoral Research Associate or Fellow or Teaching Fellow, and will refer all applicants to the appropriate department. A unit searching for a particular category of Postdoctoral Scholar may choose to have additional advertisements. The university's policies on equal opportunity and non-discrimination must be observed and good faith efforts are to be made to provide equal opportunity to outstanding men and women of every race, creed and background. Since these Postdoctoral Scholars are in a temporary training status, they may not be moved to a regular instructional or research position except by consideration during a normal posting and search procedures. It is the responsibility of the Office of the Provost to administer this policy and assure consistent application of this policy across the schools of the university. Page 6 of 7
Section 8. Approval This policy has been developed to reflect and confirm the university's support and encouragement for the appointment of Postdoctoral Scholars at the university, and to require that these efforts be undertaken in accordance with the university's policies and guidelines. This policy is effective as of the date set forth below. It is the university's intention to review the policy from time to time following its adoption. Page 7 of 7