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REQUIREMENTS AND POLICIES MANUAL

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Appointments, Faculty

    Title:

    Appointments, Faculty

    Publication date:

    12/22/2014

    Effective date:

    4/13/2007

    BRIEF

    Policy Summary

    Berkeley Lab employs persons in one of many different appointment types. Each appointment type has defined terms and conditions of employment. Appointment as Laboratory Faculty Scientist/Engineer or Faculty Senior Scientist/Engineer requires that an individual hold an active University of California (UC) faculty appointment.

    Who Should Read This Policy

    All employees who are simultaneously employed in a UC faculty title

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    For more information, employees may contact their division's Human Resources (HR) Center.

    Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    Title:

    Appointments, Faculty

    Publication date:

    12/22/2014

    Effective date:

    4/13/2007

    POLICY

    A. Purpose

    Berkeley Lab employs persons in one of many different appointment types. Each appointment type has defined terms and conditions of employment. Appointment as Laboratory Faculty Scientist/Engineer or Faculty Senior Scientist/Engineer requires that an individual hold an active University of California (UC) faculty appointment.

    B. Persons Affected

    All employees who are simultaneously employed in a UC faculty title

    C. Exceptions

    Requests for exceptions that exceed what is allowed under current policy or that are not expressly addressed by current policy are considered exceptions to policy. A request for an exception to policy requires, at minimum, approval by the Chief Human Resources Officer (CHRO).

    D. Policy Statement

    1. Types of Faculty Appointments
      1. UC Faculty. Some University of California faculty members have dual employment between a campus of the University and the Laboratory. Their appointment as faculty at the Laboratory is contingent upon their campus faculty appointment and is subject to UC Academic Personnel Policy. See Section D.2, Appointments of University of California Faculty.
      2. Visiting Faculty. Visiting faculty are members of the faculty of non-University of California colleges and universities. They are eligible for benefits, vacation, or sick leave in accordance with their appointment type. See RPM §2.07(C)(11) (Visiting Faculty and Visiting Researcher).

    2. Appointments of University of California Faculty
      1. University of California Faculty. Appointment as Laboratory Faculty Scientist/Engineer or Faculty Senior Scientist/Engineer requires an individual to hold an active (non-UC retiree) appointment in one of the following faculty titles or series:
        1. Professorial series
        2. Acting titles in the Professor series (Students who hold the Acting Instructor title are not considered faculty.)
        3. Visiting titles in the Professor series
        4. Professor in Residence series
        5. Adjunct Professor series
        6. Professor of Clinical (e.g., Medicine) series
        7. Health Sciences Clinical Professor series
      2. Faculty Scientist/Engineer. Faculty Scientists/Engineers are University of California faculty members. They participate in the programs of the Laboratory with or without salary support from the Laboratory. A Faculty Scientist/Engineer may have an association of recent origin and/or an association chiefly for conduct of research or engineering programs. 
        1. Qualifications. Faculty Scientists/Engineers must be active University of California faculty members (see Section D.2.a, University of California Faculty, above).
        2. Appointment
          1. Appointment as a Faculty Scientist/ Engineer is made by the division director with the recommendation by the Division Staff Committee. The appointment is contingent on continued faculty appointment and automatically ends upon termination of the individual's campus faculty appointment. The appointment may be made with or without salary support from the Laboratory. 
          2. The appointment of a Faculty Scientist/Engineer may be terminated at any time at the discretion of the division director. At least 90 days' written notice will be given, unless the division director determines that exceptional circumstances dictate otherwise. 
      3. Faculty Senior Scientist/Engineer. Faculty Senior Scientists/Engineers are University of California faculty members who have demonstrated outstanding creative capability, leadership, and experience in activities appropriate to the Laboratory's mission. A Faculty Senior Scientist/Engineer appointment will have a well-established relationship with the Laboratory and an ongoing program of research that productively involves Laboratory staff and resources. Faculty Senior Scientists/Engineers may also have a significant involvement in the development of Laboratory policies, planning, or managerial responsibilities.
        1. Qualifications. Faculty Senior Scientists/Engineers must be active University of California faculty members (see Section D.2.a, University of California Faculty, above).
        2. Appointment. Appointment as a Faculty Senior Scientist/Engineer will be made only after careful consideration and recommendation by a Division Staff Committee. The recommendation will be transmitted to the Laboratory Director by the division director, with comments. The appointment will be made by the Laboratory Director based on this advice and on the advice of the Laboratory Staff Committee. The appointment may be made with or without salary support from the Laboratory. The appointment is contingent on continued faculty appointment. Termination of a Faculty Senior Scientist/Engineer appointment is automatic upon termination of the individual's campus faculty appointment.
        3. Corrective Action and Dismissal. See the Corrective Action and Discipline policy.
        4. Termination Due to Lack of Funding
          1. The Laboratory recognizes the great value to its mission of its Faculty Senior Scientists/Engineers and seeks to retain them within the limits of the availability of funds and the need to maintain the viability and excellence of programs. 
          2. Because the Laboratory is funded on an annual basis according to fluctuating program priorities, Faculty Senior Scientists/Engineers may be required to be flexible in adjusting their research and development activities in order to continue in this appointment. These appointments may be terminated on approval of the Laboratory Director for reason of lack of funds. At least 90 days' written notice will be given, unless the Laboratory Director determines that exceptional circumstances dictate otherwise.
      4. Joint Laboratory/UC Faculty Appointments. With the written approval of the Laboratory Director, an individual may be given a joint (50/50) appointment (hereafter, "Joint Appointment") as a Faculty Scientist/Engineer or Faculty Senior Scientist/Engineer, provided that the appointment will be funded by the campus at 0.50 full-time equivalent (FTE) and by the Laboratory at 0.50 FTE.
        1. Appointment/Qualifications. Joint Appointments will be based on established criteria for hiring tenure-track or tenured faculty at the campus and Faculty Scientists/Engineers or Faculty Senior Scientists/Engineers at the Laboratory (see Section D.2.a, University of California Faculty, above).The campus and Laboratory will work together to develop the appropriate process and procedures to meet the applicable requirements for recruitment, selection and hire.
        2. Promotion/Advancement. Joint appointees will be reviewed for merit advancements and promotion pursuant to the applicable campus and Laboratory procedures and requirements.
        3. Performance/Conduct Issues. In the event that issues arise regarding the conduct or performance of a joint appointee, the campus and the Laboratory will cooperate to ensure that required policies and procedures are followed. For more information, see the Corrective Action and Discipline policy.
        4. Termination Due to Lack of Funding
        5. Special Considerations
          1. At the sole discretion of the Laboratory, Joint Appointments of Faculty Scientists/Engineers and Faculty Senior Scientists/Engineers may be eligible for the special considerations set forth below. The following special procedures are to be followed whenever overall funding constraints for the continued Laboratory support at 0.50 FTE for a joint appointee appear imminent. These procedures contain protections for joint appointees both before and after a termination notice is issued. Throughout the process, all reasonable efforts are to be undertaken by the division to assist joint appointees in maintaining sufficient funding for continued employment at the Laboratory. Special consideration will be given to joint appointees in cases of lack of funding in the program in which they work. This special consideration is outlined in the following procedure.
          2. Decision to Terminate Due to Lack of Funding. If the division director determines that a joint appointee must be terminated due to lack of funds to continue the Laboratory support at 0.50 FTE, the division director initiates the process for the affected joint appointee by following the procedures below:
            1. Employee Plan. The division director is responsible for developing an employee plan (hereafter "Plan") that reviews in writing those efforts already made and provides a description of future efforts to explore opportunities for maintaining sufficient funding for continued employment at the Laboratory for the joint appointee affected by lack of funds. The Plan is to include the following provisions:
              1. Interim Financial Support, Assignments, Expectations, and Milestones. The amount of financial support for the joint appointee will be identified and cover at least the minimum time period specified in this section. Specific job assignment, expectations, and milestones for the interim period will be clearly defined. Reasonable time will be allowed for the joint appointee to seek additional funding support.
              2. Continued Funding Support for Employment Opportunities within the Division. Plans to assist the joint appointee in pursuing other funding support within the division will be described, including support for special training, if required.
              3. Other Opportunities within the Laboratory. Plans to assist the joint appointee in pursuing funding support for employment opportunities within other Laboratory Divisions will be developed. These plans may include assistance in preparing a professional resume package and introduction letters, developing personal contacts by the division director, and allowing time to interview with potential hiring groups.
              4. New or Supplemental External Funding. Plans to assist the joint appointee in pursuing new or supplemental external funding for continued employment will be detailed. Assistance might include appropriate support for proposal preparation and exploratory studies to supplement the proposals, personal contacts by the division director, and travel for discussions and proposal presentations.
            2. Joint Appointee Notification. Once the Plan is developed, the division director submits it, along with a notice of intent to terminate due to lack of funding that indicates the termination date to the joint appointee and sends copies to the Laboratory Director and the Laboratory Staff Committee. The termination date for the joint appointee, who is supported by the Laboratory at 0.50 FTE, will be at least 24 months from the division director's notice to the joint appointee.
            3. Comments on Adequacy of Plan. The joint appointee will be given a two-week period to submit comments to the division director regarding the adequacy of the Plan. A copy of the response will be provided to the Laboratory Director and Laboratory Staff Committee.
            4. Laboratory Staff Committee Review. Based on review of the materials from the division director and the joint appointee's response, if any, the Laboratory Staff Committee will, within six weeks after receiving the materials from the division director, provide its comments to the Laboratory Director regarding the adequacy of the Plan.
            5. Laboratory Director's Review. After receiving the materials from the division, the Laboratory Director will, within eight weeks, notify the division director of the Laboratory Director's concurrence, non-concurrence, or recommendation to modify the termination due to lack of funding action. The Laboratory Director will also convey comments, if any, on the adequacy of the Plan.
            6. Confirmation of Termination Due to Lack of Funding. If it becomes apparent to the division director that sufficient funding for support of the 0.50 FTE will not be forthcoming to continue the joint appointee's employment, written confirmation of termination must be given to the joint appointee no later than 90 days prior to the stated date of termination given in the division director's notice of intent to terminate due to lack of funds.
            7. Completion of the Plan. At the end of the period covered by the Plan, the division director will submit a report to the Laboratory Director and the Laboratory Staff Committee describing the actions taken and their results.

    E. Roles and Responsibilities

    Role

    Responsibility

    Division director

    Is responsible for developing an employee plan (hereafter "Plan") that reviews in writing those efforts already made and provides a description of future efforts to explore opportunities for maintaining sufficient funding for continued employment at the Laboratory for the joint appointee affected by lack of funds.

    Managers, supervisors, and employees

    Have the responsibility to adhere to the provisions of this policy.

    F. Definitions/Acronyms

    None

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    Document number

    Title

    Type

    02.03.004.001-02

    Faculty Summer Pay Request Form-UCB 2011

    Form

    02.03.004.002-02

    Faculty Summer Pay Request Form-UCD 2011

    Form

    02.06.003.017-07

    Laboratory Directorate Scientist/Engineer Appointment/Promotion Approval Process

    Process

    02.03.004.003-01

    Faculty Appointment Summary

    Chart

    02.03.004.004-01

    IUT Process For UC Shared Faculty or UCB Joint Appointment Faculty

    process

    02.03.004.005-01

    UC Faculty Summer Pay Process

    process

    02.03.004.008-01

    UC Faculty Calculation Template

    Form

    02.03.004.006-01

    UC Faculty Offer Letter

    Template

    02.03.004.007-01

    LBNL/UCB Joint Appointment Faulty Recruitment & Hire Procedure

    Procedure

    N/A

    LBNL/UCB Joint Appointment Faculty Scientist and Faculty Senior Scientist Tracking Form

    Database

    N/A

    LBNL/UCB Joint Appointment Faculty Roster

    Database

    02.03.001.001-01

    Appointment Type Matrix

    chart

    02.06.003.010-02

    Scientific Career Paths

    chart

    N/A

    S&E Cases for LSC Review - Status Update

    database

    N/A

    Submitting S&E Cases for LSC Review

    database

    I. Contact Information

    For more information, employees may contact their division's Human Resources (HR) Center.

    Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    0

    M. Bello

    Rewrite for wiki (brief)

    All

    Minor

    12/22/2014

    1

    L. Westphal

    Rewrite for wiki (policy)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Appointments, Faculty

    Document number

    02.03.004.000

    Revision number

    1

    Publication date:

    12/22/2014

    Effective date:

    4/13/2007

    Next review date:

    12/22/2017

    Policy Area:

    Types of Appointments

    RPM Section (home)

    Human Resources

    RPM Section (cross-reference)

    Section 2.01(F)(2); Sections 2.07(C)(9)

    Functional Division

    Human Resources

    Prior reference information (optional)

     

    Source Requirements Documents

    • University of California Academic Personnel Manual (APM)
    • DOE Contract DE-AC02-05CH11231, Section J, Appendix A, Advance Understandings on Human Resources
    • LBNL/UCB Joint Appointment Faculty Memorandum of Understanding (MOU)
    • LBNL/UCB Faculty Appointment Faculty Memorandum of Understanding (MOU)
    • LBNL/UCD Faculty Appointment Faculty Memorandum of Understanding (MOU)
    • LBNL/UCSF Faculty Appointment Faculty Memorandum of Understanding (MOU)

    Implementing Documents

    Document number

    Title

    Type

    02.03.004.001-02

    Faculty Summer Pay Request Form-UCB 2011

    Form

    02.03.004.002-02

    Faculty Summer Pay Request Form-UCD 2011

    Form

    02.06.003.017-07

    Laboratory Directorate Scientist/Engineer Appointment/Promotion Approval Process

    Process

    02.03.004.003-01

    Faculty Appointment Summary

    Chart

    02.03.004.004-01

    IUT Process For UC Shared Faculty or UCB Joint Appointment Faculty

    process

    02.03.004.005-01

    UC Faculty Summer Pay Process

    process

    02.03.004.008-01

    UC Faculty Calculation Template

    Form

    02.03.004.006-01

    UC Faculty Offer Letter

    Template

    02.03.004.007-01

    LBNL/UCB Joint Appointment Faulty Recruitment & Hire Procedure

    Procedure

    N/A

    LBNL/UCB Joint Appointment Faculty Scientist and Faculty Senior Scientist Tracking Form

    Database

    N/A

    LBNL/UCB Joint Appointment Faculty Roster

    Database

    02.03.001.001-01

    Appointment Type Matrix

    chart

    02.06.003.010-02

    Scientific Career Paths

    chart

    N/A

    S&E Cases for LSC Review - Status Update

    database

    N/A

    Submitting S&E Cases for LSC Review

    database

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