POLICY

A. Purpose

Berkeley Lab employs persons in one of many different appointment types. Each appointment type has defined terms and conditions of employment. Scientist and Engineer employees may be employed in a Career, Term, Limited, Faculty, Visiting Researcher, or Rehired Retiree appointment. This policy defines the various categories of Laboratory Scientist and Engineer positions, including descriptions of the qualities and characteristics appropriate for employees in each category. Procedures for hires, promotions, and other personnel actions are delineated and the roles of the Division Staff Committees and Laboratory Staff Committee are described.

B. Persons Affected

This policy applies to Scientists/Engineers in the SXX.X and RXX.X Job Classification Series.

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 and Diversity Officer (CHRO).

D. Policy Statement

This policy is intended to supplement and not to conflict with applicable University and Laboratory human resources policies and procedures. For dismissals for conduct or performance reasons, refer to RPM §2.05 (Management/Employee Relations). For terminations, including reductions in force, refer to RPM §2.21 (Terminations). For other applicable Laboratory policies and procedures, refer to specific sections of the RPM.

1. Career-Track Position. A career-track position as a Research Scientist/Engineer (Career-Track) or Scientist/Engineer (Career-Track) or Staff Scientist/Engineer (Career-Track) is a term appointment of a minimum of one year to a maximum of five years (during which the employee's performance is evaluated for promotion to a career position). Time spent in Postdoctoral Fellow appointments is excluded from the five-year limit. A Divisional Fellow position is a career-track position. For information on the length of this appointment, refer to Section D.5.f, Divisional Fellow (Career Track), below. A promotion to a career position may take place at any time during the appointment term; however, if the employee is not promoted, the employee's appointment will automatically expire at the end of the appointment term. If an employee resigns or if an employee's appointment is terminated during the appointment term and returns in another career-track position, the previous period of employment counts towards the five-year maximum. It is within the Laboratory's sole discretion not to extend career-track appointments or not to promote career-track appointees as long as the reasons for non-extension or non-promotion are not in violation of Laboratory policy.
2. Promotion. When used with regard to professional research staff, a promotion occurs when a career-track employee advances to a career position as well as when a career employee advances to a higher-level career position.
3. Procedures

   1. Suitable Search. A national search is required for hires into both career-track and career Research Scientist/Engineer and Divisional Fellow appointment series. An international search is required for hires into both career-track and career Staff Scientist/Engineer, Senior Scientist/Engineer, and Distinguished Scientist/Engineer appointment series. A prior search for Postdoctoral Fellows does not qualify as a suitable search for career-track or career positions. See Scientist/Engineer Suitable Search Guidelines and Scientist-Engineer Suitable Search Checklist.

   2. Midterm and Promotional Reviews. Procedures for midterm and promotional reviews of Research Scientists/Engineers (Career-Track), Staff Scientists/Engineers (Career-Track), and Divisional Fellows are listed here and in the description of each appointment type below. See Scientist/Engineer Midterm Review Guidelines and Scientist/Engineer Midterm Review Checklist. See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.

4. Laboratory Staff Committee Membership

   1. The Laboratory Staff Committee is appointed by the Laboratory Director, who selects one committee member from each of the scientific divisions and one committee member from Engineering.
   2. The Laboratory Director selects each division's member from two candidates proposed by the division director. The candidates will be either a Senior Scientist/Engineer, Faculty Senior Scientist, or Distinguished Scientist/Engineer. The Laboratory Director may appoint three additional members chosen at large from the Laboratory's Distinguished Scientists/Engineers, Senior Scientists/Engineers, and Faculty Senior Scientists/Engineers, and may designate one of the at-large members as Chair.
   3. Members are appointed for up to three years and may be considered for reappointment.
   4. Division Staff Committees
      1. Make recommendations to the division director concerning the following appointments: Research Scientist/Engineer (Career-Track), Research Scientist/Engineer (Career), Staff Scientist/Engineer (Career-Track), Staff Scientist/Engineer (Career), Divisional Fellow, Senior Scientist/Engineer, Distinguished Scientist/Engineer, Faculty Scientist/Engineer, Faculty Senior Scientist/Engineer.
      2. Advise the division director on searches for career-track and career scientist/engineer positions and the final recommendation of the search committee.
      3. Make recommendations to the division director regarding the promotion of career-track term employees to career status.
      4. Members of the Division Staff Committee are appointed by the division director from among the division's Distinguished and Senior Scientists/Engineers and Faculty Senior Scientists/Engineers. Selection procedures and length of service on Division Staff Committees are at the discretion of the division director.

5. Types of Professional Research Staff Positions. The Berkeley Lab Scientific Career Paths chart, below, illustrates the relationships among the categories. Dotted lines indicate promotional possibilities for scientists/engineers in career positions.
   
    Go here to download a PDF of the Berkeley Lab Scientific Career Path chart.

1. 1. Postdoctoral Fellow. Information on the Postdoctoral Fellow appointment has been moved to the Postdoctoral Fellow policy.
   2. Research Scientist/Engineer (Career-Track)
      1. Description. Research Scientist/Engineer is an entry-level, career-track position for professionals with broad knowledge in a field of specialization. 
      2. Qualifications. A Research Scientist/Engineer (Career-Track) will usually have the highest customary degree for his or her field. A Research Scientist/Engineer (Career-Track) will have broad knowledge in his or her field of specialization with a good understanding of the relevant basic concepts, principles, and theories.
      3. Appointment and Promotion. The Research Scientist/Engineer position is a career-track term position with a maximum length of five years. The initial appointment must be for at least one year but may be renewed up to the full five-year term. Based on performance, a Research Scientist/Engineer (Career-Track) will be considered for promotion to Research Scientist/Engineer (Career) within five years and will receive a written midterm review of performance and prospects for promotion no later than the end of three years from the initial hire in accordance with the Procedures for Midterm and Promotional Review. The midterm review and promotional review are in addition to the annual performance review (See the Employee Performance Evaluations policy).
         1. If a Research Scientist/Engineer (career-track) employee is on an approved paid or unpaid leave of absence for one month or longer, his or her appointment may be extended by the length of the leave but only up to one year beyond the five-year maximum. 
      4. Midterm Review. At least 120 days prior to the end of the third year, the Division Staff Committee must have completed a midterm review of the work of the Research Scientist/Engineer (Career-Track) and provide the division director the midterm review. The division director must provide the employee with a written statement of the prospects for promotion to career position. See Scientist/Engineer Midterm Review Guidelines and Scientist/Engineer Midterm Review Checklist.
      5. Promotion to Research Scientist/Engineer (Career)
         1. At least 120 days before the end of the fifth year, the Division Staff Committee must complete a final review of the work of the Research Scientist/Engineer and recommend to the division director for or against promotion to Research Scientist/Engineer (Career).
         2. If the division director concurs with a recommendation for promotion, he or she so informs the Research Scientist/Engineer in writing at least 90 days prior to the end of the appointment.
         3. If the division director concurs with a recommendation against promotion, the Research Scientist/Engineer must be given written notice at least 90 days prior to the end of the appointment.
         4. See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.
      6. Work Deferment. A Research Scientist/Engineer (Career-Track) employee shall be given written notice of the effective date and the ending date of a temporary work deferment or temporary reduction in time. Notice shall be provided at least 15 calendar days before the effective date or pay in lieu of notice. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.
      7. Expiration/Termination of Appointment
         1. Research Scientist/Engineer (Career-Track) appointments end automatically on the current expiration date unless the employee is given advance written notice that the appointment will be extended.
         2. The employment of a Research Scientist/Engineer (Career-Track) may be terminated before the end of the employee's appointment for disciplinary reasons or substandard performance of which the employee has been advised as provided in the Corrective Action and Discipline policy. The appointment may also be terminated early for lack of funds, lack of work, or changes in operational/business needs, in which case at least 90 days' written notice will be given prior to termination.
   3. Research Scientist/Engineer (Career)
      1. Description. The Research Scientist/Engineer (Career) position is a career position for professionals with broad knowledge in a field of specialization. Assigned work is predominantly intellectual and varied, rather than standardized and routine, and requires professional judgment and decision-making. Research Scientists/Engineers (Career) may supervise technical staff and be responsible for laboratory or facility operations, but will not normally have Principal Investigator status. 
      2. Qualifications. A Research Scientist/Engineer (Career) will usually have the highest customary degree for his or her field of specialization, and a demonstrated ability to independently carry out creative research within an established framework. Laboratory or facility managers will have demonstrated experience in laboratory or facility management.
      3. Appointment. Appointment as a Research Scientist/Engineer (Career) may be through a direct hire or a promotion from Research Scientist/Engineer (Career-Track). The appointment must be approved by the division director with the advice of the Division Staff Committee.
      4. Promotion. While this is the highest position that many scientists and engineers at the Laboratory may attain, Research Scientists/Engineers (Career) who develop an independent research program; who are recognized outside the Laboratory for their exceptional scientific or technical expertise; and/or who are successful in obtaining funding may be considered for promotion to Staff Scientist/Engineer (Career). See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.
      5. Corrective Action and Dismissal (See the Corrective Action and Discipline policy and the Employee Complaint Resolution policy.
      6. Work Deferment. A Research Scientist/Engineer (Career) employee shall be given written notice of the effective date and the ending date of a temporary work deferment or temporary reduction in time. Notice shall be provided at least 15 calendar days before the effective date or pay in lieu of notice. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.
      7. Reduction in Force. Proposed layoff of Research Scientists/Engineers (Career), pursuant to the Reduction in Force policy, will be approved by the division director. Written notice of such action will be given at least 90 days prior to date of layoff. The division will make reasonable efforts to obtain suitable employment in another program within the division for any Research Scientist/Engineer (Career) who otherwise would be terminated for lack of funds or termination of a project or program.
   4. Staff Scientist/Engineer (Career-Track)
      1. Description. Staff Scientist/Engineers (Career-Track) are professionals with competence and skills in specialized areas of research and development relating to the programmatic needs of the Laboratory. Employees at this level may serve as project or group leader; be assisted by other scientists and engineers and support staff; have principal investigator status; and directly supervise other professionals, technical support staff, or students.
      2. Qualifications. This position is for fully qualified and independent scientists or engineers with recognized technical expertise who are capable of leading independent research and development work. Typically, an individual entering or being promoted to this level has at least five years of relevant professional experience beyond the customary highest degree appropriate to the candidate's discipline.
      3. Appointment and Promotion. The Staff Scientist/Engineer (Career-Track) is a position with a maximum length of five years. The initial appointment must be for at least one year but may be for any length up to the full five-year term. Based on performance, a Staff Scientist/Engineer (Career-Track) will be considered for promotion to Staff Scientist/Engineer (Career) within five years and will receive a written midterm review of performance and prospects for promotion no later than the end of three years from initial hire in accordance with the Procedures for Midterm and Promotional Review. The midterm review and promotional review are in addition to the annual performance review (See the Employee Performance Evaluations policy).
      4. If a Staff Scientist/Engineer (career-track) employee is on an approved paid or unpaid leave of absence for one month or longer, his or her appointment may be extended by the length of the leave but only up to one year beyond the five-year maximum. 
      5. Midterm Review
         1. At least 120 days prior to the end of the third year, the Division Staff Committee must have completed a review of the work of the Staff Scientist/Engineer (Career-Track) and provide the division director the midterm review. The division director must provide the employee with a written statement of the prospects for promotion to Staff Scientist/Engineer (Career).
         2. See Scientist/Engineer Midterm Review Guidelines and Scientist/Engineer Midterm Review Checklist.
      6. Promotion to Staff Scientist/Engineer (Career)
         1. At least 120 days before the end of the fifth year, the Division Staff Committee must have completed a review of the work of the Staff Scientist/Engineer (Career-Track) and recommend to the division director for or against promotion to Staff Scientist/Engineer (Career).
         2. If the division director concurs with a recommendation for promotion, he or she refers the recommendation to the Laboratory Director who makes the final decision on the appointment.
         3. If the division director concurs with a recommendation against promotion, the Staff Scientist/Engineer (Career-Track) must be given at least 90 days' advance written notice prior to termination.
         4. See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.
      7. Work Deferment. A Staff Scientist/Engineer (Career Track) employee shall be given written notice of the effective date and the ending date of a temporary work deferment or temporary reduction in time. Notice shall be provided at least 15 calendar days before the effective date or pay in lieu of notice. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.
      8. Expiration/Termination of Appointment
         1. Staff Scientist/Engineer (Career-Track) appointments end automatically on the current expiration date unless the employee is notified in advance in writing that the appointment will be extended.
         2. The employment of a Staff Scientist/Engineer (Career-Track) may be terminated before the end of the employee's appointment for disciplinary reasons or substandard performance of which the employee has been advised as provided in the Corrective Action and Discipline policy. The appointment may be terminated early for lack of funds, lack of work, or changes in operational/business needs, in which case the employee will be given at least 90 days' advance written notice before termination.
   5. Staff Scientist/Engineer (Career)
      1. Description. The Staff Scientist/Engineer (Career) is a position for professionals with competence and skills in specialized areas of research and development relating to the programmatic needs of the Laboratory. Staff Scientists/Engineers (Career) may serve as project or group leaders, be assisted by other scientists and engineers and support staff, have principal investigator status, and directly supervise other professionals, technical support staff, or students. 
      2. Qualifications. This position is for fully qualified and independent scientists or engineers with recognized technical expertise who play a leadership role in the Laboratory's research program. Typically, an individual entering or being promoted to this level has at least five years of relevant professional experience beyond the customary highest degree appropriate to the candidate's discipline. The individual is recognized as a resource or active impact contributor in his or her own field as perceived internally by management and peers, and externally through conference presentations, publications in refereed journals, invited lectures, and awards.
      3. Appointment. An action to hire or promote an individual into a Staff Scientist/Engineer (Career) appointment is initiated by the division director and reviewed by the Division Staff Committee. The appointment is approved by the Laboratory Director.
      4. Promotion. While this is the highest level that the majority of scientists and engineers are expected to attain, Staff Scientists/Engineers (Career) with significant experience and achievements in research and who play a leadership role at the Laboratory may be considered for promotion to Senior Scientist/Engineer. See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.
      5. Corrective Action and Dismissal (See the Corrective Action and Discipline policy and the Employee Complaint Resolution policy.)
      6. Work Deferment. A Staff Scientist/Engineer (Career) employee shall be given written notice of the effective date and the ending date of a temporary work deferment or temporary reduction in time. Notice shall be provided at least 15 calendar days before the effective date or pay in lieu of notice. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.
      7. Reduction in Force. Proposed layoff of Staff Scientists/Engineers (Career), pursuant to the Reduction in Force policy, will be approved by the division director. Written notice of such action will be given at least 90 days prior to date of layoff. The division will make reasonable efforts to obtain suitable employment in another program within the division for any Staff Scientist/Engineer (Career) who otherwise would be terminated for reasons of lack of funds or termination of a project or program.
   6. Divisional Fellow (Career Track)
      1. Description and Qualifications
         1. An appointment as a Divisional Fellow is a career-track position for a single five-year term may be given to an individual with outstanding promise and creative ability in a field of scientific endeavor conducted by a division. The appointment will imply the intent of the division to provide the research and development support needed to enable the fellow to join an existing group or to create an independent program consistent with the goals and capabilities of the division and consideration for promotion to Senior Scientist/Engineer. It is not a requirement of this policy that each division appoint any Divisional Fellows.
         2. If a Divisional Fellow (career-track employee) is on an approved paid or unpaid leave of absence for one month or longer, his or her appointment may be extended by the length of the leave but only up to one year beyond the five-year maximum. 
      2. Appointment. Appointment of a Divisional Fellow will be made only after a national (or international) search, which is then reviewed by the Division Staff Committee. The case for the appointment is then transmitted by the division director to the Laboratory Director. If the case appears to be in order, it is transmitted to the Laboratory Staff Committee for further review and a vote. The results of the Laboratory Staff Committee review are transmitted to the Laboratory Director who will make the final decision on the appointment.
      3. Expiration/Termination of Appointment. Termination of the Divisional Fellow appointment before expiration of the term may be made for disciplinary reasons, as provided in the Corrective Action and Discipline policy or for inadequate quality of research and development or other service appropriate to the purposes of the Laboratory. In the latter case, one year's written notice will be given. Decisions with respect to early termination will be made by the Laboratory Director with advice from the division director and Division Staff Committee. In each case, a review of the proposed action will also be made by the Laboratory Staff Committee.
      4. Midterm Review. At least 120 days prior to the end of the third year, the Division Staff Committee must have completed a review of the work of the Divisional Fellow and provide the division director the midterm review. The division director must provide the employee with a written statement of the prospects for promotion to Senior Scientist/Engineer. See Scientist/Engineer Midterm Review Guidelines and Scientist/Engineer Midterm Review Checklist.
      5. Promotion to Senior Scientist/Engineer
         1. At least 120 days before the end of the fifth year, the Division Staff Committee must complete a review of the work of the Divisional Fellow and recommend to the division director for or against the promotion to Senior Scientist/Engineer.
         2. If the division director concurs with a recommendation for promotion, he or she refers the case for review by the Laboratory Staff Committee and decision by the Laboratory Director (see Section D.5.f.ii, Appointment, above).
         3. If the division director concurs with a recommendation against promotion, the Divisional Fellow may be either promoted to Staff Scientist/Engineer (Career) following the promotion process for this position with approval by the Laboratory Director, or given at least 90 days' written notice that his or her employment will end at the expiration of the five-year term.
         4. See Scientist/Engineer Promotion Guidelines and Scientist/Engineer Promotion Checklist.
   7. Senior Scientist/Engineer (Career)
      1. Description. An appointment as a Senior Scientist/Engineer is a career position reserved for scientists and engineers with significant experience and achievements in research who play a leadership role at the Laboratory. 
      2. Qualifications. Senior Scientists/Engineers are internationally recognized authorities and leaders in one or more scientific or engineering areas who have made major contributions to the Laboratory and the broader scientific/engineering community through their leadership and creativity.
      3. Appointment
         1. Appointment to Senior Scientist/Engineer is initiated by the division director, after review by the Division Staff Committee. It is reviewed by the Laboratory Staff Committee and approved by the Laboratory Director. 
         2. Because the Laboratory is funded on an annual basis according to fluctuating program priorities, Senior Scientists/Engineers may be required to be flexible in adjusting their research and development activities in order to continue in this appointment. It is expected that a Senior Scientist/Engineer will respond to changing directions of the Laboratory.
      4. Corrective Action and Dismissal. See the Corrective Action and Discipline policy and the Employee Complaint Resolution policy.
      5. Work Deferment. A Senior Scientist/Engineer (Career) may volunteer for temporary work deferment or temporary reduction in time. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.  
      6. Reduction in Force. The Laboratory recognizes the great value of its Senior Scientists/Engineers to its mission and seeks to retain them within the limits of the availability of funds and the need to maintain the viability and excellence of programs. Accordingly, the following special procedures are to be followed whenever overall funding constraints involving a Senior Scientist/Engineer appear imminent. These appointments may be terminated on approval of the Laboratory Director for reason of lack of funds. These procedures contain protections for Senior Scientist/Engineer both before and after a layoff notice is issued. Throughout the process, all reasonable efforts are to be undertaken by the division to assist the employee in maintaining continued employment at the Laboratory. These procedures supplement the Laboratory reduction-in-force policy outlined in the Reduction in Force policy. Special consideration will be given to Senior Scientists/Engineers in case of lack of funding in the program in which they work. This special consideration is outlined in the following procedure.
      7. Decision to Implement Reduction. If lack of funding occurs, and the division director determines that a Senior Scientist/Engineer must be laid off in accordance with the Reduction in Force policy, the division director initiates the process for each affected Senior Scientist/Engineer by following the procedures below:
         1. Employee Plan
            1. The division director is responsible for developing an employee plan that reviews in writing those efforts already made and provides a description of future efforts to explore opportunities for continued employment at the Laboratory for the Senior Scientist/Engineer affected by layoff. The plan is to include the following provisions:
               1. Interim Financial Support, Assignments, Expectations, and Milestones. The amount of financial support for the Senior Scientist/Engineer 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 Senior Scientist/Engineer to seek continued employment opportunities.
               2. Continued Employment Opportunities within the Division. Plans to assist the Senior Scientist/Engineer in pursuing other employment opportunities within the division will be described, including support for special training, if required.
               3. Other Opportunities within the Laboratory. Plans to assist the Senior Scientist/Engineer in pursuing 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 Senior Scientist/Engineer in pursuing new or supplemental external funding to ensure 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. Employee Notification. Once the employee plan is developed, the division director submits it, along with a Notice of Intent to Lay Off that indicates the layoff date and the justification for the layoff, to the Senior Scientist/Engineer, and sends copies to the Laboratory Director and the Laboratory Staff Committee. The layoff date will be at least 12 months from the division director's notice to the employee.
         3. Employee Comments on Adequacy of Plan. The employee will be given a two-week period to submit comments to the division director regarding the adequacy of the employee 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 employee'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 employee 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 layoff action. The Laboratory Director will also convey comments, if any, on the adequacy of the employee plan.
         6. Confirmation of Layoff. If it becomes apparent to the division director that sufficient funding will not be forthcoming to continue the employee's employment, written confirmation of layoff must be given to the employee no later than 90 days prior to the stated date of termination given in the division director's notice of intent to layoff.
         7. Completion of the Employee Plan. At the end of the period covered by the employee plan, the division director will submit a report to the Laboratory Director and the Laboratory Staff Committee describing the actions taken and their results.
   8. Distinguished Scientist/Engineer (Career)
      1. Description. An appointment as a Distinguished Scientist/Engineer is a career position reserved for the most exceptional Senior Scientists/Engineers who have a sustained history of distinguished scientific and technical achievements and/or have directly contributed to the Laboratory's preeminence. 
      2. Qualifications. Candidates for this position have extensive relevant professional experience. A very small percentage of the professional research staff are expected to qualify for this level. Length of service and continued good performance at the senior level are not sufficient for advancement to this level. Incumbents at this level are seen as nationally or internationally recognized authorities and leaders in their field; their expertise is sought after by professional colleagues.
      3. Appointment
         1. Appointment to the Distinguished Scientist/Engineer level is initiated by the division director, reviewed by the Division Staff Committee, and reviewed by the Laboratory Staff Committee, which makes a recommendation to the Laboratory Director, and is approved by the Laboratory Director following the procedures for advancement.
         2. Because the Laboratory is funded on an annual basis according to fluctuating program priorities, Distinguished Scientists/Engineers may be required to be flexible in adjusting their research and development activities in order to continue in this appointment. It is expected that a Distinguished Scientist/Engineer will respond to changing directions of the Laboratory.
      4. Corrective Action and Dismissal. See the Corrective Action and Discipline policy and the Employee Complaint Resolution policy.
      5. Work Deferment. The procedures that apply to Senior Scientist/Engineer in Section D.5.g.v, Work Deferment, above, also apply to Distinguished Scientist/Engineer.
      6. Reduction in Force. The procedures that apply to Senior Scientist/Engineer in Section D.5.g.vi, Reduction in Force, above, also apply to Distinguished Scientist/Engineer. 
   9. 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
         1. Description. 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. 
         2. Qualifications. Faculty Scientists/Engineers must be active University of California faculty members (see Section D.2.b.i, Qualifications, of the Appointments, Faculty policy).
         3. 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
         1. Description. 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.
         2. Qualifications. Faculty Senior Scientists/Engineers must be active University of California faculty members (see Section D.2.c.i, Qualifications, of the Appointments, Faculty policy).
         3. 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.
         4. Corrective Action and Dismissal. See the Corrective Action and Discipline policy.
         5. 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.
   10. Joint Laboratory/UC Faculty Appointments
       1. Description. 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.
       2. 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 of the Appointments, Faculty policy). The campus and Laboratory will work together to develop the appropriate process and procedures to meet the applicable requirements for recruitment, selection, and hire.
       3. Promotion/Advancement. Joint appointees will be reviewed for merit advancements and promotion pursuant to the applicable campus and Laboratory procedures and requirements.
       4. Performance/Conduct Issues
          1. See the Corrective Action and Discipline policy.
          2. 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.
       5. Termination Due to Lack of Funding
          1. Special Considerations. 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. 
          2. 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.
       6. 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.
   11. Project Scientist/Engineer
       1. Description. The Project Scientist/Engineer position is either a limited position or a term position with a maximum length of five years. It is not a career-track position. It is used for specific projects of limited duration. The five-year maximum does not include time spent in Postdoctoral Fellow appointments.
       2. Qualifications. Qualifications for Project Scientist/Engineer positions are appropriate to the work to be performed. In most cases, they will be analogous to the qualifications for one of the Research Scientist/Engineer-, Staff Scientist/Engineer-, or Senior Scientist/Engineer-level positions listed above.
       3. Appointment
          1. The appointment is approved by the division director.
          2. If the employee is hired in a limited employee classification, the appointment may be a fixed or variable time schedule.
          3. If the employee is hired in a term appointment and the initial employment period is between six and twelve months, the individual must be on a fixed, 100% time schedule. 
          4. If the employee is hired in a term appointment and the initial employment period is one year or more, the appointment must be fixed at 50% time or more. 
       4. Work Deferment. A Project Scientist/Engineer employee shall be given written notice of the effective date and the ending date of a temporary work deferment or temporary reduction in time. Notice shall be provided at least 15 calendar days before the effective date or pay in lieu of notice. A temporary work deferment or temporary reduction in time shall not exceed four calendar months. See the Work Deferment Policy.
       5. Termination of Appointment
          1. Project Scientist/Engineer appointments end automatically on the current expiration date unless the employee is given advance written notice that their appointment will be extended. 
          2. The employment of a Project Scientist/Engineer may be terminated before the end of the employee's appointment for disciplinary reasons or substandard performance of which the employee has been advised as provided in the Corrective Action and Discipline policy. The appointment may also be terminated early for lack of funds, lack of work, or changes in operational/business needs, in which case the employee will be given at least 90 days' advance written notice before termination.
   12. Visiting Faculty and Visiting Researcher
       1. Description
          1. Visiting Faculty. Visiting Faculty is a position for faculty members from universities and colleges outside the University of California system. The appointment is a limited appointment. (See Section D.2, Visiting Faculty, of the Appointments, Faculty policy.)
          2. Visiting Researcher. A Visiting Researcher is on an approved leave from his or her home institution. The home institution does not need to be a university or college, nor does the individual have to be a faculty member of any institution. Appointments are for one year but may be extended for a second year on an exception basis with the approval of the Laboratory Deputy Director. 
       2. Qualifications. Qualifications for both Visiting Faculty and Visiting Researcher positions are appropriate to the work to be performed. In most cases, they will be analogous to the qualifications for one of the Research Scientist/Engineer-, Staff Scientist/Engineer-, or Senior Scientist/Engineer-level positions listed above.
       3. Appointment. Appointments to both Visiting Faculty and Visiting Researcher positions are made by the division director. A search is not required.
       4. Termination of Appointment. Termination of an appointment as Visiting Faculty or Visiting Researcher may be made at any time by the division director. In the case of a Visiting Researcher member in a term appointment, the procedures in the Release of Non-Career Employees policy must be followed.

E. Roles and Responsibilities

Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

F. Definitions/Acronyms

G. Recordkeeping Requirements

None

H. Implementing Documents

None

I. Contact Information

For more information, contact your division's Human Resources Center.

Feedback on HR policies or procedures is welcomed. Send comments to [email protected].

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• University of California Personnel Policies for Staff Members (PPSM) 3, Types of Appointment
• University of California Academic Personnel Manual (APM)

Implementing Documents

None