University Procedure
Title
University of North Carolina at Chapel Hill Procedure for Postdoctoral Scholar Appointment
Introduction
Purpose
Scope
This Procedure applies only to postdoctoral scholars ("Postdocs"), including Postdoc Research Associates, Postdoc Trainees, and Direct-Pay Postdocs.
Procedure
All faculty and administrative personnel involved in the recruitment and appointment of Postdocs are expected to follow the following steps for postdoc appointments:
I. Appointment of Postdoctoral Scholars
A. Appointment Letters
An appointment letter must be issued for each new Postdoc appointment. Departments or responsible units should use the standard Postdoc Offer (Appointment) Letter Template on the Office of Postdoctoral Affairs (OPA's) website. It is recommended that the appointment letter be sent to the postdoctoral appointee at least thirty (30) days before the start of the appointment. Mentors are encouraged, when possible, to issue appointment letters for individuals in J-1 Exchange Visitor status at least three (3) to five (5) months before start of the appointment and for individuals in H-1B Temporary Worker status at least eight (8) months before start of the appointment.
The appointment letter must include:
- Offer of appointment specifying the appointment period and working title,
- Salary amount,
- Name of the assigned Mentor,
- Notification of employment documentation requirements (IRCA),
- Proof of doctoral degree requirement,
- Duties and responsibilities of the appointee,
- Copy of this Policy and the OPA website address,
- Statement requiring attendance at New Postdoctoral Scholar Orientation within 90 days,
- Statement requiring attendance at Individual Development Plan (IDP) workshop, Responsible Conduct of Research (RCR)/Collaborative Institutional Training Initiative (CITI), and Mentoring workshop within six months,
- Statement requiring completion of RCR training within one year,
- Statement that the appointee is subject to University policies, and
- A request that the appointee sign and return the letter by a given date.
If the Postdoc is to receive relocation compensation, a statement should be included to indicate that such payments are subject to applicable taxes and deductions and include a link to Finance Policy 1270: Policy on Employee Relocation Compensation.
B. Changes to Appointment Letters
Any changes to an appointment letter must be issued to the Postdoc in writing, with a copy submitted to OPA. In the case of international Postdocs, proposed changes to a Postdoc's term of appointment must be submitted to International Student and Scholar Services (ISSS) before they are made, as proposed changes may require filing an amended immigration petition.
C. The Five-Year Maximum Term of Appointment
Because the primary purpose of a Postdoc appointment is training, the maximum term of appointment for a Postdoc is five (5) years (subject to the process for extensions provided below). This maximum term of appointment applies to the total time spent at the University as a Postdoc (regardless of which department, school, center, or unit) and does not include time spent at other institutions.
Following the maximum five-year period as a Postdoc, the Postdoc must either:
- Be hired into a non-Postdoc position type;
- Be separated from the University with a minimum of sixty (60) calendar days' notice (see Section III(C)(2), below); or
- Receive prior approval to work beyond the five-year limit (i.e., an "extension").
1. Extension Requests
Mentors should complete a "Request for Postdoc Extension Form" (available on the OPA website) before the end of the Postdoc's maximum five (5) year term of appointment. All requests must include:
- Request for Postdoc Extension Form,
- Updated IDP,
- Most recent annual evaluation form, and
- Career transition and mentoring plan for the requested extension time.
The OPA will base its decision on the information provided in the four documents required, so departments should include as much detail as possible.
While requests for extensions are reviewed on a case-by-case basis, possible reasons for requesting extensions include:
- The Postdoc needs additional time to:
- Continue experience in multiple fields of study,
- Continue training in a new field,
- Develop new research skills,
- Complete ongoing research, or
- Complete and/or publish articles about their research for the Postdoc's benefit.
- Note: research time being limited due to the COVID pandemic is no longer an acceptable reason.
- If the postdoctoral appointee has changed supervisors, indicate the circumstances, timing, and how this extension will contribute to their career progression.
- Extensions may also be considered in cases where a Postdoc experienced a significant life event or medical issues that contributed to a delay in their training.
- Assurance that the faculty supervisor has enough funding to pay for the postdoctoral appointment compensation during the extended period.
- If funding becomes unavailable, at least a 60 calendar day notice must be given to end the appointment.
The OPA will not approve requests that are intended to extend the Postdoc's time to:
- Wait for a grant to be reviewed or potentially funded,
- Have the Postdoc finish a project/article/experiment that is not critical in their competitiveness and ability to move to a permanent position, and/or
- Allow time for the Postdoc to begin their job search and/or explore grant opportunities.
The Postdoc should be doing this during their third and fourth years of training.
If approved, a copy of the request for extension should be placed in the Postdoc's departmental file and attached to the reappointment/extension action in ConnectCarolina. Please contact OPA for additional guidance on extensions.
Additional Guidance for Extension Requests for International Postdocs:
Please note that international Postdocs may have restrictions based on immigration status that limit the length of their time in the U.S. Therefore, proposed extensions of the maximum term of appointment for international Postdocs should first be discussed with ISSS and a copy of any Requests for Extension of Maximum Term of Appointment for international Postdocs should also be provided to ISSS.
D. Teleworking Requests
Postdocs are subject to the University's Policy and Procedures on Flexible Work Arrangements for University Employees. Due to the emphasis on mentorship, fully remote work arrangements for Postdocs are not encouraged.
If a department does wish to hire a fully-remote Postdoc, the department should submit the following documents to the OPA HR Inbox:
- Mentor-mentee agreement,
- Mentorship plan, and
- IDP.
These documents must describe how the Postdoc would still be able to develop a mentoring network at UNC-Chapel Hill beyond just their Principal Investigator (PI)/supervisor. Additionally, the Postdoc will be required to have a meeting with the OPA's career counselor on an annual basis.
II. Annual Performance Evaluations and IDP Review
Feedback, guidance, and constructive criticism are important for a Postdoc's personal and professional growth. Therefore, at the beginning of the appointment, each Postdoc will be required to attend an OPA-sponsored IDP workshop and prepare an IDP that identifies the Postdoc's professional development needs and career objectives. IDPs also serve as a communication tool between the Postdoc and their Mentor. An IDP template can be found on the OPA website.
A written evaluation of each Postdoc's work performance will also be performed annually (based on appointment year) using the "Annual Evaluation Form" available on the OPA website or a similar form. Annual evaluations should be completed no later than thirty (30) calendar days before the anniversary of the Postdoc's appointment date. For example, if a Postdoc was appointed for a three year term on May 15, 2023, their evaluations should be completed no later than April 15, 2024, April 15, 2025 and April 15, 2026 (thirty calendar days before their anniversary date of May 15th). For Postdocs serving a one-year appointment only, a written evaluation must be prepared at least thirty (30) days prior to the end of appointment.
The Mentor will complete the "Annual Evaluation Form" (or a similar document) and discuss it with the Postdoc during a meeting held between the Mentor and the Postdoc. The Mentor and Postdoc should review the evaluation together, and then both sign the form. Preparation of the evaluation and the meeting between the Mentor and the Postdoc should all occur at least thirty (30) calendar days before the anniversary of the Postdoc's appointment date. Once the annual performance evaluation is complete and both parties sign, a copy should be placed in the Postdoc's departmental file.
Should the Postdoc fail to meet a satisfactory rating on the Annual Evaluation Form, a thorough 90-day "Performance Improvement Plan" (PIP) and timeline are required. Departments may use the PIP template or attach an additional document that includes measurable goals, timelines, and potential consequences if the Postdoc fails to demonstrate some improvement in the competency or area of concern.
OPA HR and the Director of OPA must be consulted and review a PIP before it is issued.
A final copy of the PIP must be shared with the Postdoc and filed with the Department of Human Resources and OPA.
III. End of Appointment
A. Responsibilities at End of Appointment
Regardless of whether a Postdoc's appointment ends due to resignation, discontinuation, dismissal, or otherwise, a Postdoc has certain responsibilities to meet at the end of appointment:
- First, the Postdoc should work with their Mentor to submit any research results for publication by the end of the appointment, if possible.
- Second, the Postdoc must leave all original notes, computerized files, equipment, documents, and any other tangible materials in the Postdoc's possession with their Mentor before departure.
- Also, international Postdocs must submit a Departure Notice to ISSS upon the completion, dismissal, resignation, or termination of their appointments.
As a practical matter, other individuals may need access to these materials to continue related research or other work. These materials and information are the property of the University, and the University retains the right to own, disclose, and use such materials and information at any time and for any purpose during and after the appointment.
The Postdoc may copy notes, computerized files, and other research materials they helped generate during the appointment, but only if such reproduction is permitted under the terms of any applicable grant agreements or other contracts. Moreover, future use of any such material and information by the Postdoc is limited by any conditions set forth by their Mentor and the terms of any applicable grant agreements or other contracts. Any confidential information obtained by the Postdoc during their appointment must remain strictly confidential and may be disclosed only in accordance with federal or state law, University policy, and the terms of any applicable grant agreements or other contracts.
At the end of appointment, all Postdocs are invited to participate in an exit survey and join the OPA alumni database. Postdocs are also encouraged to share any feedback they may have with OPA about their experiences at the University and any ideas for improving the Postdoc program.
B. Voluntary Resignation
A resignation occurs when a Postdoc chooses to end their appointment before the end of the appointment term. Postdocs should provide a written courtesy notice of at least fourteen (14) calendar days to their Mentor and the department HR Representative before resignation, unless the Postdoc and Mentor mutually agree to a shorter notice period. International Postdocs should also send a copy of the notice of resignation to ISSS and complete an ISSS Departure Notice.
It is not permissible for a PI/Supervisor to instruct, request, or suggest that a Postdoc should resign. A resignation is a voluntary action initiated only by the employee/Postdoc. Proper performance management is the responsibility of all supervisors. Any performance or conduct issues should be addressed in accordance with Sections II. and III.D. of this Policy.
C. Discontinuation
A discontinuation occurs when a Postdoc's appointment ends for one of three reasons:
- Natural expiration of the Postdoc's appointment period;
- The Postdoc has reached the maximum five (5) year appointment period (or the end of their extension); or
- Loss of funding.
1. Expiration of Appointment
An appointment will end upon natural expiration of its current appointment period unless a written notice of renewal is provided in advance of the expiration. No prior notice is required in these cases.
2. Maximum Term of Appointment
Upon sixty (60) days' notice, a Postdoc's appointment must be ended if he or she reaches the five (5) year maximum limit for total time spent as a Postdoc with the University (unless an extension is obtained). If an extension is obtained, the Postdoc's appointment will terminate at the end of the extension period. No prior notice is required in these cases.
3. Loss of Funding
Upon thirty (30) days' notice, a Postdoc's appointment may be ended due to loss of funding for the appointment. Mentors should immediately consult with ISSS regarding any loss of funding for international Postdocs.
4. Challenging a Discontinuation
A Postdoc may challenge the discontinuation of an appointment due to loss of funding through the informal dispute resolution procedures or the formal grievance process described below. A formal grievance must be filed within 14 calendar days of the date of the notice of discontinuation as provided in Section V, below.
D. Dismissal for Cause
A Postdoc may be dismissed and have their appointment ended for cause at any time during an appointment. Stated causes for dismissal include, but are not necessarily limited to:
- Unsatisfactory performance of duties,
- Repeated absenteeism,
- Negligence of duty,
- Failure to timely provide the appropriate documentation regarding a doctorate or equivalent terminal degree,
- Misconduct, or
- Any violation of the standards described in this Policy, any other University policy, or state or federal law.
Before a Postdoc may be dismissed for cause, Mentor/Supervisors must discuss the matter with the OPA HR representative, after which a meeting with the Director of OPA may be required. In the case of international Postdoctoral Scholars, termination for cause should also be discussed with ISSS in advance. It is recommended that the Mentor/Supervisor issue at least one written warning to the Postdoc, as appropriate, regarding any performance or conduct issues before issuing a written notice of dismissal for cause. Written warnings, however, are not required. In some cases, a Postdoc may be placed on paid leave until a final decision regarding the dismissal can be reached.
Postdocs who are dismissed for cause will receive a written dismissal notice. In this notice, Mentors/Supervisors should clearly document the actions of the Postdocs constituting cause for dismissal and any previous attempts to address these concerns with the Postdocs directly. Copies of the notice should be placed in the Postdoc's departmental file and attached to the termination action in ConnectCarolina.
1. Challenging a Dismissal for Cause
A Postdoc may challenge their dismissal for cause through the formal or informal dispute resolution processes described below. A formal grievance must be filed within 14 calendar days of the date of the notice of dismissal as provided in Section V, below.
IV. Informal Dispute Resolution
Postdocs and Mentors who have concerns or complaints regarding the appointment of a Postdoc are strongly encouraged to first consult with OPA for guidance. OPA can help direct Postdocs to the appropriate resources and, in some cases, may assist with informally resolving the issue at hand. In addition to OPA, there are a number of other resources available on campus, described below.
A. University Ombuds Office
Postdocs and Mentors may consult with the University Ombuds Office at any time to address matters of concern. The Ombuds Office is a safe place where employees can talk in confidence about a workplace issue, problem, or dispute. The Ombuds Office listens to complaints, provides information, facilitates communication, and helps arrange mediation or conflict resolution between or among members of the University's faculty, staff and Postdocs. Use of the Ombuds Office is voluntary and free. More information about the Ombuds Office and additional resources are available on the Ombuds website.
Please note that the Ombuds Office supplements, but does not replace, the University's formal channels of filing a complaint, such as the Formal Grievance Process, and does not serve as a place to put the University on notice of claims. So long as there is no imminent risk of serious harm, consultation with the Ombuds Office is confidential.
B. Facilitated Conversation through the Office of Human Resources
Postdocs and Mentors are also invited to openly discuss and resolve any workplace issues through the University's facilitated conversation process, which is governed by the EHRA Non-Faculty Grievance Policy. Postdocs can use this process and still preserve their rights under the Formal Grievance Process if they submit a completed Facilitated Conversation Request Form to Employee & Management Relations in OHR within fourteen (14) calendar days after completion of the mediation process, if necessary.
C. Administrative Review through the Equal Opportunity and Compliance (EOC) Office
Postdocs who believe that they may have been discriminated against or harassed on the basis of race, color, gender, national origin, age, religion, creed, genetic information, disability, veteran's status, sexual orientation, gender identity, or gender expression (their "protected status"), denied a reasonable religious or disability accommodation, or retaliated against for filing any such a complaint may contact the University's Equal Opportunity and Compliance (EOC) Office and may seek an Administrative Review of their complaints under the University's Policy on Prohibited Discrimination, Harassment and Related Misconduct. Please note that prohibited sexual harassment includes sexual misconduct such as rape, sexual assault, or sexual battery. For more information, please consult the University's Policy on Prohibited Discrimination, Harassment and Related Misconduct.
While Postdocs are encouraged to bring such a complaint within one hundred and eighty (180) calendar days of the alleged harassment, discrimination, or retaliation, those who want to preserve their rights to further proceed under the Formal Grievance Process must submit a complaint under the Administrative Review process within fourteen (14) calendar days of the date of notice of the outcome of the Administrative Review process. While all participants in the Administrative Review process must respect the confidentiality of the proceedings and circumstances relating to any complaint, complete confidentiality cannot be guaranteed.
D. Carolina Ethics Line
The Carolina Ethics Line is a secure method through which to submit an anonymous report either online or by telephone. All reports submitted through the Carolina Ethics Line will be given careful attention by appropriate UNC-Chapel Hill offices and officials. Anyone filing a report via Carolina Ethics Line should retain the report key and password and return to the website within 10 working days to check for comments or follow-up questions.
V. Formal Grievance Process
A Formal Grievance Process is available to Postdocs for the fair, orderly, and prompt resolution of work-related disputes alleging that actions taken by management have violated University policies. The burden is on the Postdoc to establish by a preponderance of the evidence that a violation has occurred, that there is an appropriate and reasonable remedy available to address the grievance, and that he or she is entitled to that relief. Before filing a formal grievance, a Postdoc is encouraged to make reasonable efforts to resolve the issues directly with his or her Mentor or through the informal dispute resolution options described above.
Grounds for a grievance are limited to:
- a violation of University rules, regulations, or policies or a state or federal law pertaining to the Postdoc's relationship with the University that adversely affected the Postdoc; or
- a specific act by the University that was arbitrary or capricious and adversely affected the Postdoc.
Non-renewal of an appointment upon expiration of the term and termination of an appointment due to loss of funding are not grievable unless such acts fall within the above-described limitations. If a Postdoc raises allegations of prohibited harassment, discrimination or retaliation based on a protected status in his or her formal grievance, an investigation of the Postdoc's claim will be performed under the direction of the EOC Office (if one has not already been performed) before deciding the outcome of the grievance.
A. Grievance - Department Chair (or Comparable Administrator)
A Postdoc may formally request resolution of a matter under the Formal Grievance Process by submitting a written grievance no later than fourteen (14) calendar days after completion of the mediation or Administrative Review processes discussed above).
The grievance must be timely, submitted in writing, and clearly labeled as a "Formal Grievance Under the Postdoctoral Scholar Policy."
The grievance should include the following:
- a comprehensive description of the matter of concern;
- identification of the University rules, regulations, or policies or state or federal laws that allegedly have been violated or the alleged specific act by the University that was arbitrary or capricious;
- a detailed description of how the Postdoc has been adversely affected by the alleged violation or act;
- the outcome of any prior attempts to resolve the matter; and
- a description of any and all supporting facts, including the individuals involved, the alleged act(s) being grieved and the dates when the alleged act(s) occurred.
Postdocs should provide supporting documentation, if any, and should keep a copy of all materials submitted as their grievance for their records. The department chair, section head, center director, or other unit administrator who receives the grievance will carefully review it and promptly resolve the matter by providing a written response to the Postdoc outlining the reasons for his or her decision no later than thirty (30) calendar days after his or her receipt of the grievance. If needed, the time limits set forth in this section may be extended by the Department Chair (or comparable administrator); a written notice of extension will be given to all parties involved.
B. Appeal - Dean of the Applicable School
If a Postdoc believes that the department chair, section head, center director, or other unit administrator failed to properly resolve the grievance, he or she may formally appeal that decision by sending a written appeal no later than fourteen (14) days after the date of the decision made by the department chair, section head, center director, or other unit administrator to the dean (or comparable administrator) of the school in which the Mentor is appointed.
The appeal should include:
- a copy of the original grievance submitted to the department chair, section head, center director, or other unit administrator; and
- a written statement outlining the basis of the appeal.
The dean (or comparable administrator) who receives the appeal, or his or her designee, will carefully review the appeal and promptly resolve the matter by providing a written response to the Postdoc outlining the reasons for his or her decision no later than thirty (30) calendar days after his or her receipt of the appeal. If needed, the time limits set forth in this section may be extended by the dean (or comparable administrator); a written notice of extension will be given to all parties involved.
C. Final Appeal - The Vice Chancellor for Research
Finally, if a Postdoc feels that the dean failed to properly resolve the appeal, they may formally appeal that decision by sending a final, written appeal no later than fourteen (14) days after the date of the dean's decision to the Director for The Office of Postdoctoral Affairs (OPA) addressed to the Vice Chancellor for Research
The final appeal should include:
- a copy of the original grievance submitted to the department chair, section head, center director, or other unit administrator.
- a copy of the written appeal to the dean; and
- a written statement outlining the basis of the final appeal.
The Director of OPA and the Vice Chancellor for Research will carefully review the final appeal and promptly resolve the matter by providing a written response to the Postdoc outlining the reasons for their decision no later than thirty (30) calendar days after the receipt of the appeal. If needed, the time limits set forth in this section may be extended by the Director of OPA, the Vice Chancellor for Research or his or her designee; a written notice of extension will be given to all parties involved.
The decision of the Vice Chancellor for Research is final.
Related Requirements
See Postdoctoral Scholar Policy.
Contact Information
If you have any questions about this Procedure, please contact OPA at (919) 962-9982. Additional information is available in the Handbook and on OPA's website.
The OPA's mission is to enhance, support, and promote postdoctoral training at the University and to help prepare Postdocs for successful careers. OPA is available to provide guidance to Postdocs, faculty, and other campus community members in all disciplines, schools, and colleges across the University. OPA has one location and can be contacted using the information below:
OPA Main Campus Location:
123 West Franklin St, Suite #600B
Carolina Square – CB #4100
Chapel Hill, NC 27599-410023
Phone: (919) 962-9982
Email: opa@unc.edu
Detailed guidance on the issues discussed in this Policy is also available in the Postdoctoral Resource Handbook (the "Handbook"). The Policy, the Handbook, and other helpful resources for Postdocs, faculty and administrators can be found on OPA's website.