Postdoctoral Scholar Employment/Labor Relations

Equal Opportunity, Nondiscrimination and Diversity (APM 390-27)

The University of California is committed to a university environment that provides equal opportunity and promotes a diversity of backgrounds, perspectives, and experiences among faculty, staff, Postdoctoral Scholars, and the student body.

UCLA strives to have an inclusive, supportive environment that provides postdoctoral training opportunities and maximizes and values the potential of all Postdoctoral Scholars.

Grievances (APM 390-40)

A Postdoctoral Scholar may present a grievance according to the following procedures. A grievance is a complaint filed by a Postdoctoral Scholar that alleges one or both of the following:

A specific act by the University was arbitrary or capricious and adversely affected the Postdoctoral Scholar's then-existing appointment or training program. For purposes of this policy, an act is not arbitrary or capricious if the decision-maker exercised reasoned judgment.
A violation of applicable University rules, regulations, or policies occurred which adversely affected the Postdoctoral Scholar's then-existing appointment or training program.

A grievance alleging a violation of the Postdoctoral Scholar layoff policy (see APM 390-45) or the Postdoctoral Scholar corrective action and dismissal policy (see APM 390-50) shall be filed under #2 above.

Mediation

The intent of this policy is to encourage voluntary resolution including mediation when it is desired by both parties.

Grievance Procedures

Step I - Informal Grievance Resolution (Step I grievance liaison: Associate Dean John Richardson)

Step I of the grievance process is the attempt at informal resolution. Postdoctoral Scholars are encouraged to discuss concerns and/or complaints with their mentors, other senior faculty members, department heads, or the ombudsperson, and to attempt informal resolution at an early stage. Attempts at informal resolution do not extend time limits for filing a formal grievance unless a written extension is granted by the grievance liaison.
If informal resolution is attempted but unsuccessful, a grievant may request that the grievance liaison assist in resolving the grievance. Where appropriate, the grievance liaison may work with the parties to reach an informal resolution.
When a grievance alleges sexual harassment, the grievant may elect to substitute the campus Sexual Harassment Complaint Resolution Procedure as Step I. If a grievant selects this mechanism and the complaint is not resolved to the grievant's satisfaction, he or she may file a Step II formal grievance in writing with the grievance liaison within fifteen (15) calendar days from the date the grievant is notified of the result of the pre-grievance complaint resolution process of the sexual harassment procedure or within forty-five (45) calendar days from the date the grievant filed the sexual harassment complaint, whichever is earlier.

Step II - Formal Grievance Review (Step II grievance liaison: Vice Chancellor for Academic Personnel)

If a grievance that is not resolved informally to the satisfaction of the grievant, the Postdoctoral Scholar may file a Step II formal grievance. A Step II grievance must be filed in writing with the grievance liaison within thirty (30) calendar days from the date on which the Postdoctoral Scholar knew, or could reasonably be expected to know, of the event or act which gave rise to the grievance, or within thirty (30) calendar days after the date of separation, whichever is earlier. Except by written mutual agreement of the parties, no additional issues shall be introduced after the Step II grievance has been filed. A written extension may be granted by the grievance liaison.
The formal written grievance must:
1. Identify the specific act and/or violation that is being grieved;
2. State either (i) the specific acts to be reviewed, the name of the person(s) alleged to have carried out the act(s), the date(s) the alleged act(s) occurred, and a description of how the act(s) were arbitrary or capricious; or (ii) the University rules, regulations or policies that the grievant believes have been violated, the name of the person(s) alleged to have done the violation(s), the date(s) the alleged violation(s) occurred, and a description of how the rules, regulations, or policies have been violated.
3. Specify how the Postdoctoral Scholar's then-existing appointment or training program was adversely affected;
4. Specify the remedy requested.
Upon receipt of a formal written grievance, the grievance liaison shall complete an initial review of the grievance and determine whether the grievance is complete, timely, within the jurisdiction of APM 390-40, and contains sufficient facts that support the allegations made in the grievance. Within ten (10) calendar days of receipt of the grievance, the grievance liaison shall notify the grievant in writing of the acceptance of the grievance. If the grievance is not accepted, the reasons shall be specified as follows:
1. If the grievance liaison determines that the grievance is incomplete or factually insufficient, the grievant will have ten (10) calendar days from the date of the written notice to provide information to make the grievance complete, including additional facts. If the grievant fails to make the grievance complete or provide sufficient facts, the grievance will be dismissed.
2. If the grievance liaison determines that the grievance is untimely or outside the jurisdiction of APM 390-40, the grievance will be dismissed.
3. If the grievance raises multiple issues, the grievance liaison will make a determination described above with regard to each issue. The grievance liaison may accept some issues and dismiss others pursuant to this review process.
4. If all or part of the grievance is dismissed at this stage, the grievance liaison will provide the grievant with a written explanation of the basis for the dismissal.
When a formal written grievance is accepted, the grievance liaison shall forward the grievance and any supportive materials to the Step II reviewer for review and written decision, and notify the Step II reviewer and the grievant of the date the Step II response is due. Generally, the Step II reviewer will be the department or unit head. However, if the department or unit head took the action which is being grieved, the grievance liaison may exercise discretion and designate another administrator as the Step II reviewer, and so notify the department or unit head and the grievant.
If a Step II grievance raises allegations of discrimination, harassment, or retaliation in violation of APM-035, the grievance liaison shall forward a copy of the grievance to the appropriate campus compliance office for review. The results of any related grievances or investigations shall be provided to the grievance liaison. At the discretion of the grievance liaison, information regarding related grievances or investigations may be forwarded to the Step II reviewer for consideration in making a Step II decision.
The Step II reviewer shall review the grievance and, if appropriate, shall investigate and/or meet with the parties. Within thirty (30) calendar days from the date of receipt of the grievance, the Step II reviewer shall send a written response to the grievant and the grievance liaison. The response will state whether the grievance is denied or upheld in whole or in part. If the grievance is denied in whole or in part, the response will state that the Postdoctoral Scholar has the right to appeal the decision to Step III of the grievance procedure; if the grievance is upheld, the response will describe the remedy, if any, being awarded.

Step III - Formal Grievance Appeal

A formal grievance not resolved to the satisfaction of the Postdoctoral Scholar at Step II may be appealed in writing to Step III with the grievance liaison within fifteen (15) calendar days from the date on which the Step II response is issued. The Step III formal grievance appeal must set forth the unresolved issue(s) and the remedy requested. Except by written mutual agreement of the parties, no issues shall be introduced in the appeal that were not included in the original grievance.
All formal grievance appeals will be subject to Step III administrative consideration. Within seven (7) calendar days from the receipt of a formal grievance appeal, the grievance liaison shall forward the appeal, the Step II formal grievance, and the Step II response to the Chancellor for review and written decision.
In reviewing the grievance appeal, the Chancellor may consult with the Graduate Council, other appropriate Academic Senate or administrative committees, or appropriate individuals.
Based on the record, the Chancellor shall determine whether the Step II formal grievance was properly reviewed and whether the decision made at Step II shall be upheld, rejected, or modified.
The Chancellor shall provide a final written decision to the Postdoctoral Scholar within thirty (30) calendar days following receipt of the formal grievance appeal. The written decision shall include a statement of the reasons if the decision of the Step II review is rejected or modified in whole or in part, including any remedy in whole or in part, and a statement that the decision is final.

Additional Grievance Provisions:

A Postdoctoral Scholar may represent himself or herself or may be represented by another person at any stage of the grievance process. The University shall be represented as the Chancellor deems appropriate.
Prior to expiration of a time limit, extensions may be granted by the grievance liaison upon written request by either party. If a Postdoctoral Scholar fails to meet a deadline, the grievance will be considered resolved on the basis of the last University response. If a University official fails to meet a deadline, the Postdoctoral Scholar may move the grievance to the next step in the process. Time limits which expire on days which are not business days at the location where the grievance is filed shall be automatically extended to the next University business day.
The Postdoctoral Scholar and the Postdoctoral Scholar's representative, if employed by the University, shall be granted time off with pay to attend meetings convened by the University to consider grievances under APM 390-40. Time spent by the Postdoctoral Scholar and the Postdoctoral Scholar's representative in investigation and preparation of a grievance shall not be on pay status.
If the grievant is sustained in whole or in part, the remedy shall not exceed restoring to the Postdoctoral Scholar the pay, benefits, or rights lost either as a result of the violation of University rules, regulations, or policies, or as a result of an arbitrary or capricious action, less any income earned from any other employment. Payment of attorney's fees shall not be part of the remedy. Unless specifically authorized by the grievance liaison, compensation shall not be paid for any period that is the result of extension(s) of time requested by or on behalf of the Postdoctoral Scholar.
The following may be consolidated in one review: grievances of two or more Postdoctoral Scholars, where the grievances are related and consolidation is appropriate under the circumstances; two or more grievances filed by the same grievant which are based on the same incident, issues, or act; or two or more grievances filed by the same grievant which are based on the same pattern of conduct. The grievance liaison shall decide whether a consolidation is appropriate.
APM 140 (Non-Senate Academic Appointees/Grievances) does not apply to individuals appointed in a Postdoctoral Scholar title.

Layoff (APM 390-45)

Layoff is defined as the termination by the University of a Postdoctoral Scholar appointment prior to the end date as a result of appropriate funding becoming unavailable.
In the event of layoff, the department, unit head, or other University official shall provide notification in writing to the Postdoctoral Scholar not less than thirty (30) calendar days in advance of the effective date of the early termination. Appropriate pay in lieu of notice may be given.
A Postdoctoral Scholar who is subject to layoff may request that the Chancellor or other University officer supply a written summary concerning the unavailability of appropriate funding that is the reason for the layoff.
Layoff decisions may be appealed in accordance with APM 390-40, the Postdoctoral Scholar grievance policy.
APM 145 (Non-Senate Academic Appointees/Layoff and Involuntary Reduction in Time) does not apply to individuals appointed in a Postdoctoral Scholar title.

Corrective Action and Dismissal

The University may impose corrective action or dismissal when, in its reasoned judgment, the Postdoctoral Scholar's performance or conduct merits the action.

Each Chancellor may establish and issue additional procedures for instituting corrective action and dismissal of Postdoctoral Scholars in accord with the standards and procedures set forth in APM 390-50.

Correction action is the institution of one of the following:
1. Written warning, which is communication that informs the Postdoctoral Scholar of the nature of the inadequate performance or misconduct; requirements for continuation in the training program; and the probable consequence of continued inadequate performance or misconduct.
2. Suspension, which is debarment from the training program without pay for a stated period of time. Unless otherwise noted, the terms of a suspension will include loss of normal Postdoctoral Scholar privileges, such as access to University property and parking and library privileges.
3. Reduction in salary or stipend for a stated period of time. The amount and duration of the reduced salary or stipend shall be specified.
4. Other action consistent with requirements of extramural fellowship agencies.
Dismissal is the termination of a Postdoctoral Scholar's appointment initiated by the University, prior to the appointment end date, when, in the reasoned judgement of the University, the Postdoctoral Scholar's conduct or performance does not justify continuation.
Prior to the institution of formal corrective action or dismissal, informal efforts to resolve the problem should be made, where appropriate.
A Postdoctoral Scholar may be placed on immediate investigatory leave with pay, without prior written notice, for the purpose of reviewing or investigating conduct which in the judgment of the Chancellor requires removing the Postdoctoral Scholar from University premises. While on such leave, the Postdoctoral Scholar's return to University premises without written permission may create independent grounds for dismissal. Such investigatory leave shall be confirmed in writing after it is instituted.
Before initiating the actions of suspension without pay, reduction in salary or stipend, dismissal, or other actions consistent with the requirements of extramural fellowship agencies, the University shall provide a written Notice of Intent to the Postdoctoral Scholar. The Notice shall state:
1. The intended action and the proposed effective date;
2. The reason(s) for the action, including a description of the inadequate performance or misconduct and any warnings that have been given;
3. The Postdoctoral Scholar's right to respond either orally or in writing within fourteen (14) calendar days of the date of issuance of the written Notice of Intent;
4. The name of the person to whom the appointee should respond.
  Note: No notice of intent is required for a written warning.
A Postdoctoral Scholar who receives a written Notice of Intent shall be entitled to respond, either orally or in writing, within fourteen (14) calendar days of the date of issuance of the Notice of Intent. The response, if any, shall be reviewed by the administration.
If the University determines to institute the correction action or dismissal following the review of a timely response, if any, from the Postdoctoral Scholar, the University shall issue, within thirty (30) calendar days of the issuance of the written Notice of Intent, a written Notice of Action to the Postdoctoral Scholar of the correction action or dismissal and its effective date.

The Notice of Action also shall notify the Postdoctoral Scholar of the right to grieve the action under APM 390-40, the Postdoctoral Scholar grievance policy.

The Notice of Action may not include an action more severe that that described in the Notice of Intent.

A copy of the Notice of Action shall also be placed in the Postdoctoral Scholar's personnel file.
A Postdoctoral Scholar may represent himself or herself or may be represented by another person at any stage of the corrective action or dismissal process.
Upon written request and prior to expiration of any time limits stated in APM 390-50, the Chancellor may grant extensions, as appropriate.
APM 150 (Non-Senate Academic Appointees/Corrective Action and Dismissal) does not apply to individuals appointed in a Postdoctoral Scholar title.