Defines policies and procedures related to the appointment, roles, requirements and responsibilities of Postdoctoral Scholars at Stanford. Modified in December 2001 to extend the maximum term of appointment and to incorporate other organizational changes. Definitions and benefits changes made in 2002. Procedures for processing fellowship applications added in 2004. Benefits and other administrative issues clarified in 2005. Clarification related to the appointment of Postdoctoral Scholars on J-1 visas added in 2007and about certificates of completion and clinical fellowships in 2008.

This document sets forth policies and procedures related to the appointment, roles, requirements and responsibilities of Postdoctoral Scholars at Stanford. For further information about Postdoctoral Scholars, contact the Assistant Dean for Postdoctoral Affairs or the Assistant Dean of Research.

DEFINITION

A Stanford POSTDOCTORAL SCHOLAR is a trainee in residence at Stanford University pursuing advanced studies beyond the doctoral level in preparation for an independent career. Postdoctoral Scholars are appointed for a limited period of time and may participate on Stanford research projects and/or may be supported by external awards or fellowships. In all cases, their appointment at Stanford is for the purpose of advanced studies and training under the sponsorship of a Stanford faculty member.
POLICIES AND PROCEDURES APPLICABLE TO POSTDOCTORAL SCHOLARS
1. Term of Appointment
  
  Postdoctoral Scholars are expected to be appointed on a full-time basis (initial appointments must be for 100% FTE). Appointments are generally restricted to those who have earned their Ph.D. within the last three years or their M.D. within the last six years. Requests for exceptions for individuals who are beyond these limits and/or have not been actively engaged in research as their primary effort must include a written statement from the sponsoring faculty member indicating what additional training outside the primary area of effort the individual will receive, and the reasons for which the exception is requested; requests should be transmitted to the Assistant Dean for Postdoctoral Affairs for review and approval. Requests for temporary reductions in effort and pay due to temporary family or other conditions are subject to review and approval. Any reductions in effort may also require a signed waiver of certain benefits and privileges.
  
  Postdoctoral appointments may not exceed a total of five years for all combined years of institutional training. In cases of combined training, only the years of active research at the postdoctoral level will be counted for salary and other purposes. This maximum includes cumulative postdoctoral research experience. Postdoctoral Scholars are appointed at Stanford for fixed terms, by issuance of re-appointment letters (preferably of one year's duration each) that may total up to four years. Faculty sponsors may request an extension beyond the four-year total for up to one additional year. Exceptions for appointments totaling more than five years may be requested in the following circumstances:
  - If an initial appointment is for fewer than nine months and is for the purpose of completing Ph.D. research (and therefore does not constitute further training), that time would not be counted as part of the five-year total.
  - Postdoctoral Scholars who begin a second postdoctoral appointment in a new field may, upon the new faculty sponsor's request, have their total period of postdoctoral training extended to a maximum of up to six years. This can be permitted for Scholars on J-1 visas ONLY when there is no break in the postdoctoral scholar's period of appointment.
  - Requests for extensions due to leaves of absence will be considered on a case-by-case basis.
  All requests for such extensions must be reviewed and approved by the Assistant Dean for Postdoctoral Affairs.
  
  NOTE: As approved in April 2009, for the period of time ending on September 30, 2010, an exception to the maximum of five total years for a postdoctoral appointment will be permitted without special approvals. If a Postdoctoral Scholar's fifth year ends before September 30, 2010, the faculty sponsor may request a sixth year through the normal reappointment process. The postdoctoral appointment may not be extended beyond a sixth year, and the extended appointment must end on or before September 30, 2010. Scholars whose fifth year ends after September 30, 2009 may be extended only for the period of time through September 30, 2010.
  
  During its term, an appointment is contingent upon satisfactory performance and the existence of funding. At the end of the term and subject to the limits set forth in this policy, the appointment may be eligible for renewal, based on satisfactory performance, the existence of funding, programmatic need and continuing visa eligibility (for international Scholars). Although Scholars may be eligible for up to five full years in duration under the J-1 visa program, there is no guarantee of appointment renewal up to five years.
  
  Postdoctoral Research Scholar experiences may be documented by means of authorized institutional certificates of completion for individuals who qualify based on training program requirements. Valid certificates must be signed by the Department or Institute head.
2. Registration at Stanford University
  
  All Postdoctoral Scholars must be registered at Stanford during every academic quarter of their appointment. Registration entails payment of a quarterly postdoctoral fee, which will be paid by the academic department or school appointing the Scholar. (See Section 3.E at the end of this document.)
3. Appointment Processing
  
  Individuals interested in applying for postdoctoral study should make their inquiries directly to the academic department or school in which the person is seeking appointment. Faculty members are expected to respond to all correspondence regarding possible postdoctoral status, to determine whether the area of interest is appropriate for study at Stanford, and whether there is sufficient office/laboratory space and other resources needed to support the Scholar.
  
  The faculty sponsor and department chair are responsible for sending an offer letter to the Scholar, and are expected to use the sample offer letter available from the Office of Postdoctoral Affairs.
  
  Departments wishing to appoint a Postdoctoral Scholar should forward all appointment papers to the Office of Postdoctoral Affairs approximately three months in advance of the proposed start date for the appointment.
  
  When appointing an international Postdoctoral Scholar, the department must request a visa through the Stanford's International Center (Bechtel). Stanford University expects that international Postdoctoral Scholars will be appointed with a J-1 (Research Scholar) visa. J-1 Scholars who are transferring from another appointment must maintain continuous active status (breaks in J-1 program eligibility are not permitted). Individuals on J-2 visas are not eligible for postdoctoral appointments. New visa requests will not be approved until the Postdoctoral Affairs Office has received a complete New Admission Appointment package.
  
  In the event that Postdoctoral Scholars must be appointed on H-1B (employment) visas, those Scholars must be paid salary and receive revised appointment letters reflecting their employment status, associated institutional obligations, and salary-only fund source.
4. Levels and Sources of Support
  
  Postdoctoral Scholars at Stanford must be supported either by Stanford grants and contracts, training grants, departmental or School fellowship funds, or external fellowships, or by a combination of these sources. Postdoctoral Scholars may not be self-supporting. If an appointment is to be made for a lesser percentage, a separate statement clarifying the arrangement or describing the additional support from other sources should be included in the appointment papers. Appointments for less than 100% time need to be pre-approved by the Office of Postdoctoral Affairs.
  
  All Postdoctoral Scholars, regardless of their source of funding, must be paid at least the minimum level based on years of experience established annually by the Associate Dean of Graduate Policy. A school may also establish a higher minimum salary level for Postdoctoral Scholars paid within that school.
  
  All financial support for Postdoctoral Scholars, whether for salary or fellowship stipends, must be entered and recorded through Stanford's Graduate Financial Support (GFS) System.
  1. Appointment on sponsored projects
    Payments from Stanford research contracts and grants will be processed in the form of assistantship appointments in the university's GFS (Graduate Financial Support) system. Appointments are not limited by the university's academic calendar, and may start and stop on any dates as established by the hiring department. Salary payments to Postdoctoral Scholars are made through the University Payroll Office where appropriate taxes will be withheld (see Section 2.F) and the negotiated fringe benefit rate will be applied.
    
    If a Postdoctoral Scholar is receiving salary for less than 50% FTE (for example, if most of the Scholar's support is in the form of fellowship stipends, with supplemental salary), the salary will be charged the "contingent" fringe benefit rate.
  2. Fellowship support
    A Postdoctoral Fellowship is a competitive award of financial support to an individual Postdoctoral Scholar, providing a stipend and, in some cases, Stanford registration fees or other expenses. Although Postdoctoral Fellowships may be awarded on the basis of a proposed research program, they are not awarded to accomplish a specific statement of work, and they do not lead to an employer-employee relationship. Postdoctoral Fellowships are awarded on a merit basis to assist a Scholar in his or her professional training and development.
    
    Stipend support may also be provided from department funds, gift accounts, and school fellowships where available, as well as from external sources, where the financial assistance is NOT being provided as salary for work performed.
    
    Postdoctoral Fellowships may not be awarded to international Scholars on an H-1B (employment) visa. Individual Postdoctoral Fellowships may specify other restrictions related to citizenship. Scholars on an H-1B visa may apply for fellowship support, but, if awarded, they will not be able to accept the funding without changing their visa status.
    
    Applications for postdoctoral fellowships are processed in the same manner as sponsored projects, i.e., applications must be routed and approved through either the Office of Sponsored Research (OSR) or, in the School of Medicine, to the Research Management Group (RMG). Applications must be accompanied by a signed Fellowship Routing Sheet (Stanford form SU-42FL), and should be submitted to either OSR or RMG at least three days before the proposal is due at the funding agency.
    
    (A Postdoctoral Fellowship Decision Model has been created to help in situations where it is difficult to determine whether a source of support should be treated as a fellowship or as sponsored project funding.)
    
    Fellowship applications will be processed only for individuals with approved Postdoctoral appointments. If the Scholar has not yet arrived and begun the appointment, the approved appointment papers must accompany a fellowship application.
    
    Postdoctoral scholars appointed in clinical intensive advanced training programs or standard accredited clinical fellowship programs should be paid based on established Stanford Hospital and Clinics (SHC) Postgraduate year (PGY) levels and benefits in effect and in agreement with SHC Graduate Medical Education requirements.
5. Eligibility to Work Regulation: I-9 Requirement
  1. Appointment on sponsored projects
    
    Postdoctoral Scholars, regardless of citizenship, may not receive salary without a valid I-9 Form. A valid I-9 form is required by the Immigration Reform Control Act of 1987.
  2. Fellowship support
    
    Support from a sponsored fellowship or traineeship does not require an I-9 Form. Other forms may be required, particularly for international Scholars.
6. State and Federal Taxation Compliance
  
  All Postdoctoral Scholars must have a Social Security number on file in the Stanford Controller's Office. All funds received by Postdoctoral Scholars, except from foreign sources to non-resident aliens as noted below, are subject to U.S. federal income tax. Reimbursement for travel expenses incurred to support the Scholar's education (e.g., to attend a conference as a student) may be reportable income.
  
  Note: Income from a foreign source going to a non-resident alien is not taxable. Income from a foreign source going to a U.S. citizen or to a resident alien is subject to U.S. tax.
  1. Appointment on sponsored projects
    
    Payments from Stanford research contracts and grants will be subject to withholding (a W-4 form should be filed at Payroll). This applies to Postdoctoral Scholars who are U.S. citizens and those who are resident or non-resident aliens. Foreign citizens from countries which have a tax treaty with the United States may qualify under that treaty by filing a Form 8233 prior to receipt of their first salary payment.
  2. Fellowship support
    
    Stipend payments (from fellowship funds or training grants) for Postdoctoral Scholars who are US citizens or resident aliens are not subject to withholding. These Scholars will pay quarterly estimated taxes via the IRS Form 1040-ES and California Form 540-ES. Any fellowship stipends to foreign citizens (except from a foreign source going to a non-resident alien, as noted above) will be withheld for tax at the rate of 14% unless they are a qualifying resident of a country which has a tax treaty with the U.S. All non-resident aliens that qualify under such treaties must file a Form W-8 BEN with the Payroll Office prior to the first stipend payment if they wish to claim exemption.
  Note that rules and policies will be modified as needed to accommodate changes in the tax laws. Contact the Office of Postdoctoral Affairs for additional information regarding taxes.
RIGHTS, RESPONSIBILITIES AND PRIVILEGES OF POSTDOCTORAL SCHOLARS AND FACULTY SPONSORS
1. Responsibilities of Faculty Sponsor
  
  A faculty sponsor inviting a Postdoctoral Scholar to Stanford works with that individual to develop a plan of research and goals for the period of training. The faculty member approves this plan, and during the term of the appointment ensures adequate office/laboratory space and provides ongoing mentoring and guidance.
2. Responsibilities of Postdoctoral Scholar
  
  Postdoctoral Scholars are expected to carry out the study or research outlined in discussions with the faculty sponsor, to communicate regularly with the faculty sponsor, and to notify the faculty sponsor of any change in plans. The Scholar is not expected to handle administrative duties or to be on a dissertation reading committee for any graduate student.
3. Benefits
  1. Insurance
    
    The following insurance benefits are provided to all Postdoctoral Scholars and are funded either by the application of an approved fringe benefit rate to the salaries of qualifying (salaried for 50% FTE or more) Postdoctoral Scholars, or by fellowship awards, or - in the absence of one of these two sources - by the Scholar's faculty sponsor/department.
    
    (See memo from Godfrey Mungal regarding Charging and Paying for Benefits for Postdoctoral Scholars and Graduate Students, originally issued in October 2003.)
    1. Medical Insurance
      
      All Postdoctoral Scholars must either subscribe to one of the Stanford plans (currently Cardinal Care or Blue Cross), or provide proof of alternate insurance as required by the Office of Postdoctoral Affairs. Further information is available from Vaden Student Health Center or from the Office of Postdoctoral Affairs.
      
      Single-person insurance coverage through the Blue Cross HMO Plan is provided at no charge to the Scholar; PPO coverage is also available, but requires a contribution by the Scholar. A portion of the cost of family medical coverage is funded by one of the sources described above (as applicable); that portion will be determined annually by the Office of Postdoctoral Affairs. The balance of premiums for any dependent medical coverage will be paid by the Scholar.
    2. Dental Insurance (Effective January 1, 2003)
      
      Single person dental insurance will be provided at no charge to the Scholar; premiums for dependent coverage above the single rate will be the responsibility of the Scholar.
    3. Vision Insurance (Effective January 1, 2006)
      
      Single person vision insurance will be provided at no charge to the Scholar; premiums for dependent vision coverage above the single rate will be the responsibility of the Scholar.
    4. Life and Accidental Death Insurance
      
      All Scholars are provided a $20,000 life insurance policy and a $20,000 Accidental Death & Dismemberment policy as part of a group policy.
    5. Disability Insurance
      
      All Scholars are provided with short-term and long-term disability coverage through a group plan. The plan used will depend upon whether the Scholar is paid a salary or receives fellowship stipends. The plan's short-term benefits are the same as, or better than, the State of California's disability plan. Filing for disability insurance is the responsibility of the Scholar. Information about the process is available in the Office of Postdoctoral Affairs.
  2. Retirement Voluntary Savings
    
    Postdoctoral Scholars who are earning W-2 wages from the University may (subject to certain restrictions based on immigration status) be eligible to save for their own retirement in the University's Tax Deferred Annuity Plan, a voluntary savings plan under section 403(b) of the Internal Revenue Code. For more information on eligibility and on how to enroll, contact the Office of Postdoctoral Services. Any such contributions are made by the Postdoctoral Scholar (no matching funds are available).
4. Leave
  
  Any leave arrangements must be acceptable to the faculty sponsor and outside funding agencies. A request in writing to the funding agency from the Postdoctoral Scholar and/or faculty sponsor for a leave of absence is required. The funding agency's response must also be obtained in writing. During periods of extended absence beyond ninety (90) days, postdocs must petition to remain in appointment status and coordinate health insurance premium expense payments with faculty sponsors.
  1. Sick Leave
    
    Postdoctoral Scholars may continue to receive fellowship stipends or salaries for up to 15 calendar days of absence due to illness per year. Sick leave can be used for the individual or for the care of immediate family. Under exceptional circumstances, this period may be extended at the discretion of the faculty sponsor. Sick leave is not cumulative from one appointment year to the next.
  2. Maternity Leave
    
    Postdoctoral Scholars are eligible to receive up to six weeks maternity leave with full pay to begin on the first day of disability. (Full pay will equal a combination of a supplement from the primary source of funding plus the funds from the disability carrier.) The Scholar is expected to apply for short-term disability in the Office of Postdoctoral Affairs. Disability leave may be extended on the advice of the physician if medically necessary and verified.
  3. Family and Medical Leave
    
    Postdoctoral Scholars may be eligible for unpaid family and medical leave for certain family and medical reasons, including events such as the birth or adoption of a child, in accordance with California State laws providing coverage for any necessary waiting periods as required by California law. To be eligible for such leave, a Postdoctoral Scholar must have been in training at Stanford for at least twelve months. Requests for family or medical leave should be made in advance and approved by the faculty sponsor in consultation with the Office of Postdoctoral Affairs and the Research Management Group or the Office of Sponsored Research for Postdoctoral Scholars paid from restricted fund sources. Scholars paid from direct fund sources must acknowledge in writing their intent to waive or accept the full cost of premium expense.
  4. Vacation and Holidays
    
    Postdoctoral Scholars are eligible for one day paid vacation leave per calendar month of appointment, in addition to official University holidays. Individuals who work on a University holiday may take another day in lieu of the University holiday, to be scheduled with approval of the faculty sponsor. Time spent attending scientific meetings is not to be considered vacation. The maximum amount of vacation which can be accrued is 12 days. Postdoctoral Scholars are expected to use their allotted vacation in the year it is accrued; a period of terminal leave is not permitted. All vacation leave must be scheduled in advance with the faculty sponsor, and it is the responsibility of the faculty sponsor to monitor the vacation taken by Postdoctoral Scholars. Requests for additional vacation time must be negotiated with the faculty sponsor, and it is recommended that those requests and responses be documented in writing.
5. Registration Fees
  
  Each academic quarter, Postdoctoral registration fees will be paid on behalf of the Postdoctoral Scholar. These fees may be charged directly to a grant or contract from which the Scholar is being paid, or to a Fellowship supporting the Scholar. Where neither of these funding sources is available, the fee will be paid by the faculty sponsor/department in which the Scholar is appointed.
  
  If a Postdoctoral Scholar wishes to take courses for credit which are not required by Stanford, any tuition and additional fees must be paid by the individual.