Administrator | Penn State College of Earth and Mineral Sciences

Administrator

RA68 – Postdoctoral Appointments
https://policy.psu.edu/policies/ra68

Penn State Office of Postdoctoral Affairs
https://postdoc.psu.edu/

Postdoctoral Benefits
https://hr.psu.edu/current-employee/benefits/post-doc-appts

SUMMARY

These guidelines cover the following processes for EMS postdoctoral scholars:

Recruitment
Appointments
Minimum Salaries
Individual Mentoring Plans and Performance Reviews
Annual Salary Increases
Conflict Resolution

GOAL

To standardize guidelines for the College of Earth and Mineral Sciences (EMS) to provide consistent application of appointment processes, minimum salaries, annual evaluations, and annual salary increases for postdoctoral scholars and fellows (postdocs) across EMS.

GUIDELINES

1. RECRUITMENT:

Sub-unit heads must request permission from the Dean to recruit postdocs supported by general funds. Once approval has been granted the sub-unit head should contact EMS HR who will work with the sub-unit and supervising faculty members to develop and initiate the recruitment process including advertising and if necessary, including special considerations for international postdocs. For detailed information about hiring international postdocs, please see the EMS International PostDoctoral Scholar Visa Guidance document online.

2. APPOINTMENTS:

Terms and conditions of postdoctoral scholar and postdoctoral fellow appointments are outlined in RA68 Postdoctoral Appointments. Postdoc appointments are typically for a maximum of five years. Between the fourth year and fifth year, a determination must be made about any potential appointment that would extend a postdoc beyond five years. Discussions of continued employment beyond the fifth year should be held as soon as possible with EMS HR.

3. MINIMUM SALARIES:

Compensation for postdocs at the time of hiring must meet or exceed the minimum stipend specified in the Table of Stipends for Postdoctoral Appointments. This is the NIH/Kirschstein-NRSA scale which sets the minimum compensation (0 years of experience) that the University requires for new and reappointed postdocs and fellows regardless of funding source. This figure is updated annually by the NIH.

Any offer made in advance of the updated NIH minimum, that is below the NIH minimum, will be adjusted accordingly at the time the postdoc starts their position. Per NIH policy, once the appropriate stipend level has been determined, the scholar must be paid at that level for the entire grant year. The stipend for each additional year of support is at the next level in the stipend structure and does not change mid-year.

Faculty members are encouraged to factor in annual compensation increases and years of experience when planning for multi-year postdoc appointments.

4. INDIVIDUAL MENTORING PLANS AND PERFORMANCE REVIEWS:

All postdocs must have yearly performance review meetings with their supervisor(s) and all postdocs must have an individual mentoring or development plan. Most grants supporting postdocs already require a written mentoring plan. EMS does not provide a specific mentoring plan format and encourages faculty supervisors to tailor their plans for their individual postdocs. The plan should be established at the beginning of the postdoctoral appointment and shared with the mentee. For sample postdoc mentoring and development plans see IDPs and NSF 101: The Mentoring Plan. Mentoring plans can be updated at any time.

5. ANNUAL SALARY INCREASES:

Postdoctoral appointments are not included in the standard University Annual Salary Increase (ASI) process for faculty and staff. Salaries for postdocs are reviewed at Annual Salary Increase (ASI) time by ADGER and EMS HR to ensure that postdocs are being paid in accordance with the NIH-NRSA minimums as defined on the Table of Stipends for Postdoctoral Appointments.

If a supervising faculty member wishes to hire a postdoc at a rate higher than the NIH Grade Level corresponding with years of experience post PhD, they should consult with their sub-unit Head and EMS HR to determine the appropriate rate based upon our EMS comparable postdoc salaries. EMS HR will work with each sub-unit to compile and submit one Compensation Change Spreadsheet to HR Shared Services for processing with the effective date that the University uses for the ASI each year. The compensation change will be processed in Workday and the postdoc will be able to see their salary reflected along with any associated retroactive pay.

EMS Distinguished Postdoctoral Fellows are funded under the Dean’s Fund for Postdoc Facilitated Innovation Through Collaboration program and therefore any salary increase will be closely coordinated by EMS HR and the Dean’s Office before implementation.

6. CONFLICT RESOLUTION:

The College of Earth and Mineral Sciences makes it a priority to establish fair and effective processes to resolve postdocs’ grievances. If a problem were to arise between a postdoctoral scholar and a faculty member, colleague, or other institutional personnel, we encourage postdocs to first seek to resolve the problem with their supervisor. If needed, postdocs may seek recourse through the department or institute head, Associate Dean for Graduate Education and Research, Associate Dean for Educational Equity, and guidance from Human Resources and/or the Office of Postdoctoral Affairs. Postdocs are also encouraged to contact the EMS Graduate Student and Postdoctoral Scholar Ombuds Program for assistance with navigating potential conflicts.

Adopted: EMS Executive Council, October 15, 2024

Updated: April 28, 2026

Tenure-line faculty members (and some non-tenure-line faculty members) with teaching responsibilities are expected to perform service and research. As such, there may be occasional times during the fall and/or spring semesters when faculty members may wish to plan absences for work-related reasons. (Illness or other unavoidable circumstances are usually the only reasons for last-minute cancellations.)

In the case of planned absences for work-related reasons, faculty members who anticipate needing to miss more than five class hours during the fall and/or spring semesters must seek prior approval from their supervisor. Regardless of the number of missed classes for planned absences, the faculty member must always communicate with their supervisor regarding what appropriate action will take place to cover their teaching obligations for the duration of their absence. The faculty member is expected to make arrangements for classes to be covered in person or provide an alternative form of instruction. For helpful information about strategies for both planned absences and emergencies go to https://weblearning.psu.edu/contingency-planning/.

Faculty members may offer no more than 24.99% percent of an in-person class remotely (synchronously or asynchronously). For more information about this requirement go to https://www.registrar.psu.edu/registration/instruction-modes.cfm.

This guidance is in addition to and in accordance with guidance provided by the Office of Faculty Affairs around faculty working outside the United States. Faculty who are planning to work outside the United States for up to 30 days must inform their supervisor. For more information about this requirement go to https://vpfa.psu.edu/files/2023/02/Faculty-Working-Outside-the-US_2-1-23.pdf.

Relevant Guidance:

EMS Faculty Workload Policy: https://www.ems.psu.edu/resources-faculty-and-staff (see College Policies and Guidelines > Faculty Workload Policy)
Instructional Modes: https://www.registrar.psu.edu/registration/instruction-modes.cfm
Contingency Planning for Undergraduate and Graduate Instruction: https://weblearning.psu.edu/contingency-planning/
University Faculty Senate Policy 42-23 - “Credit Requirements by Types of Instruction” 42-00 Acquisition of Credit | University Faculty Senate

GUIDELINES INITIAL DATE: February 4, 2025
(replacing previous guidelines titled ‘Time Away During the Academic Semester 10.23.23’)

Faculty in the College of Earth and Mineral Sciences may not hold a tenure-line appointment or hold tenure at another institution.

Apart from this specific guideline, the College of Earth and Mineral Sciences does not have any specific guidelines beyond what is outlined in AC80 – Outside Business Activities and Private Consulting - https://policy.psu.edu/policies/ac80

Guidelines adopted: EMS Executive Council - April 4, 2023

The following college-specific document was developed in response to updates of GCAC-101 – Graduate Faculty Membership, effective Summer 2022. This document is the College of Earth and Mineral Science’s interpretation of the qualifications for faculty members to join the graduate faculty, and for non-graduate faculty members to teach graduate courses.

The Graduate Faculty Nomination Evaluation Committee (GFNEC) for each college/school is charged with soliciting input, creating, and approving membership qualifications for Category P, Q, and R that interpret the Graduate Council policy GCAC- 101.

These guidelines will be reviewed and updated every four years by the GFNEC in consultation with graduate program leadership and then submitted to the Graduate Council Committee on Academic Standards and the dean of the Graduate School for approval as stated in Graduate Council policy GCAC-101.

TENURE-LINE FACULTY MEMBER NOMINATIONS

Graduate Professional Education - Category P Membership

Approval of the nomination of a faculty member with a tenure-line appointment for membership in Category P of the graduate faculty of the Graduate School is pro forma, with review to assure that a) information submitted is complete for inclusion in the graduate faculty database; b) the correct form has been submitted for the correct category of membership; and c) the individual’s appointment at Penn State has begun (faculty members cannot be appointed to the graduate faculty prior to their start date at the University).

Graduate Research Education - Category Q Membership

Nominations for membership in Category Q of the graduate faculty of the Graduate School is for individuals with a tenure-line appointment who hold a terminal master’s degree and are reviewed for the following criteria:

A terminal master’s degree with research training, or a terminal master’s degree and a record of research, in either case sufficient to contribute to research doctorate training;
An active program of research appropriate to the field. (See below for assessing “an active program of research appropriate to the field.”)

Graduate Research Education - Category R Membership

Approval of the nomination of a faculty member holding a Ph.D. or other doctoral degree with a tenure-line appointment for membership in Category R of the graduate faculty of the Graduate School is pro forma, with review to assure that

The information submitted is complete for inclusion in the graduate faculty database;
The correct form has been submitted for the correct category of membership; and
The individual’s appointment at Penn State has begun (faculty members cannot be appointed to the graduate faculty prior to their start date at the University).

NON-TENURE-LINE FACULTY MEMBER NOMINATIONS

Graduate Professional Education - Category P Membership

There are two subgroups in Category P:

Category P-M
- For individuals who participate in professional master’s degree programs
Category P-D
- For individuals who participate in professional doctoral degree programs; such individuals may also participate in professional master’s degree programs

CATEGORY P-M

Nominations for membership in Category P-M of the graduate faculty of the Graduate School for individuals not on a tenure-line appointment are reviewed for the following criteria as defined in policy GCAC-101 graduate faculty membership:

A full-time faculty appointment
A master’s degree
Recent or ongoing professional experience relevant to the professional master’s degree program field; alternatively, ongoing scholarly activity in the professional master’s degree program field

CATEGORY P-D

Nominations for membership in Category P-D of the graduate faculty of the Graduate School for individuals not on a tenure-line appointment are reviewed for the following criteria as defined in policy GCAC-101 graduate faculty membership:

A full-time faculty appointment
A doctoral degree
Recent or ongoing professional experience relevant to the professional doctoral degree program field; alternatively, ongoing scholarly activity in the professional doctoral degree program field

PROFESSIONAL EXPERIENCE RELEVANT TO THE PROFESSIONAL DEGREE PROGRAM FIELD AS DEFINED BY THE COLLEGE OF EARTH AND MINERAL SCIENCES

The expectation of recent or ongoing professional experience relevant to the professional masters or doctoral degree program field derives from the fact that professional graduate degree programs prepare students for expert practice in the chosen field. Accordingly, with the recognition that fields and professional practice evolve quickly, and with a goal of preparing our students to practice their chosen profession at a high level based on the education we provide, faculty members who will be fully engaged in professional degree programs should be intimately familiar with the current state of practice in the field. We generally expect professional experience to be within the last 3-5 years; individual graduate programs may have higher standards.

Illustrative examples of professional experience follow. NOTE: The specific examples presented below are NOT intended to be exhaustive.

Employment
Licensure or Certification
Formal consulting activities
Presentations at professional workshops or meetings
Serving on professional advisory committees
Participation in professional and industry networks
Demonstration of mentoring and professional development of others

An expectation of professional degree programs is that they incorporate new practices derived from new discoveries in their field of study; thus, individuals with ongoing scholarly work in the field can appropriately be approved to Category P membership. Such membership is particularly important when the scholarly work in the field is rapidly advancing ahead of standard professional practice.

Graduate Research Education - Category R Membership

Nominations for membership in Category R of the graduate faculty of the Graduate School for individuals not on a tenure-line appointment are reviewed for the following criteria as defined in policy GCAC-101 Graduate Faculty Membership:

A full-time faculty appointment
A doctoral degree
A record of scholarly achievement, and an active program of research/scholarly activity, appropriate to the field

A RECORD OF SCHOLARLY ACHIEVEMENT APPROPRIATE TO THE RESEARCH DEGREE FIELD AS DEFINED BY THE COLLEGE OF EARTH AND MINERAL SCIENCES

Below are illustrative examples of scholarly achievement. NOTE: None of the specific examples in the lists presented below are intended to be exhaustive.

Scholarly written works
- Books and book chapters
- Peer-reviewed journal articles
Scholarly activities
- Invited talks
- Presentations at academic meetings and workshops
- Presentations at professional conferences and workshops
- Communication of one’s primary research to a non-scientific audience (e.g., technical reports, agency or corporative briefings, etc.)
- Serving on advisory committees
Professional activities
- Organizing academic and professional meetings
- Participating in funding review panels
- Leadership positions in professional organizations

Additional activities that take primary research (generation of new knowledge) and translate it for use by, and benefit of, a lay audience may be considered. Examples include primary research communicated through technical reports, science-based datasets or tools, public workshops, etc.

NOTE: The focus here is on activities that generate new knowledge. Most of these will be communicated to peers (e.g., peer reviewed journal articles), however, those communicated to audiences who are direct beneficiaries of the new knowledge (e.g., technical reports, workshops) can also be considered. This differs from activities that summarize and communicate existing knowledge (e.g., outreach), which will not be considered.

AN ACTIVE PROGRAM OF RESEARCH/SCHOLARLY ACTIVITY

The college recognizes that research and scholarly activity occurs at different rates for different disciplines and there are also different forms of evidence for different disciplines. The EMS GFNEC will incorporate this variability in its assessment of candidates.

Assessment for membership in the graduate faculty is not formulaic; each nominee’s accomplishments are considered holistically. Faculty members with ongoing journal publications or very recent books, combined with other ongoing scholarly and professional activities, would be well qualified for membership in Category Q or R of the graduate faculty.

EMS CONTINUING APPROVAL TO TEACH QUALIFICATIONS

Individuals who are not members of the graduate faculty may teach specific graduate courses for one year when approved by the head of the graduate program offering the course. After the initial approval to teach, requests for continuation of the Approval to Teach will be reviewed and approved by GFNEC based on the qualifications described below and in accordance with Graduate Council policy GCAC-101 Graduate Faculty Membership. Required documents include CV, formal student evaluations, peer evaluation, and syllabi for special topic courses. Individuals with continuing Approval to Teach are then subject to Performance Evaluations every four years which require student and peer evaluations. Process and procedure documentation are outlined in GCAC-101.

Peer Evaluation

Peer evaluations should focus on aspects of the instructor’s skill in teaching the course that are not apparent from student evaluations. Programs are encouraged to use a standardized rubric that focuses on the instructor’s teaching ability.

Formal Student Evaluation

Similarly, the review of PSU administered formal student evaluations for renewal of Approval to Teach should focus on the instructor’s skill in teaching the course, not on course content. The GFNEC and Graduate School should look carefully at those metrics related specifically to instructor skill, and to specific comments from students. A potential outcome in cases of less than exemplary evaluations is renewal for one year (instead of three years), with an expectation of demonstrated improvement for future renewals.

500-LEVEL RESEARCH EDUCATION COURSES

To maintain standards across all 500-level courses, approval to teach 500-level courses requires a doctoral degree, a record of scholarly achievement, and an active program of research/scholarly activity, appropriate to the field.

A RECORD OF SCHOLARLY ACHIEVEMENT APPROPRIATE TO THE RESEARCH DEGREE FIELD

The requirement for an active program of scholarly research is based on the fundamental value proposition for graduate-level research education at a research-intensive University:

Students should be taught by individuals at the forefront of creating new knowledge, ensuring that students are exposed to not only the latest knowledge in the field, but the latest intellectual approaches as well.

The college and Graduate School recognizes that the breadth of fields of study offered means that no simple standard can be applied to evaluate a proposed instructor’s “record of scholarly achievement.” Each individual is evaluated according to the standards of their particular field of study.

In recognition of the short-term commitment typically represented by a request for approval to teach graduate courses, the college and Graduate School provides some additional flexibility in considering evidence of “an active program of research/scholarly activity.” Illustrative examples sufficient for approval to teach 500-level courses typically include one or more of the scholarly activities listed below over the past four years. NOTE: the lists presented below are not intended to be considered exhaustive.

Scholarly written works
- Books and book chapters
- Peer-reviewed journal articles
Scholarly activities
- Invited talks
- Presentations at academic meetings and workshops
- Presentations at professional conferences and workshops
- Communication of one’s primary research to a non-scientific audience (e.g., technical reports, agency or corporate briefings etc.)
- Serving on advisory committees
Professional activities
- Organizing academic and professional meetings
- Participating in funding review panels
- Leadership positions in professional organizations

800-LEVEL PROFESSIONAL EDUCATION COURSES

To maintain standards across all 800-level courses, approval to teach 800-level courses requires a master’s degree, and professional experience relevant to the professional degree program field.

A RECORD OF SCHOLARLY ACHIEVEMENT APPROPRIATE TO THE RESEARCH DEGREE FIELD

The requirement for professional experience relevant to the professional degree program field is an extension of the fundamental value proposition for graduate level education at a research- intensive University:

Students should be taught by individuals who are expert practitioners at the forefront of their professions, ensuring that students are exposed to not only the latest practices in the field, but the latest intellectual approaches as well.

Accordingly, with the recognition that fields evolve quickly, and with a goal of preparing our students to practice their chosen profession at a high level based on the education we provide, individuals recommended to teach 800-level professional education courses should be familiar with the current state of practice in the field. We generally expect individuals recommended for approval to teach specific courses to have evidence of professional activity in the field at any time over the last 5 years.

In recognition of the short-term commitment typically represented by a request for approval to teach, the college and Graduate School provides some additional flexibility in considering evidence of “professional experience relevant to the professional degree program field.” With the recognition that professional practice evolves quickly, we generally expect one or more indicators of professional experience to be within the last 3-5 years; individual graduate programs may have higher standards.

Illustrative examples of professional experience follow. NOTE: The examples presented below are NOT intended to be exhaustive.

Employment
Licensure or Certification
Formal consulting activities
Presentations at professional workshops or meetings
Serving on professional advisory committees
Participation in professional and industry networks
Demonstration of mentoring and professional development of others

An expectation of professional degree programs is that they incorporate new practices derived from new discoveries in their field of study; thus, individuals with ongoing scholarly work (as outlined above) in the field can also be appropriately approved to teach 800-level courses.

Approved by the Graduate Councill’s Ad Hoc Committee on the Implementation of GFNEC Qualifications and the Dean of the Graduate School - December 19, 2024

PURPOSE

To establish guidance for academic departments in EMS pertaining to graduate assistant workload, level of support and the permissible funding sources to provide total graduate assistantship packages above the Required Minimum Stipend Grade. These guidelines do not supersede any Penn State University policies.

BACKGROUND

Graduate assistants are, first and foremost, graduate students pursuing an education. The opportunity to work closely with faculty members and undergraduate students in teaching, research, or administrative environments is an integral part of that education. Graduate students who hold assistantships benefit educationally and professionally. Assistantships also provide graduate students with the financial resources necessary to pursue their degrees.

LEVEL OF SUPPORT AND WORKLOAD

The College of Earth and Mineral Sciences strives to support all graduate assistants at a minimum Grade 14. Summer stipend is not required, but for students to be supported on an annual basis, academic departments should seek to provide additional support and/or scholarship funding during the summer that meets or exceeds the annualized grade 12 half-time minimum. A two-semester Grade 12 appointment (fall and spring) is typically insufficient to cover annual living expenses in the area. Increasing the standards of assistantship support above the Required Minimum Stipend Grade (Grade 12) boosts graduate recruitment, retention, and program competitiveness. Higher graduate stipend levels can also be used to reward individual graduate students for exceptional performance and/or successful progression through graduate degree milestones.

Graduate assistants are expected to be involved in assistantship activities for an approximate total of 18 weeks per fall and/or spring semester, and for a period of up to 12 weeks in the summer. However, graduate assistants are paid in five monthly payments in the fall and/or spring semester, and in two monthly payments in the summer (June and July). As a result, monthly stipends in the summer months are paid at a higher rate to account for assistantship activities performed over a longer period (12 weeks from mid-May to mid-August).

Graduate assistantships (GA) may be one of three types: quarter-time, half-time, or three-quarter-time.

¼ (quarter) time = Graduate student normally registers for 9 to 14 credits per semester (5-7 per summer session) and is expected to provide teaching, research, or administrative assistance that, on average, consists of approximately 10 hours of assistantship activities a week.
½ (half) time = Graduate student normally registers for 9 to 12 credits per semester (4-6 per summer session) and is expected to provide teaching, research, or administrative assistance that, on average, consists of approximately 20 hours of assistantship activities a week.
¾ (three-quarter) time = Graduate student normally registers for 6-8 credits per semester (3-4 per summer session) and is expected to provide teaching, research, or administrative assistance that, on average, consists of approximately 30 hours of assistantship activities a week. Keep in mind that international students are allowed to work on-campus for no more than 20 hours per week during the fall and spring semesters.

In all cases, unpaid additional hours of time commitment related to a student’s degree requirements may be necessary, such as related to a graduate student’s research, depending upon the student’s thesis/dissertation project. The programs supporting the graduate assistant should be providing the student with the necessary training and mentorship to perform effectively and to render the assistantship as a positive learning opportunity and an important component of their educational experience.

For additional effort hours, not related to the assigned assistantship activities, a wage appointment should be used instead, whereas if they are related to the assigned assistantship activities, the appointment should more appropriately be changed to a 3/4-time appointment, rather than adding the additional hours as wage payroll.

FUNDING SOURCE

Possible funding sources for graduate assistantships include but may not be limited to the following:

Sponsored research projects. When budgeting for graduate student salary on sponsored projects, PIs should allocate reasonable compensation for work performed by graduate research assistants. If a graduate research assistant is contributing effort to multiple sponsored awards, the stipend and tuition percentages on each respective award must match (i.e. 25% stipend and 25% tuition on Award A; 75% stipend and 75% tuition on Award B);
GA allocation from the general funds managed by the Office of the Associate Dean for Graduate Education and Research (ADGER) to departments and institutes;
Department/institute general funds;
Gift or endowment funds, as long as those allow for student support;
A combination of sponsored research and general funds (or gift/endowment funds which allow for student support), as long as the graduate student is putting forth research effort on that sponsored project commensurate to the funding support, and provided that the percentage of tuition remission charged to sponsored award(s) does not exceed the percentage of stipend charged to said sponsored award(s). Tuition remission can be paid in full from general funds or gift/endowment funds.

On sponsored research, assistantship appointments should be related to the graduate student's disciplinary field and wherever possible, tied to the student's program of study so as to contribute in a relevant manner to the student's professional development.

Split graduate assistantships, where a graduate student is funded through both teaching (TA) and research (RA) duties, require careful workload management to ensure the student can balance responsibilities while making progress toward their degree. The combined workload should not exceed the standard graduate assistantship hours by type (quarter-time, half-time, or three-quarter-time). For example, if a half-time assistantship is 20 hours/week, this time should be split between teaching and research (e.g., 10 hours for teaching, 10 hours for research). This allows the student to balance academic responsibilities while progressing in their degree program.

Regardless of the mechanism used to provide total funding packages, attention should be paid to avoid potential negative impact on the recruitment and retention of underrepresented minority, or otherwise non-traditional graduate students. Questions pertaining to graduate assistant workload, exceptions on level of support, and appropriate mechanisms of funding can be directed to the associate dean for graduate education and research.

Last revised: October 18, 2024

The College of Earth and Mineral Sciences is a vibrant, inclusive community of faculty, staff and students driven by curiosity to unlock how Earth's systems, energy and materials interact with one another and society. Our vision for the future is that EMS is where convergence happens; where students learn to plumb the depth of their chosen field while integrating their understanding across disciplinary boundaries to discover and innovate; where our faculty increasingly translate their scientific discoveries into practice, improving people's lives; where our staff, with a strong sense of belonging, support those efforts and find new solutions as challenges arise.

That vision can only be realized with a faculty that is strongly committed to inspirational teaching, cutting edge research, and engagement with colleagues, leading scientific institutions, government, and the public. Excellence in all three of those areas is expected from each tenure-line faculty member; non-tenure-line faculty typically have a mission-area of focus in which they are expected to excel.

The EMS faculty workload policy stated below provides a framework within which each faculty member may productively perform their duties while meeting the broad expectations of the College and University.

EXPECTATIONS

Tenure-line EMS faculty members are expected to:

provide resident and/or online instruction.
mentor undergraduate and graduate students.
maintain highly respected, (where applicable) externally funded research programs that involve students, create new knowledge, and apply that knowledge to the benefit of society.
disseminate their research findings in top-tier peer-reviewed publications.
contribute significantly to service activities both within and outside of Penn State.

Full-time, non-tenure-line faculty members are typically assigned duties predominantly in one of the three areas of teaching, research and service. As such, the balance of their workloads is expected to be heavier in the primary focal area than that for tenure-line faculty members.

For both tenure-line and non-tenure line faculty members, this policy provides the flexibility necessary to accommodate the broad range of personal strengths among faculty members.

GOALS

The goals of the EMS faculty (tenure-line and non-tenure-line) workload policy are to:

Provide our students with the best instruction in the earth, energy, and material sciences available anywhere.
Facilitate the productivity of tenure-line faculty members with highly active research programs and/or exceptional service responsibilities by adjusting their teaching and/or service loads.
Rebalance the workload of tenure-line faculty members whose research productivity significantly falls short of normal expectations by increasing teaching and service duties with the goal of increasing overall productivity.
Personalize the workload of each tenure-line faculty member in accordance with items 1-3.
Reduce or eliminate unnecessary under-enrollment in EMS courses, as defined in the Academic Administrative Policies and Procedure Manual, C3: Minimum Course Enrollment Threshold Expectations: https://undergrad.psu.edu/aappm/C-3-minimum-course-enrollment-threshold-expectations.html

THE ELEMENTS OF THE POLICY ARE:

All tenure-line and non-tenure-line teaching faculty members are expected to teach in the resident and/or online instruction program of the College. Additionally, tenure-line faculty involvement in first-year seminars is important to the development of a strong undergraduate cohort and is highly encouraged.
A normal teaching load for a 36-week appointment is four courses (12 credits) per calendar year for tenure-line faculty and six courses (18 credits) for non-tenure-line teaching faculty. The department head may increase the teaching load of a faculty member as indicated by departmental needs and/or need to increase that faculty member’s overall productivity.
Teaching expectations will be designed to meet departmental curricular needs according to degree requirements, departmental educational philosophy, professional expectations and values, and departmental priorities.
Teaching expectations may be met, according to departmental guidelines, by any combination of resident instruction or online teaching.
Research productivity, for the purposes of assigning each tenure-line faculty member’s workload, will be determined by peer-reviewed publication rate and quality, quantity of sponsored research funding (where applicable), and training of researchers, including postdoctoral scholars — all in accordance with normal standards of the University and broadly consistent with peer institutions in each of the College’s disciplines. Additionally, some departments may outline in their guidelines where supervision of graduate students registered for credit demonstrates research activity, which may result in a teaching load reduction (typically no more than one course).
Department heads are responsible for evaluating research productivity and allocating individual tenure-line faculty workload assignments each year, and teaching assignments will be made in a timely manner thereby allowing for adequate course preparation.
Teaching buyout policies for tenure-line and non-tenure-line faculty are subject to proper departmental compensation for the time being released to perform research and/or service duties. Buyout policies will be set in each of the departments, consistent with departmental needs, and subject to approval by the Dean. Normally, faculty are not allowed to buy out of all teaching responsibilities with research funding. The minimum teaching load is one course per year.
Department heads may grant teaching release time to individual faculty members to allow those faculty members to engage in high visibility instructional, service or research activities; deliver service courses with high enrollment; or prepare for new teaching assignments. Note: department heads cannot grant teaching release below the one course per year minimum for tenure-line faculty members without approval from the Dean.
Under-enrolled and/or independent individual study courses do not count toward the teaching load unless the faculty member is required by the department head to teach the course for some other reason.
While these guidelines apply generally, it is important for the policy to focus on individual faculty members and departmental outcomes in order to define individual roles in the departments that leverage faculty members’ strengths and maximize the department's productivity and impact.

RESOURCES:

Best Practices and Expectations for Online Teaching https://facdev.e-education.psu.edu/teach/bestpractices
Academic Administrative Policies and Procedures Manual https://undergrad.psu.edu/aappm/

Approved by EMS Executive Council: September 5, 2023

College of Earth and Mineral Sciences | Office of the Associate Dean for Graduate Education & Research (ADGER)

Purpose and Scope

This guidance outlines the procedures for identifying, documenting, and managing mandatory cost sharing on externally sponsored research within the College of Earth and Mineral Sciences. It supplements—without superseding—University policies and procedures, ensuring compliance and audit readiness across the lifecycle of a proposal and award.

What is Cost Share?

Cost share (or matching) refers to the portion of project costs not covered by the sponsor and contributed by Penn State or third parties. Types include Mandatory (required by the sponsor), Voluntary Committed (offered in the proposal and becomes binding), and Voluntary Uncommitted (additional effort not quantified in the proposal and typically tracked locally).

Why Cost Share Matters

Mandatory cost share demonstrates institutional commitment, satisfies sponsor requirements, and carries compliance, reporting, and audit implications. Incorrectly offered or undocumented cost share can create financial risk and administrative burden.

Guiding Principles

Stewardship and consistency in cost share. EMS prioritizes cost sharing when explicitly required by the sponsor; voluntary cost sharing is not expected as standard practice but may be included when strategically justified or aligned with College priorities.
Proportionality in multi-unit proposals. EMS’ contribution to the total cost share should generally reflect its proportion of the proposed effort or budget share across participating units, recognizing that exact alignment may not always be feasible.
No over-matching graduate support. Graduate assistantship (GA) support in cost-share should not exceed sponsor-funded GA costs in the proposed budget. Exceptions require justification and approval from ADGER. Central (OSVPR) funds typically support up to 10% of sponsor-funded GA costs (without F&A) or up to 50% of sponsor-funded GA costs (with F&A).
Decision quality and timing. Cost-share requests should be made early enough to allow informed, collegial decision-making by contributing units.
Follow departmental policies on academic-year effort. This guidance defers to departmental policies and restrictions on academic-year effort on sponsored research.

Acceptable Cost-Share Expenses and Sources, and Required Documentation

Cost share must consist of allowable, allocable, and reasonable project costs that directly support the proposed scope of work and are verifiable in Penn State’s financial system. Cost share may be provided through a combination of internal and third-party resources, subject to sponsor and institutional requirements.

1. Allowable Cost-Share Expenses

The following types of project costs may be used as cost share, when otherwise allowable under sponsor and University policy:

Faculty effort (salary, fringe benefits, and applicable F&A)
Graduate Assistant support, including stipend, fringe benefits, tuition remission, and applicable F&A
Dedicated or specialized administrative or technical personnel time that is directly allocable to the project
Equipment acquired for the project, including new purchases or documented third-party donations¹ for the exclusive use of the project, including associated shipping and installation/setup costs. Requests for institutional matching on externally funded major research equipment proposals are governed separately under RAG51 Central Matching Funds Program for Research Equipment
Facility fees or charge-out rates, when based on allowable internal service center or recharge rates

2. Acceptable Sources of Cost Share

The following funding sources may be used to support allowable cost-shared expenses:

University non-sponsored funds, including start-up funds, discretionary general funds, and endowment or gift funds, when consistent with donor intent and restrictions
Documented state, industry, or foundation contributions
Documented third-party in-kind contributions, when the contribution directly benefits the project, and the valuation methodology is reasonable, documented, and auditable

3. Unallowable Sources and Costs

The following may not be used as cost share unless explicitly authorized by the sponsor:

Federal funds, including federal flow-through funds
Costs that are not allowable, allocable, or reasonable under sponsor or University policy
Costs that cannot be tracked or verified within Penn State’s financial systems

Pre-award research coordinators are responsible for securing approvals at the proposal stage (as required by department/OSP) and using the Cost Share Commitment Form. Third-party contributions must be documented via a Third-Party Cost Share Commitment Letter and a subsequent Confirmation. Ensure valuation methodology for in-kind contributions is documented and auditable. All cost share must be verifiable within Penn State’s financial system.

Budget Development and Communication Workflow

Budget development is iterative. The PI and pre-award research coordinator collaborate to refine the scope of work, budget, and cost share. Identify sources early: departmental support tied to personnel, graduate support (department, ADGER, central), and equipment (department, central).

PIs and Co-Is are expected to engage the appropriate administrator (Dept. Head, ADGER, Dean, etc.) as early as practicable. Cost-share requests should be initiated with sufficient lead time (>2 weeks) to allow time for review and approval. Requests made at or after the internal proposal deadline (five business days before sponsor submission) limit thoughtful evaluation and place undue pressure on contributing units. While expedited reviews may occasionally be necessary due to late sponsor clarifications or other exceptional circumstances, they should be the exception rather than the norm.

Cost-Share Request Email Template (for Rapid Review)

Cost-share requests should be accompanied by sufficient context to allow contributing units to understand key elements of the request and facilitate a timely and meaningful review. Pre-award research coordinators may use the following template for cost-share requests.

Subject: Cost-Share Request — [Project Title], [Sponsor], due [Due Date]

Total Project Budget	$[Total Costs] (Sponsor + Cost Share)
Sponsor Cost-Share Requirement	Mandatory cost share of [amount or %]. [Sponsor language excerpt — optional]
Total Cost Share Needed	$[Total required cost share]
Your Unit’s Requested Contribution	$[Total amount], with the following breakdown (as applicable): Graduate assistant support (number of GAs, term(s), and year(s)) Salary support (individuals, % effort, and year(s)) Equipment or facility fees (description and timing) Other committed costs (brief description)
Timeframe	[Year(s) or project duration]
Other Contributors (if applicable)	List other committed or pending cost-share sources, with brief details, and indicate whether commitments are confirmed or pending
Reason for Request	[1–2 sentence justification tied to sponsor requirement and proportionality]

Tracking and Reporting

At the award stage, cost share commitments are established in SIMS/SIMBA. For mandatory and voluntary committed cost share, 52 Internal Orders (IOs) are requested at account setup. Proposed cost share budgets (except for F&A, which is manually calculated) are uploaded to SIMBA and shared with departments/PIs. Each subunit should work with the Strategic Finance Partner (FPAC Team) to fund each cost share account in FM (Funds Management) annually, as long as the cost share account remains active. The Research Office provides cost-share details for Research Accounting (monthly/quarterly, depending on invoicing) for sponsor invoices. Voluntary uncommitted cost share is tracked by departments, which often use 80 or 15 IOs on the FM side. Submit final reports to sponsors when required.

References

RA50 – Cost Sharing (Penn State Policy)
RAG51 – Central Matching Funds Program for Research Equipment
RAG52 – Central Matching Funds for Graduate Assistantships/Traineeships
RAG53 – Coordination Process for Matching Funds and Other University Contributions to Multi-Unit Proposals
Cost Sharing FAQ – Research Support
Third-Party Cost Share Commitment Letter (Research Support Document Library)
Third-Party Cost Share Commitment Confirmation (Research Support Document Library)

Approved: EMS Executive Council, February 24, 2026

Footnotes:

The value of donated equipment must be determined in accordance with the accounting policies of the University. See RA50 Cost Sharing
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Applicable Policies:

HR06 – TYPES OF APPOINTMENTS
AC21 - DEFINITION OF ACADEMIC RANKS

Purpose:

In accordance with HR06, Types of Appointments, the purpose of this policy is to provide direction in the appointment and the fair and equitable utilization of individuals who participate in the activities of the college. It is recognized that the college may be enriched by the inclusion of individuals whose special knowledge or expertise complements that of the regular college faculty members.

Definitions:

There are three kinds of appointments which are appropriately used in differing situations.

An “academic affiliate” appointment (formerly “adjunct”) can only be offered to individuals who are not employed by the University but has an academic affiliation with the University. The procedure described below outlines how these appointments are made. These are unpaid appointments.
An “affiliate academic” appointment can only be offered to staff (i.e. those on non-academic appointments AC-85) to whom you wish to give titles; it cannot be used for faculty.
A “courtesy” appointment can be offered to faculty budgeted in other units and is defined as a title unaccompanied by budget assignments. These are unpaid appointments.

Eligibility:

Academic Affiliate faculty status is limited to individuals who are not employed by the University. Appointments may range from one semester to 3 years and may be renewed by mutual consent. If an academic affiliate faculty member assumes a paid Penn State position, he or she cannot serve as an academic affiliate during that time. The qualifications of an academic affiliate faculty member with respect to education, training and experience should therefore be equal to those of the regular faculty members performing similar services.

Title to be Used:

The term ‘academic affiliate’ is to be used only with the academic titles defined in Policy AC21 (see Applicable Policies above). In most cases in our college, that would be an affiliate assistant professor, affiliate associate professor, affiliate professor, or affiliate lecturer.

Procedure for Recommendation and Termination:

The candidate must be reviewed and approved by the appropriate departmental committee.
Upon approval, the department head will submit a brief cover letter of support outlining the proposed title, expected contribution to the department along with the committee’s letter and the candidate’s CV to the HR office for the Dean’s review.
The Dean will make the final decision regarding the appointment of the candidate. If the decision is favorable, the HR office will work with the department to process the appointment.
Initial academic affiliate appointments may be made for up to three years – adjusted to synchronize with the fiscal year calendar -- and may be renewed with the approval of the department head and the Dean after an annual review.
- By May 15th of each year, the departments will supply a list of individuals on academic affiliate appointments to the HR office for Dean’s review. A brief justification which might include examples of participation in the department or college in the past year, anticipated participation for the coming year, and the department’s intent to extend or terminate the appointment should be included for each individual listed.
The HR office should be notified of any academic affiliate appointments terminated prior to the end of the fiscal year.

Benefits Available:

Academic affiliate faculty members are not eligible for tenure, nor do they participate in the university’s benefits programs.

Courtesy Appointment Procedures:

A “courtesy” academic title is one that is not accompanied by a budget assignment. With the permission of the dean, the Departments may appoint a faculty member in another department to a “courtesy” title in their department (i.e. Geosciences, Geography, etc.). The procedures below should be followed.

A proposed courtesy appointment requires a sponsor from the Department. The sponsor should prepare a proposal which will be reviewed by the appropriate committee. Under normal circumstances, this proposal will contain the candidate’s CV, supporting letters from the sponsor and possibly other faculty members, and a description of the actual commitment that the proposed courtesy faculty member will have to the department (e.g. cross-listed courses, student advising, joint seminars, etc.)
The committee should review the proposal and determine whether it meets appropriate academic standards and whether the appointment will be advantageous to the department. In recommending an appointment the committee shall also recommend the title which should be granted. Note that terms such as “affiliate professor” or “titular professor” cannot be used. We can change someone’s title from, say, “Associate Professor of Physics” to “Associate Professor of Physics and Material Sciences”.
If the proposal is approved, the department head will contact the candidate, and his/her department head and dean, seeking permission to make the appointment. To become official, the appointment must be processed through Workday by the candidate’s home department and college. Both department heads and their deans must sign off on the appointment.

Effective date: November 18, 2020

DIFFERENCES BETWEEN APPOINTMENT TYPES

Type	Paid Appointment?	Applies to?	Can they be a PSU Employee?	Length of Appointment	Title to Be Used	Approval Authority
Adjunct (Exempt)	Yes (HR103), part time position, can only teach 9 credits/semester	Faculty Only	Yes	One semester or up to 1 year at a time	“Adjunct X” i.e. Adjunct Instructor	Hiring Manager
Affiliate Academic Appointment (AC85)	Yes, SUPP pay is authorized under HR90	Administrative or Staff Only	Yes	One semester or up to 3 years	“Affiliate X” i.e. Affiliate Professor	Dept. Head and Dean
Academic Affiliate Appointment	No	Faculty Only (Visiting Scholars AC01)	Yes (used for visiting faculty)	One semester or up to 3 years	“Affiliate X” i.e. Affiliate Professor	Dean
Contingent	No (or at least not paid by PSU)	Staff (HR06)		Contingent	No	Executive or Dean
Courtesy	No	Faculty Only	Yes, from another sub-unit	One semester or up to 3 years	Professor of X	Dean
Emeritus	No	Retired, Emeritus-Eligible Faculty (AC25)	No (retired)	Indefinitely	“Emeritus” i.e. Emeritus Professor	Dean (and President)
Joint Appointment	Yes, between EMS and another Academic Unit	Faculty Only	Yes	One semester or up to 3 years	“Depends on rank in home unit” i.e. Assistant Professor	Deans of both units
Non-teaching Academic	Yes-can be exempt or non-exempt, if non-exempt, PT hourly wage rules apply	Faculty Only	Yes	One semester or up to 3 years	“Part-time Academic (non-exempt)”	Hiring Manager

Purpose
Sick Leave
Resources

PURPOSE:

To establish the terms and conditions for full-time academic appointments (Tenure-Line and Non-Tenure-Line), to include paid and unpaid academic sick leave during the Fall and Spring Semesters. Unless otherwise specified below, the term faculty member includes the academic appointment employees noted above. These guidelines are not intended for short duration absences that can be handled in other ways. These guidelines are for longer-term illnesses or medical needs (i.e., continuous absences of more than five business days in a row).

SICK LEAVE:

Faculty members in the College of Earth and Mineral Science will be eligible for paid sick leave under the following schedule:

Length of Continuous University Service as a Full-Time University Employee at Beginning of Absence	Allowance for Each Absence (Business Days)
Less than 2 years	20 days *
More than 2, but less than 5 years	40 days *
More than 5, but less than 10 years	90 days *
More than 10 years	120 days *

* Non-tenure-line contracts/appointments 1) will not be renewed for the purpose of depleting the absence allowance; and 2) will not be terminated solely because of an absence due to illness.

If the faculty member returns to active service, and within sixty calendar days returns to leave status for the same illness or injury, the amount of time charged to leave with pay for the previous absence shall be counted against the allowance for the subsequent absence when determining the new allowance.

Approval for paid or unpaid sick leave for absences must be supported by Family and Medical Leave Act (FMLA) medical certification form completed by the health care provider and submitted to Penn State’s Human Resource’s office of Absence Management. Contact the EMS Human Resources Office for consultation, information and required forms. See also HRG11- Family and Medical Leave at https://policy.psu.edu/policies/hrg11.

At the onset of the absence, any faculty member with assigned teaching responsibilities will need to communicate with the supervisor to ensure that appropriate action has been taken to have teaching duties covered during the absence.

Following the period of paid sick leave, the faculty member will be eligible for unpaid sick leave in accordance with Penn State’s Policy HR16 - Leave of Absence without Salary (https://policy.psu.edu/policies/hr16).

For faculty members paid from federal grants or contracts, budgetary arrangements for paid or unpaid sick leave must be made in accordance with agency regulations.

RESOURCES:

AC61 – Faculty Contracts
AC76 - Faculty Rights and Responsibilities
HR16 – Leave of Absence without Salary
HRG11 – Family and Medical Leave
HRG18 – Paid Parental Leave for Faculty

Effective date: January 1, 2024

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