|
|
Yale University |
 |
Research appointments are available to persons holding the Ph.D. or M.D. degree or having equivalent training. There are three categories of research ranks and two non-faculty categories, namely postdoctoral appointees and research affiliates. These are described below.
Teaching is not required of any research appointee, but part-time teaching is permitted. Persons who are asked to undertake such teaching should also be given a teaching appointment as a lecturer or adjunct faculty member. In such circumstances an appropriate portion of the salary may be paid from a teaching budget; however, for research appointees who are already employed full-time, the total compensation cannot be increased by payment for teaching.
The capabilities, achievements, and experience of research appointees may lead to their consideration as part of the national search for appointments to the teaching faculty as positions become available.
Research appointees who are paid from grants should be informed by the principal investigator of any change in the status of the grant as soon as possible after the information becomes available. For research faculty it may be important to distinguish between the length of the appointment and the fraction and duration of employment.
Persons holding the ranks of associate research scientist/scholar, research scientist/scholar, or senior research scientist/scholar are considered to be research faculty. In most cases they are employees of the University, and if employed at least half-time receive fringe benefits and are eligible for membership in the Yale University Retirement Annuity Plan. In the School of Medicine, however, some research faculty may instead be employees of the West Haven V.A. Hospital, Yale-New Haven Hospital, Howard Hughes Medical Institute, or Pierce Foundation, and fringe benefits may vary according to the source of salary. Research faculty members who are so employed should consult with the Dean concerning these matters.
In general, research faculty who are full-time employees of the University are eligible for the benefits accorded to the ladder faculty, including the Scholarship Plan for Sons and Daughters of the Faculty and Staff, the Mortgage Program, Child Rearing Leave, and Caregiver’s Leave, but excluding the maternity policy for faculty with teaching responsibilities and the extension of appointment described in Section VII.D. Research faculty have access to the same procedures as do the teaching faculty for reviewing decisions not to reappoint or promote, unless the decision is related to the termination of funding or nonrenewal of a grant.
Full-time research faculty with the rank of research scientist/scholar or senior research scientist/scholar may apply for research grants as principal investigators with the approval of the department chair and dean. Such approval is not automatic and requires a prior commitment by the chair and the dean to provide research space and other support. Full-time associate research scientists/scholars and part-time research faculty must have special permission from the dean in professional schools or the Provost in the Faculty of Arts and Sciences in order to be principal investigators on grants, though in some cases authority for such permission is delegated to the department chair.
Individual department faculties may invite research scientists and senior research scientists to participate in faculty meetings. They may not vote on ladder faculty appointments, but they may, if the department wishes, vote on research faculty appointments up to and including the level they hold, though they may not vote on reappointment to ranks equivalent to their own.
Associate Research Scientist/Scholar. This appointment is given to persons who are engaged in scholarly or scientific research in association with a faculty member or as a member of a research group. Such persons will normally have at least two years of research experience following a Ph.D. (or equivalent), will have demonstrated professional ability in fields related to the work or program of the department or area concerned, and will be expected to contribute to it as a colleague. The term of appointment in this rank will be for one year, renewable in successive years; the incumbent must be reviewed for promotion to research scientist/scholar at intervals of no longer than three years. In the Faculty of Arts and Sciences, nominations for this rank are submitted by department chairs to the Provost. In the professional schools, appointments to this rank must be approved by the dean of the school in which the appointment is to be made or the dean’s designate.
Appointment to the following two research faculty ranks requires approval of the appropriate appointments committee. The University requires a review of the candidate’s qualifications similar in procedure and thoroughness to that for appointment to the teaching faculty.
Research Scientist/Scholar. This appointment is given to persons who are engaged in scholarly or scientific research as advanced scholars or as senior members of a research group. The term of appointment in this rank may be up to three years (renewable), conditional upon the availability of external salary support. Termination at the anticipated end of external salary support does not require prior notification; termination within the term of anticipated support requires one year’s written notice. The incumbent must be reviewed for promotion to senior research scientist/scholar at intervals of no longer than five years. Nominations for the rank of research scientist/scholar are submitted for approval by the department chair to the appropriate appointments committee. In the Faculty of Arts and Sciences, such appointments are reviewed by the Term Appointments Committee; in the School of Medicine, by the Term Appointments and Promotions Committee. Procedures in the other professional schools are described in the relevant portions of Section IV.
Senior Research Scientist/Scholar. This appointment is appropriate for persons of high professional attainment, outstanding ability, and critical importance to a major research program. The term of appointment in this rank may be up to five years (renewable). The term of compensated support may be shorter than the term of appointment and is conditional upon the availability of external funds. Termination at the anticipated end of external salary support does not require prior notification; termination within the term of anticipated support requires two years’ written notice at least two years before the end of the current term of anticipated support. Nominations for this rank are submitted for approval by the department chair to the appropriate appointments committee. In the Faculty of Arts and Sciences, these appointments are reviewed by the appropriate tenure appointments committee; in the School of Medicine, by the Term Appointments and Promotions Committee. Procedures in the other professional schools are described in the relevant portions of Section IV.
The following two categories of research appointments are not faculty ranks.
Postdoctoral appointments afford recent Ph.D. (and equivalent advanced degree) recipients a period in which to extend their education and professional training. There are two categories of appointees. Postdoctoral fellows and postdoctoral associates. In most cases the difference arises because of the funding source. Appointees funded from Yale-administered research grants or contracts in order to provide essential services related to the supported research are classified as postdoctoral associates; they are employees of the University even though they are considered trainees. Postdoctoral fellows are also trainees, but they are not Yale employees. They may be funded either from training grants to the University or directly from an outside source. Appointees funded from University sources that are neither research nor training grants may be classified either as postdoctoral associates or postdoctoral fellows, but they must be classified as postdoctoral associates if they are required to perform services for the University. The cumulative time an individual may spend in the two ranks should not exceed four years. Extensions may be granted in exceptional cases by the dean in the case of professional schools and by the Provost for the Faculty of Arts and Sciences. The total years of postdoctoral appointment may not exceed six years.
The terms of appointment and procedures for postdoctoral appointees are set forth in the University’s Policies for Postdoctoral Appointees. Each new postdoctoral appointment is to be made in writing by a letter from the supervising faculty member spelling out the details of the appointment. Approval must be obtained from the department chair and from the dean or Provost or their designees. The supervising faculty member is expected to be a mentor to the postdoctoral appointee. He or she must provide training, supervision, and a yearly written evaluation or progress report of the postdoctoral appointee’s activities in a manner that is clear and timely. Mentors have the responsibility to provide an educational postdoctoral experience that also seeks to advance the career of the postdoctoral appointee.
The postdoctoral appointee is responsible for: (i) fulfillment of specific research and training objectives; (ii) conformity with ethical research standards of the University; (iii) compliance with all relevant federal, state and municipal regulations that relate to human subjects research, the care and use of laboratory animals, and the use of hazardous materials; (iv) compliance with all relevant University policies; and (v) appropriate recording and documentation of research results. If the appointee will be engaged in other specific activities, such as teaching, these expectations should be stated in the letter of appointment or in a subsequent written communication.
A postdoctoral appointee may participate in teacher preparation activities sponsored by the school with which the appointee is affiliated and, when appropriate, the Graduate School. A postdoctoral appointee may participate in career development workshops and other activities (except interview events designed solely for degree students) sponsored by the school with which the appointee is affiliated and, when appropriate, the Graduate School.
A postdoctoral appointee who holds a full-time appointment may spend on average no more than one day per seven-day week on outside employment activities, such as consulting. These activities must comply with all relevant University policies including those on conflict of interest, conflict of commitment, and intellectual property. In addition, such employment should be discussed with the faculty mentor, must not interfere with the primary research and training obligations, and must comply with the rules of the funding source.
With the approval of the faculty mentor and when allowed by the funding source, postdoctoral appointees may receive compensation in addition to the stipend, for teaching at Yale or at another institution, up to the equivalent of one course per year. This is an exception to the rule applicable to faculty and staff which prohibits teaching at another institution and receiving extra compensation for teaching at Yale. The exception is granted because teaching is not generally an obligation associated with a postdoctoral appointment, but participation in teaching can provide important professional experience and training to postdoctoral appointees. Any such teaching activity must comply with the time limits discussed above.
A Grievance Procedure for Postdoctoral Appointees is available for individuals who believe they have been treated in a manner inconsistent with University policies, or that they have been discriminated against or have been inappropriately disciplined for misconduct. Complaints of academic fraud or scientific misconduct must be brought under the “Policies and Procedures for Dealing with Allegations of Academic Fraud at Yale University.”
The stipends of postdoctoral fellows are taxable, but not subject to social security taxes. The stipends of U.S. citizens and residents, while taxable, are not subject to withholding. For that reason, U.S. citizens and residents may need to file quarterly estimated tax returns to avoid tax underpayment penalties. Unless a tax treaty expressly provides otherwise, the stipends of nonresident aliens are subject to income tax withholding at a reduced student rate.
Postdoctoral associates, although not members of the faculty, are employees of the University and thus subject to federal income tax and social security/Medicare withholding.
Benefits for postdoctoral appointees are described in Section VIII.D.3.
The appointment of research affiliate is given to individuals who hold the Ph.D. or have equivalent training and are engaged in scholarly or scientific research in association with a faculty member or member of a research group. Such persons will normally have at least two years of research experience following the Ph.D. (or equivalent) and will have demonstrated a high professional ability in fields related to the work or program in the area concerned. The appointee is not paid from Yale-administered funds, is not considered an employee of Yale, and does not receive fringe benefits. However, research affiliates are eligible for the same library borrowing privileges as members of the faculty. Appointment at this rank requires approval of the dean of the appropriate professional school or (in the Faculty of Arts and Sciences) the Provost.
|