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Yale University |
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Members of the faculty are expected to meet their professional and institutional commitments at Yale on a regular basis throughout the academic year, including during reading and examination periods. If unable to meet a class because of illness or other emergency, faculty members should promptly notify their department or school officials.
The department chair or, in a professional school, the dean, is charged with assigning faculty members classroom responsibilities that will provide students comprehensive and effective formal instruction. Varying instructional techniques and classroom demands mean that such assignments may differ among departments and schools. The obligations of a member of the teaching faculty go well beyond classroom and other teaching duties. They include time spent on research, student advising, and various kinds of department and University service on committees and in administrative roles. While the proportion of these components vary from individual to individual and from time to time, faculty may not substitute time spent on sponsored research for their regular teaching duties without special permission from the Provost.
Members of the faculty are often called upon to write letters of recommendation for students or to offer their professional judgments on the qualifications of candidates for positions at Yale or elsewhere. It is understood that such judgments, expressed orally or in writing, will be consistent with the nondiscrimination policy of the University. (See Section III.A.)
Excellence in research and scholarship is expected of persons holding faculty appointments. It is University policy to encourage and assist research and scholarship that are essential to the training of students, to the advancement of knowledge, and to the intellectual growth of the faculty. To this end, the University will help faculty to secure appropriate research support from outside sources. Clinical activities (which occur primarily in the Schools of Medicine and Nursing) are also covered by the policies and procedures below.
a. All members of the faculty are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, truth, and accuracy. Any instance of suspected academic fraud or misconduct should be reported to the dean of the relevant school and the Provost. In accordance with federal regulations, the University has established policies and procedures for responding to allegations of research misconduct or academic fraud. The policies and procedures describe the University process for conducting resulting inquiries and investigations. Faculty and students are required to cooperate fully in any inquiry or formal investigation of such allegations, e.g., by providing requested documents and information.
b. The University does not conduct or permit its faculty to conduct secret or classified research. This policy arises from concern about the impact of such restrictions on two of the University’s essential purposes: to impart knowledge and to enlarge humanity’s store of knowledge. Both are clearly inhibited when open publication, free discussion, or access to research are limited.
c. For the same reasons, the University requires that investigators be able to publish the results of their research without prior approval of a sponsor. Agreements may, however, permit sponsors a brief period to review proposed publications and presentations to identify 1) proprietary information that may require patent or copyright protection, or 2) information confidential to the sponsor that must be removed. In general sponsors are granted review periods of 30 to 45 days prior to submission for publication, but review and delay periods should total no more than 90 days.
d. The University requires that all documents related to federally sponsored projects, including primary research data, be available to federal auditors for the period specified by federal regulation – in most cases, a period of three years from the filing of the final financial report. Yale expects faculty members to retain all research data, whether resulting from federal sponsorship or not, in their laboratories or other bona fide research locations, and to provide access to the data when requested to do so by authorized institutional officials. Requests from sponsors for access to research data, as well as subpoenas for research data, should be forwarded to one of the two Offices of Grant and Contract Administration or to the General Counsel for review before a response is made.
e. Yale believes that federal support of research should be allocated on the basis of excellence as determined by merit review. Consequently, the University does not seek funds through earmarking, nor does it permit its faculty to do so. If faculty have identified promising areas of research that are not adequately supported by federal funding agencies, the University is prepared to work with faculty to develop competitive, merit-based programs in such fields of research.
f. In order to ensure that research is conducted by those who have the requisite training and skill, as well as the appropriate relationship to Yale, the University will normally sponsor proposals only when the principal investigator or project director is employed full-time by the University and holds an appointment as assistant professor, associate professor, professor, research scientist/scholar, or senior research scientist/scholar. Exceptions require the approval of the Provost, or where appropriate, the dean of the relevant professional school. (In some cases, the Provost or dean may delegate approval to the department chair.)
g. It is University policy to take title to all patents and certain copyrighted materials that result from the research activities of faculty, staff and students at Yale. See section C below for University policies on patents, copyrights, and licensing.
h. In accordance with federal law, University policy, and the University’s federal wide assurance of compliance, filed with the U.S. Department of Health and Human Services, every Yale investigator conducting human subjects research, whether or not funded by a federal sponsor, must submit a proposed research plan to the appropriate Yale institutional review board (IRB) for review. In addition, investigators who participate in human subjects research must complete training in human subjects research, and otherwise must comply with IRB policies and procedures. Research may not begin until the IRB has fully approved the research plan and all related consent documents, and the required training has been completed. Further information and a full statement of applicable University policies and procedures are available on the School of Medicine website and the Faculty of Arts and Sciences website.
i. The study of live vertebrate animals is an integral part of Yale University’s research and teaching missions and is a privilege regulated by legal, state, and federal agencies. Faculty members contemplating using live vertebrate animals in research, teaching, or testing should refer to the Yale University Institutional Animal Care and Use Committee (IACCU) website and contact the IACUC office (numbers available on the website). Work with live vertebrate animals may not begin until all required training and approvals are obtained.
j. The University has developed guidelines and procedures for handling radioactive materials, hazardous chemicals, potentially hazardous biological materials, and controlled substances, as well as for other aspects of research relating to occupational and environmental safety. These policies are generally administered by the Office of Environmental Health and Safety (OEHS). Any investigator planning to use such materials must consult with OEHS for guidance on required training, required protocol review, proper handling, state and federal safety regulations, proper procedures in the event of spillage, etc., prior to initiating a study or bringing such materials into a laboratory. In most instances, a laboratory must be inspected and approved by OEHS before hazardous substances are brought to that location at the University. Protocols calling for the use of certain substances must receive prior review by the cognizant Safety Committee. For more information, see the OEHS website.
The process of obtaining and managing external support for research and scholarly activity is multifaceted. The University has many offices that support faculty in this endeavor. It is necessary for faculty to involve the appropriate offices when conversations with potential and actual sponsors take place and to continue discussions with the relevant University offices in planning proposals, preparing research agreements, and developing corporate and foundation relationships.
There are two Offices of Grant and Contract Administration, one serving the Schools of Medicine and Nursing, and the other serving the central campus. These offices provide a diverse array of knowledge and services and should be consulted early in the planning stage of any proposal. The offices assist faculty in locating funding sources, interpreting agency guidelines, and developing proposals for research, education, and training programs. They are responsible for reviewing all proposals to ensure conformance with federal, state, and local laws, as well as with Yale policy. Further, these offices are charged with officially accepting awards on behalf of the University. In this role they negotiate award terms and conditions and authorize establishment of University financial accounts to manage receipt and disbursement of funds supporting research.
The Office of Grant and Contract Financial Administration is responsible for the institutional aspects of externally provided funding. This office manages billing and draw-down of research funds, prepares financial reports, and monitors expenditures to assure compliance with sponsor terms and conditions. The Office of Grant and Contract Financial Administration is also responsible for developing and negotiating Yale’s Facilities and Administrative cost rates (indirect costs) and its fringe benefit rates. Its financial stewardship of sponsor funds also includes overseeing equipment inventory and ensuring compliance with cost accounting standards.
The Office of Corporate Relations and the Office of Foundation Relations, both within the Office of Development, build and optimize institutional relationships between the private sector and the University. The offices are charged with representing Yale to corporations and foundations when seeking support for faculty and institutional needs. Working closely with faculty and administrators, the offices maintain relationships with a broad range of corporation and foundation donors and advise faculty on donor interests, proposal development, submission strategies, and stewardship. These relationships are realized in the form of gifts, grants, and other arrangements, which may be directed to research, student support, capital needs, and programmatic funding. In order to ensure that faculty are well served and institutional policies and procedures are met, the offices work closely with the Offices of the Provost, Grant and Contract Administration and Cooperative Research. Faculty seeking support from corporations and foundations should inform the Office of Corporate and Foundation Relations of their activities in order to obtain advice and help and, in appropriate cases, authorization to proceed.
The Office of Cooperative Research (OCR) is charged with commercializing technology resulting from Yale research so that it may benefit the public. OCR will evaluate the commercial potential of inventions and Yale-owned copyrightable materials. If the potential market is deemed sufficient, OCR will arrange for the preparation of appropriate patent applications. Further, OCR will seek commercial partners and negotiate license agreements for marketable inventions and certain copyrightable materials. Faculty inventors and creators are expected to assist the OCR as necessary in preparing patent applications and identifying and working with potential licensees. (Further information on patents, copyrights and licensing can be found in section C below.)
a. All applications and proposals seeking public or private support for research, teaching, or other programmatic activities must be reviewed and approved by the University before submission to a potential sponsor through one of its offices of Grant and Contract Administration, after due consultation with the appropriate development office when the sponsor is a corporation or foundation, or with OCR, when a patent or license is involved. In particular, proposal budgets must be reviewed before submission to or negotiation with a sponsor. Corporate and foundation proposals other than those associated with established programs funded year to year should be discussed in advance with the Offices of Corporate and Foundation Relations.
b. Early contact with the cognizant offices is strongly encouraged in connection with all applications for support, and adequate time should be allowed for administrative review and negotiation with the sponsor, particularly when a sponsor proposes terms that contravene University policy. Faculty members should be aware that proposals may have to be withdrawn if adequate time is not allowed for administrative review.
c. All applications and proposals must state the full cost of the project and proposed sources of support. Any agreement requiring University cost-sharing must be approved by the Provost or by the dean in a professional school in advance of submission.
d. All proposal budgets, including those submitted to corporate sponsors, must include the appropriate Facilities and Administrative costs (also known as indirect costs). Requests for adjustments in those costs should be addressed to the appropriate Office of Grant and Contract Administration, which in some cases may approve the request, or in others may forward it to the dean of a professional school or to the Provost, for consideration.
e. Proposals will be approved for submission to sponsors only if it is clear that appropriate space, equipment, and personnel will be available to carry out the proposed activity and if the proposed activity complies with all applicable regulations and policies regarding the conduct of research.
f. Proposals that may involve the relationship between Yale and New Haven or other surrounding communities present special issues. Any grant proposal with significant impact on local institutions, firms, or individuals (as participants or as collaborators) should be brought to the attention of the Vice President and Director of New Haven and State Affairs, who has overall responsibility for relations between Yale and the surrounding community.
g. Post-award proposals to change the duration, award amount, or conditions of support require the same approvals within the University as an original proposal or award.
The University encourages faculty members to consider ways in which the results of their research may best be disseminated and made available for the public good. To facilitate the patenting and licensing of inventions developed under University auspices, Yale established the Office of Cooperative Research (OCR). The primary goals of this office are to facilitate the dissemination of research results through commercial development and to generate revenue that will reward inventors for their creativity and support research and other educational programs at the University.
Under the University Patent Policy the University owns any patentable invention made by a faculty member using Yale facilities or otherwise under the auspices of the University. Under the University Copyright Policy, the University will generally disclaim ownership of traditional copyrightable materials created by a faculty member unless the works are created: (1) pursuant to certain assigned tasks, (2) under funding agreements that provide for Yale ownership, or (3) under circumstances involving significant commitments of Yale resources, as determined by the Provost. The University shares any net royalties received through licensing of faculty inventions and Yale-owned copyrights in accordance with the plan set forth in the Patent Policy. The University’s share of net royalty income is used primarily in support of research and education.
In conjunction with any application for external funding support, a faculty member must submit a written agreement confirming his or her acceptance of the University Patent and Copyright Policies, and committing to disclose and assign to the University (through OCR) any inventions conceived by him or her at the University and any copyrightable material to which the University takes title under the Copyright Policy. When disclosing a particular invention or certain copyrighted materials, a faculty member also must execute an assignment to the University of his or her interest in such inventions and in those certain copyrights. Such assignments are the basis for commercialization of those inventions and copyrights and for sharing with faculty of royalty revenues received by the University from commercial licensees.
For further information on the activities of OCR, see Section B.2 above and the OCR website. For definitive statements of the Yale Patent and Copyright Policies, please refer to their complete texts, available on the Office of Grant and Contract Administration website.
The University encourages its faculty to participate in sponsored research, consulting, and other activities that may benefit not only the individual faculty member, but also the University and society. Although activities directed outside the University are often compatible with teaching, scholarship, and research at Yale, they may in some cases conflict with these on-campus responsibilities or with the University’s institutional goals. Outside interests and commitments may divert essential faculty creativity and energy away from Yale and may appear to compromise the integrity of Yale teaching, research, or scholarship. Therefore, Yale reaffirms its unqualified commitment to the following key principles:
a. The overriding professional obligation of all full-time members of the University community is to Yale and to its mission of creating, disseminating, and preserving knowledge.
b. No outside activity or financial interest of any member of the University community will be permitted to compromise the integrity of teaching, research, and scholarship at Yale, to detract from the fulfillment of that member’s fundamental obligations to Yale, or to compromise the welfare of Yale students.
Note also that faculty members should refrain from using University facilities more than occasionally and incidentally in performing any of the outside activities described in this subsection.
Yale is committed to ensuring that the research, consultation, and other activities of faculty and non-faculty employees are conducted properly and consistently with the principles of openness, trust, and free inquiry that are fundamental to the autonomy and well-being of a university and with the responsible management of the University's business. Toward that end and consistent with federal regulations, Yale has formulated a policy and procedures to identify and address potential, actual, and apparent conflicts of commitment and conflicts of interest. The definitive text of the policy and procedures can be viewed on the Office of Grant and Contract Administration website. The fundamental premise of this policy is that each member of the Yale community has an obligation to act in the best interests of the University, and must not let outside activities or outside financial interests interfere with that obligation.
A conflict of commitment occurs when the commitment to external activities of a faculty or staff member adversely affects his or her capacity to meet University responsibilities. This form of conflict is easily defined and recognized since it involves a perceptible reduction of the individual's time and energy devoted to University activities. Obligations to the University are not discharged solely by teaching classes; individuals must be available to their students outside the classroom, participate on committees and in other University activities, supervise graduate students and postdoctoral trainees, and make constant progress in research programs. Any relationship with an outside organization that requires frequent or prolonged absence from Yale represents a conflict of commitment that must be avoided.
A conflict of interest exists when an individual has an external economic interest that affects or provides an incentive to affect the individual's conduct of his or her University activities. Conflicts of interest can arise naturally from an individual's engagement with the world outside the University, though the mere existence of a conflict of interest does not necessarily imply wrongdoing on anyone's part. When conflicts of interest do arise, however, they must be recognized, disclosed, and either managed, reduced, or eliminated. Even when no conflict actually exists, the appearance of conflict of interest may be present. Such apparent conflicts can do almost as much damage as actual ones, undermining the credibility of research and scholarship or of University financial decisions, and must be avoided.
The Policy on Conflict of Commitment and Conflict of Interest requires that all faculty member employed half-time or more at the University and all faculty members involved in sponsored research at the University, even if employed less than half-time, submit an annual Conflict of Interest/Commitment Disclosure Form. All such faculty must update the form whenever a material change has occurred and, whenever possible, disclose expected changes or newly anticipated conflicts before they occur. Faculty new to Yale should complete the form as soon as possible after their arrival. The Provost’s Committee on Conflict of Interest and Conflict of Commitment is charged generally with reviewing disclosure forms and making recommendations to the Provost with respect to any actions required to manage, reduce, or eliminate conflicts.
An investigator will not be permitted to apply for a grant or contract unless he or she has completed and submitted an up-to-date disclosure form; likewise a grant or contract award cannot be established until the required disclosures have been made and reviewed, and a determination reached either that no conflict of interest exists or that an identified conflict has been appropriately managed, reduced, or eliminated. Investigators conducting research involving human subjects may be required to submit to the cognizant Institutional Review Board a protocol-specific conflict of interest disclosure form in addition to the annual disclosure form that is submitted to the Provost’s Committee on Conflict of Interest and Conflict of Commitment.
A special conflict of interest may arise when an individual has a consulting agreement or other substantial personal financial interest in an organization that either manufactures goods or provides services that are purchased for use at Yale. Responsibility for the propriety of arrangements in which such interests exist rests in the first instance with the individual. For the protection of all concerned, members of the faculty are expected to provide full information to, and obtain the approval of, the appropriate dean or the Provost for any arrangement in which such a conflict of interest is implicit or potential. Requests for clarification of specific situations should be referred to the Provost’s Office or to the Committee on Conflict of Interest and Conflict of Commitment.
Of all the activities in which faculty might engage outside the University, teaching presents issues that require special attention because it competes most directly with the core educational mission of the University. In judging the appropriateness of such activities outside of Yale, faculty members should consider the time commitment involved, as well as the potential impact of these activities on the fulfillment of Yale’s institutional goals. In addition to those instances of outside teaching that are discussed below, ladder faculty may not accept a concurrent ladder faculty appointment at another academic institution, even while on unpaid leave from Yale or the other institution. (See Section III.E.)
a. Outside teaching activities requiring disclosure to and prior approval by the Provost because of their close relationship to the University’s educational mission include:
i. Participation in distance learning ventures with other institutions or with commercial firms, whether or not for compensation, throughout the calendar year; or
ii. Teaching or co-teaching courses during the academic year at another academic institution. (Note that it is unusual for the Provost to approve such activities. If permission is granted, a faculty member might receive a reduced schedule at Yale for such teaching by arrangement with the other institution, but he or she typically would not be permitted to receive extra compensation.)
b. Outside teaching activities that do not require disclosure and prior approval by the Provost include:
i. Delivering individual lectures at other academic institutions, at conferences, or at public gatherings (with or without remuneration);
ii. Teaching summer courses at Yale or elsewhere by faculty not receiving other summer compensation for the period in question; and
iii. Posting of non-interactive educational materials on a website.
The above rules apply to full-time faculty. Part-time faculty are expected to disclose their teaching activities outside of Yale when they are appointed and whenever a material change has occurred. (Note that the ownership of teaching materials, whether used on or off-campus, is governed by Yale’s Copyright Policy.
When considering an offer of ancillary non-academic employment, such as consulting to a business concern or to a government agency, faculty members should be guided and governed by the primary obligation of furthering the University’s essential purposes.
Activities clearly of institutional benefit (e.g., occasional site visits or evaluations at the request of a government or special accrediting agency, advice to foundations, work for professional associations, academic lectures at other institutions, or certain community services) are an important component of faculty responsibility. Other extramural activities that are consistent with the individual’s overriding obligation to the University, including consulting and other gainful employment, are acceptable and encouraged. Such activity must be consistent with the principles outlined above and may not require on the average more than one day per seven-day week in any academic semester or in any summer month in which faculty members are receiving compensation for full-time employment at the University. Circumstances thought to merit exceptional treatment should be referred in writing to the Office of the Provost.
Persons on phased retirement may accept any outside employment that does not create a conflict of interest and or interfere with their obligations to the University.
Because of the potential for conflict of interest or commitment, in many circumstances it would not be appropriate for a faculty member to manage or own a substantial portion of a private enterprise. However, in certain circumstances, the University may allow faculty ownership or management of private companies under conditions that are intended to minimize the likelihood of a conflict of interest or commitment. The following process must therefore be observed:
a. If a faculty member has, or plans to assume ownership or managerial responsibilities of an enterprise, then that individual is required to disclose the proposed involvement to the Provost and, for faculty in professional schools, to the cognizant dean, who will submit it to the Committee on Conflict of Interest and Conflict of Commitment for review, as described below. The Provost will approve or disapprove the proposal.
b. When the enterprise has been established to commercialize the results of a faculty member’s professional endeavors, the proposal must also be reviewed by the Office of Cooperative Research.
c. If the Committee determines that a faculty member’s involvement with an enterprise entails, or is likely to entail, a conflict of interest, then the Committee will consult with the faculty member in order to seek ways to eliminate or manage the conflict.
d. If the Committee determines that a faculty member’s involvement with an enterprise entails, or is likely to entail, a conflict of commitment, then the matter should be referred to the Provost and to the dean for faculty in professional schools. The faculty member may request and receive a one-year, half-time appointment with appropriate reduction in obligations to and from the University to devote the other time to the non-academic commitment. Alternatively, the individual may request leave without pay for one year. Such requests will be acted on by the Provost after an assessment of institutional needs.
At the end of any approved one-year leave or period of reduced responsibility, the faculty member may return to full-time status. If the faculty member wishes to continue to devote substantial time to the commercial endeavor, the individual will normally be expected to resign from the University. Subsequent reappointment to full-time status requires application and approval through the University’s ordinary faculty appointment procedures. The faculty member may also request conversion to part-time adjunct status, but subsequent reappointment would similarly involve the usual University appointment procedures.
e. After review of the proposal and, where appropriate, modifications through discussions with the faculty member, the Committee will recommend to the Provost and to the dean for faculty in professional schools one of the following three courses of action: (i) acceptance of the proposal; (ii) acceptance subject to a management plan; or (iii) rejection of the proposal because of conflict with University policies. Explicit approval is required before the faculty member may assume the proposed position.
f. When a faculty member has an ongoing relationship with a private enterprise, he or she must provide information to the Committee on the status of that relationship at least on a yearly basis and more frequently if there is a change in the relationship, or whenever it is requested by the Committee, a dean or the Provost. Notice of the relationship must also be provided to the cognizant Office of Grants & Contracts Administration.
Equipment purchased with internal Yale funds or Yale-administered outside grant funds is owned by Yale, except when a sponsor has expressly retained title.
1. Off-campus use. Faculty members planning to use University-owned equipment off campus or to take equipment with them on leaves of absence should complete a request for off-campus use of Yale University equipment. Consult the Yale University Policy 1110, Personal and Off-Campus Use of University Property, for more detailed information. This policy applies to all types of equipment, including laboratory equipment, office equipment, and computing equipment. Note also that the faculty member is responsible for compliance with all regulations of the Office of Environmental Health and Safety (OEHS) governing hazardous materials, insofar as they affect University equipment.
2. When departing from Yale. When a faculty member moves to another academic or non-profit institution, transfer of equipment is treated as follows:
a. Equipment purchased with outside grant funds during the current project period of a sponsored award will be transferred to the new institution, if the sponsor’s policies permit, and all of the following conditions are met:
i. The research project for which the equipment was being used at Yale by the principal investigator will continue at the new institution;
ii. The project does not involve graduate students or Yale faculty, one or more of whom will need the equipment to continue the research at Yale; and
iii. The new institution agrees to pay for shipping and insurance.
b. Equipment purchased with University funds (provostial, school or department) or purchased with outside grant funds during a previous project period, may only be transferred if sponsor policy permits and the department chair and the dean or Provost certify that the equipment is not needed by anyone at the University.
c. If sponsor policy permits and such a certification is obtained, a list of equipment, including inventory numbers and, where applicable, the identification of the grant on which the equipment was purchased, should be forwarded to the appropriate Office of Grant and Contract Administration and reviewed by the dean or Provost for approval prior to the equipment’s removal from inventory. All costs for shipping, insurance, and handling are to be paid by the receiving institution unless specifically authorized otherwise.
d. The University is prohibited from transferring equipment purchased with federal funds to for-profit institutions. Any transfer of equipment purchased with internal Yale funds to a for-profit institution would require special permission from the Provost.
3. Decommissioning equipment. OEHS maintains policies and procedures for decommissioning equipment, and should be consulted when equipment is no longer needed.
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