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Policies
Selected
University Policies
Policies
for Postdoctoral Appointments
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Postdoctoral
appointments afford recent Ph.D. (and equivalent advanced degree)
recipients a period in which to extend their education and professional
training. The opportunity to carry out postdoctoral studies in a
research environment such as provided at Yale University can significantly
broaden an individual's expertise, provide a period of more independent
scholarship, and help define future career paths. The breadth of
the academic community, together with the physical resources in
the libraries and laboratories, make Yale University a particularly
rich environment for postdoctoral training. In addition to deriving
individual benefits, postdoctoral appointees make important contributions
to the research mission of Yale University.
This document
presents general policies that affect the 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.
Terms of Appointment
Benefits
Expectations for Training
Administrative Support
Complaint Procedure
1.
Terms of Appointment
1.1 Eligibility:
To be eligible for a postdoctoral appointment, an individual must
hold a Ph.D., M.D., J.D., D.V.M., D.N.Sc., or equivalent degree
from a recognized institution of higher learning. When a candidate
has completed all of the requirements for a degree, but the degree
has not yet been formally conferred, the candidate may present evidence
of completion of the degree, together with a statement of the date
on which the degree is to be conferred. If the degree is not conferred
by the projected date, the postdoctoral appointment shall be terminated.
Postdoctoral appointees must be affiliated with a primary academic
department or equivalent academic unit.
The candidate
must also provide an up-to-date curriculum vitae and list of publications,
and must arrange for at least two letters of recommendation to be
sent to the prospective faculty supervisor at Yale.
1.2 Appointment
letter: Each new postdoctoral appointment is to be made in writing
by a letter from the supervising faculty member. The letter must
have the approval of the departmental chair or the appropriate dean
in the case of professional schools, though the precise mechanism
for obtaining this approval is left to the discretion of the department
or school. Final administrative approval must also be obtained from
the appropriate postdoctoral office (see below). The appointment
letter must include the following details:
(i) the
term, title, and schedule (full time or fractional) of
the appointment;
(ii) the
level of stipend;
(iii)
the source of support;
(iv) benefits
provided;
(v)
a statement of the expected obligations of the
appointee during the training period (this statement
may refer to a general area of study, and need not
define
a particular project);
(vi) a
statement of teaching responsibilities, if any,
associated with the appointment (note that any
appointee who will be teaching must also be
appointed as a lecturer or equivalent academic rank);
and
(vii) a
copy of these Policies for Postdoctoral
Appointments.
Additional
information, e.g., the possibility and conditions for renewal, may
also be included. The postdoctoral appointee must acknowledge the
terms of the appointment, either by signing the letter of appointment
or by submitting a separate letter of acceptance.
1.3 Stipend
level: The University shall establish each year a recommended
minimum annual compensation for postdoctoral appointments. Currently,
the minimum stipend is the same as that set by NIH for first-year
fellows. Specific information about the minimum stipend will be
posted on the Grants and Contracts websites and may also be obtained
from the Postdoctoral Office. Ordinarily postdoctoral appointments
are for full-time employment. If a fractional appointment is made
this must be clearly stated, with the understanding that the appointee
may perform and be compensated for additional University services
or outside employment, up to but not exceeding full time. Moreover,
evidence must be provided that such a fractional appointment is
consistent with the rules of the funding source and with the visa
requirements of appointees who are not U.S. citizens or permanent
residents.
1.4 Maximum
term: Individuals generally hold postdoctoral appointments at
Yale University for no longer than four years. Extensions may be
granted in exceptional cases by the appropriate dean in the case
of professional schools and by the Provost in the case of FAS departments.
The total term of postdoctoral appointments may not exceed six years.
1.5 Notice
of resignation: If a postdoctoral appointee resigns prior to
the end of the appointment, he or she will provide at least one
month's notice. Postdoctoral appointees must leave all research
materials with the faculty supervisor to ensure continuation of
the project and compliance with relevant University and sponsor
policies. However, access to these data and materials will be provided
to the appointee.
2.
Benefits
2.1 Health
and Dental Coverage: As
employees of the University, postdoctoral associates are entitled
to fully or partially subsidized membership in one of the available
health plans offered by Yale, for themselves, their families, and
same gender domestic partners. Postdoctoral fellows are eligible
to enroll in the same health plans, and this membership may be subsidized
in whole or in part, to the extent that funds for this purpose are
included in the fellowship or are supplemented by the faculty supervisor
or the department. Postdoctoral appointees are also eligible to
enroll in dental coverage made available by the University on the
terms offered to M&P employees and members of the faculty.
2.2 Teacher
preparation: 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 of Arts
and Sciences.
2.3 Vacations
and holidays: Postdoctoral appointees are entitled to stated
University holidays. In the event that an appointee's funding source
specifies vacation and/or holiday provisions, the terms of the funding
source shall apply.
2.4 Leaves:
Postdoctoral appointees may be granted up to six weeks of paid maternity
leave. In addition, unpaid leave may be granted for up to sixteen
calendar weeks in year one and up to twelve weeks in year two in
any two-year period in the following circumstances: serious illness
of the appointee; birth or adoption of a child; care of a seriously
ill child, spouse, or parent. Proposals for these and other exceptional
leave arrangements should be forwarded by the appointee's advisor
to the appropriate dean in the case of professional schools or to
the Provost in the case of FAS departments. In the event that an
appointee's funding source specifies leave provisions that differ
from those stated above, the terms of the funding source shall apply
and where necessary the leave proposal shall also be sent to the
funding agency.
2.5 Career
services: 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 of Arts and Sciences.
2.6 Auditing
University courses: Postdoctoral appointees and their spouses
are eligible for the same University course auditing benefits as
are faculty, as described in Sec. VIII.D.1.k of the Faculty Handbook.
2.7 Tuition
benefits: Postdoctoral appointees whose appointment is at least
half time are also eligible for the same tuition benefits as are
faculty, as described in Sec. VIII.D.1.l of the Faculty Handbook.
2.8 Facilities:
An appointee is entitled to use departmental facilities, the University's
computer facilities, and the libraries. An appointee has access
to the athletic facilities on terms usual to faculty and staff,
and is eligible for parking privileges with a limited allocation
priority.
3.
Expectations for Training
3.1 Mentor
responsibilities: The supervising faculty member is expected
to be a mentor to the postdoctoral appointee, providing training
and supervision. As part of the annual reappointment process the
mentor is expected to write an evaluation or progress report of
the postdoctoral appointee's activities in a manner that is clear
and timely. These reports should be provided to the appointee and
forwarded to the relevant postdoctoral office. Mentors have the
responsibility to provide an appropriate educational experience
that helps to advance the career of the postdoctoral appointee.
3.2 Appointee
responsibilities: The postdoctoral appointee is expected to:
(i) fulfill
specific research and training objectives;
(ii) conform
with ethical research standards of the
University;
(iii) comply
with all relevant federal, state and municipal
regulations and guidelines that relate to human
subjects research,
the care and use of laboratory
animals, and the use of hazardous materials;
(iv) comply
with all relevant University policies; and
(v) record
and document research results appropriately.
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.
3.3 Outside
employment: A postdoctoral appointee who holds a full-time appointment
may spend no more than one day per seven-day week on average 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.
3.4 Teaching
at Yale or at other institutions: Some postdoctoral appointments
include a role in teaching. For those that do not include such a
role, the appointee 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, with the approval of the faculty
mentor and when allowed by the funding source. This is an exception
to the rule applicable to faculty and staff which prohibits teaching
at another institution or receiving extra compensation for teaching
at Yale. The exception is granted because participation in teaching
can provide important professional experience and training to postdoctoral
appointees. Any such teaching activity must comply with the time
limits discussed in 3.3 above.
4.
Administrative Support
4.1 Departmental
role: Each department or school that makes postdoctoral appointments
shall designate a faculty member as Director of Postdoctoral Affairs
(DPA), to oversee the appointment procedures and to serve as a resource
to faculty on postdoctoral policies. The DPA is expected to provide
guidance and support to the postdoctoral appointees in the department
and to serve as a link to the University-wide postdoctoral offices.
Administrative support shall be provided by the department or school.
4.2 Postdoctoral
offices: Two administrative offices for postdoctoral appointments
will serve the community. An office in the School of Medicine will
serve postdoctoral appointees in that school. Another office, located
in the Provost's Office, will serve postdoctoral appointees in FAS
departments and in the other professional schools. These offices
supplement the role of the departments and schools in implementing
policies and procedures related to the appointment, roles, requirements
and responsibilities of all postdoctoral appointees in the respective
FAS departments and professional schools. Areas in which the offices
provide assistance and oversight of compliance with University policies
include:
· Initial appointment and reappointment
-
Authorization (levels and sources of support)
-
Approval and processing
-
Stipend and data change monitoring
-
Visas (coordination with Office of International
Students
and Scholars)
· Policy administration
-
Leaves, benefits, termination, grievance, resignation
-
Research compliance (coordination with other
University
offices)
· Support functions
-
orientation
-
career counseling
-
workshops (coordination and oversight)
5.
Complaint Procedure
A Complaint
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/scientific misconduct must be brought under the
"Policies and Procedures for Dealing with Allegations of Academic
Fraud at Yale University" (see http://www.yale.edu/grants/acadfraud.html).
Complaints of sexual harassment must be brought under either the
School of Medicine's or the Graduate School's sexual harassment
complaint procedures.
The full complaint
process consists of the following steps:
5.1
Informal resolution at the departmental level through the departmental
Director of Postdoctoral Affairs (DPA), the chair of the department
and/or the dean of the school.
5.2
Informal resolution by a designated postdoctoral advocate attached
to each of the two postdoctoral offices.
5.3
Formal grievance to a Postdoctoral Grievance Committee appointed
by the Provost or by his or her delegate.
*
This document does not address all categories of appointments called
"fellows." It does not apply to clinical fellows, who are subject
to certain agency-mandated requirements and are covered by separate
policies. In addition, the University uses the term "fellow" for
other categories not covered by this document, e.g., residential
college fellows and participants in advanced fellowship programs
offering stipend support (e.g., Liman Fellows and Bernstein Fellows).
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