Policies and Procedures Applicable to Post-Doctoral Associates, Post-Doctoral Fellows and Research Associates
This document sets forth policies and procedures related to the appointment, roles, requirements and responsibilities of POSTDOCTORAL ASSOCIATES on the Research Foundation payroll, RESEARCH ASSOCIATES on the SUNY-state payroll at °®¶¹´«Ã½, and POSTDOCTORAL FELLOWS on non-salaried stipends. It does not address other appointments for individuals with a doctorate degree who are employed as visiting professor, instructor, or research technician.
1. Definitions
A °®¶¹´«Ã½ POSTDOCTORAL ASSOCIATE, RESEARCH ASSOCIATE or POSTDOCTORAL FELLOW is a trainee in residence at °®¶¹´«Ã½ pursuing advanced research experience beyond the doctorate in preparation for an independent career.
Postdoctoral and Research Associates are appointed for a limited period of time, participate in °®¶¹´«Ã½ research projects and are supported by external awards, fellowships or SUNY-state funds. In all cases, their appointment at °®¶¹´«Ã½ is for the purpose of advanced research experience and/or training under the sponsorship of a °®¶¹´«Ã½ faculty member. Postdoctoral Fellows are appointed for a limited period of time to work on their own research project and are supported by external or internal training grants or fellowships.
2. Policies and Procedures Applicable to Post-Doctoral and Research Associates
A. Appointment
Eligibility for a Postdoctoral Associate, Research Associate or Postdoctoral Fellow appointment requires an advanced degree, PhD, MD or equivalent, and is generally restricted to those who have earned that degree within the last three years. Requests for exceptions must include a written statement from the sponsoring faculty member indicating what additional training the individual will receive, and the reasons for which the exception is requested. Requests should be sent to the Graduate School for review and approval.
It is the responsibility of the Associate or Fellow to provide to the faculty sponsor transcripts or letter from the Registrar's Office of the appointee's doctoral institution that certify receiving the advanced degree. It is the responsibility of the faculty sponsor to judge the documentation satisfactory and maintain a copy of the transcripts or letter from the Registrar's Office, along with a copy of the offer letter that was then counter-signed in agreement by the appointee. If the appointee has completed the degree requirements but the degree has not yet been conferred, appointees must provide a letter indicating this status from the Registrar's Office or equivalent of their doctoral-degree institution.
In keeping with national guidelines, these postdoctoral appointments may not exceed a total of five years. This maximum includes cumulative postdoctoral research experience at °®¶¹´«Ã½ or elsewhere. Exceptions for appointments totaling more than five years may be requested in the following circumstances:
- Associates or Fellows who begin a second postdoctoral appointment in a new field can, upon the new faculty sponsor's request, have their total period of postdoctoral training extended to a maximum of six years.
- Requests for extensions due to leaves of absence will be considered on a case by case basis.
All requests for such extensions must be reviewed and approved by the Graduate School.
During its term, an appointment is contingent upon satisfactory performance and the existence of funding. At the end of the term and subject to the limits set forth in this policy, the appointment may be eligible for renewal, based on satisfactory performance, the existence of funding, and programmatic need.
B. Appointment Process
Postdoctoral Associate positions are normally filled by completing the Research Foundation's formal recruitment process.
Procedures that faculty should use for filling a Postdoctoral Associate position are described in detail on the Division of Research webpage.
Research Associate positions are normally filled by school or department's recruitment process. Unless a school or department makes a specific request, these positions normally are not posted formally with the Office of Human Resources.
Individuals interested in applying for postdoctoral appointments should make their inquiries directly to the academic department or school in which the person is seeking appointment.
The faculty sponsor and department chair are responsible for sending an offer letter to the Postdoctoral or Research Associate, and are expected to use the appropriate (Research Foundation of SUNY or SUNY-state) sample offer letter available from the Postdoctoral Office's web site. Once the offer letter is signed and returned by the appointee, both the academic department and Sponsored Funds Administration (if funding is administered by the Research Foundation through grants or contracts) should receive copies of the counter-signed offer letter.
Approximately one month in advance of the proposed start date for the appointment, departments wishing to appoint a Postdoctoral Associate (when funding is through grants or contracts administered by the Research Foundation) should forward the employment form to the Research Foundation Payroll Office. See details at:
or to appoint a Research Associate (when the funding is from the SUNY-state-side) to the Human Resources Office. See details at:
Levels and Sources of Support
Associates and Fellows at °®¶¹´«Ã½ must be supported by University grants and contracts, training grants, departmental, school, or college fellowship funds, or external fellowships, or by a combination of these sources. Associates and Fellows may not be self-employed or pay their own salaries. Associates and Fellows are normally appointed at 100% time. If an appointment is to be made for a lesser percentage, a separate statement clarifying the arrangement or describing the additional support from other sources should be included in the appointment papers.
All Associates, regardless of their source of funding, must be paid at least the minimum level based on years of experience. Stipend levels for graduate and postdoctoral fellowships funded by federal agencies should be used a as a reference. A department may also establish a higher minimum salary level for Postdoctoral Associates paid within that school or collage. It is suggested that Postdoctoral Associates in the biomedical sciences be paid the stipend level recommended by National Institutes of Health.
If the minimum level cannot be offered, then the appointment letter and forms should indicate the percent of time appointed and that the appointee is entitled to seek and perform additional University services (e.g., teaching) up to the recommended annual level of compensation.
1. Postdoctoral Associate
Payments from °®¶¹´«Ã½ research contracts and grants will be processed in the form of Postdoctoral Associate appointments. Appointments are not limited by the University's academic calendar, and may start and stop on any dates as established by the Research Foundation Payroll Office. Appropriate taxes will be withheld and the grant negotiated fringe benefit rate will be applied.
2. Postdoctoral Fellow
A Postdoctoral Fellowship is a competitive award of financial support to an individual,
which provides a stipend and, in some cases, pays °®¶¹´«Ã½ fees. Although
Postdoctoral Fellowships may be awarded on the basis of a proposed research program,
they are not awarded to accomplish a specific statement of work, and they do not lead
to an employer-employee relationship. Postdoctoral Fellowships are awarded on a merit
basis to assist a scholar in his or her professional training and development.
Stipend support may also be provided from department funds, foundation accounts, and
school fellowships where available, as well as from external sources, where the financial
assistance is NOT being provided as salary for work performed.
Because this is a "non-employee" position and no fringe benefits accrue, the Postdoctoral
Fellow is not eligible for employee benefits.
Postdoctoral Fellow Insurance Requirement - Arrangements will be made with the campus
Research Foundation Personnel/Payroll Office to enroll Research Foundation Postdoctoral
Fellows on the Graduate Student insurance plan. Units will need to identify funding
sources to cover the costs of the Fellow insurance that can include funding from sponsors,
use of departmental and or faculty infrastructure funds and possible subvention by
the Research Division.
3. Research Associate
Payments from SUNY-state funds will be processed in the form of Research Associate appointments. Appointments are not limited by the University's academic calendar, and may start and stop on any dates as established by the Human Resources Office. Appropriate taxes will be withheld and a fringe benefit rate will be applied.
C. Eligibility to Work Regulation I-9 Requirement
- Postdoctoral Associates (appointment on sponsored projects), regardless of citizenship, may not receive salary without a valid I-9 Form completed in the Research Foundation Payroll Office. A valid I-9 form is required by the Immigration Reform Control Act of 1987.
- Research Associates (appointment on SUNY-state projects), regardless of citizenship, may not receive salary without a valid I-9 Form completed in the Human Resources Office. A valid I-9 form is required by the Immigration Reform Control Act of 1987.
- Postdoctoral Fellow: Support from a sponsored fellowship or traineeship may not require an I-9 Form. Other forms may be required, particularly for international scholars.
D. State and Federal Taxation Compliance
At the time of appointment, the Research Foundation will provide advice to Postdoctoral Associates and Postdoctoral Fellows, and the Human Resources Office to Research Associates about tax implications.
3. Rights, Responsibilities, and Privileges of Post-Doctoral Associates, Post-Doctoral Fellows, Research Associates and Faculty Sponsors
A. Responsibilities of Faculty Sponsor
A faculty sponsor inviting a Postdoctoral Associate, Fellow or Research Associate to °®¶¹´«Ã½ works with that individual to develop a plan of research, goals for the period of training, and a plan for dissemination of the research, including plans for presentation and authorship. The faculty member approves this plan, and during the term of the appointment, ensures adequate office/laboratory space and provides ongoing mentoring and guidance.
B. Responsibilities of Associates and Fellows
Postdoctoral Associates, Postdoctoral Fellows and Research Associates are expected to carry out the study or research outlined in discussions with the faculty sponsor, to communicate regularly with the faculty sponsor, and to notify the faculty sponsor of any change in plans.
All data and research records generated in University laboratories and facilities remain the property of the University.
C. Employee Benefits
Postdoctoral Associates (funded by grants or contracts through the Division of Research): Information about insurance benefits can be obtained by contacting the Research Foundation Personnel/Payroll Office.
Research Associates (paid by SUNY-state-side): Information about insurance benefits for can be obtained by contacting the Human Resources Office.
D. Sick and Vacation Benefits
Once appointed, information about sick and vacation time will be provided to Postdoctoral Associates by the Research Foundation and to Research Associates by the Human Resources Office. Sick and vacation time must be approved by the Associate's supervisor.
E. Research Ethics and Training
The mission of the Office of Research Compliance is to ensure the protection of human subjects, the welfare of animals, safe use of select agents pathogens and toxins, and to enhance the ethical conduct in research programs at °®¶¹´«Ã½. The research compliance office values integrity and accountability in the conduct of all research.
Beyond these core values and obligations, consideration of external support for research, especially from federal sources, is essential. Accepting support entails further obligation to ensure the ethical conduct of research activity and the appropriate stewardship of funds and resources.
°®¶¹´«Ã½ follows policies regarding the responsible conduct of research in all fields throughout the University. These policies can be reviewed at /research/compliance/responsibleconductofresearch.html
If you have concerns that research is being conducted in a questionable, unethical, unlawful, and/or fraudulent manner, you may contact Nancy Lewis, the Assistant Vice President for Research Compliance who serves as the Research Integrity Officer (RIO) to discuss in a safe and confidential manner. The RIO can be reached at nlewis@binghamton.edu or at 607-777-3532.
You can also access the Fraud and Irregularities / Compliance Hotline which serves as resource within °®¶¹´«Ã½ to voice your concerns. Dial 607-777-5049 or visit /rmac/fraud-irregularities-compliance/index.html for further details.
Associates and Fellows who are conducting research under a NIH and/or NSF award are required to complete Responsible Conduct in Research training facilitated through the . Depending on the research engagement, Associates and Fellows may be required to complete additional research compliance and safety trainings including but not limited to:
- °®¶¹´«Ã½'s annual Laboratory Safety Training facilitated by EH&S
- Human Subjects Research training
- Various trainings required by the Institutional Animal Care and Use Committee
- Radiation Safety Training
- Initial Biosafety, OSHA BBP, and OSHA PPE Trainings
- Conflict of Interest
Many of these trainings are facilitated through CITI. CITI is a free training and educational platform used by our campus for certain trainings.
Any question regarding required training can be answered by the Office of Research Compliance at rescomp@binghamotn.edu or at (607) 777-3532.
F. Orientation and Resources
°®¶¹´«Ã½ provides various workshops on career and professional development for those working on or with advanced degrees.
G. Notification of Resignation
It is appropriate and professional to provide as much notice as possible if it is necessary to resign a postdoctoral appointment before the appointment ends. It is expected that the appointee will provide at least one month's notice. Upon leaving a laboratory, an Associate or Fellow has an obligation to leave all original notebooks, data and reagents in a state that will allow continuation of the project and ensures compliance with the Intellectual Property Policy, Research Foundation of SUNY Patents and Inventions Policy, Computer Software Policy and other relevant policies of the University.
H. Workplace Issues
For resolution of workplace complaints, Associates and Fellows can seek advice from the Graduate School. Some issues for Postdoctoral Associates and Fellows will be handled by the Assistant Vice President for Research Administration in Sponsored Funds Administration and some issues for Research Associates will be handled by Human Resources Office.
I. Termination
For Postdoctoral and Research Associates paid by a grant or contract, the faculty sponsor is the supervisor and may terminate, or not renew, the appointment.