Policies and Procedures for Postdoctoral Research Fellows
of the Cleveland Clinic Lerner Research Institute
Table of Contents
Page Subject
- The Postdoctoral Research Fellowship
- Appointment / Promotion / Termination Process
- Professional Development
- Ethical Conduct of Research
- Approved Leaves of Absence
- Health Care / Retirement Benefits
- Professional Travel Support
- Laboratory Safety / Regulatory Training
- Reporting Occupational Injury / Illness
- Cleveland Clinic Policies and Procedures
- Ownership of Research Results and Materials
- Invention and Discovery
- Confidentiality and Information Security
- Sexual Harassment
- Smoking
- Controlled Substance and Alcohol
- Identification Badges
- Campus Safety and Security
Appendix A Postdoctoral Fellow Progress Report (PDF)
POLICIES AND PROCEDURES FOR POSTDOCTORAL
RESEARCH FELLOWS OF THE LERNER RESEARCH INSTITUTE
1. THE POSTDOCTORAL RESEARCH FELLOWSHIP
Postdoctoral Research Fellows in the Lerner Research Institute (LRI) conduct research under the supervision of the LRI Staff Mentor. The Staff Mentor is the principal scientific investigator for the research program of the Fellow and is the director of the laboratory in which the Fellow works. The exact duties of the Fellow will depend upon the assigned research project. The Fellow is expected to learn and perform required laboratory procedures, design and interpret experiments, keep a detailed laboratory notebook and prepare reports of the results for scientific publication. The Fellow will be required to read and discuss appropriate scientific literature, attend seminars and submit scientific papers in a timely fashion during the research training period. The Staff Mentor is responsible for the direction of research in the laboratory and will make final decisions regarding the research projects, the experimental approach, publications and authorship. These decisions will be made in consultation with the Postdoctoral Research Fellow as much as possible in the spirit of the Cleveland Clinic model of teamwork and collegiality.
2. APPOINTMENT/ PROMOTION PROCESS FOR POSTDOCTORAL RESEARCH FELLOWS
A. Appointment/Evaluation: Postdoctoral Research Fellowship appointments will be for a period of one year or less. The appointment may be renewed for a subsequent year by the LRI Department Chair and LRI Director of Research Education, upon recommendation by the Staff Mentor. The Postdoctoral Research Fellow will receive frequent and constructive feedback on performance from the Staff Mentor during the first year of training. The Postdoctoral Fellow Progress Report (Appendix A) will be used to evaluate the Fellow. The Staff Mentor should do this evaluation in the ninth month of the yearly appointment / reappointment period. The Fellow should be informed whether or not there will be a reappointment by the end of the ninth month of the current appointment / reappointment period. A Fellow with an appointment / reappointment that is less than one year will be evaluated half way through that appointment / reappointment period. If, at any time during the appointment / reappointment period, the Staff Mentor considers the performance of the fellow unsatisfactory, the Staff Mentor will provide the Fellow with a written summary of the deficiencies and a time line within which the deficiencies should be corrected. Reappointment may be made contingent upon correction of deficiencies in performance. Disagreements between the Staff Mentor and the Postdoctoral Research Fellow regarding evaluation and reappointment can be discussed in a meeting initiated by the Fellow with the Department Chair. Requests for such a meeting with the Department Chair must be made in writing and delivered by the Fellow within 15 days of receipt of the relevant letter or summary by the Fellow. Decisions to not reappoint may not be appealed, but other matters that cannot be resolved at the Department level may be appealed by the Fellow in writing within 7 days of the meeting with the Department Chair to the Chair of the Lerner Research Institute or his/her designate, who will form a committee consisting of at least two Staff Mentors and one Postdoctoral Research Fellow to make a recommendation to the Chair of the LRI. At any stage in this process, the Fellow may be represented by a member of the Research Staff and have the right of direct appeal to the Chair of the LRI. The decision of the Chair of the LRI will be final.
B. Promotion Criteria: The following criteria are guidelines for promotion of the Postdoctoral Research Fellow within the LRI to the Junior Staff position, Research Associate.
- Endorsement by Staff Mentor for promotion to Research Associate.
- At least three years in postdoctoral training including one year within the laboratory of the Staff Mentor.
- At least two first-author publications in peer-reviewed journals from work done during the postdoctoral training period.
- A majority of Assistant, Associate and Full Staff within the department must approve the performance of the candidate in the Departmental Promotion Seminar. The seminar must be advertised as a promotion seminar in advance.
- Department-specific criteria may apply.
C. Transfer of Appointment: Postdoctoral Research Fellows have the status of Research Trainee and must first consult with the LRI Director of Research Education before requesting a transfer to another laboratory within the first year of appointment. At the time of transfer, and for the subsequent year, the new Fellow will not be eligible for promotion or salary increase. After the initial appointment year, a Fellow must notify the Staff Mentor, the LRI Department Administrator and the Director of Research Education 4 weeks prior to transferring to another laboratory within the LRI. The Change of Status Form will be completed by the Department Administrator from the former department to notify the LRI Research Education Office of the transfer. Whenever a Fellow transfers between laboratories, the Fellow will not be eligible for promotion or salary increase for one year from the date of transfer. The new Staff Mentor will contact the former Staff Mentor for an Internal Reference Check prior to the submission of the reappointment request. Exceptions to these policies may be made when both former and new Staff Mentors are in agreement.
D. Exit / Termination Procedure: The Fellow’s Department Administrator and the Research Education Office (216-445-6690) must be notified when a Postdoctoral Research Fellow completes a training fellowship or leaves the Cleveland Clinic for any reason. The Fellow must provide the Staff Mentor, Department Administrator and the Director of Research Education with at least 4 weeks notice, in writing, prior to leaving the Clinic or notify the Staff Mentor during the ninth month evaluation, if possible. All laboratory notebooks and experimental data generated by the Fellow must be returned to the Staff Mentor prior to departure. The Fellow cannot remove experimental material or data or laboratory equipment from the laboratory at the time of departure without written permission of the Staff Mentor. The final exit / termination procedure includes scheduling a mandatory exit interview with the Director of Research Education at least 10 days prior to departure, return of the Clinic property and providing a valid forwarding address to the Research Education Office (REO) and Graduate Medical Education (GME). The final paycheck will be mailed to the forwarding address provided following the completion of the exit process. All LRI Postdoctoral Research Fellows who have been promoted to Research Associate must complete a promotion interview with the Director of Research Education.
E. Termination of Appointment: It is important to note that a Postdoctoral Research Fellow can be terminated from the Cleveland Clinic without prior warning for serious violations of ethical or legal standards of conduct such as unsafe laboratory practices, scientific and credential fraud, misconduct as described in Section 2 and/or noncompliance with department, division, foundation employee or government requirements. The Director of Research Education will be notified and may be present in the event that the decision has been made to dismiss a Fellow during an appointment period as a result of such violations. The Staff Mentor and Department Chair will inform the Fellow of the dismissal and the general nature of the grounds for dismissal.
In the event that the Staff Mentor decides to terminate his / her own appointment with the Cleveland Clinic, or the Staff Mentor’s appointment is terminated by the Cleveland Clinic, all Postdoctoral Research Fellows in the laboratory of this Staff Mentor will be given at least 4 weeks notice, in writing. Every effort will be made by the Staff Mentor to give more notice, if possible. The Staff Mentor will make every effort to inform all Fellows in his/her lab, in a timely manner, of the status of grant funding and the possibility of interim funding. While not guaranteed, the department administration and the Research Education Office will aid in securing another position within the institution, if desired by the Fellow.
A. Staff Mentor: Postdoctoral Research Fellows are typically in training for potential independent research careers. Staff Mentors should facilitate this training by actively mentoring their fellows in the design and interpretation of experiments and in the development of long-range experimental strategies. Fellows should be challenged to critically evaluate the current literature in their fields and to continuously consider new ideas and discoveries that relate to their work. Skill in effective scientific communication, both written and oral, should be fostered. In particular, Fellows should be encouraged to present their findings at external scientific meetings. Departments should facilitate achievement of these training goals through departmental seminars and journal clubs in which Fellows receive timely and constructive feedback on their presentations.
B. Research Education Office: The LRI Research Education Office (REO) provides each new Postdoctoral Research Fellow with the “Policies and Procedures for Postdoctoral Fellows” to use as a manual for professional development. Upon arrival, each new Fellow must attend a mandatory Research Orientation in the REO and is given a handbook developed by the REO with useful information about the Cleveland Clinic, the Lerner Research Institute and the LRI Postdoctoral Fellow training program. The REO provides a monthly career development seminar series to help Fellows prepare for the next professional level in addition to individualized guidance with respect to developing curriculum vitae and the interview process. Upon completion of the postdoctoral fellowship, each Fellow is provided with guidance during the exit process where forwarding information is collected. All Fellows are given the opportunity to evaluate the training program and are encouraged to maintain contact with the REO as they progress in their careers after leaving the LRI.
C. English Proficiency: English is the most commonly used language in Science. Proficiency in oral and written English is, therefore, important in career advancement. In addition, effective communication is essential to laboratory safety and daily scientific exchange. On-going improvement in English communication is expected. Oral and written communication in the laboratory and written entries into the laboratory notebook should always be in English.
4. ETHICAL CONDUCT OF RESEARCH
It is the desire of the Cleveland Clinic to uphold the highest principles of scientific integrity and to protect against scientific fraud or misconduct. Guidelines for investigating scientific misconduct and the guidelines for manuscripts and books are set forth in the Major Policies for the Professional Staff. Postdoctoral Research Fellows will follow these guidelines during postdoctoral training. Misconduct is defined as fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting or reporting research. Misconduct does not include honest error or honest differences in interpretation or judgments of data. Inherent in these procedures is the recognition by the Clinic that all individuals will receive the protection of due process and the avoidance of conflict of interest. It is recognized that allegations concerning misconduct vary from the trivial to the serious and that evidence may also vary from weak to compelling. For these reasons, the exercise of discretion and good judgment by individuals concerned with this process is of paramount importance and these considerations should have a bearing on the degree to which steps herein delineated might be applied. Guidelines for the ethical conduct of research and the publication of experimental results are provided in a mandatory “Responsible Conduct in Research” workshop.
A.Vacation Time: Each Postdoctoral Research Fellow is entitled to three weeks (15 working days) vacation prorated to the entire fellowship year exclusive of the seven scheduled Cleveland Clinic holidays. Thus, a Fellow appointed / reappointed for 8 months would be entitled to 10 vacation days during the eight month appointment. Vacation and holiday time is not cumulative. It can only be used in the appointment / reappointment period in which it is earned. Postdoctoral Research Fellows are not hourly employees. Therefore, working during weekend days does not result in the accrual of vacation time. Vacations must be approved in advance by the Staff Mentor and must be scheduled to avoid conflict with the research project. The Fellow should request vacation time at least 2 weeks in advance. Exceptions can be made for emergencies.
B. Leave of Absence: Maternity / Paternity Leave / Family Leave: Postdoctoral Research Fellows may take up to six weeks of paid maternity leave when a child is born or adopted and eight weeks when a child is born by caesarian section. Up to two weeks of paternity leave may be taken within the first three months following the birth or adoption of a child. The Fellow must notify the Department Administrator at the onset of maternity / paternity leave or as soon as possible after the birth of the baby to receive pay. The Staff Mentor must be informed at least 90 days before maternity / paternity leave to make necessary arrangements for the laboratory.
Pursuant to The Family Leave Act of 1993, the Cleveland Clinic offers individuals who have been employed for at least one year, having worked at least 1250 hours in the preceding 12 months, unpaid leave of up to 12 weeks per year. Family leave may be taken at the time of the birth of a child; the placement of a child for adoption or foster care; to care for a child, spouse or parent who has a serious health condition; or if the Fellow is unable to perform the functions of the position because of serious health condition. Family leave will be reduced by the number of weeks taken for maternity/paternity leave. All pertinent policies, procedures and forms must be completed. The Department Administrator will provide this information and / or assistance. The Staff Mentor must be notified no less than 90 days prior to any planned leave of absence.
C. Leave of Absence: Medical Illness/Injury: In the event that a Postdoctoral Research Fellow is unable to carry out duties and responsibilities in the laboratory due to serious illness or injury, salary and benefits will continue for the period the Fellow is unable to work or for 3 months, whichever is less, during the illness or immediately following the injury, in accordance with the Policy for Extended Medical Leave of Postdoctoral Research Fellows. The Fellow will be required to utilize all unused vacation days at the onset of the approved leave period. The treating physician must provide written verification to the Department Administrator within 1 week of onset of illness or accident as verification that the Fellow is temporarily unable to work. The Department Administrator will then notify the Research Education Office by completing and forwarding a Change of Status Form.
D. Outside Activities Postdoctoral Research Fellows are expected to devote full attention to research duties in the laboratory during the normal workday. Outside employment or activities that would interfere with these duties are not permitted. However, the importance of professional development during the course of postdoctoral training may be recognized and exceptions may be made. For example, a Fellow may request to participate in professional teaching opportunities during the normal workday. A description of the activity and time away during the normal workday must be submitted, in writing, and approved by the Staff Mentor prior to beginning the professional development activity.
6. HEALTH CARE / RETIREMENT BENEFITS
The Cleveland Clinic will provide Postdoctoral Research Fellows with the opportunity to elect coverage under a comprehensive health plan for themselves and their eligible dependents (spouse and / or children). A detailed description of these benefits will be provided after the Fellow arrives to begin training in the LRI. It is very important to note that Fellows and eligible dependents are covered as of the actual appointment start date. All appropriate forms must be completed within 31 days of the appointment start date. After 31 days, coverage will be denied. With proof of good health, the next available time to join the plan will be during the next annual enrollment period. If coverage is granted, it will be effective the date the health evaluation is approved. Similarly, all changes or additions to coverage (due, for example, to marriage, birth or adoption of a child, divorce etc.) must be made within 31 days of the event.
In addition, Postdoctoral Research Fellows may contribute to a non-matched retirement 403b plan. The REO will provide retirement enrollment materials.
7. PROFESSIONAL TRAVEL SUPPORT
Graduate Medical Education (GME) will support attendance at one scientific meeting (up to $1000) during the postdoctoral training period in the Lerner Research Institute. A Fellow must have completed at least one year at the Clinic, be reappointed for the second year and must be presenting a poster or a talk at the meeting in question to be eligible for such support. The Fellow must contact the Department Administrator prior to making application to GME. The Department Administrator will verify that travel eligibility criteria have been met and forward the necessary documents to GME for approval. All travel related to the research of the laboratory of the Staff Mentor must be approved by the Staff Mentor.
8. LABORATORY SAFETY AND REGULATORY TRAINING
The personal safety and health of all personnel and visitors is a primary concern of the Cleveland Clinic. It is the Cleveland Clinic policy to maintain a safety program conforming to all applicable local, state and federal safety and health standards, fire codes, and environmental regulations. Since these regulations only define minimum requirements, it is the position of the Clinic that every effort will be made to exceed them whenever practical. The Clinic has established a specific policy, which is described in detail under Policy # 620 in the Cleveland Clinic Supervisory Policy and Procedure Manual (available on-line and in the REO), to comply with the Hazard Communication Standard (29CFR 1910.1200) of the Occupational Safety and Health Act and the City of Cleveland’s Hazardous Chemical Right-to-Know Code.
In order to achieve a safe workplace and meet regulatory requirements, initial training requirements exist for workers in the Lerner Research Institute. These currently include training in the use and disposal of radioactive materials, the safe handling and disposal of laboratory materials (including compliance with Occupational Health and Safety Administration guidelines, (OSHA), the proper care of laboratory animals and Health Insurance Portability and Accountability Act (HIPAA) compliance. This is not a comprehensive list and not all of these training sessions may apply to the Fellow. However, OSHA/Blood-Borne Pathogens, HIPAA and Patient Safety training are mandatory. Other training may be required as a result of the nature of the research. Prior to working in the laboratory, additional training requirements will be explained by the Staff Mentor. OSHA / Blood-Borne Pathogen, HIPAA and Patient Safety training are required at the appointment start date and will be provided by GME. New Fellows should request a copy of the certificate of training from the GME trainer at the time of training to provide to their LRI Department. Annual OSHA / Blood-Borne Pathogen retraining sessions are currently required for all Lerner Research Institute personnel. Annual retraining is also currently required for those working with radioactive materials or with laboratory animals.
Compliance with regulatory requirements regarding the handling of laboratory materials and reagents in the interest of safety is a vital part of the duties of all laboratory personnel. Failure to comply with regulations can create severe consequences for all research personnel and activity in the LRI and the Clinic. For example, serious violations of the regulations governing the use of radioactive materials could result in the entire Cleveland Clinic losing the license to work with such materials. Thus, any failure to comply with laboratory safety practices and relevant regulatory requirements is considered a serious matter. Repeated or egregious violations are cause for immediate dismissal from the Cleveland Clinic.
9. REPORTING OCCUPATIONAL INJURY / ILLNESS
Prompt and accurate reporting of work-related accidents is imperative for the protection of all personnel at the Cleveland Clinic. A work-related accident is defined as an event that occurs during work-related activities and results in a work-related injury or illness. Any such accident should be reported to the Staff Mentor immediately, but no later than twenty-four hours after the occurrence. Documentation of the injury is of the utmost importance and must be sent to the Director of Safety within forty-eight hours of the job-related injury or notification of an accident. The injury must be documented on the Record of Occupational Injury/Illness Form (2284880 Rev 4/92) and forwarded to the Director of Safety. Please note that an Accident Report filled out by the Cleveland Clinic Security does NOT meet this requirement. The Cleveland Clinic will not certify any work-related injury and/or illness (Worker’s Compensation) that have not been reported in accordance with this policy and will contest it accordingly. Details can be found in the Cleveland Clinic Supervisory Policies and Procedures Manual Policy #650. Contact the Environmental Health and Safety Department at 216-444-6588 if you have questions regarding a work-related injury.
10. CLEVELAND CLINIC POLICIES AND PROCEDURES
Except as referenced in these Policies and Procedures for Postdoctoral Research Fellows, Postdoctoral Research Fellows within the Lerner Research Institute are governed by the Supervisory Policy & Procedure Manual (available on-line and in the REO) and the “Inventions and Discovery Policy”, the “Property and Funds Policy” and the “Conflict of Interest Policy” as set forth on the Major Policies for the Professional Staff. These policies are subject to change at any time without notice.
A. Ownership of Research Results and Materials: Postdoctoral Research Fellows are reminded that all data and associated research materials that they generate (including, but not limited to, notebooks, computer records, microscope slides, etc.) during the LRI appointment / reappointment period are the sole property of the Cleveland Clinic. Therefore, these materials will be produced whenever requested by the Staff Mentor or the Department Chair. Copies of the original research records may be taken with the prior written approval of the Staff Mentor when a Fellow leaves the laboratory, the LRI or the Cleveland Clinic. Approval will not be arbitrarily withheld if such records do not contain any proprietary or confidential information of the Clinic. Any controversy over the holding or use of research records is to be resolved by the Department Chair.
B. Invention and Discovery: As a condition of their affiliation with the Cleveland Clinic, Postdoctoral Research Fellows agree to: (a) assign to the Cleveland Clinic all rights, title and interest in improvements, discoveries, ideas and innovations arising out of their professional activities while affiliated with the Clinic; (b) communicate with the Cleveland Clinic Innovations Office on matters relating to technology development, innovation and commercialization and cooperate with Innovations Office in all commercialization efforts. Complete descriptions of invention and discovery policies may be obtained from the following website: www.clevelandclinic.org/innovations/inventor/ip_policies.htm
C. Confidentiality and Information Security: As stated in Supervisory Policies 505-511 and the Health Insurance Portability and Accountability Act (HIPAA), Postdoctoral Research Fellows are expected to maintain the confidentiality of privileged information of the Cleveland Clinic to which they may have access during the course of their fellowships. In addition, Cleveland Clinic resources, including its computer systems, must be used solely for the conduct of Cleveland Clinic business.
D. Sexual Harassment – Free Work Environment: The Cleveland Clinic is committed to providing an environment that is free from any form of harassment, including sexual harassment. As stated in Policy #005, all managers are held accountable for the effective administration of this policy for maintaining an environment free from sexual harassment. Postdoctoral Research Fellows who have a concern regarding sexual harassment may discuss the issue in guaranteed confidence with the Director of Research Education (216-444-4860). No employee will suffer any form of reprisal, nor will he/she be discriminated against or penalized for having reported sexual harassment.
E. Smoke – Free Work Environment: The Cleveland Clinic has a strong commitment to promote good health for all of patients and personnel. To keep the environment smoke-free, there is no smoking in the buildings or on the campus of the Cleveland Clinic (Policy #630).
F. Controlled Substance / Alcohol – Free Work Environment: The Cleveland Clinic is committed to providing a drug- and alcohol-free work environment. The Cleveland Clinic will not tolerate the unlawful or unauthorized use, manufacture, possession, sale or transfer of illegal or controlled substances or the abuse or unauthorized use of alcohol on or around Cleveland Clinic property. The substance abuse (Policy #670) applies to all Cleveland Clinic personnel.
G. Identification Badges: Each LRI Postdoctoral Research Fellow is provided with an identification (ID) badge to access secured LRI research areas. In addition, Cleveland Clinic policy requires that badges be worn at all times on the Cleveland Clinic campus. ID badges will be coded to provide access to the assigned parking facility and access to buildings and departments with proper authorization. In order to help provide a secure environment for the research community, you may be asked to present your ID badge at any time. ID badges must be worn to receive the employee discount in Cleveland Clinic dining facilities, the Gift Shop and Cleveland Clinic pharmacies. Lost ID badges must be reported to the ID Badge Department (216-444-1208) as soon as possible. A fee is required for the replacement badge (fee will be refunded if the lost badge is found).
H. Campus Safety and Security: Fellows working late can contact the Cleveland Clinic Police, 216-444-2250, to be escorted safely to the assigned parking location. Emergency intercoms are located throughout the campus and are easily identified by illuminated “blue lights”. Pushing the button once will connect directly to the Cleveland Clinic Police Department and alert them to the locations for an immediate response. Uses include reporting a crime, suspicious persons, property lost, found, or stolen and car trouble such as a dead battery, “free” jump-start or keys locked in the car.