Duke University Postdoctoral Policy

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ABOUT THIS POLICY

The Duke Postdoctoral Policy is applicable to:

a) Postdoctoral Associates, as defined in Sections 1, 2, and 2-A of this policy, and to,
b) Postdoctoral Scholars, as defined in Sections 1, 2, and 2-B of this policy, and to,
c) Postdoctoral Scholars-Paid Direct, as defined in Addendum 1 of this policy.

This Policy does not apply to other positions in Job Family 27 (eg, Research Associate Senior, Research Scientist, Associate in Research, Research Scholar). These positions are not Duke postdoctoral appointments. Duke postdoctoral appointments are made only in the categories of Postdoctoral Associate and Postdoctoral Scholar.

In cases where the Postdoctoral Appointee is an International, immigration rules and  regulations may supersede this policy. Postdoctoral Appointees who are International, and faculty who wish to hire or terminate an International Postdoctoral Appointee, must coordinate with Duke Visa Services to determine what rules and regulations may apply. An “International”, for purposes of this policy, is defined as an individual who is not a US Citizen, Lawful Permanent Resident (a.k.a. “green card” holder), Asylee, or Refugee.

TABLE OF CONTENTS

SECTION 1: DEFINITION OF POSTDOCTORAL APPOINTMENT

  • The Postdoctoral Candidate holds a PhD or equivalent doctorate (e.g. ScD, MD, DVM).
    • Candidates with non-US degrees will be required to provide proof of degree equivalency as determined by each School within Duke University.
    • A candidate may also be appointed to a postdoctoral position if the candidate has completed all of the requirements for a degree but the degree has not been formally conferred. In this case, the candidate may present evidence of completion of the degree requirements, together with a statement documenting the date on which the degree is to be conferred. If the degree is not conferred by this projected date, the postdoctoral appointment shall be terminated, except under extraordinary circumstances.
      • International Candidates:
        • Generally, immigration classifications (e.g., H-1B, J-1, etc.) require that the requisite degree be conferred before a petition can be filed or an immigration document issued to sponsor the individual.
        • For Postdoctoral Appointments requiring a medical degree (i.e., the profession or qualification of physician or surgeon), equivalency determinations for a US Doctor of Medicine have been made by the Educational Commission for Foreign Medical Graduates (ECFMG). If the Appointee does not have a valid ECFMG Certificate, Duke Visa Services will conduct an MD equivalency determination.
  • The term of the appointment is limited (see Section 5 for length of appointment).
  • The appointment involves substantially full-time research or scholarship, and may include teaching responsibilities.
  • The appointment is generally preparatory for a full time academic or research career.
  • The appointment is not part of a clinical training program, unless research training under the supervision of a senior Faculty Mentor is the primary purpose of the appointment.
  • The Postdoctoral Appointee functions under the supervision of a Faculty Mentor or a department/responsible unit at Duke University.
  • The Postdoctoral Appointee is expected to publish the results of his or her research or scholarship during the period of the appointment.

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SECTION 2: APPOINTMENT CLASSIFICATION

Postdoctoral Appointees are classified in one of two categories: Postdoctoral Associate or Postdoctoral Scholar. The difference in definition between Postdoctoral Associates and Postdoctoral Scholars is the description of the Purpose of Appointment.

All Postdoctoral Appointees at Duke are required to begin their terms of appointment as Postdoctoral Associates. Recipients of training grants or fellowships may not enter Duke as Postdoctoral Scholars, but must spend a minimum of 30 days on the Duke University Compensatory Payroll before moving to the non-compensatory payment system. Salary for the mandatory 30-day employee period will come first from the Principal Investigator (or primary Mentor in the case of NIH NRSA Institutional Research T32 Training Grants), to be supplemented if necessary by funding from the department/responsible unit, or from the Dean.

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Section 2-A: Postdoctoral Associate

  • The Postdoctoral Associate meets all elements of the definition of a Postdoctoral Appointee.
  • Purpose of Appointment: The Postdoctoral Associate performs specific services in exchange for compensation.
  • Payment Method: The Postdoctoral Associate receives payment through the Duke University Compensatory Payroll (see Section 6-A).
  • Benefits: The full-time exempt Postdoctoral Associate who meets eligibility requirements is eligible for Duke University staff benefits as outlined in Section 6-B.
  • If a Postdoctoral Associate switches from payment on the compensatory payroll to the non-compensatory payment system, his or her Continuous Service Credit will continue.

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Section 2-B: Postdoctoral Scholar

  • The Postdoctoral Scholar meets all elements of the definition of a Postdoctoral Appointee.
  • Purpose of Appointment: The Postdoctoral Scholar participates in a research training program for the principal purpose of developing the individual’s research skills for his/her primary benefit.
  • The activities of the individual in this role do not constitute performance of services (i.e., work). Therefore, the Postdoctoral Scholar acting within the terms of such an award does not have an employer-employee relationship with the University.
  • Payment Method: The Postdoctoral Scholar receives a stipend from a training grant (i.e., NIH NRSA Awards; see Section 7-A and associated Postdoctoral Policy FAQ).
  • Before moving a Postdoctoral Associate to a Postdoctoral Scholar position, the terms of the funding agency should be carefully reviewed to determine whether the postdoctoral appointee will receive a salary or stipend. Unless the funding terms specify that only a stipend will be provided for the postdoctoral appointee (as is specifically the case with NIH NRSA awards), the appointee should remain on the compensatory payroll. In support of this change, only Postdoctoral Scholars who are funded by NIH NRSA awards should be transitioned to the non-compensatory payment system.  All others should be paid as employees unless the funding terms require otherwise. (One exception is noted: if a Postdoctoral Scholar-Paid-Direct is receiving a stipend payment and/or an insurance stipend, the non-compensatory payment system should also be used. Please see the final section of the postdoctoral policy, Policies Specific to Paid-Direct Candidates for Postdoctoral Appointment, for more information on paid-direct appointments). 
  • Questions about the necessity of moving a Postdoctoral Associate to a Postdoctoral Scholar position should be directed to the HR Management Center, Corporate Payroll, or Molly Starback, Director of Duke Postdoctoral Services.
  • Non-Salary Coverage: Since Postdoctoral Scholars are not employees, they are eligible for limited benefits only, as outlined in Section 7-B.

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SECTION 3: EXPECTATIONS OF POSTDOCTORAL APPOINTEES AT DUKE UNIVERSITY

  • The conscientious discharge of research or scholarship responsibilities, which may include teaching responsibilities for Postdoctoral Associates.
  • Conformance to standards of responsible conduct in research, including taking all current required training.
  • Compliance with good scholarly and research practice.
  • Maintenance of a laboratory notebook and/or other comparable records of research activity, which remain the property of Duke University upon termination.
  • Adherence to University standards regarding use of isotopes, chemicals, infectious agents, animals, human subjects, and the like.
  • Open and timely discussion with the Faculty Mentor regarding all facets of the Postdoctoral Appointee's research activities. Postdoctoral Appointees are encouraged to consult the AAMC Compact Between Postdoctoral Appointees and Their Mentors and the AAMC Appropriate Treatment of Research Trainees document for suggested guidelines for the Postdoctoral Appointee-Mentor relationship.
  • Prompt disclosure to the Mentor regarding the possession and desire to distribute materials, reagents, software, copyrightable and potentially patentable discoveries derived from the Postdoctoral Appointee's research.
  • Collegial conduct towards members of the research group and others as described in the Duke University School of Medicine Honor Code of Professional Conduct, AAMC Appropriate Treatment of Research Trainees, and other relevant conduct policies pertaining to other schools at Duke University.
  • Compliance with Duke’s Workplace Expectations & Guidelines.
  • Compliance with all applicable policies and procedures of the University and the department/responsible unit.

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SECTION 4: EXPECTATIONS OF MENTORS

  • Provide mentoring with an emphasis on development of independence including providing detailed advice and assistance on the development of a specific research project. Mentors have the responsibility of providing an educational experience that helps advance the career of the Postdoctoral Appointee. Mentors are encouraged to consult AAMC Compact Between Postdoctoral Appointees and Their Mentors and the AAMC Appropriate Treatment of Research Trainees document for suggested guidelines for the Postdoctoral Appointee-Mentor relationship.
  • Mentors are required to provide a written evaluation of performance on a yearly basis. The postdoctoral appointee should provide his/her written input to this evaluation, and the mentor and the postdoctoral appointee should discuss the evaluation together. Mentors should use the evaluation form and tools from the Office of Postdoctoral Services, which are based on the Individual Development Plan (IDP). Copies of the annual evaluation will be maintained in the department or responsible unit as part of the departmental/responsible unit’s reappointment process.
  • If the Postdoctoral Appointee does not meet expectations for conduct and/or performance as set forth in Duke’s Workplace Expectations & Guidelines, the Mentor/department must follow Duke’s Standards of Conduct & Performance/Corrective Action Protocols.

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SECTION 5: APPOINTMENT POLICY AND PROCESSES FOR POSTDOCTORAL APPOINTEES

  • In all cases, it is strongly recommended that the initial postdoctoral appointment be for 1 year. In general, appointment renewals will be for 1 year, with the maximum total term of appointments for a Postdoctoral Appointee being 5 years.
  • This maximum term includes cumulative postdoctoral research experience. Extensions may be granted in extraordinary circumstances (e.g. family leave, illness) by the appropriate Dean in the case of professional schools and/or the Vice President for Research & Innovation. If a Postdoctoral Appointee has spent part of the training period at another institution or in another field, then the total time of training should not exceed 6 years, except in extraordinary circumstances.
    • Grandfathering of Term Limit: Postdoctoral Appointees who were appointed prior to the April 1, 2008 implementation date of this Policy will, subject to the annual renewal of such appointment, have a term limit of 3 more years (i.e., through March 31, 2011) or a term total of 5 years, whichever is greater, before the conclusion of their standing as a Postdoctoral Appointee.
  • Following the 5-year training period, a Postdoctoral Appointee must either be moved into a non-training position (e.g., Research Associate Senior, Research Scientist, Laboratory Research Analyst) or terminated. In the case of termination, notice shall have been given at least 90 days before the end of the 5-year training period.
  • An individual period of appointment should not exceed the period of time for which funding is guaranteed in the appointment letter (see Sections 6-A and 7-A for applicable sources of funding).
  • Candidates for postdoctoral positions should directly contact the Faculty Mentor and academic department or responsible unit in which the candidate is seeking the appointment. Upon acceptance, the Faculty Mentor, Department Chair, and/or Dean are responsible for sending a cosigned offer letter to the Postdoctoral Appointee. Departments/responsible units should use the standard appointment letter template from the Office of Postdoctoral Services. Generally, the appointment letter should be sent out three months prior to the start date of the appointment.
  • The offer letter should include:
    • Offer of postdoctoral position (specifying whether the appointment is as a Postdoctoral Associate, or as a Postdoctoral Scholar following the initial Postdoctoral Associate employment period), with title of mutually agreed-upon research project/area of research and Faculty Mentor's name.
    • The duties and responsibilities of the Postdoctoral Appointee, namely:
      • obligations and duties of the Postdoctoral Associate, or
      • expectations of the Postdoctoral Scholar.
    • The initial period of the appointment, with starting and ending dates.
    • The salary/stipend level, and the period of time for which funding is guaranteed, and a statement that support beyond this period is contingent upon the availability of research project funds.
    • Statement of eligibility for health insurance and other benefits.
    • (International candidates) Notification of visa and employment documentation requirements.
    • Copy of the Duke Postdoctoral Policy and the web address of the Office of Postdoctoral Services, https://research.duke.edu/postdoc/, where this and other information relevant to postdocs can be found.
    • Notification of orientation meetings and policies of the department and/or responsible unit.
    • Intellectual property policy and agreement (where applicable; enclosed for signature).
    • Request for proof of doctoral degree.
    • Request for candidate's signature and return of letter by given date.

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SECTION 6: POLICIES SPECIFIC TO POSTDOCTORAL ASSOCIATES (COMPENSATORY PAYROLL)

Section 6-A: Compensation for Postdoctoral Associates

  • The minimum salary or stipend for postdoctoral appointees (Postdoctoral Associates and Postdoctoral Scholars) starting in FY25 will be $62,000. The minimum will be reviewed annually by the appropriate senior leadership at Duke University, taking into consideration various factors. Recommendations for changes to the minimum salary/stipend will be shared with each school. Any change will be implemented on July 1 of each year.
  • Individual stipends and salaries should be set following the guidelines below:
    • Postdoctoral salaries depend upon multiple factors, including the field of research/scholarship, competitive salaries in academia, years of experience, and performance/productivity. Therefore, the minimum compensation represents a starting point, and postdoctoral appointees may have higher compensation than the minimum.
    • It is not typical for an individual to be hired at a salary substantially higher than the minimum, and the initial compensation decisions are dependent on the factors and circumstances of each case (e.g., years of experience, competitive academic compensation for the field of study, specialized skills and track record of productivity). However, exceptional candidates or those in especially competitive fields may be offered a higher salary than the Duke minimum. Written justification and specific evidence should be provided to the unit HR managers for salaries higher than $77,500. Any plan that involves compensation above $77,500 must be clearly documented and approved by the Dean (or their designee) of the relevant school.
  • Adjustments to postdoctoral salaries for July 1 should be made using the Salary Setting tool.
  • Prior to the commencement of each fiscal year, units should ensure that all postdoctoral appointees will be at or above the new minimum for that fiscal year, and that consideration is given to whether postdoctoral appointees should be provided with annual raises above any adjustments to the minimum based on years of service, productivity, and performance. The Duke staff merit pool is a helpful guide. Departmental/unit administrators should consider equity across their units while bearing in mind that faculty have some flexibility to pay postdocs higher based on the factors discussed above.
  • Clearly documented funding from all sources related to postdoctoral activities, including those outside Duke University (e.g., foreign country support), will be counted towards the established minimum; however, only the amount paid through the Duke University Compensatory Payroll may be counted towards meeting the FLSA requirements for exemption.
  • Fellowships from foreign countries shall be supplemented to equal the Duke minimum if allowed by the primary funding agency.
  • Postdoctoral Associates may not be “self-funded”. Funding for salary must come from Duke or from clearly documented external sources, not from the Postdoctoral Associate’s personal funds or savings.
  • Although not required, the following incentives are optional offers to make when hiring a postdoc:
    • Units may reimburse postdocs up to $2,000 for moving and relocation expenses in accordance with University and School guidelines. The use of sponsored research funds for moving and relocation expenses will be dependent on the terms and conditions of the award. At this time, this is not an allowable expense on most federal awards.
    • An annual travel allowance to attend professional conferences can be stipulated in the offer letter.
  • Faculty Mentors are required to provide a written performance evaluation on a yearly basis as part of their mentoring duties. The postdoctoral appointee should provide his/her written input to this evaluation, and the mentor and the postdoctoral appointee should discuss the evaluation together. Mentors may use the evaluation form and tools from the Office of Postdoctoral Services, which are based on the Individual Development Plan (IDP).
    • Each department or other unit is responsible for monitoring the annual review process.  As postdoctoral appointees are important members of Duke University’s research and scholarship missions, in addition to the annual performance review, it is important that postdoctoral appointees have regular communication with their faculty mentors on expectations, their performance meeting those expectations, their productivity, and their career goals.
    • If the Postdoctoral Associate does not meet expectations for conduct and/or performance, the faculty mentor/department must follow Duke’s Standards of Conduct & Performance/Corrective Action Protocols.

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  Section 6-B: Benefits for Postdoctoral Associates

Health and Insurance Benefits Enrollment for Postdoctoral Associates:

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Vacation, Sick, and Parental Leave for Postdoctoral Associates:

  • Vacation:
    • Vacation must be tracked by the department/responsible unit and the Faculty Mentor.
    • Postdoctoral Associates will accrue vacation at the rate of regular Duke University staff employees in Fringe Benefit Category 4 (3 weeks of vacation per year; 1.25 days per month).
    • Accrued vacation that has been properly tracked must be utilized before termination of employment or transfer to the non-compensatory payment system.
    • Postdoctoral Associates employed on a 12-month basis accrue vacation from the first day of employment on a prorated basis.
    • Number of discretionary days and paid holidays will match that of the staff in the relevant school of the University (the split of d-days and holidays is typically different between the School of Medicine and the rest of the University schools).
    • Unutilized vacation carries over from year to year, but a Postdoctoral Associate may not accrue more than 20 days.
    • Accrued vacation will be carried over if the Postdoctoral Associate changes laboratories or departments/responsible units.
    • There is no reimbursement for unutilized vacation upon termination or transfer to the non-compensatory payment system.
  • Sick Leave:
    • Sick leave must be tracked by the department/responsible unit and the Faculty Mentor.
    • Postdoctoral Associates accrue 12 sick days per year (1 day per month).
    • Unutilized sick leave carries over from year to year, and may be accrued without limit.
    • Accrued sick leave will be carried over if the Postdoctoral Associate changes laboratories or departments/responsible units. However, if a Postdoctoral Associate on the compensatory payroll switches to the non-compensatory payment system, accrued sick leave will not carry over.
    • There is no reimbursement for unutilized sick leave upon termination or transfer to the non-compensatory payment system.
  • Parental Leave:
    • The parental leave policy is equivalent to the staff leave policy.
    • A Postdoctoral Associate who has been employed at Duke University for at least 12 months (need not be consecutive), and has worked at least 1250 hours during the preceding 12 months, is eligible for FMLA leave.
  • Grandfathering of Vacation and Sick Leave:
    • Postdoctoral Associates who were appointed prior to the April 1, 2008 implementation date of this Policy will maintain the time they have tracked through their departments/responsible units (vacation accrual not to exceed 20 days).
    • If a Postdoctoral Associate has not tracked his/her time through the department/responsible unit, he/she should contact the business manager of the department and/or responsible unit and the Office of Postdoctoral Services to determine allowable vacation and sick leave.
    • Designated holidays will match the existing School of Medicine or Campus schedule.

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Retirement Plan Eligibility for Postdoctoral Associates:

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Other Benefits Eligibility for Postdoctoral Associates:

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Section 6-C: Termination and Resignation Policies for Postdoctoral Associates

  • A Postdoctoral Associate may have his or her appointment ended at any time during the appointment if he or she is found to have violated the expectations set forth in Section 3 above [eg, Research Misconduct; Harassment].
  • Postdoctoral Associates must receive 90 days written notice if the funding supporting the appointment ends or in the case of non-renewal.
  • Postdoctoral Associates must receive 90 days written notice if performance is judged to be unsatisfactory. If the Postdoctoral Associate does not meet expectations for conduct and/or performance as set forth in Duke’s Workplace Expectations & Guidelines, the Mentor/department must follow Duke’s Standards of Conduct & Performance/Corrective Action Protocols.
  • Postdoctoral Associates are eligible for the Duke University Dispute Resolution Process.
  • The Mentor should discuss all involuntary terminations in advance with the Chair or Dean of the department/responsible unit. If the Postdoctoral Associate is an International, involuntary termination must also be coordinated with the Duke Visa Services prior to giving written notice.
  • Upon termination or resignation, Postdoctoral Associates are not eligible for severance pay, nor are they eligible to be paid out for accrued vacation or sick leave.
  • A Postdoctoral Associate who resigns his or her appointment is expected to provide at least 30 days written notice to the Mentor.

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Section 6-D: Dispute Resolution Policy for Postdoctoral Associates

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SECTION 7: POLICIES SPECIFIC TO POSTDOCTORAL SCHOLARS (NON-COMPENSATORY PAYMENT SYSTEM)

Section 7-A: Stipend for Postdoctoral Scholars

  • Before moving a Postdoctoral Associate to a Postdoctoral Scholar position, the terms of the funding agency should be carefully reviewed to determine whether the postdoctoral appointee will receive a salary or stipend. Unless the funding terms specify that only a stipend will be provided for the postdoctoral appointee (as is specifically the case with NIH NRSA awards), the appointee should remain on the compensatory payroll. In support of this change, only Postdoctoral Scholars who are funded by NIH NRSA F32/T32 awards should be transitioned to the non-compensatory payment system.  All others should be paid as employees unless the funding terms require otherwise. (One exception is noted: if a Postdoctoral Scholar-Paid-Direct is receiving a stipend payment and/or an insurance stipend, the non-compensatory payment system should also be used. Please see the final section of the postdoctoral policy, Policies Specific to Paid-Direct Candidates for Postdoctoral Appointment, for more information on paid-direct appointments). 
  • Questions about the necessity of moving a Postdoctoral Associate to a Postdoctoral Scholar position should be directed to the HR Management Center, Corporate Payroll, or Molly Starback, Director of Duke Postdoctoral Services.
  • The minimum salary or stipend for postdoctoral appointees (Postdoctoral Associates and Postdoctoral Scholars) starting in FY25 will be $62,000. The minimum will be reviewed annually by the appropriate senior leadership at Duke University, taking into consideration various factors. Recommendations for changes to the minimum salary/stipend will be shared with each school. Any change will be implemented on July 1 of each year.
  • Payment Method: The Postdoctoral Scholar receives a stipend from an NIH NRSA Training Grant. The Postdoctoral Scholar’s stipend is paid through the Duke University Non-Compensatory Payment System.
    • As of July 1, 2021, a stipend augmentation, or "top up", will be provided to Postdoctoral Scholars' individual stipends to mitigate the tax impact of deductions made post-tax. The "top up" must be added to the Postdoctoral Scholar's base pay - it does not count towards the stipend minimum. The expectation is this stipend augmentation will be provided from the primary mentor's available funds; and if not available to the primary mentor, the department chair should determine the funding source.
  • When Postdoctoral Scholars are converted to a zero rate of pay, their hours and contract must be changed to an ineligible status.
  • Subject to the terms of their funding agency, Postdoctoral Scholars paid through the Duke University Non-Compensatory Payment System may receive additional monetary augmentation to their stipends through the Non-Compensatory Payment System to help defray expenses, provided there is no work required for this stipend augmentation. Principal Investigators wishing to provide Postdoctoral Scholars with noncompensatory stipend augmentation must fill out the Verification of Additional Stipend Augmentation Form certifying that there is no work required for this monetary augmentation.
  • Per NIH regulations (Section 11.2.10.2 Compensation), Kirschstein-NRSA fellows may seek part-time employment incidental to their training program to further offset their expenses. Funds characterized as compensation may be paid to fellows only when there is an employer-employee relationship, the payments are for services rendered, and the situation otherwise meets the conditions for compensation of students as detailed in “Cost Considerations-Selected Items of Cost-Salaries and Wages-Compensation of Students.” In addition, compensation must be in accordance with organizational policies applied consistently to both federally and non-federally supported activities and must be supported by acceptable accounting records that reflect the employer-employee relationship agreement. Under these conditions, the funds provided as compensation (salary, fringe benefits, and/or tuition remission) for services rendered, such as teaching or laboratory assistance, are not considered stipend supplementation; they are allowable charges to Federal grants, including PHS research grants. However, NIH expects that compensation from research grants will be for limited part-time employment apart from the normal training activities. Compensation may not be paid from a research grant that supports the same research that is part of the fellow’s planned training experience as approved in the Kirschstein-NRSA individual fellowship application. Under no circumstances may the conditions of stipend supplementation or the services provided for compensation interfere with, detract from, or prolong the fellow’s approved Kirschstein-NRSA training program. Fellowship sponsors must approve all instances of employment on research grants to verify that the circumstances will not detract from or prolong the approved training program. Principal Investigators wishing to compensate Postdoctoral Scholars for limited part-time employment must fill out the Verification of Compensatory Payment Form, certifying that the work performed for compensation is not related to, and does not interfere with, the Postdoctoral Scholar’s NRSA training.
  • All Kirschstein-NRSA fellows (individual fellowships), and trainees (institutional training grants) are required to pursue their research training full time.  Full-time is generally defined as devoting at least 40 hours per week to research training activities, or as specified by the awardee institution in accordance with its own policies. Beyond the full-time training, NIH recognizes that Kirschstein-NRSA fellows and trainees may engage in part-time employment incidental to their training.  Fellows and trainees may spend on average, an additional 25% of their time (eg, 10 hours per week) in part time research, teaching, or clinical employment, so long as those activities do not interfere with, or lengthen, the duration their NRSA training.  (See NIH Grants Policy Statement, Section 11.2.10.2 and 11.3.10.2, for more details.)
  • Subject to the terms of the funding agency, Postdoctoral Scholars paid through the Duke Non-Compensatory Payment System may be paid externally to Duke.
  • Faculty Mentors are required to provide a written performance evaluation on a yearly basis as part of their mentoring duties. The postdoctoral appointee should provide his/her written input to this evaluation, and the mentor and the postdoctoral appointee should discuss the evaluation together. Mentors may use the evaluation form and tools from the Office of Postdoctoral Services, which are based on the Individual Development Plan (IDP).
    • Each department or other unit is responsible for monitoring the annual review process.  As postdoctoral appointees are important members of Duke University’s research and scholarship missions, in addition to the annual performance review, it is important that postdoctoral appointees have regular communication with their faculty mentors on expectations, their performance meeting those expectations, their productivity, and their career goals.
  • Tax Information for Postdoctoral Scholars:
    • The IRS and the North Carolina Department of Revenue require that Duke University report all non-compensatory payments issued to Postdoctoral Scholars. Although mandatory income tax withholding is not a requirement for US residents for tax purposes, Postdoctoral Scholars may elect to have income taxes deducted from each payment.
    • Since income tax withholding requirements vary according to individual circumstances, it is strongly recommended that all Postdoctoral Scholars consult the IRS and/or a tax professional to understand the tax implications (income and FICA) of their fellowship payments, as well as any additional funding sources. Because interpretation of tax laws is the domain of the IRS, Duke takes no position on what an individual’s tax status may be, and Duke does not have the authority to dispense tax advice to Postdoctoral Scholars.
    • Postdoctoral Scholars who are nonresidents for US tax purposes must comply with the federal and state withholding requirements specific to their type of non-compensatory payment. Additional information is available on the Foreign National Payments section of the Corporate Payroll Services website.

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Section 7-B: Non-Salary Coverage for Postdoctoral Scholars

Health and Insurance Enrollment for Postdoctoral Scholars:

  • As former University employees, Postdoctoral Scholars are eligible to enroll in health, dental, vision, and the basic life insurance plan provided by the University.
    • 100% of the funding for health insurance for the individual Postdoctoral Scholar’s coverage is guaranteed. Funding for this individual coverage for health insurance will come first from the Institutional/Insurance Allowance to the full extent allowable. If supplementation is necessary, the decision of how to allot such funding will be at the discretion of each School, with payment coming either from the Principal Investigator, the department/responsible unit, or the Dean.
    • The University contribution to funding for health insurance for dependents will be the same as the University contribution to staff dependent coverage. Funding for this portion of dependent coverage for health insurance will come first from the Institutional/Insurance Allowance to the full extent allowable. If supplementation is necessary, the decision of how to allot such funding will be at the discretion of each School, with payment coming either from the Principal Investigator, the department/responsible unit, or the Dean.
    • Since Postdoctoral Scholars are not employees, all deductions for health insurance will be post-tax.
      • As of July 1, 2021, a stipend augmentation, or "top up", will be provided to Postdoctoral Scholars' individual stipends to mitigate the tax impact of deductions made post-tax. The "top up" must be added to the Postdoctoral Scholar's base pay - it does not count towards the stipend minimum. The expectation is this stipend augmentation will be provided from the primary mentor's available funds; and if not available to the primary mentor, the department chair should determine the funding source.

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Personal Time for Postdoctoral Scholars:
Postdoctoral Scholars may take personal time as defined below during their appointment. However, Postdoctoral Scholars should note that in all instances terms of the funding agency take precedence over the Duke Postdoctoral Policy.

  • Number of allowable days of absence for personal reasons shall generally not exceed 41 days per fellowship year (prorated should the fellowship period be less than one year). This number of days corresponds to the temporal distribution of leave for Postdoctoral Associates: in a typical year, 15 vacation days, 12 sick days, and 14 holidays and discretionary days as observed by the relevant school of the University.
  • Days of absence shall be coordinated with the Mentor to take place at a mutually agreeable time.
  • Unutilized days of absence do not accrue from year to year, and will not be carried over if the Postdoctoral Scholar changes laboratories or departments/responsible units.
  • Upon termination or transfer to a Postdoctoral Associate position, a Postdoctoral Scholar will not be paid out for unused days of absence.
  • As of July 1 2019, when Postdoctoral Associates (employee) transfer to Postdoctoral Scholar (non-employee), they will ‘bank’ their unused vacation. Accrued vacation and sick leave balances will remain in the system in the event the Postdoctoral Scholar returns to the Postdoctoral Associate position on the compensatory payroll. No additional time off accruals will be applied to these balances during the transition to Noncomp.
  • Effective March 2018, NIH posted a Summary of Leave, Part-Time, and Extension Policies available to Ruth L. Kirschstein National Research Service Awards (NRSA) Trainees and Fellows (eg, F32 and T32 recipients). This notice clarifies policies on part-time training, leave (vacation, holiday, sick, parental, unpaid leave of absence), and requests for extensions of an award or appointments due to interruptions in training. The notice is applicable to graduate and postdoctorate trainees and fellows supported by Ruth L. Kirschstein National Research Service Award (NRSA) research training grants or individual fellowships.
  • Parental Leave for NIH NRSA F32 and T32 Recipients:  NRSA trainees and fellows may continue to receive stipends for up to 60 calendar days (8 work weeks) of parental leave per year for the adoption or birth of a child.  Either or both parents are eligible for such leave, but the institution and/or the supervisor must be notified in advance according to organizational policies.  The use of parental leave requires approval by the fellowship sponsor or the PD/PI of the training grant. For more information on NIH Family-Friendly Initiatives for NIH NRSA F32/T32 recipients, see https://grants.nih.gov/grants/policy/nih-family-friendly-initiative.htm
  • Childcare Costs for NIH NRSA F32 and T32 Recipients: NIH recognizes that the high cost of childcare impacts post-doctorates funded through NRSA fellowships, and their ability to successfully complete their training and fully participate in the extramural research workforce. Each full-time NIH-NRSA-supported fellow is eligible to receive funds per budget period for costs for childcare provided by a licensed childcare provider. Childcare costs are permitted for dependent children living in the eligible fellow’s home from birth under the age of 13, or children who are disabled and under age 18. Childcare costs do not apply to elder or non-child dependent care costs. NIH began providing childcare cost support to full-time postdoctoral trainees appointed on NRSA institutional research training awards for awards made beginning in Fiscal Year 2022.
  • Because they are not Duke University employees, Postdoctoral Scholars are not eligible for FMLA leave through Duke University. However, Postdoctoral Scholars should check the terms of their funding agency to determine if they are eligible for leave through the agency.
  • Grandfathering of Personal Time: Postdoctoral Scholars who were appointed prior to the April 1, 2008 implementation date of this Policy will maintain the time they have tracked through their departments/responsible units.

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Retirement Plan Eligibility for Postdoctoral Scholars:

  • Because they are not Duke University employees, Postdoctoral Scholars are not eligible to participate in the Duke Faculty and Staff Retirement Plan.
  • However, effective January 1, 2024, Postdoctoral Scholars will receive an additional supplemental stipend intended to provide these scholars with additional financial support so that they can better secure their short and long term financial and savings needs. The contribution will begin for Postdoctoral Scholars effective January 1, 2024. There is no waiting period for the contribution.
  • This supplemental stipend of $2,900 per year will be paid monthly through the non-compensatory payment system, and is in addition to the stipend augmentation for medical insurance tax mitigation that became effective July 1, 2021. This supplement is specifically for those Postdoctoral Scholars who receive their stipend through Duke (ie, NIH NRSA T32 or F32 recipients). The expectation is this stipend augmentation will be provided from the primary mentor's available funds; and if not available to the primary mentor, the department chair should determine the funding source. Federal awards cannot be used as the source of the stipend supplement. Scholars that are paid directly from another entity (eg, their compensation does not route through Duke University) are not eligible for the supplemental stipend at this time.
  • This supplemental stipend may be processed using the Stipend Augmentation Form found at the Office of Postdoctoral Services website. A copy of the stipend augmentation form should be submitted to Corporate Payroll along with the Non-Compensatory Payment Form. As a general rule, the stipend augmentation should run concurrently with the dates of the fellowship. If you have questions about processing the stipend augmentation form, please email Sarah G Lee in Corporate Payroll at sarah.g.lee@duke.edu
  • The stipend augmentation for medical insurance tax mitigation and the additional supplemental stipend should be processed as two separate lines on the iForm.
  • Postdoctoral Scholars who are eligible for this supplemental stipend may wish to consult their financial institution or a financial planner for advice on their personal financial situation and potential avenues for savings.  
  • Departmental staff and Postdoctoral Scholars who have questions related to the supplemental stipend may email Molly Starback, Director of Duke Postdoctoral Services, at molly.starback@duke.edu.

Other Enrollment Eligibility for Postdoctoral Scholars:

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Section 7-C: Termination and Resignation Policies for Postdoctoral Scholars

  • A Postdoctoral Scholar may have his or her appointment ended at any time during the appointment if he or she is found to have violated the expectations set forth in Section 3 above [eg, Research Misconduct; Harassment].
  • A Postdoctoral Scholar may have his or her appointment ended with 90 days written notice if the funding supporting his or her appointment ends or in the case of non-renewal.
  • Postdoctoral Scholars are expected to comply with Duke’s Workplace Expectations & Guidelines. Although Postdoctoral Scholars are not Duke employees, if a Postdoctoral Scholar does not meet expectations for conduct and/or performance, the Mentor/department may wish to use Duke’s Standards of Conduct & Performance/Corrective Action Protocols as a corrective action guideline.
  • The Mentor should discuss all involuntary terminations in advance with the Chair or Dean of the department/responsible unit, and/or member of the administration experienced in postdoctoral education. If the Postdoctoral Scholar is an International, involuntary termination must also be coordinated with the Duke Visa Services prior to giving written notice.
  • Upon termination, a Postdoctoral Scholar is not eligible for severance pay.
  • Since Postdoctoral Scholars are not Duke University employees, they are not eligible for the Duke University Dispute Resolution Process.
  • A Postdoctoral Scholar who resigns his or her appointment is expected to provide at least 30 days written notice to the Mentor.

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Section 7-D: Appeal Policy for Postdoctoral Scholars

This section covers Unfair Treatment. Note that issues such as sexual harassment, creation of a hostile work environment, or discrimination based on race, color, gender, religion, ethnic or national origin, age, disability, or sexual orientation are subjects of separate University policies and therefore are not considered as grievance situations within the scope of this policy. These issues are covered by the Duke Office for Institutional Equity. Postdoctoral Scholars should contact the Duke Office for Institutional Equity for information on specific policies and procedures relating to these issues.

  • Postdoctoral Scholars are expected to comply with Duke’s Workplace Expectations & Guidelines. Although Postdoctoral Scholars are not Duke employees, if a Postdoctoral Scholar does not meet expectations for conduct and/or performance, the Mentor may wish to use Duke’s Standards of Conduct & Performance/Corrective Action Protocols as a corrective action guideline.
  • Since Postdoctoral Scholars are not Duke University employees, they are not eligible for the Duke University Dispute Resolution Process.
  • Unfair Treatment: A Postdoctoral Scholar who believes that he or she has been treated unfairly should first discuss the problem with the Faculty Mentor and/or the Chair of the department/responsible unit. Each school should designate a faculty member, or member of the administration experienced in postdoctoral education, whose duties are to serve as a resource to the Postdoctoral Scholar in addressing and resolving grievances. If a resolution cannot be reached at the level of either the department/responsible unit or through the efforts of the designated resource person, the Postdoctoral Scholar should present the grievance to the Dean for informal evaluation and, as necessary, adjudication. The determination by the Dean is the final step in the grievance process.

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ADDENDUM 1: POLICIES SPECIFIC TO PAID-DIRECT CANDIDATES FOR POSTDOCTORAL APPOINTMENT

EFFECTIVE APRIL 1, 2009

A small percentage of candidates for postdoctoral appointment are paid directly from an external agency or foreign government and do not receive salary or stipend through the Duke University Compensatory Payroll or the Duke University Non-Compensatory Payment System.

An appointment may be made in the title of ‘Postdoctoral Scholar-Paid Direct’ when the candidate has been awarded a fellowship or traineeship by such an external agency, and the agency pays the fellowship or traineeship directly to the candidate, rather than through the University.

An appointment as Postdoctoral Scholar-Paid Direct may only be made when a candidate meets the postdoctoral stipend requirements as outlined below in Addendum Section 1-A, “Stipend for Postdoctoral Scholars-Paid Direct”, and, if Duke health insurance coverage is desired, the requirements outlined in Addendum Section 1-B, “Health Insurance Enrollment for Postdoctoral Scholars-Paid Direct”.

Purpose of Appointment: An individual appointed as a Postdoctoral Scholar-Paid-Direct participates in a research training program for the principal purpose of developing his/her research skills for his/her primary benefit. The activities of the individual in this role do not constitute performance of services (i.e., work). Therefore, the Postdoctoral Scholar-Paid Direct acting within the terms of such an award does not have an employer-employee relationship with the University.

Appointment Policy and Processes for Postdoctoral Scholars-Paid Direct: The appointment process is the same for the Postdoctoral Scholar-Paid Direct as for other Duke University Postdoctoral Appointees. The initial appointment must be for 9 months or greater. Appointment letters must clearly specify the source and amount of the candidate’s funding.

Payment Method: The Postdoctoral Scholar-Paid Direct receives a stipend from a fellowship or traineeship awarded directly to her/him.

Non-Salary Coverage: Individuals with a Postdoctoral Scholar-Paid Direct designation are not Duke University employees. However, if an appointment is made as Postdoctoral Scholar-Paid Direct, Section 7 of the Duke Postdoctoral Policy, “Policies Specific to Postdoctoral Scholars” will apply, with the restrictions outlined below in Addendum Section 1-B.

Note that external funding agencies may have their own policies governing participation in their programs. The policies of the external agency always take precedence over the Duke University Postdoctoral Policy.

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Addendum Section 1-A: Stipend for Postdoctoral Scholars-Paid-Direct

In order to be eligible for appointment as a Postdoctoral Scholar-Paid Direct, the candidate's funding must meet the postdoctoral stipend minimum outlined in Section 7-A of the Duke Postdoctoral Policy.

  • Some paid-direct candidates for postdoctoral appointment may not have the requisite external funding to meet the Duke postdoctoral stipend minimum. In such cases, if postdoctoral appointment is desired, the Faculty Mentor must provide stipend augmentation to bring the candidate up to the postdoctoral stipend minimum. No compensatory work may be required for such augmentation. Compensatory work is defined as work that primarily benefits Duke, and is distinguished from work or effort that primarily benefits the individual and advances his or her training.
  • Faculty Mentors may only provide stipend augmentation for paid-direct candidates from non-federal (i.e., unrestricted) funds.
  • If the Postdoctoral Scholar-Paid-Direct is receiving a stipend payment and/or an insurance stipend, the non-compensatory payment system should be used.
  • If the candidate’s external funding does not meet the postdoctoral stipend minimum and the Faculty Mentor declines to provide stipend augmentation, the candidate is not eligible for postdoctoral appointment and must default to Visiting Scholar or similar status.

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Addendum Section 1-B: Non-Salary Coverage for Postdoctoral Scholars-Paid Direct

Health Insurance Enrollment for Postdoctoral Scholars-Paid Direct:

In order to be eligible for enrollment in the health insurance plans provided by the University, candidates for Postdoctoral Scholar-Paid Direct status must meet all of the following requirements:

  1. If the candidate has not previously been employed by Duke, the Faculty Mentor must be willing to provide salary for the candidate to spend a minimum of 30 days on the Duke University Compensatory Payroll to establish Duke employee status. If the Faculty Mentor declines to provide salary for a minimum of 30 days, the candidate is not eligible for postdoctoral appointment and must default to Visiting Scholar or similar status.
  2. Immigration status and eligibility for work authorization for this minimum 30-day period must be confirmed with Duke Visa Services. If the candidate is not eligible for work authorization, the candidate is not eligible for postdoctoral appointment and must default to Visiting Scholar or similar status.
  3. The Faculty Mentor must be willing to pay the entire cost of health insurance for the entire period of appointment through the Duke University Non-Compensatory Payment System. The level of coverage and type of Duke insurance plan will be selected at the Mentor’s discretion. The cost of insurance must be grossed up to provide the candidate the full insurance benefit and to offset tax withholding requirements, unless the candidate is eligible for tax treaty benefits. Candidates for Postdoctoral Scholar-Paid Direct status should note that this insurance cost will be included in taxable income, and that the benefit deductions will be withheld on a post-tax basis. If the Faculty Mentor declines to provide the entire cost of insurance, the candidate is not eligible for Duke health insurance.
  4. If the Postdoctoral Scholar-Paid-Direct is receiving a stipend payment and/or an insurance stipend, the non-compensatory payment system should be used.

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Retirement Plan Eligibility for Postdoctoral Scholars-Paid Direct:

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Other Enrollment Eligibility for Postdoctoral Scholars-Paid Direct:

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Duke Office of Postdoctoral Services
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Office of Postdoctoral Services - Policies