Department of Medicine Professoriate and Non Professoriate Actions Training May 12, 2011

1. Department of Medicine Professoriate and Non Professoriate Actions Training May 12, 2011

2. Presenters • Azadeh Jorgensen • Gretchen Picache

3. Why Training? • Low departmental performance in Faculty Affairs Area (Too many appointment extensions, acting appointments) • Not a lot of consistency, and not enough communication and collaboration intra-departmentally and among our divisions • Brainstorm new ideas on how to make our processes more efficient and effective • Effective use of our web site (Updated)

4. Agenda • A Quick View of Review & Approval Layers • Searches / Search Waivers - New Appointments • Long Forms– New Appointments, Reappointments and Promotions • Visiting / Consulting / Emeritus Recalls • Web Sites’ Tours, Timelines & Other Resources DOM Faculty AffairsSOM Academic Affairs Stanford Faculty Handbook Azadeh Jorgensen

5. Agenda (Cont…) • Gretchen Picache • Clinician Educators / Clinician Educators (Affiliated) • Instructors / Instructors Affiliated • ACF • Reminders, Best Practices & Updates • Streamlining Efforts

6. Agenda (Cont…) Lunch Break • Q & A • Quiz • Evaluation

7. Long Form Review & Approval Layers The Provost seeks commentary from two Advisory Board members for MCL actions conferring a continuing term (reappointment or promotion to full Prof). These files do not go to Ad Board meetings. There is no Ad Board involvement at all in MCL actions conferring a fixed term. • University • President • Advisory Board • Provost • School • Dean • Appointments and Promotions (A&P) Committeeor Assistant Professors Review CommitteeSenior Associate Dean • Department • Division Chiefs • A&P • Division • Division Faculty • Evaluation Committee

8. Other Review & Approval Layers • Search reports are initially approved by the divisional search committee, signed by DOM Chair, and then approved by the School (Senior Associate Dean for Academic Affairs). • Search Waivers are approved by DOM Chair, the School (Sr. Assoc Dean & Dean), and finally by Provost. • Emeritus appointments are approved by DOM Chair, the School (Sr. Assoc Dean), and are sent to Provost. • Visiting / Consulting appointments are approved by DOM Chair and then the School (Sr. Assoc Dean).

9. MCL vs. UTL vs. NTLR MCL • Excellence in the overall mix of contributions in clinical care, teaching, and scholarship that advances the field of clinical medicine. UTL • Major commitment to research and teaching, with leadership in a broad field of research. Clinical care possible. NTLR • Fills a particular programmatic need with special expertise in a relatively narrow field that is of particular benefit to a broader clinical or research program. Major commitment to research; clinical care possible.

10. Searches / Search Waivers • Both for New Appointments • Searches: the Search Report and Draft Offer Letter Package is approved by DOM chair, and then by the School. Long Form assembly begins right after. • Search Waivers: the Waiver of Search is approved by DOM chair, and both the School and Provost. The Draft Offer Letter Package is assembled next. Long Form assembly begins right after. • Comprehensive - Searches, Search Waivers and Long Forms (DOM)http://domrg.stanford.edu/faculty_affairs/Appointments_Searches.html • For Searches and Draft Offer Letters: http://med.stanford.edu/academicaffairs/administrators/orientation/searches_offers.html • For Search Waivers: http://med.stanford.edu/academicaffairs/facultysearch/special.html#2

11. Long Forms Who Does What? • Division Faculty Affairs Staff Member • Liaison with Department Faculty Affairs. • Works with candidate to obtain all materials required & to finalize the CV. • Works with Division Chief to finalize referee grid. • Solicits referee letters and tracks responses. • Gathers teaching and clinical evaluations for all faculty, as well as transcripts for new Assistant Professors. • Provides Source of Salary Support (SOSS) form for new appointments(submitted with draft offer letter), and promotions (submitted with the long form)(Prepared by the division manager with the help of DFA.). • Collects, organizes and keeps current all portions of the long form.

12. Referee Grid and Supporting Materials • Referee / Comparison Peers Info • CV • Candidate’s Statement • Sample Solicitation LettersBased on some recent discussions with the University, School requires that you do NOT consult the candidate re: comparison peers. The peers should be selected by a knowledgeable senior faculty member - typically the division chief and/or faculty lead for the long form (It is also recommended that you NOT ask the candidate for more than three to five suggestions for referees).

13. Long Forms Who Does What? (Cont…) • Candidate • Provides up-to-date curriculum vitae. • Provides Candidate’s Statement. • Suggests potential referees (with input normally limited to three-five names; candidates do NOT have input regarding comparative peers). • Provides list of trainees. • Provides five articles, for reappointments or promotions to Associate and full Professor levels (Normally, 2 -3 of these are cited in Description of Candidate’s Role – Under Scholarship section). • Provides however many articles cited in Scholarship section of Candidate’s Role, noting favorite, for all Assistant Professor actions (DOM’s requirement).

14. Long Forms Who Does What? (Cont…) • Department of Medicine Faculty Affairs • Knowledge source for all Faculty Affairs information. • Liaison for Divisions, Chair, Departmental Committees and School of Medicine Academic Affairs. • Manages long forms through entire review process. • Critically reviews and edits long forms, and works with Division and School to address revisions / questions. • Advises Divisions of upcoming Appointments and Promotions actions. • Arranges Chair, DOM A&P and division chiefs’ review of long forms.

15. Long Forms Who Does What? (Cont…) • Division Chief (DC) • Determines action in compliance with appropriate criteria (e.g., reappointment • or promotion).* • Appoints search or evaluation committee members.* • Assumes overall responsibility for integrity of the search or evaluation process.* • Selects external and internal referees (input from candidate limited to suggesting a short list) and trainees for letter solicitation.* • Selects comparative peer set (if applicable).* • Authors (or delegates authorship to an appropriate senior faculty member) the section of the long form on the “Candidate’s Role,” including scholarly work, teaching and clinical activities (as applicable). • Authors “Evaluation of the Candidate” long form section (in some cases, this section of the long form will be the report from the A&P Committee or divisional evaluation committee).

16. Long Forms Who Does What? (Cont…) • Division Chief (DC) (Cont…) • With assistance from divisional/departmental staff, oversees the collection and summarizing of teaching (and, if applicable, clinical) performance evaluations. • Authors draft counseling memorandum (if applicable). • Considers recommendations from the Office of Academic Affairs to strengthen the quality of the proposed action. • Applies appropriate criteria to reach a recommendation on the appointment, reappointment or promotion based on the evidence gathered. • Authors transmittal memorandum, which should address any negative issues in • the long form and explain the rationale for the department chair’s positive (or negative) recommendation.* • Assumes overall responsibility for confidentiality of the process, timeliness of action and quality of evidence submitted in the long form.* • * While some duties may be delegated to the division chief or faculty lead, the • department chair has ultimate responsibility for these tasks.

17. Long Forms Who Does What? (Cont…) • Department Chair (Dr. Boxer) and Vice Chair for Faculty Affairs (Dr. Hoffman) • Work directly with division chiefs, department’s A&P committee and candidates on A&P matters (Drs. Boxer and Hoffman). • As needed, works with Division Chief to craft cover memo (Dr. Boxer). • Critically reviews all referee grids, solicitation letters, and long forms (Dr. Hoffman). • Signs off on final draft of long form (Dr. Boxer).

18. Long Forms Who Does What? (Cont…) • Department A&P Committee • Primary and secondary reviewers - read and present long forms. • Advises Department Chair and Division Chief of committee’s findings. • Critically reviews all long forms. • Understands the criteria and expectations for application of criteria for appointment, reappointment and promotion as outlined in Chapter 2 of the School of Medicine Faculty Handbook. • Determines the relative weight to be given to information and opinions gathered and exercises its independent judgment within the context of School guidelines. • When appropriate, requests additional information to inform recommendation. • Votes on the action and provides a recommendation to the department chair. • In some departments, authors the “Evaluation of the Candidate” section of the long form.

19. Long Forms Who Does What? (Cont…) • DOM Division Chiefs’ Committee • Reviews CVs and Candidate’s Evaluation for all long forms. • Primary reviewer, and division chief reviews and presents long form. • Votes on all files. • Recommends revisions and requests additional information as needed.

20. Visiting Scholar • Visiting Scholars are expected to have completed a  doctoral degree and have some expertise from which Stanford will benefit during their visit. In rare cases, individuals without doctoral degrees may be appointed as Visiting Scholar, for example, if the individual is in a field or specialty in which a master's degree is the terminal degree. These exceptions must be approved in advance by the Senior Associate Dean for Academic Affairs. • Appointments are usually made for one year and may be renewed for a second year. (exceptions may be made.) • Must be employed or in postdoctoral training program outside Stanford. • They are not employees of the University and may not receive regular compensation, but must provide proof of outside funds in an amount equivalent to or greater than the current first-year postdoctoral stipend($42,223/year or $3518/month). • http://med.stanford.edu/academicaffairs/other/visiting-scholars.html(Checklists) • http://med.stanford.edu/academicaffairs/handbook/chapt9.html(Handbook Chapter)

21. Visiting Faculty • Hold a doctoral degree and a faculty appointment at another institution. • Wish to visit Stanford while on leave from their home institution. • May be paid or unpaid by Stanford, and must provide proof of leave from home institution for dates requested . • Appointed for one year, renewable once. • http://med.stanford.edu/academicaffairs/other/visiting-faculty.html(Checklists) • http://med.stanford.edu/academicaffairs/handbook/chapt5.html#_Toc280260222(Handbook Chapter)

22. Visiting Instructor • May be engaging in postdoctoral study at Stanford through a program which is not an ACGME (Accreditation Council for Graduate Medical Education) – approved fellowship, for a year or less. • Visiting Instructors are not required to have a home institution, but they are expected to be “visitors,” in the sense that they plan to go on to another institution for further study at the end of their time at Stanford. • May be paid or unpaid. • Visiting Instructors are appointed for a period of no more than one year and no less than a month. • Their appointments are renewable up to a limit of two years. • Visiting Instructors shall hold a doctoral degree; if M.D.’s, they shall have finished residency training. • http://med.stanford.edu/academicaffairs/other/visiting-instructors-salary.html (Instructions, forms, and checklists – Visiting Instructors with Salary) • http://med.stanford.edu/academicaffairs/other/visiting-instructors-no-salary.html (Instructions, forms, and checklists – Visiting Instructors without Salary) • http://med.stanford.edu/academicaffairs/handbook/chapt5.html#_Toc280260229 (Handbook Chapter)

23. Postdoctoral Fellows (considered student category) • A Stanford POSTDOCTORAL SCHOLAR OR FELLOW is a trainee in residence at Stanford University pursuing advanced studies beyond the doctoral level in preparation for an independent career. • Postdoctoral Scholars or Fellows are appointed for a limited period of time and may participate on Stanford research. • projects and/or may be supported by external awards or fellowships. • Postdoctoral appointments may not exceed a total of five years for all combined years of institutional training. In cases of combined training, only the years of active research at the postdoctoral level will be counted for salary and other purposes. This maximum includes cumulative postdoctoral research experience. • Postdoctoral Scholars or Fellows are appointed at Stanford for fixed terms, by issuance of re-appointment letters (preferably of one year's duration each) that may total up to four years. • Postdoctoral Scholars or Fellows are expected to be appointed on a full-time basis (initial appointments must be for 100% FTE). • Appointments are generally restricted to those who have earned their Ph.D. within the last three years or their M.D. within the last six years. • Postdoctoral Scholars or Fellows at Stanford must be supported either by Stanford grants and contracts, training grants, departmental or School fellowship funds, or external fellowships, or by a combination of these sources. Postdoctoral Scholars may not be self-supporting. • http://rph.stanford.edu/9-4.html

24. Academic Staff ResearchResearch Associate • Working in a capacity which ordinarily requires a Ph.D. or its equivalent in research skill • and subject knowledge, a Research Associate is involved directly in the execution, and frequently the design, of a Principal Investigator's research activities. • His or her primary purpose is to assist the Principal Investigator (PI) in attaining the goals of the PI's sponsored research projects. • The work to be performed is at the level which ordinarily would require a doctoral degree or equivalent research skill and subject knowledge. • The qualifications of the candidate have undergone careful scrutiny. • A serious review has been undertaken of the professional qualifications of a candidate for a research associate position by others in the field besides the Principal Investigator. • University-wide equity is being maintained. • A thorough affirmative action search has been conducted or, if a search was not conducted, • that the requirements for an exception have been met. • http://rph.stanford.edu/9-1.html

25. Academic Staff ResearchSenior Research Scientist or Scholar • Individuals whose accomplishments reflect professional achievement and recognition considerably greater than that of a Research Associate may be appointed as Senior Research Scientist, Senior Research Engineer, or Senior Research Scholar, whichever is most appropriate to the nature of the individual's work. • Ordinarily individuals are promoted to senior positions from the ranks of Research Associates. • http://rph.stanford.edu/9-1.html

26. Visiting Scholar / Faculty (Visa Info) http://icenter.stanford.edu/scholars/atstanford/visa_overview.html(Overview of all visa types) http://icenter.stanford.edu/scholars/atstanford/j_process.html(Overview of J visas) (Bechtel) Visa Contact: Lynn Kroner, e-mail: lynn.kroner@stanford.edu, ext. 50890

27. Consulting Faculty • Consulting Faculty are individuals who hold a doctoral degree and are employed in business, industry, or government, or are retired from an academic institution, and who wish to visit Consulting appointments are generally for one year, renewable.  There is no limit on the number of times a Consulting Faculty member may be reappointed. • Consulting faculty may be paid or unpaid.  Honoraria are the characteristic payments, but occasionally salaries are paid. • http://med.stanford.edu/academicaffairs/handbook/chapt5.html#_Toc280260235 (Handbook Chapter) • http://med.stanford.edu/academicaffairs/other/consulting-faculty.html(Instructions, Forms and Checklists)

28. Emeritus Recalls • Faculty members who retire and gain emeritus status may be recalled to active duty, part-time or full time, for a year at a time. • Recall appointment recommendations should be initiated by the faculty member’s primary department and should be based on departmental needs that cannot otherwise be met by regular faculty. • Consideration must be given to an individual’s ability to carry out the proposed duties and the availability of existing space and other resources within the department. • A recall may be unpaid.

29. Emeritus Recalls (Cont…) • Faculty members retiring under the Faculty Retirement Incentive Plan may be recalled under the specific terms set forth in that plan (typically for two years at a time at 50% FTE). http://www.stanford.edu/dept/provost/frip/ • A faculty member may be recalled to serve in a unit other than his or her primary department; however, the primary department must approve the recall appointment. The primary department and the unit recalling the faculty member are responsible for ensuring the faculty member meets his or her obligations during the recall appointment. • http://med.stanford.edu/academicaffairs/other/emeritus-recall.html • (Checklists) • http://med.stanford.edu/academicaffairs/senior-faculty/retirement.html(Information and links to forms for faculty retirement)

30. Web Sites’ Tours, Timelines & Other Resources DOM Faculty Affairs(http://domrg.stanford.edu/faculty_affairs/)SOM Academic Affairs (http://med.stanford.edu/academicaffairs/) University Faculty Handbook http://med.stanford.edu/academicaffairs/handbook/chapt2.html

31. Clinician Educators (CE) and Clinician Educators (Affiliated) CE(A) Role & Criteria: • To provide excellent patient care and teach Stanford medical students, residents and/or fellows or have administrative duties which advance the missions of Stanford University Medical Center. Scholarly activity is not required. • Clinician Educators are employees of Stanford University. • Clinician Educators (Affiliated) are employed by hospitals with whom Stanford Hospital and Clinics have a contractual agreement. Appointment criteria, duration, evidentiary requirements and review processes are generally the same as those for Clinician Educators. For more information regarding Clinician / Educators, please refer to: Medical School Website: http://med.stanford.edu/academicaffairs/handbook/chapt8.html or Department of Medicine Website: http://domrg.stanford.edu/faculty_affairs/clinician_educators.html

32. CE & CE(A) Approval Process The CE A&P Committee reviews Clinical Assistant Professor, Clinical Associate Professor, and Clinical Professor and CE (Affiliated) equivalent ranks. Clinical Instructors and Clinical Instructor (Affiliated) appointments need Chair’s and Senior Associate Dean’s signature only. Department and School financial approval is only needed for Stanford-paid Clinician/Educators. The Medical Service Office requires notice of all appointments and departures, including for CE (Affiliated). • School • Senior Associate Dean – signature • Clinician Educator A&P Committee • Department • Department Chair - signature • A&P Committee for C/E • ACF and C/E(A) A&P Committee for C/E(A) • Division • Division Chief • Institution’s Department Chair -for C/E(A)s

33. C/E and C/E(A) Appointment Packets Reminders & Updates: • External vs Internal Referees – relative to candidate’s status • -  For initial appointments, individuals in his/her institution are considered internal; Stanford faculty and individuals everywhere else are considered external. • -  For reappointments and promotions. individuals at Stanford and at their home institution are then considered internal; individuals everywhere else are considered external • Weekly review for packets by ACF and C/E(A) A&P Committee (from monthly) • Official secondary affiliation with other Divisions possible • (green form and short memo required)

34. Instructors and Instructors (Affiliated) Role & Criteria: • Individuals who demonstrate interest in and potential for a successful academic career in investigation, teaching, and clinical care (as applicable). • There is no expectation of a Stanford professorial appointment following an Instructor appointment. • Instructors are employees of Stanford University. Appointment duration is normally for 1 year, renewable up to maximum of 3 years. If candidate secures a career development award (eg: K08), the appointment is coterminous with the award. • Instructors (Affiliated) are employees of the VAPAHCS. Appointment duration is normally 1 year, renewable up to a maximum of 3 years. For more information regarding Instructors, please refer to: Medical School Website: http://med.stanford.edu/academicaffairs/handbook/chapt5.html or Department of Medicine Website: http://domrg.stanford.edu/faculty_affairs/instructor_4-2011.html

35. Instructor Approval Process Department and School financial approval is needed for initial appointments or a change in FTE%. • School • Senior Associate Dean • Department • Department Chair • Division • Division Chief

36. ACFs Role and Criteria: • The Adjunct Clinical Faculty (ACF) consists of physicians and certain other health professionals appointed for the purpose of participation on a voluntary, part-time basis in the academic programs of the departments, usually in the role of teacher. • They are required to fulfill an approximate of 100 hours of service each year during their term of appointment. For more information regarding Instructors, please refer to: Medical School Website: http://med.stanford.edu/academicaffairs/handbook/chapt6.html or Department of Medicine Website: http://domrg.stanford.edu/faculty_affairs/acf.html

37. ACF Approval Process Ranks of Adjunct Clinical Assistant Professor and up go through the committees; Adjunct Clinical Instructors need Department Chair’s and Sr. Associate Dean’s signature only. No financial approval needed. • School • Sr. Associate Dean – signature • ACF A&P Committee • Department • Department Chair – signature • ACF and C/E(A) A&P Committee • Division • Division Chief

38. Reminders & Best Practices • Start dates of appointments - must be discussed at time of identification of candidate (early in process) – realistic times; educate Chiefs and faculty members of processing time • Information Security – No SS#s in packets emailed. For faculty with existing appointments, include Person History page form FastFac. For new appointments, send through secure email. All information in A&P process must be kept confidential, particularly for the faculty candidate • Negative comments and evaluations - thorough review of whole packet; anything negative should be addressed in transmittal memo appropriately (pls see May Communiqué)

39. Reminders & Best Practices (Cont…) • Furnish our office with the following: a. Signed offer letters b. Counseling Memos – signed • Resignations & Termination - Notify us and provide resignation letter - Web form – include Azadeh or Gretchen as additional FYI • Highly Discouraged Actions – Extensions, Acting Appointments & Search Waivers • Consistency - information throughout the packet should be consistent - rank, dates, number of publications, candidate’s information (Example of what not to do: mention of candidate’s new publication by a referee, but not on CV)

40. Reminders & Best Practices (Cont…) • Appropriate Appointment Dates after extension (applies to Clinician Educators and Instructors) - For reappointment – from first extension start date plus number of years for particular rank - For promotion – from extension end date plus number of years for particular rank (if promotion approved earlier, promotion is effective first of the month following approval and will supersede remainder of extension)

41. School’s Academic Affairs Updates • Dean’s Memo on Improving the A&P Process – in May Communiqué • New SoM Offer Letter templates for Professoriate, CE’s, Visiting / Consulting Faculty; Addendum Offer Letter available for mid-year changes • New handbook chapters, checklists and information for Visiting / Consulting Faculty and Visiting Scholars • New overview pages on OAA website for long forms, sabbaticals, and searches and offers (see Administrators Overview page for links) • SoM Academic Affairs Glossary available on website http://med.stanford.edu/academicaffairs/administrators/orientation/glossary.html

42. School’s Academic Affairs Updates (Cont…) Shorter Transmittal Memos •  1 to 2 pages • Avoid repeating information in other sections of form Include: • Argument/Support in favor of action • Candidate’s Information (ie: degree, action, current or previous appt, early promo? tenure/continuing?) • Succinct description of candidate’s performance in scholarly, teaching and clinical areas of focus & importance in field • Significant negative evidence and how addressed • Votes at A&P and Division Chiefs (explanation of split votes here or in Section 9) • For MCL:  FTE% breakdown • For Assistant Professor: Mentor For more detailed instructions, please refer to this link: <http://med.stanford.edu/academicaffairs/faaTools/transmittalMemoChecklist.doc>.

43. General Updates • Long form individual training available to Division Chiefs, long form faculty leads and corresponding Faculty Affairs administrators. • For all lines, names of trainees should be taken out of standardized evaluations.

44. Streamlining Efforts • Weekly review of packets by ACF and C/E(A) A&P Committee (from monthly) • Shorter Transmittal Memo • New and Improved Department Website (DOMRG) • Less redundancies in long forms • Reduction of revision requests • Reduced requirement for clinical trials information on CV • Improved one-page Packet Assembly Timeline Note: Combined checklists for CE/CE(A), Instructor and ACF appointment will be available soon.

45. DOM OLD Long Form Review Process (Minimum Steps Listed) Division (Div) 15 11 7 3 1 2 6 10 14 Faculty Affairs (FA) 4 5 A&P Key: 8 9 • Div FA • FA.rev Div • Div FA • FA A&P • A&P.rev FA • FA.rev Div • Div FA • FA D-Chief • D-Chief.rev FA • FA.rev Div • Div FA • FA School • School .rev FA • FA.rev Div • Div FA • FA School 12 13 16 Division Chief (D-Chief) School

46. DOM Streamlined Long Form Review Process Division (Div) If deemed substantive by Dr. Boxer Faculty Affairs (FA) If deemed substantive by Dr. Boxer A&P If deemed substantive by Dr. Boxer Division Chief (D-Chief) If deemed substantive by Dr. Stevenson School

48. Your Faculty Affairs Contacts DOM Faculty Affairs For general inquiries, contact us at: facultyaffairsdom@stanford.edu

49. Useful Online Resources DOM Faculty Affairs (http://domrg.stanford.edu/faculty_affairs/)DOM Professoriate Actions (start to finish) (http://domrg.stanford.edu/faculty_affairs/Appointments_Searches.html) DOM Faculty Affairs Long Form Guidelines & Policies (http://domrg.stanford.edu/faculty_affairs/Policy.html) DOM Faculty Affairs Actions’ Timelines(http://domrg.stanford.edu/downloads/Final_Assembly_.pdf) SOM Academic Affairs (http://med.stanford.edu/academicaffairs/)

50. Useful Online Resources (Cont…) School of Medicine Faculty Handbook (http://med.stanford.edu/academicaffairs/handbook/chapt2.html) SOM Visiting Scholar(http://med.stanford.edu/academicaffairs/other/visiting-scholars.html) SOM Visiting Faculty(http://med.stanford.edu/academicaffairs/other/visiting-faculty.html) SOM Visiting Instructor (http://med.stanford.edu/academicaffairs/other/visiting-instructors-salary.html ) (Instructions, forms, and checklists – Visiting Instructors with Salary) (http://med.stanford.edu/academicaffairs/other/visiting-instructors-no-salary.html) (Instructions, forms, and checklists – Visiting Instructors without Salary) (http://med.stanford.edu/academicaffairs/handbook/chapt5.html#_Toc280260229)(Handbook chapter)