FACULTY APPOINTMENTS & PROMOTIONS

1. FACULTY APPOINTMENTS & PROMOTIONS Claudia R. Adkison, J.D., Ph.D. Executive Associate Dean Administration & Faculty Affairs Emory University School of Medicine Department Administrator School September 1, 2006

2. AFFIRMATIVE ACTION • Emory is an affirmative action University • We do not discriminate on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability, or veterans/reserved/National Guard status • What this means to departments regarding faculty • Each position will be advertised and an open search will be conducted • Additional steps will be taken to encourage applications from females and minorities • Each department will have an Affirmative Action Committee that reviews every hire and promotion • The Chair will certify that the AA Committee reviewed every appointment and promotion and that the affirmative action policy was followed • This is not a rubberstamp activity • Administrative decision faculty and staff appointments are highly discouraged except in certain specified cases

3. Emory Statement of Principles Governing Faculty Relationships: “The Gray Book” • Defines two kinds of faculty appointments • Limited • One year (except temporary), renewable at the discretion of the Chair • Deemed to be renewed unless Chair gives notice • All clinical and research track appointments • All part-time and visiting appointments • May be used for appointment only (not promotion) for associate professor, tenure track • Three-year limit • Temporary appointments are for a specified time, one year or less • Continuous • Tenured • Terminated only by retirement or for cause • Associate Professor and Professor only • Requires approval by the Board Of Trustees • Tenure track begins with Instructor

4. Emory Statement of Principles Governing Faculty Relationships (2) • Defines tenure clock – 9 years for SOM, 7 years for all others • Clock starts on September 1 after date of hire • Defines tracks – clinical, research, tenure • SOM policy • A faculty member’s track is never published • Known only by the faculty member and those who have a need to know • Provides also for part-time, visiting, temporary, and volunteer faculty – not on tracks • Defines faculty ranks (Associate, Sr. Associate, Instructor, Asst Professor, Assoc Professor, Professor)

5. Emory Statement of Principles Governing Faculty Relationships (3) • Provides notice of nonrenewal of appointment for limited appointments on CT and RT (not part-time) • January 31 – in first year of service • December 31 – in second year service • October 31 – in third or more year of service • Requires Chair to confer with Dean (Dr. Adkison) about any nonrenewal • Requires resigning faculty member to give “ample time” – no means of enforcement

6. Emory Statement of Principles Governing Faculty Relationships (4) • Provides terms for faculty retirement • Provides terms for entitlement to emeritus status • Provides terms for termination of the tenured faculty member and an appeal mechanism • Gives the President, Dean, and Department Chair the right to assign a faculty member to any appropriate position • Provides for sabbatical leave – not an entitlement

7. FACULTY RECRUITMENT PROCESS SEE HANDOUT – FLOWSHEET • Recruitment packet goes to TEC when TEC pays salary • Recruitment packet goes straight to Dean’s office for Grady and VAMC faculty • Credentialing is kicked off first by department, affirmed by Dean’s office for Grady, affirmed by TEC • Department Administrator is accountable for the quality of the work product that comes to the Dean’s office and TEC • Board and Provost directive – appointment and promotion process must be completed entirely within six months after the arrival of the new faculty member

8. RECRUITMENT LETTER • Recruitment letter is NOT AN OFFER LETTER! • Do not let your division directors use this terminology • “Offer” plus “acceptance” comprise a contract • Chairs and division directors cannot create contracts that bind the University • Please use the template • Note special language for additional administrative appointments and administrative salary supplements • No faculty appointment exists without routine processing • Recruitment letter goes to candidate ONLY after approval by Dean’s Office • No recruitment letter is approved until reviewed by Dean Barwick or Adkison • Dean sometimes receives a recruitment letter; approval means he approves it to be processed through routine procedure • After recruitment, hold the candidate’s hand through new hire paperwork to prevent arrival without benefits

9. ADMINISTRATIVE DECISION • Not preferred but optional during the recruitment process • Appointment of a postdoctoral fellow is a new faculty appointment, not a promotion • Justification – why no open search occurred (not how terrific the faculty member is) • Emergency • Retention of post-doc • Unique qualifications – search would not have found a better candidate, rare and unusual skills or combination of skills

10. COMMENTS ON OTHER FORMSSEE HANDOUT • Checklist –please indicate all credentialing sites • FPF-- Use and calculate the correct University and TEC fringe benefit rates • Reallocation allowance – up to $12,000 • NOT AN ENTITLEMENT! • To be used as leverage for difficult negotiations • If necessary, use smaller amounts for junior faculty; $12,000 should be used for senior faculty member, superstar, much to relocate • Department Chair must sign • Financials for years 2 and 3 are not promises to the faculty member, unless tenured • Attach letter or Grady authorization for salary commitment

11. SETTING THE SALARY • SOM policy • AAMC salary tables, 50-75th percentile • AAMC numbers include bonuses but SOM uses numbers for base salary only • MGMA is not the salary guideline • Reasonable flexibility for superstar, high productivity on the high end • Reasonable flexibility for poor performance and productivity issues on the low end

12. COMMENTS ON OTHER FORMS (2)SEE HANDOUT • Job codes, ranks, tracks • Must use the correct title in the HRAF • Handout lists special titles used in the SOM • Guidelines on appointments and promotions spells out when each rank should be used • Guidelines require M.D. or Ph.D. degree for faculty except in certain Allied Health programs, then terminal degree required • NO CHANGE IN RANK, TITLE, TRACK CAN OCCUR WITHOUT PROCESS AND APPROVAL THROUGH DEAN’S OFFICE • Tenured faculty are full-time – educate your faculty about reduction in FTE status • Auto term appointments – temporary, one year or less, end date specified, often used for fellows in non-GME accredited programs

13. ASSIGNMENT OF TRACK • Based on careful consideration of faculty member’s career desires • Clinical track – for faculty who wish to do mostly scholarly clinical care and teaching, but who also will do some research, usually clinical trials • Research track – for faculty who wish to focus almost entirely on funded research, although they may wish to participate in graduate training and related teaching and committees • Tenure track – for faculty who wish to engage heavily in research, teaching, and service (citizenship and/or clinical) • Board and Provost have recently announced very stringent considerations on track changes • Do not counsel clinical track and research track faculty that they can be switched to the tenure track

14. EMORY FACULTY AT THE VAMC • Physicians and scientists at the VAMC will have Emory faculty appointments • Chair appoints service chiefs at VAMC in collaboration with VAMC administration • Chair must approve faculty appointments at VAMC • Faculty appointments are regular, even if employment is 8/8 VAMC • 8/8 VAMC are not volunteer faculty, though PeopleSoft is quirky • Dean strongly urges chairs to keep 1/8 employment at Emory

15. SUMMARY OF TITLES AND TRACKS Tenure TrackClinical & Research Tracks Professor Professor (CT) or (RT) Associate Professor Associate Professor (CT) or (RT) Assistant Professor Assistant Professor (CT) or (RT) Instructor Instructor (CT) or (RT) Associate (CT) or (RT) Associate (CT) or (RT)

16. WHEN A SPECIAL CONTRACT IS NEEDED • SOM policy – faculty cannot practice medicine in any form outside an Emory-approved practice plan • For emergency clinical need, Dean will give temporary, time-limited (one year or less) authorization to a community physician while Department recruits a regular faculty member • Special contract needed for this (contact Assistant Dean Josh Barwick)

17. PRIMARY AND SECONDARY APPOINTMENTS • Primary appointment – every faculty member has one primary appointment in one department only • Secondary appointment – appointment in a second department, no money provided for salary; requested by second Chair, authorized by primary Chair • Joint appointment – appointment in a second Department that provides some salary funding; requested by joint Chair, authorized by primary Chair • Volunteer appointments – clinical, adjunct • Requires service to the department • Credentials and requirements in Guidelines • No use of Emory name or marks in private practice • Faculty appointments outside of Emory require approval of Chair and Dean; may require special contract

18. PROCESS FOR ENDOWED PROFESSORS AND CHAIRS • Faculty candidate should be senior and highly distinguished • Donor cannot name the recipient of an endowed chair or Professorship • Process • Letter from Department Chair extolling the virtues of the faculty member • Updated CV • Copy of the endowed chair or Professorship agreement from Development with statement that it is fully funded • Keep appointment and promotion requests separate from endowed professor and chair requests

19. FACULTY EQUIVALENT TITLES • Senior Research Associate, Research Associate • Staff positions • Carry certain Faculty privileges (e.g., parking sticker) • Usually reserved for Ph.D./M.D. candidates who are employed to oversee a research program or laboratory for a faculty member • Currently no direct promotion track beyond Senior Research Associate

20. PROMOTIONS

21. TIMELINES • Appointments can be processed anytime, though tenured appointments are approved only when Board is meeting (September-May) • Deadlines for promotions to be distributed soon– NO EXCEPTIONS this year • Board and Provost have again moved up the deadlines • Probably October 15 or November 1 for tenured promotions START NOW • March for clinical and research tracks • Dean’s office moving to mostly electronic process for 2006-2007

22. CRITERIA FOR PROMOTION • Criteria and examples for promotion at each rank on each track are spelled out in the Guidelines on Appointment, Promotion, and Tenure • Example: Tenure

23. COMMON PROBLEMS • Failure to include adequate documentation of the quality of teaching and service • Failure to demonstrate a national reputation to qualify for “outstanding” • Failure to demonstrate sufficient citizenship service at local and national levels • Failure to cite the correct rank, track, or criteria in the Chair’s solicitation letter • Procedural flaws • New – failure to complete entire appointment process within six months for Acting appointments • Poor quality work product causing delays – errors in CV format and content, mismatches in evaluator list

24. PROCEDURAL FLAWS IN THE PROMOTION PROCESS • Chair’s solicitation of external evaluators • Failure to include the entire packet with the Chair’s letter • Tainting of the process by contacts between the faculty member and the external evaluators • Failure to satisfy the minimum time in rank • Excessive time in pre-tenure probationary status (process must be completed before the end of the 8th year) • Up or out rule • Extension of the tenure clock policy • Increasingly, Chair’s letter is insufficiently detailed, does not adequately describe strengths and weaknesses

25. CHAIRS LETTER – DESCRIBED IN GUIDELINES • Provost is requiring more • why the candidate should be promoted and tenured • relationship to strategic plan • strengths and weaknesses – not just a list extracted from the CV • assessment of future trajectory and impact • Dean’s office requires explanation of scholarship in lay terms (can be provided separately)

26. EXTERNAL EVALUATOR LETTERS • Candidate provides a list of suggested external evaluators but does not contact evaluators • Chair carefully selects prestigious external evaluators from candidate list and additions • Must satisfy required number • External evaluators must be from top 20 ranked institutions and top 20 ranked departments • If not, Chair must justify why the evaluator was chosen (e.g., might be best in the field in a mediocre institution or department) • List of the evaluators must include Chair’s description of their standing in the field and why they were chosen • External evaluators should never be advisor, co-author, former student, research collaborator; residency director, fellowship advisor

27. TRAINING AND ASSISTANCE AVAILABLE • Jane Crosta will provide further training to you and your staff members who work on appointments and promotions • Department Administrator is accountable • Department Administrator should look over every packet before it leaves the department

28. THANKS FOR ALL YOU DOTHANKS FOR YOUR PARTICIPATION