APT BASICS

1. APT BASICS • Appointments • Promotion • Tenure

2. Agenda • Job Family 27 • Post Docs • Faculty

3. Visa Services • If the person in question is a Foreign National, please consult Duke Visa Services in order to confirm that Duke will be able to legally employ this individual and maintain his/her employability during the APT process. • Duke Visa Services Website: http://www.visaservices.duke.edu/

4. Job Family 27 • Associate in Research-1420 • Research Associate Sr.-1094 • Research Scientist-1826 • Research Scientist Sr.-1454 • Research Scholar - 2173 • Research Scholar Sr.- 2176 • Should have PSA of 0001(exempt)

5. Establishing A Job Family 27 Position • Offer letter and CV is sent by email to Dean’s office for review and approval • Department establishes position in iForm using the same effective date as the Hire iForm.

6. APT office Review and approval • Reviews offer letter and CV • Determines if qualifications are met • Sends approval to Department by email

7. Job Family 27 Hire Documents • Hire iForm • Signed Chair’s recommendation letter • Degree Verification ( Transcript, Letter from the issuing Institution, Diploma notarized by the issuing Institution.) • I-9 form • CV • Copy of position approval from the APT office.

8. Final Step • After the iForm is matched up with the hiring documents, the iForm is approved. • Incomplete information may result in delay. The APT office typically does not approve the iForm until we have received the hiring documents. • The packet is scanned into our filing system (Paper Host) • The originals are stored in Duke Archives.

9. Establishing a Postdoctoral Associate Position • Offer letter and CV is sent to Dean’s office for review and approval. • Offer letter template is located at: http://www.postdoc.duke.edu/policies.html • Department establishes position in iForms using the same effective date of hire iform.

10. Postdoctoral Associate Hire Documents • Hire iForm • Signed Chair’s recommendation letter • Degree Verification ( Transcript, Letter from the issuing Institution, Diploma notarized by the issuing Institution.) • I-9 form • CV • Copy of position approval from the APT office.

11. Policy for Postdoctoral Associates and Final Step • http://www.postdoc.duke.edu/attachments/Duke%20University%20Postdoctoral%20Policy%20revised%20July%201%202009.pdf • IForm is matched with Final Hire documents and approved, then scanned into Paperhost. Originals filed with Duke Archives.

12. FACULTY Regular Rank Faculty Tenure/Tenure Track Other Regular Rank Non Regular Rank

13. Tenure/Tenure Track Faculty • Assistant Professors w/o tenure 1547 • Associate Professors w/o tenure 1546 • Associate Professor with Tenure 1542 • Professor with Tenure 1541 • Professor rank used in secondary appts 1545 Note: -Clinical Departments use Tracks I-III in these ranks. For example, Associate Professor with Tenure, Track II. -Basic Science Departments and the School of Nursing do not use the track designations.

14. Other Regular Rank Faculty/Non Tenure Track Assistant Professor Track IV 1583 Associate Professor Track IV 1582 Professor Track IV 1581 Assistant Professor Track V 1586 Associate Professor Track V 1585 Professor Track V 1584 Note: Track titles are only used by Clinical Departments.

15. Other Regular Rank Faculty/Non Tenure Track con’t……. • Assistant Clinical Professor 1577 • Associate Clinical Professor 1576 • Clinical Professor 1575 • Assistant Research Professor 1537 • Associate Research Professor 1536 • Research Professor 1535 • Medical Instructor 1548

16. Other Regular Rank Faculty/Non Tenure Track con’t……. • Assistant Professor of the Practice 1527 • Associate Professor of the Practice 1526 • Professor of the Practice 1525 Note: The Basic Science Departments and the School of Nursing do not use the track designations.

17. Non Regular Rank Faculty 1567 Adjunct Assistant Professor 1566 Adjunct Associate Professor 1565 Adjunct Professor 1573 Assistant Consulting Professor 1572 Associate Consulting Professor 1578 Clinical Associate 1574 Consulting Associate 1571 Consulting Professor 1557 Visiting Assistant Professor 1530 Visiting Assistant Professor of the Practice 1558 Visiting Associate 1556 Visiting Associate Professor 1529 Visiting Associate Professor of the Practice 1555 Visiting Professor 1508 Visiting Professor of the Practice 1596 Instructor - Medical Center 1523 Visiting Scholar 1516 Visiting Research Scholar

18. Non Regular Rank Hire Documents • iForm • Signed Chair’s recommendation letter • Degree Verification ( Transcript, Letter from the issuing Institution, Diploma notarized by the issuing Institution.) • I-9 form (only if new and receiving pay) • CV • Enter recommendation into dFac Note: Currently Non-Regular Ranks do not have to be approved in the DMR or require a pre approved offer letter.

19. ESTABLISHING A FACULTY POSITION • Department enters position into the DMR (Duke Medicine Recruitment). When position is approved and a final candidate is selected, the department enters the lead candidate into the DMR and attaches the draft offer letter, CV and EEO for review and approval. Offer letter template is located on the SOM website, www.medschool.duke.edu (a Proforma is required for Medicine and OB-GYN) • All appointments to regular rank faculty or track changes going into the tenure track require an approved offer before hire can take place. Offers are not required for non regular rank.

20. Exception to Offer Process • Going from Medical Instructor to Assistant Professor • Going from Clinical Associates (fellows) to Assistant Professor This is considered a natural progression for individuals who are in training at Duke and ultimately becoming faculty.

21. Offer cont…. • Approved offers are kept in pending until the hire packet is received • The APT office matches up the offer to the hire packet • The department creates the position in iForms and then completes the new faculty member form in dFac • The Committee Review Process Begins

22. dFac • dFac is a system where DUKE FACULTY appointments are maintained. dFac replaced FPS March 1, 2010. • This system manages Faculty New Hires, Appointments, Promotions, Tenure, Addresses and Leaves. • Before a hire iForm can take place, the department will need to enter the required information into the dFac system and receive approval. • dFac will automatically populate some fields in the Hire iForm • dFac users access the system through Duke at Work with an authorized security access.

23. Review Committees • Clinical APT • Basic Science APT • Medical Center Executive Committee • Provost APT (Basic only) • Board of Trustees

24. BOT List Medical Instructor Assistant Professor Assistant Professor Track IV or V Clinical or Research Assistant Professor Assistant Professor, Track I, II, III

25. MCEC and BOT Associate Professor Track IV or V Clinical or Research Associate Professor Professor Track IV or V Clinical or Research Professor

26. Clinical APT, MCEC, BOT Tenure Track : Associate Professor/Professor (SON) Associate Professor/Professor I, II, III (Clinical Sciences)

27. Basic Science APT, MCEC, Provost APT, BOT • Appointment or promotions with Tenure, Associate Professor or Professor • Award of Tenure to Associate Professors without Tenure • Promotion to Full Professor for tenured Associate Professors

28. Clinical and Nursing Committee Review documents • Original and (one CD in Word Format for dossiers going to Clinical APT or Documents may be sent as email attachments) • Chair Recommendation Letter • Departmental APT Committee Letter (promotion to Associate Professor or Professor) • Intellectual Statement (promotion to Associate Professor or Professor) • Letters of evaluations (Please include Faculty Rank of Reviewer) • 3 for Medical Instructor & Assist. Prof. • 6 for Associate Professor & Professor

29. Clinical and Nursing Continued… • CV in Duke Format • List of Publications • Associate Professor – top 5 • Professor – top 10

30. Clinical and Nursing Continued… • I-9 • Degree Verification • Signed Faculty Offer • iForm Note, these four items should not be copied on the CD.

31. Basic Sciences Committee Review documents • http://www.facultyaffairs.provost.duke.edu/formatting.html • Original and one CD in PDF format of the dossier using the order specified.

32. Board of Trustees • The Board of Trustees in the Final Approval for Recommendation conferring tenure and Promotion to Full Professor • All other items mentioned earlier are provided on the BOT list for review and information. • APT office develops and issues Faculty Appointment letters. • Final approvals are entered into the dFac system.

33. What Causes Delays? • Evaluation letters not from reviewers of equal or higher rank • Evaluation letters not being independent • CV not in Duke Format • Insufficient Number of Publications • Uninformative and Incomplete Intellectual Statements • Incomplete Departmental Committee Report

34. Tenure Track and Notification • Clinical – 11 years to tenure. Review, Notification and tenure decision before end of 10th year • Basic – 8 years to tenure. Review, Notification and tenure decision before end of 7th year. • Monitoring is critical so that Automatic Tenure does not occur

35. Tenure Relief • http://www.provost.duke.edu/pdfs/fhb/FHB.pdf • Extension of the tenure probationary period may be requested for life events. • Send request letter from faculty member and letter from Chair addressed to the Dean to APT office. • APT office sends request to Provost for approval. • Provost office enters adjustment into dFac

36. Silent Tenure Clock for Track IV or V • In the Clinical departments, the "regular" tenure clock starts when someone enters into the tenure track of Assistant Professor or Associate Professor , track I, II, or III. A tenure decision must be decided before the end of the 10th year. • The "silent" clock starts if someone is appointed to either Track IV or Track V. If they meet the qualifications and decide to move over to the tenure track, then that must happen before the 10 year mark. For example, if Dr. DoLittle was appointed as Assistant Professor, Track IV on July 1, 2005 and then decided to move over to the tenure track on July 1, 2010, then 5 years have already passed since he was appointed as track IV. He now has only 5 more years for a tenure decision to be made. If Dr. DoLittle decided that he wanted to move over to the tenure track on July 1, 2015, he cannot. Ten years have passed and he has missed any opportunity to move over to the tenure track. However, He can stay in Track IV and be promoted to Associate Professor and then later be promoted to Professor and at such time he reaches the qualifications and criteria for Professor, he could be considered for Professor with tenure. However, we stress he must meet the criteria of Professor with tenure. The later is usually exceptional consideration and is not routine.

37. LEAVE OF ABSENCE • http://www.provost.duke.edu/pdfs/fhb/FHB.pdf • Temporary Parental and Medical leaves require completion of Provost leave form • Send request letter from faculty member and letter from Chair addressed to the Dean to APT office. • Enter leave request into dFac

38. Non Renewal • http://www.provost.duke.edu/pdfs/fhb/FHB.pdf • SOM appointments run July – June • If during second year of appointment, notice should be given no later than January 15th • If unable to give notice by this date, must issue pay in lieu of notice

39. Governing Policies • Faculty Handbook http://www.provost.duke.edu/pdfs/fhb/FHB.pdf • ClinicalSciences http://www.provost.duke.edu/pdfs/fhb/FHB_App_L.pdf • Basic Sciences http://www.provost.duke.edu/pdfs/fhb/FHB_App_J.pdf • School of Nursing http://www.provost.duke.edu/pdfs/fhb/FHB_App_K.pdf • School of Medicine http://medschool.duke.edu/modules/som_rfaculty/index.php?id=1

40. How to Contact US • Annette A. Whitesell 684-0192 • Valerie K. Smith 684-0194 • Seneca A. McLean 684-2927 • Tara L. Williams 684-3852 • FAX 684-0193

41. THANK YOU