FACULTY APPOINTMENTS FACULTY APPOINTMENTS & PROMOTIONS& PROMOTIONS

Claudia R. Adkison, J.D., Ph.D.Claudia R. Adkison, J.D., Ph.D.Executive Associate DeanExecutive Associate Dean

Administration & Faculty AffairsAdministration & Faculty AffairsEmory University School of MedicineEmory University School of Medicine

Department Administrator SchoolDepartment Administrator SchoolSeptember 1, 2006September 1, 2006

AFFIRMATIVE ACTIONAFFIRMATIVE ACTIONEmory is an affirmative action UniversityEmory is an affirmative action UniversityWe do not discriminate on the basis of race, color, We do not discriminate on the basis of race, color, religion, sex, sexual orientation, national origin, age, religion, sex, sexual orientation, national origin, age, disability, or veterans/reserved/National Guard statusdisability, or veterans/reserved/National Guard statusWhat this means to departments regarding facultyWhat this means to departments regarding faculty– Each position will be advertised and an open search will be Each position will be advertised and an open search will be

conductedconducted– Additional steps will be taken to encourage applications from Additional steps will be taken to encourage applications from

females and minoritiesfemales and minorities– Each department will have an Affirmative Action CommitteeEach department will have an Affirmative Action Committee that that

reviews every hire and promotionreviews every hire and promotion– The Chair will certifyThe Chair will certify that the AA Committee reviewed every that the AA Committee reviewed every

appointment and promotion and that the affirmative action appointment and promotion and that the affirmative action policy was followedpolicy was followed

– This is not a rubberstamp activityThis is not a rubberstamp activity– Administrative decision faculty and staff appointments are Administrative decision faculty and staff appointments are

highly discouraged except in certain specified caseshighly discouraged except in certain specified cases

Emory Statement of Principles Governing Emory Statement of Principles Governing Faculty Relationships: “The Gray Book”Faculty Relationships: “The Gray Book”

Defines two kinds of faculty appointmentsDefines two kinds of faculty appointments– LimitedLimited

One year (except temporary), renewable at the discretion of the One year (except temporary), renewable at the discretion of the ChairChairDeemed to be renewed unless Chair gives noticeDeemed to be renewed unless Chair gives noticeAll clinical and research track appointmentsAll clinical and research track appointmentsAll part-time and visiting appointmentsAll part-time and visiting appointmentsMay be used for appointment only (not promotion) for associate May be used for appointment only (not promotion) for associate professor, tenure trackprofessor, tenure track

– Three-year limitThree-year limit

Temporary appointments are for a specified time, one year or lessTemporary appointments are for a specified time, one year or less

– ContinuousContinuousTenuredTenuredTerminated only by retirement or for causeTerminated only by retirement or for causeAssociate Professor and Professor onlyAssociate Professor and Professor onlyRequires approval by the Board Of TrusteesRequires approval by the Board Of TrusteesTenure track begins with InstructorTenure track begins with Instructor

Emory Statement of Principles Governing Emory Statement of Principles Governing Faculty Relationships (2)Faculty Relationships (2)

Defines tenure clock – 9 years for SOM, 7 years for all Defines tenure clock – 9 years for SOM, 7 years for all othersothers– Clock starts on September 1 after date of hireClock starts on September 1 after date of hire

Defines tracks – clinical, research, tenureDefines tracks – clinical, research, tenure– SOM policySOM policy

A faculty member’s track is A faculty member’s track is never publishednever publishedKnown only by the faculty member and those who have a need to Known only by the faculty member and those who have a need to knowknow

Provides also for part-time, visiting, temporary, and Provides also for part-time, visiting, temporary, and volunteer faculty – not on tracksvolunteer faculty – not on tracks

Defines faculty ranks (Associate, Sr. Associate, Defines faculty ranks (Associate, Sr. Associate, Instructor, Asst Professor, Assoc Professor, Professor)Instructor, Asst Professor, Assoc Professor, Professor)

Emory Statement of Principles Governing Emory Statement of Principles Governing Faculty Relationships (3)Faculty Relationships (3)

Provides notice of nonrenewal of appointment for Provides notice of nonrenewal of appointment for limited appointments on CT and RT (not part-limited appointments on CT and RT (not part-time)time)– January 31 – in first year of serviceJanuary 31 – in first year of service– December 31 – in second year serviceDecember 31 – in second year service– October 31 – in third or more year of serviceOctober 31 – in third or more year of service

Requires Chair to confer with Dean (Dr. Adkison) Requires Chair to confer with Dean (Dr. Adkison) about any nonrenewalabout any nonrenewal

Requires resigning faculty member to give Requires resigning faculty member to give “ample time” – no means of enforcement“ample time” – no means of enforcement

Emory Statement of Principles Governing Emory Statement of Principles Governing Faculty Relationships (4)Faculty Relationships (4)

Provides terms for faculty retirementProvides terms for faculty retirement

Provides terms for entitlement to emeritus Provides terms for entitlement to emeritus statusstatus

Provides terms for termination of the tenured Provides terms for termination of the tenured faculty member and an appeal mechanism faculty member and an appeal mechanism

Gives the President, Dean, and Department Gives the President, Dean, and Department Chair the right to assign a faculty member to Chair the right to assign a faculty member to any appropriate positionany appropriate position

Provides for sabbatical leave – not an Provides for sabbatical leave – not an entitlemententitlement

FACULTY RECRUITMENT PROCESSFACULTY RECRUITMENT PROCESSSEE HANDOUT – FLOWSHEETSEE HANDOUT – FLOWSHEET

Recruitment packet goes to TEC when TEC pays Recruitment packet goes to TEC when TEC pays salarysalaryRecruitment packet goes straight to Dean’s office Recruitment packet goes straight to Dean’s office for Grady and VAMC facultyfor Grady and VAMC facultyCredentialing is kicked off first by department, Credentialing is kicked off first by department, affirmed by Dean’s office for Grady, affirmed by affirmed by Dean’s office for Grady, affirmed by TECTECDepartment Administrator is accountable for the Department Administrator is accountable for the quality of the work product that comes to the quality of the work product that comes to the Dean’s office and TECDean’s office and TECBoard and Provost directive – appointment and Board and Provost directive – appointment and promotion process must be completed entirely promotion process must be completed entirely within six months after the arrival of the new within six months after the arrival of the new faculty memberfaculty member

RECRUITMENT LETTERRECRUITMENT LETTERRecruitment letter is NOT AN OFFER LETTER!Recruitment letter is NOT AN OFFER LETTER!– Do not let your division directors use this terminologyDo not let your division directors use this terminology– ““Offer” plus “acceptance” comprise a contractOffer” plus “acceptance” comprise a contract– Chairs and division directors cannot create contracts that bind Chairs and division directors cannot create contracts that bind

the Universitythe University– Please use the templatePlease use the template– Note special language for additional administrative Note special language for additional administrative

appointments and administrative salary supplementsappointments and administrative salary supplements

No faculty appointment exists without routine No faculty appointment exists without routine processingprocessingRecruitment letter goes to candidate Recruitment letter goes to candidate ONLY ONLY after after approval by Dean’s Officeapproval by Dean’s OfficeNo recruitment letter is approved until reviewed by No recruitment letter is approved until reviewed by Dean Barwick or AdkisonDean Barwick or Adkison– Dean sometimes receives a recruitment letter; approval means Dean sometimes receives a recruitment letter; approval means

he approves it to be processed through routine procedurehe approves it to be processed through routine procedure

After recruitment, hold the candidate’s hand through After recruitment, hold the candidate’s hand through new hire paperwork to prevent arrival without benefitsnew hire paperwork to prevent arrival without benefits

ADMINISTRATIVE DECISIONADMINISTRATIVE DECISIONNot preferred but optional during the Not preferred but optional during the recruitment processrecruitment process

Appointment of a postdoctoral fellow is a new Appointment of a postdoctoral fellow is a new faculty appointment, not a promotionfaculty appointment, not a promotion

Justification – why no open search occurred Justification – why no open search occurred (not how terrific the faculty member is)(not how terrific the faculty member is)– EmergencyEmergency– Retention of post-docRetention of post-doc– Unique qualifications – search would not have found Unique qualifications – search would not have found

a better candidate, rare and unusual skills or a better candidate, rare and unusual skills or combination of skillscombination of skills

COMMENTS ON OTHER FORMSCOMMENTS ON OTHER FORMSSEE HANDOUTSEE HANDOUT

ChecklistChecklist –please indicate all credentialing sites –please indicate all credentialing sitesFPFFPF-- Use and calculate the correct University and TEC -- Use and calculate the correct University and TEC fringe benefit ratesfringe benefit ratesReallocation allowance – Reallocation allowance – up toup to $12,000 $12,000– NOT AN ENTITLEMENT!NOT AN ENTITLEMENT!– To be used as leverage for difficult negotiationsTo be used as leverage for difficult negotiations– If necessary, use smaller amounts for junior faculty; $12,000 If necessary, use smaller amounts for junior faculty; $12,000

should be used for senior faculty member, superstar, much to should be used for senior faculty member, superstar, much to relocaterelocate

Department Chair must signDepartment Chair must signFinancials for years 2 and 3 are not promises to the Financials for years 2 and 3 are not promises to the faculty member, unless tenuredfaculty member, unless tenuredAttach letter or Grady authorization for salary Attach letter or Grady authorization for salary commitmentcommitment

SETTING THE SALARYSETTING THE SALARY

SOM policySOM policy– AAMC salary tables, 50-75AAMC salary tables, 50-75thth percentile percentile– AAMC numbers include bonuses but SOM uses AAMC numbers include bonuses but SOM uses

numbers for base salary onlynumbers for base salary only

MGMA is not the salary guidelineMGMA is not the salary guideline

Reasonable flexibility for superstar, high Reasonable flexibility for superstar, high productivity on the high endproductivity on the high end

Reasonable flexibility for poor performance Reasonable flexibility for poor performance and productivity issues on the low endand productivity issues on the low end

COMMENTS ON OTHER FORMS (2)COMMENTS ON OTHER FORMS (2)SEE HANDOUTSEE HANDOUT

Job codes, ranks, tracksJob codes, ranks, tracks– Must use the correct title in the HRAFMust use the correct title in the HRAF– Handout lists special titles used in the SOMHandout lists special titles used in the SOM– Guidelines on appointments and promotions spells out Guidelines on appointments and promotions spells out

when each rank should be usedwhen each rank should be used– Guidelines require M.D. or Ph.D. degree for faculty except in Guidelines require M.D. or Ph.D. degree for faculty except in

certain Allied Health programs, then terminal degree certain Allied Health programs, then terminal degree requiredrequired

– NO CHANGE IN RANK, TITLE, TRACK CAN OCCUR NO CHANGE IN RANK, TITLE, TRACK CAN OCCUR WITHOUT PROCESS AND APPROVAL THROUGH DEAN’S WITHOUT PROCESS AND APPROVAL THROUGH DEAN’S OFFICEOFFICE

Tenured faculty are full-time – educate your faculty Tenured faculty are full-time – educate your faculty about reduction in FTE statusabout reduction in FTE statusAuto term appointments – temporary, one year or Auto term appointments – temporary, one year or less, end date specified, often used for fellows in less, end date specified, often used for fellows in non-GME accredited programsnon-GME accredited programs

ASSIGNMENT OF TRACKASSIGNMENT OF TRACKBased on careful consideration of faculty Based on careful consideration of faculty member’s career desiresmember’s career desires– Clinical track – for faculty who wish to do mostly Clinical track – for faculty who wish to do mostly

scholarly clinical care and teaching, but who also will scholarly clinical care and teaching, but who also will do some research, usually clinical trialsdo some research, usually clinical trials

– Research track – for faculty who wish to focus almost Research track – for faculty who wish to focus almost entirely on funded research, although they may wish entirely on funded research, although they may wish to participate in graduate training and related to participate in graduate training and related teaching and committeesteaching and committees

– Tenure track – for faculty who wish to engage heavily Tenure track – for faculty who wish to engage heavily in research, teaching, and service (citizenship and/or in research, teaching, and service (citizenship and/or clinical)clinical)

Board and Provost have recently announced Board and Provost have recently announced very stringent considerations on track changesvery stringent considerations on track changes– Do not counsel clinical track and research track Do not counsel clinical track and research track

faculty that they can be switched to the tenure trackfaculty that they can be switched to the tenure track

EMORY FACULTY AT THE VAMCEMORY FACULTY AT THE VAMCPhysicians and scientists at the VAMC will have Physicians and scientists at the VAMC will have Emory faculty appointmentsEmory faculty appointmentsChair appoints service chiefs at VAMC in Chair appoints service chiefs at VAMC in collaboration with VAMC administrationcollaboration with VAMC administrationChair must approve faculty appointments at Chair must approve faculty appointments at VAMCVAMCFaculty appointments are regular, even if Faculty appointments are regular, even if employment is 8/8 VAMCemployment is 8/8 VAMC8/8 VAMC are not volunteer faculty, though 8/8 VAMC are not volunteer faculty, though PeopleSoft is quirkyPeopleSoft is quirkyDean strongly urges chairs to keep 1/8 Dean strongly urges chairs to keep 1/8 employment at Emoryemployment at Emory

SUMMARY OF TITLES AND SUMMARY OF TITLES AND TRACKSTRACKS

Tenure Track Clinical & 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)

WHEN A SPECIAL CONTRACT IS NEEDEDWHEN A SPECIAL CONTRACT IS NEEDED

SOM policy – faculty cannot practice SOM policy – faculty cannot practice medicine in any form outside an medicine in any form outside an Emory-approved practice planEmory-approved practice planFor emergency clinical need, Dean will For emergency clinical need, Dean will give temporary, time-limited (one year give temporary, time-limited (one year or less) authorization to a community or less) authorization to a community physician while Department recruits a physician while Department recruits a regular faculty memberregular faculty memberSpecial contract needed for this Special contract needed for this (contact Assistant Dean Josh Barwick)(contact Assistant Dean Josh Barwick)

PRIMARY AND SECONDARY PRIMARY AND SECONDARY APPOINTMENTSAPPOINTMENTS

Primary appointment – every faculty member has one Primary appointment – every faculty member has one primary appointment in one department onlyprimary appointment in one department onlySecondary appointment – appointment in a second Secondary appointment – appointment in a second department, no money provided for salary; requested department, no money provided for salary; requested by second Chair, authorized by primary Chairby second Chair, authorized by primary ChairJoint appointment – appointment in a second Joint appointment – appointment in a second Department that provides some salary funding; Department that provides some salary funding; requested by joint Chair, authorized by primary Chairrequested by joint Chair, authorized by primary ChairVolunteer appointments – clinical, adjunctVolunteer appointments – clinical, adjunct– Requires service to the departmentRequires service to the department– Credentials and requirements in GuidelinesCredentials and requirements in Guidelines– No use of Emory name or marks in private practiceNo use of Emory name or marks in private practice

Faculty appointments outside of Emory require Faculty appointments outside of Emory require approval of Chair and Dean; may require special approval of Chair and Dean; may require special contractcontract

PROCESS FOR ENDOWED PROCESS FOR ENDOWED PROFESSORS AND CHAIRSPROFESSORS AND CHAIRS

Faculty candidate should be senior and highly Faculty candidate should be senior and highly distinguisheddistinguishedDonor cannot name the recipient of an endowed Donor cannot name the recipient of an endowed chair or Professorshipchair or ProfessorshipProcessProcess– Letter from Department Chair extolling the virtues of Letter from Department Chair extolling the virtues of

the faculty memberthe faculty member– Updated CVUpdated CV– Copy of the endowed chair or Professorship Copy of the endowed chair or Professorship

agreement from Development with statement that it is agreement from Development with statement that it is fully fundedfully funded

Keep appointment and promotion requests Keep appointment and promotion requests separate from endowed professor and chair separate from endowed professor and chair requestsrequests

FACULTY EQUIVALENT TITLESFACULTY EQUIVALENT TITLES

Senior Research Associate, Research Senior Research Associate, Research AssociateAssociate

Staff positionsStaff positions

Carry certain Faculty privileges (e.g., parking Carry certain Faculty privileges (e.g., parking sticker)sticker)

Usually reserved for Ph.D./M.D. candidates Usually reserved for Ph.D./M.D. candidates who are employed to oversee a research who are employed to oversee a research program or laboratory for a faculty memberprogram or laboratory for a faculty member

Currently no direct promotion track beyond Currently no direct promotion track beyond Senior Research AssociateSenior Research Associate

PROMOTIONSPROMOTIONS

TIMELINESTIMELINESAppointments can be processed anytime, Appointments can be processed anytime, though tenured appointments are approved though tenured appointments are approved only when Board is meeting (September-May)only when Board is meeting (September-May)Deadlines for promotions to be distributed Deadlines for promotions to be distributed soon– NO EXCEPTIONS this yearsoon– NO EXCEPTIONS this year– Board and Provost have again moved up the Board and Provost have again moved up the

deadlinesdeadlines– Probably October 15 or November 1 for tenured Probably October 15 or November 1 for tenured

promotionspromotions START NOWSTART NOW– March for clinical and research tracksMarch for clinical and research tracks

Dean’s office moving to mostly electronic Dean’s office moving to mostly electronic process for 2006-2007process for 2006-2007

CRITERIA FOR PROMOTIONCRITERIA FOR PROMOTION

Criteria and examples for promotion at each rank on Criteria and examples for promotion at each rank on each track are spelled out in the each track are spelled out in the Guidelines on Guidelines on Appointment, Promotion, and TenureAppointment, Promotion, and Tenure

Example: TenureExample: Tenure

Scholarship outstandingScholarship outstanding

Teaching goodTeaching good

Service goodService good

Scholarship excellentScholarship excellent

Teaching outstandingTeaching outstanding

Service goodService good

Scholarship excellentScholarship excellent

Teaching goodTeaching good

Service outstandingService outstanding

Scholarship goodScholarship good

Teaching outstandingTeaching outstanding

Service excellentService excellent

COMMON PROBLEMSCOMMON PROBLEMSFailure to include adequate documentation of the Failure to include adequate documentation of the quality of teaching and servicequality of teaching and serviceFailure to demonstrate a national reputation to Failure to demonstrate a national reputation to qualify for “outstanding”qualify for “outstanding”Failure to demonstrate sufficient citizenship service Failure to demonstrate sufficient citizenship service at local and national levelsat local and national levelsFailure to cite the correct rank, track, or criteria in Failure to cite the correct rank, track, or criteria in the Chair’s solicitation letterthe Chair’s solicitation letterProcedural flawsProcedural flawsNew – failure to complete entire appointment New – failure to complete entire appointment process within six months for Acting appointmentsprocess within six months for Acting appointmentsPoor quality work product causing delays – errors in Poor quality work product causing delays – errors in CV format and content, mismatches in evaluator listCV format and content, mismatches in evaluator list

PROCEDURAL FLAWS IN THE PROCEDURAL FLAWS IN THE PROMOTION PROCESSPROMOTION PROCESS

Chair’s solicitation of external evaluatorsChair’s solicitation of external evaluators– Failure to include the entire packet with the Chair’s letterFailure to include the entire packet with the Chair’s letter– Tainting of the process by contacts between the faculty Tainting of the process by contacts between the faculty

member and the external evaluatorsmember and the external evaluators

Failure to satisfy the minimum time in rankFailure to satisfy the minimum time in rankExcessive time in pre-tenure probationary status Excessive time in pre-tenure probationary status (process must be completed before the end of the (process must be completed before the end of the 8th year)8th year)– Up or out ruleUp or out rule– Extension of the tenure clock policyExtension of the tenure clock policy

Increasingly, Chair’s letter is insufficiently detailed, Increasingly, Chair’s letter is insufficiently detailed, does not adequately describe strengths and does not adequately describe strengths and weaknessesweaknesses

CHAIRS LETTER – DESCRIBED CHAIRS LETTER – DESCRIBED IN GUIDELINESIN GUIDELINES

Provost is requiring moreProvost is requiring more– why the candidate should be promoted and why the candidate should be promoted and

tenuredtenured– relationship to strategic planrelationship to strategic plan– strengths and weaknesses – not just a list strengths and weaknesses – not just a list

extracted from the CVextracted from the CV– assessment of future trajectory and impactassessment of future trajectory and impact

Dean’s office requires explanation of Dean’s office requires explanation of scholarship in lay terms (can be provided scholarship in lay terms (can be provided separately)separately)

EXTERNAL EVALUATOR LETTERSEXTERNAL EVALUATOR LETTERSCandidate provides a list of suggested external Candidate provides a list of suggested external evaluators but does not contact evaluatorsevaluators but does not contact evaluatorsChair carefully selects prestigious external evaluators Chair carefully selects prestigious external evaluators from candidate list and additionsfrom candidate list and additionsMust satisfy required numberMust satisfy required numberExternal evaluators must be from top 20 ranked External evaluators must be from top 20 ranked institutions and top 20 ranked departmentsinstitutions and top 20 ranked departments– If not, Chair must justify why the evaluator was chosen (e.g., If not, Chair must justify why the evaluator was chosen (e.g.,

might be best in the field in a mediocre institution or might be best in the field in a mediocre institution or department)department)

List of the evaluators must include Chair’s description List of the evaluators must include Chair’s description of their standing in the field and why they were chosenof their standing in the field and why they were chosenExternal evaluators should never be External evaluators should never be advisor, co-author, former student, research collaborator; residency director, fellowship advisor

TRAINING AND ASSISTANCE TRAINING AND ASSISTANCE AVAILABLEAVAILABLE

Jane Crosta will provide further training Jane Crosta will provide further training to you and your staff members who to you and your staff members who work on appointments and promotionswork on appointments and promotions

Department Administrator is Department Administrator is accountableaccountable

Department Administrator should look Department Administrator should look over every packet before it leaves the over every packet before it leaves the departmentdepartment

THANKS FOR ALL YOU DOTHANKS FOR ALL YOU DO

THANKS FOR YOUR THANKS FOR YOUR PARTICIPATIONPARTICIPATION