Series 300 Promotions

Procedure number: 310, Promotions-Fully Affiliated
Procedure number: 330, Promotions-Partially Affiliated
Procedure number: 340, Promotions-Research

Procedure number: 310

Revised: July 2010

Subject: Promotions-Fully Affiliated

Preparing for promotion is a continual process and involves updating the curriculum vitae (CV) and documenting teaching. When a faculty member decides to request promotion, faculty, staff, and committees (departmental, school, and university) become involved in a year-long process. This procedure is for you - faculty, staff, and committee members. If you have questions about the process, contact the Office of Faculty and Clinical Affairs, 937-245-7641.

The procedure is divided into these sections:

Candidate Responsibilities
Department Committee Responsibilities
School Responsibilities
University Responsibilities
Access to the File
Withdrawal of Promotion Request
Promotion to Assistant Professor

Based upon the university's promotion time line, the Office of Faculty and Clinical Affairs sets specific time lines for preparation and review of promotion files.

Candidate

NOTE: Faculty who are in the bargaining unit must follow Article 13 in the AAUP agreement.

Request promotion. Faculty who desire promotion must submit a written request to the departmental chair. For joint appointments: If promotion is sought in the secondary department as well, faculty must also submit a separate written request to the secondary departmental chair.
Develop the list of external reviewers. The candidate submits suggested names of external reviewers to the chair (departmental or promotion committee). The departmental promotion committee agrees on a list of individuals from whom letters of evaluation will be solicited. The committee is responsible for soliciting the evaluations from that list. At least three letters of evaluation from peers external to the university are required for all promotion decisions.

External reviewers should meet the following criteria:
- The external reviewers should be peers external to the University who can review the case in an unbiased manner (no co-authors, thesis advisors, or other persons who might have a conflict of interest).
- The external reviewers should be experts in the field of the candidate.
- The external reviewers should hold at least the rank to which the candidate aspires if they are faculty members at academic institutions.
Submit the materials to be sent to the external reviewers. The candidate submits these materials, which include a current curriculum vitae, a copy of the promotion criteria (departmental or school criteria), and samples of scholarly work, to the departmental promotion committee.
Prepare the promotion document. The candidate prepares the promotion document and submits it to the departmental promotion committee. Promotion documents must include the following elements:
1. the candidate's review statement (DOC)
2. applicable departmental promotion criteria
3. evidence of teaching effectiveness
4. a current curriculum vitae (DOCX), which must include a description of the candidate's teaching, scholarship, and service
  NOTE: The evidence of teaching effectiveness and curriculum vitae may, together, total no more than 35 pages.
5. personal statement(s) on teaching, research, and/or service (optional)
6. appendices (optional)
Submit the document to the departmental committee. After the candidate has submitted the complete promotion document, it may not be altered without permission of the candidate and the departmental chair.
Submit copies of completed scholarly work. Along with the promotion document, the candidate must submit complete copies of all relevant books, articles, and other manuscripts listed as published, in press, or under review in the curriculum vitae. A scholarly work will only be considered if (1) it is reported on the curriculum vitae and (2) the candidate submits a complete copy of the work to the departmental committee. Works used to document a successful promotion application in the past do not need to be submitted unless specifically requested by the departmental committee. Works submitted must be included with the promotion document when it is sent to the school Faculty Promotion and Advancement Committee.

Department

Send request for evaluations. The departmental promotion committee solicits evaluation (template letter (DOC)) from external reviewers for inclusion in the candidates file, based on the following criteria:
- The external reviewers should be peers external to the University who can review the case in an unbiased manner (no co-authors, thesis advisors, or other persons who might have a conflict of interest).
- The external reviewers should be experts in the field of the candidate.
- The external reviewers should hold at least the rank to which the candidate aspires if they are faculty members at academic institutions.
- The letters should evaluate the candidate's scholarly activities.
- The letters should not be testimonial in character nor be based on promotion criteria at the writers' institutions.
  
  All letters (both external and internal reviewers) received must be included in the file.
Add letters of recommendation. The committee adds all letters of recommendation by external or internal reviewers, copies of letters soliciting the reviews, and brief statements of the reviewer's qualifications.
Review the document and all external and internal letters. The document and letters become part of the promotion file to which committee recommendation letters and statements from the departmental chair and dean are added.
Review the candidate's file. The departmental committee adds a record of its vote and recommendation and the statement of the departmental chair. The committee shall explain the reasoning for its conclusion in its recommendation. The departmental chair shall inform the candidate promptly of the decision and vote of the committee and provide the candidate access to the file, which includes the committee's recommendation and the chair's letter. The candidate will have ten (10) working days to review the file and to add a rebuttal letter, if desired. The departmental chair will then transmit the file to the school's Faculty Promotion and Advancement Committee.

The department will send the following to the Office of Faculty and Clinical Affairs:

Promotion Packet Template (DOC)
Record of vote sheet (DOC) - List of Promotion Committee members can be found here
Departmental chair recommendation
Departmental committee recommendation
Letters sent to external reviewers
Brief statement of the reviewers' qualifications (DOC)
Letters from the reviewers
Candidate's promotion document
Copies of scholarly works

School

Review the candidate's file. The Faculty Promotion and Advancement Committee shall use the applicable departmental criteria to review the candidate's file and make its recommendation. The dean shall inform the candidate promptly of the decision and vote of the committee and provide access to the candidate's file, including the committee's recommendation and the dean's letter. The candidate will have ten (10) working days to review the file and to add rebuttal material, if desired.

The Office of Faculty and Clinical Affairs will make an electronic copy of the file and submit it to the University Promotion and Tenure Committee. The copies of scholarly work will be retained at the school until the promotion process is complete. The copies will be returned to the faculty after the university committee has reviewed the file. The dean and the elected chair of the Faculty Promotion and Advancement Committee represent the School of Medicine on the university committee.

The file will contain the following:

Record of vote sheet
Dean's recommendation
School committee recommendation
Departmental chair recommendation
Departmental committee recommendation
Letters sent to external reviewers
Brief statement of the reviewers' qualifications
Letters from the reviewers
Candidate's promotion document

University

Review and make a recommendation. The University Promotion and Tenure Committee shall use the applicable departmental criteria to review the candidate's file and make its recommendation. If the university committee reverses a recommendation by the departmental committee, the school committee, or the dean, it must add a statement to the file explaining its reversal.
Notify the candidate of the university committee's decision. The provost shall inform the candidate of the decision and vote of the University Promotion and Tenure Committee and provide the candidate access to the file, which will include the committee's recommendation and a record of the vote. The candidate will have ten (10) working days to review the file and to add rebuttal material, if desired. In the case of a negative recommendation by the university committee, this rebuttal will constitute an appeal to the university president.
Forward recommendations to the president and the Board of Trustees. The University Promotion and Tenure Committee forwards its recommendations for promotion to the president and the Board of Trustees for approval. After approval by the Board of Trustees, promotions become effective in July of the following academic year.

Access to the File

The candidate has the right to access and obtain copies of the promotion file at any stage of the process and after its completion. If the candidate disagrees with any of the statements or conclusions in the file, the candidate may submit a letter of rebuttal and supporting evidence, if desired. The rebuttal letter(s) and supporting evidence will be added to the candidate's promotion file and will be given full consideration at all subsequent stages of the promotion process. At each stage, a rebuttal letter and supporting evidence may not exceed 15 pages, although it may reference additional items with instructions as to where and how they may be inspected. A rebuttal letter and supporting evidence may confirm publication of an item listed in the curriculum vitae as under review, but it cannot admit previously unlisted works in the candidate's record of scholarship.

Withdrawal of Promotion Request

Once the promotion process has begun, only the candidate may terminate the process. To do so, the candidate must submit written notice of withdrawal to the departmental chair, who will then convey this information to the dean and the provost, as appropriate.

Promotion to Assistant Professor

Promotion from instructor to assistant professor can be attained without action from the school Faculty Promotion and Advancement Committee or the University Promotion and Tenure Committee if the faculty member has achieved a single specific criterion for this promotion. Examples would include achievement of board certification in a clinical specialty or completion of a postdoctoral fellowship in a basic science. The departmental chair notifies the Office for Faculty and Clinical Affairs.

Updated November 8, 2011 (sho)

Procedure number: 330

Revised: June 2008

Subject: Promotions-Partially Affiliated

Promotions can be proposed by the departmental chair at any time.
Promotions must be reviewed by the Office of Faculty and Clinical Affairs. After review the Office of Faculty and Clinical Affairs will send its recommendation to the School Executive Committee for approval. The promotion document should include
1. a current curriculum vitae.
2. a memo of proposal from the chair describing the faculty member's activities-teaching, service and scholarship-justifying promotion.
3. a memo of support from the department's faculty actions committee.
4. letters of support (for promotion to clinical professor/adjunct professor).
The effective date of all promotions is the date of Executive Committee approval unless otherwise specified in the chair's proposal memo.

Updated June 4, 2008 (sho)

Procedure number: 340

Created: June 2008

Subject: Promotions-Research

Promotions can be proposed by the departmental chair at any time.
Promotion files must be prepared following the guidelines in Procedure 310.
Promotions must be reviewed by the Office of Faculty and Clinical Affairs. After review, the Office of Faculty and Clinical Affairs sends its recommendation to the School Executive Committee for approval.
The effective date of all promotions is July 1 of the following academic year.