Policies and Procedures for Faculty Appointment, Promotion and Tenure. University of Maryland Dental School

Transcription

1 Policies and Procedures for Faculty Appointment, Promotion and Tenure University of Maryland Dental School Approved: David J. Ramsay, D.M., D.Phil. President Date: Christian S. Stohler, DMD, DrMedDent Date: APT doc

2 TABLE OF CONTENTS INTRODUCTION INFORMATION ABOUT THE APTC FACULTY RANKS, PROMOTION AND TENURE Appointments and Promotions Reviewed by the APTC Position Descriptions Ranks and titles of Tenure Track Faculty Non tenure Track Faculty Research Positions Teaching and/or Clinical Positions Dental School Positions Clinical Positions Dean s Faculty (Volunteers) Adjunct Faculty Positions Emeritus Faculty Positions Visiting Faculty Positions Changes of Status APPOINTMENT, PROMOTION AND TENURE REVIEW PROCEDURES Appointment Procedures Promotion Procedures Departmental Review Committee APTC Review Procedures Procedure and Timeline for Consideration of Candidates for Promotion Appeals; Final Action CRITERIA FOR PROMOTION AND/OR TENURE Teaching Teaching Portfolio Scholarly Activity Service to the University, Profession or Community Service to the University Continuing Education Service to the Profession or the Community DOSSIER: ELEMENTS AND EVALUATION Chair s letter Departmental Review Committee Report Names of External Evaluators Candidate s Statement APT SG.doc 2

3 5.4. Curriculum Vitae Teaching Portfolio Patient Care Portfolio Selected Reprints Appendices [PENDING] Appendix 2: INSTRUCTIONS for UMB Dental School CURRICULUM VITAE Appendix 3: TEMPLATE for UMB Dental School CURRICULUM VITAE Appendix 4: Sample Solicitation Letter for an External Letter of Recommendation Appendix 5: Dental School Policy on APT Appeals [pending] APT SG.doc 3

4 INTRODUCTION Promotion and tenure lie at the heart of the academic reward process for university faculty. The University of Maryland Dental School (School) is committed to having its faculty well informed about the professional accomplishments expected for promotion and tenure, as well as the procedures of the School for evaluation of candidates for promotion and tenure. These Policies and Procedures for Faculty Appointment, Promotion, and Tenure (Policies), provide faculty with information about these expectations and the School s procedures. The Policies provide guidelines for individual professional development and specify a format for the dossier of a candidate seeking appointment, promotion, or tenure. The Appointments Promotions and Tenure Committee (APTC) of the School faculty is responsible for evaluation of candidates for appointment, promotion and tenure, and making recommendations to School officials as set out in these Policies. The APTC follows the guidelines set out in II-1.00 University System Policy on Appointment, Rank, and Tenure of Faculty; II-1.00(A) UMB Policy on Appointment, Rank, and Tenure of Faculty; and the Dental School Plan of Organization (see Appendix 1). 1. INFORMATION ABOUT THE APTC The APTC evaluates candidates for appointment, promotion, and tenure and reports its decisions and recommendations to the Dean of the School (Dean). In addition, the APTC provides regular reports of its proceedings to the Faculty Assembly of the School The APTC has nine full-time School faculty members having the rank of associate professor or professor, and representing the range of faculty disciplines in the School. At least 5 members shall have tenure, and at least 5 members shall be professors. Any faculty member interested in serving on the APTC is encouraged to discuss membership on the APTC with his or her department chair prior to volunteering for the APTC. Members serve for three year terms. Terms begin July 1. A member may seek reelection for one additional term. A faculty member may be elected for no more than two consecutive terms. Additional terms are possible, always provided the faculty member is not a member of the APTC for at least three years after serving for six years. Every other year, a Chair is elected by the APTC from its membership in June or as soon thereafter as practical. The Chair serves for two years, after which time he/she may remain on the APTC for one year, at his or her discretion, to assist the new chair. However, a chair may not serve an additional year if that year would be a seventh year on the APTC. A member beginning the fifth or sixth year of APTC membership cannot be elected Chair. In the event that a Chair in unable to serve a complete term as Chair, the APTC will elect another member as Chair Appointment of new APTC members is accomplished as follows. The Internal Affairs Committee (IAC) of the Dental generates a list of potential members through internal discussion. This list is supplemented by self-nomination to the IAC and nomination from the floor of the May Faculty meeting. After the Faculty meeting, all candidates will be voted on electronically in an election by the full faculty, which is conducted by the IAC no APT SG.doc 4

5 later than June. Those not elected will be placed on the ballot for the following year, if they agree The APTC reviews the qualifications of candidates being considered for: a. Initial faculty appointment at the rank of assistant professor and above in the tenure track and the non-tenure track. b. Promotion to any rank in the tenure track and the non-tenure track. c. Promotion with tenure, or award of tenure separate from promotion, for tenure track faculty A favorable recommendation from the APTC is required for any of the appointment and promotion actions described above. There is a limited right to appeal negative APTC recommendations. See the Dental School Policy on APT Appeals, Appendix FACULTY RANKS, PROMOTION AND TENURE In appointment, promotion and tenure decisions the School evaluates faculty teaching, scholarship, and service to the Dental School, university, community and profession. The weights applied to these criteria in reaching appointment, promotion and tenure decisions generally will reflect the professional requirements of the candidate s academic track. Seniority is not a criterion. Decision of the School are based on demonstrated accomplishment and potential for future development, achievement, and contribution to the School Appointments and Promotions Reviewed by the APTC The APTC reviews all appointments and promotions at the ranks of assistant professor, associate professor and professor on the tenure track and the non tenure track Tenure track faculty are those full-time faculty members who have earned tenure or who are appointed to tenure track positions and may be considered for tenure. It is expected that faculty in the tenure track will contribute to each of the three principal areas of faculty obligation teaching, scholarship, and service to the School, university, community and profession Non tenure track faculty are those full-time, part-time, or volunteer faculty members who are not appointed to tenure track positions Position Descriptions In each category of appointments, there are specific faculty ranks and titles. These ranks and titles are listed and explained in this section Ranks and titles of Tenure Track Faculty The ranks and titles of tenure track faculty are: Assistant Professor, Associate Professor, and Professor. Tenure may be awarded only Associate Professors or Professors. All tenure track appointments are full time appointments. APT SG.doc 5

6 1. Assistant Professor The appointee ordinarily shall hold the doctorate or recognized terminal degree in the field of specialization. Degree requirements are: Basic sciences - Ph.D. or equivalent Clinical sciences - D.D.S. or equivalent (dentistry); M.S. or equivalent (dental hygiene) Social and behavioral sciences - Doctoral degree Educational sciences - Doctoral degree Evaluation of a candidate for assistant professor focuses principally on a candidate s potential, as shown by performance during graduate, postgraduate or professional study. The record of the candidate should strongly support the judgment that the individual is likely to be an effective teacher, to conduct research or other scholarly activity beyond that involved in graduate or professional study, and to develop positive and collegial relationships with other members of the School faculty and the larger university and professional community. Assistant Professors are appointed for an initial term of up to 3 years and can be reappointed for additional terms, provided that no appointment without tenure may extend beyond the end of the mandatory tenure review year. An appointment to the rank of Assistant Professor will be renewed automatically for one additional year unless the appointee is notified in writing to the contrary in accordance with the following deadlines: not later than March 1 of the first academic year of service or December 15 of the second academic year of service if the current appointment expires at the end of that year, and not later than August 1 prior to the third or any subsequent academic year of service if the current appointment expires at the end of that year. For appointments beginning at times other than the start of an academic year, the School may adjust the notice of nonrenewal dates accordingly by specifying such adjustments in the initial letter of appointment. An Assistant Professor without tenure whose appointment has been extended to a sixth year of continuous, full-time service shall receive no later than during that sixth year a formal review for tenure. An appointee reviewed for tenure shall be notified in writing, by the end of the appointment year in which the review was conducted, of the decision either to grant or deny tenure. If the School fails to conduct a tenure review before the end of the sixth year of an Assistant Professor s appointment in accordance with the schedule provided in these Policies, the appointee is entitled to a further one-year appointment. During that appointment, which is a seventh year of service as Assistant Professor, the tenure review shall take place. The additional, seventh year of appointment is given if the tenure review is not completed by June 30 of the sixth year of appointment for a reason beyond the control of the appointee. An Assistant Professor who has been reviewed during the sixth year of appointment (or, pursuant to the preceding paragraph, during the seventh year of appointment) and subsequently notified in writing that tenure has been denied, shall be granted an additional and terminal oneyear appointment (i.e., either a seventh or eighth year) in the rank of assistant professor, but, barring exceptional circumstances, shall receive no further consideration for tenure. APT SG.doc 6

7 Appointments to the rank of Assistant Professor may be terminated at any time in accordance with paragraphs I.C.6 through I.C.11 of the USM Policy on Faculty Appointment, Rank and Tenure (the USM Policy) (see Appendix 1). 2. Associate Professor In addition to having the qualifications of an Assistant Professor, an Associate Professor ordinarily has successful experience in teaching, research and scholarship at a level of excellence that is nationally recognized and well beyond that expected of an Assistant Professor. An Associate Professor is competent to offer pre-doctoral and graduate instruction and to direct graduate research. An Associate Professor s record reflects relevant and effective service to the institution, the community, and the profession. In evaluating candidates for this rank, a careful evaluation will be made of the candidate s teaching effectiveness and research accomplishments. The evidence must strongly support the judgment that the candidate will maintain a high level of performance in teaching, research, and service. Appointment or promotion to the rank of Associate Professor requires the written approval of the President of University of Maryland Baltimore (UMB). A new appointee to the rank of Associate Professor may be awarded tenure at appointment provided that the appointee has been formally reviewed and approved for tenure. Otherwise, initial appointments at this rank are for an initial period of one to four years, except that initial appointments for individuals with no prior teaching experience may be for a maximum of six years, and shall terminate at the end of that period unless the appointee is notified in writing that he or she has been granted tenure. Promotion to the rank of Associate Professor is concurrent with award of tenure. Consequently such promotions may only be awarded subsequent to a formal tenure review and a decision to award tenure. Award of tenure without promotion is not permitted, and promotion without award of tenure is not permitted in the tenure track. An Associate Professor who is appointed without tenure shall receive a formal review for tenure during the period of appointment in accordance with the following deadlines. If the appointment is for an initial period of one year, then the formal review must be completed, and written notice must be given that tenure has been granted or denied, by March 1 of that year. If the appointment is for two years, then the formal review must be completed, and written notice must be given that tenure has been granted or denied, by no later than December 15 of the second year. If the appointment is for more than two years, then the formal review must be completed, and written notice must be given that tenure has been granted or denied, by no later than August 1 prior to the beginning of the final year of the appointment. For appointments beginning at a time other than the start of an academic year, the School may adjust the notice of tenure denial dates accordingly by specifying the adjustments in the initial letter of appointment. Appointments to the rank of Associate Professor may be terminated at any time as described under paragraphs I.C.6 through I.C.11 of the USM Policy (see Appendix 1). Tenure in the rank of Associate Professor can be awarded only by an affirmative decision based upon a formal review. An Associate Professor who has been notified in writing that tenure has been denied, barring exceptional circumstances, shall receive no further consideration for tenure. APT SG.doc 7

8 If the School fails to conduct a tenure review and provide the required notice in accordance with the schedule provided in these Policies, the appointment shall be extended for an additional year, so that the notice required by this section may be provided in full. 3. Professor In addition to having the qualifications of an Associate Professor, the appointee ordinarily shall have established an outstanding record of teaching, research and scholarship and both a national and an international reputation in the field. There shall be continuing evidence of relevant and effective service to the institution, the community, and the profession. A candidate for this rank should be a clearly established, nationally recognized, and highly regarded teacher and scholar. When it is applicable, there must be evidence of ability to direct the programs of advanced students in his/her field. In cases of promotion, effective contributions to UMB, the School, and the community in terms of service must also be part of the record. The record supporting appointment or promotion at the rank of Professor must establish through clear and strong indicators the candidate s excellence as a teacher, scholar and contributor to a specific field. Appointments or promotions to the rank of Professor require written approval of the President of UMB. Only a candidate approved for tenure may be appointed or promoted to the rank of Professor in this track. Promotions to Professor do not follow a specific time-line, and are made when appropriate Non tenure Track Faculty There are two non tenure track categories for full time faculty: Research and Teaching/Clinical. Faculty titles in the Research category have the prefix Research; faculty titles in the Teaching/Clinical track have the prefix Dental School, if appointees are full time, and Clinical, if appointees are part time. Non tenure track faculty generally are appointed to one year terms and may be reappointed annually. Terms of appointment are July 1 to June 30. Total years of service in rank may be limited as explained below. For some ranks, multiple year appointments are possible as noted below. For full time non tenure track faculty whose service with the School is less than seven years, notice of termination of faculty appointment is required at least 90 days before the appointment ends. If service is seven years or more, notice of termination is required at least 6 months before the appointment ends. If the School seeks to terminate a faculty appointment by giving notice prior to the end of an appointment year, but does not give the required notice, employment will be extended by the number of days necessary to meet the notice requirement. There is no minimum requirement for notification of termination for part-time faculty Research Positions Full time or part time faculty members whose responsibilities are exclusively or primarily research will hold one of the ranks described below. Responsibilities may include some APT SG.doc 8

9 teaching, such as supervising students in laboratory activities and giving lectures in courses. Promotion to higher ranks will be based primarily on research activities and publications. 1. Faculty Research Assistant A Faculty Research Assistant is capable of assisting in research under the direction of the head of a research project and has ability and training adequate to carry out required techniques, assemble data, and use and care for any specialized apparatus. A baccalaureate degree shall be the minimum requirement. This appointment is made by the Department Chair and approved by the dean. It is not considered by the APTC. Appointments are for one year terms, and are terminable at the discretion of the Department Chair. 2. Research Associate A Research Associate ordinarily holds the doctoral degree in the field of specialization or has comparable experience. The appointee is capable of carrying out individual research or collaborating in group research at an advanced level; is trained in research procedures; and has the experience and specialized training necessary to develop and interpret data required for success in research projects. This appointment is made annually for one year terms, with reappointment possible for a maximum of six years. This appointment is made by the Department Chair and approved by the Dean. It is not considered by the APTC. Termination of appointments during a term year is subject to the UMB Policy on Termination of Non-Tenure Track Faculty Appointments. 3. Research Assistant Professor This rank is generally parallel to Assistant Professor. In addition to the qualifications of a Research Associate, an appointee to this rank demonstrates superior research abilities and is qualified and competent to direct the work of others (such as technicians, graduate students, other senior research personnel). An Appointee at this rank holds the highest earned degree normally associated with the rank of assistant professor in the field of specialization or has comparable experience. Ordinarily this degree is Ph.D. or equivalent for non-clinicians, and M.D., D.D.S. or D.M.D. or equivalent for clinicians. The appointee s record must clearly establish research ability and the capability to carry out independent research. Initial appointment to this rank is for a term of one, two, or three years, and reappointment is possible. Termination of appointments is subject to the UMB Policy on Termination of Non- Tenure Track Faculty Appointments. 4. Research Associate Professor In addition to the qualifications required for Research Assistant Professor, an appointee to this rank should have extensive successful experience in scholarly endeavors and the ability to propose, develop, and manage major research projects. Scholarly and research competence must be demonstrated by a record of developing and managing major research projects. Initial appointment to this rank is for a term of one, two, or three years, and reappointment is possible. Termination of appointments is subject to the UMB Policy on Termination of Non- Tenure Track Faculty Appointments. 5. Research Professor In addition to the qualifications required for the Research Associate Professor rank, appointees to this rank demonstrate a degree of proficiency sufficient to establish an excellent reputation APT SG.doc 9

10 among regional and national colleagues. An appointee s record must include sound scholarly production in research, publication, and professional achievements. Initial appointment at this rank is for a term up to five years, and reappointment is possible. Termination of appointments is subject to the UMB Policy on Termination of Non-Tenure Track Faculty Appointments Teaching and/or Clinical Positions The School uses the modifier Dental School to indicate teaching and clinical positions that are full-time, and the modifier Clinical to indicate teaching and clinical positions that are part-time. Promotion criteria for part-time faculty are not included in this document. Such promotions are based primarily on relevance of a faculty member s work to school and department missions Dental School Positions A full-time faculty member whose major responsibilities are teaching may be appointed at one of the following ranks. 1. Dental School Assistant Professor An appointee to this rank holds, at a minimum, the terminal professional degree in the field. There must be a record establishing a high level of ability in teaching and clinical practice in the departmental field, and the capacity for clinical supervision in a subdivision of this field. An appointee demonstrates scholarly and administrative ability. 2. Dental School Associate Professor In addition to the qualifications required of a Dental School Assistant Professor, an appointee ordinarily has extensive successful experience in clinical or professional practice in a field of specialization, or in a subdivision of the departmental field, and in working with and/or directing others (such as professionals, faculty members, graduate students, fellows, residents, or interns) in clinical activities of the profession. An appointee s record demonstrates superior teaching, service, and scholarship, as well as clinical professional practice and/or administrative competence, as appropriate. 3. Dental School Professor In addition to the qualifications required of a Dental School Associate Professor, an appointee demonstrates excellence in teaching, leadership, and clinical professional practice sufficient to establish an outstanding regional and national reputation among colleagues. An appointee also demonstrates extraordinary scholarly competence and leadership in the profession Clinical Positions Part-time faculty members whose major responsibilities are teaching may hold one of the following ranks. 1. Clinical Instructor The appointee holds, at a minimum, the terminal professional degree in the field. The appointee s record demonstrates potential in clinical practice and teaching in the departmental field. This appointment is made by the Department Chair subject to the Dean s approval. It is not considered by the APTC. APT SG.doc 10

11 2. Clinical Assistant Professor The appointee holds, at a minimum, the terminal professional degree in the field, with training and experience in an area of specialization. The appointee s record demonstrates a high level of ability in clinical practice and teaching in the departmental field and the potential for clinical and teaching excellence in a subdivision of the field. The appointee demonstrates scholarly and/or administrative ability. 3. Clinical Associate Professor In addition to the qualifications required of a Clinical Assistant Professor, the appointee ordinarily has extensive successful experience in clinical or professional practice in a field of specialization, or in a subdivision of the departmental field, and in working with and/or directing others (such as professionals, faculty members, graduate students, fellows, and residents or interns) in clinical activities in the field. The appointee demonstrates superior teaching ability and scholarly or administrative accomplishments. In addition to the qualifications required of a Clinical Assistant Professor, an appointee has extensive successful experience in clinical or professional practice or demonstrates superior teaching ability, scholarship, service, or administrative competence. 4. Clinical Professor In addition to the qualifications required of a Clinical Associate Professor, the appointee demonstrates a degree of excellence in clinical practice and teaching sufficient to establish an outstanding regional and national reputation among colleagues. The appointee demonstrates extraordinary scholarly competence and leadership in the profession Dean s Faculty (Volunteers) There are uncompensated, volunteer appointments. The Dean s Faculty may be assigned the same titles as the Research Track ( ) and the Clinical Track ( ) which are modified by the suffix - Dean s Faculty (e.g., Clinical Professor Dean s Faculty). The title clinical instructor also may be used, modified by the same suffix. The submitted dossier includes a letter from the Department Chair (Section 4.1) and a current CV (Appendices 2 and 3). These appointments and promotions are initiated by the Department Chair and Dean. If above the rank of clinical instructor these appointments require a favorable review by the APTC Adjunct Faculty Positions Adjunct appointments may be granted to appoint outstanding persons who are employed at other universities. This includes faculty members with primary appointments at other schools in UMB or in other USM institutions. An appointee should have expertise in the discipline and recognition for accomplishment. Adjunct appointments are non-tenured, volunteer or part time instructional faculty appointments. Adjunct appointments are held for stated terms or at the pleasure of the Dean, as specified in the appointment letter, and are terminable at the discretion of the Dean. Adjunct appointments require a favorable recommendation from the APTC to the Dean and the Dean s approval. 1. Adjunct Assistant Professor The appointee holds a terminal professional degree, usually DDS, DMD or PhD, and has completed all appropriate postdoctoral training. The appointee has a high level of ability in scholarly activities, teaching or service. APT SG.doc 11

12 2. Adjunct Associate Professor The appointee meets the requirements for Adjunct Assistant Professor. In addition, the appointee has extensive experience in scholarly activities and/or teaching in the field of specialization. The appointee demonstrates excellence in scholarly activities and/or teaching of students and/or trainees. 3. Adjunct Professor The appointee demonstrates a consistently excellent scholarly and educational record and nationally recognized scholarly contributions. In addition to meeting all the qualifications required of an Adjunct Associate Professor, an Adjunct Professor is recognized as a leader in the professional field as demonstrated both through professional activities and by documentation from peers Emeritus Faculty Positions At the discretion of the President of UMB and subject to the recommendation of the Dean, a retired Professor may be designated as an emeritus faculty member. The designation is made on the basis of both quality and length of service to the School Visiting Faculty Positions The prefix visiting before an academic title may be used to designate a short-term, full-time, non tenure track appointment of a person who is not otherwise employed by UMB. Short-term refers to a position that ordinarily is one semester or one academic year. These appointments require a favorable APTC recommendation to the Dean and the Dean s approval Changes of Status All changes from part time status to full time status, or from non tenure track to tenure track, shall be considered as an initial appointment to the new status for purposes of promotion or tenure review All faculty changing from full-time to part-time status shall be reclassified according to appropriate titles listed in the non-tenure track qualifications. All changes to parttime status result in loss of tenure or tenure track status. All changes to part time status require the Chair s and Dean s approval Transfers to part time status, and from tenure track to non tenure track, shall not be used to extend the maximum time periods of tenure track service as set out in these Policies. 3. APPOINTMENT, PROMOTION AND TENURE REVIEW PROCEDURES 3.1. Appointment Procedures Normally, a search committee is formed by a Department Chair to recruit for Assistant Professor, Associate Professor or Professor positions on the tenure track and non tenure track. The Search Committee may be comprised of faculty within or across departments. The Search Committee will develop and implement a recruitment plan, evaluate applicants suitability for the position, solicit letters from outside evaluators, and compile complete dossiers on semi-final candidates identified by the search committee. The search committee report is given to the Dean, who with the Department Chair APT SG.doc 12

13 makes a provisional appointment choice. At that time the appropriate paperwork is submitted to the APTC for evaluation of the candidate for appropriate faculty rank. For a selected candidate recommended to the APTC for determination of rank with a rank of Assistant Professor, Associate Professor or Professor, the Chair must submit to the APTC the candidate s CV (see appendices 2 and 3), as well as a cover letter from the Chair identifying the candidate s proposed duties and responsibilities; the bases for the recommendation, e.g., as excellence in teaching, research, and service; particularly impressive aspects of the candidate s record; the candidate s national/international reputation; the candidate s potential contribution to the School s mission; and a summary of supporting evidence for proposed rank from the outside letters of recommendation. If the search committee or candidate has provided the Department Chair with other materials appropriate for the dossier described in section 5, they may be submitted as well. The APTC reviews the dossier and indicates its recommendation for rank of the candidate to the Department Chair and Dean. The Dean s office will prepare appropriate appointment letters, or seek them from the UMB Vice President for Academic Affairs if required by campus policy. If applicable, the appointment letter will state when the review for promotion and/or tenure will be conducted Promotion Procedures Departmental Review Committee Each School department will have a Departmental Review Committee (DRC) appointed by the Department Chair. A DRC reviews the dossiers of candidates for tenure track and non-tenure track promotions. The DRC must have five members. At least three members are tenured faculty, unless the Dean approves a different committee membership. The DRC must include at least one tenured School faculty member from outside the Department. The Department Chair may invite other faculty from outside the Department to join the DRC when necessary due to unavailability of department faculty for DRC service. For candidates for promotion and tenure DRC review must be complete by the end of October of the appropriate year. Positive DRC recommendations regarding promotion and tenure are forwarded to the Department Chair. If the Chair agrees with the DRC recommendation, the Chair will forward the DRC s recommendation, along with a copy of the candidate s dossier, no later than November 1, as in below. See Exhibit 4 for detailed information about the dossier. For faculty with joint appointments in the Dental School, the DRC review will occur in the primary department (the department where the appointee spends 51% or more time) and be initiated by that department s Chair. At the discretion of the Dean, the secondary department s DRC may also review the candidate, and that DRC s recommendation and the recommendation of that Department chair may be considered by the Dean along with the primary department s recommendation. APT SG.doc 13

14 For faculty occupying the role of Department Chair, consideration for promotion or tenure will begin at the level of the APTC, at the Dean s request, and there shall be no DRC review APTC Review Procedures APTC members voting on any action must be at or above the rank and tenure status that the candidate is pursuing. For promotion to professor a quorum consists of four professors. A quorum for other actions is seven members, with the vote of at least five members required to reach a decision of the APTC. The chair of the APTC assigns primary and secondary reviewers to evaluate the candidate's dossier. The primary reviewer focuses on scholarship and general qualifications. The secondary reviewer focuses on teaching and service. Each reviewer prepares a report of the candidate s strengths and weaknesses based on the dossier and letters of recommendation. Each reviewer presents a report to the APTC. After full APTC discussion, each member shall vote by closed ballot recommending for or against the action under consideration. A positive recommendation by the APTC requires the votes of a majority of the eligible voting members in attendance. The results of the closed ballot will be announced to the APTC by its Chair, who will give the distribution of the vote. A record of the vote (number of positive and negative votes only) will be kept by the APTC Chair. If the APTC recommends against the action, it is the final decision of the Dental School. During the review, APTC members who are in the department of the candidate or were on the DRC that considered the candidate will recuse themselves from voting. If the APTC Chair is from the candidate s home department (or primary department, if the candidate has a joint appointment), a replacement APTC chair will be chosen to serve during that candidate s consideration. The replacement chair will be chosen by those members of the APTC who have not recused themselves from consideration of the candidate. After the APTC deliberates, its chair writes to the Dean advising of recommendations made by the APTC and the rationale for them. In the case of a negative APTC recommendation, the APTC will also inform the Department Chair. The Chair may ask the APTC to reconsider a negative recommendation based on new information. If the Chair does so, the APTC will reconsider the candidate if the APTC Chair reviews the new information and determines that its submission is appropriate under these Policies. The Chair may make only one request for reconsideration of a candidate Procedure and Timeline for Consideration of Candidates for Promotion Because academic excellence is a departmental responsibility, major accountability rests with the Department Chair, who must be the guiding force in the recruitment and development of faculty. It is the Chair s responsibility to counsel faculty members annually concerning their progress towards eligibility of promotion and tenure. The chair must also make the decision to terminate appointments of faculty whose quality of teaching, scholarship, and/or service is not acceptable. For tenure track faculty, the appointment letter will state the anticipated schedule, under these Policies, for review for promotion and/or tenure. Each faculty member needs to develop and maintain a dossier during the course of School employment. The contents of the dossier are explained in detail in Section 5.0 below. The APT SG.doc 14

15 faculty member and the Department Chair will use the dossier to monitor the faculty member s progress in the areas to be evaluated for promotion and tenure, and ultimately to be submitted to the School for promotion and/or tenure decisions. The Department Chair will rely upon the dossier in making decisions concerning renewal of appointment. The DRC also may review the candidate s dossier annually to evaluate progress. Promotions are effective July 1 of each year. For all candidates seeking promotion, both the tenure track and the non-tenure track candidates, a completed review and decision must be made by the President or Vice President of Academic Affairs no later than June of the appropriate year. This must occur no later than the 6 th year of full-time appointment, for promotion from Assistant Professor to Associate Professor with tenure. For decisions in either track that are not related to the granting of tenure, the timeline below should be followed in the year in which a promotion is requested, in order to allow the President or VPAA to act on requested promotions in a timely manner. The regular schedule for APTC review of actions involving tenure can be advanced at the request of the Dean. Extension of the tenure track period can be requested in limited cases, such as childbirth, adoption or extraordinary circumstances. Extensions of the tenure track period are addressed in the UMB Faculty Handbook ( 2/t20100Csa.html), relying upon the relevant Board of Regents policy. The procedure and schedule for promotion is as follows: 1. The Department Chair initiates the review and compiles the dossier with the candidate (see section 5 for Dossier contents). The candidate needs to submit the dossier to the Chair and DRC by September 1 of the appropriate year. 2. The DRC reviews the candidate and advises the Department Chair of its recommendation. 3. If the DRC recommendation is favorable, and the Department Chair concurs, then the Department Chair submits one copy of the dossier to the APTC Chair no later than November 1, to review for completeness. 4. If the APTC Chair finds the dossier to be complete, the APTC advises the Department Chair and the Department supplies 14 copies to the APTC by November 15. These copies are for the nine APTC members, four outside evaluators, and the Dean s Office. 5. The APTC Chair requests letters of support for the candidate from outside evaluators. 6. The APTC meets in January to review dossiers involving candidates for promotion and tenure. 7. If the APTC recommendation is negative, a letter is sent to the Dean and Department Chair. If the APTC recommendation is positive, it is communicated to the Dean by April If the Dean s decision is negative, that is, his decision disagrees with the APTC recommendation; he communicates his decision to the Department Chair and the APTC. If the Dean agrees with the APTC, he submits the recommendation to the President. 9. The President s decision is communicated to the Dean, who informs the Department Chair and the faculty member. The Dean meets with the APTC in June to review the appointment and promotion decisions. Communication with faculty concerning appointment and promotion matters is the Department APT SG.doc 15

16 Chair s responsibility. The Department Chair should convey the Chair s decisions, as well as both positive and negative actions at other levels, to the affected faculty member within one week after the Chair makes a decision or receives information about an action Appeals; Final Action Negative recommendations by a DRC, a Department Chair, or the APTC are final actions of the School in most cases. However, a negative action involving a tenure track candidate for promotion and/or tenure may be appealed by the candidate in limited circumstances. The Dental School Policy on APT Appeals applies. See Appendix 5. Negative recommendations of the DRC, Chair, APTC or Dean that are not appealable are a final action of the School. Negative decisions by the Dean are not appealable and are the final action of the School; negative decisions by the President are not appealable and are the final action of the campus. 4. Criteria for Promotion and/or Tenure The areas of activity evaluated in promotion and tenure decisions are: (1) teaching; (2) scholarly activity; and (3) community, professional and public service Teaching Teaching is one of the primary missions of the Dental School. It is related to and supported by research and other scholarly activities. It extends beyond the institutional setting and serves the profession and the community at large. All Dental School faculty not in the Research category of the non-tenure Track must make a significant time commitment to teaching. Faculty members are expected to be knowledgeable of the literature of their field, and must demonstrate the ability to assimilate and integrate this knowledge and effectively teach it. Teaching is defined in the broadest possible context and may encompass lecture, small group, seminar, clinical and laboratory instruction, as well as one-on-one instruction. Dissertation and thesis supervision and mentoring of students and fellows also are included under the definition of teaching. It is recognized that authoring a textbook is scholarly activity but also can be viewed as evidence of teaching achievement. The criteria for teaching effectiveness that shall be considered in promotion decisions to assistant, associate, and full professor include quality of teaching, innovation, impact upon students, and nature and extent of responsibilities The foundation of quality teaching is mastery of the subject, including the spectrum of the current literature in one's discipline. Examples of quality teaching are: a. Utilization of highly effective oral, visual, and written communication techniques b. Stimulation of critical thinking and problem solving c. Encouragement of conceptual comprehension as well as factual recall d. Encouragement of students to raise questions and express ideas e. Performance of duties with enthusiasm and energy f. Continual updating of teaching based on current knowledge, techniques, and concepts APT SG.doc 16

17 Innovations in teaching must accomplish more than mere change. Some examples of innovations in teaching are: a. Taking advantage of new technology to improve teaching effectiveness b. Developing new courses and programs or unique learning experiences c. Using the results of educational research to improve individual teaching, courses, or the curriculum A positive impact of teaching on the student should be the goal of each faculty member. Some examples are: a. Students pursue additional study or research opportunity with the faculty member b. Positive student evaluations of teaching. c. Awards earned by students under faculty mentorship Examples of the nature and extent of teaching responsibility include: a. Directing a course or having primary responsibilities for a teaching program. b. Presenting a balanced point of view c. Being available for student consultations d. Being fair and reasonable in evaluation of students e. Continually evaluating and improving one s own teaching f. Meeting teaching obligations by being prompt and available throughout the course/clinic g. Presenting material at the appropriate level for the type of students being taught h. Following course guidelines. i. Devoting appropriate time in mentoring students j. Displaying organizational skills that result in student achievement Evaluation of teaching effectiveness cannot be solely a quantitative measurement and has a subjective element. Input into the evaluation from students, peers, department chairs, and other sources can help maximize the validity of the judgments that must be made. For full-time faculty, a teaching portfolio is the accepted method to document teaching ability and effectiveness Teaching Portfolio Teaching portfolios will be required of all full-time faculty. It is anticipated that maintaining a teaching portfolio will guide discussions between faculty candidate and his or her Department Chair (or higher administrator) and serve as evidence of fulfilling the teaching responsibilities assigned to the candidate. A selective summary of an individual s teaching philosophy and effectiveness shall be demonstrated in a teaching portfolio. The portfolio should be reflective of the candidate s own unique teaching experience, and therefore teaching portfolios from different candidates may differ in format and content. Items below illustrate content areas suitable for a teaching portfolio: Sample Teaching Portfolio A. Didactic and Clinical Teaching Responsibilities Summary of courses directed List of lectures given in other courses Student mentorship APT SG.doc 17

18 Thesis and Dissertation committees Supervision of student clinicians B. Efforts to Improve Teaching Formal courses taken in education Conferences and workshops attended Educational Research C. Course Development New course development Enhancement of existing courses D. Information from Students Summary statements from teaching evaluations by students and candidate s response to reported deficiencies. Statements from former students Listing of papers published by the candidate s students based on work done at the Dental School. Honors earned by the candidate s students based on work done at the Dental School. Leadership and administrative roles attained by former students. E. Service to Teaching Membership on teaching related committees (e.g., accreditation committees) Membership on student examining committees (e.g., qualifying exams, NERB) Development of new instructional methodologies F. Appendix of Teaching Materials (Submit only one copy of this Appendix) Syllabi CD of instructional media or teaching materials List a lecture on Blackboard that can be reviewed by the APTC 4.2. Scholarly Activity Scholarship is another primary mission of a research university. The quality of scholarly activities will be a critical measure for promotion and tenure. A scholar is one who achieves peer recognition of mastery in one or more disciplines. All faculty holding appointments in the tenure and non-tenure tracks are expected to engage in scholarly activities. Scholarly activities include the compilation, synthesis, and transmission of current knowledge. Such scholarly work may take many forms. The following five dimensions of scholarship, as expressed by Boyer (1990), describe these forms. the scholarship of teaching includes transmitting, transforming and extending knowledge; the scholarship of discovery refers to the pursuit of inquiry and investigation in search of new knowledge; the scholarship of integration consists of making connections across disciplines and, through this synthesis, advancing what we know; the scholarship of application asks how knowledge can be practically applied in a dynamic process whereby new understandings emerge from the act of applying knowledge through on ongoing cycle of theory to practice to theory; the scholarship of engagement connects any of the above dimensions of scholarship to the understanding and solving of pressing social, civic and ethical problems. Research is the key element of scholarship for tenure-track and research faculty. Research is the generation of new knowledge and includes original basic and/or clinical research. It is most frequently expressed as manuscript publication in refereed scientific journals. APT SG.doc 18

19 Research is evaluated primarily by review of published manuscripts and evaluations by outside evaluators. Productivity in research is measured by peer-reviewed articles (with attention to order of authorship); non-teaching books or book chapters; and published abstracts from scientific meetings. Quality and impact of research in the scientific community is evaluated through outside letters, citation statistics such as Citation Index ratings, invited presentations, and success at obtaining peer-reviewed funding. Scholarly activities that support teaching and/or community engagement/service may include the publication of textbooks, book chapters, review articles, case reports, technical and clinical procedures, and instructional materials, as well as the development of new continuing education courses and the editorship of professional journals. In the evaluation of the scholarship of community service/engagement, input and letters from community partners and agencies may provide additional evidence of accomplishment. Examples of supporting evidence for scholarship and research are compiled in terms of three criteria (list order does not imply relative merit). 1. Whether the candidate is engaged in research activity and has demonstrated the capability of formulating research questions, of designing a research plan, and of evaluating research data. Supporting evidence may consist of: a. Authorship of published research papers in referred journals indicating a significant contribution to the work. b. Authorship of a book or book chapter. c. Research grants or contracts awarded as a primary investigator or as a co-investigator. d. The presentation of research papers or seminars to peers. e. Invited group-authored documents, e.g. consensus development panels. f. Receipt of research funding. 2. Whether the candidate is abreast of current trends and has attained recognition outside the dental school in research, or other professional or scholarly activities. Supporting evidence may consist of: a. Invitations to regional, national or international research conferences and meetings to lecture or present seminars on the candidate s research activities. b. Invitations to chair sessions at national or international research meetings. c. Receipt of special honors and/or awards from a research group outside the dental school. d. Consultation to government groups (review committees, study sections, visitation teams, etc.). e. Appointment as a reviewer, an editor, or to an editorial board of a national or international journal. f. Demonstration of the ability to direct research training as a thesis advisor and the ability to attract graduate and/or postgraduate students to the department. g. Election as an officer or committee chair of a national or international society, which is dedicated to the advancement of knowledge. h. Completion of fellowships, mastery courses, continuing education and board certification for specialties. i. Honors and awards APT SG.doc 19