Faculty Appointments

TYPES

PROCESS

COMMON MISTAKESRESOURCES

Jane Crosta

Assistant Director, Faculty Administration

Emory University School of Medicine

September 1, 2006

Faculty New Hires Since 2005-2005:

219

Faculty Separations Since 2005-2006:

150

Total Number of Current Faculty as of 8/31/06:

2002

CHECKLIST FOR NEW FACULTY APPOINTMENT (New Hire, All Ranks) Emory University School of Medicine

Name_____________________________________________ Date Packet Received _________________Rank (including track)_________________________________Effective Date______________________________________Dept______________________________________________Regular Faculty 1._____Letter from Chair to Dean (submitted to allow processing before candidate’s arrival) 2._____A separate memo precisely stating how much and where each new faculty member will be providing clinical service (e.g., TEC, Grady, VAMC, CHOA, etc.). 3._____HRAF (signed; all sections completed) 4._____Federal W-4 Tax Form 5._____State G-4 Tax Form 6._____I-9 Form (Employment Eligibility) 7._____Faculty Proposal Form (FPF) with appropriate signatures (signed by Dr. Caughman if Emory Clinic pays; 8._____Copy of current CV, on paper and electronically 9._____Search Activity Report (completed and signed by department and EOP)

OR _____Administrative Decision form (required when there is not an open process for filling the position; signed by

Dean’s office and EOP)(Notes regarding EOP requirements: transition from staff, fellow, or resident status to faculty status is treated as a new appointment, not a promotion and a SAR or Administrative Decision form is required. No SAR required if position is to be no longer than 6 months full-time or 9 months part-time.)

10. ____If SAR, Affirmative Action Faculty Recruitment Checklist11._____Copy of (edited) recruitment letter to candidate, with signatures12._____Copy of diploma from institution granting highest degree, or if that is not available, a certified copy of the

transcript from that institution; this is required only for faculty not going through the Emory Healthcare credentialing process.

13. _____Brief biosketch introducing new faculty member—this should be a very brief narrative description providing name, rank, naming institutions where they received their graduate-level degrees, and one sentence about what they will be doing at Emory. In total this should be 4-5 sentences at most. This can be provided electronically to us, making this notation on the appointment when it is delivered to Dean’s

office. Sample provided upon request. This is different from a NIH biosketch.

Reminder: FPF packet and administrative decision request (if there is one) should be routed through Dean’s office for preliminary approval and prior to the actual official appointment packet outlined above.

CHECKLIST FOR NEW FACULTY APPOINTMENT (CONT.)

Secondary (WOC) or Joint Appointment (paid)1. _____Letter of approval from both department chairs (primary and secondary, including approval of salary distribution if joint)2. _____CV on paper and electronically 3. _____HRAF

Visiting Faculty Appointment (Titles are Visiting Prof, Visiting Assistant Prof, etc., or Visiting Scholar)1._____Chair’s letter to Dean requesting appointment, stating purpose of the visit/research, length of the appointment, compensation arrangements2._____CV on paper and electronically 3._____HRAF, along other papers required by HR (i.e., tax forms, I-9)4._____Administrative Decision Request, previously approved by Dean’s office and EOP

Volunteer Faculty (WOC Appointment)1._____Letter from Chair (stating credentials of candidate, what they do and what they will do for SOM/Dept)2._____HRAF 3._____Copy of current CV on paper and electronically

Reappointment of an “auto-term” appointment (to be effective immediately upon end of original term)1. _____Letter from Chair2. _____current CV on paper and electronically

Promotion (junior rank)1. _____Letter from Chair requesting and justifying the promotion2. _____HRAF (Action/Reason Codes = Pro/Mgt)3. _____current CV on paper and electronically

Emeritus Appointment (These actions usually accompany the letter and HRAF for retirement)1._____Letter from Chair, including date of original faculty appointment, date of retirement2._____HRAF3._____current CV

HRAF Action/Reason Codes and Field Data

Faculty Rank: Hours/FTE Conversion:Professor - 10 40/1.0Associate Professor - 15 30/.75Assistant Professor - 20 20/.50Instructor - 25 10/.25Senior Associate 30 4/0.1

Associate - 35

Action Action Code Reason Code

New Hire (new to Emory) HIR HRE

Faculty Appointment (from post doc or faculy equiv.) DTA STC

Auto-term Appointment HIR HRE

Faculty Promotion PRO MGT

Joint Appointment HIR HRE

Joint Promotion PRO MGT

Secondary Appointment HIR HRE

Secondary Promotion PRO MGT

Change of Department XFR LXF (most often)

Change of Track DTA CJC

Change to Part-Time DTA STC

Change to Full-Time DTA STC

Change from Volunteer to Regular Faculty DTA CRG

Change from Regular Faculty to Volunteer TER REH

Correction of Job Title DTA CJC

Grant of Tenure DTA CJC

Change to Emeritus REH RET

Retirement RET RET

Resignation TER (multiple)

Leave of Absence LOA or PLA (multiple)

Visiting Appointment HIR HRE

Volunteer Appointment HIR HRE

Volunteer Promotion PRO MGT

Rehire REH REH

Rehire Retiree REH RET

Visa Issue (change rank) POS CJC

Distribution Change (no change in total all source) PAY CID

Pay Adjustment (total all source salary change) PAY ADJ

Regular Appointments Include:Regular Faculty AppointmentsVA compensated faculty appointments

Temporary Appointments Include:Volunteer Faculty AppointmentsSecondary AppointmentsJoint AppointmentsAuto-term appointmentsVisiting Faculty appointments

Employee Class:0 - Instructor, Associate, Senior Assoc1 - Faculty above Instructor3 - Faculty EquivalentA - Adjunct FacultyH - WOC appointment

Pay Group:EUM - EU monthlyEUB - EU biweeklyWOC - Volunteers, no compensationTCM - TEC

Grade: 99

Track:Clinical - CResearch - RTenure - TVolunteer Adjunct - VAVolunteer Clinical - VCJoint - N/ASecondary - N/AEmeritus - P

Earnings Code - REG or P/T

BAS Group - EUVBenfits Eligibility - REG or P/T

Possible Ranks

Professor

Associate Professor

Assistant Professor

Instructor

Senior Associate

Associate

JobCode JobDesc9241 Professor w/tenure9281 Professor-CT9291 Professor-RT9242 Associate Professor w/tenure9284 Associate Professor-TT9282 Associate Professor-CT9292 Associate Professor-RT9243 Assistant Professor-TT9283 Assistant Professor-CT9293 Assistant Professor-RT9247 Instructor-TT9287 Instructor-CT9297 Instructor-RT9288 Senior Associate-CT9298 Senior Associate-RT9289 Associate-CT9299 Associate-RT9370 Acting Professor - TT9372 Acting Professor - CT9374 Acting Professor - RT9371 Acting Associate Professor - TT9373 Acting Associate Professor - CT9375 Acting Associate Professor - RT9271 Visiting Professor9272 Visiting Associate Professor9273 Visiting Assistant Professor9277 Visiting Instructor9274 Visiting Senior Associate9276 Visiting Associate9318 Visiting Scholar9261 Adjunct Professor9262 Adjunct Associate Professor9263 Adjunct Assistant Professor9267 Adjunct Instructor9269 Adjunct Senior Associate9266 Adjunct Associate9270 Adjunct Professor Emeritus

9251 Clinical Professor9252 Clinical Associate Professor9253 Clinical Assistant Professor9257 Clinical Instructor9255 Clinical Senior Associate9256 Clinical Associate9254 Clinical Professor Emeritus9244 Professor Emeritus

Possible Tracks

with tenure

tenure track

clinical track

research track

Faculty Titles, Ranks, Tracks, and the Job Code

Template for Notice of Non-Renewal Letters(Chair must confer with Dean Adkison to giving notice. Draft of notice must be

reviewed as well.)

Date

Dear _____________:

This letter will serve as notification that your faculty appointment in the School of Medicine as ______(rank)________ of ________(department)______ will not be renewed beyond August 31, 20__. Your appointments in The Emory Clinic and ______(list as appropriate)_____ and the Emory Hospitals and at our affiliate hospitals will end simultaneously. This notice is given in accordance with Paragraph 7 (c) of the Emory University Statement of Principles Governing Faculty Relationships.

Sincerely,

Chair (Chair only signs)

cc: Dean of the School of Medicine

Common Mistakes with New Hire Paperwork

PRELIMINARY PROCESS

• Faculty Proposal Forms– Failure to secure appropriate signatures for non-SOM salaries:

• Wright Caughman, M.D., Director, The Emory Clinic, 404-778-3774• David Bower, M.D., Chief of Staff, Atlanta VA Medical Center, 404-321-6111• Check with Curtis Lewis, M.D., Chief of Staff and Sr. Vice President of Medical Affairs GHS, Grady Memorial

Hospital, to identify appropriate division vice president, 404-616-6753– Failure to provide correct fringe rates (e.g., TEC, VA)

• CVs – they should be current CVs with NO dates of birth or social security numbers

• Draft recruitment letters – please use the SOM Dean’s Office Draft Recruitment Letter template, as

revised 6/5/06

FINAL NEW HIRE PAPERWORK PACKET

• Documents frequently omitted from final packet:– Biosketch– EOP form (Search Activity Report or Administrative Decision)– Signed Recruitment letter

• HRAF coding clarification – temporary faculty appointment versus temporary employment – the term “temporary appointment” as used in the faculty recruitment letters relates to the Gray Book paragraph six description of various types of faculty appointments and is not the same as the “temporary” used to code HRAFs. Faculty with “temporary” appointments should routinely be coded on the HRAF as “regular full-time” or “regular part-time” for benefits eligibility.

Guidelines on Appointment, Promotion, and TenureEmory University School of Medicine

http://www.med.emory.edu/dean/faculty_affairs/apguidelines/index.htm

Statement of Principles Governing Faculty Relationships

http://www.emory.edu/PROVOST/policy_bylaws/statement_principles.htm

SENIOR FACULTY APPOINTMENTS AND PROMOTIONS

TYPES

PROCESS

COMMON MISTAKESRESOURCES

Jane Crosta

Assistant Director, Faculty Administration

Emory University School of Medicine

September 1, 2006

FCAP Actions Considered 2005-2006

Associate Professor/Professor Appointments 2005-2006:

15

Associate Professor/Professor Promotions 2005-2006:

48

Grant of Tenure 2005-2006:

1

EMORY UNIVERSITY SCHOOL OF MEDICINECHECKLIST FOR APPOINTMENT OR PROMOTION TO TENURED SENIOR RANKS Associate Professor or Professor with tenure or Associate Professor tenure track

This checklist includes requirements from the Provost’s office. See http://www.emory.edu/PROVOST/tenure.htm for more information from the Provost’s office.

[Items 1-3 may be included in the Chair’s letter or as separate memoranda.]___1. A statement of the data or documents that were reviewed by the Department Appointments and Promotions Committee.___2. The vote of the Department Appointments and Promotions Committee (without names).___3. A statement that the Department Affirmative Action Committee reviewed and certified that affirmative action procedures were followed.___4. Chair’s letter of support.

Checklist for Chair’s letter___(1)A clear statement of the areas in which outstanding, excellent, and good criteria have been achieved by the

candidate;___(2)An assessment (strengths and weaknesses) of the candidate's qualifications in scholarship for appointment or

promotion, including the candidate’s field and the candidate’s position within the field;___(3)An assessment (strengths and weaknesses) of the candidate's qualifications in teaching for appointment or

promotion, including a brief summary of teaching activities and how they were assessed;___(4)An assessment (strengths and weaknesses) of the candidate's qualifications for appointment or promotion in

service at Emory and reputation on the national and/or international level, including a statement that defines the service and describes how the service of the candidate was evaluated at Emory and externally;

___(5)An assessment of the nature and the current and future impact of the candidate’s scholarship, teaching, and service;

___(6)A description of how the candidate’s appointment/promotion will advance the purposes of the Department, School, and University;

___(7)For a new appointment, a description of the position and a brief summary of the qualifications of the cohort with whom the candidate has been evaluated.___5. A one-page summary of the CV.___6. A hard copy of the candidate’s full curriculum vitae in the standard School of Medicine format and one copy on diskette (Word or WordPerfect) or submitted to the Dean’s office electronically (preferred).

EMORY UNIVERSITY SCHOOL OF MEDICINECHECKLIST FOR APPOINTMENT OR PROMOTION TO TENURED SENIOR RANKS Associate Professor or Professor with tenure or Associate Professor tenure track

Continued

___7. The candidate’s teaching portfolio, prepared by the candidate, clearly documenting the basis for the assessment.More information is available in the Guidelines.

___8. A personal statement prepared by the candidate in language that the non-specialist can understand describing what the candidate plans to do in the next few years in research, teaching, and service, and also reviewing

prior achievements in these areas. The statement should be no more than five pages long. ___9. A list of all internal and external evaluators, and a brief description from the Chair of the credentials of each that

explain the selection of that evaluator; the evaluator’s perceived standing in the field of scholarship, teaching, and/or service; and the evaluator’s relationship to the candidate, if any (e.g., doctoral advisor, co-author, former student, research collaborator; residency director, fellowship advisor; see Guidelines for rules). Please list the evaluators in alpha order by last name of evaluator and arrange the letters in the same order in each packet.

___10. A list of additional potential evaluators, none of whom has advised, mentored, or collaborated with the candidate, prepared in consultation with the candidate

___11. One copy of the form letter used by the Chair to solicit internal and external evaluations; if different letters were used for different reviewers, a copy of each. The School of Medicine provides the template.

___12. Copies of all internal and external letters of evaluation, whether favorable or not. (See Guidelines for details on evaluation letters, especially as to mentors and collaborators.) All internal letters must be from faculty outside the candidate’s Department. - For Associate Professor with tenure, at least six letters of evaluation, at least four of which

must be from outside the University.- For Professor with tenure, at least six letters from outside the University and two from Emory full professors outside the Department. All letters from internal evaluators must be from faculty outside the candidate’s Department.

___13. One letter, solicited by the Chair, from any University unit outside the SOM in which the faculty member holds joint appointment (if applicable).

___14. Copies of the five representative publications selected by the candidate that were provided to the peer reviewers.

___15. A list of Emory faculty, prepared in consultation with the candidate, who may not be used by the Faculty Committee on Appointments and Promotions as secondary reviewers (optional).

___16. Any other documents supporting the credentials of the candidate.

EMORY UNIVERSITY SCHOOL OF MEDICINECHECKLIST FOR APPOINTMENT OR PROMOTION TO SENIOR RANKS

ON CLINICAL TRACK OR RESEARCH TRACK(Associate Professor or Professor, CT or RT)

[Items 1-3 may be included in the Chair’s letter or as separate memoranda.] ___1. A statement of the data or documents that were reviewed by the Department Appointments and Promotions

Committee. ___2. The vote of the Department Appointments and Promotions Committee (without names). ___3. A statement that the Department Affirmative Action Committee reviewed and certified that affirmative action

procedures were followed. ___4. Chair’s letter of support.

Checklist for Chair’s letter___(1) A clear statement of the areas in which outstanding, excellent, and good criteria have been achieved by the candidate;___(2) An assessment (strengths and weaknesses) of the candidate's qualifications in scholarship for appointment or promotion, including the candidate’s field and the candidate’s position within the field;___(3) An assessment (strengths and weaknesses) of the candidate's qualifications in teaching for appointment or promotion, including a brief summary of teaching activities and how they were assessed;___(4) An assessment (strengths and weaknesses) of the candidate's qualifications for appointment or promotion in service at Emory and reputation on the national and/or international level, including a statement that defines the service and describes how the service of the candidate was evaluated at Emory and externally;___(5) An assessment of the nature and the current and future impact of the candidate’s scholarship, teaching, and service;___(6) A description of how the candidate’s promotion will advance the purposes of the Department, School, and University;___(7) For a new appointment, a description of the position and a brief summary of the qualifications of the cohort with whom the candidate has been evaluated.

___5. A hard copy of the candidate’s full curriculum vitae in the standard School of Medicine format and one copy on diskette (Word or WordPerfect) or submitted to the Dean’s office electronically (preferred).

___6. The candidate’s teaching portfolio, prepared by the candidate, clearly documenting the basis for the assessment. More information is available in the Guidelines.

___7. A personal statement prepared by the candidate in language that the non-specialist can understand describing what the candidate plans to do in the next few years in research, teaching, and service, and also reviewing prior achievements in these areas. The statement should be no more than five pages long.

EMORY UNIVERSITY SCHOOL OF MEDICINECHECKLIST FOR APPOINTMENT OR PROMOTION TO SENIOR RANKS

ON CLINICAL TRACK OR RESEARCH TRACK(Associate Professor or Professor, CT or RT)

continued

___8. A list of all internal and external evaluators, and a brief description from the Chair of the credentials of each that explain the selection of that evaluator; the evaluator’s perceived standing in the field of scholarship, teaching, and/or service; and the evaluator’s relationship to the candidate, if any (e.g., doctoral advisor, co-author, former student, research collaborator; residency director, fellowship advisor; see Guidelines for rules). Please arrange list in alpha order by last names of evaluators and arrange letters in the same order in each packet.

___9. A list of additional potential evaluators, none of whom has advised, mentored, or collaborated with the candidate, prepared in consultation with the candidate.

___10. One copy of the form letter used by the Chair to solicit internal and external evaluations; if different letters were used for different reviewers, a copy of each. The School of Medicine provides the template.

___11. Copies of all internal and external letters of evaluation, whether favorable or not (in alpha order). (See Guidelines for details on evaluation letters, especially as to mentors and collaborators.) All internal

letters must be from faculty outside the candidate’s Department.- For Associate Professor CT/RT, at least three letters of evaluation, at least two of

which must be from outside the University.- For Professor CT/RT, at least four letters, at least two of which must be from outside the University.

___12. One letter, solicited by the Chair, from any University unit outside the SOM in which the faculty member holds joint appointment (if applicable).

___13. Copies of the five representative publications selected by the candidate that were provided to the peer reviewers.

___14. A list of Emory faculty, prepared in consultation with the candidate, who may not be used by the Faculty Committee on Appointments and Promotions as secondary reviewers (optional).

___15. Any other documents supporting the credentials of the candidate.

EMORY UNIVERSITY SCHOOL OF MEDICINECHAIR’S FORM LETTER TO SOLICIT OUTSIDE EVALUATION

Dear __________:We are writing to request your candid evaluation of the credentials of (Name), whom we are presently considering for appointment/promotion to the rank of (Rank) with tenure/clinical track/research track in the Department of . You are a recognized expert in Dr. Doe’s field, and we would very much appreciate your appraisal of Dr. Doe’s accomplishments based on a comparison at the national level and at your own institution.

The criteria for appointment/promotion in the School of Medicine include achievement in scholarship, teaching, and professional service. A copy of the relevant section of our guidelines has been enclosed for your information, as well as a packet of information (including CV, teaching portfolio, and recent papers) on Dr. Doe presented in support of this action. As part of your evaluation, we would like to know his/her standing nationally and whether he/she would be considered for appointment/promotion at your institution at this rank.

Our procedure calls for a review at the levels of the Department, the School’s Faculty Committee on Appointments and Promotions, and the Council of Chairs in the School of Medicine, and approval by the Dean before the Dean makes a recommendation to the President of the University (used for tenure cases only). I hope to be able to present this proposal to the Dean on (date), and would be very grateful if I could receive your response before then.

I appreciate your taking the time to assist us in this important process.

Sincerely,

Common Mistakes with Senior Appointment and Promotion Packets

• Make sure the criteria is clearly stated in the Chair letter, and that the correct criteria is used (good, excellent, outstanding, no more adequate)

• CV (should be in SOM format)– No one page CV required for CT/RT tracks– No dates of birth– Research focus 50 words or less– Grant support – be sure to provide dollar amounts and inclusive dates– Editorships, Manuscript reviewer, Society Memberships – make sure years are included– Supervisory Teaching – include student names and current positions

• Teaching Portfolio – helpful hints– When proposed as excellent or outstanding in teaching the FCAP expects to see teaching evaluations and letters

from previous students– Please provide a sampling of Power Point presentations, course brochures, etc., rather than copies of every

presentation/lecture the faculty member has ever given

• Evaluator Lists– Arrange in alphabetical order– Provide the relationship between evaluator and candidate

• Procedural Errors– Candidate should NOT personally contact the evaluators; only the Chair should communicate with the evaluators– Be sure to have an adequate number of letters from appropriate evaluators– Failure to provide required documentation to evaluators (candidate’s CV, teaching portfolio, and recent papers)

• No frills – no filler paper, dividers, bound packets

Guidelines on Appointment, Promotion, and TenureEmory University School of Medicine

http://www.med.emory.edu/dean/faculty_affairs/apguidelines/index.htm

Statement of Principles Governing Faculty Relationships

http://www.emory.edu/PROVOST/policy_bylaws/statement_principles.htm

The Good News – No more 18 copies of the packet – electronic

process is going to be implemented for 2006-2007 actions

Take care of people at every step of the way