Transcription
9/21/2016Faculty Handbook on Appointment, Promotion, &Tenure Policies(APT)
Table of ContentsACKNOWLEDGEMENTS .4HEALTH SCIENCES CENTER PERSONNEL PROCEDURES FOR FACULTY . 5PERSONNEL POLICIES COMMITTEE . 5FUNCTIONS OF THE APT: . 5MEMBERSHIP . 5CONFIDENTIALITY OF THE APT COMMITTEE AND THE SON AD HOC REVIEW COMMITTEE . 5SUMMARY OF HEALTH SCIENCES CENTER PROCEDURES FOR FACULTY APPOINTMENT,REAPPOINTMENT, PROMOTION AND TENURE . 6SOURCES. 6TYPES OF FACULTY RANK . 7TRANSFERS BETWEEN ACADEMIC AND QUALIFIED ACADEMIC RANK . 8ACADEMIC REVIEW . 8INITIATION OF REVIEW FOR FACULTY APPOINTMENT, PROMOTION AND/OR CONTINUINGAPPOINTMENT . 9PROCESS OF APPOINTMENT AND DOCUMENTS REQUIRED FOR APPOINTMENT, REAPPOINTMENTS, PROMOTION AND/ORCONTINUING APPOINTMENT . 9ACADEMIC REVIEW: FACULTY APPOINTMENTS, REAPPOINTMENTS, PROMOTION AND/OR CONTINUING APPOINTMENT . 9CRITERIA AND DOCUMENTS REQUIRED FOR NEW APPOINTMENTS . 10NEW APPOINTMENT AS LECTURER, INSTRUCTOR OR ASSISTANT PROFESSOR . 10NEW APPOINTMENT AS ASSOCIATE PROFESSOR . 12NEW APPOINTMENT AS PROFESSOR . 12PROCESS OF REVIEW AND DOCUMENTS REQUIRED FOR REAPPOINTMENT TO A TERM OR TEMPORARYPOSITION . 14DOCUMENTS REQUIRED FOR REAPPOINTMENT TO A TERM OR TEMPORARY POSITION . 15REAPPOINTMENT AS CLINICAL ASSOCIATE PROFESSOR OR CLINICAL PROFESSOR IN A TERM OR TEMPORARY POSITIONREQUIRES EVIDENCE OF: . 16POLICIES OF THE PERSONNEL POLICIES COMMITTEE FOR APPOINTMENT, REAPPOINTMENT,PROMOTION AND TENURE . 17CRITERIA FOR AND CHARACTERISTICS OF THE FACULTY ROLE . 17CONTINUING APPOINTMENT . 18PROCESS AND PROCEDURE FOR PROMOTION AND/OR TENURE . 19INITIATION OF CANDIDACY. 19LENGTH OF SERVICE . 19TYPES OF REVIEWS . 19PROCESS AND PROCEDURE FOR PROMOTION AND/OR TENURE . 20INITIATION OF CANDIDACY. 20RESPONSIBILITY TO THE CANDIDATE FOR ASSEMBLY OF CANDIDATE’S FILE. 20ANNOUNCEMENT OF CANDIDACY . 20DEAN ANNOUNCES CANDIDACY TO ALL SON FACULTY . 20DOCUMENTS FOR PROMOTION . 21EVALUATION PROCEDURES OF THE SON AD HOC REVIEW COMMITTEE, DEAN, VP FOR THE HEALTHSCIENCES, PROVOST, AND PRESIDENT . 26EVALUATION PROCEDURES OF THE SON AD HOC REVIEW COMMITTEE . 26CONTINUING APPOINTMENT (TENURE) . 28Revised by APT 9/2016, approved by FASN 9/20162
CANDIDACY FOR CONTINUING APPOINTMENT (TENURE) . 28VOTING PROCEDURES OF THE SON AD HOC REVIEW COMMITTEE . 28EVALUATION BY THE SON AD HOC REVIEW COMMITTEE, DEAN, VP FOR THE HEALTH SCIENCES AND THE PROVOST . 28CANDIDATE NOTIFIED BY THE HSC PERSONNEL OFFICE THAT THE FILE IS AVAILABLE FOR REVIEW . 29PROVOST REVIEW . 29ACTION BY THE UNIVERSITY PRESIDENT . 29LETTER ANNOUNCING THE DECISION OF THE CHANCELLOR . 30RESUBMISSION . 30EVALUATING SCHOLARLY ACTIVITIES . 31SCHOLARLY ACTIVITIES . 31LEVELS OF SCHOLARSHIP . 31THE SCHOLARSHIP OF TEACHING . 32SCHOLARSHIP OF DISCOVERY (RESEARCH) . 33THE SCHOLARSHIP OF APPLICATION (PRACTICE) . 34TABLE 1: SCHOLARSHIP/RANK . 34MINIMUM TOTAL SCORES . 36APPENDIX A*: DEFINING SCHOLARSHIP . 35EVALUATION OF TEACHING.36EVALUATION OF SERVICE . 37APPENDIX B: APT/AD HOC REVIEW COMMITTEE CHAIR’S SUMMARY VOTING SHEET . 39APPENDIX C: PROMOTION AND/OR CONTINUING APPOINTMENT SUMMARY FILE CHECK-OFF LIST . 40Revised by APT 9/2016, approved by FASN 9/20163
PreambleThe faculty of the School of Nursing is diverse and differs in their activities, interests, and responsibilities.Standards set forth in this document recognize diversity and values and provide a means for assessingeach faculty member’s contribution thoroughly and fairly. At the core of these standards is the concept ofexcellence, that is, a level of performance that is not just adequate or above average but outstanding, thatdoes not satisfy minimal requirements but exhibits insight and creativity, and that does more than maintainthe status quo but advances the School’s mission.Revised by APT 9/2016, approved by FASN 9/20164
School of Nursing (SON)STONY BROOK UNIVERSITYF1Personnel Procedures for Faculty in the SONF1.1Appointment, Promotion & Tenure CommitteeThe purpose of the Appointment, Promotion & Tenure (APT) is to generate standardsfor faculty membership and implement the process by which all persons arerecommended for appointment, reappointment, continuing appointment (tenure) andpromotion.F1.1.2Functions of the APT:a.Adhere to institutional procedures for appointment, reappointment, continuingappointment (tenure), and promotion within the SON;b. Develop and review criteria for appointment by rank;c. Review written credentials and supporting documents of faculty for appointment,reappointment, continuing appointment (tenure), and promotion;d. Develop and review criteria/procedures to be followed in the formulation ofappointment, reappointment, continuing appointment (tenure), and promotionwithin the SON;e. Formulate, evaluate, and recommend revision for policies and proceduresregarding faculty activities and responsibilities.F1.1.3MembershipThe voting membership of the committee will include faculty with continuing appointmentsand those holding the academic rank of Clinical Associate Professor/Associate Professorand/or Clinical Professor/Professor, as determined by institutional policy.F1.1.4Confidentiality of the APT Committee and the SON Ad Hoc Review CommitteeApart from official communications by the Committee Chair, each Committee member isexpected to maintain strict confidentiality about the deliberations of the Committee. Materialsprovided to and discussion with members of APT are considered confidential and not fordiscussion beyond/outside of the Committee.Revised by APT 9/2016, approved by FASN 9/20165
F.1.2Procedures for Faculty Appointment, Reappointment, Promotion and TenureF1.2.1SourcesSON faculty are appointed, reappointed, promoted and given continuing appointment—ordenied any of these—by action taken in accordance with Article XIV of the Civil Service Code,the Policies of the State University of New York, the Agreement between the State of NewYork and United University Professions 2011-2016 (UUP), the Health Sciences Centerpolicies specified in F2 of this document and the by-laws of the SON.The faculty of the SON is diverse and differs in their activities, interests, and responsibilities.Standards set forth in this document recognize this diversity and provide a means forassessing each faculty member’s contribution thoroughly and fairly. At the core of thesestandards is the concept of excellence, that is, a level of performance that is not just adequateor above average but outstanding, that does not satisfy minimal requirements but exhibitsinsight and creativity, and that does more than maintain the status quo but advances theSchool’s mission. The basic considerations in assessing performance of a faculty memberare mastery of subject matter, contributions to new knowledge, effectiveness and innovationin teaching, scholarly accomplishment, effectiveness of university service, and potential forcontinuing professional growth.F1.2.2Faculty hold continuing, term or temporary appointments, as defined in Article XI of thePolicies. Policies of the Board of Trustees, State University of New York (2006), Article XII,Title B, paragraph 2, indicates “recommendations of academic employees, or theirappropriate committees, or other appropriate sources may consider, but shall not be limitedto consideration of the following:a. Mastery of subject matter – as demonstrated by such things advanceddegrees, licenses, honors, awards and reputation in the subject matter field.b. Effectiveness in teaching – as demonstrated by such as things asjudgment of colleagues, development of teaching materials or new coursesand student reaction, as determined from surveys, interviews and classroomobservation.c. Scholarly ability – as demonstrated by such things as success indeveloping and carrying out significant research work in the subject matterfield, contribution to the arts, publications and reputation among colleagues.d. Effectiveness of University service – demonstrated by such things asCollege and University public service, committee work, administrative workand work with students or community in addition to formal teacher-studentrelationships.e. Continuing growth – as demonstrated by such things as reading, researchor other activities to keep abreast of current developments in the academicemployee’s fields and being able to handle successfully increasedresponsibility. (See Appendix A outlining expected individual facultyoutcomes)Revised by APT 9/2016, approved by FASN 9/20166
F1.2.3Types of Faculty Rank1. Faculty appointment may be to either a tenure track or a non-tenure track. Facultyappointed to a non-tenure track will be given the qualified academic rank of clinicalfaculty in the appropriate rank (i.e. Clinical Lecturer, Clinical Instructor, ClinicalAssistant Professor, Clinical Associate Professor or Clinical Professor).a. Academic rank.Faculty with academic rank hold the title instructor, assistant professor, associateprofessor and professor, and must be reviewed for reappointment to term ortemporary appointment or for continuing appointment, following periods of servicewhich are specified in sections XI.B and XI.D of the Policies.b. Qualified academic rank.Faculty with qualified academic rank hold the title lecturer, or title of academic rankpreceded by the designations “clinical,” “research” or “visiting.” They are notrequired to be reviewed for continuing appointment, but they must be reviewed forreappointment to term or temporary appointment following periods of service whichare specified in section XI.D of the Policies.In regard to continuing appointment, faculty with qualified academic rank areappointed, reappointed and promoted following the procedures used for faculty inthe corresponding academic rank. Faculty with part-time or non-salariedappointments are appointed, reappointed and promoted following the proceduresused for full-time faculty at their rank.2. Non-salaried facultyNon-salaried faculty will be appointed to per diem Adjunct Clinical ranks, i.e., AdjunctClinical Lecturer, Adjunct Clinical Instructor, Adjunct Clinical Assistant Professor,Adjunct Clinical Associate Professor, Adjunct Clinical Professor, Lecturer or VisitingProfessor.Per Diem Adjunct Clinical Faculty AppointmentIn selected instances, individuals employed in professional positions who contributesignificantly to teach elements of the nursing program may receive clinicalappointments as adjunct faculty.Nominations can be proposed by faculty to appropriate Department Chair.Department Chairs make recommendations to the Office of the Dean.The Dean considers the recommendation of the Department Chair regarding theproposed appointment and suggested rank.3.Emeritus Academic Rank.No special action is required by the APT Committee to grant Emeritus status. Allmembers of the faculty who retire in good standing and hold continuing appointmentare entitled to add the word or title “Emeritus” or “Emerita” to their academic title at thetime of retirement per the office of the Dean. Emeritus rank carries with it suchprivileges which, in the judgment of the Dean, are feasible: use of the library and studyRevised by APT 9/2016, approved by FASN 9/20167
facility, use of office and laboratory space, eligibility for research grants andrepresentation of the University in professional groups.In the SON, academic review of all appointments, reappointments, promotions, and actionson continuing appointment is performed by a committee of faculty members in the School(except when there are five or fewer eligible voters, in which case an ad hoc committee isformed.F1.2.4F1.2.5Transfers Between Academic and Qualified Academic Rank1.Faculty with academic rank may transfer to qualified academic rank under certainconditions and following normal University procedures for review and approval ofpromotions. The candidate must consent in writing to the transfer and the candidatemust meet the criteria for appointment at a particular rank.The SON’srecommendation that the transfer be made must include evidence of a change in thecandidate’s duties, activities or career goals since the time of initial appointment, andthe transfer must be made at least twelve months before mandatory review forcontinuing appointment.2.Faculty with qualified academic rank may transfer to academic rank following reviewand approval.3.Faculty may be considered for promotion and/or continuing appointment prior totransfer to academic rank.4.Faculty may transfer from part-time or non-salaried appointments to full-timeappointments following usual University and SON review procedures for newappointments.Academic Review1.Most academic appointments and promotions are made following consultationbetween officers of the University and the candidate’s peers. Peer review is carriedout by academic review committees.2.In the SON, academic review of all appointments and promotions, and actions oncontinuing appointment is performed by a committee of faculty members in the SON(except when there are five or fewer eligible voters, in which case an ad hoccommittee is formed).3.All recommendations for appointment, reappointment, promotion and continuingappointment are forwarded from the Dean to the Vice President (VP) for HealthSciences.4.Failure to follow procedures or to meet standards of quality may result in return of thematerials to the SON. If a deadline for notice is imminent, the candidate will receivea pro forma notice of termination in order to comply with the Policies and theAgreement.5.Following the procedural reviews, the VP for the Health Sciences conducts asubstantive review, consulting as appropriate.6.The VP for Health Sciences forwards the recommendation to the President.Revised by APT 9/2016, approved by FASN 9/20168
F1.3Initiation of Review for Faculty Appointment, Promotion and/or ContinuingAppointmentF1.3.11.Review of a candidate for appointment to the faculty of the SON may only be initiatedby the Dean in the SON.2.Formal review for reappointment, promotion and/or continuing appointment in theSON may only occur under one of the following conditions:F1.3.2F1.3.3a.A review is required because of the expiration of a term or a mandated reviewfor continuing appointment.b.A review maybe initiated by the Dean for reasons that are specified in writing.Process of Appointment and Documents Required for Appointment,Reappointments, Promotion and/or Continuing Appointment1.The Dean ordinarily (see F.2.3.3) initiates the process of appointment, reappointment,promotion and/or continuing appointment in writing to the candidate. The Dean’s letterinstructs the candidate as to the required documents to be submitted by the candidateor on their behalf by individuals providing references/serving as referees.2.All documents are assembled by the Chair of the APT Committee, with the exceptionof the summary of student evaluations of faculty teaching. The assembled packet willbe provided to the Department Chair who will use the packet materials and studentevaluations for construction of a comprehensive letter to be written by the DepartmentChair. The Department Chair will submit the completed packet to the Chair of APT.3.All letters of recommendation must be solicited by the Office of the Dean, and thecandidate will be informed of the availability to read the letter pursuant to the currentUUP Agreement4.Copies of all letters received by the Dean concerning a candidate’s suitability forappointment, reappointment, and promotion and/or continuing appointment must beforwarded to the Chair of the APT Committee.5.In reappointment actions, the comprehensive evaluation letter written by theDepartment Chair will be reviewed and signed by the candidate.6.Other relevant material(s) may be included among the documents assembled forreview.Academic Review: Faculty Appointments, Reappointments, Promotion and/orContinuing Appointment1.Academic review must be conducted by a committee of faculty at the school levelwhich:a.Consists only of members of the faculty with higher academic rank(s) to thecandidate and/or members with continuing appointment at equivalent rank orhigher.Revised by APT 9/2016, approved by FASN 9/20169
1) If the number of eligible voters is three or fewer in a school which hasonly an initial academic review committee, an ad hoc committee willbe convened as described in section II.C.2.b.2) For promotion and/or continuing appointment, opinions will besolicited from all members of the faculty of the SON.2.b.Takes action at a meeting held after each eligible voter has been givenreasonable written notice. Eligible members who cannot attend the meetingmay vote in writing before the scheduled meeting.c.Recommends rank, appointment, reappointment, continuing appointment orpromotion and rank only when an absolute majority of the eligible voters isfavorable.d.Communicates a summary of its vote and the reasons for it in a confidentialmemorandum to the Dean. This summary must include the names of thosewho voted and the numerical vote.In the SON: when the SON has an internal academic review committee.a.The committee’s recommendations and all the materials pertaining to thecandidacy will be forwarded to the Dean.b.When there are three or fewer eligible voters:1) The Dean will appoint an ad hoc committee, its membershipsubject to the approval of the VP for the Health Sciences. Thiscommittee will have no more than six members, including alleligible voters in the School. Members from outside the Schoolmay be drawn from any other school or institution. Thecommittee’s Chair will be an eligible voter within the School.2) The ad hoc committee will meet and discuss the materialspertaining to the candidacy. After the meeting, each member ofthe ad hoc committee will submit a written recommendation to theChair. These recommendations will be submitted to the Deanwith a summary of the action of the eligible voters.F1.4Criteria and Documents Required for New AppointmentsIndividuals being considered for new faculty appointments must include evidence to supportthe criteria for the academic rank to which they are being appointed.F1.4.1New Appointment as Lecturer, Instructor or Assistant Professor(including full-time, part-time and voluntary; academic and qualified academic rank; transferfrom part-time to full-time, non-salaried to salaried, qualified to academic).The rank of “Instructor”, Lecturer and Assistant Professor” will include individuals meeting thecriteria below for each academic rank.A.Lecturer1. Content expert in nursing or related field required.2. Professional specialization in health related field.Revised by APT 9/2016, approved by FASN 9/201610
3. Evidence of professional practice in related field.B.Instructor1. Post-baccalaureate degree (Master’s or Doctoral) in nursing or related field2. Clinical specialization in nursing required.3. Evidence of clinical competency and professional experience.C.Assistant Professor1. Master’s degree in nursing or related field required, earned doctorate preferred.2. Professional specialization in nursing and or related field.3. Evidence of professional practice in nursing or related field.4. Minimum of three years in upper division college teaching and/or equivalentprofessional experience.Instructor, Lecturer and Assistant Professor must also include the following documents:1. An SON curriculum vitae, copies of diplomas, RN registration (as applicable), andcertification as appropriate.2. A list of the names and present positions of scholars holding comparable academicrank to the candidate or continuing appointment, who were selected by the Dean towrite letters of reference.3. Letters, some of which may be from outside the University solicited by the Dean.4. Evidence that the candidate’s teaching ability and professional practice, whereapplicable, has been personally observed and evaluated by faculty colleagues seniorto the candidate. (This evidence may be provided in general reference letters or in aseparate format.)5. A recommendation from the Dean and the Department Chair stating the candidate’squalifications for appointment.6. A memorandum from the APT to the Dean of the School which:a.Outlines the review process;b.Summarizes the committee’s evaluation of the candidate’s qualifications forappointment;c.Describes the committee’s vote and the reasons for it;d.Includes as an attachment a completed SON appointment, promotion andtenure committee summary form.7. A memorandum from the Dean to the VP for the Health Sciences that eitherrecommends or denies the appointment with supporting documentation.Revised by APT 9/2016, approved by FASN 9/201611
F1.4.2New Appointment as Associate Professor(Including full-time, part-time and non-salaried; academic rank and qualified academic rank;transfer from part-time to full-time, non-salaried to salaried, qualified to academic). The rankof “Associate Professor” will include individuals meeting the criteria below for this academicrank.An “Associate Professor” is recognized as a senior professional by virtue of advancedprofessional status and has practice, teaching and leadership experience. The individual atthe rank of “Associate Professor” would demonstrate at least the minimum levels ofscholarship, teaching, and professional service required for Associate Professor as listedbelow.1. Post-baccalaureate degree (Master’s or Doctoral) in nursing or related field required.2. Professional specialization in nursing or related field required.3. Evidence of clinical and professional scholarship.4. Minimum of three years in upper division college teaching.5. Minimum of three years in leadership with evidence of involvement in education,practice, research activities and or scholarly activities and health care contributions.6. Minimum of three years’ experience at the rank of Assistant Professor.7. Continued growth as evidenced by contributing to current developments in theacademic field of expertise.8. Additional varied supervisory and/or teaching experience.9. Evidence of demonstrated competence in teaching and supervision.10. Evidence of scholarly publications, presentations and/or research and other scholarlyprojects.F1.4.3New Appointment as Professor(including full-time, part-time and non-salaried; academic rank and qualified academic rank;transfer from part-time to full-time, non-salaried to salaried, qualified to academic).Except in extraordinary instances, the rank of “Professor” will be reserved for seniorprofessionals with extensive professional credentials, who meet the criteria below andwho have attained widespread (national and/or international) recognition as experts, forprofessional leadership, and who have made significant contributions to the profession ofnursing. Professors will have demonstrated strong leadership in the SON and theUniversity. The minimum levels of scholarship, teaching, and professional servicerequired for the rank of Professor are described below.1. Earned doctorate in nursing or related field required.2. Professional specialization in nursing or related field required.Revised by APT 9/2016, approved by FASN 9/201612
3. Progressive record of scholarship and leadership with clinical competency.4. Minimum of six years in up
the Policies of the State University of New York, the Agreement between the State of New York and United University Professions 2011-2016 (UUP), the Health Sciences Center policies specified in F2 of this document and the by-laws of the SON. The faculty of the SON is diverse and differs in their activities, interests, and responsibilities.
