Article 3 - Appointment and Promotion

Section 3.1 Appointment to the UMMS Faculty
Section 3.2 Academic Ranks and Titles
Section 3.3 Types of Appointments
Section 3.4 Academic Tracks
Section 3.5 Evaluation of Candidates for Appointment and Promotion:
  Table 1 - Health Care Delivery:  Examples that Provide Evidence of Achievement at Each Level
  Table 2 - Education:  Examples that Provide Evidence of Achievement at Each Level
  Table 3 - Investigation:  Examples that Provide Evidence of Achievement at Each Level
  Table 4 - Population Health and Public Policy:  Examples that Provide Evidence of Achievement at Each Level
  Table 5 - Academic Service:  Examples that Provide Evidence of Achievement at Each Level
Section 3.6 Appointment to the Rank of Instructor
Section 3.7 Appointment or Promotion to the Rank of Assistant Professor
Section 3.8 Appointment or Promotion to the Rank of Associate Professor
Section 3.9 Appointment or Promotion to the Rank of Professor
Section 3.10 Personnel Action Committees
Section 3.11 The Basic File
Section 3.12 Procedure for Appointment and Promotion of Faculty in the School of Medicine
Section 3.13 Procedure for Appointment and Promotion of Faculty in the Graduate School of Nursing
Section 3.14 Appointment of Visiting Faculty
Section 3.15 Emeritus Status

This article describes the policies and procedures for appointment and promotion of all Faculty Members.

Section 3.1 Appointment to the UMMS Faculty

Appointment to the Faculty is based on consideration of the criteria for appointment to an academic rank and on an individual’s commitment of effort to the Academic Activities of UMMS, rather than on hospital rank, degree of responsibility, or seniority in other professional endeavors. Honorary appointments are not allowed.

Section 3.2 Academic Ranks and Titles

a. Academic Ranks. Academic ranks are Instructor, Assistant Professor, Associate Professor, and Professor.

b. Academic Titles.  Academic titles are described as follows: [Rank] of [Department] in [School] at UMMS (e.g., Assistant Professor of Pediatrics in the School of Medicine at UMMS; Associate Professor in the Graduate School of Nursing at UMMS; Professor of Pathology at UMMS-Baystate in the School of Medicine at UMMS.

c. Modified Academic Titles. Emeritus (Section 3.15), Adjunct (Section 6.4) and Visiting (Section 6.5) Faculty have modified academic titles (e.g., Professor Emeritus of Medicine; Adjunct Assistant Professor of Pediatrics; Visiting Associate Professor of Molecular Medicine).

Section 3.3 Types of Appointments

Faculty Members are appointed only in Schools and in Departments. All Faculty Members have a primary appointment in either a Department within the School of Medicine (SOM) or in the Graduate School of Nursing (GSN).

Appointment as a member of the Graduate School of Biomedical Sciences (GSBS) is governed by the GSBS Bylaws. Members of the GSBS must have a primary appointment in a SOM Department or in the GSN.

a. Primary Appointment.  Faculty Members are promoted, receive the Award of Tenure, and are evaluated in the academic unit where they hold their primary appointment, either a SOM Department or the GSN. The chair of a SOM Department or the GSN Dean is responsible for recommendations for Personnel Actions and for performance evaluations of the Faculty Members with primary appointments in their Department or School, except as described below for Faculty Members who have appointments in more than one Department or School, or who have a position in a Non-Department Unit.

b. Joint Appointment. A Faculty Member may have a joint appointment in two or more Department or Schools that have joint fiscal responsibility for the Faculty Member. Joint appointments are recommended by the chairs of the Departments and the GSN Dean (as applicable). The chairs of the Departments and the GSN Dean (as applicable), share responsibility for Personnel Actions and for performance evaluations of the Faculty Member. One Department or the GSN is designated as primary for these purposes. Expectations for the Faculty Member are defined by written agreement between the Faculty Member and, as applicable, the chairs and GSN Dean. Joint appointments are at the same academic rank in each Department or School.

c. Secondary Appointment. A Faculty Member may have a secondary appointment in one or more Department or School for the purpose of contributions and collaborative relationships in any of the mission areas. Secondary appointments are recommended by the chairs of both primary and secondary Departments and, as applicable, the GSN Dean, and approved by the Provost or their designee. The chair or the GSN Dean must participate in Personnel Actions and may contribute to the performance evaluations of Faculty Members with secondary appointments in their Department or School. Departments or Schools may establish expectations for Faculty Members with secondary appointments. Secondary appointments are at the same academic rank as the primary appointment.

d. Positions in Non-Department Units. A Faculty Member with a position in a Non-Department Unit must hold a primary appointment in a SOM Department or in the GSN. The chair or GSN Dean (as applicable) has primary responsibility for Personnel Actions for the Faculty Member in consultation with the director of the Non-Department Unit. The director of the Non-Department Unit has primary responsibility for performance evaluation of the Faculty Member in consultation with the chair or GSN Dean. Expectations for the Faculty Member are defined by written agreement between the director, chair or Dean, and Faculty Member.

Section 3.4 Academic Tracks

All Faculty Members are appointed in either the Non-Tenure Track or in the Tenure Track. Individuals are recommended for appointment in a track by the chair or GSN Dean (as applicable).

a. Non-Tenure Track.  The Non-Tenure Track may include any individual eligible for a Faculty appointment. Individuals in the Non-Tenure Track are at the rank of Instructor, Assistant Professor, Associate Professor or Professor.

b. Tenure Track.  The Tenure Track only includes individuals appointed in the Tenure Track with a Probationary Period and individuals who have received the award of Tenure. Individuals in the Tenure Track are at the rank of Assistant Professor, Associate Professor or Professor. Individuals with Tenure are at the rank of Associate Professor or Professor. Only Employed Faculty, with the exception of Professionally-Salaried UMMS-Employed Faculty (Section 5.2.a.ii), are eligible to be appointed in the Tenure Track or to receive the award of Tenure.

Section 3.5 Evaluation of Candidates for Appointment and Promotion

a. Eligibility.  To be considered as a candidate for appointment or promotion to an academic rank, an individual must meet the eligibility requirements for that rank (Sections 3.6–3.9).

b. Evaluation.  A candidate is recommended for appointment or promotion by a SOM Department chair or the GSN Dean (as applicable) and by Personnel Action Committees following evaluation of the candidate’s Basic File (Section 3.11) through the procedures for appointment and promotion (Sections 3.12 and 3.13). A candidate is evaluated for the quality and quantity of their Academic Activities, achievements and scholarship in one or more Areas of Distinction (Section 2.2); their Educational Activities (Section 2.4); and their Academic Service (Section 2.5). A candidate’s scholarship is evaluated as described in Section 2.3.b.

c. Levels of Achievement.  Based on this evaluation, a candidate is judged to have attained one of three levels of achievement: “Entry”, “Established” or “Senior”. In all cases, the overall judgment by Personnel Action Committees that a candidate has demonstrated excellence at a level of achievement is of greatest importance in the evaluation process. Examples that provide evidence of achievement at each level are listed in Tables 1–5. The criteria for each academic rank (Sections 3.6–3.9) define the levels of achievement required for appointment or promotion to that rank.

 

Table 1. Health Care Delivery: Examples that Provide Evidence of Achievement at Each Level

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Entry Level

Expertise in a clinical specialty, demonstrated by:

• Local recognition for contributions to health care delivery
• Advanced degrees (e.g., MPH, MHA) and/or certification in clinical practice or related areas

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and middle author, case reports, book chapters, and/or reviews
• Presentations at professional meetings

Established Level

Excellence in a clinical specialty with local/regional impact, demonstrated by:

• Major responsibility for and/or leadership of a clinical program and/or quality initiative
• A unique clinical program, diagnostic test, and/or intervention with documented outcomes
• Innovative approaches that improve safety, quality, and/or efficacy of healthcare delivery
• A defined role in patient-oriented or other area of research, including industry-supported clinical trials
• Funding for innovations in health care delivery, clinical, and/or translational research as a principal investigator, co-investigator, or contributor to team projects
• A defined role and/or leadership in team or multi-center projects in health care delivery
• Identification by peers as a role model in clinical practice and professionalism

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and senior author, case reports, book chapters, and/or reviews, including publication of multidisciplinary studies as an author or a named member of an authorship group
• Safety and quality studies, standards of care, policies, models of care coordination, guidelines, and/or protocols for patient treatment or delivery of care

Local/regional recognition for clinical expertise and/or health care delivery, demonstrated by

• Clinical consulting and referrals
• Honors and awards for clinical expertise and/or health care delivery
• Invited presentations and presentations at professional meetings

Senior Level

A sustained record of excellence in a clinical specialty with regional/national impact, demonstrated by:

• Leadership of a clinical program and/or quality initiative
• A unique clinical program, diagnostic test, and/or intervention with documented outcomes
• Innovative approaches that improve safety, quality and/or efficacy of healthcare delivery
• Leading role, often as principal investigator, in patient-oriented or other area of research, including industry-supported clinical trials
• Funding for innovations in health care delivery, clinical, and/or translational research, primarily as a principal investigator
• Leadership and/or defined role in team or multi-center projects in health care delivery
• Identification by peers as a role model in clinical practice and professionalism

A sustained record of exceptional scholarship that may include:

• Peer-reviewed publications, usually as senior author, that have an impact on the field
• Books, book chapters, reviews, and/or textbooks that are recognized as authoritative and are highly cited
• Continuing record of publication, as a senior author or a named member of an authorship group, of multidisciplinary studies that have an impact on the field
• Safety and quality studies, standards of care, policies, models of care coordination, guidelines, and/or protocols for patient treatment or delivery of care

National/international recognition for clinical expertise and/or health care delivery, demonstrated by

• National/international honors and awards for clinical expertise and/or health care delivery
• Invited presentations and presentations at national/international professional meetings
• Leadership of national/international professional or disciplinary organizations

 

Table 2.  Education:  Examples that Provide Evidence of Achievement at Each Level

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Entry Level

Expertise in education, demonstrated by:

• Local recognition for contributions to education
• Educational effectiveness (evaluated as defined in Section 2.4.b)
• Mentoring of students and/or trainees
• Advanced degrees and/or certification in education

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and middle author, case reports, book chapters, and/or reviews
• Presentations at professional meetings

Established Level

Excellence in education with local/regionalimpact, demonstrated by:

• Educational effectiveness (evaluated as defined in Section 2.4.b)
• Mentoring of students, trainees, and/or faculty
• Leadership and service activities in education
• Innovative courses, curricula, or other educational programs, materials, and resources
• Defined role and/or leadership in educational research
• Defined role and/or leadership in team or multi-center educational projects or programs
• Advanced degrees and/or certification in education

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and senior author, book chapters, and/or reviews, including publication of multidisciplinary studies as an author or a named member of an authorship group
• Educational materials published in print or other media such as syllabi, curricula, web-based training modules or courses, technologies (e.g., simulation), educational methods, policy statements, and/or assessment tools

Local/regional recognition for education, demonstrated by

• Honors and awards for education
• Invited presentations and presentations atprofessional meetings

Senior Level

A sustained record of excellence in education with regional/national impact, demonstrated by:

• Educational effectiveness (evaluated as defined in Section 2.4.b)
• A sustained record of mentoring students, trainees, and/or faculty
• Leadership and service activities in education
• Innovative courses, curricula, or other educational programs, materials, and resources
• Leading role in educational research preferably supported by funding
• Leadership and/or defined role in team or multi-center educational projects or programs

A sustained record of exceptional scholarship that may include:

• Peer-reviewed publications, usually as senior author, that have an impact on the field
• Books, book chapters, reviews and/or textbooks that are recognized as authoritative and are highly cited
• Continuing record of publication as a senior author or a named member of an authorship group of multidisciplinary studies that have an impact on the field
• Textbooks or equivalent resources adopted by other institutions
• Educational materials published in print or other media such as syllabi, curricula, web-based training modules or courses, technologies (e.g., simulation), educational methods, policy statements, and/or assessment tools

National/international recognition for education, demonstrated by

• National/international honors and awards for education
• Invited presentations and presentations at national/international professional meetings
• Leadership of national/international professional or disciplinary organizations

 

Table 3.  Investigation:  Examples that Provide Evidence of Achievement at Each Level

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Entry Level

Expertise in an area of investigation (Section 2.2.c), demonstrated by local recognition for contributions to research

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and middle author, book chapters and/or reviews
• Invited presentations and presentations at professional meetings

Established Level

Excellence in one or more areas of investigation (Section 2.2.c), demonstrated by:

• Funding for research primarily as a principal investigator on external and internal grants but may be a major contributor to funded team projects
• Innovative methods, technologies or therapies, and/or novel applications of existing methods and technologies
• Leadership of or major responsibility for research projects or a research core service
• Defined role and/or leadership in team or multi-center research projects or programs

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and/or senior author, of original research and/or novel methods/technologies that advance the field, including publication of multidisciplinary studies as an author or a named member of an authorship group
• Book chapters and/or reviews
• Patents, new therapies and/or technologies

Regional/national recognition for investigation, demonstrated by:

• Honors and awards for investigation
• Invited presentations and presentations at professional meetings

Senior Level

A sustained record of excellence in research that has an impact in one or more areas of investigation (Section 2.2.c), demonstrated by:

• Consistent and sustained record of funding for research primarily as a principal investigator on external and internal grants but may be a major contributor to funded team projects
• Development of innovative methods, technologies or therapies, and novel applications of existing methods and technologies that have been adopted by others
• Sustained leadership of research projects or a research core service
• Leadership and/or defined role in team or multi-center research programs or projects

A sustained record of exceptional scholarship that may include:

• Peer-reviewed publications, usually as senior author, of original and innovative research that has an impact on the field, and/or of novel methods/technologies that advance the field
• Books, book chapters, reviews and/or textbooks that are recognized as authoritative and are highly cited
• Continuing record of publication, as an author or as a named member of an authorship group, of multidisciplinary research that has an impact on the field
• Patents, new therapies, and/or technologies

National/international recognition for investigation, demonstrated by

• National and/or international honors and awards for contributions to research
• Invited presentations and presentations at professional meetings, nationally/internationally
• Leadership of national/international professional or disciplinary organizations

 

Table 4.  Population Health and Public Policy:  Examples that Provide Evidence of Achievement at Each Level

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Entry Level

Expertise in population health and public policy, demonstrated by:

• Local recognition for contributions to population health and public policy
• Advanced degrees and/or certification in public health and health policy

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and middle author, case reports, book chapters, and/or reviews
• Presentations at professional meetings

Established Level

Excellence in population health and public policy with local/regionalimpact, demonstrated by:  

• Development, analysis, implementation, and/or evaluation of one or more of the following:
  • programs that enhance community or population health
  • health or health care policy,
  • technology and analysis tools for community and population health,
  • initiatives in specific systems, such as the legal and criminal justice system
• Leadership of, or major responsibility for, projects and programs in population health and public policy
• Defined role and/or leadership in team or multi-center projects in population health and public policy
• Development of a robust partnership with community members/organizations that contributes to shaping population and community health or health policy
• Development, analysis, implementation, and/or evaluation of global health programs

A record of scholarship that may include:

• Peer-reviewed publications, usually as first and senior author, book chapters, and/or reviews, including publication of multidisciplinary studies as an author or a named member of an authorship group
• Policy statements, white papers, legislative and/or legal advances with regional impact

Local/regional recognition for population health and public policy demonstrated by:

• Honors and awards for population health and public policy
• Invited presentations and presentations at professional meetings

Senior Level

A sustained record of excellence in population health and public policy with national/internationalimpact, demonstrated by:

• Development, analysis, implementation, and/or evaluation of one or more of the following:
  • programs that enhance community or population health
  • health or health care policy,
  • technology and analysis tools for community and population health,
  • initiatives in specific systems, such as the legal and criminal justice system
• Leadership of, or major responsibility for, projects and programs in population health and public policy
• Leadership and/or defined role in team or multi-center projects in population health and public policy
• Development of a robust partnership with community members/organizations that contributes to shaping population and community health or health policy
• Analysis, implementation, and/or evaluation of expanded global health programs

A sustained record of exceptional scholarship that may include:

• Peer-reviewed publications, usually as first author, that have an impact on the field
• Books, book chapters, reviews and/or textbooks that are recognized as authoritative and are highly cited
• Continuing record of publication as an author or a named member of an authorship group of multidisciplinary research that has an impact on the field
• Policy statements, white papers, legislative, and/or legal advances with national/international impact

National/international recognition for contributions to population health and public policy

• National/international honors and awards for work in population health and public policy
• Invited presentations and presentations at professional meetings, nationally and/or internationally
• Leadership of national/international professional or disciplinary organizations

 

Table 5.  Academic Service:  Examples that Provide Evidence of Achievement at Each Level

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 Entry Level

A record of academic service and related activities, demonstrated by:

• Participation in professional organizations
• Peer reviewer for journals or granting agencies
• Service on committees, task forces and other groups for the Department, Non-Department Unit, School, or UMMS
• Advisor and/or sponsor of student or resident organizations

Established Level

A substantial record of academic service and related activities at the local/regionallevel, demonstrated by:

• Leadership positions, committee membership, and other service activities in professional organizations
• Leadership and/or service in the organization of a professional meeting
• Service oncommittees evaluating programs and/or developing guidelines and policies in area of expertise
• Invitations to consult, review, or assess programs in other institutions and organizations
• Membership, including ad hoc membership, of a grant review panel or equivalent committee
• Peer reviewer and/or membership on editorial boards for journals
• Substantial contributions to faculty governance and/or task forces, committees, and/or other groups of the School, UMMS and/or University of Massachusetts
• Substantial administrative responsibilities for the Department, Non-Department Unit, School, and/or UMMS
• Spokesperson for the School, UMMS, University of Massachusetts, and/or professional organization on areas of expertise, featured locally/regionally

Senior Level

A sustained, substantial record of academic service and related activities at the national/internationallevel, demonstrated by:

• Leadership positions, committee membership, and other service activities in professional organizations
• Leadership and/or service in the organization of a professional meeting
• Service on committees evaluating programs and/or developing guidelines and policies in area of expertise
• Invitations to consult, review, or assess programs in other institutions and organizations
• Regular membership and/or leadership of a grant review panel or equivalent committee
• Editor and/or membership on editorial boards for journals
• Leadership position(s) and substantial contributions to faculty governance and/or task forces, committees, and other groups of the School, UMMS, and/or University of Massachusetts
• Leadership position(s) and substantial administrative responsibilities for the Department, Non-Department Unit, School, and/or UMMS
• Spokesperson for the School, UMMS, University of Massachusetts, and/or professional organization on areas of expertise, featured nationally/internationally

 

Section 3.6 Appointment to the Rank of Instructor

a. Eligibility.  Candidates for appointment as Instructor are expected to contribute to UMMS educational and research programs and are one of the following:

i. Clinical practitioners with a terminal degree in a clinical discipline who are board-certified, have equivalent qualifications, or have completed all necessary training to be eligible for board certification; and who devote a small proportion of professional effort (generally <10% effort) to UMMS educational and research programs.

ii. Clinical trainees in UMMS non-ACGME (Accreditation Council for Graduate Medical Education) accredited fellowship programs or individuals appointed as UMMS Chief Residents after completing residency training. Individuals participating in ACGME-approved residency and fellowship programs are not eligible for a Faculty appointment, except as allowed by ACGME and Department policy.

iii. Individuals with a terminal degree who have completed a minimum of 2 years post-doctoral training (or equivalent postdoctoral experience) and who are non-independent investigators transitioning to the academic pathway. Postdoctoral Associates are not eligible for a Faculty appointment.

iv. Individuals without a terminal degree who contribute to UMMS educational and research programs.

b. Criteria.  Candidates for appointment to Instructor must demonstrate Entry level of achievement in at least one Area of Distinction.

Section 3.7 Appointment or Promotion to the Rank of Assistant Professor

a. Eligibility.  The rank of Assistant Professor is most commonly used for individuals who are appointed or promoted to their first independent faculty position. Candidates for appointment or promotion to Assistant Professor must devote a substantial proportion of effort (generally >10%) to UMMS Academic Activities and are one of the following:

i. Clinical practitioners with a terminal degree in a clinical discipline who are board-certified, have equivalent qualifications, or have completed all necessary training to be eligible for board certification.

ii. Individuals with a terminal degree who have completed a minimum of 2 years post-doctoral training (or equivalent experience). This requirement may be waived for individuals with terminal degrees in disciplines (e.g., Economics, Biostatistics) where postdoctoral training is not expected for a faculty position.

iii. Individuals without a terminal degree who have professional experience and achievements that meet the criteria for appointment or promotion to Assistant Professor.

b. Criteria.  Candidates for appointment or promotion to Assistant Professor in either the Tenure or Non-Tenure Track must demonstrate Entry level of achievement in at least one Area of Distinction plus Entry level of achievement in one other category.

Section 3.8 Appointment or Promotion to the Rank of Associate Professor

a. Eligibility.  The rank of Associate Professor is reserved for individuals who have a substantial record of achievement and academic accomplishments beyond that required for the rank of Assistant Professor. Appointment or promotion to Associate Professor usually requires 6 years of service at the level of Assistant Professor at UMMS or at another academic institution, or equivalent previous professional experience. Candidates may be considered with less time in rank, provided they meet the criteria below.

Candidates for appointment or promotion to Associate Professor must devote a substantial proportion of effort (generally >10%) to UMMS Academic Activities and are one of the following:

i. Individuals with a terminal degree who must be board-certified or have equivalent qualifications as applicable to their professional and academic responsibilities.

ii. Individuals without a terminal degree who have professional experience and achievements that meet the criteria for appointment or promotion to Associate Professor.

b. Criteria for Faculty in the Non-Tenure Track. Candidates for appointment or promotion to Associate Professor in the Non-Tenure Track must demonstrate all of the following:

i. Established level of achievement in an Area of Distinction;

ii. Entry level of achievement in at least two other categories; and

iii. At least Entry level of achievement in Education.

Candidates whose Area of Distinction is Education are required to have Entry level of achievement in only one other category.

c. Criteria for Faculty in the Tenure Track and with Tenure. Candidates for appointment or promotion to Associate Professor in the Tenure Track or with Tenure must demonstrate all of the following:

i. Established level of achievement in an Area of Distinction;

ii. Established level of achievement in at least one other category;

iii. Entry level of achievement in at least one other category;

iv. At least Entry level of achievement in Education; and

v. National recognition for scholarship.

In rare circumstances, appointment or promotion to Associate Professor may be considered for individuals who do not meet all criteria but who are judged by Personnel Action Committees to have an exceptional record of achievement in an Area of Distinction.

Section 3.9 Appointment or Promotion to the Rank of Professor

a. Eligibility.  The rank of Professor is reserved for individuals who have exceptional achievement in one or more Areas of Distinction. Candidates for appointment or promotion to Professor should be leaders in their field of expertise, as demonstrated by a sustained and substantial record of accomplishments well beyond that required for the rank of Associate Professor. Appointment or promotion to Professor usually requires 12 years of professional experience beyond the time the candidate would have qualified for an initial appointment at the Assistant Professor rank. Candidates may be considered with less time in rank, provided that they meet the criteria below.

Candidates for appointment or promotion to Professor must devote a substantial proportion of effort (generally >10%) to UMMS Academic Activities and are one of the following:

i. Individuals with a terminal degree who must be board-certified or have equivalent qualifications as applicable to their professional and academic responsibilities.

ii. Individuals without a terminal degree who have professional experience and achievements that meet the criteria for appointment or promotion to Professor.

b. Criteria for Faculty in the Non-Tenure Track.  Candidates for appointment or promotion to Professor in the Non-Tenure Track must demonstrate all of the following:

i. Senior level of achievement in an Area of Distinction;

ii. Established level of achievement in at least one other category;

iii. Entry level of achievement in at least one other category; and

iv. At least Entry level of achievement in Education.

c. Criteria for Faculty in the Tenure Track and with Tenure.Candidates for appointment or promotion to Professor in the Tenure Track or with Tenure must demonstrate all of the following:

i. Senior level of achievement in an Area of Distinction;

ii. Senior level of achievement in at least one other category;

iii. Established level of achievement at least one other category; and

iv. At least Entry level of achievement in Education.

In rare circumstances, appointment or promotion to Professor may be considered for individuals who do not meet all criteria but who are judged by Personnel Action Committees to have an exceptional record of achievement in an Area of Distinction.

Section 3.10 Personnel Action Committees

a. Department Personnel Action Committee (DPAC).  Each SOM Department must establish a Department Personnel Action Committee (DPAC) to review and evaluate candidates for appointment or promotion in the Department and make recommendations to the chair. DPAC members are nominated annually by the chair and approved by a simple majority vote of the Department Faculty. A DPAC must consist of at least three Faculty Members with primary appointments in the Department, preferably at the rank of Professor. Members serve for three year terms and may serve multiple terms. The Department chair cannot serve on the DPAC or participate in its deliberations. Committee decisions are made by a simple majority of the voting members present at a meeting where a quorum is declared (Section 1.7.c).

b. School Personnel Action Committee (PAC).The SOM and GSN must each establish a Personnel Action Committee (PAC) to review and evaluate candidates for appointment or promotion in the School and submit its recommendations to the dean. The membership of a School PAC, and its advising and reporting responsibilities are defined in the Bylaws of each School. Operating procedures for each PAC are defined in the Bylaws of the PAC. Committee decisions are made by a simple majority of the voting members present at a meeting where a quorum is declared (Section 1.7.c).

Section 3.11 The Basic File

The Basic File is the compilation of all materials relevant to the evaluation of a candidate for appointment or promotion. The Basic File consists of the following components:

a. Materials provided by the candidate:

i. The candidate’s current curriculum vitae in the UMMS format;

ii. Evidence of effectiveness in educational activities (Section 2.4; for promotion only); and

iii. A narrative statement that describes the candidate’s Academic Activities, achievements and scholarship in the context of their overall role and goals as a Faculty Member (for promotion only; optional but strongly encouraged).

b. Materials added through the procedure for appointment and promotion (Sections 3.12 and 3.13):

i. Letters of evaluation (Section 3.12.c);

ii. Written recommendation by the DPAC (SOM only; Section 3.12.d);

iii. Written recommendation by the chair of the candidate’s primary department (SOM only; Section 3.12.e); and

iv. Written recommendations by other chairs, deans, or directors of Non-Department Units (as applicable; Section 3.12.e).

Such materials, including the identity of letter writers, are considered confidential, are only used in the review of the candidate for appointment or promotion, and must not be communicated to the candidate (Section 1.7.b).

Section 3.12 Procedure for Appointment and Promotion in the School of Medicine

This procedure applies to the appointment and promotion of all SOM Faculty Members with the exception of the appointment of Visiting Faculty (Section 3.14).

a. Temporary Appointments. New hires who will be Employed Faculty are assigned a temporary appointment at the rank and title proposed by their chair until their appointment is approved through the procedure described herein. Such temporary appointments are subject to change and may be revoked at any time. The procedure for approval of appointments should be completed within one year.

b. Initiation of Procedure. It is expected that a chair and a potential candidate will consult on the timeframe when an application for appointment or promotion will be submitted. In consultation with their chair the individual identifies at least one Area of Distinction that represents the focus of their Academic Activities.

Once a decision to submit an application is made, the chair requests the candidate to submit the following:

i. Materials to be included in the candidate’s Basic File (Section 3.11.a): a current curriculum vitae, evidence of effectiveness in educational activities (promotion only), and a narrative statement (optional, promotion only).

ii. A list of individuals to be considered for letters of evaluation (Section 3.12.c). The candidate may also submit a list of individuals, with a written justification, whom the candidate believes may not be able to provide a fair and impartial evaluation.

c. Letters of Evaluation. Letters of evaluation provide information for the evaluation of a candidate’s contributions, achievements, and academic reputation. The chair selects the individuals to be solicited for letters of evaluation. In selecting individuals, the chair must take into consideration the lists of individuals provided by the candidate. The chair may add or subtract individuals as they deem appropriate but must include at least two individuals proposed by the candidate. The chair or their designee solicits the letters, which are added to the candidate’s Basic File. All letters received must be included in the Basic File.

In certain cases, such as the appointment of an individual who has previously held a UMMS Faculty appointment, the chair may submit a request to the Provost or their designee to waive the requirement for letters of evaluation. The Provost or their designee reviews the request, decides whether or not to approval the waiver, and informs the chair.

Letters of evaluation are categorized as follows:

i. Category 1.  For appointment or promotion to any rank at least three (3) letters may be from any individual who can attest to the candidate’s qualifications. Such individuals may be UMMS Faculty Members, colleagues at the same or previous institution, or past or present mentors, supervisors or collaborators.

ii. Category 2.  For appointment or promotion to the ranks of Associate Professor or Professor, at least three (3) additional letters must be from individuals who are at an academic rank equal to or above the rank proposed for the candidate (or in an equivalent position in a non-academic institution) and who are not UMMS Faculty Members. Such individuals should not have a personal and/or professional relationship with the candidate that suggests a real or perceived conflict of interest or bias in evaluating the candidate. For example, the individual should not be a personal friend or relative, a close colleague at the same or previous institution, or a past or present mentor, supervisor or collaborator (as demonstrated by co-authored papers or joint funding).

iii. Category 3.  Optional: letters (no defined number) attesting to the candidate’s effectiveness in their educational activities may be solicited from students, trainees and/or mentees proposed by the candidate.

iv. Adjunct and Visiting Faculty.  For appointment of Adjunct (Section 6.4) and Visiting Faculty (Section 3.14), a letter is required from the chair or equivalent official at the institution where the individual holds their primary academic appointment. This letter should confirm the candidate’s rank and title, confirm that the candidate is in good academic standing, and recommend the candidate for an adjunct appointment at UMMS. No other letters of evaluation are required.

d. Department Review.  When the requirements for the contents of the Basic File and the letters of evaluation have been met, the chair or their designee submits the candidate’s Basic File to the DPAC. The DPAC reviews the Basic File and makes a written recommendation for appointment or promotion to an academic rank based on the criteria for that rank. The recommendation, which must include the vote tally and the names of the DPAC members participating in the vote, is added to the Basic File.

e. Chair Review. Following receipt of the DPAC’s recommendation, the chair reviews the candidate’s Basic File and makes a written recommendation for appointment or promotion to an academic rank based on the criteria for that rank. For a candidate for appointment, the chair’s recommendation must also include a description of the proposed duties of the prospective Faculty Member, their qualifications for the position, and the recommended academic rank and Track.

For a candidate who has a joint or secondary appointment in another Department or in the GSN, or who has a position in a Non-Department Unit, the chair, GSN Dean or director of the Non-Department Unit must either co-sign the chair’s recommendation or provide a separate written recommendation.

If the chair intends to make a recommendation different from that of the DPAC, then the chair must first meet with the DPAC chair for consultation prior to making their recommendation.

If the chair does not recommend the candidate for appointment or promotion, the chair’s recommendation is added to the Basic File and the procedure is concluded.

If the chair recommends the candidate for appointment or promotion, the chair’s recommendation is added to the Basic File, which the chair submits to the Provost’s designee for faculty affairs. After determining the completeness of the candidate’s Basic File, the Provost’s designee for faculty affairs submits the Basic File to the SOM PAC.

The chair informs the candidate of their recommendation and the recommendation of the DPAC.

f. PAC Review.The PAC reviews the Basic File and makes a recommendation for appointment or promotion to an academic rank based on the criteria for that rank. PAC members who have voted in the Department review of the candidate may participate in the PAC review but are not allowed to vote. Individuals who have a real or perceived bias or conflict of interest (Section 1.7.a), as determined by the PAC Chair, are excused from participation in the review of the candidate. The recommendation, which must include the vote tally and the names of Committee members participating in the vote, is submitted to the Provost’s designee for faculty affairs.

If the PAC recommends the candidate for appointment or promotion, the Provost’s designee for faculty affairs submits the recommendation to the Executive Council for review.

If the PAC does not recommend the candidate for appointment or promotion, the Provost’s designee for faculty affairs informs the chair of the PAC’s recommendation. The chair may accept the PAC’s recommendation, in which case the procedure is concluded. If the PAC recommends a different academic rank than that proposed, the chair may accept the recommendation, in which case review of the candidate continues at the rank recommended by the PAC.

Alternatively, the chair may provide clarification or additional information for the candidate’s Basic File, which the Provost’s designee for faculty affairs submits to the PAC. The PAC conducts a second review of the Basic File and makes a recommendation for appointment or promotion, which is submitted to the Provost’s designee for faculty affairs.

If, after this second review, the PAC recommends the candidate for appointment or promotion, the Provost’s designee for faculty affairs submits the recommendation to the Executive Council for review.

If, after this second review, the PAC does not recommend the candidate for appointment or promotion, the procedure is concluded and the Provost’s designee for faculty affairs informs the chair, who informs the candidate.

g. Executive Council Review. Following the PAC meeting, the Provost’s designee for faculty affairs provides to the members of the Executive Council the list of candidates recommended by the PAC for appointment and promotion. If any member of the Executive Council has concerns about the appointment or promotion of a candidate, they must submit their concerns in writing to the Dean within 10 working days of receiving the list of candidates. The Dean must review the concerns of the Executive Council member and the candidate’s Basic File, and may request additional information from the candidate’s chair. The Dean then decides whether or not to approve the candidate for appointment or promotion.

h. Approval by Dean.  Following review by the Executive Council, the Provost’s designee for faculty affairs provides to the Dean the list of candidates recommended by the PAC for appointment and promotion. The Dean reviews the recommendations and decides whether or not to approve the candidates. If the Dean intends to make a decision different from the recommendation of the PAC, the Dean must first review the candidate’s Basic File and meet with the PAC chair for consultation.

The final decision on appointment or promotion of candidates is made by the Dean subject to approval by the Provost and Chancellor. The Provost’s designee for faculty affairs informs the chair and the candidate of the decision.

Section 3.13 Procedure for Appointment and Promotion in the Graduate School of Nursing

Appointment or promotion of candidates in the Graduate School of Nursing (GSN) follows the same procedure as described for the School of Medicine (Section 3.12) with the following distinctions and clarifications:

a. The GSN Dean and/or their designee performs the actions described for the chair in initiating the procedure and soliciting letters of evaluation.

b. When the requirements for the contents of the Basic File and the letters of evaluation have been met, the GSN Dean and/or their designee submits the candidate’s Basic File to the Provost’s designee for faculty affairs who reviews the Basic File for completeness. There is no DPAC or chair review.

c. The GSN Dean and/or their designee submits the candidate’s Basic File to the GSN Personnel Action Committee (GSN PAC) for review and recommendation.

d. The GSN PAC reviews the Basic File and makes a recommendation for appointment or promotion to an academic rank based on the criteria for that rank. Individuals who have a real or perceived bias or conflict of interest (Section 1.7.a), as determined by the GSN PAC Chair, are excused from participation in the review of the candidate. The recommendation, which must include the vote tally and the names of Committee members participating in the vote, is submitted to the Provost’s designee for faculty affairs.

If the GSN PAC recommends the candidate for appointment or promotion, the Provost’s designee for faculty affairs submits the recommendation to the Executive Council for review.

If the GSN PAC does not recommend the candidate for appointment or promotion, the procedure is concluded and the Provost’s designee for faculty affairs informs the GSN Dean, who informs the candidate.

e. Following review by the Executive Council, as described in Section 3.12.g, the Provost’s designee for faculty affairs provides to the GSN Dean the list of candidates recommended by the GSN PAC for appointment and promotion. The GSN Dean reviews the recommendations and decides whether or not to approve the candidates for appointment or promotion. If the GSN Dean intends to make a recommendation different from that of the GSN PAC, the GSN Dean must first review the candidate’s Basic File and meet with the GSN PAC chair for consultation.

f. The final decision on appointment or promotion of candidates is made by the GSN Dean subject to approval by the Provost and Chancellor. The Provost’s designee for faculty affairs informs the candidate of the decision.

Section 3.14 Appointment of Visiting Faculty

Visiting Faculty Members (Section 6.5) are appointed by a modified procedure that does not require review by DPAC, PAC or Executive Council. To appoint an individual as a Visiting Faculty Member, the chair or GSN Dean (as applicable) submits the following to the SOM Dean (if applicable), and the Provost or their designee:

a. A written recommendation by the chair or GSN Dean that includes a description of the proposed duties of the Visiting Faculty Member, the duration of the appointment (usually up to one year), and their qualifications for the position;

b. The candidate’s curriculum vitae; and

c. A letter from the chair or equivalent official at the institution where the individual holds their academic appointment. This letter should confirm the candidate’s rank and title, state that the candidate is in good academic standing, and recommend the candidate for a visiting appointment at UMMS. No other external letters of evaluation are required.

The SOM Dean (if applicable) and the Provost or their designee reviews these materials, makes a decision to approve or not approve the appointment, and informs the chair or GSN Dean and the candidate.

The appointment of a Visiting Faculty Member may be extended on recommendation by the chair or GSN Dean (as applicable) and approval by the SOM Dean (if applicable) and Provost or their designee. Visiting Faculty appointments for longer than two years are not allowed; individuals requiring a longer appointment must be appointed as Adjunct Faculty (Section 6.4).

Section 3.15 Emeritus Status

In accordance with the University of Massachusetts Policy for Awarding Emeritus Status (Doc. T93-054, as amended), emeritus status is awarded to a Faculty Member who has permanently retired.  Normally, emeritus status is granted only to an individual who has served as a UMMS Faculty Member for ten or more years and who has attained the rank of Professor. Employed Faculty (Article 5) and Affiliate Faculty (Article 6.3) are eligible. Emeritus status is designated by the Chancellor upon recommendation of the Provost, following a written request by the chair, SOM Dean or GSN Dean (as applicable). The term “Emeritus” follows the academic rank or title (e.g., Professor Emeritus of Department; Chair Emeritus of Department) and is an honorific designation.