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IV. THE ASSOCIATED FACULTY

    Members of this group play varied and important roles in the teaching, research, and professional programs of the University. They will in general have the same academic preparation as members in the Standing Faculty. However, they do not acquire tenure in SAS. Permissible ranks in the Associated Faculty in SAS are those in the Standing Faculty modified by one of the descriptive modifiers "Research," "Adjunct," or "Visiting."

  1. THE RESEARCH FACULTY

    This group includes persons who are qualified to participate full-time in one or more of the research activities undertaken by the University and whose salaries and benefits are derived principally from external grants or contracts without obligation on the part of the University to continue salary and benefits beyond termination of research funds. Such appointments should not be given to full-time faculty members holding a terminal professional degree and continuously engaged over an extended period in the same academic activities as faculty members having tenure or serving in a tenure probationary appointment. Research faculty do not participate in formal teaching programs, except on an occasional basis. An appointment to the Research Faculty is for a specified term or for the duration of a particular specified project, whichever is shorter. Persons may serve on the Research Faculty through successive reappointments. While the University will seek to find employment elsewhere in the University for a member of the Research Faculty when a project has been terminated, the University does not assure continuity of appointment for any person on the Research Faculty.

    If a member of the Research Faculty is recommended for membership in the Standing Faculty, the time spent in the Research Faculty is considered part of the tenure probationary period.

    Please refer to the University-wide guidelines for Research Faculty in Section II.B.3. of the 2006 Handbook; the section is reproduced in Appendix 25 of this document.

    1. New Appointments

      1. Authorization for Appointment

        Prior approval of the Dean must be obtained by department chair before a formal search for Research Faculty is undertaken. The Chair must indicate the source of funding for the position. The search will generally be approved for a specified period, but will be extended if it appears that additional time is required to identify the best possible candidate.

      2. Search Procedures

        All new appointments to the Research Faculty require a formal search. The Chair should inform the SAS Affirmative Action Officer when a position is made available and furnish the Officer with a copy of the advertisement announcing the position. The Chair must be prepared to document this search when completing the Faculty Equal Opportunity Compliance Statement. The search should include letters to departments outside of the University and should not rely solely on personal or telephone contacts. Disciplinary and professional associations, including committee and caucus groups, should be contacted, and their facilities for employee location and referral should be used. Search committees should include women and minority persons among their members if possible. Consideration of women and minority persons for a position for one departmental subfield cannot be used to satisfy the search requirements in another subfield. Moreover, consideration of women and minorities for a position in the Standing Faculty cannot be used to satisfy the search requirements for a position in the Research Faculty, nor can consideration of women and minorities for a position in the Research Faculty be used to satisfy the search requirements for a position in the Standing Faculty. The percentage of women and minorities in the national candidate pool for the specific position available should be indicated (this information may be obtained from Kathy Fey in the Dean's Office). Questions concerning appropriate methods for setting up a search should be referred directly to the Affirmative Action Office.

      3. Letters of Recommendation from External Reviewers

        Letters of recommendation for appointments to Research Assistant Professor are normally procured by the department using whatever mechanisms are customary to that department. However, in the case of an appointment to Research Associate Professor or Research Professor evaluations must be solicited from a list of at least eight external reviewers that has been previously approved by the Dean and the Provost (SAS Form 99-17). The letter that requests the evaluation will be sent from the department, but must conform closely in spirit to the sample letter contained herein. The letter must request comparisons that are as quantitative as possible and must not "lead" the reviewer by suggesting, for example, that the department wishes to appoint the person being reviewed. Samples of the suggested letter (SAS Forms 02-18 and 02-19) are enclosed.

      4. Dossier for Appointment of Research Faculty (SAS Forms 99-31 or 99-32)

        1. Chair's Letter

          The evaluation of the candidate by the department should be summarized by the Chair in a covering letter that indicates the candidate's present status and comments in detail on his or her potential for making significant contributions to the specific research program. The candidate should be compared with other candidates in the candidate pool, including the best two candidates in the affirmative action pool.

          The formal vote of the faculty on the candidate must be stated explicitly in the Chair's letter. Minority opinion should be expressed in writing, either in the Chair's letter or in a separate letter written by another faculty member selected by the Chair. Faculty members on leave or temporarily absent should be given an opportunity to express their views.

        2. Curriculum Vitae of the Candidate

          The basic document for presentation of the candidate for appointment is a curriculum vitae (usually prepared by the candidate) which sets forth the essential facts concerning the candidate's educational background, scholarly activities and honors, and a bibliography of published works. Candidates must provide inclusive pagination for all bibliographical citations on the curriculum vitae (exact page numbers for articles, number of pages for books and monographs). In addition, the Chair should annotate the curriculum vitae or append to it a statement that will enable readers of the dossier: (1) to distinguish the journals in which the candidate's work appears that are refereed from those that are not; and (2) to identify the writings that are primarily by the candidate in cases of multiple authorship. The Chair should identify the most significant scholarly journals in the field and indicate the protocol for the field with regard to the order of names on jointly authored works.

          When a candidate for appointment has, had, or will have grant support from outside agencies, the Department should use SAS Forms 99-28, 99-29, and 99-30 to elaborate. Alternatively, the Statement of Current and Pending Grant Support prepared for grant submission can be used in place of these forms.

        3. Table showing distribution of the Standing Faculty and Research Faculty in the department by rank and tenure status.

        4. Letters from University Faculty Members (at least 3)

          Letters of evaluation of the candidate by the faculty of the recommending department and by members of other departments or schools must be submitted by the Chair as part of the proposal. The report of a departmental committee may be substituted for individual letters from department faculty.

        5. External Letters

          1. Research Assistant Professor

            The dossier should contain at least two letters from individuals outside the University. These letters should include, if appropriate, letters from the Chair or the candidate's thesis advisor.

          2. Research Associate Professor or Research Professor (at least six letters)

            The approved list of external reviewers and one sample of the Chair's standard letter requesting the reviews should precede any letters. The letters from the approved list should be included in the order in which the names appear on this list. Other external letters may be included after those on the approved list. If these latter letters are to be given any weight whatever, some indication of the credentials of the reviewers and of the circumstances under which they appear should be included.

        6. In addition to the above listed items for the dossier, the department must also submit one copy each of Documentation of Affirmative Action Procedures (SAS Form 99-3) and Certification of English Language Fluency in the Classroom (SAS Form 99-6).

      5. Letter Offering Appointment

        The Chair may write offering an appointment to the candidate only after receiving the permission of the Dean. This permission will be given only after the recommendation of the department has been reviewed by the Provost's Staff Conference and approved by the President and the Provost. Tentative correspondence sent prior to formal approval by all levels of the administration must clearly indicate the necessary formalities that must be observed before a formal offer can be made. All formal and tentative offer letters must be reviewed in the Dean's office before being sent.

      6. Candidate's Letter of Acceptance

        The candidate's formal letter of acceptance to the Chair must be received by the Dean before formal approval of the Trustees can be obtained.

      7. Notification of Appointment

        A formal notice of the appointment will be sent to the candidate by the Secretary of the University after the Trustees have acted on the appointment. Due to the schedule of the meetings of the Trustees this action often comes some time after the candidate has begun the term of appointment.

      8. Dean's Letter of Appointment

        The Dean's letter of appointment to the new Research Assistant Professor will state the title and term of the appointment. The letter will contain the expected review dates for reappointment and a description of responsibilities and of the review process. The letter will also contain a clear statement of the limitations on teaching activity as a Research Assistant Professor. The letter will also state the general expectations of the School of Arts and Sciences of its members.

    2. Reappointment

      Reappointment as a Research Assistant Professor requires satisfactory performance toward excellence in scholarship, as evaluated by the departmental faculty, the Dean of the School of Arts and Sciences, and the Provost's Staff Conference as well as continuation of the funding supporting the position. Reappointments cannot be considered automatic, and careful consideration must be given to the candidate's performance in the context of the department's long-range planning and of the projected resources available for the support of the specific research project.

      1. Term of Reappointment

        The term of reappointment can be variable, depending on the nature of (and funding for) the specific research project and the future plans of the department and of the candidate. However, in no case can the total term of appointment as a Research Assistant Professor exceed ten years unless a portion of the time of the appointment has been explicitly excluded by the Provost and the President. Such exclusion would normally be granted only for child-care leave.

      2. Deadlines for Recommendation

        University policy requires that Research Assistant Professors be notified of reappointment or termination prior to the end of the penultimate year of their appointments. This can be done most expeditiously if recommendations for reappointment or termination are received from the department before the end of the fall term of the penultimate year. In the event that advice from the department is not received in time to permit the Dean, and the Provost's Staff Conference to complete their reviews before June 30, the Dean may send a termination notice to the faculty member. If such a notice is not sent because of failure of the department to meet these deadlines, the grant or contract may be liable for an additional year's salary.

      3. Dossier for Reappointment as Research Assistant Professor (SAS Form 99-33)

        1. Chair's Letter

          The Professors and Associate Professors of the department should evaluate the candidate for reappointment in terms of his or her performance to date as measured against their initial expectations. In its deliberations the department should give serious consideration to recommending termination of the appointment at the end of the current term if the candidate's performance has not met its expectations.

          The Chair's letter should comment on the extent to which the candidate has fulfilled his or her initial promise as indicated in the original appointment documentation. The Chair should also report the total teaching activity of the candidate to demonstrate that this activity has not exceeded 10 percent of the teaching load of a member of the Standing Faculty in the department. The Chair's letter should report the formal vote of the faculty in the department, including the manner in which the vote was taken. Minority opinion, when present, should be expressed in the Chair's letter or in a separate letter from another faculty member selected by the Chair.

        2. Curriculum Vitae of the Candidate

          The candidate is responsible for preparing an up-to-date curriculum vitae which includes scholarly accomplishments and plans. All works published and in progress should be included in the bibliography.

          Candidates must provide inclusive pagination for all bibliographical citations in the curriculum vitae (exact page numbers for articles, number of pages for books and monographs). In addition, the Chair should annotate the curriculum vitae or append to it a statement that will enable readers of the dossier: (1) to distinguish the journals in which the candidate's work appears that are refereed from those that are not; and (2) to identify the writings that are primarily by the candidate in cases of multiple authorship. The Chair should identify the most significant scholarly journals in the field and indicate the protocol for the field with regard to the order of names on jointly authored works.

          When a candidate for reappointment has, had, or will have grant support from outside agencies, the Department should use SAS Forms 99-28, 99-29, and 99-30 to elaborate. Alternatively, the Statement of Current and Pending Grant Support prepared for grant submission can be used in place of these forms.

        3. Supporting Letters

          At least two letters from University faculty commenting on the candidate's performance to date should be included. External letters, if appropriate, may be included in addition or in place of some of the internal letters. The report of an ad hoc department committee may be substituted for individual letters.

      4. Notification of Candidate

        It is the responsibility of the Chair to notify the candidate in writing of the official action taken before June 30. If reappointment has not been approved, the Chair should notify the candidate with a letter similar to that suggested in SAS Form 99-21. Failure to provide such written notice may result in an automatic reappointment for a terminal year regardless of other departmental priorities. A copy of the letter countersigned by the candidate must be sent to the Dean's Office together with a Faculty Equal Opportunity Compliance Statement (SAS Form 99-5).

      5. Procedures when Department does not Recommend Reappointment

        1. Dossier Prepared for Dean (one copy only)

          1. Chair's Letter

            The Chair's letter should summarize the discussions in the department. Dissenting opinion, if present, should either be summarized in the Chair's letter or presented in a separate letter from another faculty member designated by the Chair. The formal vote of the faculty members must be recorded in the Chair's letter.

          2. Curriculum Vitae

            The curriculum vitae should be prepared in a manner similar to that presented for a positive recommendation.

          3. Supporting Letters

            Letters solicited as part of the evaluation process should be included.

        2. Notification of Candidate

          After receiving the concurrence of the Dean, the Chair should notify the candidate in writing of the official action prior to June 30. A letter similar to that suggested in SAS Form 99-21 should be used for this notification. Failure to provide timely notice may result in automatic reappointment of the Research Assistant Professor for one additional terminal year regardless of the priorities of the department or of the specific research project from which the salary of the individual is provided. A copy of the letter countersigned by the candidate must be sent to the Dean's Office together with a Faculty Equal Opportunity Compliance Statement (SAS Form 99-5).

        3. Appeal Procedures

          If the department does not recommend reappointment, the candidate may appeal the case to the Dean. The candidate should present, in support of the appeal, whatever information he or she believes has either been overlooked or inappropriately evaluated. If the Dean believes that the department has not considered all aspects of the case, the Dean may ask the department to reconsider the case. The Dean also has the option of forwarding the dossier to the Provost's Staff Conference without the endorsement of the department. In this event, which should be extraordinarily rare, the Dean must inform the Chair of the department of this action and of the reasons for it.

    3. Promotion to Research Associate Professor (SAS Form 99-34)

      The promotion to Research Associate Professor gives an individual a term appointment which can be renewed without limit. Since it is thus a potentially long-term commitment, the reviews required for this step must be done with the same thoroughness as reviews for tenure. Procedures similar to those for promotion to Associate Professor in the Standing Faculty (Section III.C.) should be followed except that teaching evaluation is not needed. An individual in this rank can be considered for an appointment to the Standing Faculty at either a tenured or a probationary rank. However, such an appointment must be treated in the same manner as an initial appointment from outside the University, with prior approval and a thorough search. In addition, the probationary period for any former Research Assistant Professor appointed to an untenured rank in the Standing Faculty would be shortened by the time spent as a Research Assistant Professor.

    4. Promotion to Research Professor (SAS Form 99-35)

      Procedures similar to those for promotion to Professor in the Standing Faculty (Section III.E.) should be followed except that teaching evaluation is not needed.

    5. Reappointment as Research Associate Professor or Research Professor (SAS Form 99-36)

      Reappointments as Research Associate Professor or Research Professor are normally expected so long as research funds are available and the research continues to be compatible with the scientific objectives of the department. The dossier for reappointment should contain an up-to-date curriculum vitae and a Chair's letter, which should include the justification for the reappointment and the faculty vote. Appeal of non-reappointment should be made directly to the Dean.

  2. ADJUNCT FACULTY

    This designation is for those faculty members whose primary careers are outside the University faculty, whether self-employed or with other institutions of higher education, with business or non-profit organizations, or with government agencies. Such persons may be appointed to part-time status in the University while continuing their principal associations or careers elsewhere. Appointment to the Adjunct Faculty may also be used for academically-qualified persons employed by the University for non-academic or administrative duties. Persons may serve in the Adjunct Faculty without limit of time through successive reappointments, although the University does not guarantee continuity of appointment for any person in this rank. Appointments are normally for a term of three years or less. Academic ranks in the Adjunct Faculty are Adjunct Professor, Adjunct Associate Professor, and Adjunct Assistant Professor. Appointments to the Adjunct Faculty may be partially-salaried or unsalaried.

    Dossier For Appointment or Reappointment (SAS Form 99-13)

    1. Chair's Letter

      The Chair's letter should summarize the discussions within the department and state how the appointment will contribute to the activities of the department. The letter should indicate what fraction of the time the candidate is expected to participate in the department's activities, and whether that participation is research, teaching, or both. Include the formal vote of the faculty including the manner in which the vote was taken.

    2. Curriculum Vitae of the Candidate

      The curriculum vitae should contain an up-to-date summary of the candidate's scholarly accomplishments, educational and employment record, and a complete bibliography. The material should clearly indicate the candidate's primary continuing responsibilities outside the University Faculty.

    3. Supporting Letters

      For an initial appointment or promotion, at least two external letters should be included. For reappointments, at least two letters, either internal or external, should be included.

    4. Evaluation of Teaching

      If a member of the Adjunct Faculty makes his or her primary contribution to the department's teaching program, the dossier for reappointment should contain some documentation of the effectiveness of this contribution (including course evaluations where available).

    5. In addition to the above listed items for the dossier, the department must also submit one copy of the Certification of English Language Fluency in the Classroom (SAS Form 99-6).

  3. VISITING FACULTY

    This designation is for persons who are temporarily appointed by the University while they have academic appointments in another institution of higher education or continue associations with business or non-profit organizations or government agencies. A Visiting Faculty member is a full-time member of the University while on leave from the institution, organization, or agency with which he or she is affiliated. Appointments to the Visiting Faculty are limited to three consecutive years, and normally such appointments are for one year or less. A member of the Visiting Faculty may be fully salaried, partially salaried, or unsalaried by the University. Academic ranks in the Visiting Faculty are Visiting Professor, Visiting Associate Professor, and Visiting Assistant Professor. The rank at the University will normally correspond to the rank at the individual's home institution.

    Dossier for Appointment or Reappointment (SAS Form 99-13)

    1. Chair's Letter

      The Chair's letter should summarize the discussion within the department and state how the appointment is expected to contribute to the activities of the department. The letter should also indicate how the appointment is to be supported, and whether the candidate will expect any employee benefits (appointments to the Visiting Faculty are normally without benefits, since it is assumed that benefits will continue from the home institution). Include the formal vote of the faculty including the manner in which the vote was taken.

    2. Curriculum Vitae of the Candidate

      The curriculum vitae should contain an up-to-date summary of the candidate's scholarly accomplishments, educational and employment record, and a complete bibliography. The material should clearly indicate the candidate's rank and status at his or her current institution.

    3. Supporting Letters

      For an initial appointment at least two external letters should be included. For reappointments at least two letters, which may be internal and/or external, should be included.

    4. Evaluation of Teaching

      If a member of the Visiting Faculty makes a major contribution to the teaching program of the department, the dossier for reappointment should contain some documentation (including course evaluations, if available) of the effectiveness of this contribution.

  4. WISTAR INSTITUTE APPOINTMENTS

    Members of the scientific staff of the Wistar Institute who hold appointments in the Associated Faculty hold titles prefixed by the modifiers "Wistar Institute."

 
 
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School of Arts and Sciences, University of Pennsylvania
Last Modified: Tuesday, 05-Aug-2008 14:42:42 EDT