Time Line for Submission of Appointments and Promotions Documentation

Documentation Supporting Proposals for Faculty Appointment, Reappointment, or Promotion

• Proposal for Personnel Action
• Request for Approval of Extramural Consultants
• Request for Approval of Extramural Consultants in the Clinician-Educator Faculty
• Template for Letters to External Reviewers

for letters relating to promotion/appointment to: 

Associate Professor (and-with appropriate modifications-for promotion/appointment to Professor)

Associate Professor Clinician-Educator (and-with appropriate modifications-for promotion/appointment to Professor Clinician-Educator)

Research Associate Professor (and-with appropriate modifications-for promotion/appointment to Research Professor)

• Application for Leave of Absence Form
• Sample Letter of Notification of Termination of Appointment

TIME LINE FOR SUBMISSION OF APPOINTMENTS
AND PROMOTIONS DOCUMENTATION:

1. Extramural consultants forms should be submitted for approval of the suggested names well in advance of the anticipated appointment or promotion (as outlined in Documentation Supporting Proposal for Faculty Appointment, Reappointment or Promotion, attached). The appropriate extramural consultants form must be used for submission for approval. [Request for Approval of Extramural Consultants or Request for Approval of Extramural Consultants in the Clinician-Educator Faculty].

 
2. Faculty Equal Opportunity Compliance Statement (Affirmative Action) form -- One (1) copy only must be completed and submitted separately to this office for approval by the Provost's representative (final signature) at least two weeks prior to submission of the final dossier to either the Provost's Staff Conference or the Provost's Staff Conference Subcommittee. No case will be discussed until the affirmative action form has been approved.

 
3. Preliminary draft of dossiers (to be presented at the Provost's Staff Conference, on Thursdays) -- One (1) copy only should be submitted to this office at least three weeks prior to the meeting scheduled for discussion of the case. (This time frame gives us the opportunity to review the case, make recommendations to the Dean, or the Dean's representative, regarding any questions or deficiencies in the dossiers, and should provide the School ample time to make changes.)

 

A preliminary draft is not necessary for a case being presented to the Subcommittee (Friday meetings).
 

4. Final copies for distribution of dossiers (Provost's Staff Conference) -- Fourteen (14) must be delivered to the Provost's office at least ten (10) days prior to the meeting scheduled for discussion of the case. At least one copy of the dossier should be xeroxed double-sided.  Meeting packets (dossiers and agenda) will be distributed to the members of the Provost's Staff Conference at least ten (10) days prior to the meeting date. Please submit at least one copy xeroxed double-sided for file.

 

Cases being presented to the Subcommittee -- One (1) copy only should be delivered to this office at the latest by the Tuesday prior to the Subcommittee meeting at which the case is to be discussed. Health Schools will need to deliver materials at least ten days prior to the meeting. (Affirmative Action forms must be completely approved prior to discussion of the case, see item #2. above).
 

5. Minutes of the meetings are distributed approximately seven (7) days after the meeting.

 
6. A copy of the acceptance letter for any appointment authorization must be forwarded to the Associate Provost's office, as soon as it is received. Appointments are not presented to the Trustees for approval until there is a formal acceptance. Please indicate on the copy of the letter the date of the PSC meeting at which the appointment authorization was approved.

 
7. ALL documentation must be submitted directly to:

 

Arberetta Williams
Executive Assistant to the Associate Provost for Faculty Affairs
120 College Hall/6303
Telephone: 215-898-3051
Fax: 215-898-6567
e-mail: arwillia@pobox.upenn.edu

DOCUMENTATION SUPPORTING PROPOSALS FOR FACULTY
APPOINTMENT, REAPPOINTMENT OR PROMOTION

I. TYPES OF FACULTY APPOINTMENTS:

1. STANDING FACULTY

 
1. Standing Faculty - Members of the Standing Faculty, who are either tenured or in tenure-probationary status, are occupied on a full-time basis at the University of Pennsylvania in teaching, research, service and other academic activities.

 
2. Standing Faculty--Clinician-Educator - Members of the Standing Faculty--Clinician-Educator are occupied on a full-time basis in professional care, clinical teaching, and clinical research in hospitals and clinics belonging to or affiliated with the University. Income is usually derived from funds accruing from clinical services.

 
2. ASSOCIATED FACULTY

 
1. Research Faculty - Members of the research faculty are occupied on a full-time basis in research supported by external grants or contracts and receive their salaries and benefits from these sources without obligation on the part of the University to continue salary and benefits beyond termination of research funds. They do not participate in formal teaching programs, except on an occasional basis.

 
2. Clinical Faculty - Members of the clinical faculty provide professional services and participate in educational programs on a part-time basis in the Health Schools (Schools of Medicine, Dental Medicine, Nursing or Veterinary Medicine). Their professional careers are primarily independent of their University affiliations, except in Health System Physician appointments in the School of Medicine.

 
3. Adjunct Faculty - Members of the adjunct faculty are appointed to part-time academic status while continuing their primary careers or associations outside and independent of the University. Appointment to the adjunct faculty may also be used for academically qualified persons employed by the University in non-academic or administrative roles.

 
4. Visiting Faculty - Members of the visiting faculty are appointed on a full-time temporary basis while on leave from their academic appointments at another institution of higher education, private organization or government agency.

 
5. Visiting Executive Professor - Members identified as Visiting Executive Professor are full professors at the Wharton School who have held very senior positions in business or government and serve as role models and to impart real-world knowledge to students. There is a limit of five current appointments permissible in this category at any one time, and appointments are for a set term.

 
6. Practice Professor - This category is reserved for a limited number of untenured full professorships, and is applicable to only the Law School, the Wharton School, the Graduate School of Education, Graduate School of Fine Arts and the School of Engineering and Applied Science.

 
7. Wistar Institute Appointments - These appointments are held by members of the scientific staff of the Wistar Institute who serve in the Associated Faculty of the University.

 

Appointment or promotion to the rank of Professor or Associate Professor is a major step in a faculty member's professional development. It is essential that a careful evaluation be made of all relevant aspects of the candidate's record. These aspects include:

1. Scholarly Record and Reputation

 

An analysis should be made of the candidate's previous scholarly achievements, with special attention to the record of publications. The overall quality as well as the quantity of the publications should be examined. If multiple-authored articles are prominent in the publication record the precise role of the candidate in the work should be outlined. The nature and significance of the candidate's contributions to the discipline should be explored. The candidate should have a coherent plan for future scholarship. Where relevant, an analysis should be made of the ability of the candidate to secure external financial support for research.
 

2. Teaching

 

The dossier should contain both a chronology of the candidate's classroom teaching and the formal evaluations (or summary of evaluations) made of that teaching. An evaluation should be made of the candidate's ability to work effectively with graduate students and to teach in informal settings. A list of the candidate's graduate students and their placements should be included.
 

3. Other Contributions

 

The candidate's performance in areas beyond teaching and scholarship should be discussed. These areas include service to the department, the school, and/or the University, as well as service to the candidate's profession. Major administrative assignments, either within or outside of the University, should be noted.

There are various vehicles for addressing these points, such as chairs' letters, deans' letters, letters from external reviewers, reports from reviewing subcommittees, and letters from chairs of personnel committees. It does not seem wise to mandate which should necessarily cover each of the above mentioned four points. However, it does seem reasonable to state that a typical dossier in a case involving appointment, promotion, or conversion to tenure at the rank of associate professor or above should address each point somewhere in its contents.

III. DOCUMENTATION NEEDED TO SUPPORT PROPOSALS OF VARIOUS TYPES
(Materials in dossiers should be assembled in the order listed below)

1. Tenured and Tenure-Probationary Faculty

 
1. Conferral of indefinite tenure -- New Appointment as Associate Professor or Professor with tenure; Promotion to Associate Professor with tenure; Conversion to tenure at the Associate Professor level [Fourteen (14) copies, unless otherwise indicated]

 
1. Proposal for Personnel Action form;

 
2. Letter from the Dean explaining the basis for the proposal and conveying his or her recommendation;

 
3. Letter from the chair of the personnel committee of the School that explains the grounds on which that committee acted, with the vote as recorded;

 
4. Letter from the department chair explaining why the proposed action has the approval of the department faculty and recording the departmental vote on the proposal; any dissenting minority opinion should also be communicated;

 
5. Current curriculum vitae (in which scholarly articles published in refereed journals are listed together and so identified) -- also see IV. below;

 

-- Candidate may submit a personal statement detailing research, teaching and service approaches and goals. Statement should reflect a current date (mm/dd/yyyy or mm/yyyy) format.   
 

6. Evidence of Fluency in the English Language [new appointment only]

 
1. Candidate's fluency in the English language in the classroom must be certified by the Dean (for any School in which the candidate will have responsibility for teaching undergraduates);

 
2. A brief description of the methods and results of evaluation should be included.

 
7. Teaching chronicle which lists:

 
1. All courses taught by the faculty member since the last promotion, or six years, whichever is the shorter period of time;

 
2. Number of enrolled students (ordered by semester);

 
3. List of supervised graduate students; and

 
4. List of independent studies with undergraduate students

 
8. Evaluation of teaching for each course identified in (g) above. Such evaluation might take the form of: (i) a summary of questionnaires completed by students; (ii) letters returned by a random sample of students in response to a request; (iii) a condensation of faculty opinion; (iv) reports of observation by faculty colleagues; or (v) any combinations of these sources of information;

 
9. Table showing the distribution of the Standing Faculty in the department by rank and by tenure status;

 
10. Intramural letters of reference from at least three senior members of the faculty qualified to evaluate the candidate's credentials. If a secondary appointment is being recommended, one of these letters should be from the chair of the secondary department;

 
11. Any additional letters of reference that have been obtained in the course of deliberations by the faculty of the department or by the personnel committee of the School;

 
12. Extramural letters of reference from at least six leading scholars in the candidate's field, obtained in accordance with the following protocol [See Associate Provost's Memorandum, Guidelines for Identifying and Contacting Extramural Consultants; Attachment A]:

 
1. These extramural consultants must be approved by the Dean and by the Provost before letters of reference are requested from the consultants [see Request for Approval of Extramural Consultants];

 
2. To secure this approval, the names of at least eight (8) potential consultants should be submitted to the Dean and to the Provost, together with the identity of the person who suggested each extramural consultant. Up to three (3) additional names should be suggested by the candidate [see Provost's Memorandum #1-97, Confidentiality of Employee Records, January 15, 1997, "...the University will no longer allow inspection of external review letters, provided that the faculty member had some input into the selection of the reviewers ..."]. [Attachment B].

 
3. Nominations should be made without consulting the candidate.  Any previous or present relationship between the extramural consultant and the candidate (e.g., as preceptor, collaborator or colleague) or the University, should be clearly specified.  If possible at least one member of the department's external review committee who is qualified to review the candidate should be included.  External consultants having an association with the candidate or department or nominated by the candidate should not constitute more than one third of the approved list.

 
4. A standard letter will be sent to each approved extramural consultant by the department chair, the chair of the personnel committee, the Dean, or the Provost, to request advice concerning the proposal [see Template Letters];

 
5. These letters of reference from approved extramural consultants will be made available to the personnel committee of the School, as well as to the Dean, the Provost and the Provost's Staff Conference, and the President of the University;

 
6. The candidate for appointment or promotion may nominate an additional list of up to three (3) consultants.  Candidates who decline to nominate consultants should provide a letter waiving this option.

 
7. If it is necessary to make additions or substitutions to the list of external consultants, such changes must be explained and resubmitted on a separate form to the Dean and the Provost for approval;

 
13. Copy of all approved Extramural Consultants forms signed by the Dean and Provost;

 
14. Letter stating the result of each request for an external evaluative letter approved by the Dean and Provost if any response letter was not received;

 
15. Documentation of affirmative action procedures [one copy only; submitted separately and prior to final submission of the dossier].

 
Promotion to Professor -- Promotion to the rank of Professor, indefinite tenure having been previously awarded [Fourteen (14) copies, unless otherwise indicated]

Details of documentation requested here and below are more fully described in Section A. 1. above
 

1. Proposal for Personnel Action form;

 
2. Letter from the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Letter from the department chair with the record of voting;

 
5. Current curriculum vitae;

 
6. Teaching chronicle with student evaluations;

 
7. Table showing the distribution of the Standing Faculty in the department by rank and by tenure status;

 
8. At least three intramural letters of reference;

 
9. At least six extramural letters of reference. These extramural consultants must be approved by the Dean before letters of reference are requested from the consultants. Up to three (3) additional names may be suggested by the candidate [see Provost's Memorandum #1-97, Confidentiality of Employee Records, January 15, 1997, attached] [Request for Approval of Extramural Consultants]. [Provost's approval at this level is not necessary];

 
10. A standard letter will be sent to each approved extramural consultant by the department chair, the chair of the personnel committee, or the Dean to request advice concerning the proposal;

 
11. Documentation of affirmative action procedures [one copy only; submitted separately and prior to final submission of the dossier].

 
2. Associate Professor without tenure -- Appointment or promotion to the rank of Associate Professor for a stated term [one (1) copy, unless otherwise indicated]

 
1. Proposal for Personnel Action;

 
2. Letter from the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Letter from the department chair with the record of voting;

 
5. Current curriculum vitae;

 
6. Certification of candidate's fluency in the English language [new appointment only];

 
7. Teaching chronicle with student evaluations [new appointment excepted];

 
8. Table showing the distribution of the Standing Faculty in the department by rank and by tenure status;

 
9. At least three intramural letters of reference;

 
10. At least three extramural letters of reference;

 
11. Documentation of affirmative action procedures [one copy only; submitted separately and prior to final submission of the dossier].

 
3. Assistant Professor -- Appointment and reappointment to the rank of Assistant Professor [one (1) copy]

 
1. Proposal for Personnel Action;

 
2. Letter from the department chair, endorsed by the Dean, with record of voting;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Current curriculum vitae;

 
5. Certification of candidate's fluency in the English language [new appointment only];

 
6. Teaching chronicle with student evaluations [reappointment only];

 
7. Table showing the distribution of the Standing Faculty in the department by rank and by tenure status;

 
8. At least two intramural and at least two extramural letters of reference [new appointment only];

 
9. Documentation of affirmative action procedures [New appointment only; one copy only; submitted separately and prior to submission of the dossier].

 
2. Clinician-Educator and Research Faculty

 
1. Appointment or Promotion to the rank of Professor Clinician-Educator, Associate Professor Clinician-Educator, Research Professor or Research Associate Professor [Fourteen (14) copies, unless otherwise indicated]

 
1. Proposal for Personnel Action;

 
2. Letter from the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Letter from the department chair with the record of voting;

 
5. Current curriculum vitae;

 
6. Certification of candidate's fluency in the English language [new appointment for Clinician-Educator only];

 
7. Teaching chronicle with student evaluations [Clinician-Educator only; new appointment excepted];

 
8. Table showing the distribution of the Standing Faculty, research faculty and clinician-educators in the department by rank and by tenure status;

 
9. At least three intramural letters of reference;

 
10. At least six extramural letters of reference [Approved by Dean and Provost for promotion to Associate Professor rank and for appointment to Associate Professor or Professor rank] [Request for Approval of Extramural Consultants in the Clinician-Educator Faculty and Template for Letters to External Reviewers -- Associate Professor Clinician-Educator];

 
11. Documentation of affirmative action procedures [one copy only; submitted separately and prior to final submission of the dossier].

 
2. Appointment to the rank of Assistant Professor Clinician-Educator or Research Assistant Professor [one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Letter from the department chair, endorsed by the Dean, with the record of voting;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Current curriculum vitae;

 
5. Certification of candidate's fluency in the English language [new appointment for Clinician-Educator only];

 
6. Table showing the distribution of the Standing Faculty in the department by rank and by tenure status;

 
7. At least two intramural and at least two extramural letters of reference [new appointment only];

 
8. Documentation of affirmative action procedures [new appointment only; one copy only; submitted separately and prior to submission of the dossier].

 
3. Reappointment at the rank of Assistant Professor Clinician-Educator or Research Assistant Professor [one (1) copy]

 
1. Proposal for Personnel Action;

 
2. Letter from the department chair, endorsed by the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Current curriculum vitae;

 
5. Teaching chronicle with student evaluations (Clinician-Educators only);

 
4. Reappointment at the rank of Research Associate Professor or Research Professor [one (1) copy]

 
1. Proposal for Personnel Action;

 
2. Letter from the department chair, endorsed by the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Current curriculum vitae;

 
3. Lecturer C Appointments

 

The position of Lecturer C was established several years ago to provide a mechanism for placing a prospective full-time member of the faculty whose formal appointment had been delayed due to a reasonably justifiable event (awarding of terminal degree, visa issue, etc.) on full-benefit status.

The Lecturer C position plays an important role in permitting new faculty to make a smooth transition to the University.
 

1. ABD/Lecturer C:

 
1. Appointment Approval

 

A prospective assistant professor in the final stages of completion of the doctorate may be appointed as Lecturer C. Appropriate supporting documentation must be forwarded to the Office of the Associate Provost for review and approval by the Provost's Staff Conference Subcommittee, reflecting the appropriate language for contingency on completion of all the requirements for the Ph.D. degree. [See section III.A.4. Assistant Professor appointment, page 7 of this Documentation Outline].
 

2. Term of Appointment

 
1. Appointment to the position of Lecturer C is for a one-year approved term. If the circumstance justifying the need for the Lecturer C status continues beyond one year, a terminal one-year reappointment must be processed and approved by the Provost's Staff Conference Subcommittee.

 
2. Completion of the doctorate and appointment to the proposed full-time faculty position must come forward to the Office of the Associate Provost within the terminal year or the candidate's appointment will end on June 30 of the terminal year.

 
3. Conversion of Lecturer C Appointment to Full-Time Faculty Position - In order for an individual's status to be converted from Lecturer C to a full-time faculty position, the following documentation must be submitted to the Office of the Associate Provost:

 
1. Written certification of completion of the degree requirements from the candidate's university.

 
2. Acceptance letter from the candidate addressed to the Department Chair or Division Head referring to the original approved appointment offer.

 
2. Visa/Lecturer C:

 
1. Appointment Approval

 

A prospective assistant professor awaiting an appropriate visa may be appointed as Lecturer C. Appropriate supporting documentation must be forwarded to the Office of the Associate Provost for review and approval by the Provost's Staff Conference Subcommittee, reflecting the appropriate language for contingency on appropriate visa. [See section III.A.4. Assistant Professor appointment, page 7 of this Documentation Outline].
 

2. Conversion of Lecturer C Appointment to Full-Time Faculty Position

 

In order for an individual's status to be converted from Lecturer C to a full-time faculty position, a copy of the candidate's resident alien card must be submitted to the Office of the Associate Provost.
 

3. Term of Appointment

 

It is expected that application for permanent residency status will be initiated within a brief and reasonable time frame. Consideration for promotion to tenure is contingent upon United States permanent residency status.
 

3. Lecturer C (other category):

 
Appointment Approval
All other appointments to the position of Lecturer C must be requested in writing to the Dean by the Department Chair or Division Chief. This request must include the justification for the request, the candidate's proposed academic title, and the proposed appointment begin date.

After the Dean has approved the Lecturer C appointment, a copy of both the request and the Dean's approval must be forwarded to the Office of the Associate Provost.
 

1. Term of Appointment

 
1. Appointment to the position of Lecturer C is for a one-year approved term. If the circumstance justifying the need for the Lecturer C status continues beyond one year, an additional request must be submitted to and approved by the Office of the Associate Provost for a one-year terminal appointment.

 
2. Appointment to the proposed full-time faculty position must come forward to the Office of the Associate Provost within the terminal year or the or the candidate's appointment will end on June 30 of the terminal year.

 
4. Associated Faculty -- Other Positions

 
1. Appointment or Promotion to clinical faculty, practice faculty, adjunct faculty, visiting faculty or Wistar faculty [one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Letter from the department chair, endorsed by the Dean;

 
3. Letter from the chair of the personnel committee with the record of voting;

 
4. Current curriculum vitae

 
5. Certification of candidate's fluency in the English language [new appointment for adjunct and visiting faculty only];

 
2. Reappointment in the clinical faculty, practice faculty, adjunct faculty, visiting faculty or Wistar faculty [one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Letter from the department chair, endorsed by the Dean;

 
3. Current curriculum vitae

 
5. Miscellaneous Actions

 
1. Secondary Appointments [with voting rights only - one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Note of approval from the chair of the primary department;

 
3. Note of approval from the chair of the secondary department;

 
4. Current curriculum vitae

 
2. Leaves of Absence [one (1) copy]

 
1. Application for Leave of Absence form;

 
2. Letter from faculty member requesting leave with justification for the leave;

 
3. Department chair's authorization [on form];

 
4. Dean's endorsement [on form]

 
3. Reemployment Beyond Retirement [one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Letter from the department chair, endorsed by the Dean;

 
4. Terminations or Resignations

 
1. Standing Faculty or Research Faculty:

 
1. Documentation of affirmative action;

 
2. Letter of termination or resignation signed by the faculty member;

 
2. Associated Faculty [necessary only when appointment ends prior to the approved duration of appointment]

 
1. Letter of resignation or termination signed by the faculty member

 
5. Academic Support Staff (including Lecturers, Senior Investigators, Investigator and Research Associates) - Full time service in these positions may not exceed three consecutive years except with approval by the Provost. [one (1) copy]

 
1. Proposal for Personnel Action form;

 
2. Letter from the department chair, endorsed by the Dean;

 
3. Current curriculum vitae

1. It would be useful to the Provost's Staff Conference if either the department chair or one of the reviewers would identify the most significant scholarly journals in the field.

 
2. When listing jointly authored publications, authors should appear in the order actually employed. Do not use the "with" terminology.

 
3. Give exact page numbers for articles; give number of pages for books and monographs.

 
4. All votes of departments, departmental committees and school committees should appear and should be stated numerically -- number favorable, number opposed, number abstaining, number not present.

 
5. Do not include illegible teaching reports or other unreadable materials.

 
6. All letters received must be included in the dossier.

Contact: Arberetta W. Bowles - arwillia@pobox.upenn.edu
Office of the Associate Provost
URL: http://www.upenn.edu/assoc-provost/handbook/Faculty_Appointments_and_Promotions.html
Updated: Tuesday, 26-Jun-2001 13:46:50 EDT