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UNIVERSITY OF ALABAMA AT BIRMINGHAM SCHOOL OF DENTISTRY
FACULTY HANDBOOK
5-17-2013
Faculty Approved: 8-31-07 Provost Approved: 10-10-07
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VISION
Leading Oral Healthcare
MISSION
To optimize oral health in Alabama and beyond.
VALUES
Excellence Innovation Patient Centered Unity of Purpose
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Summary of Revisions to the Handbook: Date: Section Summary 04-29-2008 Sections 2.6.3.7 Renumbered sections for parity to UAB HB 11-10-2008 Appendix #7 Changes to reflect UAB policy, (Faculty approved 10-31-2008) 08-21-2009 Section 2.7.1 Added policy for faculty to report resignation 09-19-2009 Section 2.10.0.2 Changes to reflect UAB policy (Faculty Approved 1-26-2010) 01-26-2010 Section 2.9, 8-Appendix A Changes to reflect School’s policy (Faculty Approved 1-26-2010) 03-28-2012 Introduction Removed conflicting language with voting procedure in 2.10.0.6 Section 2.6.3.7, Appendix 3,4,5 Changed to match new score criteria in the FAR Appendix 2 Adopted new CV guidelines (Faculty Approved 3-28-2012) 04-13-2012 All Sections Renumbered for parity to UAB Handbook Section 1.1 Updated (Faculty Approved 4-13-2012) 04-15-2012 Prologue and Appendix 1 Updated to current Vision, Mission, and Values (Fac Ap 5-30-2012) 08-06-2012 Corrected Section Numbers Some were missed on 4-13-2012 04-24-2013 Section 2.5.5.1 Adjunct Faculty policies (Faculty Approved 4-24-2013) 05-17-2013 All sections Corrected numbering, updated format Sections 1.2.3.1, 5.3 Updated to match SOD structure Section 2.14.3, Appendix 5 Removed outdated faculty incentive policy Appendix 4 Updated FAR forms (Faculty Approved 5-17-2013)
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TABLE OF CONTENTS
SCHOOL OF DENTISTRY FACULTY HANDBOOK
Introduction
1. Organization 1.1 History 1.2 Governance 1.2.1 Board of Trustees 1.2.2 The University of Alabama at Birmingham 1.2.3 School of Dentistry 1.2.3.1 Dean and Associate Deans 1.2.3.2 Department Chairs 1.2.3.3 Chair of the Faculty 1.2.3.4 Executive Council 1.3 Mission 1.3.1 The University of Alabama System 1.3.2 The University of Alabama at Birmingham 1.3.3 School of Dentistry
2. Faculty Appointments, Promotions, Tenure, Resignation, Termination, and Grievance 2.1 UAB Equal Opportunity Policy 2.2 Faculty Rights and Responsibilities 2.2.1 Release of Information to Public Information Sources 2.2.2 Academic Development of Faculty 2.2.2.1 Advanced Degrees within the School of Dentistry 2.2.2.1.1 DMD Degree Programs 2.2.2.1.2 Certificate Programs 2.2.3 Graduate Study involving academic units at UAB 2.2.4 Educational Programs not related to Professional Development 2.3 Faculty Senate 2.3.1 School of Dentistry Faculty Council 2.3.2 Faculty Meetings 2.4 UAB Faculty Policies and Procedures Committee 2.4.1 School of Dentistry Committees 2.4.1.1 Promotions and Tenure Committee 2.4.1.2 Faculty Development Committee 2.4.1.3 Standing Committees 2.4.1.4 Ad Hoc Committees/Task Forces 2.5 Types of Faculty Appointments 2.5.1 Primary Faculty Appointments 2.5.2 Secondary Faculty Appointments Page 5
2.5.3 Non-academic Appointments 2.5.4 Part-Time Tenure Track and Tenured Appointments 2.5.5 Non-tenure-earning Faculty Appointments 2.5.6 Graduate Faculty Appointments 2.5.7 Temporary Faculty Appointments and Reappointment 2.6 Faculty Ranks 2.6.1 Instructor 2.6.2 Assistant Professor 2.6.3 Associate Professor 2.6.4 Professor 2.7 Academic Librarians 2.7.1 Assistant Librarian 2.7.2 Senior Assistant Librarian 2.7.3 Associate Librarian 2.7.4 Librarian 2.8 Special Faculty Ranks and Appointments 2.8.1 Distinguished Professor 2.8.2 Distinguished Service Professor 2.8.3 University Professor 2.8.4 Academic Chairs, Professorships, and Endowed Lectureships 2.8.5 Emeritus Faculty 2.8.6 SOD Faculty Appointment Tracks 2.8.1 Research Track 2.8.2 Research Emphasis Track 2.8.3 Clinician Scholar Track 2.8.4 Clinical Emphasis Track 2.8.5 Clinical Track 2.8.6 Faculty Administrator Designations 2.9 Faculty Credentials 2.10 Specific Criteria for Appointment, Promotion, and Award of Tenure 2.10.1 Effectiveness as a Teacher 2.10.2 Effectiveness in Scholarly Activities 2.10.3 Effectiveness in Service Activities 2.10.4 Effectiveness as a Librarian 2.11 Procedures for Faculty Appointments, Reappointments, Promotions, and Award of Tenure 2.11.1 School or Library Committees 2.11.2 Departmental Policies and Committees 2.12 Initial Appointments of Faculty 2.12.1 Appointments with Tenure 2.12.2 Appointments as Instructor or Assistant Librarian 2.12.3 Appointments as Assistant Professor, Associate Professor, Senior Assistant Librarian, or Associate Librarian 2.12.4 Appointments as Professor or Librarian
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2.13 Reappointment and Non-reappointment of Non-tenured Faculty 2.13.1 Review for Reappointment and Non-reappointment of Non-tenure-earning Faculty 2.13.2 Review for Reappointment and Non-reappointment of Non-tenured Tenure-earning Faculty 2.13.3 Notice of Non-reappointment 2.13.4 Non-reappointment Because of Changes in Program Priorities 2.14 Annual Faculty Evaluations 2.14.1 Faculty Member Rights 2.14.2 Appeals of Annual Review 2.15 Tenure 2.15.1 General Statement 2.15.2 Tenure Eligibility 2.15.3 Tenure by Faculty Rank 2.15.4 Length of Tenure-earning Period 2.15.5 Extension of tenure-earning period 2.15.6 Changes in Tenure-earning Status 2.15.7 Review for Progress Toward Award of Tenure 2.15.8 Review for Award of Tenure 2.15.8.0 Initiating Activities 2.15.8.0.1 Initiation of Sequence 2.6.15.0.2 Deadline for Submitting Request for Promotion and/or Tenure 2.6.15.0.3 Documentation Supporting Request for Promotion and/or Tenure 2.15.8.1 Departmental and School or Library Committee Review 2.15.8.2 Dean’s Review and Decision 2.15.8.3 Notification of Faculty Member 2.15.8.4 Non-award of Tenure Because of Changes in Program Priorities 2.16 Faculty Promotion 2.16.1 Review for Progress Toward Promotion 2.16.2 Review for Promotion 2.17 Appeals 2.18 Termination of Employment of Tenured Faculty 2.19 Grievances (other than appeal) 2.20 Resignation 2.21 Retirement
3. Other Faculty Rights and Responsibilities 3.16 Grant Applications
4. Holidays, Vacation, and Leave 4.6 Travel and Reimbursement Policy and Procedures
5. Intramural Faculty Practice Page 7
5.3 Intramural Faculty Practice 5.3.1 Definition 5.3.2 Authority for Establishment 5.3.3 Objectives 5.3.4 Participants 5.3.5 Regulations Governing Patient Care 5.3.6 Auxiliary Personnel 5.3.7 Equipment 5.3.8 Instruments 5.3.9 Supplies 5.3.10 Operational and Financial Management 5.3.10.1 Governance 5.3.10.2 Fiscal Policy 5.3.10.2.1 Professional Service Fund Accounts 5.3.10.2.2 Allocation of Operational Funds from PSF Accounts
6. Other University Policies Which Affect Faculty Appendix A. Faculty Grievance Procedures
Appendix B. Review of Recommendations for Termination for Cause of a Tenured Faculty Member or a Faculty Member Whose Term of Appointment Has Not Expired
Appendix C. Review of Recommendations for Termination of a Faculty Member Due to a Bona Fide Financial Exigency, Bona Fide Financial Crisis, or Academic Program/Unit Closure
Other Dental School Policies Which Affect Faculty Appendix 1. Vision/Mission/Values Appendix 2. Outline of Curriculum Vitae for School of Dentistry Faculty Appendix 3. Criteria for Determining the Faculty Activity Report Score Appendix 4. Faculty Activity Report (FAR) and Annual Review Forms Appendix 5. Annual Projected Calendar for Submission of All Promotion and Tenure Award Proposals Appendix 6. Guidelines for Submission of Promotion and Tenure Award Proposals Appendix 7. Agreement Relating to Professional Practice Appendix 8. School of Dentistry Policy on Substance Abuse Appendix 9. School of Dentistry Policy on Children in the Workplace
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SCHOOL OF DENTISTRY FACULTY HANDBOOK
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INTRODUCTION
The School of Dentistry Faculty Handbook is a supplement to the UAB Faculty Handbook. The Table of Contents in the School of Dentistry Faculty Handbook closely follows the Table of Contents in the UAB Faculty Handbook. A policy is specific to the School of Dentistry when the policy number exists in the School of Dentistry Faculty Handbook but not in the UAB Faculty Handbook.
Policies found in Italics in the School of Dentistry Faculty Handbook Table of Contents represent university policies found in the UAB Faculty Handbook without supplemental text in the School of Dentistry Faculty Handbook.
Suggestions for changes to the School of Dentistry Faculty Handbook must be submitted in writing to the Dean and the Chair of the Faculty. The Chair of the Faculty will review the recommended change with the Dean. Following review by the Dean the proposed change will be submitted to the Faculty Council for review and approval. Upon approval of the Faculty Council the requested change will be forwarded to the Executive Council for review and approval. After approval by the Executive Council the proposed change will be placed on the agenda of a faculty meeting for discussion and vote for approval by the faculty. If at any level of the approval process the requested change is revised, it must be routed back through the approval process.
This Handbook does not attempt to include all UAB or School of Dentistry policies.
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1. ORGANIZATION
1.1 History
The University of Alabama at Birmingham School of Dentistry was founded in 1948. Under the guidance and direction of great leaders and faculty, the School of Dentistry has held firm to its original commitment of excellence in education, research and service. Following Dr. Joseph F. Volker as Dean (1948 - 1962) was Dr. Charles McCallum (1962 - 1978). Dr. Leonard Robinson next held the office of Dean (1978 - 1986) and was followed by Dr. Richard Ranney (1986 - 1989). Dr. Victor Matukas held the office of Dean (1989 – 1997) and was followed by Dr. Mary Lynne Capilouto (1997-2003). Dr. Huw Thomas held the office of Dean (2003 – 2011) and was followed by the current Dean, Dr. Michael Reddy.
From one room in the basement of the Hillman Hospital, the school has grown to a vast educational, research and service complex with a national and international reputation as a leader in dental education and research. During the first 64 years of its existence, 3,271 dental degrees have been awarded. In addition to the first professional degree (D.M.D.) the School offers postgraduate training opportunities that include six specialties and a supported auxiliary program in dental assisting.
1.2 Governance
1.2.1 Board of Trustees
1.2.2 The University of Alabama at Birmingham
1.2.3 School of Dentistry
1.2.3.1 Dean, Associate, and Assistant Deans
The Dean has the authority to administer the policies and programs of the School of Dentistry. To aid the Dean in this endeavor, the administration is divided into Academic Affairs; Clinical Affairs; Health Information & Business Systems; Patient Success; Research; and Student, Alumni & External Affairs. Associate and assistant deans are charged with administering these areas.
1.2.3.2 Department Chairs
The designation "Department Chair" is an administrative title completely separate from considerations of tenure and academic rank. The appointments are for a one-year period, renewable indefinitely at the prerogative of the Dean.
Duties of the Department Chair
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University-level Leadership Accept appointments and lead in university-wide committees and activities that focus on interdisciplinary research, clinical research and training and other issues related to your expertise and experiences.
School-level Leadership Participate in Executive Committee and other School-wide planning, program development, evaluation and innovation efforts to create a more efficient, effective, cohesive and high-quality academic enterprise.
Serve upon request on standing or ad hoc committees, task forces or workgroups that address School or institution-wide issues of instruction, research, service, personnel development or other policies.
Assure consistent, clear and continuous communication between the Department and the administrative, fiscal and academic offices of the School.
Assure the full participation of Department representatives on School committees comprised of members from each department.
Personnel Management and Development Recruit faculty and staff with professional credentials and personal qualities that contribute to the achievement of the vision and mission of the School.
Understand, help, guide and promote the development of each individual in the Department, both faculty and staff, to ensure professional growth consistent with the School’s vision and mission.
At least annually, review with each individual in the Department their performance and provide written feedback in accordance with University and School policies.
Ensure that the institution’s personnel policies regarding promotion and tenure, compensation, performance and conduct are followed.
Effectively and efficiently organize and manage the structure and operations of the Department in a manner that promotes a spirit of teamwork and participatory governance.
Financial Management Participate in School-wide efforts to secure, maintain and allocate resources to support the effective, efficient and high-quality operations of the School.
Plan, prepare and present annual budgets.
Prudently manage, monitor and organize the fiscal operations of the Department to maintain a balanced budget.
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Develop long-term budget projections of the Department’s future revenues and expenditures.
Lead and assist in the securing of resources necessary for the function and improvement of the Department through participation and leadership in the annual and capital campaign involving both intra and extramural sources.
Review and approve proposed budgets and resources (i.e., space, staff, etc.) for grants and contracts submitted by Department faculty.
Periodically provide faculty in the Department information about the Department’s finances, explain the rationale for resource allocation decisions, and solicit input from Department faculty.
Educational Programs Lead the Department in contributing to the education of all students in the School of Dentistry by providing and participating in School programs that promote high-quality knowledge and competencies in department specialty related sciences, in accordance with the Commission on Dental Accreditation standards and the School’s vision and mission. This shall include you serving as coursemaster and/or lecturer in courses provided in your areas of expertise.
Lead in the formulation and implementation of strategic plans to introduce new and refined programs at the Department level.
Develop and implement programs to systematically evaluate, update, and foster quality in the Department’s educational policy.
Research Programs Lead in the development and maintenance of a strong research program in the Department so as to support the School’s vision and mission through the Institute of Oral Health Research.
Continue your successful research enterprise as an example for fellow faculty.
Service Programs Effectively organize, coordinate and participate in service activities within and outside the School that support the School’s vision and mission. a. To define and administer all academic programs of his/her department in accordance with the goals stated by the Curriculum Committee and the Dean; b. To define and administer the research and service programs within the department; c. To set the academic tenor for the maximal growth and development of the members of the department; Page 13
d. To participate in the recruitment, appointment, promotion and termination of both professional and support staff in the department;
e. To foster interdepartmental relationships that enhance the academic environment of the school;
f. To serve as the administrative and financial officer of the department and report directly to the Dean or appropriate administrative office of the school on administrative and financial matters;
g. To serve as the responsible person for student contact in matters related to academic issues in the department;
h. To conduct regular departmental meetings to convey dental school business that applies to departmental faculty, and staff when appropriate, documented by minutes; and
i. To hold annual meetings with each department member to discuss issues related to academic development, promotion, termination, departmental duties, etc.
1.2.3.3 Chair of the Faculty
The Chair of the Faculty Council serves as the Chair of the Faculty. The chair shall call and preside over meetings of the faculty.
1.2.3.4 Executive Council
The Executive Council will consist of the Dean, associate and assistant deans, administrative directors, department chairs, the Chair of the Faculty, and members of the faculty and staff as appointed by the Dean. The function of this Council is to review, evaluate, and revise the School’s goals, objectives, and outcomes (i.e. Outcomes Assessment), and serve as an advisory group to the Dean.
1.3 Mission
1.3.1 The University of Alabama System
1.3.2 The University of Alabama at Birmingham
1.3.3 School of Dentistry
The purpose of the School of Dentistry is defined by its vision and mission stated on the second page of this Handbook. See Appendix 1 for a complete list of Goals and Objectives.
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2. FACULTY APPOINTMENTS, PROMOTIONS, TENURE, RESIGNATION, TERMINATION, AND GRIEVANCE
2.1 UAB Equal Opportunity Policy
2.2 Faculty Rights and Responsibilities
2.2.1 Release of Information to Public Information Sources
All information concerning dentistry and dental education intended for a public forum (newspapers, magazines, television, radio, etc.) should be processed by Media Relations at UAB. It is the responsibility of that office to assist individual faculty members to improve communication both within and outside the school and to avoid duplication of effort and/or conflict with school policy. Scientific articles that are submitted to national scientific journals are not subject to this policy.
2.2.2 Academic Development of Faculty
Faculty members who are committed to a full-time career in academic dentistry are encouraged to pursue programs in self-development that will enhance their value to the educational programs of the School. The School of Dentistry will provide opportunities for such academic development to faculty members. Academic development, defined as continued growth and accomplishment of faculty members, may be in clinical or basic science disciplines. Full time faculty members, if accepted to such a program, may pursue a formal academic development program leading to certification or degree attainment by submitting a written request to their Chair who will forward their request to an Ad Hoc committee appointed by the Dean. The committee will make a recommendation to the Dean who will make the final decision. The Ad Hoc committee will serve in an advisory capacity to the faculty member for the duration of the academic development program.
Usually such studies can be conducted in the time allotted for academic development and without compromising the individual's ability to meet his/her teaching responsibilities and other academic commitments. For faculty that are not tenured, UAB may suspend the tenure-earning period while the faculty member is enrolled in the developmental program according to UAB Policy, Section 2.15.4.
2.2.2.1 Advanced Degrees within the School of Dentistry
2.2.2.1.1 DMD Degree Programs
In some instances, individuals are appointed to the clinical dental faculty who are graduates of dental schools other than U.S. or Canadian schools. On occasion, the contributions of such an individual to the educational programs of the School of Dentistry would be enhanced Page 15 significantly were this individual to have a degree in dentistry from a school approved by the Commission on Dental Accreditation (CODA) of the American Dental Association. If approved by the Dean, such a faculty member may apply for admission to the School at an advanced standing level. Successful completion of Parts I & II of the National Dental Board Examinations and successful completion of a CODA accredited residency program is a prerequisite for consideration for advanced standing by the Ad Hoc committee appointed by the Dean. This individual, whether or not on a tenure track, should have demonstrated excellence in teaching, research and service at the same intensity as other faculty on the same track progressing satisfactorily toward attainment of promotion or tenure.
If accepted, the faculty member must complete all of the requirements as determined individually by the Chairs of the departments according to the policies and procedures set forth by the Dean.
2.2.2.1.2 Certificate programs
Academic development may take one of several directions, including the opportunity to develop a level of special competence in one of the clinical disciplines leading to an Advanced Certificate and potential Diplomate status. For this opportunity, the School must have a demonstrated need for additional faculty in the particular discipline. It is expected that an individual accepted into this program will have demonstrated excellence in teaching, research, and service at the same intensity as other faculty on the same track progressing satisfactorily toward promotion and or tenure. Requests should be submitted as described above, and require the additional acceptance into the certificate program by the program director and/or department chair.
2.2.3 Graduate Study involving academic units at UAB
Members of the full-time faculty desirous of pursuing a program of advanced study within the school or outside the School of Dentistry must submit a written request as described above. The proposed program of study should be one that will enhance the effectiveness of the faculty member in the teaching programs of the School of Dentistry.
2.2.4 Educational Programs not related to Professional Development
Members of the full-time faculty who wish to pursue their education in programs not related to their professional development, either on or off the UAB campus, are free to do so with the stipulation that such activities do not infringe on the performance of their duties at the School.
2.3 Faculty Senate
2.3.1 School of Dentistry Faculty Council
The School of Dentistry Faculty Council is the equivalent of the Faculty Affairs Committee referenced in the UAB Faculty Handbook.
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The Faculty Council shall:
a. Consist of seven full time faculty. Four members shall be elected by the faculty. Of these, three shall have primary appointments within the School of Dentistry, and one shall have primary appointment in a Joint Health Science Department. Three members shall be appointed by the Dean of the School of Dentistry. All terms are for three years. The first year elected member holding primary appointment within the School of Dentistry will serve as the Vice Chair, the second year elected member as the Chair, and the third year elected member will serve as the immediate Past-Chair. The Chair of the Faculty Council will serve as Chair of the Faculty as specified in 1.2.3.3.
If an elected position becomes vacant, the Faculty Council will appoint someone to serve out the vacated position for the remainder of that year. A new member will be elected to serve the remainder of the term at the next election. If the vacancy is the Chair, the Council may appoint the Immediate Past Chair or the Vice Chair to fill a vacancy of the Chair.
If the vacancy is an appointed position, the Dean will appoint a replacement to complete the term.
b. Function as the executive committee of the faculty and as the advisory board to the Dean on matters of faculty affairs and matters pertaining to academic and administrative policies. In carrying out this charge, the council shall:
1. Meet as called by the Chair to consider such policy issues as may arise from faculty, the Dean, or the council's own initiative, and;
2. Provide advisory opinions to the Dean on issues considered at meetings.
c. Serve as a nominating committee for school-wide elected positions by preparing a slate and official ballot of at least two eligible faculty members for each position who have given their consent to serve if elected.
d. Study and evaluate the current ethics code, its effectiveness, and its acceptance by students and faculty, and make recommendations to the Dean.
e. Review the School of Dentistry Faculty Handbook and make recommendations for revisions to the Dean, after consultation with appropriate faculty groups.
f. Act as a committee for a student’s appeal of academic decisions.
g. Submit an annual report of activities to the Dean’s Office each calendar year.
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2.3.2 Faculty Meetings
Dental faculty meetings will be held at least bimonthly during the academic year. The Chair of the Faculty or his/her representative shall preside at these meetings. Announcements concerning the time and location of each meeting and requests for items to be included on the agenda will be forwarded by the Chair of the Faculty to members of the dental faculty prior to the meeting. Special meetings of the entire dental school faculty may be called by the Dean or his/her designee upon his/her initiative or by the Chair of the Faculty upon petition by members of the faculty.
If a change of date for any of the meetings is necessary, notices shall be circulated to all faculty members at least one week preceding the new date.
A quorum for an official faculty meeting vote in the School of Dentistry shall consist of a majority of the full-time faculty. The right to vote is held only by full-time faculty.
After a motion has been made and seconded, adequate provision should be made for discussion from the floor. A vote on any amendment is unnecessary if it is accepted by the faculty members who made and seconded the original motion. Before a motion is voted upon, it shall be read aloud by the recorder of the minutes. A motion shall be considered as approved if it receives a favorable vote from a simple majority of the faculty members present at an official meeting.
Official ballots listing all nominees for each elected committee position shall be prepared by the Chair of the Faculty and sent to each eligible voter at least three weeks prior to the last scheduled spring meeting of the faculty. The ballots will provide space for write-in candidates for each position. Ballots must be returned to the Chair of the Faculty at least one week prior to the scheduled spring meeting. The Faculty Council will count the ballots and report the results of the election. The candidate for each position receiving the largest number of votes will be declared elected. Elected officers and representatives will assume office on September 1.
2.4 UAB Faculty Policies and Procedures Committee
2.4.1 School of Dentistry Committees
Robert’s Rules of Order shall govern meetings.
2.4.1.1 Promotions and Tenure Committee
Promotions and Tenure Committee shall:
a. Consist of three elected members (by faculty) and three appointed members (by Dean) of the School of Dentistry faculty. All terms are for three years with one member elected and one appointed each year. Each year, at least one of the new members of the committee must be tenured with the rank of full professor. The Chair, who is elected Page 18
by the committee, must have the rank of tenured professor. The School of Dentistry’s Affirmative Action Officer also serves as an ex-officio member.
If an elected position becomes vacant, the Promotions and Tenure Committee will appoint a faculty member to serve in the vacated position for the remainder of the year. A new member will be elected to serve the remainder of the term at the next election.
If the vacancy is an appointed position, the Dean will appoint a replacement to serve out the term.
b. Review the qualifications and accomplishments of individuals proposed for initial appointment to the full-time faculty with tenure, and recommend appropriate rank and tenure status to the Dean. Please refer to both the UAB and SOD Faculty Handbooks, section 2.12.1.
c. Review requests and makes recommendations for promotion to the rank of assistant or associate professor and/or tenure as stated in the School of Dentistry and the UAB Faculty Handbooks. Provide to the Dean a written report of recommendations to include rationale, documentation of committee vote, and summary of minority opinion when the vote is not unanimous.
d. Submit an annual report of activities to the Dean's office each calendar year.
2.4.1.2 Faculty Development Committee
The Faculty Development Committee shall:
a. Consist of individuals who have previously served on the Promotions and Tenure Committee. The term of service is three years.
b. Review at the request of a Dental School faculty member the accomplishments in the areas of research, teaching, service and administration, Section 2.13.
c. Conduct biennial tenure track faculty review as described in the UAB and School of Dentistry faculty handbooks, sections 2.15.7.
d. Submit an annual report of activities to the Dean’s Office each calendar year.
2.4.1.3 Standing Committees
Standing committees have been established to support and assist in fulfilling the mission/role, goals and objectives of the School of Dentistry. In accordance with the Mission Document in Appendix 1, standing committees exist under the framework of this handbook. This structure fully supports and satisfies the mission/goals and objectives.
Standing committees of the School of Dentistry may include: Page 19
Academic Performance Committee Admissions Committee Clinical Affairs Committee Committee on School Diversity Continuing Education Committee Curriculum Committee Dean’s Council Dentists Advisory Board Instrument Selection Committee Intramural Professional Practice Committee Learning Resource Committee Postgraduate Education Committee Research Advisory Committee Student Awards and Honors Committee Student Scholarship & Loan Committee President’s Award for Excellence in Teaching Committee
The Dean will appoint members of standing committees following consultation with the Faculty Council. Elected positions will be filled by annual general faculty elections. Upon the Dean’s request, members of the Faculty Council will suggest names of individual faculty members who they feel are eligible to be nominated for committee membership. Standing committees should be organized to conform to the following considerations, as much as possible.
a. Rotating membership b. Equitable distribution between basic science and clinical departments c. Equitable distribution between heads and non-heads of departments d. An appropriate number of members to discharge required duties efficiently e. Provide an annual report to the Dean
Standing committees may hold open meetings and may report to the Dean and/or faculty at such intervals as are appropriate to their functions. These considerations shall, as much as possible, apply to all types of committees.
2.4.1.4 Ad Hoc Committees/Task Forces
Ad hoc committees/task forces of the faculty may be appointed by the Dean or created by vote of the faculty to serve a specific function. Such committees shall formulate a report to the faculty on the basis of its findings, and, when appropriate, submit specific motions to implement any recommendations. Such a committee shall carry out its function promptly and cease to exist upon submission of a final report to the Dean and/or faculty. All ad hoc committees/task forces shall be dissolved automatically at the end of each academic year unless specifically instructed otherwise.
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As administrative issues dictate, the Dean will call ad hoc meetings of department chairs. Other committees may be formed if the Dean, Faculty Council or the faculty feel that their functioning would benefit the School of Dentistry.
2.5 Types of Faculty Appointments
Appointments to the full-time faculty of the School of Dentistry are for 12 months.
2.5.1 Primary Faculty Appointments
2.5.2 Secondary Faculty Appointments
2.5.3 Non-academic Appointments
2.5.4 Part-Time Tenure Track and Tenured Appointments
2.5.5 Non-tenure-earning Faculty Appointments
2.5.5.1 Adjunct Faculty
Adjunct is a non-tenure earning rank used to designate individuals who are not full-time employees of UAB but who are appointed to the School of Dentistry faculty to perform teaching, research, and/or service functions. The ranks include Adjunct Instructor, Adjunct Assistant Professor, Adjunct Associate Professor, and Adjunct Professor.
2.5.5.1.1 Adjunct Faculty Appointment, Promotion, and Reappointment
A department chair makes a recommendation for appointment or promotion of Adjunct Faculty, which must be approved by the Dean who makes the final decision. The duration of the appointment is for one year and is renewed annually. Reappointment at all ranks is preceded by a thorough review of the quality and extent of the adjunct faculty member’s performance and contribution to the academic programs and to the department and School by departmental chair. The appointment of Adjunct Faculty may be renewed indefinitely. Adjunct Faculty, who seek a full-time appointment, are not guaranteed status at the same rank. There is no right or entitlement to an adjunct appointment, reappointment, or promotion to a higher academic rank. Adjunct appointments may be paid or voluntary.
2.5.5.1.2 Adjunct Faculty Academic Rank Qualification Guidelines
Consideration for an initial appointment to the rank of Adjunct Instructor requires completion of a doctoral degree with potential for contribution to the academic programs. However, a bachelor’s degree or a certificate validating completion of training are required to teach in the auxiliary programs (i.e. Dental Assisting Program). Consideration for an initial appointment or promotion to the rank of Adjunct Assistant Professor requires completion of a doctoral degree and either advanced training or a minimum period of 5 years of professional experience in which the candidate has demonstrated outstanding professional qualifications and potential for Page 21 contribution to the academic programs. Consideration for an initial appointment or promotion to the rank of Adjunct Associate Professor requires a doctoral degree and advanced training and is usually reserved for individuals who have 10 or more years of experience and who have achieved at least regional recognition for outstanding performance in their field. Consideration for an initial appointment or promotion to the rank of Adjunct Professor requires a doctoral degree and advanced training and is usually reserved for individuals with 20 or more years of experience and who have achieved national prominence as recognized leaders in their field of practice or professional activity. Exceptional circumstances may justify initial appointment or promotion to a rank with fewer years of experience than normally anticipated.
2.5.5.1.3 Use of UAB or School of Dentistry Name by Adjunct Faculty
An Adjunct Faculty member may use their rank or title when representing UAB on stationery, business cards and in publications. An adjunct appointment does not entitle the use of the University or School of Dentistry logo or letterhead, except when creating correspondence pertinent to patient care, teaching and other academic functions of the School.
2.5.6 Graduate Faculty Appointments
2.5.7 Temporary Faculty Appointments and Reappointment
2.6 Faculty Ranks
2.6.1 Instructor
Appointment to this rank usually requires a doctoral degree. However, a bachelor’s degree or a certificate validating completion of training are required to teach in auxiliary programs (i.e. Dental Assisting Program).
2.6.2 Assistant Professor
Appointment at the level of assistant professor usually requires a doctoral degree and additional training. Promotion to this level is principally on the basis of promise shown by the individual's performance during a minimum of three years of service as an instructor.
2.6.3 Associate Professor
Appointment at this level usually requires a doctoral degree and additional training. Candidate must have demonstrated excellence in professional endeavors, be nationally recognized for their contributions to dentistry and show promise of continued intellectual growth and/or must have served at the rank of assistant professor or equivalent for at least three years.
Promotion to this rank is normally granted to an individual who has demonstrated excellence at the rank of assistant professor or equivalent for at least three years. The individual should have demonstrated excellence in conduct of academic duties and should show promise of Page 22 continued intellectual growth and future contributions at this institution. Such individuals should be nationally recognized for their contributions to dentistry.
2.6.4 Professor
Appointment or promotion at this rank is normally granted to an individual who has demonstrated excellence at the rank of associate professor or equivalent for at least three years. The individual should have demonstrated excellence in conduct of academic duties and should show promise of continued intellectual growth and future contributions at this institution. Such individuals should be internationally recognized for their contributions to dentistry.
2.7 Titles for Academic Librarians
2.7.1 Academic Librarians
2.7.2 Assistant Librarian
2.7.3 Senior Assistant Librarian
2.7.4 Associate Librarian
2.7.5 Librarian
2.8 Special Faculty Ranks and Appointments
2.8.1 Distinguished Professor
2.8.2 Distinguished Service Professor
2.8.3 University Professor
2.8.4 Academic Chairs, Professorships, and Endowed Lectureships
2.8.5 Emeritus Faculty
2.8.6 SOD Faculty Appointment Tracks
The track system describes the emphasis for which an individual will be evaluated.
a. Research track (Non-tenure) b. Research Emphasis track (Tenure-earning/Tenure) c. Clinician Scholar track (Tenure-earning/Tenure) d. Clinical Emphasis track (Tenure-earning/Tenure) e. Clinical track (Non-tenure)
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On the two ends of the five-track continuum of appointment types are two non-tenure tracks: research and clinical. Toward the center of the continuum are three tenure tracks that vary according to the time devoted to research and/or teaching. The effort profiles will vary for individual faculty members. Examples of effort profiles are given for each track, and definitions of teaching, scholarly activity, and service are given in Sections 2.8.6.1 – 2.8.6.6. Specific effort expectations are defined between the faculty member and the chair.
There are two administrative tracks outside the research-teaching continuum. f. Faculty Administrator track g. Full-time Administrator track
2.8.6.1 Research Track
Faculty in this non-tenure-earning track usually hold a PhD in a biomedical science and devote a majority of time to externally funded research and graduate education. They have minimal professional school teaching and service. These individuals are expected to participate in scholarly activity that will provide external ongoing salary support.
Effort profile example:
80% - Scholarly Activity – specifically funded research 5% - Institutional service 15% - Other to include: (non-funded research, research training, teaching, patient care, professional development and/or other academically relevant activity.)
2.8.6.2 Research Emphasis Track
Faculty in this tenure-earning track usually hold a PhD in a biomedical science, and perhaps a DDS/DMD degree. They are expected to have an externally funded research program and devote a majority of time to research and graduate education. Limited professional school teaching and service may be expected. Individuals appointed to this track shall evidence sustained scholarly contributions (i.e. publications in peer-reviewed journals), and ongoing research support including salary offset. Faculty are expected to generate a significant amount of ongoing salary support from external sources.
Effort profile example:
50% - Scholarly Activity – specifically funded research 20% - Teaching 5% - Institutional service 25% - Other to include: (training, patient care, professional development and/or other academically relevant activity.)
2.8.6.3 Clinician Scholar Track
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Faculty in this track usually hold a DDS/DMD and an MS and/or dental specialty certificate. They maintain a fairly equal balance of research, teaching, and service. Their research may have industrial funding or may be under the mentorship of research-emphasis faculty. Individuals appointed to this tenure-earning track shall evidence continued clinical competence, sustained scholarly contributions (i.e. publications in peer-reviewed journals), and ongoing research support including salary offset.
Effort profile example:
35% - Scholarly Activity – specifically funded research 35% - Teaching 5% - Institutional service 25% - Other to include: (training, patient care, professional development and/or other academically relevant activity.)
2.8.6.4 Clinical Emphasis Track
Faculty in this track holds a DDS/DMD degree or equivalent and may have a dental specialty certificate. Research activities tend to be collaborations with research-emphasis faculty. They have significant didactic, preclinical, and/or clinical teaching. Individuals appointed to this tenure-earning track shall evidence continued clinical competence and sustained scholarly contributions.
Effort profile example:
60% - Teaching 10% - Scholarly Activity 5% - Institutional service 25% - Other to include: (training, patient care, professional development and/or other academically relevant activity.)
2.8.6.5 Clinical Track
Faculty in this track usually hold a DDS/DMD and may have a dental specialty certificate. They may have minimal scholarly activity and service involvement and have most of their effort devoted to didactic, preclinical, and/or clinical teaching. Individuals appointed to this non- tenure-earning track shall evidence continued clinical competence.
Effort profile example:
70% - Teaching 5% - Institutional service 25% - Other to include: (research, training, patient care, professional development and/or other academically relevant activity.)
2.8.6.6 Faculty Administrator Designations Page 25
Faculty with administrative responsibilities may have an additional classification to designate their administrative effort. A Faculty-Administrator Track describes a full-time faculty with major administrative responsibilities utilizing less than 60% of their time. A Full-Time Administrator Track describes a faculty member who spends more than 60% of their time with administrative responsibilities, usually at the institutional level. Faculty with significant administrative duties will be evaluated on the basis on their performance as an administrator in addition to their academic performance.
2.9 Faculty Credentials
Accreditation standards state that we are responsible for justifying and documenting the qualifications of all faculty; therefore, an official transcript of the degree(s) and/or certification(s) that qualifies a faculty member to perform the duties in the position must be received prior to processing appointment documents. UAB conducts a review of the Office of Inspector General (OIG) and the General Services Administration (GSA) exclusion lists to establish eligibility for each faculty member to receive federal funding. These databases are maintained by the Federal Government to identify individuals who are excluded from participating in payments by Federal programs or contracts. Employment is contingent upon a satisfactory report. Every effort will be made to conduct this review prior to the beginning of employment. A signed letter of offer gives UAB authorization to conduct this review. As a condition of employment, a faculty member who holds a dental degree and is involved in any clinical teaching or practice must possess either a license to practice dentistry in Alabama or a teaching permit issued by the State Board of Dental Examiners of Alabama as well as liability insurance as issued by the Risk Management Office of UAB.
The annual cost of the regular dental license, teaching permit, malpractice insurance associated with clinical teaching, and the associated Alabama and U. S. Controlled Substances Registration Certificates will be paid from department resources. The differential in cost of malpractice insurance for clinical faculty who engage in private practice will be the responsibility of the individual clinician and can be paid by requisition from the applicable private practice account.
The above referenced licenses are the only types of professional licenses that will be paid from department funds. All other professional licenses applicable to the School of Dentistry must be funded by the individual.
2.10 Specific Criteria for Appointment, Promotion, and Award of Tenure
Promotion and tenure are separate actions. The following information is presented to ensure that all faculty members are acquainted with the requirements and procedures for appointment or promotion within the faculty of the School of Dentistry. The procedures and requirements are consistent with the policies of the University of Alabama at Birmingham as set forth in the UAB Faculty Handbook and Policies. This document describes the system that is unique to the School of Dentistry. The UAB Faculty Handbook policies have priority in all cases. Page 26
The three major areas which will be considered in evaluating for promotion and/or tenure are 1) Teaching; 2) Scholarly Activity; and 3) Academic Service. The decisions made in such matters are based on the past performance of the faculty member at this or another institution, the likelihood for continued growth and accomplishments as well as the needs of the institution.
Promotion at any level and/or the award of tenure will be based on the documented performance of the faculty member in two areas (non-tenure-earning tracks) or all three areas (tenure-earning and tenured tracks). Each step in the promotion (and/or tenure) ladder requires the attainment of increased recognition at the regional, national, and international levels. The following sections will define each of the above three areas and enumerate examples of the type of activity that should be pursued by the faculty member. Finally, guidelines will be given that should help the faculty member and his/her department chair in determining when submission for promotion is reasonable.
2.10.1 Effectiveness as a Teacher
The truly effective teacher develops and nurtures a spirit of learning. The success of a teacher cannot be measured realistically until a number of years have elapsed following his/her contact with the students. This limitation notwithstanding, there are several parameters that can and should be used as indicators of the teaching effectiveness of a faculty member. Included among these are the following:
a. The ability to organize and present material in a logical, comprehensible manner, both verbally and in writing. Development of instructional materials including teaching manuals, handouts, audio-visual presentations, media, course goals and objectives, teaching models, slides, etc. Development of student evaluation methodology, including the development of examinations, objectives, criteria, statistical data, etc., which support the evaluation process.
b. There must be tangible evidence of contributions to teaching beyond the routine involvement of day-to-day instructional activities. Such documentation should include, but not necessarily be limited to:
1. Course outline, objectives, and goals 2. Student evaluations 3. Sample examinations, course manuals /syllabi, and course schedules 4. Teaching aids
A statement outlining the individual's personal contributions to the development of the course, its strengths and weaknesses, future plans, etc., should be included.
c. Demonstration of innovative teaching methods. These can be in written form or formal oral presentations either within the School or to outside organizations.
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d. Recognition by other departments of effectiveness in the planning or presentation of interdepartmental teaching efforts.
e. Commendations for teaching effectiveness from outside the department or other schools at UAB.
f. Participation in teaching-related activities at other academic institutions by invitation.
g. Effective organization/presentation of graduate courses, continuing education courses and presentations made to outside professional groups.
h. Other documentation deemed important for the committee.
2.10.2 Effectiveness in Scholarly Activities
Scholarly activity is defined as any endeavor that increases the body of knowledge relative to any discipline or that promotes effective dissemination of such knowledge. The types of activities that will bring recognition in this category are:
a. Research
Research encompasses a wide spectrum of activity ranging from investigation of basic biologic processes to applied clinical research. Supportive evidence of' research accomplishments are:
1. Publications in refereed scientific/professional journals.
2. Published abstracts of presentations made at scientific/professional meetings.
3. Pending publications (submitted and accepted but not yet published).
4. Research grants and contracts awarded.
5. Presentation of research papers or seminars internationally, nationally and locally.
6. Active participation in international, national or local scientific societies through presentation of research findings or as an office holder (IADR, Sigma Xi, ADEA, AAAS, etc.).
7. Election to membership in or receipt of special awards from organizations promoting research and academic accomplishment.
8. Demonstration of ability to direct others in research-oriented activities.
b. Other scholarly activity
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Such activity may take many forms. Examples would be:
1. Publication of books, chapter(s), journal articles, and other including unpublished theses, dissertations, etc.
2. Specialty board eligibility and/or certification.
3. Educational resources, materials, or media, particularly if used outside this institution.
4. Mentoring of students, graduate students, postdoctoral students.
5. Some service activities may involve significant scholarly contributions such editorships and study sections.
It is stressed that quality of any of the scholarly activities listed here is more important than quantity. As part of the evaluation of a faculty member for promotion and/or tenure, it is essential that the faculty member make available all pertinent material that may help establish the quality of his/her efforts in the various forms of scholarly activity.
2.10.3 Effectiveness in Service Activities
Faculty members make a major contribution to the evolution of a University as an institution of higher learning. Every member of the faculty should participate in conducting the affairs of his/her department, school or University. Such participation should increase with rank. Administrative service may be recognized as a factor leading to advancement and promotion, but primarily to the extent that it is above average in quality or the amount of time consumed as well as to the extent it contributes to the advancement of the department, school or University. Evidence of involvement and competence should be demonstrated in areas such as:
a. Appointment to administrative positions.
b. Service on committees or special assignments.
c. Service to other academic units outside the dental school.
d. Service to outside professional, government or academic agencies. (e.g.: editorial review boards, study sections, or serving as an officer of a national organization.)
e. Representation of the University or the School of Dentistry to outside agencies.
f. Patient care to the community.
2.10.4 Effectiveness as a Librarian
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2.11 Procedures for Faculty Appointments, Reappointments, Promotions, and Award of Tenure
2.11.1 School or Library Committees
The Dental Promotion and Tenure Committee composition and charges are defined in Section 2.4.1.1.
2.11.2 Departmental Policies and Committees
2.12 Initial Appointments of Faculty
Requests for permission to recruit faculty can be made by the departmental chair to the Dean at any time. Such requests must be made in writing using a Faculty Recruitment Request form. As outlined on the form, recruitment requests must be approved by the Dean and Provost prior to placing an advertisement in appropriate journals.
After applications have been received, they are reviewed by the departmental chair and other appropriate individuals such as a search committee and the Affirmative Action Officer. The search committee must be gender and ethnically diverse. The most qualified individual and/or individuals are invited for an interview with departmental faculty, the administration of the School of Dentistry, search committee, and other appropriate individuals. The departmental chair will recommend to the Dean the individual best qualified on the basis of academic attainments, professional experience, clinical competence, research abilities, needs of the School of Dentistry and potential for future success.
The rank of the initial appointment will be determined by the qualifications of the individual being appointed and will be consistent with the requirements outlined in the current UAB Faculty Handbook and Policies.
Secondary academic appointments for faculty do not require action by the dental Promotions and Tenure Committee. The Dean may make these appointments, upon recommendation of the chair of the department(s) in which the faculty member then holds academic rank, as well as the chair of the department in which the secondary appointment is proposed. These secondary appointments shall be for one year, subject to renewal.
Administrative appointments are made by the Dean of the School of Dentistry.
All appointments are subject to the final approval of the Dean, Provost, and President of the University of Alabama at Birmingham.
2.12.1 Appointments with Tenure
The awarding of tenure will be in accordance with the conditions of tenure outlined in Section 2.10 of this document. Initial primary faculty appointments that include tenure shall be Page 30 reviewed by the dental Promotions and Tenure Committee prior to approval of the offer by the Dean.
2.12.2 Appointments as Instructor or Assistant Librarian
2.12.3 Appointments as Assistant Professor, Associate Professor, Senior Assistant Librarian, or Associate Librarian
2.12.4 Appointments as Professor or Librarian
2.13 Reappointment and Non-reappointment of Non-tenured Faculty
2.13.1 Review for Reappointment and Non-reappointment of Non-tenure-earning Faculty
Non-tenure-earning faculty in addition to being reviewed by the department chair may request a review by the Faculty Development Committee relative to their progress toward promotion and/or performance within rank.
2.13.2 Review for Reappointment and Non-reappointment of Non-tenured Faculty
2.13.3 Notice of Non-reappointment
2.13.4 Non-reappointment Because of Changes in Program Priorities
2.14 Annual Faculty Evaluations
Each faculty member’s performance will be reviewed annually by the departmental chair. Department chairs and assistant/associate deans will be reviewed annually by the Dean.
The Dean initiates the annual review process by disseminating the FAR to the department chairs. The chair must distribute the FAR to departmental faculty, who complete the form, and return the FAR to the chair with a current curriculum vitae.
The chair reviews the FAR and recommends corrections to the faculty member. Upon completion, the chair must evaluate the FAR and generate an assessment score. A copy of the Track-Specific FAR Score Card with the assessment score will be provided to the faculty member with written comments. At this time, the chair and faculty member should discuss topics such as the faculty member’s professional development, feedback concerning performance and productivity, departmental goals, and ways in which the department and faculty member can work cooperatively to assist the faculty member in achieving his/her professional goals.
The UAB SOD Annual Faculty Review form (Appendix 4, Form #2) will be prepared by the chair for the above meeting. This form must be reviewed and signed by the faculty member and the chair; the form is then submitted to the Dean, and copies are retained by both the department and the faculty member.
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Scoring criteria are dependent on the faculty track and are shown in Appendix 3. The chair will use the Track-Specific FAR Score Card, Appendix 4 Form #1. Scores are assigned by a scale of 5, 4, 3, 2, and 1. Fractional scores are not used when evaluating the FAR. A score of 2 represents meeting some expectations, while a 3 represents performance meeting expectations. A score of 4 represents meeting all and exceeding some expectations, while a score of 5 represents exceeding all expectations. A score of 1 represents failure to meet expectations and requires documented written comments.
An up-to-date faculty activity file will be maintained by the department chair for each faculty member in the department. The file should include (but is not limited to) a current curriculum vitae (Appendix 2) and Faculty Activity Report (FAR). The annual FAR summarizes accomplishments in teaching, research and service performance. The FAR will serve as a basis for the annual evaluation of faculty performance.
2.14.1 Faculty Member Rights
2.14.2 Appeals of Annual Review
If a faculty member is not satisfied with the annual review, he or she should appeal to the chair in writing. The chair should meet formally with the faculty member to attempt to resolve evaluation issues within 30 calendar days of the written appeal. If the evaluation issues cannot be resolved with the chair, then the faculty member should arrange a meeting with the Dean.
The Dean will provide an external evaluation of faculty member’s performance documented in the FAR. The Dean will assign a review panel of three department chairs outside of the faculty member’s department to evaluate the FAR and independently recommend interim scores using the Track-Specific FAR Score Card, Appendix 4, Form #1. The Dean and the department chairs meet to discuss the recommended interim scores with the reviewers. The faculty member’s department chair should be present to participate in this discussion. The Dean and chairs collectively determine a final external score documented on the Score Card.
If the faculty member is not satisfied with attempts to resolve evaluation issues through the chair and Dean, then the faculty member is referred to Section 2.19 and Section 6 Appendix A of this handbook and the UAB Faculty Handbook.
2.15 Tenure
2.15.1 General Statement
2.15.2 Tenure Eligibility
2.15.3 Tenure by Faculty Rank
2.15.4 Length of Tenure-earning Period
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Any faculty member appointed to a tenure-earning faculty position has ten years to earn tenure except in the circumstances identified in the current UAB Faculty Handbook and Policies.
2.15.5 Extension of tenure-earning period
2.15.6 Changes in Tenure-earning Status
2.15.7 Review for Progress Toward Award of Tenure
In addition to the annual department chair review, the Faculty Development Committee will conduct a biennial review of the scholarly activities of all full-time tenure-track faculty members of the School of Dentistry. This review will consider the amount, quality and mix of research, teaching, service and administration performed by the faculty member. The review will achieve two aims. First, it will apprise the faculty member of his/her progress toward promotion and/or tenure. Second, if the current quantity, quality, or mix of activities is unlikely to lead to promotion and/or tenure, the review can suggest corrective action by the faculty member and/or Chair.
The Faculty Development Committee will attempt to apply the same criteria to the review as is required for promotion and/or tenure. However, because the interim report does not contain the same information as required for promotion and tenure (e.g. evaluation letters), and this Committee is not responsible for promotion and tenure review, the review must not be interpreted as a final evaluation for promotion and/or tenure.
While promotion and/or tenure can be denied for reasons unrelated to individual performance (e.g., lack of resources or the re-direction of the School's priorities away from the specialization of the individual faculty member), the Faculty Development Committee’s biennial review will not address any of these issues. A faculty member shall be advised of these issues in writing by his/her chair or by the Dean.
2.15.8 Review for Award of Tenure
2.15.8.0 Initiating Activities (Non-standard numbering scheme is used for this section to maintain parity of later sections beginning with 2.15.8.1 with the UAB Faculty Handbook.)
2.15.8.0.1 Initiation of Sequence
The request for promotion and/or tenure will be initiated by the departmental chair except in the following cases:
a. The Dean initiates all requests for promotion of departmental chairs.
b. If the individual is not recommended by the chair, the faculty member may request the dean forward a promotions package to the Dental Promotions and Tenure Committee. The chair will forward the customary documentation associated with a request for promotion. The committee may request information from other faculty. Page 33
2.15.8.0.2 Deadline for Submitting Request for Promotion and/or Tenure
The Office of the Dean distributes the official UAB calendar for each year at the beginning of the promotion and tenure cycle. A sample promotion and tenure cycle calendar is shown in Appendix 5.
2.15.8.0.3 Documentation Supporting Request for Promotion and/or Tenure
The dossier supporting a request for promotion should be developed as follows:
a. The documentation establishing the accomplishments of the faculty member in the various categories to be evaluated should be developed by the faculty member under the direction of the departmental chair. External letters of evaluation should be included in the documentation.
b. An updated curriculum vitae, following the SOD outline and containing a comprehensive bibliography, should be developed by the faculty member as part of the documentation referred to in (a) above.
c. Once all supporting evidence has been gathered, the departmental chair will author the request for promotion, evaluating the accomplishments of the faculty member using the criteria outlined in this document and the current UAB Faculty Handbook and Policies.
Sample submission package instructions are shown in Appendix 6. The official submission instructions are disseminated annually by the Office of the Dean. The standard School of Dentistry protocol for organization of curriculum vitae is shown in Appendix 2.
2.15.8.1 Departmental and School or Library Committee Review
The Dean will first receive the requests for appointment, promotion and tenure. In all cases, the Dean will refer requests to the Dental Promotions and Tenure Committee for review. The Dental Promotions and Tenure Committee will review such recommendations according to the categories of information provided in this document and the UAB Faculty Handbook. Following its deliberations, the Committee will submit its report to the Dean along with all materials entrusted to the Committee during the deliberation period.
2.15.8.2 Dean’s Review and Decision
The Dean will review the recommendations received from the Dental Promotions and Tenure Committee. The Dean may seek input from the Faculty Council in this decision-making process. Based on these recommendations, the Dean will make the final decisions at the dental school level and forward the decisions to the Provost/President per UAB Faculty Handbook Section 2.15.8.2.
2.15.8.3 Notification of Faculty Member Page 34
2.15.8.4 Non-award of Tenure Because of Changes in Program Priorities
2.16 Faculty Promotion
The procedure for all promotions is the same as described for the award of tenure (Section 2.15.8). Non-tenure-earning faculty promotions differ in the areas in which they are evaluated as described in Sections 2.5.5 and 2.10.
2.16.1. Review for Progress Toward Promotion
All faculty members will be reviewed by the department chair as described in the UAB Faculty Handbook 2.14. In addition, they will be reviewed (tenured or tenure-earning) or may request a review (non-tenure-earning) by the Faculty Development Committee relative to their progress toward promotion and/or performance within rank.
2.16.2 Review for Promotion
2.17 Appeals
2.18 Termination of Employment of Tenured Faculty
2.19 Grievances (other than appeals)
2.20 Resignation
Resignation: A faculty member must submit a written letter of resignation addressed to the department chair and copied to the dean.
2.21 Retirement
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3. OTHER FACULTY RIGHTS AND RESPONSIBILITIES
3.16 Grant Applications
Any principle investigator whose primary appointment is in the School of Dentistry must submit all grant applications to the Office of the Associate Dean for Research for approval by the Dean prior to it being forwarded to the UAB Office of Grants and Contracts Administration. Typically, a copy of the face page, abstract and budget page should be provided. Page 36
4. HOLIDAYS, VACATION, SICK TIME, AND LEAVES
4.6 Travel and Reimbursement Policy and Procedures
All faculty leave time for professional travel should receive prior approval from their Chair. Appropriate documentation must be provided to assist in reimbursement for professional leave. Foreign travel (excluding vacation) requires the additional approval of the Dean and university administration.
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5. Intramural Faculty Practice
5.3 Intramural Faculty Practice
In order to maintain clinical skills and to supplement their base salaries, licensed (see Section 5.3.4) full-time faculty members may be afforded the opportunity to participate in an intramural private practice.
5.3.1 Definition
Intramural private practice at this institution is defined as the direct or indirect delivering of dental professional services to a patient or patients, for a fee, by a full-time faculty member who will receive payment above and beyond the base salary for rendering such service.
The intramural professional practice is officially entitled the “UAB Dental Group.” It is also known as the “Dental Faculty Practice” and the “Intramural Professional Practice.”
5.3.2 Authority for Establishment
The University of Alabama at Birmingham recognizes the rights of the full-time members of its clinical faculty and staff within the limitations herein set out and to the extent consistent with the proper discharge of their primary duties as employees of their respective departments, to engage in the practice of dentistry, to utilize in such practice the facilities of the university, to charge fees for their services in such practice, and to share in such fees as hereinafter provided.
Full-time faculty members licensed to practice dentistry shall have the right to conduct an intramural professional practice under the provisions and regulations of the School of Dentistry.
A special administrative procedure is established to account for fees received from this professional practice. The university as agent will disburse these funds in accordance with these guidelines and subject to the following conditions:
a. As a part of the participant's income, b. For professional expenses, travel and other allowances permitted by the rules, policies, and procedures of the University of Alabama at Birmingham, c. As expenditures for the general development and improvement of the member's department or school, or for the university as permitted by the rules, policies, and procedures of the University of Alabama at Birmingham, and d. As deferred income, retirement and/or death benefits.
Once the fund has been established, all patient care income must be deposited in the Professional Service Fund.
5.3.3 Objectives Page 38
The administration of the School of Dentistry has established an Intramural Professional Practice Program to meet the following objectives:
a. To help faculty members in the development and maintenance of those clinical skills that are essential for teachers involved in clinical disciplines, b. To provide a teaching tool whereby dental students may learn about the treatment of patients by skilled clinicians, c. To provide a model for studying methods in the delivery of dental services, d. To provide a place for referral of patients who may require the special skills or talents of the specialists found at the School of Dentistry, and e. To provide a method of income supplementation for the faculty.
5.3.4 Participants
The intramural professional practice may be available to all full-time faculty members of the UAB School of Dentistry who are licensed to practice dentistry in the state of Alabama or who have been granted special privilege to practice within the School of Dentistry by the Board of Dental Examiners of Alabama. Termination of full-time employment with the UAB School of Dentistry automatically terminates participation in the professional practice program. Professional liability insurances must be obtained through UAB Risk Management.
This plan is voluntary in that no one is or will be required to participate in professional practice. Those who intend to participate will sign a declaration of intention so stating, and will execute the proper Professional Service Fund agreement, Appendix 7. The designated area of practice is the UAB clinics and affiliated hospitals.
The time available for practice is determined by the participant’s department chair in consultation with the Dean and must be coordinated with the Director of the UAB Dental Group or his/her representative. It is the chair’s responsibility to ensure that academic productivity is met by each faculty member in accordance with his/her faculty appointment. The department chair may limit time available to practice to ensure that all responsibilities are met.
5.3.5 Regulations Governing Patient Care
Each participant will be governed by the following:
a. The laws governing the practice of dentistry in the state of Alabama, b. The general rules of the UAB School of Dentistry, c. The Code of Ethics of the American Dental Association, d. The patient's well-being, and e. Such other regulations consistent with this document as each participant deems necessary to impose through his/her own governing plan for the efficient operation of the system.
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5.3.6 Auxiliary Personnel
The faculty practice hygienists and dental assistants are employees of the University. Faculty practitioners must arrange their practice schedule through their department chair and the Director of the Practice when an assistant and/or space is desired.
Patients will not be accepted by the hygienists unless referred by a faculty participant who thereby assumes responsibility for the examination and welfare of that patient in accordance with the Code of Alabama/Alabama Dental Practice Act. All fees charged by the hygienist are split according to the allocation formula (see 5.3.10.2.2).
The scope of practice by auxiliaries is governed by the Code of Alabama/Alabama Dental Practice Act and by the description of duties defined through the University employment.
5.3.7 Equipment
All major items of equipment and furnishings remain the property of the University.
5.3.8 Instruments
The Intramural Professional Practice Committee (see 5.3.10.1) is charged to determine what instruments are standard. These instruments are normally available and remain the property of the University. Limited locked storage areas are provided for special instruments a participant may want to furnish himself/herself; while every attempt is made to respect the participant's ownership of these items, the University cannot be responsible for their safekeeping.
5.3.9 Supplies
The UAB Dental Group furnishes all standard supplies for the participants. The Intramural Professional Practice Committee is charged to determine what supplies will be standard and placed in inventory. From time to time, some special supplies might be needed. A written request for such items and should be executed and submitted to the person responsible for supplies as far in advance of the time needed as possible. In the case of special requests, the Director of the Practice must provide authorization to procure those items. A participant may provide his or her own special supplies similar to 5.3.8.
5.3.10 Operational and Financial Management
5.3.10.1 Governance
The Director of the Practice is appointed by the Dean and reports to the Associate Dean for Clinical Affairs. The Director administers the business operation of the practice in accordance to the objectives defined by the Dean. The practice maintains administrative and clinical staff that is supervised by the Director of the Practice. The Director of the Practice must submit an annual report to the Dean summarizing the operations, outcomes, and strategic planning of the practice. Page 40
The Intramural Professional Practice Committee (IPPC) is chaired by the Associate Dean for Clinical Affairs and is advisory to the Director in all matters of practice operation and governance. Each year, two-elected faculty participants of the Intramural Professional Practice will begin a three-year term. If a member is unable to complete his or her term, the Dean will appoint a practice participant to complete the remaining term based on nominations from the remaining members of the IPPC. Representatives from the School administration are ex officio members of the IPPC. The functions of the IPPC include but are not limited to review of policies and procedures regarding the practice, strategic planning, standard equipment and supplies, and outcome assessment of practice performance.
Standing charges to the Intramural Professional Practice Committee may include the following:
a. To solicit and receive suggestions from the participants,
b. To provide timely communication of policies and procedures to the participants,
c. To make recommendations for the operation of the practice to the Director of the Practice,
d. To develop a business plan to ensure the clinical and financial success of the Intramural Professional Practice,
e. To assist in the implementation of initiatives as directed by the administration, and
f. To submit an annual report of committee activities in accordance with established guidelines, as directed by the Office of the Dean.
5.3.10.2 Fiscal Policy
In accordance with the UAB’s Agreement Relating to Professional Practice, Appendix 7, the university is responsible for effective management of the fiscal components of the operation and provides a billing and collection system. All collections are deposited into University accounts, and the University, as the agent for the practice, will make appropriate disbursements. The university will distribute to each participant a monthly individual report of receivables, collections, and distributions. The practice will distribute to each participant an individual monthly report of the collections, expenses, disbursements, and receivables as recorded by the practice. All participants receive a quarterly financial statement for the overall practice.
In cases where more than one participant is treating the same individual or family, payments will be credited to participants in the order in which the charges are submitted for payment, unless the participants agree to some other arrangement and so notify the Director of the Practice.
5.3.10.2.1 Professional Service Fund Accounts Page 41
A Professional Service Fund (PSF) account is established and regulated by the “Agreement Relating to Professional Practice,” Appendix 7. This agreement is signed by the participant as described in Section 5.3.4. The following points from the agreement are highlighted in this section.
a. The signator has the right to practice in the faculty practice as part of their employment and have a PSF fund.
b. Collected fees for services belong to UAB. The fees are placed in individual PSF accounts.
c. Expenditures may be made from the account if approved by the Dean following the policies and procedures of UAB to the extent that sufficient funds exist in the account. Expenditures may include professional expenses, travel, continuing education, expenses related to clinical practice, and requisitions for supplemental salary. Ownership of all equipment purchased with PSF funds is vested with UAB.
d. Upon termination from the practice, a faculty member must leave a balance in the PSF account for outstanding commitments. During this time, patient receivables will continue to be placed in the PSF. Usually after six months, the faculty member will receive a final payment of monies remaining in the account less any outstanding charges.
5.3.10.2.2 Allocation of Operational Funds from PSF Accounts
Collections for dental services are deposited into a participant’s PSF account. Each PSF account will be charged for support of the operation of the practice. The amount of the charge is determined by an allocation formula, which must be approved by the Dean of the School of Dentistry. The formula is normally based on the recommendation of the Director of the Practice in consultation with the participants in the UAB Dental Group. The charge may include a percentage split of collections and/or a fee charged for time in practice. The formula may include overhead expenses such as commercial laboratory charges and a differential rate for dental hygiene charges. The fee portion of the formula may be based on the projected number of half-days per week that the faculty member has agreed to per Section 5.3.4.
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6. OTHER UNIVERSITY POLICIES WHICH PERTAIN TO FACULTY
The following policies pertain to this section. In addition refer to the UAB Faculty Handbook.
APPENDIX A Faculty Grievance Procedures
The School of Dentistry is mandated by the UAB Faculty Handbook to develop policies to describe the procedures for grievance resolution within the School. These procedures cannot be less restrictive than the University-wide policies found in the UAB Faculty Handbook. This policy is intended to address all significant grievances other than appeals of promotion, tenure, and/or termination decisions, which are described in Section 2.17 of the UAB Faculty Handbook.
If a faculty member has a grievance, he/she may attempt to resolve the issue at the departmental level, by presenting the grievance to the chair in writing. The chair will meet formally with the faculty member to resolve the grievance. If the grievance cannot be resolved at the chair level, then a meeting will be arranged with the Dean. If the meeting with the Dean does not resolve the matter, the grievance will be forwarded to the Faculty Council for consideration. The charge of the Faculty Council is to ensure fair and consistent personnel procedures within the School of Dentistry. In order to ensure fairness and to minimize any potential conflict of interest, Council member(s) may recuse themselves or be excluded from the proceedings. The Faculty Council will meet initially to determine the proper member composition for the proceedings. If multiple Faculty Council members are excluded, the Faculty Council Chair or designee will select other faculty to serve on an ad hoc basis. The Faculty Council will provide a written report to the Dean, Department Chair, and the faculty member concerning the grievance. If the grievance persists after the report is given to the Dean and Department Chair, the faculty member may then file a written grievance at the University level as per the UAB Faculty Handbook.
APPENDIX B. Review of Recommendations for Termination for Cause of a Tenured Faculty Member or of a Faculty Member Whose Term of Appointment Has Not Expired
APPENDIX C. Review of Recommendations for Termination of a Faculty Member Due to a Bona Fide Financial Exigency, Bona Fide Financial Crisis, or Academic Program/Unit Closure
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OTHER DENTAL SCHOOL POLICIES WHICH AFFECT FACULTY
APPENDIX 1 THE UAB SCHOOL OF DENTISTRY VISION / MISSION / VALUES 2012
VISION
Leading Oral Healthcare
MISSION
To optimize oral health in Alabama and beyond.
VALUES
• Excellence • Innovation • Patient Centered • Unity of Purpose
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APPENDIX 2. OUTLINE OF CURRICULUM VITAE FOR SCHOOL OF DENTISTRY FACULTY
The following outline should be followed in composing the curriculum vitae to be submitted as part of the supporting data for promotion and/or tenure. Instructions for style and format follow.
DATE:
CURRICULUM VITAE University of Alabama at Birmingham School of Dentistry Name (All caps with degrees)
ACADEMIC POSITION Rank: Title(s):
PERSONAL INFORMATION Nationality and/or Citizenship: Foreign Language(s):
CURRENT APPOINTMENTS: HOSPITAL AND OTHER (NON ACADEMIC) APPOINTMENTS:
EDUCATIONAL HISTORY: EDUCATION: Year Degree Institution
BOARD CERTIFICATION/STATUS:
PROFESSIONAL HISTORY ACADEMIC APPOINTMENTS:
SERVICE AND RECOGNITIONS AWARDS/HONORS: PROFESSIONAL SOCIETIES AND MEMBERSHIPS:
EXTRAMURAL SERVICE: A. Professional Advisory Committees
TEACHING TEACHING EXPERIENCE:
RESEARCH MAJOR RESEARCH INTERESTS: <2-3 Sentences> GRANT SUPPORT:
BIBLIOGRAPHY: MANUSCRIPTS:
E. Other Publications
The standard for grammatical format and style is based on the Journal of the American Dental Association. The basis of the JADA format is the American Medical Association Manual of Style, which provides a comprehensive reference for UAB faculty. At the time of this writing, this publication is available as a digital resource through the Lister Hill Library of the Health Sciences at UAB. INSTRUCTIONS: 1. Use a consistent font throughout the document. Times or Times New Roman are commonly accepted serif fonts, while Arial or Helvetica are commonly accepted sans fonts. 2. A font size between 10 to 12-point is recommended, and 12-point font size is generally preferred. However, 14-point can be used in headers. 3. Single-space with 12 points after paragraphs and an additional return between headings if desired. 4. Set 1” margins, with pagination on the upper right of first page header in format of “Page 1 of x”. 5. If heading does not apply, either exclude from the CV or include with “N/A” as deemed appropriate. 6. Do not include protected information such as social security number, age, race, marital status, children, disability, political affiliation, religion, salary, or DEA number. 7. Where appropriate, list in chronological order for ease of updating and number each citation.
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EXAMPLE REFERENCE FORMATS: (Source: JADA Author Guidelines, accessed on 1-19- 2012,
Periodical Lauterbach M, Martins IP, Castro-Caldas A, et al. Neurological outcomes in children with and without amalgam-related mercury exposure: seven years of longitudinal observations in a randomized trial. JADA 2008;139(2):138-145. Book Cohen S, Burns RC. Pathways of the pulp. 8th ed. St. Louis: Mosby; 2002:196. Book chapter Byrne BE, Tibbetts LS. Conscious sedation and agents for the control of anxiety. In: Ciancio SG, ed. ADA Guide to Dental Therapeutics. 3rd ed. Chicago: American Dental Association; 2003:17-53. Government publication Medicine for the public: Women’s health research. Bethesda, Md.: U.S. Department of Health and Human Services, Public Health Service, National Institutes of Health; 2001. DHHS publication 02-4971. World Wide Web site Hoffman ED, Klees BS, Curtis CA. Brief summaries of Medicare & Medicaid: Title XVIII and Title XIX of the Social Security Act as of November 1, 2007. Baltimore, Md.: U.S. Department of Health and Human Services, Center for Medicare & Medicaid Services, Office of the Actuary; 2007. “http://www.cms.hhs.gov/ MedicareProgramRatesStats/downloads/MedicareMedicaidSummari es2007.pdf”. Accessed Aug. 28, 2008. Publication in press McCoy J. Alteration in periodontal status as an indicator of general health. JADA (in press). Presentation Eichenstadt L, Brenner T. Caries levels among low-income children: report of a three-year study. Paper presented at: 146th Annual Session of the American Dental Association; Oct. 7, 2005; Philadelphia. Page 48
APPENDIX 3. CRITERIA FOR DETERMINING FACULTY ACTIVITY REPORT SCORE
Originating Policy: The UAB School Of Dentistry Policy And Review Criteria For Department Chairs’ Evaluation Of Faculty Activity For Meritorious Performance, 1999-2000
Annual evaluation of faculty is described in Section 2.14. For each faculty member, an overall performance ranking will be assigned according to the following scale:
5 = performance and achievement are exceptional 4 = performance and achievements are above minimal expectations 3 = performance and achievements meet minimal expectations 2 = performance and achievements are below minimal expectations 1= failed to meet expectation.
Application of the above scale varies per faculty track, which are defined in Section 2.8.6. Student research-related activities are evaluated by splitting efforts between teaching and research (e.g., 50% and 50%). For tracks that do not require external funding for research, “scholarly activity” may fulfill some or all of the research component for evaluation. As part of faculty review, the scale is applied to each track as follows.
Research Track For ongoing external salary support, expectation is approximately 100% support for all rankings.
• “5” rating: Performance/achievements in research (in terms of quality and quantity) are exceptional. There may be some contributions in teaching and service, but not required.
• “4” rating: Performance/achievements in research (in terms of quality and quantity) are above minimal expectations. There may be some contributions in teaching and service, but not required.
• “3” rating: Performance/achievements in research (in terms of quality and quantity) meet minimal expectations. There may be some contributions in teaching and service, but not required.
• “2” rating: Performance/achievements in research (in terms of quality and quantity) are below expectations. External salary support falls appreciably below 80%.
• “1” rating: Failed to meet expectations.
Research Emphasis Track: Generation of substantial funding for a research program is expected.
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• “5” rating: Performance/achievements in research (in terms of quality and quantity) are exceptional, as well as above minimally expected achievements in teaching and service (and/or patient care).
• “4” rating: Performance/achievements in research (in terms of quality and quantity) are above minimal expectations, as well as some teaching and service (and/or patient care).
• “3” rating: Performance/achievements (in terms of quality and quantity) meet minimal expectations in research, teaching, and service (and/or patient care).
• “2” rating: Performance/achievements in research, teaching and service (in terms of quality and quantity) are below minimal expectations and/or external salary support is below 25%.
• “1” rating: Failed to meet expectations.
Clinician Scholar Track: Participation in externally funded research is expected.
• “5” rating: Performance/achievements (in terms of quality and quantity) in research, teaching, and service (and/or patient care) are exceptional.
• “4” rating: Performance/achievements (in terms of quality and quantity) in research, teaching, and service (and/or patient care) are above minimal expectations.
• “3” rating: Performance/achievements (in terms of quality and quantity) meet minimal expectations in research, teaching and service (and/or patient care).
• “2” rating: Performance/achievements in research, teaching, and service (in terms of quality and quantity) are below minimal expectations and/or external salary support is below 10%.
• “1” rating: Failed to meet expectations.
Clinical Emphasis Track:
No expectation of external salary support.
• “5” rating: Performance/achievements are exceptional in teaching (in terms of quality and quantity) and above average in scholarly activity and service (and/or patient care). Strong evidence of continued clinical competence and participation in either funded research (e.g., co-investigator with no salary support) or other scholarly activity is required.
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• “4” rating: Performance/achievements in teaching are above minimal expectations (in terms of quality and quantity), as well as some scholarly activity, and service (and/or patient care).
• “3” rating: Performance/achievements (in terms of quality and quantity) meet minimal expectations in teaching, scholarly activity, and service (and/or patient care).
• “2” rating: Performance/achievements in teaching, scholarly activity, and service (in terms of quality and quantity) are below minimal expectations.
• “1” rating: Failed to meet expectations.
Clinical Track:
No expectation of ongoing external salary support.
• “5” rating: performance/achievements in teaching are exceptional (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required.
• “4” rating: Performance/achievements in teaching are above minimal expectations (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required.
• “3” rating: Performance/achievements in teaching meet minimal expectations (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required.
• “2” rating: Performance/achievements in teaching are below minimal expectations (in terms of quality and quantity).
• “1” rating: Failed to meet expectations.
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APPENDIX 4. FACULTY ACTIVITY REPORT (FAR) AND ANNUAL REVIEW FORMS
The Office of the Dean will assure that a current copy of the Faculty Activity Report and the track specific score cards, Appendix 4 Form #1, are disseminated annually. Following completion of the FAR and the review by the department chair (See Section 2.14), the chair must meet with the faculty member. Appendix 4 Form #2 is used to document the annual review. A copy is given to the faculty member and a copy is forwarded to the Dean. The original must remain with the Chair.
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Appendix 4 Form #1
2012-2013 ANNUAL FACULTY REVIEW - UAB School of Dentistry Faculty Score Card (Track Specific) Department: 0 Name: , Rank: 0 Track: Clinical Track Clinical Track Faculty in this track usually hold a DDS/DMD and may have a dental specialty certificate. They may have minimal scholarly activity and service involvement and have most of their effort devoted to didactic, preclinical, and/or clinical teaching. Individuals appointed to this non-tenure-earning track shall evidence continued clinical competence.
Effort Profile Example 70% - Teaching 5% - Institutional service
25% - Other to include: (research, training, patient care, professional development and/or other academically relevant activity.)
Scoring No expectation of ongoing external salary support. • “5” rating: performance/achievements in teaching are exceptional (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required. • “4” rating: Performance/achievements in teaching are above minimal expectations (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required. • “3” rating: Performance/achievements in teaching meet minimal expectations (in terms of quality and quantity). There may be some contributions in scholarly activity and service (and/or patient care) but not required.
• “2” rating: Performance/achievements in teaching are below minimal expectations (in terms of quality and quantity).
• "1" rating: Failed to meet expectations Evaluation (shaded cells are data poplulated from faculty input): A. Research / Scholarly Activities: 0% Effort D. Teaching: 0% Clinical + 0% Non-Clinical = 0% Effort 5 = Exceeded all expectations 5 = Exceeded all expectations 4 = Met all and exceeded some expectations 4 = Met all and exceeded some expectations 3 = Met expectations 3 = Met expectations 2 = Met some expectations 2 = Met some expectations 1 = Failed to meet expectations 1 = Failed to meet expectations
1. Research Activities Grants and Contracts Federally Funded Research 0% Number Active 0 Non-Federally Funded Research 0% Number Pending 0 Fall Spring Non-Funded Research 0% Number Not Funded 0 Clinic / PreClinic Hours per week 0 0 Hours Didactic per Quarter 0 0 Avg Hours Laboratory Inst./ Mentorship 0 0
Salary Support 0% E. Accomplishments vs. Last Years Stated Goals 5 = Exceeded all expectations 4 = Met all and exceeded some expectations 2. Publications / Manuscripts 3 = Met expectations 0 Number of Books 0 Number CE Presentations 2 = Met some expectations 0 Number Monographs 0 Other 1 = Failed to meet expectations 0 Number Editorships 0 Number Articles 3. Other Scholarly Activity F. Long-Term Goals & Career Development 0 Number Manuscripts 0 No. Thesis/Diss Chaired Appropriate 0 Number Presentations 0 No. Thesis/Diss Member Need to meet with Chair to discuss long-term goals 0 Number Abstracts 0 No. other students mentored Other
B. Service / Admin: 0% Admin + 0% Service = 0% Effort G. Honors / Awards 5 = Exceeded all expectations Notable Recognitions 4 = Met all and exceeded some expectations 3 = Met expectations 0 No. professional days in last H. Distribution of Effort 2 = Met some expectations fiscal year Appropriate 1 = Failed to meet expectations Inappropriate
C. Patient Care / Consulting: 0% Effort Dental Faculty Practice Dental Clinics (direct patient care provided outside of teaching program) Total Meritorious Performance Research (direct patient care provided through clinical research) Score: Rating (5,4,3,2 or 1)
Department Chair Signature Date Faculty Member Signature Date Accepted December 2011
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Appendix 4 Form #2
! Annual!Faculty!Review! Page!1!of!1!
UAB!School!of!Dentistry!
2011>2012!Academic!Year!
Name:!!!
Reviewer:!
As!part!of!the!annual!faculty!assessment,!comment!documenting!the!assessment!of!the!faculty!member’s!activity!in! the! areas! of! teaching,! research,! and! service! are! provided! below.! ! It! is! appropriate! to! highlight! the! major! accomplishments!this!year,!previous!goals!not!achieved,!and!the!goals!for!the!faculty!member!for!the!next!year!in! each!of!these!three!areas.!
Teaching:*
Effort*distribution*(Appropriate*or*Must*be*altered*as*described*in*comments*below):*
Progress*Toward*Promotion*and/or*Tenure*(if*applicable):*
Faculty*Member*Comments*(if*any)*following*Chair/Dean*review*prior*to*signature:** !
!
!
!
! Faculty!member’s!signature!acknowledges!review!of!this!document.!! Any!faculty!comments!(optional)!may!be!noted!above.!
! ! ______! ______! ______! ______! Department!Chair!Signature! Date! Faculty!Member!Signature! Date! Accepted!January!2012!
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APPENDIX 5. ANNUAL PROJECTED CALENDAR FOR SUBMISSION OF ALL PROMOTION AND TENURE AWARD PROPOSALS
The cycle for promotion/tenure extends from October to the following September of the University fiscal year. Calendar landmarks are similar for both tenure-earning and non-tenure tracks. The Dean’s Office will distribute the official deadlines specific for the calendar year, while this Appendix provides an unofficial calendar for faculty planning and informational purposes only.
OCTOBER
Dean's Office announces the faculty promotion and tenure award cycle with written notification to all departmental Chairs and the Dental Promotions and Tenure Committee. Faculty members are notified by the department. Notification includes SOD Guidelines for promotion and tenure award proposals and projected calendar. In most instances, a faculty member's request for promotion and/or tenure will be initiated by the Chair when it is the opinion of the Chair that the criteria for promotion and/or tenure have been met. Exceptions to this rule are noted in the SOD Handbook Section 2.15.8.0.1.
OCTOBER – FEBRUARY
Faculty members prepare promotion and/or tenure award proposals as outlined below. Proposals require review and approval or disapproval by the Chair, and Departmental Promotions Committee if applicable, prior to submission for review and consideration by the SOD Promotions and Tenure Committee, except in cases noted in the SOD Handbook Section 2.15.8.0.1.
FEBRUARY 28 (Deadline for submitting promotion/tenure award proposals)
Chairs submit faculty promotion and/or tenure award proposals to the Dean on or before the established deadline of February 28. Promotion/tenure award proposals must include an original and eight copies. The accompanying copies should be exact duplicates of the original proposal, and as such all copies should bear the appropriate signatures and include copies of all reprints submitted as part of the original recommendation for promotion and/or tenure award.
MARCH 1 – MARCH 15
The Dean reviews the promotion/tenure award proposals and refers the proposals to the Dental Promotions and Tenure Committee for review.
MARCH 15 - APRIL 30
The Dental Promotions and Tenure Committee review each promotion/tenure award proposal.
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MAY 1
The Dental Promotion and Tenure Committee submits written detailed recommendations for approval or disapproval of promotion and/or tenure awards to the Dean by May 1st. Committee written reports must include a full assessment of the candidate’s strengths and weaknesses and include the recommendations and recorded vote by the committee.
MID TO LATE MAY
A) The Dean submits her/his recommendations for promotion approval and/or tenure award to the Provost’s Office. B) The Dean provides written notification to the Chairs regarding the recommendation submitted to the Provost and/or notifies the Chairs of any promotion and/or tenure award proposals disapproved by the Dental Promotion and Tenure Committee. C) The Chairs may submit written requests to appeal a disapproved proposal directly to the Dean within three weeks of receiving the Dean's notification. All such requests must include supplemental and/or supporting documentation that constitutes or provides a basis for reconsideration.
AUGUST
The Provost submits his/her recommendations for approval/disapproval of the SOD faculty promotions and/or tenure award proposals to the President.
SEPTEMBER
A) The Provost and/or President's Office provides written notification to the SOD Dean regarding approval/disapproval of promotion and/or tenure award proposals. Approved proposals are forwarded to Personnel Records. Proposals disapproved at this level are returned to the SOD Dean's Office for appropriate action and/or follow-up as necessary. B) The Dean notifies each departmental Chair regarding Provost and President approval or disapproval of SOD promotion and/or tenure award proposals. C) Departmental Chairs notify faculty member(s) of promotion and/or tenure award approval or disapproval as applicable.
SEPTEMBER
Departments are responsible for completing the necessary forms to submit the individual faculty member's ACT document reflecting the appropriate change in rank or tenure status, as approved by the Dean, Provost and President, as well as any associated salary increase.
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APPENDIX 6. GUIDELINES FOR SUBMISSION OF PROMOTION AND TENURE AWARD PROPOSALS
The faculty member's promotion and/or tenure award proposal must include specific information, forms, letters, and support documents. Guidance for this dossier may be located from the following website.
http://www.uab.edu/faculty/forms
Two guiding documents from this website especially lend assistance to the candidate, “Instruction For Preparing Promotion and Tenure Applications” and the “Promotion/Tenure Action Summary Form.” These sample forms, from a prior promotion/tenure cycle, are provided for informational purposes only.
School of Dentistry specific clarifications of the following the instructions for the promotion and/or tenure documentation follow.
• CURRICULUM VITAE: Each candidate's curriculum vitae must be in the standardized format shown in Appendix 2 of this handbook as defined by Section 2.15.8.0.3.
• EXTERNAL REVIEW LETTERS: In consultation with their Chair, the candidate should provide a list of individuals to seek as reviewers. The Chair will solicit the reviews independent of the candidate along with a copy of the candidate’s C.V. These review letters should be addressed to the Chair of the Promotions and Tenure Committee. However, the letters should be sent to the department chair so all the letters can be placed in the promotions packet for submission.
• ADHERENCE TO INSTRUCTIONS: Promotion and/or award of tenure proposals that do not meet the criteria set forth in either the UAB or School of Dentistry guidelines will be returned to the department chair for appropriate action and follow- up.
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Sample Instruction For Preparing Promotion and Tenure Applications, Page 1 of 2
INSTRUCTIONS FOR PREPARING PROMOTION AND TENURE APPLICATIONS May 2011
Using the sequence as outlined below, organize and attach the promotion and tenure materials in a one or two inch binder using the same specific tab divider labels as indicated in bold print. Only the documentation requested should be submitted to the Provost's Office. Retain all other supporting documentation within the school.
Promotion/Tenure Action Summary Form - This form should be completed and signed prior to submitting. Use revised form dated May 2011.
Promotion and Tenure Guidelines - Include a copy of the appropriate school/department guidelines for promotion and tenure.
Curriculum Vitae - This document should be current and complete. It is a valuable reference for the review process.
Recommendation Reports/Letters (for promotion/tenure) - This section should include a signed and dated report or letter from the following, clearly indicating the title/role of the individual(s) making the recommendation: • Department Review Committee (if applicable) • Department Chair 90 • School Review Committee • Dean
Evidence of Teaching Effectiveness - Summarize teaching reviews, including student ratings and other assessment methods used by the school (i.e. peer evaluation, reviews of course materials, teaching portfolio summaries). A summary table documenting all courses taught with summary scores is one way to present information. If IDEA student ratings are used, include scores for: progress on relevant objectives, overall ratings for excellent teacher, overall ratings for excellent course, and summary evaluation. Do not include individual student forms.
Evidence of Research Productivity - This section should include any additional evidence that is not reflected in the vitae. Including copies of publications is not recommended.
Summary of Service Activities - This section should include any additional evidence that is not reflected in the vitae.
External Reviewer Letters - A minimum of three letters from non-UAB reviewers is required. It is not necessary to include letters from internal (UAB) reviewers in this section. Candidates who wish to include letters of support from other UAB faculty should include these in the appropriate sections related to teaching, research, and service, depending on the focus of the letter.
Annual Reviews - Include annual performance reviews from department chairs, as well as pre tenure and/or pre-promotion reviews from departmental and school review committees. Arrange in chronological order within this section.
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Sample Instruction For Preparing Promotion and Tenure Applications, Page 2 of 2
Additional Recommendations
Careful attention to the instructions listed above, as well as adhering to the information listed below should promote a more rapid, efficient review of the candidate's request for promotion and/or tenure.
1. Thoroughly complete each section of each form, providing explanations where appropriate. Obtain all signatures (faculty member, department chair, dean, department and school review committee chairs) as appropriate for each form.
2. If the applications will be late, contact the Office of the Provost prior to the deadline.
3. Remove staples so that pages within the binder turn easily. Do not use sheet protectors for the pages in the binder.
NOTE: Please note that the FACULTY DATA FORM is no longer required as part of the Promotion and Tenure application process.
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Sample Promotion/Tenure Action Summary Form, Page 1 of 3
Directions: This section to be completed by appropriate school contact person. UAB Faculty Promotion/Tenure Action Summary Form
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Sample Promotion/Tenure Action Summary Form, Page 2 of 3
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Sample Promotion/Tenure Action Summary Form, Page 3 of 3
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APPENDIX 7. AGREEMENT RELATING TO PROFESSIONAL PRACTICE
This Agreement is made between The Board of Trustees of the University of Alabama, a public corporation, for its division the University of Alabama at Birmingham (herein called “UAB”) and ______, a member of the faculty of the School of __Dentistry__ at UAB (herein called the “Faculty Member”).
Recitals:
A. It is essential to the successful operation of UAB that it obtain as permanent, full-time members of its faculty in the health care professions, persons of superior training, character, and ability and such people must be recruited in competition with the opportunities for financial remuneration which are open to them elsewhere.
B. Continuing experience in private consultation enhances the programs of UAB and the skills of its faculty members and opportunities for such consultation are necessary to recruit new faculty members and retain those already employed in health care fields.
C. There is a benefit to the public and to the State of Alabama if the special talents of the professional faculty of UAB are available to patients on a remunerative basis where there is an ability to pay.
D. The parties have determined that this Agreement should be executed to regulate clinical practice by the professional faculty at UAB.
Agreement:
1. Right to Practice. UAB agrees that, as a condition of employment and subject to the provisions of this Agreement, the Faculty Member shall have the right, as long as such activities do not interfere with other duties of the Faculty Member at UAB, to engage in the practice of his or her profession, to utilize the facilities of UAB in such practice, to have UAB charge fees for services in such practice, and, at the Faculty Member’s option, to share in such fees in accordance with the provisions of this Agreement.
2. Professional Fees. The Faculty Member shall not charge or collect fees for clinical professional services performed by the Faculty Member. In this context, “fees for clinical professional services” shall not include fees or honorariums for consulting, speaking, or other similar professional services. All fees for such clinical professional services shall be charged at standard rates set by UAB and collected by UAB through the Faculty Member’s clinical department. The Faculty Member shall have no right to or interest in any such fees and should any fees be received by the Faculty Member, the Faculty Member shall as promptly as practicable forward such fees to UAB.
3. Establishment of Account. UAB shall establish methods of handling and accounting for the fees charged and collected for such professional services through the appropriate Page 63
clinical department or program of UAB. An account in the name of the Faculty Member shall be established by UAB (herein called “Account”) and an amount equal to the amount of expenses incurred in collection of such fees, shall be the sole source of revenue credited to the Account. No transfers into the Account from other UAB accounts are permitted. The Account is to be established for accounting purposes of UAB only and the Faculty Member shall have no legal ownership interest in or right to the Account, except as provided herein.
4. Expenditures from Account. At the request of the Faculty Member and with the approval of the Dean of the Faculty Member’s school, expenditures may be made from the Account as set forth below. All such expenditures must be in the best interest of UAB and are subject to the availability of funds in the Account. No advances or loans may be made to the Account and the account balance must be sufficient to cover all outstanding commitments.
The following types of expenditures are generally acceptable from the Account:
a. except as otherwise limited by this Agreement, professional expenses, business travel, business entertainment, business expenses for continuing education, and any other business expenses which are otherwise permissible under UAB policy;
b. expenditures which are applicable to the operation and development of Faculty Member’s clinical practice;
c. expenditures applicable to the operation and development of the UAB;
d. permanent transfers out to other UAB unrestricted funds to support those unrestricted activities; but only with written approval by the Faculty Member’s Dean and by UAB’s chief financial officer; or
e. salary supplements (“draws”) paid to the Faculty Member under the terms of this Agreement and approved by the Dean of the respective school.
The following types of expenditures are not permitted from the Account:
a. contributions to political candidates or political parties or for lobbying efforts, contributions to religious organizations, or charitable contributions; and
b. except as specifically permitted by this Agreement, transfers from the Account to another UAB account.
Any expenditures which are not permitted by the terms of this Agreement to be made from the Account will be considered as personal expenses and must therefore be taken by the Faculty Member as taxable draws in accordance with Section 5 of this Agreement.
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5. Faculty Member Draws. The amount which may be paid out to the Faculty Member as draws will be determined by agreement between the individual Faculty Member and the Dean of the Faculty Member’s school. Payments shall be made by draws made by the Faculty Member from the Account, in the amounts determined and as permitted by the terms of this Agreement, and shall constitute taxable income to the Faculty Member. All draws must be paid directly to the Faculty Member and not to third parties and these draws must be taken as salary supplements payable through the UAB payroll system. These draws are not considered a part of the Faculty Member’s base salary and therefore are not subject to certain UAB fringe benefits such as TIAA/CREF and Teachers Retirement. State appropriations may not be used to offset the costs of personnel benefits, taxes, or other expenses which result from draws paid from the Account; such costs must be borne by the Account. The actual draws are strictly limited to the funds available in the Account.
6. Charges to Account. The cost of malpractice insurance for the Faculty Member may be paid directly from the Account with the written approval of the Faculty Member’s Dean. The Account will also be charged a clinic practice overhead fee, which shall be determined by the Dean of the Faculty Member’s school, to support direct clinic operating costs, including but not limited to clinic administration costs and facilities’ costs. In addition or in lieu of the clinic practice overhead fee, the Dean of the Faculty Member’s school may assess a minimum flat fee chargeable to the Account to cover overhead associated with maintaining the Faculty Member’s access to clinic practice privileges. The Account may also be charged a school overhead fee as determined by the Dean of the Faculty Member’s school and an institutional overhead fee determined by UAB’s chief financial officer, which shall be assessed as a percentage of fess collected. The failure to generate sufficient revenue to pay these fees may result in termination of the Account and of this Agreement by UAB.
If at the end of a fiscal year the Dean of the Faculty Member’s school shall reasonably anticipate that the expenses which have been incurred and which are reasonably anticipated shall exceed the funds available in the Account the Dean may, by written instructions and without the consent of the Faculty Member, withdraw such excess amounts from the Account for the purpose of promotion of the welfare and development of UAB or promotion and development of the Faculty Member’s department.
7. Title to Property. Title to all equipment and supplies purchased from funds in the Account shall be vested in UAB. Further, all cash in the Account shall be considered the property of UAB. All calculations and transactions made pursuant to this Agreement will be made using information generated by UAB’s official accounting system.
8. Termination. This Agreement shall be terminated in the following circumstances:
(a) if either party shall at any time give thirty (30) days written notice of a desire to terminate; or Page 65
(b) if the employment of the Faculty Member with UAB terminates for any reason, including death or disability.
Upon termination of this Agreement the Faculty Member shall not be entitled to receive any portion of the balance credited to the Account at the date of termination except that (1) all commitments outstanding as of the termination date will be honored to the extent that sufficient funds remain in the Account and (2) after all patient receivables have been collected or written off or six months after the termination date whichever is earlier, the Faculty Member will be entitled to a final draw up to the amount that would have otherwise been allowed if the Agreement had not been terminated. Under special circumstances where issues remain regarding collection of outstanding receivables, the applicable Dean may grant an extension of up to six months. Any balance then remaining in the Account shall remain the property of UAB.
9. Other Faculty Members. All clinical faculty members who utilize professional service fund accounts at UAB must first execute an agreement in the form of this Agreement. These Agreements must be executed by the individual participant, the Dean of the participant’s school, and an individual authorized to execute contracts on behalf of UAB.
IN WITNESS WHEREOF, the Faculty Member and UAB have executed this Agreement on the ______day of ______, ______.
THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ALABAMA FOR THE UNIVERSITY OF ALABAMA AT BIRMINGHAM
By ______Provost Faculty Member
______Dean
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APPENDIX 8. SCHOOL OF DENTISTRY POLICY ON SUBSTANCE ABUSE
Related Policies • UAB Faculty Handbook and Policies • Policy and Procedure for Alcohol and Drug Testing for Reasonable Cause
Purpose
Undergraduate DMD students in the School of Dentistry, residents, and faculty must be capable of performing their respective duties without impairment. The use of substances that impairs performance diminishes the quality of professional education, research and patient care and cannot be tolerated by the School of Dentistry. Although impaired performance resulting from substance abuse may lead to expulsion or discharge, the School of Dentistry supports alternative options for an initial incident of substance abuse, whenever advisable. Incidences of substance abuse will be evaluated on a case-by-case basis.
Process
Allegations of substance abuse will be processed according to the procedures outlined in this policy. The School of Dentistry will follow the “reasonable cause” and testing procedure described in the University Hospital’s Policy and Procedure for Alcohol and Drug Testing for Reasonable Cause, or a similar approved procedure, and will apply that procedure as appropriate for students, residents and faculty. Residents and faculty who are licensed to practice dentistry in the state of Alabama, and those who have teaching licenses, should be aware that the Alabama Board of Dental Examiners of the Alabama Dental Association may direct that impaired professionals be treated through the program approved by the ADA’s Committee on Impaired Dentists.
The following options have been developed for dealing with initial instances of substance abuse.
Substance abuse treatment for impaired students
Allegations of substance abuse by an undergraduate DMD student should be reported to the Dean of the School of Dentistry. The Dean will refer the allegation(s) to the Committee on School Diversity for investigation of the facts. The committee will review the allegations and may seek professional assistance from Student Health Services in evaluating the facts. The committee will report its findings and any treatment recommendation to the Dean. The “reasonable cause” and testing procedure described in the University Hospital Policy and Procedure for Alcohol and Drug Testing for Reasonable Cause, or a similar approved procedure, will be followed.
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If the allegation of substance abuse is found to be substantive, the student will be apprised of the recommendation of the committee and will be referred for treatment either to the UAB Wellness Center or to the UAB Center for Psychiatric Medicine (CPM), as the facts of the case warrant. An impaired student who fails or refuses to participate in the prescribed treatment regimen, or who is involved in a subsequent incident of substance abuse is subject to expulsion from the School of Dentistry.
Substance abuse treatment for impaired residents
The process applicable to a resident of the School of Dentistry who engages in substance abuse is generally similar to the process described herein for undergraduate DMD students, with regard to the reporting and investigation of a claim of substance abuse and testing for cause. The “reasonable cause” and testing procedure described in the University Hospital Policy and Procedure for Alcohol and Drug Testing for Reasonable Cause, or a similar approved procedure, will be followed.
If a recommendation of treatment is appropriate, the impaired resident will be given the option of entering either the substance abuse program offered by the UAB Faculty and Staff Assistance Program or may receive treatment from the UAB Center for Psychiatric Medicine. As noted, however, if an impaired resident is licensed to practice dentistry in the state of Alabama or holds a teaching license, he/she may be required by the Committee on Impaired Dentists of the Alabama Dental Association (ALDA) to undergo substance abuse treatment through the ALDA-approved program.
An impaired resident who fails or refuses to participate in the prescribed treatment regimen, or who is involved in a subsequent incident of substance abuse is subject to discharge from his/her residency in the School of Dentistry.
Substance abuse treatment for impaired faculty
The process applicable to faculty of the School of Dentistry who engage in substance abuse is generally similar to the process described for undergraduate DMD students and residents with regard to the reporting and investigation of a claim of substance abuse and testing for cause. In general, allegations of substance abuse by a member of the faculty will be referred by the Dean to the Committee on School Diversity for investigation. The committee will review the allegations and may seek professional review and assistance from the UAB Faculty and Staff Assistance Program. If the allegations are found to have merit, the reasonable cause testing procedure described in the University Hospital Policy and Procedure for Alcohol and Drug Testing for Reasonable Cause, or a similar approved procedure, will be followed.
If a recommendation for treatment is appropriate, the impaired faculty member will be given the option of entering either the substance abuse program offered by the UAB Faculty and Staff Assistance Program or may receive treatment from the UAB Center for Psychiatric Medicine. A substance-impaired member of the faculty who holds either a license to practice Dentistry in the State of Alabama or a teaching license may be required by the Committee on Impaired Dentists Page 68 of the Alabama Dental Association to undergo substance abuse treatment through the ALDA- approved program.
An impaired member of the faculty who fails or refuses to participate in the prescribed treatment regimen, or who is involved in a subsequent incident of substance abuse is subject to discharge from his/her faculty position in the School of Dentistry. Discharge of a member of the faculty will be pursued in accordance with applicable procedures set forth in the UAB Faculty Handbook and Policies.
This policy may be modified by the UAB School of Dentistry from time to time as deemed appropriate.
Addendum The University Hospital Policy for Alcohol and Drug Testing for Reasonable Cause is attached hereto as an addendum to this policy.
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APPENDIX 9. SCHOOL OF DENTISTRY POLICY ON CHILDREN IN THE WORKPLACE
Employees should make every attempt to arrange for alternative childcare.
If the child is sick and cannot attend day care or school and no other provisions can be made for childcare, the parent should take sick leave (UAB policy: Maximum three days/year), vacation or time off without pay if sick leave and vacation is not available. The employee's supervisor should be informed as soon as possible.
If the child is sick and child-care will be arranged, the employee can bring the child to the School of Dentistry for a maximum of 2 hours. The supervisor should be informed as soon as possible. However, the employee must take vacation or sick leave for that time period and the child has to be under the parent's supervision at all times. Children should not be allowed in patient care areas and this time should be spent in a break room or lounge.
If child-care cannot be arranged or if the child has a dental or medical appointment, the employee can bring the child to the School of Dentistry for a maximum of 2 hours. The supervisor should be informed as soon as possible. However, the employee must take vacation or sick leave for that time period and the child has to be under the parent's supervision at all times. Children should not be allowed in patient care areas and this time should be spent in a break room or lounge.