Restorative Sciences, Office of Education, Academic Health Center at the University of Minnesota

Guidelines for

Departmental Statements Required by Section 7.12 of

Regulations Concerning Faculty Tenure

School of Dentistry

Department of Restorative Sciences

I. Introductory Statement

The primary measure of excellence of an educational institution is the quality of its faculty. Therefore, the degree of foresight and wisdom employed in making faculty appointments, promotions and the granting of tenure will be the basis upon which a school achieves distinction.

Within the School of Dentistry, the ultimate responsibility for recommending faculty members for appointment, promotion or indefinite tenure rests with the Dean. To discharge responsibility, the Dean should have the counsel of the department chairpersons and faculty of the School. It is the responsibility of the faculty to participate in this process, to identify and reward scholars who demonstrate a commitment to the advancement and communication of knowledge and who show promise of pursuing productive academic careers.

Well-defined policies and procedures are essential to provide equity in this process. The following framework is provided for the systematic evaluation of candidates for indefinite tenure and promotion.

The specific mission of the School of Dentistry is consistent with the objectives of a land grant University and includes teaching, research and scholarly activities and discipline-related professional service as defined in Section 7.11 of the University of Minnesota Regulations Concerning Faculty Tenure (http://www1.umn.edu/regents/policies/humanresources/FacultyTenure.pdf) and this departmental document. It is a major goal of the School of Dentistry to establish and maintain itself as an academic center of national and international excellence. The objectives the faculty have set to address their goals and mission include:

A. educate dentists, dental specialists, and dental hygienists who will provide the highest standard of care;

B. provide a program of training and instruction for educators and researchers who will provide future leadership in the academic and corporate communities;

C. develop new knowledge and understanding in both basic and applied dental and socio-behavioral sciences;

D. serve patients by providing optimal care including preventive care, improved modes of health care delivery, patient counseling and education, and the best possible diagnostic and treatment services, particularly for those with unusual or difficult problems;

E. serve the public by providing outreach programs of care, prevention and health education for special groups, and consultative and educational programs for the public, health practitioners, and agencies in Minnesota, the United States, and the international community; and

F. foster/promote/participate in interdisciplinary teaching, research and service within the health care and University community.

To be awarded indefinite tenure and/or to be considered for promotion, a faculty member will be expected to have demonstrated effectiveness in accomplishing these objectives. Specific indices and standards that will be used to evaluate whether a candidate meets these criteria are described in Section III: Promotion and Tenure of Regular Faculty; Section IV: Promotion of Clinical Faculty; and Section V: Promotion of Part-Time, Adjunct Faculty.

To be awarded indefinite tenure and to be considered for promotion, the achievements of a faculty member will have demonstrated the faculty member's potential to continue to contribute significantly to the mission of the School and to its programs of teaching, research, and service over the course of the faculty member's academic career. The primary criteria for demonstrating this potential are effectiveness in teaching and professional distinction in research. Discipline-related professional services are an integral part of the mission of the School of Dentistry and enhance both its teaching and research functions. In some instances, outstanding discipline-related service will be considered as part of the basis for awarding indefinite tenure or promotion. The relative importance of the criteria may vary for each faculty member; however, each of the criteria must be considered in every decision.

The general methods and criteria for tenure are found in the University of Minnesota Regulations Concerning Faculty Tenure. New faculty should carefully read and understand this document, particularly Sections 5, 6, and 7. The General Rule Section 5.1 concerns those with probationary appointments and states that “the maximum period of probationary service of a faculty member is six academic years, whether consecutive or not. At the end of this six-year period, the faculty member must either be given a regular appointment with indefinite tenure or a one-year terminal appointment.” However, because of the time required for processing the applications for tenure, the actual decision to award indefinite tenure is made during the sixth year. Granting of indefinite tenure may be made prior to the expiration of the maximum period of probationary service.

The process of reviewing a candidate's progress is continuous, and is intended to have an encouraging and nurturing function, although it is by necessity judgmental. The annual tenure review is intended to point out to the candidate strengths and weaknesses, so that the strengths can be built upon and the weaknesses remedied. The general methods for reviewing the performance of probationary faculty are found in the Procedures for Reviewing the Performance of Tenure-Track Probationary Faculty (http://www1.umn.edu/ohr/policies/

performance/probfacreview.html).

A. Criteria for Tenure

The basis for awarding indefinite tenure is the determination that the achievements of an individual have demonstrated the individual's potential to continue to contribute significantly to the mission of the Department, the School of Dentistry and the University, and to its programs of teaching, research and service over the course of the faculty member's academic career (see Section 7.11 of the University of Minnesota Regulations Concerning Faculty Tenure). The primary criteria for demonstrating this potential are effectiveness in teaching and distinction in research. In some instances, outstanding discipline-related service will be considered as part of the basis for awarding indefinite tenure or promotion (see Section III.A.3.a). The relative importance of the criteria may vary for each faculty member within different departments of the School of Dentistry; however, each of the criteria must be considered in every decision.

1. Teaching

Teaching includes group and individual instruction in classrooms, clinics and laboratories with pre-doctoral, postgraduate and/or graduate students, and instruction in continuing education programs. Credit is given for all educational efforts, including efforts to upgrade the curriculum and provide unique educational opportunities. Our teaching role extends throughout Minnesota, the region, and beyond. Promotion and tenure is reserved for candidates who demonstrate effectiveness in teaching.

Effectiveness in teaching will be reviewed and evaluated by:

a. Content - Information presented should be current, accurate, based on the best available scientific information, pertinent to the discipline, and complete so as to conform to the objectives of the overall curriculum.

b. Organization - Information should be presented in a logical sequence that is understandable to the student. Teaching methods are at the discretion of the faculty member. Multidisciplinary subject matter should be effectively coordinated.

c. Examinations - Examinations should measure student competency and be graded in a timely manner.

d. Communication Skills - The ability to successfully convey information depends on verbal and written communication skills. These include, but are not limited to, proper and comprehensible use of language, enthusiasm, and the pace of presentations.

Effectiveness in teaching will be demonstrated by: 1) peer evaluations (which will include classroom visits and review of technical competence, syllabi, handouts, examinations and other learning/teaching aids); 2) student evaluations (required for every course in which the faculty member participates three or more times); and 3) evidence of efforts to improve teaching skills and performance when appropriate (evidence consists of descriptions of all courses on teaching attended and tracking of peer and student evaluations).

2. Research and Scholarly Activities

Each faculty member will be expected to develop and demonstrate his/her ability as an investigator in ongoing projects (e.g. clinical, laboratory, behavioral or educational investigations). The research and scholarly accomplishments of each candidate for promotion and/or tenure will be reviewed annually by his/her departmental chair. This review will include an assessment of progress toward fulfilling the requirements for promotion and/or tenure. Distinction in research and scholarly productivity must be apparent. For promotion and tenure, a candidate's research and scholarly accomplishments will be reviewed by peers from the Department, University, and other institutions.

Research efforts will be assessed by 1) evaluation of publications resulting from research work, and 2) evidence of efforts to obtain funds to support research. Publication of research results in recognized refereed journals provides clear evidence of scholarly activity. In multi-authored articles, collaborative programs, projects, or grants, the contribution of the faculty member under review should be specifically described and evaluated. While each faculty member will be expected to contribute to the literature in an ongoing manner, quality rather than quantity of publications will take precedence in promotion and/or tenure decisions. Widely used textbook chapters, review articles, and instructional materials are examples of scholarly activity that may be evidence of national and international recognition of the author's expertise in a field, and will be given appropriate consideration when they are part, but not the total, of an individual's scholarly productivity. Similarly, case reports are complementary to an individual's scholarly activities; however, they may not comprise the major extent of his/her scholarly endeavors.

Submission of grant applications demonstrates a willingness and determination to succeed in research and scholarly activity, and is expected of all regular faculty for promotion and/or tenure. While each faculty member will be expected to apply for grants from external sources (e.g. NIH, NIDCR, NSF), applications to all funding sources will be considered (internal, external, industry, specialty organizations, etc.). Further evidence of research and scholarly accomplishments is also demonstrated by the ability to support these activities by obtaining competitive funding.

3. Service

Service is considered a valuable component to the life of the School, University, community, and profession. All faculty being considered for promotion and/or tenure must provide documentation of their service; however, service alone will not be a basis for awarding tenure.

a. Discipline-related patient service

Faculty in the Department may be called upon to provide professional service as part of their role in fulfilling the mission of the Department. This service may be in addition to their clinical teaching responsibilities and paramount to maintaining a sound teaching and research program. Outstanding discipline-related patient service will be recognized as an important contribution in promotion and tenure decisions. Outstanding discipline-related patient service will be peer evaluated for its impact in raising the quality and standards of care within the profession.

Discipline-related patient service must be clearly outstanding, demonstrably effective and offer skills not usually available in the local community of clinicians. National recognition as a clinician is expected of candidates primarily involved in discipline-related service activities. Documentation will include appraisal solicited from nationally recognized clinicians assessing the skills and the impact of the candidate's work in patient treatment, and a summary of all national/international invited lectures, media interviews, and published materials about the candidate.

b. Professional/Community Service

The quantity and quality of the candidate's service functions, such as participation in the governance of the School of Dentistry and the University, participation in professional organizations, state and federal agencies, and community health care projects, will be taken into consideration.

Promotion to Associate Professor is associated with a decision concerning tenure. Granting of tenure commits the University to the faculty member in a contractual arrangement for a lengthy period, and should be based on clear evidence of the capacity to contribute to the missions of the Department and the School of Dentistry in an original fashion throughout that career.

Promotion to Associate Professor with tenure is reserved for individuals who have demonstrated:

1. effectiveness in teaching (see Section III.A.1).

To be considered for promotion with indefinite tenure, student and peer evaluations must demonstrate the individual's potential to obtain and sustain evaluations of 5 or better on a seven point scale (7 = Excellent; 1 = Poor). Probationary faculty are not expected to direct courses and should not average more than one and one half days of teaching per week over any academic year (1 lecture, 1 seminar, 1 laboratory session, or 1 clinical session equal one half day of teaching).

2. distinction in independent research (see Section III.A.2).

To be considered for promotion with indefinite tenure the candidate must have a minimum of three first author publications in appropriate recognized refereed journals; however, this cannot constitute the entire publication effort of the candidate. And, the candidate must provide evidence of continual efforts to obtain funding for their research endeavors. Success in obtaining funds will weigh heavily in the review; however, it is not required.

3. outstanding service where appropriate (see Section III.A.3).

Professor is the highest academic rank attainable, and is reserved for those individuals who demonstrate superior achievement in their field. Promotion to Professor will be based on evidence of advanced academic scholarship and maturity in teaching, distinction in research, outstanding discipline-related service where appropriate, and other service to the University, local, national and international communities.

Once indefinite tenure has been granted to a faculty member, they may, with approval of the department chair, focus their scholarly activity in a single area (teaching, research, or service). This area will weigh more heavily in the evaluation for promotion; however, the candidate is expected to meet or exceed the minimum requirements in all areas. In addition to the standards for promotion to Associate Professor with tenure, the following criteria also must be met:

1. growth in teaching skills

To be considered for promotion, documentation must be provided 1) listing additional courses attended on teaching methods (courses used previously for promotion cannot be used), 2) demonstrating sustained peer and student evaluations of 5 or better on a 7 point scale (7 = excellent), and 3) showing integration of teaching and research activities (research activities may include the faculty's own published research or published reviews of the literature).

2. national and international distinction in research.

To be considered for promotion the candidate must have a minimum of seven first author publications (published after their promotion to associate professor with tenure) in appropriate recognized refereed journals; however, this cannot constitute the entire publication effort of the candidate.

3. funded research

The candidate must provide evidence of continuing success in obtaining funds sufficient to support their research activities.

Indefinite tenure will be awarded based on the determination that the faculty member will continue to contribute significantly to the mission of the Department, the School of Dentistry, and the University and to its programs of teaching, research and service over the course of the faculty member's academic career. Factors to be considered in evaluating the performance of tenured faculty parallel those used in granting tenure. Flexibility is provided so that a faculty member can contribute more heavily to the accomplishment of one mission of the Department.

Each tenured faculty member is expected to maintain a continuous record of scholarship. This is evidenced by satisfying at least one of the following:

Failure to meet any of the minimum expectations or an annual review score 3 standard deviations below the department mean will trigger the post tenure review process (see Section 7a of University of Minnesota Regulations Concerning Faculty Tenure).

E. Procedures

The School of Dentistry complies with Procedures for Reviewing the Performance of Probationary Faculty as provided by Sections 16.3, 7.4, and 7.61 of the Regulations Concerning Faculty Tenure and distributed annually by the Senior Vice President for Academic Affairs.

IV. Promotion of Clinical Faculty

The introduction of a more formal clinical promotion track enables the School of Dentistry to provide an opportunity for the faculty member to select a role consistent with his or her ambitions, talents, and training. A clinical track faculty process enhances the ability of the School of Dentistry to fulfill its mission while efficiently allocating resources.

This section describes the criteria and expectations used to evaluate whether candidates are promoted within the Clinical Faculty categories of Assistant Clinical Specialist, Associate Clinical Specialist, and Clinical Specialist as well as the contract faculty titles of Clinical Assistant Professor, Clinical Associate Professor and Clinical Professor within the School of Dentistry. In this document these titles will be referred to as Clinical Faculty.

The process of reviewing a candidate's progress is continuous, and is intended to have an encouraging and nurturing function, although it is by necessity judgmental. The annual review is intended to point out to the candidate strengths and weaknesses, so that the strengths can be built upon and the weaknesses remedied.

A. Criteria for Promotion of Clinical Faculty

To qualify for a promotion within the Clinical Faculty titles, a faculty member must be clinically competent and educationally qualified. Faculty members will undergo a credentialing process to establish clinical competency. This process will include an initial review by the Department and Clinical Faculty Credentials Committee.

All Clinical Faculty members are to have a DDS or equivalent degree, residency training as required, or when appropriate professional degree for clinical responsibilities. When required, the candidate should have recognition or certification by appropriate professional organizations such as specialty boards or national academies in dentistry practice

The primary criteria for promotion are effectiveness in teaching, research or scholarly activity, and service. Discipline-related professional services are an integral part of the mission of the School of Dentistry and enhance both its teaching and research functions. In some instances, outstanding discipline-related service will be considered as part of the basis for awarding promotion (see Section III.A.3.a). The relative importance of the criteria may vary for each Clinical Faculty member within different departments of the School of Dentistry. It is important that a Clinical Faculty member's effort allocation within these three areas of activity be considered with all promotion decisions, and that the candidate's emphasis and productivity coincides with their effort allocation. Allocation of effort among these areas, and the related criteria for evaluation of efforts, shall be agreed upon with the Division Director and the Department Chair for the upcoming year at each annual review. In all three major areas of evaluation, the quality and professional impact of the activity will be of primary importance.

Teaching activities of the Clinical Faculty may include instruction in clinics, delivery of lectures or classroom presentations, laboratory instruction, mentoring, continuing education activities, administrative and leadership activities, or preparation of educational materials. The exact nature of the teaching responsibilities will be influenced by the part of the curriculum in which the Clinical Faculty member teaches. A Clinical Faculty member who has significant clinical teaching responsibilities will be judged on their clinical teaching competence and ability to impart those skills to students, as well as on their ability to teach in a more formal academic setting. Documentation of efforts in curriculum development and course directorship will also help to demonstrate desirable attributes in a good teacher. Participation in teaching graduate courses and development of new initiatives are also important activities. Development of a positive collaborative environment with faculty peers will be a consideration.

To judge whether the Clinical Faculty member meets responsible expectations for their stage of career development, Clinical Faculty will be responsible for providing documentary evidence for consideration. For example, a teaching portfolio demonstrating all clinical and didactic teaching activities will be required. This may include a statement on teaching philosophy as well as descriptions of lecture content and course syllabi for all courses taught. Peer and student assessments of teaching effectiveness will be required.

Scholarly activity and research may include contributions to clinical, educational, scholarly and professional activities in the form of, but not limited to, the following: 1) Development or revision of clinical protocols and techniques, and didactic course materials; 2) Invitations to chair or participate in panel, symposia, or conferences; 3) Election to membership in societies stipulating meritorious professional achievement; 4) Contributions to professional literature such as authoring research papers, case reports, editorials, reviews; serving as a journal editorial board member or manuscript reviewer; 5) Participation in clinical investigations as an examiner, consultant, or as an advisory group member for a clinical research team; 6) Pursuit and completion of appropriate certification by specialty boards or other clinical organizations; and 7) Invitations to lecture or to be a visiting professor at another institution.

Clinical faculty members may also develop independent research capacity as demonstrated by submission of grant applications and success in attaining funding. Involvement in production of quality scholarly publications is another key measure of academic ability. Publication in referred journals gives evidence of successful effort. Both publications and grant submissions will reflect an attempt to establish an independent research program. Books, book chapters, and review articles are scholarly products that will be weighed appropriately in any evaluation process. Patents and software programs will also be viewed as scholarly endeavors. Invited presentations at national, regional and international meetings as well as scientific abstracts will also be viewed as positive contributions.

Service may include but not be limited to: 1) Contribution to patient care as documented by Departmental and/or interdepartmental assessment by peers; 2) Documentation of the time spent in the preclinical or clinical care setting and value of clinical services provided; 3) Professional contributions to Department, School, University and professional societies and committees; and 4) Professional service to community organizations. The overall service commitment, and the balance between internal School and external commitments, will be made in consultation with the Division Director and Department Chair. Clinical Faculty members in a clinical department frequently carry significant service responsibilities in support of the teaching program. These responsibilities will receive appropriate recognition in the evaluation process.

B. Associate Clinical Professor

Promotion to Associate Clinical Professor should be based on clear evidence that the faculty member will productively contribute to the missions of the Department and the School of Dentistry throughout their career at the School of Dentistry.

Promotion to Associate Clinical Professor is reserved for individuals who have an acknowledged record of:

C. Clinical Professor

Clinical professor is the highest Clinical Faculty rank attainable, and is reserved for those individuals who demonstrate superior achievement in their field. Promotion to Clinical Professor will be based on evidence of advanced scholarship and maturity in teaching, research, and service to the University, local, national and international community.

Promotion to Clinical Professor is reserved for individuals who have an acknowledged record of:

Clinical faculty may be appointed to an initial term of one, two or three years. Reappointment requires Departmental review of the faculty member's performance, a written recommendation by the Department Chair, and approval of the Dean.

During the final year of an appointment, or when a promotion is applied for, the candidate will undergo a comprehensive Departmental review with input from external constituents. If promotion is not requested, the review will be administered by the Department Chair. If promotion is requested, the review will also be conducted by the Clinical Faculty promotion committee based upon a written recommendation by the Department Chair. With a positive review, and approval by the Dean, the faculty member will receive a reappointment of between one and five years. Non-renewal for changed economic circumstances or any condition of not continuing the program may only occur at the conclusion of an appointment, and must carry the appropriate notice.

The School of Dentistry complies with the Academic Professionals and Administrative Staff Policies and Procedures (10/15/90). The Dean of the School of Dentistry will be the final approver on all Clinical Faculty promotions.

V. Promotion of Part-Time, Adjunct Faculty

Individuals holding clinical non-regular faculty appointments usually have as their sole activity teaching and/or discipline-related patient service and, as such, are eligible for promotion but not for tenure. Promotion of faculty holding part time Clinical Instructor, Clinical Assistant Professor, and Clinical Associate Professor appointments will be based solely on the quality of their contributions to the teaching program.

A. Criteria for Promotion of Part-Time Non-Regular Faculty Holding Clinical Appointments

Clinical non-regular faculty members are not expected to participate in research or service activities; therefore, the minimal criterion for promotion of individuals holding part-time clinical faculty appointments is the quality of contributions to the teaching program. Additional consideration for promotion will be given to those holding clinical appointments who satisfy the following teaching criteria and who also participate in the department's research, discipline-related service, or other service activities.

Promotion is reserved for those who demonstrate:

1. clinical expertise and teaching effectiveness as rated by peers, students, division directors, and the department chair. Primarily, such instruction is the one-to-one patient care instruction/supervision that occurs in the clinics or instruction in the preclinical laboratories; however, consideration will be given for all teaching efforts including lectures, participation in course development or administration, and the presentation of continuing education/outreach programs;

2. a commitment to the teaching program as is evidenced by a continuum of punctuality and availability to students during clinic sessions, and their participation in departmental meetings as appropriate;

3. maintenance and upgrading (as appropriate) of clinical and teaching expertise by attending professional training and/or continuing education courses.

Division directors will maintain dialogue with part-time faculty to both mentor and identify candidates for promotion. Department faculty will review the list of adjunct faculty working in each of their divisions to recommend individual consideration for promotion. Division Directors will discuss the process for promotion and the contents of the required dossier with the candidate. Additionally, the Division Director will review the timeline with interested adjunct faculty members. The usual length of the time in rank for nomination for promotion is four to six years except in extenuating circumstances.

Documentation for Part Time Faculty Promotion will consist of:

1. individuals' CV;

2. supporting letter(s) from the Division Director and Department Chair including the results of departmental vote;

3. student evaluations;

4. where appropriate, documentation of lectures given or participation in research;

5. List of professional training and/or continuing education courses attended, or given.

Promotion is reserved for candidates meeting the following:

In addition to the requirements for promotion to Assistant Clinical Professor, promotion to Associate Clinical Professor is reserved for candidates who:

In addition to the requirements for promotion to Associate Clinical Professor, promotion is reserved for candidates who:

Restorative Sciences 7.12 Statement 3/22/2006

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