Procedures for Research Faculty Appointment, Review and Promotion

These operating procedures supplement the policy on Research Faculty Appointment and Promotion (VI.F.8). Refer to the policy for applicable definitions and contact information.

Date Issued: July 1, 2023

AUTHORIZATION TO ESTABLISH RESEARCH FACULTY POSITIONS

1. Requests for the establishment of Research Faculty positions normally originate within one of two units: a college (including departments/schools and centers/institutes housed in colleges) that reports to a dean or a Discovery Park District (DPD) center/institute that reports to the Executive Vice President for Research. Prior to posting an open Research Faculty position, the college or DPD center/institute seeking to establish the position(s) must obtain authorization in accordance with these procedures. Joint appointments across colleges and DPD are possible.
   
2. Colleges that will be the hiring unit must establish and document a uniform set of guidelines for Research Faculty positions in all departments/schools and centers/institutes within the college. The following aspects, as appropriate to the unit, must be included in the documentation:
   1. 1. General requirements for appointment of Research Faculty (educational background, professional expertise, etc.). Appointment processes must follow appointment processes for tenure-track/tenured faculty.
      2. Guidelines for annual review, reappointment and promotion. The academic home department/school of the Research Faculty member must be identified, and the Primary Committee of this unit conducts promotion reviews. Promotion guidelines and criteria must include descriptions of expectations for promotion to different ranks for Research Faculty in the unit in conjunction with the Provost Promotion and Tenure Guidelines (as amended or superseded).
      3. A mentoring plan and description of how mentors/mentorship teams are selected for the Research Faculty.
      4. Unit voting privileges.
      5. Documentation of support for and viability of the position, including financial support.
      6. Other unit-specific guidelines or considerations, including eligibility for college/school/department awards and internal resources (e.g., PRF travel awards and grants).
   All guidelines and requirements must be consistent with university policy VI.F.8 and these procedures. In the case of an inconsistency, policy VI.F.8 and these procedures prevail.
3. DPD must establish and document a uniform set of guidelines for all Research Faculty positions within DPD centers/institutes. The following aspects, as appropriate, must be included in the documentation:
   1. 1. General requirements for appointment of Research Faculty (educational background, professional expertise, etc.). Appointment processes must follow appointment processes for tenure-track/tenured faculty.
      2. Guidelines for annual review, reappointment, and promotion. The DPD center/institute home of the Research Faculty member must be identified, and the Primary Committee of this unit conducts promotion reviews. Promotion guidelines and criteria must include descriptions of expectations for promotion to different ranks for Research Faculty in the unit in conjunction with the Provost Promotion and Tenure Guidelines (as amended or superseded).
      3. A mentoring plan and description of how mentors/mentorship teams are selected for the Research Faculty.
      4. Unit voting privileges.
      5. Documentation of support for and viability of the position, including financial support.
      6. Other unit-specific guidelines or considerations, including eligibility for DPD awards and internal resources (e.g., PRF travel awards and grants).
      7. DPD centers/institutes may establish a formal relationship with a degree-granting unit (college/school/department) that serves as the academic home for the Research Faculty member. When such relationships are established, all fiscal responsibility for these Research Faculty remains with the DPD center/institute in which the individual is appointed.
   All guidelines and requirements must be consistent with university policy VI.F.8 and these procedures. In the case of an inconsistency, the policy IV.F.8 and these procedures prevail.
   
4. Once all involved units have documented the above, the hiring unit may request approval to post the position(s) as follows:
   1. Requests from academic units must have approval by the department/school head and dean. Requests from college/school-based centers must also have approval by the center/institute director.
   2. Requests from DPD centers/institutes reporting to the EVPR must have approval by the DPD center/institute director and the Vice President for DPD.
   3. All appointment requests on the West Lafayette campus must be approved by the Executive Vice President for Research (EVPR). All requests on Regional Campuses must be approved by the Vice Chancellor for Academic Affairs then approved by the Chancellor.

CANDIDATE SEARCH

1. Once all approvals outlined above have been obtained for the establishment of a Research Faculty position(s), the dean or VP for DPD may authorize a search. The normal search and screen processes in place for tenure-track and tenured faculty hires will be used for Research Faculty hires.
   
2. If a non-degree granting unit (DPD center/institute) wishes to establish a formal relationship with a degree-granting academic unit for a particular Research Faculty appointment in their DPD center/institute, the relationship should be established and documented by the center/institute’s director prior to the search process so the academic unit may participate in that process.
   
3. Search Waivers. The creation of a Research Faculty position may sometimes be associated initially with specific extramural funding, the participation of a specific individual, recruitment packages for senior faculty, dual career hires and other special circumstances. In these cases, to appoint a previously identified individual to a Research Faculty position that is not the result of a competitive search, the hiring unit must request and receive approval for a search waiver in accordance with the procedures for faculty position search waivers on its campus.

APPOINTMENT OF RESEARCH FACULTY

1. The following conditions must be met for all Research Faculty appointments:
   1. Appointments may be either academic-year or fiscal-year. Part-time appointments are allowed, with a minimum appointment of 0.50 FTE.
   2. Appointments are renewable and each appointment period may not exceed three years. Renewed appointments are contingent upon the availability of funds and must not exceed the duration of awarded funding. Renewed appointments are also contingent upon satisfactory performance evaluations.
   3. An incumbent may not hold a tenure-track and a Research Faculty position simultaneously.
   4. An incumbent may hold Research Faculty appointments in multiple units if the appointments do not exceed a total of 1 FTE.
   5. Research Faculty may not be designated as visiting faculty.
2. The prior approval requirements for appointments of tenure-track/tenured faculty apply to appointments of Research Faculty. The appointment date cannot pre-date the final approval. Final approval on the West Lafayette campus is granted by the EVPR. Final approval on the Fort Wayne and Northwest campuses is granted by the Chancellor.
   
3. With appropriate approval, deans or the VP for DPD may extend offers to potential Research Faculty. College and DPD guidelines for authorization to extend offers also must be followed. Hiring units must use the university’s template contract offer letter for Research Faculty positions.

REVIEW AND PROMOTION

1. Annual Merit Review. Research Faculty are eligible for annual merit increases, as stated in policy VI.F.8. Determination of merit increases is based on the annual merit review. Research Faculty appointed in a college undergo annual merit reviews in their academic home unit in the same timeframe and following the same procedures and processes that are used for the annual merit reviews of tenure-track and tenured faculty in that unit. Research Faculty appointed in DPD centers/institutes are reviewed by the VP for DPD following receipt of recommendations by the hiring unit. For Research Faculty who are jointly appointed in a DPD center/institute and an academic unit, the hiring unit should seek input from the department head or center/institute director of the affiliated unit.
   
2. Promotion Review. Research Faculty are not subject to the probationary periods that are applicable to tenure-track faculty. Nevertheless, similar to tenure-track and tenured faculty, Research Faculty are eligible for promotion in rank from assistant research professor to associate research professor to research professor. Research Faculty whose appointments temporarily fall below 0.50 FTE are not eligible for promotion in rank until their appointment increases to at least 0.50 FTE. Criteria for promotion are similar to those for tenure-track and tenured faculty, but with singular focus on research accomplishment. The guidelines and requirements outlined by the unit when the position was established also are referenced to provide guidance for promotion reviews. General criteria for Research Faculty promotion on all campuses are contained in the Provost’s annual memo on promotion.
   
3. Review and Promotion Process
   1. Research Faculty at the assistant professor or associate professor rank must be reviewed every six years for promotion. The year of initial appointment is counted as year one. They may be reviewed prior to the mandatory six-year review at the request of the individual Research Faculty member and/or the appointing unit. During the spring semester, the Office of the EVPR (West Lafayette) and the Office of the VCAA (Fort Wayne and Northwest) notifies each appropriate unit head of the Research Faculty members in their units who will complete their sixth year during that academic year and are thus required to undergo promotion review. If a Research Faculty member is being formally reviewed for promotion prior to the required six-year review, the Office of the EVPR (West Lafayette) or the Office of the VCAA (Fort Wayne and Northwest) should be notified.
   2. Research Faculty promotion documents are reviewed by the Primary Committee in their home unit during the annual faculty promotion cycle. External letters of evaluation are required as part of the promotion packet for Research Faculty. Research Faculty who are appointed jointly between academic units and DPD centers/institutes should have included in their dossier a letter of support from the DPD center/institute director or department/school head of the unit in which they hold a minority appointment.
   3. If a majority of the Primary Committee votes in favor of promotion, the results are forwarded to the Area Committee, which reviews and votes on the case following the same rules and procedures as for tenure-track/tenured faculty cases. A positive vote by the Area Committee is forwarded for consideration by the Campus Promotions Committee (Panel C for West Lafayette). The chair of the Primary or Area Committee may endorse a candidate who does not receive a majority vote and send a nomination forward to the next level with a statement providing a rationale for the divergence from the committee. Following the outcome of the review by the Campus Promotions Committee, recommendations on the Fort Wayne and Northwest campuses are forwarded to the Chancellor for review. Recommendations from the Chancellor and from Panel C are forwarded to the Provost. The Provost provides the EVPR a list of Research Faculty being forwarded to the Board of Trustees for approval of an elevation in rank.
   4. Research Faculty members who receive a positive vote for promotion at the Primary Committee, but fail to be endorsed at the Area Committee or Campus Promotions Committee/Panel C, are retained in their current rank. Failure at the Primary Committee level also may result in retention in rank. In the case of retention in rank, the department/school head or DPD center/institute director documents this result and specifies a new six-year clock for review. The dean or VP for DPD reviews the documentation and may approve the new review period. The dean or VP for DPD communicates the final result in writing to the faculty member and to the Chancellor (Fort Wayne and Northwest) or Provost and EVPR (West Lafayette).
4. Promotion Committee Composition
   1. Research Faculty appointed in colleges are reviewed for promotion by the Primary and Area Committees of their academic home unit, augmented as follows:
      1. At least one Research Faculty member at the rank of professor within the appropriate discipline serves on the Primary and Area Committees when Research Faculty are considered for promotion to professor.
      2. At least one Research Faculty member at the associate professor or professor level within the appropriate discipline serves on the Primary and Area Committees when Research Faculty are considered for promotion to associate professor.
      3. When the minimum number of Research Faculty is not available in the candidate’s department for the Primary Committee, the chair of the Area Committee to which the Primary Committee reports appoints a Research Faculty member of another department, following consultation with the appropriate department head. In cases where no appropriate Research Faculty at the associate professor or professor level are employed on the campus considering the case for promotion, the standing Primary or Area Committees conducts the review.
   2. Research Faculty appointed in DPD centers/institutes are reviewed for promotion by Primary and Area Committees structured as follows:
      1. The Primary Committee for a DPD center/institute is chaired by the director of the DPD center/institute, who serves as a non-voting member unless the number of members on the committee is less than seven. Membership is comprised of all Research Faculty of higher rank in the respective DPD center/institute. The committee must consist of at least five Research Faculty at the associate or professor ranks for cases of promotion to the Associate Research Professor rank, and five Research Faculty at the professor rank for cases of promotion to the Research Professor rank. When this minimum number of Research Faculty is not available in the candidate’s DPD center/institute, additional Research Faculty or tenured faculty of higher rank are appointed by the chair of the Area Committee to which the Primary Committee reports, following consultation with the appropriate DPD center/institute director.
      2. The Area Committee for a DPD center/institute is chaired by the EVPR or VP for DPD, who serves as a non-voting member. The committee must consist of at least five voting members. Membership of the DPD Area Committee is comprised of 1) each DPD center/institute director with a Research Faculty member being considered for promotion, and 2) Research Faculty members at the rank of professor, including those from the centers/institutes with a Research Faculty member being considered for promotion. Each DPD center/institute will vote to select their Research Professor nominee to represent them on the Area Committee. The Chair of the Area Committee will select an additional Research Faculty member from the center nominees so that the number of Research Faculty on the Area Committee exceeds the number of DPD center/institute directors by one. When this minimum number of Research Faculty is not available in DPD, additional Research Faculty or tenured professors are appointed by the chair of the Area Committee so that the number of professors on the committee exceeds the number of DPD center/institute directors by one.

HISTORY AND UPDATES

July 1, 2023: Procedures separated from the policy. Updates allow Research Faculty positions to be established in either a college or a DPD center/institute. Both are required to have a uniform set of guidelines for Research Faculty and requirements for each are outlined. Clarified required approvals for establishing positions and for promotions based on hiring unit type. Updated search waiver process. Added section on Budgeting and Charging. Updated review and promotion section to better align with tenured faculty review process and eliminate ad hoc committees.