Table of Contents:

Information About Faculty Appointments, Promotion, Tenure, Evaluation, and Non-reappointment
Academic Tracks
Assignment of Tracks
Track Switching
What is Tenure?
What does Tenure guarantee?
Who is a Candidate for Tenure?
Probationary Period
Extension of the Maximum Probationary Period
The Promotion and Tenure Process
Nomination for Promotion and Tenure
Requirements for Promotion
Definition of Excellence for Clinical Practitioners
Faculty Appointments
Evaluation of Faculty
Non-Reappointment of Faculty
Members of the Promotion and Tenure Committee      

Information About Faculty Appointments, Promotion, Tenure, Evaluation, and Non-reappointment

One of the more important tasks for any faculty is the appointment and promotion of its members. Selection and retention of superb faculty members will determine the future of UT Southwestern. Our policies for appointment, promotion, and retention of faculty are designed to foster excellence in all of our missions.
 
Successful promotion and, if appropriate, awarding of tenure begin with the faculty member and his/her department chair or center director having a thorough understanding of the academic track on which he/she is appointed to the faculty and  the specific criteria for promotion on that track. At the time of initial appointment, the faculty member and his/her chair/director should review together the written criteria for advancement on the appropriate track. This review should be repeated annually at the time of evaluation such that the faculty member and his/her chair/director can determine if appropriate progress toward promotion is being made or if the faculty member's activities have changed sufficiently to merit a change in track. If substantial changes in a faculty member's responsibilities have occurred or if there is an expectation that changes will occur during the next academic year, a change of academic track may be warranted. 

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Academic Tracks

There are four academic tracks at UT Southwestern:

Clinical Scholar
Clinician
Research
Tenure-accruing

The academic tracks recognize differences in the distribution of a faculty member's major effort and thereby align the focus of activity with expectations and opportunity for recognition and advancement. The tracks also permit alignment of individual effort with activities of particular importance to a Department or Center. Regardless of how effort is distributed, the benchmark for promotion of an individual is excellence in his/her major areas of endeavor.

In general: the tenure-accruing or tenure track is for individuals who spend most of their time directing and conducting original research; the research track is for individuals who predominantly do research but who do not have "ownership" of an independent research program; the clinical scholar track is for individuals whose efforts are balanced between the conduct of original research or other scholarly activity and clinical practice; the clinician track is for individuals who spend almost all of their time in clinical practice. Serious commitment to teaching is expected of all faculty members, although it is recognized that some individuals on the research track will have little opportunity to teach.

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Assignment of Tracks

Selection of the correct academic track is essential. The duties and responsibilities of the faculty member (specifically, the amount of time protected from clinical and administrative duties and thus expectations for scholarly productivity and teaching) are the determinants for track selection. Expectations as well as the processes of evaluation should be clearly defined at the time of appointment. As noted above, progress towards advancement and appropriateness of track should be reviewed annually at the time of faculty evaluation by the department chair or center director.

Track Switching

Changes in an individual's job description that are thought to be permanent require consideration of a change in track.  However, a faculty member's failure to meet performance standards is insufficient reason to request a change of track unless there is a concomitant change in the individual's duties and responsibilities. 

Faculty members whose track has been changed are not eligible for promotion for at least three years after the change has occurred. This is justified by the need to evaluate performance in a new job description. This policy is also designed to encourage timely consideration of changes in track.

Recommendations of changes of track must be made by the department chair or center director to the dean and acknowledged by the faculty member.

Individuals on the tenure-accruing track may, upon the recommendation of the department chair or center director and the approval of the dean, seek an appointment on another track. However, such requests should be made within the first few years of appointment; they will be approved only under exceptional circumstances if the tenure clock is near expiration (see Probationary Period, below).

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What is Tenure?

The University of Texas Southwestern Medical Center recognizes the time-honored practice of tenure for certain university faculty as an important protection of free inquiry, open intellectual and scientific debate, and unfettered criticism of the accepted body of knowledge. Tenure is valuable not merely for the protection of individual faculty members but also as an assurance to society that the pursuit of truth and knowledge commands our first priority. Without freedom to question, there can be no freedom to learn.

Academic tenure is a status accorded to members of the faculty who have demonstrated excellence in their contributions to and/or dissemination of new knowledge. It denotes a status of continuing appointment as a member of the faculty. Conferral of tenure constitutes recognition by the University that the faculty member is ranked among the most worthy in his or her field.

What does Tenure Guarantee?

This question is asked frequently, and misconceptions abound. A tenured faculty member can only be terminated for good cause shown in accordance with the procedures of the Regents' Rules and Regulations. Such causes include, but are not limited to, incompetency, gross immorality, felonious behavior, and academic misconduct. Procedures for termination must include a list of specific charges by the president, through the dean, and an opportunity for a hearing before a faculty tribunal. The burden of proof is on UT Southwestern and the rights of the faculty member to due process and academic freedom are protected.

A faculty member's current salary is not guaranteed by tenure. Poor performance, appropriately evaluated, or failure to secure necessary extramural support for salary (e.g., from grants or clinical earnings) may justify reduction of salary and/or reduction of annual appointment time to nine months. However, annual compensation rate will not be reduced below the core rate stated in the annual appointment letter, and core salary will not be reduced from one year to another.

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Who is a Candidate for Tenure?

Faculty members on the tenure-accruing, clinical scholar, and clinician tracks may be awarded tenure, although different policies apply to each of these situations. Faculty on the research track must switch to the tenure-accruing track to be eligible for tenure. All recommendations for tenure will be reviewed by the Promotions and Tenure Committee.

For faculty on the tenure-accruing track, tenure is usually awarded at the time of promotion to associate professor, although this is not required. Individuals on this track must achieve tenure during an eight-year probationary period (see below). It is implicit in this policy that people given large amounts of protected time and valuable resources such as laboratory space must succeed in the stated period of time or the resources utilized to support them must be freed so that others may have a similar opportunity.

Individuals on the clinical scholar track may only be considered for tenure at the time of promotion to professor or at a later date after they have achieved the rank of professor.  Tenure may be awarded to professors on the clinician track who have truly extraordinary skills and a reputation as one of those rare physicians whose excellence transcends the boundaries of outstanding clinical skills. In addition, teaching or research contributions (or both) must be sustained at an excellent level over a long period of time.

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Probationary Period

Policies about the probationary period of service apply only to faculty who are appointed on the tenure-accruing track.

Tenure may be withheld on initial appointment to any rank pending satisfactory completion of a probationary period of faculty service not to exceed eight years of full-time academic service. No later than August 31 of the penultimate (seventh) academic year, all nontenured faculty on the tenure-accruing track (and thus accruing time toward satisfaction of the probationary period) shall be given notice that the subsequent academic year will be the terminal year of employment (unless tenure is granted during the eighth academic year).

For purposes of calculating the period of probationary service, an "academic year" is the period from September 1 through the following August 31. If a faculty member is first appointed during an academic year, the probationary period begins on the following September 1.

A faculty member does not have a right to be reappointed for the maximum probationary period. A decision not to reappoint a tenure-track faculty member can result from an evaluation indicating that progress toward tenure is not satisfactory. The Regents' Rules define the advance notification that must be given before non-reappointment.

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Extension of the Maximum Probationary Period

Only full-time academic service counts toward fulfillment of the probationary period. Periods during which a faculty member is on any kind of leave of absence do not count toward fulfillment of the probationary period. Time spent during appointment to an administrative or other non-academic position within UT Southwestern also does not count. When probationary time resumes, it is cumulative with such time spent before a leave or non-academic assignment. Prior service at other academic institutions does not count toward fulfillment of probationary service.

A faculty member who determines that certain personal circumstances impede his or her progress toward demonstrating suitability for tenure may make a written request for extension of the probationary period, specifying the reason(s) for the request.  Personal circumstances that may justify the extension include, but are not restricted to, disability or illness of the faculty member; status of the faculty member as a principal caregiver of a preschool child; or status of the faculty member as a principal caregiver of a disabled, elderly, or ill member of the family of the faculty member.  It is the responsibility of the faculty member to justify the request and provide appropriate documentation.

A request for extension must be limited to one academic year, although a request for an additional year's extension may be made, following the established process. The maximum duration of extension, whether consecutive or nonconsecutive, is two academic years.

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The Promotion and Tenure Process

Each year in the fall, the dean of Southwestern Medical School requests nominations from the department chairs and center directors of faculty members whose accomplishments warrant consideration for promotion. Nominations are prepared by the department chair/center director in conjunction with the faculty member and are submitted electronically throughout the remainder of the calendar year. The dean reviews the nominees and forwards to the chair of the Promotions and Tenure Committee the supporting materials for those found appropriate for consideration. The Promotion and Tenure Committee meets weekly from November until all nominees have been reviewed (usually the late spring). Recommendations of the Promotion and Tenure Committee are made to the dean immediately after the candidate has been reviewed. The dean then notifies the department chair/center director as to whether he concurs with the Committee's recommendation and whether he will recommend promotion of the individual to the Board of Regents of the University of Texas. Approval by the Board of Regents is the final step in the promotion and tenure process. Changes in the faculty member's academic rank and/or tenure status become effective at the beginning of the next academic year (September 1).

Nomination for Promotion and Tenure

The following are the core components of the material that is provided to the Promotion and Tenure Committee:

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Requirements for Promotion

I.     Tenure-Accruing Track

A.    Basic Scientists (including those in clinical departments): Promotion to Associate Professor

Basic scientists on this track are expected to spend the majority of their time in research and teaching activities. Promotion to the rank of associate professor with tenure requires that the following criteria be met:

1. Research. The candidate's research must be excellent. The candidate must have established a national reputation as an independent research scientist as evidenced by multiple publications in well-respected and peer-reviewed journals, receipt of competitive grants from national agencies, and delivery of seminars at universities and national meetings. Additional scholarly activities that will substantiate candidacy for promotion include publication of chapters in well-known textbooks, editorship of respected books, membership on editorial boards of highly respected journals, and/or membership on peer review committees.
   
2. Teaching. The candidate must participate actively in the teaching missions of the institution and be an excellent educator. Participation includes delivery of didactic lectures; laboratory instruction of students, fellows, and/or faculty; service on dissertation and oral examination committees; participation in small group teaching, journal clubs, or other regularly scheduled teaching/training conferences; and/or administrative work related to courses (director/organizer).
   
3. Other Activities. The candidate must be an excellent citizen within the UT Southwestern community. Citizenship may take the form of organizing departmental seminar series, participation in training grants, hosting outside speakers, and/or service on essential committees or review panels.  

 B.    Clinical Scientists: Promotion to Associate Professor

Clinical scientists on the tenure track are expected to spend a majority of their time in research and teaching activities. Board certification in a designated area of clinical expertise is expected, as is a reputation for clinical excellence.  Promotion to the rank of Associate Professor with tenure requires that the following criteria be met:

1. Research. The candidate's research must be excellent. The candidate must have established a national reputation as an independent researcher as evidenced by multiple publications in well-respected and peer-reviewed journals, receipt of competitive grants from national agencies, and delivery of seminars at universities and national meetings. Research may be basic, clinical, or translational, but it must be original, significant, and sustained. Candidacy can also be supported by other scholarly activities such as review service for scientific journals and/or membership on national review or advisory panels.
   
2. Teaching. The candidate must participate actively in the teaching mission of the institution and be an excellent educator. Participation includes delivery of didactic lectures; laboratory and/or clinical instruction of students, house staff, fellows, and/or faculty; participation in small group and ward teaching; administrative work related to courses (director/organizer); and/or active participation in one or more Grand Round series.
   
3. Clinical Practice. The candidate must be an excellent practitioner. 
   
4. Other Activities. The candidate must be an excellent citizen within the UT Southwestern community.

 C.    Basic and Clinical Scientists: Promotion to Professor

Promotion to the rank of Professor on the Tenure Track requires that the candidate meet the aforementioned criteria, have maintained scholarly productivity as an associate professor, and have a national/international reputation for scholarly excellence.  He/she should be considered to be a leader in his/her field.  Evidence of leadership includes frequent invitations to speak at national meetings and well-respected institutions, participation in important scientific review groups, and/or leadership in national or international professional societies/organizations.  The candidate is expected to have brought prestige and honor to UT Southwestern.  The candidate must be an excellent citizen, both by contributing to the necessary functions of the school and by acting as an effective mentor of students, residents, fellows, and/or junior faculty.  The candidate is expected to have brought prestige and honor to UT Southwestern.

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II.     Clinical Scholar Track

A.    Promotion to Associate Professor

B.    Promotion to Professor

Promotion to the rank of professor on the clinical scholar track requires that the candidate (a) meet the aforementioned criteria, with sustained productivity as an associate professor; and (b) have an excellent national/international reputation among peers. The candidate is expected to have brought prestige and honor to UT Southwestern. 

C.    Tenure on the Clinical Scholar Track

Tenure on the clinical scholar track can be awarded only at the level of professor. To be granted tenure on the clinical scholar track, the candidate must have a national reputation among peers. He/she should be considered to be a leader in the field, as reflected, for example, by (a) participation in important scientific review groups [NIH study sections, VA Merit Review Boards, American Heart Association review panels, etc]; (b) a leadership position in national or international professional societies/organizations, including major educational organizations (e.g., specialty board examination committees, residency review committees, etc); (c) significant participation/leadership in the acquisition of extramural funding; and/or (d) participation on panels or committees charged with the responsibility of writing important guidelines or consensus documents. Through activities at the national or international level, the candidate is expected to have brought prestige and honor to UT Southwestern. The candidate is expected to have demonstrated good citizenship at UT Southwestern. Finally, he/she is expected to have functioned as an effective mentor of students, residents, fellows, and/or junior faculty.

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III.    Clinician Track

A.    Promotion to Associate Professor

B.    Promotion to Professor

Promotion to professor on the clinician track requires that the candidate meet the above criteria over a sustained period of time. The successful individual will be a highly respected and expert clinician in the area of expertise. Contributions to teaching and/or research also must be sustained.

C.    Tenure on the Clinician Track

Tenure may be awarded to individuals on the clinician track who have truly extraordinary skills and a reputation as one of those rare physicians whose excellence transcends the boundaries of outstanding clinical skills. In addition, teaching or research contributions (or both) must be at a sustained level of excellence over a long period of time. The candidate is expected to have brought prestige and honor to UT Southwestern. 

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IV.    Research Track

A.   Promotion to Associate Professor

Candidates for promotion on the research track are expected to spend the great majority of their time in research-related activities as an investigator and/or coordinator/director of a basic science or clinical research program. The program may be independent of or in conjunction with other faculty members at UT Southwestern.

The candidate must have an established a national reputation as a research scientist as evidenced by (a) a sustained publication record in well-respected, peer-reviewed journals; (b) receipt of competitive grants from national agencies (as an independent or co-investigator); (c) delivery of seminars outside the institution; (d) oral presentations at national meetings; and/or (e) review service for scientific journals or panels. In addition, the candidate’s suitability for promotion would be enhanced by participation in the teaching missions of the institution, including (a) laboratory instruction of students, fellows, and/or faculty; (b) delivery of didactic lectures; (c) participation in small group teaching; and (d) participation in journal clubs.

B.    Promotion to Professor

Promotion to the rank of professor on the research track requires that the candidate meet the aforementioned criteria and have a national reputation for scholarly excellence.  He/she should be considered to be a leader in his/her field.  Evidence of leadership includes frequent invitations to speak at national meetings or other well-respected institutions, participation in important scientific review groups, and/or leadership in national/international professional societies/organizations.  The candidate is expected to have brought prestige and honor to UT Southwestern.

It is not possible to receive tenure on the research track.

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Definition of Excellence for Clinical Practitioners

To be considered an excellent clinician, a faculty member should achieve excellence in the six competencies developed by the ACGME. UT Southwestern clinicians should strive to be judged to be excellent in all six areas. In doing so, they should serve as role models for medical students, residents, fellows, and colleagues.

It is important to distinguish between a "marker" of excellence and a "criterion" for promotion. The term "marker" refers to an attribute that may be used to judge excellence in basic competencies of clinical practice. In contrast, a "criterion" refers to a standard of excellence in clinical practice that must be met or surpassed.

The competencies are listed alphabetically, and the markers for excellence are listed numerically for each competency.

A. Patient care that is compassionate, appropriate, and effective for the treatment of health problems and the promotion of health.

1) Strong local reputation among faculty and trainees for clinical excellence and service to patients (e.g., would be comfortable with candidate being physician for evaluator, family and loved ones).

2) Candidate is a recognized referral source in his/her area of expertise locally and regionally.

B. Medical knowledge about established and evolving biomedical, clinical, and cognate (e.g., epidemiological and social behavioral) sciences, as well as application of this knowledge to patient care.

1) Demonstrates "cutting-edge" technologies and knowledge in area of expertise; effectively transmits these new concepts to trainees.

2) Effective teacher of residents, students, other trainees, and colleagues.

3) Participates in clinical research programs.  This may include enrolling patients into clinical trials, analyzing clinical-pathological material, and contributing to design and analysis.

4) Demonstrates involvement in transmitting clinical knowledge through participation in lectures, postgraduate courses, and symposia.

5) Transmits new information as an author or co-author.

C. Practice-based learning and improvement that involves the investigation and evaluation of patient care, the appraisal and assimilation of scientific evidence, and improvements in patient care.

1) Demonstrates excellence in clinical outcomes.

2) High level of patient satisfaction.

3) Strong approval of referring physicians.

D. Interpersonal and communication skills that result in the effective exchange of information and collaboration with patients, their families, and other health professionals.

1) Demonstrates excellence in ability to communicate effectively with other health care professionals.

2) Demonstrates excellence in educating and counseling patients and families.

E. Professionalism, as manifested through a commitment to fulfilling professional responsibilities, adhering to ethical principles, and showing sensitivity to patients of diverse backgrounds.

1) Maintains high standards of ethical behavior.

2) Demonstrates exemplary sensitivity to age, gender, and culture of patients and other health care professionals.

F. Systems-based practice, as manifested by actions that demonstrate an awareness of and responsiveness to the larger context and system of health care, as well as the ability to call effectively on other resources in the system to provide optimal health care.

1) Participates actively in local clinical practice committees; demonstrates leadership in these committees. Examples of such committees include Pharmacy and Therapeutics Committees, Credentials Committees, Quality Improvement Committees, and Blood Bank Committees, Outcomes Assessment Committees, Audit Committees, etc.

2) Develops a reputation for delivering high quality, cost-effective patient care.

3) Collaborates well with other specialists and other health care professionals in overall patient management.

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Faculty Appointments

Appointments to positions below the level of associate professor require the approval of the dean of Southwestern Medical School.

Appointments made at the level of associate professor or above also require the approval of the dean of Southwestern Medical School but are first reviewed by an ad hoc subcommittee of the Promotions and Tenure Committee. A nomination package must be prepared by the department chair or center director to facilitate evaluation by the subcommittee; this package should be equivalent in every way to the dossier assembled for faculty promotion. The nomination must be given to the committee at least four weeks before the intended time of appointment.

Any letter of understanding between a chair or center director and a prospective faculty member should state clearly that the appointment being proposed is contingent on the approval of the dean of Southwestern Medical School and that the candidate's suitability for the position will be evaluated by the Promotions and Tenure Committee if appointment is proposed at the rank of associate professor or above.

These policies apply to all appointments of full-time faculty members and to part-time appointments at the level of 25% or above.

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Evaluation of Faculty

Faculty members are evaluated annually. There is written documentation of this evaluation and it must be acknowledged (signed) by the faculty member. Specific aspects of performance are rated and then summarized in an overall conclusion. Two important questions are part of the overall evaluation:

• Is the faculty member making appropriate progress toward promotion (if applicable)?
• Is the track to which the faculty member is assigned the appropriate one?

Periodic (every five years) evaluation of tenured faculty is integrated with the annual evaluation to form a single comprehensive faculty development and evaluation process. This evaluation is carried out by the department chair or center director, who reviews a resumé and other relevant documents prepared by the faculty member. The results of the evaluation are conveyed to the dean, and the dean's conclusions are sent to the faculty member, the department chair/center director, and the president. This evaluation should be used to recognize and reward outstanding accomplishments or to remediate unsatisfactory performance.

Non-Reappointment of Faculty

Appointments are generally made through August 31 of each year (or, for nine-month appointments, through May 31). However, appointments that terminate on other dates are also allowed.

Notice of intention not to reappoint a nontenured faculty member on the tenure-accruing track must be given not later than March 1 of the first academic year of probationary service. Such notice must be given not later than December 15 of the second year of probationary service. Notice must be given not later than August 31 that the subsequent year will be the terminal year of appointment if the faculty member has served for two or more academic years.

A non-tenured faculty member on a non-tenure-accuring track who is not going to be reappointed will generally be given notice of non-reappointment on the following schedule:

• 3 months prior to the end of employment if the faculty member has performed less than 2 years of service
• 6 months prior to the end of employment if the faculty member has performed less than 5 years of service
• 1 year prior to the end of employment if the faculty member has performed more than 5 years of service

A research-track faculty member who is funded solely by support to a principal investigator who has decided to leave the University or who has lost funding necessary to pay the salary of the faculty member is not subject to specific guidelines regarding timelines for prior notification. Nevertheless, reasonable notice of termination (e.g., 3 months) will be given whenever possible. Similar notice should also be provided to assistant instructors and faculty associates.

The general guidelines noted above for notification of non-reappointment will not necessarily be followed in conditions of financial exigency, although every effort will be made to provide adequate notice. Similarly, financial exigency may require mid-year adjustments of salary or, in extreme cases, termination.

If a non-tenured faculty member's appointment is through a date other than August 31 of a given year, it is presumed that reappointment will not occur; however, mid-year requests for reappointment can be considered by the dean under special circumstances.

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Members of the Promotion and Tenure Committee

Members of the Promotions and Tenure Committee are professors and they are not department chairs or the directors of autonomous research centers.

Current members of the committee are as follows:

David Hillis, M.D., Chair; Internal Medicine
Michel Baum, M.D.; Pediatrics
Patrick Clagett, M.D.; Surgery
Jonathan Cohen, Ph.D.; Internal Medicine
Donald Hilgemann, Ph.D.; Physiology
Peter Igarashi, M.D.; Internal Medicine
Robin Jarrett, Ph.D.; Psychiatry
Michael Jessen, M.D.; Cardiovascular & Thoracic Surgery
Jane Johnson, Ph.D.; Center for Basic Neuroscience
Steven Kliewer, Ph.D.; Molecular Biology
Kenneth Leveno, M.D.; Obstetrics and Gynecology
Craig Malloy, M.D.; Advanced Imaging Research Center
Paul Mohl, M.D.; Psychiatry
Margaret Phillips, Ph.D.; Pharmacology
Gary Purdue, M.D.; Surgery
Gary Reed, M.D.; Internal Medicine
John Rush, M.D.; Clinical Sciences
David Russell, Ph.D.; Molecular Genetics
Arthur Sagalowsky, M.D.; Urology
Barry Schwarz, M.D.; Obstetrics and Gynecology
Philip Shaul, Ph.D.; Pediatrics
William Snyder, M.D.; Surgery
Stuart Spechler, M.D.; Internal Medicine
Diane Twickler, M.D.; Radiology
Sally Ward, Ph.D.; Immunology
Charles Whitten, M.D.; Anesthesiology & Pain Management
Naomi Winick, M.D.; Pediatrics
Woodring Wright, Ph.D.; Cell Biology
Helen Yin, Ph.D.; Physiology

Melanie Cobb, Ph.D.; ex officio, Dean, Southwestern Graduate School of Biomedical Sciences

Alfred Gilman, M.D., Ph.D.; ex officio. Executive Vice President for Academic Affairs and Provost; Dean, UT Southwestern Medical School

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Implemented October 6, 2005
(revised January 10, 2006)
(revised September 5, 2007)