Editor's
notes:
POLICY TITLE:
DATE OF ISSUANCE: This policy was originally issued by the Office of the
President on March 6, 1987 as Organization Announcement No. 313. It appears in the
current issue of the Faculty Handbook. This policy was most recently updated on
October 23, 2009.
ACCOUNTABLE DEPARTMENT/UNIT: Office of the Provost.
Questions about policy content should be directed to the provost, ext. 8-6684.
ABSTRACT: Research Faculty positions resemble regular faculty
positions in regard to research-related responsibility. Due to the external
nature of funding, these positions do not carry eligibility for tenure.
MISC: See also:
- Appointment
and Tenure Policy
- Teaching
Track Appointments
- Librarian
and Archivist Appointments
- Special
Faculty Appointments
- Policy
on Faculty Consulting
Policy on Research
Faculty Appointments
Concept and Scope
Among the full-time professional positions in research at Carnegie Mellon
University that are fully supported from sources external to the university, it
is proper to make particular provision for those that most clearly resemble
regular faculty positions in regard to responsibility in designing, carrying
out and managing research -- including service as principal investigator when
appropriate -- quality of publications, supervision of research students,
recognition inside and outside of the university, professional activities and
active participation in the continuing effort to improve departments, colleges
and the university. The main distinction between this group of positions and
the regular faculty, stemming from the external nature of the sources of
funding and the constraints these impose, is that these positions do not carry
eligibility for tenure. Moreover, holders of these positions are not generally
obligated to teach regular courses; a more intensive participation is expected
of them, however, in the management of research projects.
The holders of the positions thus distinguished shall be called, for the
purposes of this policy, the research faculty.
The breadth of responsibilities in initiating, carrying out, and managing
research and in performing their other academic activities distinguishes the
research faculty from other professional positions in research, also funded
from external sources, that call for qualified persons to perform more specific
professional duties, normally pertaining to a specified research project and
its management. These latter positions calling for more limited initiative and
breadth, shall continue to be subject to the provisions of the Policy on Special Faculty Appointments
(appointments of category (B) under that policy), as shall those of an
ultimately non-renewable, post-doctoral or visiting nature (category (A) under
the same policy).
The similarity of the required involvement of the research faculty and the
regular faculty in providing the basis for the university's quality and
legitimate reputation carries with it: (1) the obligation to scrutinize the
appointments and reappointments to research faculty positions with the same
care and with the same fundamental principles and procedures as those
pertaining to the regular faculty (the eligibility for tenure excepted),
including evaluation at the university-wide level; (2) the requirement that all
research faculty positions be established in academic departments or the
Robotics Institute; and (3) the conferring on the research faculty of the same
benefits as on the regular faculty, as specified herein.
The research faculty, within the meaning of this policy, consists of persons
with the ranks of Assistant
Research Professor, Associate Research Professor, and Research Professor. These designations are specific to
research faculty positions, and may not be used for any other positions in the
university. For the purpose of the application of pertinent provisions of the Appointment and Tenure Policy, as specified below, these
ranks shall be regarded as equivalent to those of assistant professor,
associate professor, and professor, respectively. The holders of these ranks
shall enjoy the same faculty benefits and perquisites as do the holders of
equivalent ranks in the regular faculty, viz., those specified in the section
on Faculty Benefits in the Faculty Handbook.
Appointments
All research faculty positions shall be established in academic departments
or the Robotics Institute. The making of every appointment in the research
faculty (including reappointment, with or without promotion, whether preceded
by an evaluation or not), and the specification of its term and compensation
require a proposal by the head of the department, a recommendation by the dean,
and the approval of the president, who may delegate this function to a provost.
The department head's proposal shall specify the manner of funding, whether
from resources administered by the department or not, and the president or his
designee shall not approve an appointment unless he is satisfied that
appropriate funding will be available during the entire term of the appointment
and reasonably satisfied that it will continue to be available through the term
in which the next evaluation would be required. The president or his designee
shall also review every decision to let an appointment (other than a terminal
appointment required to satisfy the provisions of this policy for timely
notice) lapse at the expiration of its term.
Every appointment (including reappointment, with or without promotion) to a
position in the research faculty shall be for a term of one year (with the exception
of a terminal appointment, as mentioned). In the rank of Assistant Research
Professor, no reappointment without promotion (other than a terminal
appointment) may be made if it would extend the holding of that rank beyond six
years. All reappointments and promotions in the research faculty are subject to
the substantive and procedural provisions of this policy.
When an appointment or reappointment (with or without promotion) is made, it
is the responsibility of the department head, the dean, and the provost to
ensure that the appointee is given clear and full information in writing
concerning the terms, functions, and duties of the appointment, including the
applicable university and college policies. No oral commitments supplementing
written information shall be made or recognized.
During the term of their appointment, holders of research faculty positions
are subject to, and protected by, the same university policies concerning academic freedom and dismissal for cause as are regular but untenured
faculty members.
Reappointment and promotion in the research faculty are governed by the
contributions the candidate has made or may be expected to make to the university's
excellence, as well as by the maintenance of the funded research program under
which the appointment was made or its replacement by an appropriate substitute
program. All decisions on promotion, as well as the other decisions on
reappointment described below, shall therefore be preceded by a full and
thorough evaluation, to be carried out according to the criteria and procedures
specified in this policy. A decision to promote may be made at any time during
a term of appointment, and the consequent appointment at the higher rank, if
accepted, shall supersede the current term.
A decision on a reappointment in the same rank shall necessarily be based on
an evaluation, as referred to above, whenever the reappointment would first
extend the term beyond a) three years from an original appointment in that
rank; or b) in the rank of Associate Research Professor, three years from
promotion to this rank or six years from the reappointment in this rank
following the latest evaluation; or c) in the rank of Research Professor, six
years from promotion to this rank, or from the reappointment to this rank
following the latest evaluation.
When the decision on a reappointment does not require an evaluation under
the preceding provisions, a decision to let the appointment (other than a
terminal appointment) lapse at the expiration of its term may be made only for
reasons of unavailability of funding from the research program under which the
appointment was made or from an appropriate substitute program.
Timely notice shall be given of every decision not to reappoint a member of
the research faculty or to let an appointment (other than a terminal
appointment) lapse. Notice is timely if given one year before the expiration of
the term of appointment. In order to comply with this provision, it may be
necessary to extend a term by an additional appointment of up to one year,
designated as a terminal appointment, the decision not to reappoint or to let
the appointment lapse nothwithstanding.
Evaluation
Introduction
Evaluation for appointment, reappointment, and promotion in the research
faculty is aimed at determining the contributions the candidate has made and
may be expected to make to the university's excellence. All involved should
recognize that the final decision resulting from the evaluation is partly
subjective. Each affirmative decision is an indication to the individual that
the faculty and the administration feel that the candidate's overall progress
to that point has been outstanding. Each appointment, reappointment, or
promotion does not, however, guarantee future reappointments or promotions. In
addition, those qualified for advancement may be denied reappointment or
promotion because of the unavailability of suitable funding or, following
evaluation, because their talents and interests do not sufficiently fulfill the
needs and promote the goals and priorities of the university.
Criteria
The criteria for evaluation are primarily those in the category of research,
scholarly or artistic activities. The specific designation of activities which
relate to these general criteria may vary among different colleges and schools
of the university, each in accordance with its promotion document. The level of
competence and achievement in this category required for appointment,
reappointment, or promotion at the ranks of Associate Research Professor and
Research Professor is described below.
Research, scholarly or artistic activities are those which lead to the
production of new knowledge; to increased problem-solving capabilities,
including such activities as design and analysis; to original critical or
historical theory and interpretation; or to the production of art or artistic
performance.
To be promoted, a research faculty member must also demonstrate competence
in teaching and educational activities, i.e., in disseminating the knowledge of
his or her field. Typically this will be accomplished by supervising graduate
and post-doctoral research, development of educational programs and educational
publications. If a research faculty member has accepted teaching assignments,
then the teaching performance in these assignments must be evaluated in
reappointment or promotion actions.
Research faculty members may also carry on professional activities that
should be considered for evaluation: e.g., professional practice, consulting,
public service, service in technical and professional societies and
associations, and editorial work on professional journals. Insofar as such
activities either contribute to or are an extension of: teaching and
educational activities; or research, scholarly, or artistic activities; they
should be considered as they are applicable under those two categories.
In addition to all of the above, it is expected that each research faculty
member, just as every faculty member, will make his or her contribution to the
campus, such as service on committees, participation in campus activities, etc.
A candidate for initial appointment or promotion to the rank of Research
Professor should be very well established in his or her field. The candidate
should be a recognized leader with outstanding contributions and a national or
international reputation. Evaluation for reappointment at this rank should
confirm continued growth in leadership and reputation. An evaluation of
reappointment in the rank of Associate Research Professor should show that the
leadership and reputation required for the rank of Research Professor are at
least firmly in the process of becoming established. A candidate for initial
appointment or promotion to the rank of Associate Research Professor should
have a record of accomplishment indicating a clear promise of leadership that
in due time will be sufficiently established to deserve promotion to the rank
of Research Professor.
Procedures and
Other Provisions
All provisions of the Appointment and Tenure Policy of
Carnegie Mellon University shall be applicable mutatis mutandis to the
research faculty, with the exception of those that refer to the granting of
tenure, those that describe criteria for evaluation, and any others that
conflict with the provisions of the present policy. In case of conflict, the
provisions of the present policy shall prevail.
In the process of evaluation of candidates for reappointment or promotion in
the research faculty, as well as for initial appointment to the rank of
Associate Research Professor or Research Professor, the cognizant
university committee shall be:
- the University Committee on
Non-Tenured Appointments, for all evaluations for reappointment at the
rank of Assistant Research Professor; and for initial appointment or
promotion to the rank of Asssociate Research
Professor;
- the University Committee on
Tenured Appointments for all evaluations for reappointment at the rank of
Associate Research Professor and for initial appointment or promotion to,
or reappointment at, the rank of Research Professor.
Each college or school desiring to have members of the research faculty
shall promptly incorporate into its promotion and tenure document the
appropriate provisions, which shall conform to the provisions of this policy,
but shall otherwise agree as closely as possible, within the characteristics of
the research faculty, to the document's provisions regarding regular faculty.
In particular, research faculty candidates for reappointment or promotion must
be evaluated at the college level by the same committee(s) evaluating regular
faculty candidates. Committees evaluating research faculty candidates for
reappointment or promotion in the Robotics Institute shall consist of regular
faculty members. Pending such incorporation and its approval by the university,
the provisions of the existing promotion and tenure document of the college or
school shall be applied insofar as they do not conflict with the present
policy, and in particular excluding all reference to the granting of tenure.
