Guidelines for Establishing and Filling Positions in the Research Title Series
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Appointment and Promotion in the Research Title Series
A. Introduction
B. Definition
C. Establishment of a Position
D. Areas of Activity
E. Academic Ranks, Titles, and Criteria
F. Performance Evaluation
G. Promotion Criteria and Considerations for Research Faculty
H. Eligibility for Promotion
I. Procedure for Promotion
J. Terms and Continuation of Appointment
K. Dismissal
L. Noncontinuation of Appointment
M. Graduate Faculty
N. Conditions of Employment
O. University Membership
The research title series is a professional series for appointment of appropriately qualified individuals who contribute to the university's academic mission by participation in projects which (1) predominantly involve research, (2) are of contractually specified duration, and (3) operate under contracts, grants, generated income, or other designated funds.
Criteria for appointment, performance review and promotion in the research title series are included herein. Appointment, review, and promotion in the research title series require demonstrated ability to initiate and maintain a program of research supported by contracts, grants, generated income, or other designated funds. Employment as an Associate Research Professor and Research Professor requires evidence of prior or current success as a Principal Investigator or Co-Principal Investigator of research grants. Contract, grant, generated income, or other designated funds are expected to cover salaries and costs of benefits for the research titled individual, operating expenses, equipment and overhead. Appointees in the research title series are not eligible for tenure or de facto tenure.
All research title series positions are one year contracts that may be renewed annually, but not to exceed the period of funding from the contract, grant, generated income, or other designated funds. All appointees in the research title series will have annual, written employment contracts.
Appointees in the research title series are considered to be independent investigators and are under the supervision of the department head/chair or unit head. They are eligible for all benefits except tenure, de facto tenure, and professional improvement leave. The department or unit must assure that space and facilities are available for conducting research as appropriate for an independent investigator. Research title series positions are not to be considered a substitute for post-doctoral positions or a means to extend post-doctoral appointment beyond university time limits for post-doctoral appointments.
To establish a position in the research title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding for the program of research, (2) prepare a job description and identify any space that is needed for the performance of research; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the Provost. The proposal shall be transmitted to Dean of the college/school by the department head/chair or unit head with his/her indication of faculty approval for establishment of the position. The hiring of research faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions/requirements of the contract, grant, generated income, or other designated funds. Joint appointments require the approval of all Deans involved.
Procedures for promotion in the research title series will be specified by each department and criteria must be approved by the college/school and the Provost Office. Promotion decisions must correspond to the annual deadlines approved by the Provost's Office and be reported to the Provost's Office accordingly.
I. Appointment and Promotion in the Research Title Series
In its role as a comprehensive research institution, Auburn University has a need to continuously expand its pool of scientists, engineers, specially trained investigators, and other highly qualified personnel who are not part of the tenure-track system to meet responsibilities in research, especially those responsibilities related to projects which the institution operates under contracts, grants or other designated funds. To fulfill these requirements more effectively and to be more competitive in attracting and retaining needed professional personnel, a research title series for appointments and promotions without tenure is established as hereafter defined and described.
The research title series is a professional series for appointment and promotion of appropriately qualified individuals who participate in the University's mission by participation in projects which (1) predominantly involve research, (2) are of contractually specified duration, and (3) operate under contracts, grants, generated income, or other designated funds. Designated funds are defined as:
- Generated income
- Contracts or grants funds either from external or internal sources
- Cost sharing funds
- Funds from indirect cost recoveries
- Funds from the OVPR
- Endowment funds
- Gift funds
- Funds from operating budgets of individual units currently designated for non-tenure track personnel with appropriate salary increases and market value for new hires
- Discretionary funds under the control of deans and directors, that are designated for research
A faculty member on appointment in the research title series shall not have any regularly scheduled teaching or service assignments. Interim appointment and payment of salary from funds other than those associated with contracts, grants, and other designated funds may occur, with approval of the Provost, when there is a gap of six months or less between approved contracts, grants, or other sources of designated funds.
However, in such circumstances, the appointee's assignment shall be consistent with the duties which the individual had and will be expected to continue under a program for research which is supported from contracts, grants, or other designated funds.
To establish a position in the research title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding for the program of research, (2) prepare a job description and identify any space that is needed for the performance of research; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the Provost. The proposal shall be transmitted to Dean of the college/school by the department head/chair or unit head with his/her indication of faculty approval for establishment of the position. The hiring of research faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions of the contract, grant or other designated funds. Joint appointments require the approval of all Deans involved.
Four areas of activity are important in the evaluation of individuals for appointment, performance review, and promotion in the research title series: (1) documented evidence of research; (2) national and international professional status and activity as indicated by evaluation statements from external peers; (3) ability to initiate and maintain a program of research supported by contracts, grants, generated income, or other designated funds. Guidelines relative to the first two areas of activity are described in the Faculty Handbook Chapter 3; guidelines for the third area of activity are well-established in that the contract, grant, or other source of designated funds should cover salaries and costs of benefits for personnel, operating expenses, equipment, and overhead.
Initial appointments are made as the result of normal recruitment procedures. Departments and units have some leeway in establishing the search procedures most appropriate for their particular circumstances. The department or unit might act as a committee of the whole or smaller screening committees might be used; a recommendation by a search committee might be transmitted to the department or unit as a whole for further consideration and transmittal to the department head or unit head or it might be transmitted directly to the department head or unit head. Whatever the procedure, it should be established in advance of need by the department or unit as a whole. The department head or unit head, in consultation with his or her faculty, should decide upon the positions needed and the qualifications a successful candidate must have. Together they should develop a position description to be supplied to the candidates. The appointment of an internal candidate to fill a vacancy is a temporary solution and shall neither foreclose nor delay a national search to fill the originally vacated position. The internal candidate may subsequently compete in the national search.
The department head or unit head and the search committee shall be guided by the Provost Office and the Affirmative Action Office in framing an advertisement for the position, in seeking permission to advertise, and in recommending an appointment. Guidelines from the Affirmative Action Office help ensure compliance with federal law and help ensure an open and fair search.
When making recommendations for appointments in the research title series except those designated as temporary, the department head or unit head shall confer with all available members of the department holding professorial ranks or, if the unit does not include professorial faculty, with those faculty holding continuing appointments. He or she shall then transmit a written summary of the reactions of these faculty members, including a formal vote, along with appointment forms through the appropriate dean and/or director, to the Provost. Where the faculty members do not concur in an initial appointment, the head may submit a recommendation for appointment with his or her justification and a report of non-concurrence of the faculty. An appointment made without the support of the faculty may jeopardize the new hire since the faculty will ultimately vote on promotion.
The doctorate is the terminal degree for most disciplines represented at Auburn University. Requests for exceptions must be presented with appropriate justification by the department head, with faculty concurrence, and the dean to the Provost. The appointment cannot be made without the approval in writing of the Provost Office.
Each initial appointment must be confirmed by the appropriate department head/unit head or dean in a written notice to the appointee after proper administrative approvals have been obtained. This letter constitutes the faculty member's written terms of the initial employment.
The academic ranks and related titles in the research title series shall be: (1) assistant research professor; (2) associate research professor and (3) research professor. Although it is not feasible to specify exact criteria for evaluating the credentials of an individual for appointment or promotion to any one particular rank in the research title series, the following statements are provided as guidelines.
1. Assistant Research Professor
Assistant Research Professor is the usual entry-level rank for a candidate who has completed the appropriate terminal degree (usually a doctorate) or has the equivalent in training, ability, and experience and meets appropriate credentialing requirements. While a terminal degree or the equivalent is required, an appointee is not required to have a minimum number of years in research service to be eligible for the rank of assistant research professor.
Appointment to the rank of assistant research professor shall be made when it has been determined that the individual (1) has a current independent capability for conducting reliable research supported through contracts, grants, or other designated funds, (2) has a potential for significant professional growth in the field of research, and (3) holds the terminal academic degree appropriate to the field.
2. Associate Research Professor
Associate Research Professor is a rank of distinction which is attained through successful performance of assigned duties. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent in training, ability, and experience and meets appropriate credentialing requirements.
A candidate for associate research professor should have demonstrated mastery of the subject matter in his/her field and the ability to apply it well in his/her research work. Additionally, the candidate should have contributed, typically through significant work, to his/her area of specialization and participated in professional activities.
Criteria for promotion to associate research professor are specific to each department, according to approved guidelines, and must be approved by the Provost's Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost's Office and reported to the Provost's Office accordingly. As the Chief Academic Officer of Auburn University, the Provost retains the right to review all proposed promotions and act appropriately.
Appointment or promotion to the rank of associate research professor shall be made only after documented indication of continuous improvement and contribution by the individual in research activity supported through contracts, grants, generated income, or other designated funds. Successful efforts in obtaining extramural support for research work must be demonstrated.
3. Research Professor
Research Professor is a rank requiring professional peer-recognition of the individual as an authority in his/her field of specialization. A candidate must be recognized by associates as a researcher. It is, therefore, expected that peers within and outside the University will attest to the candidate's high professional standing. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent in training, ability, and experience and meets appropriate credentialing requirements.
Criteria for promotion to research professor are specific to each department, according to approved guidelines, and must be approved by the Provost's Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost's Office and reported to the Provost's Office accordingly. As the Chief Academic Officer of Auburn University, the Provost retains the right to review all proposed promotions and act appropriately.
All department heads/chairs and unit heads, such as center and institute directors, shall conduct at least one yearly review before May 31 with each research track faculty member to evaluate his/her performance and to discuss his/her future development. For the review, the research faculty member will provide a current vita and any supporting material the head/chair or unit head or the research faculty member deems appropriate.
In the case of research faculty members who have not achieved promotion to associate research professor or research professor, particular care shall be taken by the department head/chair or unit head to relate the faculty member's job performance to the promotion criteria. Significant achievements or deficiencies which might enhance or impede the candidate's progress toward higher academic rank shall be noted.
The head/chair or unit head shall prepare a written report covering the major points of the conference. A copy of the report shall be provided to the research faculty member within a month of the conference. The research faculty member shall be asked to sign it as confirmation of having seen it. If the research faculty member does not agree with material in the report, he/she may write a response to be appended to the report. One copy of the signed report and response, if there is one, is to be retained for the research faculty member's departmental personnel file and copied to the Office of the Provost; another copy is to be given to the research faculty member. This report is to remain confidential, available only for the use of the concerned research faculty member and any University officials who have supervisory responsibility over the research faculty member.
Each department head/chair or unit head shall conduct a third year review of all its assistant research professors. As with the annual review, the head/chair or unit head shall request a current vita and any supporting material the head/chair or unit head or the research faculty member deems appropriate prior to the third year review. The particular focus of this review is the research faculty member's progress toward achieving promotion. The review, therefore, must address the specific departmental/college/school criteria for promotion. The head/chair or unit head shall prepare a written report covering the findings of the review.
G. Promotion Criteria and Considerations for Research Faculty
A research faculty member is focused on research work and has the obligation to contribute to his/her discipline through applied and/or basic research. To a large extent, each discipline and each department must determine how much and what quality of research work is appropriate for promotion and judge its candidates accordingly.
There is no fixed requirement for years of service at a given rank before a research faculty member can be promoted. A research faculty member on leave without pay cannot be a candidate for promotion while on leave.
Promotion will be specific for each department and criteria must be approved by the Dean and Provost's Office. Promotion decisions will be determined by the specific department, department head/chair and the dean of the respective college or school. As the Chief Academic Officer of Auburn University, the Provost retains the right to review all proposed promotions and act appropriately.
Although it has been the custom of the University for faculty appointments to be continued by mutual commitment and understanding rather than by formal contracts, research faculty will be appointed with written contracts. The following principles outline the policy on continuation of the contract for research faculty members.
All research title series positions are one year contracts that may be renewed annually or, if for a lesser period of time, the period of funding from the contract, grant, generated funds, or other designated funds. Renewal is contingent upon funding being available and upon performance.
The initial letter of appointment should clearly define the length of the appointment, benefits, and duties/responsibilities. The offer letter should make clear that continuation of appointment is subject to the availability of funds, the need for services, and satisfactory performance. Language that speaks to continuation beyond the initial appointment should include specific conditions. For example, the research grant or contract from which the research faculty is to be paid may be for multiple years, but rarely is funding for subsequent years guaranteed. Letters containing promises not consistent with the research title procedures are not enforceable unless authorized in writing by the President of Auburn University.
Termination of a research faculty member during the contract term shall be effected by the University only for lack of research funding, or adequate cause, including but not limited to lack of collegiality and unprofessional research behavior. If termination during the contract term is for other than for lack of funding, then the Faculty Handbook (Chapter 3) provides that "Rights of due process shall also apply to a non-tenured faculty member dismissed before completion of his or her contractual term." Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.
The contractual period for faculty in the research title series is 12 months and the university retains the right to continue or noncontinue a faculty member in the research series. If a research faculty member whose contract is not to be renewed so requests, he or she shall be provided with a written statement of reason why the contract is not to be renewed. In order to insure that noncontinuation is not used to restrain faculty members in their exercise of academic freedom, an employee in the research title series is afforded the opportunity to appeal his/her noncontinuation using the same procedure as provided in the Faculty Handbook for tenure track faculty members who are given letters of non continuation or by following the Scientific Misconduct Policy as outlined in the Faculty Handbook.
A faculty member on appointment in the research title series may be proposed, recommended, and approved for membership in the Graduate Faculty as provided in the Faculty Handbook. If an appointee in the research title series is approved for membership, the individual's participation as a member of the Graduate Faculty shall be limited to directing graduate theses and dissertations and to serving on committees appointed by the Dean of the Graduate School taking into consideration their other assignments.
A faculty member on appointment in the research title series is eligible for benefits as provided in the Faculty Handbook or other applicable University policies, except tenure, de facto tenure, and professional improvement leave. University contributions toward retirement, social security, annual and sick leave, and insurance benefits for the faculty member shall be covered through the contract, grant, or other designated funds which provide support for the individual's position. Except as otherwise specifically provided herein, research series faculty are otherwise subject to all then existing University policies and procedures.
A research faculty member shall be eligible to vote on all faculty matters, including faculty appointment and promotion but not on tenure. A research faculty member may vote on and/or be elected the department's representative in the University Senate.
If the appointment of a faculty member is changed from the research title series to tenure track faculty through normal, faculty approved, tenure track hiring, years of service while on appointment in the research title series will be treated as full-time service in a faculty rank at another institution, as described in the faculty handbook in Chapter 3.
Approved by Tim Boosinger, Interim Provost and Vice President for Academic Affairs
Revised September 23, 2011
Approved by William V. Muse, President
January 19, 1999
Last Updated: October 6, 2011