STATE UNIVERSITY OF NEW YORK -- STATE COLLEGE OF OPTOMETRY
COMMITTEE ON PROFESSIONAL QUALIFICATIONS (CPQ) POLICY DOCUMENT

--

COMMITTEE ON PROFESSIONAL QUALIFICATIONS (CPQ) POLICY DOCUMENT


Approved by the Faculty:  17 June 2010
Endorsed by the College Council:  8 June 2010
Approved by the President:  28 June 2010Effective: July 1, 2010

COMMITTEE ON PROFESSIONAL QUALIFICATIONS (CPQ) POLICY DOCUMENT

This CPQ Policy Document has been developed in accordance with the Policies of the Board of Trustees and the contract between United University Professions and the State of New York. Subsequent changes to either of those documents will take precedence over this CPQ Policy Document.

Confidentiality of Proceedings
Proceedings of the Committee are highly confidential. All documents should be carefully secured in the Office for Academic Affairs and all conversations, deliberations and interviews are to be strictly held as confidential by all members of the Committee. Under no circumstances may individual committee members divulge, relate or reveal discussions, voting patterns or recommendations to anyone outside the Committee. Reports and recommendations to the President and Vice President and Dean of Academic Affairs (hereafter referred to as “Dean” or “VPAA”). Dean shall be made solely by the Chair in writing.

Secretarial and Clerical Support
The Dean’s and/or President’s Office shall provide secretarial and clerical support to CPQ. Support functions may include contacting references, scheduling of meetings and preparing candidate portfolios to be sent out for review.

General Criteria for Promotion and Awarding of Tenure
The criteria for promotion and awarding of tenure shall be scholarship, teaching, and service. All faculty members, whether tenured/tenure earning or non-tenure earning, full-time or part-time, will be evaluated based on these criteria. The expectations for each, however, may vary according to the department to which the faculty member is assigned and the specific negotiated written responsibilities of the faculty member. External letters of recommendations are required for promotion and tenure reviews. While past achievements and potential for continuing productivity both are considerations for promotion in rank and the granting of tenure, the potential for continuing productivity is of particular importance in considerations of tenure.

Initial Appointment
A faculty member shall be hired in a tenured/tenure earning or non-tenure earning (qualified rank) position. Subsequent transfer, after initial hire, from a tenured/tenure earning position to a qualified rank position or from a qualified rank position to a tenured/tenure earning position requires written approval of the president upon recommendation of the dean. Only in exceptional cases will a faculty member in a tenured/tenure earning position, who is denied tenure, be subsequently offered a qualified position. Whenever such transfers are allowed from a tenure-track position to a qualified rank position or vice versa, individual ranks will be renegotiated between the President, Dean and the faculty member. For example, a change from Clinical Associate Professor does not necessarily translate to a rank of Associate Professor.

Standards to be Applied in Considerations of Promotion and Tenure
The expectations for performance in the areas of scholarship, teaching and service will be negotiated in writing at the time of hire and will reflect the expectations for promotion as described in the CPQ policies. The expectations may be changed at a later point upon written approval of the primary supervisor and dean. It is expected that a faculty member’s academic assignments and responsibilities will reflect the negotiated emphasis and the expectations for promotion as defined by CPR policy.

Continuing Appointment (Tenure)
The SUNY Chancellor, after considering the recommendation of the President, may grant continuing appointment. The awarding of continuing appointment (tenure) is governed by the SUNY Policies of the Board of Trustees (Article XI, Appointment of Employees). At SUNY State College of Optometry, full-time faculty members holding non-qualified ranks of Associate Professor and Professor may be considered for continuing appointment. Promotion to Associate Professor and the granting of tenure may occur concurrently. Only in exceptional cases will a faculty member be awarded tenure at initial appointment, and in such cases the candidate will be reviewed by CPQ prior to the awarding of tenure according to the criteria set forth in this document.

Faculty members are generally considered for promotion from Assistant Professor to Associate Professor after five years of service. A full-time faculty member may hold an appointment of Assistant Professor for no more than seven years, and further employment at SUNY State College of Optometry must be at the rank of Associate Professor (with or without tenure). Employment as Professor or Associate Professor at SUNY State College of Optometry after the third consecutive year of employment at such rank must be on the basis of continuing appointment. While a non-tenured Associate Professor must be reviewed for tenure and/or promotion after one year in service at such rank, a tenured Associate Professor will generally be reviewed for promotion to Professor after five years at such rank.

Leaves of Absence
For those faculty members who are on a tenure track and whose time in a rank is limited by Board of Trustee Policies, an official leave of absence, approved by the President, shall “stop the clock” during the duration of the leave of absence. The duration of the leave shall be specified in the approval letter.  Such leave of absence may be requested per College policy in relation to personal or family illness, pregnancy, child care, or other circumstances.  Leaves may be requested for full or part-time faculty.

Initiating the Review Process
The time-line for the review of tenure-track and tenured faculty is discussed above under Continuing Appointment (Tenure). Faculty members holding qualified academic ranks (Clinical Instructor, Assistant Clinical Professor, Associate Clinical Professor and Clinical Professor or Research Instructor, Assistant Research Professor, Associate Research Professor and Research Professor) may be considered for promotion after completion of five years at his/her current rank and only in exceptional circumstances may be considered earlier. After consultation with his/her primary supervisor, the candidate may request, in writing, a formal review by CPQ. A candidate may initiate a review without the support of their primary supervisor. This request, which the candidate is to send to the chair of CPQ with copies to his/her primary supervisor and the dean, should state the rank/status the candidate is seeking.

To be considered for a change in rank/status to be effective July 1 of the following year, a written request must be received by CPQ no later than September 1. A faculty member may be reviewed only once during an academic/fiscal year (July 1 – June 30).

In the circumstance where continuation in a current rank will not be permissible as dictated by the policies of the Board of Trustees, the dean shall contact CPQ to initiate a review in time sufficient for issuance of a terminal contract in the event such a contract is warranted. For continuing appointment, the review process should be initiated by the administration prior to the sixth year of service for an assistant professor and prior to the second year of service for professor and associate professors.

After receiving a request for review and determining that the faculty member is eligible for review, CPQ will request additional information from the candidate (see Portfolio to be Prepared by the Candidate). CPQ will request information from the primary supervisor regarding the candidate’s assignments (e.g., workload distribution, job description) and the expectations that should applied to each review criteria. The primary supervisor will be asked to write a letter assessing the candidate’s qualifications for promotion in the areas of teaching, scholarship and service and will be interviewed by CPQ.

Portfolio to be Prepared by the Candidate
It is incumbent upon the candidate to present a compelling case for promotion/tenure. For each of the three principal criteria (scholarship/research, teaching and service), the candidate shall prepare a narrative describing his/her goals and accomplishments. These narratives must cite supporting documents (e.g., papers, grants, teaching materials, etc.) that are included in the candidate’s portfolio. A candidate may also submit additional supporting materials of which relevance will be made by CPQ. A copy of the candidate’s most recent curriculum vitae must be included with the portfolio.  Completed portfolios are due no later than November 1.

Conflict of Interest
If a member of CPQ does not believe that he/she can conduct an impartial review of a candidate’s qualifications for promotion and/or tenure, he/she shall inform the chair of CPQ and the dean and recuse themselves from the review of the candidate. If a candidate believes that a member of CPQ cannot impartially review his/her qualifications for promotion and/or tenure, he/she should notify the dean prior to requesting a formal review by CPQ. In the event that more than one member of CPQ cannot participate due to a conflict of interest, the dean and CPQ will collaboratively select one or more alternate members to review the candidacy under consideration. Any alternative members must meet the eligibility requirements for CPQ as given in the Faculty Bylaws.

Letters of Reference
All considerations of promotion and tenure require external review by individuals who are not members of the faculty or staff at SUNY Optometry. The candidate shall nominate directly to CPQ potential references who can speak to their qualifications for tenure/promotion. Faculty members with tenured/tenure-earning appointments shall nominate to CPQ at least five individuals all of whom are at a faculty rank equal to or higher than that aspired to by the candidate.   Non-tenure track faculty members shall nominate to CPQ at least three individuals. At least two of these nominated individuals must hold faculty rank with one of these holding a rank equal to or higher than aspired to by the candidate.

CPQ will solicit letters of references from at least three individuals taking into account the candidates recommendations, but shall not be bound by the candidate’s recommendations. A cover letter similar to that in Appendix A, which specifies the rank under consideration, will be sent to the references along with the Curriculum Vitae, self-assessment narrative, other relevant information and the CPQ Policy Document (that includes criteria for promotion).   All letters of references shall be sent directly to the chair of CPQ and included in the recommendation to the dean. CPQ may, at its discretion, request additional information from, confer and/or meet with references or other qualified individuals to assess a candidate’s qualifications for promotion and/or tenure. Funds, reasonable to this purpose, shall be made available by the Office for Academic Affairs to carry forth this function.

In addition to the letters of reference that shall be solicited by CPQ, the candidate may request individuals to send letters of recommendations directly to CPQ. It is the candidate’s responsibility to ensure that all these letters of recommendation are received by CPQ in a timely manner. At the time the candidate submits recommendations for letters of reference, he/she may also suggest individuals, both internal and external to SUNY Optometry, with whom he/she would like the committee to meet. CPQ may meet with these individuals at its discretion.

Recommendations Made by CPQ
CPQ will make a written recommendation directly to the dean. This recommendation will take the form of a letter that addresses the candidate’s performance in each of three review criteria and will be accompanied by all supporting documents. Performance in each area will be rated as excellent, good, acceptable or not satisfactory. Voting by CPQ shall be by closed ballet. In its recommendation, which shall be signed by each of the committee members, the vote tally shall be included. CPQ’s letter to the dean, but not letters of reference/recommendation, shall be shared with the candidate.

The Dean is not bound by the recommendations of CPQ and has a duty to perform an independent analysis of the candidate’s credentials and potential for future success. The Dean makes his own recommendation to the President and forwards both recommendations to the President for consideration. The President has unfettered discretion in his review to accept or reject recommendations.

CPQ shall meet at least annually with the Dean and President to present its recommendations and/or discuss policy issues.

Departments of Biological and Vision Sciences: Criteria for Promotion and Tenure
The Departments of Biological and Vision Sciences shall be constituted of faculty members with both tenured/tenure earning and non-tenure earning appointments. The ranks for the tenured/tenure earning positions are Assistant Professor, Associate Professor and Professor. For non-tenure earning positions, the ranks are Research Instructor, Assistant Research Professor, Associate Research Professor and Research Professor

Promotion and the awarding of tenure within the Departments of Biological and Vision Sciences requires excellent performance in teaching and scholarship and at least good performance in service unless otherwise agreed to in writing by the primary supervisor and dean. Scholarship for these departments shall be defined as the quality and quantity of original research (basic or clinical). The expectations for scholarship shall increase as the amount of a faculty member’s effort assigned to this area increases. Promotion to the rank of professor requires demonstration of national and/or international leadership.

Supporting Documentation: Departments of Biological and Vision Sciences

  • Scholarship
    • Narrative that describes the candidate’s research/scholarly interests and activities, discusses her/his contributions and their impact and cites, as appropriate, accompanying supporting documents including, but not limited to: 
      • Evidence of substantial and sustainable external funding to support individual research program
      • Quality of research publications as indicated by impact factor and prestige of journals in which publications appear and number of citations
      • Quality of traditionally published research monographs and chapters
      • Quantity of research publications
      • Invited talks
      • Quality of scientific work as assessed by outside, independent reviews
      • Recognition in the form of national and international awards and honors
      • Securing patents that lead to production
  • Teaching
    • Self-assessment that includes teaching philosophy and objectives and cites, as appropriate, accompanying supporting documents including, but not limited to: 
      • Quality of course materials (including syllabi, handouts and examinations within the professional OD program, the MS degree program and/or the PhD program)
      • Supervision of PhD/ MS students and post-doctoral fellows
      • Placement of graduate students and post-doctoral fellows
  • Peer-evaluation of teaching
      • Quality and impact of traditionally published textbooks and textbook chapters
      • Student performance on standardized examinations (e.g., NBEO)
      • Quality and effectiveness of innovations in teaching and creative teaching methods
      • Awards/honors for teaching/educational leadership
      • Student feedback (e.g., student surveys)

 

  • Service (Professional, Public and University)
    • Self-assessment in which the candidate distinguishes between active service that demonstrates self-initiative, active participation and tangible outcomes and passive service and cites, as appropriate, accompanying supporting documents including, but not limited to: 
      • Leadership roles
      • Committee service
      • Departmental service
      • Membership on grant reviewing study sections
      • Service as journal referee
      • Service as journal editor
      • Service to professional organizations and associations (international, national, state, local)
      • Service on the National Board of Examiners in Optometry
      • Awards/honors

Department of Clinical Sciences: Criteria for Promotion and Tenure
The Department of Clinical Sciences shall be constituted of faculty members with both tenured/tenure earning and non-tenure earning appointments. The ranks for the tenured/tenure earning positions are Assistant Professor, Associate Professor and Professor. For non-tenure earning appointments, the ranks are Clinical Instructor, Assistant Clinical Professor, Associate Clinical Professor and Clinical Professor. While scholarship, teaching and service shall be the criteria for promotion for all faculty members in the Department of Clinical Sciences, scholarship will typically be more heavily emphasized for faculty members who hold tenured/tenure earning appointments. Teaching shall be defined as educational activities that occur in the classroom, laboratory and clinic within professional, graduate, residency and continuing education programs.

Promotion and the awarding of tenure within the tenured/tenure earning ranks requires excellent performance in teaching and scholarship and at least good performance in service unless otherwise agreed to in writing by the primary supervisor and dean. Evidence of excellence in scholarship in the Department of Clinical Sciences may include a record of publications in Index Medicus journals as principal investigator/author (including review papers and case reports), external funding for research or research training (e.g., NIH scientist-clinician training grants awarded to the candidate) and the traditional publication of books and book chapters. While external grant support is not required for tenure and promotion within the Department of Clinical Sciences, it is looked upon favorably, particularly when it substantially supports an independent research program. In all cases, the relative weighting given to each area will take into consideration the faculty member’s past assignments and allocation of time.  . Promotion to the rank of professor requires demonstration of national and/or international leadership.

Promotion within the non-tenure earning ranks requires excellent performance in either teaching or service, with good performance in the other category, and acceptable performance in research as agreed to in writing with the primary supervisor and dean. Promotion to the rank of clinical professor requires demonstration of national and/or international leadership in either teaching or service.

Supporting Documentation: Department of Clinical Sciences

  • Scholarship
    • Narrative that describes the candidate’s research/scholarly interests and activities, discusses her/his contributions and their impact and cites, as appropriate, accompanying supporting documents including, but not limited to:  
      • Original contributions to the professional literature
      • Development of new approaches to the diagnosis and treatment of ocular conditions and diseases as evidence by publication and/or a broad adoption of the approach by the profession.
      • Development and dissemination of new or modification of diagnostic and treatment tools, measures, equipment etc. as evidenced by publication and/or use by the profession.
      • Quality of Index Medicus publications (original research, review papers and case reports) as indicated by impact factor and prestige of journals in which publications appear and number of citations.
      • Evidence of external funding (governmental, industrial, private) to support individual research program and research training (e.g., clinician-scientist training grants)
      • Quantity of publications
      • Traditionally published books and book chapters
      • Invited talks
      • Presentations at scientific/professional meetings
      • Reputation as a scholar as assessed by outside, independent reviews
      • Recognition in the form of national and international awards and honors
  • Teaching 
    • Self-assessment that includes teaching philosophy and objectives and cites, as appropriate, accompanying supporting documents including, but not limited to: 
      • Quality of course materials (including syllabi, handouts and examinations) for the OD, MS, PhD, and residency programs
      • Peer-evaluation of teaching
      • Student performance on standardized examinations (e.g., NBEO)
      • Quality and effectiveness of innovations in teaching and creative teaching methods
      • Awards/honors for teaching/educational leadership
      • Quality of continuing education courses given
      • Supervision of research of OD, PhD and MS students and residents
      • Student feedback (e.g., student surveys)
  • Service (Professional, Public and University) 
    • Self-assessment in which the candidate distinguishes between active service that demonstrates self-initiative, active participation and tangible outcomes and passive service and cites, as appropriate, accompanying supporting documents including, but not limited to: 
      • Leadership roles
      • Committee service
      • Departmental service
      • Administrative service
      • National and international service (e.g. AAO, AOA, COVD, APHA, SVOSH)
      • Service as journal referee
      • Service as journal editor
      • Service as grant reviewer
      • Service in local and state optometric and health organizations
      • Service on the National Board of Examiners in Optometry
      • Service to professional organizations and associations (international, national, state, local)
      • Awards/honor

Promotion/Tenure for Librarians
Librarians are faculty members who may hold the rank of Assistant Librarian, Senior Assistant Librarian, Associate Librarian or Librarian and are engaged in supporting the teaching, service and research mission of the College and its Faculty. The promotion criteria of scholarship, teaching and service shall reflect daily activities that include performing research for library users, providing service directly to students and to faculty, and developing publications which make the use of the library easier for its users. The basic considerations in regard to the library faculty are competence in librarianship, service to the College, service to the library profession and to the community, initiative and creativity in developing library programs or problem solving and potential for continuing professional growth. Specifically the following should be considered:

  • Communication, interpersonal and teamwork skills
  • Administration and committee work within the College.
  • Client-oriented library service - This criterion should be heavily weighed and well documented to public service librarians.
  • Community Service - Participation in local and regional library association activities constitute a form of community service.
  • Membership in professional organizations.
  • Publications and presentations - Bibliographies, poster sessions, library guides, electronic products (e.g., Web sites) and instructional materials constitute a form of publication.
  • Research - Research done in conjunction with faculty and student requests constitute a form of research.
  • Teaching - Public service librarians engaged in teaching on a one-to-one basis constitutes a form of teaching.

Criteria for Promotion to Senior Assistant Librarian
In addition to the above, the individual must demonstrate that he/she:

  • is knowledgeable and competent in the professional practice of librarianship
  • is open to the suggestions of peers (faculty within the library, as well as beyond.
  • works well with colleagues
  • works well with our public
  • is productive
  • gives evidence of ability to solve problems and demonstrates original thinking
  • continues to develop through participation in continuing education and related development activities
  • participates in meaningful college service
  • publishes and presents relevant to his/her responsibilities
  • consistently makes sound  decisions relevant to his/her responsibilities

Criteria for Promotion for Associate Librarian
In addition to the above, the individual has demonstrated leadership qualities. As an example, the individual has:

  • identified problems and achieved solutions that are creative, practical and workable.
  • introduced new technology, or new ways to use existing technology which Is beneficial to the institution and/or the user.
  • demonstrated the ability to identify a need, design a project an complete it within a reasonable time frame, i.e. created a publication to assist users, created a course to assist users, created a manual for student assistants and/or clerical support staff.
  • demonstrated effective time management and organizational skills.
  • demonstrated the ability to meet deadlines (their own or those of the organization).
  • demonstrated continued professional growth.
  • demonstrated service to their own profession as well as to the profession of Optometry.
  • demonstrated effective supervisory and management skills (if appropriate).

Criteria for Promotion to Librarian
The candidate has demonstrated a level of leadership, expertise, accomplishments, organizational skills and service that is outstanding over time.

Continuing Appointment
Appointees are generally considered for promotion to Associate Librarian after five years of service. Employment of an appointee who has completed a total of seven years in the position of Assistant Librarian or Senior Assistant Librarian must be on the basis of continuing appointment.

Criteria for Continuing Appointment are similar to the criteria for promotion to Associate Librarian. While past achievements and potential for continuing productivity both are considerations for promotion in rank and the granting of continuing appointment, the potential for continuing productivity is of particular importance in considerations of continuing appointment. In rare instances, an individual may achieve Continuing Appointment before he/she has sufficient accomplishments to be promoted to Associate Librarian. However, an individual recommended for Continuing Appointment must demonstrate sufficient initiative and leadership qualities to give the CPQ reason to believe that the candidate will qualify for promotion to the rank of Associate Librarian at a later date.

Non-Salaried and Temporary Faculty Appointments (Adjunct Faculty Appointments)
Non-salaried and temporary faculty appointments shall be non-tenure earning. Rank at initial appointment, which must be qualified, shall be determined by the dean following consultation with the relevant primary supervisor. Subsequent adjustments in rank shall be made by the dean in consultation with the appropriate primary supervisor. Written policies, which are made available to CPQ, shall govern the assignment of rank at initial appointment and any subsequent adjustments in rank.

Emeritus Status
Faculty who retire in good standing shall be entitled to append the term “Emeritus” to the title of their academic or administrative post after the time of retirement. Specific privileges for each individual holding emeritus status shall be determined by the President in consultation with the Dean.

Appeals
Appeals related to promotion and tenure shall be made in writing directly to the President no later than one month following a decision.



(Back to Outline)