APT Required Documents & Processes

Resources:

• Strategic Hiring Initiative for Faculty Talent (SHIFT)
• Associated Non-Salaried Faculty Appointment flow chart (internal access only)
• University OAA’s Policy on Faculty Appointments
• University OAA’s policy on Faculty Recruitment & Selection
• Hiring Steps for Non-FGP faculty (internal access only)
• Non-Salaried Associated & Courtesy Appointment training slides

1. New Faculty Hire [C]

Notes: A new faculty hire on the Tenure, Clinical, Research, or Paid Associated faculty (e.g. -Practice). Some transfers are considered new faculty hires (see Changing Tracks/Transfers section).

Required items (attach in Meditract):

• Pre-approval from Vice Dean of Faculty Affairs on faculty salary* & rank** (internal access only)
• Research Track checklist (required only for Research track)
• MOU - if tenure track non-FGP faculty. Refer to MOU SOP for assistance.
• Draft letter of offer (via Meditract)
• If advanced rank, see additional steps required in #2

* pre-approval on salary required for non-FGP faculty
**pre-approval on rank required if at advanced rank (Associate Professor or Professor on any track)

2. New Faculty Hire at Advanced Rank (aka senior hire) [U]

Notes: A new faculty hired as Associate Professor or Professor on the Tenure, Clinical, Research, or Paid Associated faculty (e.g. - Practice).  Upon approval, if the faculty is in a Visiting academic appointment, the College Office of Faculty Affairs will update the academic appointment in Workday.

Required items:

• Follow steps/items listed in #1 (new hire) and include draft letter of offer
• If faculty will come with tenure, misconduct background check authorization form must be signed prior to on-campus visit. 
  
  • This will need uploaded in Meditract and does not need included in advanced rank packet.
• Candidate’s CV 
• Vote of the eligible faculty and letter from P&T Chair
• Recommendation of Dept. Chair
• Five (5) external letters of evaluation (three for Clinical Excellence & Clinician-Educator)

3. Joint Appointment [U] 

Notes: A joint appointment is when a faculty’s salary and FTE will be split between two departments/TIU’s. This is different than a courtesy appointment.

Required items:

• Faculty’s CV
• Memorandum of Understanding (MOU) signed by department chairs, college deans, University Office of Academic Affairs and anyone else providing resources
  • College Office of Faculty Affairs will obtain the COM Dean and University OAA signatures on MOU
  • Refer to MOU SOP for assistance
• Draft letter of offer (via Meditract)

4. Courtesy Appointment [C]

Notes: A courtesy appointment is a non-salaried appointment for a faculty who has an existing faculty appointment at Ohio State. These documents are for both new and reappointments. Upon approval, add the courtesy appointment in Workday: Adding academic appointments. 

Required items (attach in Meditract):

• Chair letter to Dean requesting appointment, describing the role appointee will play in the education and training of students, residents, or research trainee
• Draft courtesy appointment letter in Meditract

5. Adjunct (community) Faculty [C] 

Notes: An adjunct faculty is a community/volunteer faculty who does not have a paid appointment at Ohio State. These documents are for both new hire & reappointments. Upon approval, add the Adjunct faculty via the Guest/Academic Affiliate process. Need help determining the correct faculty type/title? Refer to the Associated Non-Salaried Faculty Appointment flow chart.

Required items (attach in Meditract):

• Rationale for Adjunct appointment
• Draft letter of offer for adjunct appointment in Meditract

6. Adjunct (community) Faculty new hire at advanced rank [U] 

Notes: An adjunct faculty is a community/volunteer faculty who does not have a paid appointment at Ohio State and will be at an Associate Professor or Processor rank. Upon approval, add the Adjunct faculty via the Guest/Academic Affiliate process. 

Required items: 

• Follow steps listed in #5 (Adjunct Faculty) and include draft letter of offer
• CV or Dossier
• Letters from two people, including the faculty member’s immediate supervisor (i.e., division director or clerkship director), who can attest to the associated faculty member’s contributions.
• Vote of the eligible faculty and letter from P&T Chair
• Recommendation of Dept. Chair
• Teaching evaluations (if applicable)

7. Practice (non-salaried) Associated Faculty [C]

Notes: A non-salaried practice faculty title is used when a faculty appointment is required and the person has another paid appointment at Ohio State, OSU Physicians, Inc, (OSUP) or Nationwide Children’s Hospital (NCH). Or the faculty requires to be credentialed through Ohio State. See examples below. Refer to #1 “New Faculty Hire” if the Practice faculty appointment will be salaried. Refer to #5 or 6 if the faculty will not have any paid appointment or credentialed through Ohio State, OSUP or NCH. Need help determining the correct faculty type/title? Refer to the Associated Non-Salaried Faculty Appointment flow chart.

Required step depending on situation:

• If Nationwide Children’s Hospital (NCH), include rationale for appointment and draft letter of offer in Meditract
• If needed for physician appointment/credentialing (e.g. intermittent physician) – process letter through FGP/Physician workflow in Meditract
• If not part of the FGP, but still requires physician appointment and/or credentialing (e.g. Student Health Center, One Medical, Dispatch Health), include rationale for appointment and draft letter of offer in Meditract

Resources: 

• Changing Faculty Tracks
• See Faculty Affairs forms (internal access only) for example letters: “Change of Track letter – Chair” & “Change of Track Letter – Faculty Member."
• Learn more about faculty tracks

1. Transfer from any track except tenure [C]

Notes: A faculty moving from Staff, Associated, Clinical, Research Faculty to Clinical, Research or Tenure-track is managed as a New Faculty Hire (see also #1 & #2 under Faculty Appointment).

Required items:

• Research Track checklist (required only for Research track)
• Draft Letter of Offer (via Meditract)
• If advanced rank, follow procedures for new hire at advanced rank

*National search requirements still apply as these are treated as a new hire. Requesting a waiver of the national search may be applicable but limited.

2. Transfer from the Tenure-track [U]

Notes: This is the only true track transfer. The other transfers are considered a new faculty hire. See example letters under resources above. 

Required items: 

• Letter from the faculty member describing how their career goals and activities have changed to be in line with the clinical/research/associated faculty and acknowledgement that they are revoking tenure
• Letter of support (approval) from the Department Chair
• Draft Letter of Offer for new position on clinical, research, or associated track (via Meditract)

3. Transfer of Tenure Initiating Unit [U] 

Note: The same documents are recommended when a faculty transfers to a joint appointment.

Required items: 

• Memorandum of Understanding (MOU) between candidate’s current TIU and receiving TIU: signed by dept chairs, college deans, OAA, and anyone else providing resources
  • College Office of Faculty Affairs will obtain the COM Dean and University OAA signatures on MOU
  • Refer to MOU SOP for assistance
• Letter from the faculty member requesting TIU transfer (or joint appointment)
• Vote of eligible faculty in receiving TIU and letter from P&T Chair 
  • (e.g. if Associate Professor-Clinical is transferring, all tenured Associate Professor and full Professors and all non-probationary clinical track Associate Professor and full Professors).
• Draft Letter of Offer (via Meditract)
• Candidate’s CV

4. Moving between Clinical Track Pathways 

Note: There isn’t a formal process to switch between clinical track pathways, and this is managed within department between the faculty and the department chair or division director.

• Clinical Pathway Switch Guidance Document

 

Resources: 

• Returning Retiree (& Emeritus) tip sheet (internal access only)
• Emeritus & Returning Retiree Flow Chart
• Parameters and Criteria for Rehiring Retired Faculty
• Refer to OAA Policy and Procedures Handbook section 2.3.1.6 for additional information and perks for Emeritus.
• Reemployment of Faculty & Staff - FAQ
  
• HR Preparing to Retire
  

1. Returning Retiree [U]

Notes: This is different than Emeritus Status. Returning retirees can also have Emeritus status. A returning retiree is when a retired faculty returns to Ohio State in any paid appointment. Approvals are only for one year and must be submitted each year a retiree continues in a paid capacity. More details are in the returning retiree tip sheet above.

Required items (each year):

• Reemployment of Faculty Form
  
• Statement of justification w/ department’s succession plan
• Last three performance evaluations
• STRS Return to Work Form
• Verification that faculty covers 100% salary, benefits and associated practices costs
• Approval email from Position Management review process via the Position Management Intake form
• Draft letter of offer (via Meditract after OAA approval)

2. Emeritus Appointment [B]

Notes: This is different than a paid returning retiree appointment, and an emeritus faculty can also be a returning retiree. Emeritus is an honorific title that is never paid and approval is only needed once.  University OAA will enter the Emeritus record only in the system, and the faculty will receive a letter from the Board of Trustees upon approval. Refer to the Board of Trustees Schedule for upcoming meeting dates, Agenda to verify the faculty was named for approval, and Minutes to search for past approved requests. Refer to your department’s APT document on specific requirements at the department level.

Required items (one-time approval):

• Letter from faculty member requesting emeritus status with date of resignation
• OAA form 207 with statement of justification

Resources

• Base pay change job aid
• Job aid and more information on Off-Duty

1. Dual Career Hiring Cost-Sharing Fund Request [U]

Note: This is for the faculty salary only. More information here.

Required item:

• OAA form 210

2. Counter Offer/Off-Cycle Salary increase [U]

Notes: Faculty salary increases should happen during the annual AMCP/Faculty Equity Review in late spring/early summer. This does not pertain to most faculty in the FGP Physician Compensation Plan.

Required items:

• OAA form 205
• List of faculty salaries in the department at comparable rank and years of service 
• CV or other appropriate document
• Letter of Offer from other institution (Counter Offer requests)

3. Salary/FTE Adjustment [C]

• Voluntary FTE adjustments:
  
  • Written request from faculty to increase/decrease FTE
• Involuntary salary adjustment:
  • Documentation that faculty has been notified in writing (typically during an annual review) what performance expectations are expected to be met, and the consequences of not meeting expectations
  • Original Letter of Offer or reappointment letter
  • Draft letter to faculty regarding the salary adjustment including explanation and opportunity for the faculty to request their FTE be proportionately reduced.

4. Off Duty Pay [C]

Notes: This relates to faculty with a 9-month appointment. The majority of faculty in the COM are 12-month faculty. 

Required items:

• Faculty has met their fiscal obligations for their 9-month appointment as outlined in the COM Policy on Salary Recovery
• Include rationale on what the faculty will be doing to earn off duty pay
• Include where the money will be coming from (e.g. grants)

Resources: 

• Refer to the APT Toolbox Section 6
• Annual review Guidance
  
• University OAA Policy on Faculty Annual Review and Reappointment  
  
• University OAA Annual Review template
• Flow Chart – Tenure Track 4th & 8th year review process
• Flow Chart – Clinical & Research track reappointment process
• Packet Checklist for tenure track 4th & 8th year review
  
   

1. Annual Reviews [C]

 Notes: All paid faculty must have an annual review. Department to submit via OneDrive. Refer to APT Toolbox #6 (a) & (d) for more information and due date.

Required item:

• Annual review letter signed by both the faculty member and Department chair

2. Fourth and Eighth Year Review (Tenure-track) [C]

Note: Refer to APT Toolbox #6 (c) for due dates. See 4th & 8th year review process flow chart and packet checklist under resources.

Required items: 

• Dossier cover sheet (OAA form 109)
• Complete dossier with divider sheets (excluding external evaluations unless your department requires external evaluations for 4th & 8th year reviews)
• Vote of the eligible faculty and letter from P&T Chair
• Chair’s recommendation
• Annual reviews
• Peer evaluations of teaching
• Student evaluations of teaching

3. Reappointment Review (Clinical or Research faculty) [B]

Notes: Refer to APT Toolbox #6(b) for due dates. See reappointment process flow chart under resources. If not renewing a faculty, see “Termination / Non-Renewal / Resignation” section below. University OAA will enter on-cycle clinical & research track reappointments in Workday. Department/College will work together on entering off-cycle research track reappointments. Departments are to send reappointment letters to faculty after Board of Trustees meeting. Refer to the Board of Trustee’s Schedule for upcoming meeting dates, Agenda to verify the faculty was named for approval, and Minutes to search for past approved requests.

3. (a) Probationary clinical & research = faculty in their initial term (i.e. faculty has not yet been reappointed) 

Required items: 

• CV or dossier 
• Vote of eligible faculty and letter from P&T Chair 
• Chair’s recommendation with term length
• Research Track checklist (required only for Research Track) (internal access only)
• Upon notification of University results, initiate reappointment letter in Meditract. Refer to PowerPoint training slides

3. (b) Non-Probationary clinical & research = faculty in their 2nd or subsequent term (i.e. faculty has been reappointed at least once)

Required items: 

• Chair’s recommendation with term length
• Research Track checklist (required only for Research Track) (internal access only)
• Upon notification of University results, initiate reappointment letter in Meditract. Refer to PowerPoint training slides

Resources: 

•  Refer to the APT Toolbox for an abundance of information, tips, templates, schedules, checklists, etc.
• All College & Departments’ APT documents with specific procedures and criteria for promotion & tenure can be found at University OAA’s governance 
• University OAA Policies and Procedures Handbook: Volume 3 
  

1. Tenure-track Promotion and Tenure [B]

Notes: Department to submit via OneDrive. University OAA will enter promotional title and increase in Workday for faculty part of the annual P&T cycle.

Required items: 

• Complete dossier with all OAA forms and divider sheets (i.e. 103, 105, 106, 109, 114)
• Annual reviews
• Fourth/eighth year review
• Peer evaluations of teaching
• Five (5) external letters of evaluation
• Student teaching evaluations
• Vote of eligible faculty and letter from P&T Chair
• Recommendation of Dept. Chair

2. Clinical or Research Faculty Promotion [B] 

Notes: This includes associated faculty with a paid Ohio State appointment (e.g. - Practice). Department to submit via OneDrive. University OAA will enter promotional title and increase in Workday for faculty part of the annual P&T cycle. The department is responsible for entering Associated faculty promotions.

Required items:

• Complete dossier with all OAA forms and divider sheets (i.e. 103, 105, 106, 109, 114)
• Annual reviews
• Peer evaluations of teaching
• Five (5) external letters of evaluation (three for Clinical Excellence & Clinician-Educator)
• Student teaching evaluations
• Vote of the eligible faculty and letter from P&T Chair
• Recommendation of Dept. Chair

3. Adjunct (community) Faculty Promotion [U] 

Notes: Our community/volunteer faculty who do not have a paid appointment at Ohio State.  Department is responsible for updating info via managing the guest account (internal access only). 

Required items:

• CV or Dossier
• Letters from two people, including the faculty member’s immediate supervisor (i.e., division director or clerkship director), who can attest to the associated faculty member’s contributions.
• Vote of the eligible faculty and letter from P&T Chair
• Recommendation of Dept. Chair
• Teaching evaluations (if applicable)
• Draft reappointment at advanced rank LOO

4. Exclusion of Time from tenure clock due to birth or adoption [U]

Notes: Must be submitted within one year of birth or adoption and no later than April 1 of the mandatory review year.  Upon approval from University OAA, College Office of Faculty Affairs will update review years in Workday.

Required item:

• OAA Form 111

5. Exclusion of Time from tenure clock for other reasons [U]

Notes: Must be submitted by April 1 of faculty’s mandatory review year. Upon approval from University OAA, College Office of Faculty Affairs will update review years in Workday.

Required items:

• OAA Form 112
  
• Faculty member’s letter detailing the circumstances for the request
• Letter of support from Department Chair
• Vote of eligible faculty and letter from P&T Committee Chair (not applicable for health issue reasons)
• Faculty member’s current CV

Resources: 

• Refer to the Board of Trustee’s Schedule for upcoming meeting dates,  Agenda to verify the faculty was named for approval, and Minutes to search for past approved requests. 
• Endowed Chair/Professorship fund descriptions
• See Process for Appointing a Faculty Member to a COM Endowed Chair/Professorship (internal access only)
• Process for Renewing an Endowed Chair/Professorship appointment (internal access only)
• Endowed Chair & Professorship Guidelines (internal access only)

1. Appointment to an Endowed Chair/Professorship [B]

Note: College Office of Faculty Affairs will enter endowed chair/professorship appointment in Workday.

Required items:

• Candidate’s CV
• Chair letter to Dean with rationale for appointment including how the faculty meets the fund’s requirements (locate the fund description and requirements in link under resources)

2. Reappointment to an Endowed Chair/Professorship [B]

Note: College Office of Faculty Affairs will update end date of endowed chair/professorship appointment in Workday.

Required items:

• Chair holder’s CV
• Letter of support from Chair including description of accomplishments during the current term and description of goals for next term including how the faculty meets the fund’s requirements (locate the fund description and requirements in link under resources)

Resources: 

• Refer to the Board of Trustee’s Schedule for upcoming meeting dates,  Agenda to verify the faculty was named for approval, and Minutes to search for past approved requests

• Job aid on entering leave once approved

• Workday: Time off and Leave Types

1. Faculty Professional Leave [B]

Notes: Only available to tenured faculty with at least 7 years of service. More information can be found on University OAA’s policy on Faculty Professional Leave

Required items:

• OAA form 202
  
• Detailed proposal for leave
• Candidate’s CV
• Additional support documentation
• Chair letter of support

2. Special Research Assignment Leave [B]

Note: More information can be found on University OAA’s policy on Faculty Special Assignment

Required items:

• Detailed proposal for leave
• Chair letter of support
• Candidate’s CV

3. Unpaid Leave of Absence [U]

Note: More information can be found on University’s policy on unpaid leave

Required items:

• Letter to Chair explaining reason for request and timing of leave
• Chair letter of support

Resources:

• Termination of Faculty Appointment guidelines (internal access only)
• The Standards of Notice (Faculty Rule 3335-6-08)

1. Non-renewal of Faculty Appointment

Note: Standards of Notice apply. See guidelines and Faculty Rule above. 

Required items depending on situation:

• Clinical & Research Track Probationary Faculty [U]
  
  • Nonrenewal of probationary appointment or Denial of Tenure form
    
  • Nonrenewal letter to faculty
• Clinical & Research Track Non-probationary Faculty [C]
  
  • Nonrenewal letter to faculty
  • Vote of eligible faculty
• Tenure-track Probationary (i.e. not yet tenured) [U]
  
  • 4th year review procedures per Faculty Rule 3335-6-03 (F) 
  • Nonrenewal of probationary appointment or Denial of Tenure form
  • Nonrenewal letter to faculty

2. Termination for Cause

Note: See termination guidelines under resources above

• Faculty Rule 3335-5-04 (aka “04 process”) [B]

3. Resignation

Note: This is intended as a helpful resource, but is not all-encompassing as each faculty is different.

• Complete appropriate Workday tasks:
  
  • Employee Responsibilities
    
    • An employee can submit a resignation via Workday or they can send their resignation notice outside of the system to the Manager. 
  • Manager Responsibilities:
    
    • For non-clinical faculty, this job aid provides instructions on (1) Initiating  a Voluntary Termination from a resignation initiated in Workday or (2) Initiating a termination from the Worker's Profile.
    • For Faculty Physicians who have multiple jobs, do not initiate this task in Workday. Submit a request through the "Manager Initiated Termination for Employees with Multiple Positions" service in the HR Connection Portal and the Workday technical team will initiate the process on your behalf.

• Department chair must accept and acknowledge the faculty's resignation and confirm their last date of employment at OSU. If the faculty sent an email, this response can be via email.

• Submit termination of contract in Meditract

• Notify the office of Faculty Affairs

• If applicable, complete provider departure checklist (internal access only)

• If applicable, complete Research Off-Boarding & Laboratory Closeout checklist for the COM Office of Research 

Resources: 

• All College & Departments’ APT/POA documents are on University OAA’s governance site 
• University templates for APT and POA documents

1. Appointment, Promotion, & Tenure Document (APT) [U]

Note: Document must be reviewed, and either reaffirmed or revised, within one year of a department (TIU) chair appointment or reappointment

Required item:

• Submit APT document with track changes on and markup visible
  
  

2. Patterns of Administration Document (POA) [U]

Note: Document must be reviewed, and either reaffirmed or revised, within one year of a department (TIU) chair appointment or reappointment

Required item:

• Submit POA document with track changes on and markup visible