Office of the Chancellor 105
252-328-6212 office
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MEMORANDUM TO: Dr. Jan Tovey Chair of the Faculty FROM: Steve Ballard Chancellor DATE: SUBJECT: Attached is an edited
version of I hereby approve Attachment: Edited FS Resolution 08-12 pc: Faculty
Officers Dr. Marilyn Sheerer, Interim Provost and Vice
Chancellor for Academic and Student Affairs Dr. Phyllis Horns, Interim Vice Chancellor for Health
Sciences Dr. Deirdre Mageean, Vice Chancellor for Research and
Graduate Studies |
March 18, 2008
Attachment 2.
FACULTY GOVERNANCE COMMITTEE REPORT
Proposed Revisions to the ECU Faculty Manual,
Appendix C. Personnel Policies and
Procedures for the Faculty of ECU
(Proposed additions are noted in bold print and deletions in strikethrough.)
CONTENTS
I. Selection and Appointment of New Faculty
A. Determination
of Number and Nature of Positions
B. Selection
Procedure
C. General
Criteria
D. Requirements for ranks and titles
E. Initial
Appointment
II. Assignments
A. Assignment
of Teaching Responsibilities
B. Assignment
of Released Time
C. Fixed-Term teaching load
III. Evaluation
IV. Reappointment of Probationary Term Faculty
Members
V. Reemployment of Fixed-Term Faculty Members
VI. Professional
Advancement
VII. Salary
A. Initial
Salary
B. Determination
of Annual Salary Increments
C. Benefits and Raises for Fixed-Term Faculty
VIII. Faculty
Personnel Files
IX. Amendment
Procedure
X. Effective Date
Appendix C
PERSONNEL POLICIES AND PROCEDURES
FOR THE FACULTY OF
I.
Selection
and Appointment of New Faculty
A. Determination
of Number and Nature of Positions
Needed Allocation of
faculty positions is the prerogative of the academic council. vice chancellor for academic affairs, the vice chancellor for health
sciences and the vice chancellor for student life, as appropriate.
The
unit administrator is responsible for recommending through administrative
channels to the academic council vice chancellor for academic affairs, the vice
chancellor for health sciences, or the vice chancellor for student life the
number and nature of faculty
positions needed to carry on the functions of the unit.
Acting in accord with the policies and
procedures set forth in the Unit Code, the unit administrator shall recommend
to the next higher administrator (for conveyance to the academic council) the
number and nature of faculty positions needed to carry out the unit’s mission
and achieve the university, division, college and unit planning goals. Such recommendations shall be developed with input from the
unit’s fixed-term, probationary term, and tenured faculty, as appropriate, and
shall contain justifications addressing the unit staffing plan and appropriate
planning goals of the university, division, college and unit.
In accord with the recommendations of the
ECU Administrative Task-Force on Fixed-Term Faculty Employment, the Academic
Council and deans shall not require that a faculty position be fixed-term
rather than probationary term unless sound reasons exist. Such reasons include, but are not limited to, (a) the position
is not permanently assigned to the unit, (b) the position is addressing
temporary needs, (c) the position cannot be filled by a faculty member with a
terminal degree, (d) the duties of the position are primarily clinical, (e) the
position is by its nature term limited (term-limited endowed professorship, for
example), or (f) this reflects the preference of the faculty member taking the
position.
The
unit administrator, in keeping with the mission of the unit and the
institutional context, shall follow the provisions of the unit code in making
recommendations concerning the number and nature of positions needed.
B. Selection Procedure
The
unit administrator shall notify the unit personnel committee of the number and
nature of positions allocated to the unit. The selection of candidates must then
proceed in accordance with Appendix D,
Tenure and Promotion Policies and Procedures and Part VI, General Personnel Information, the most recently revised
Affirmative Action Plan, and applicable unit code provisions. The type of search required is
governed by University policies; the Office of Institutional Equity and Human
Resources make the final decision concerning the search.
C. General Criteria[2]
For
appointment, as well as reappointment and promotion, the tenured and probationary term faculty member is evaluated on past contributions and potential for future contributions in: potential
and achievements in
·
Teaching
·
Creative
Activity/Research
·
Service to the
university, the profession, and the community.
1. Teaching
2. Creative
Activity/Research
3. Service
For appointment, the fixed-term faculty member is
evaluated on past contributions
and potential for future contributions
in the area(s) of responsibility stated in the contract letter.
D. Requirements
for ranks and titles
1. General Provisions
Appointments
are made at the academic ranks of instructor, assistant professor, associate
professor, and professor. These are the only ranks which may involve a
permanent tenure commitment. Appointments to all other titles are for a
definite term and do not involve a permanent tenure commitment.
The
following are the minimum required qualifications which may be considered when
making appointments.
2.
Ranks of Probationary Term Appointments
Instructor
·
has evidence of
a sound educational background for the specific position, or has
equivalent professional experience
·
has completed
most or all the requirements for the appropriate terminal degree
·
has demonstrable
proof that the degree will be obtained within a short period of time as agreed
upon by the academic unit and the appointing officer
·
has demonstrated
potential for effective teaching
·
has demonstrated
potential for effective clinical practice in disciplines where appropriate
Assistant Professor
·
has
qualifications of the previous rank
·
holds the
appropriate terminal degree, as evaluated by the academic unit and affirmed by
the appointing officer and the profession concerned
·
shows evidence
of potential for continued professional growth in teaching effectiveness,
creative activity, or research
·
has ability and
willingness to participate in departmental, college, and university affairs
·
has membership
in professional organizations
·
has demonstrated
expertise in clinical practice in disciplines where appropriate
Associate Professor
·
has
qualifications of the previous rank
·
has demonstrated
teaching effectiveness
·
has a record of
creative or research activity resulting in publication or comparable
productivity
·
has demonstrated
ability and willingness to participate in department, college, and university
affairs
·
has a record of
effective service to the profession
·
has a record of
effective clinical practice in disciplines where appropriate
Professor
·
has
qualifications of the previous rank
·
has an
established record of excellence in teaching
·
has a
significant record of creative or research activity resulting in publication or
comparable productivity
·
has demonstrated
excellent ability and willingness to participate in department, college, and
university affairs
·
has a record of
significant service to the profession
·
has a record of
effective clinical practice in disciplines where appropriate
3. Titles of Fixed-Term Appointments
a.
Faculty
with duties primarily in instruction
Teaching
Instructor
·
holds, at a
minimum, a master’s degree appropriate to the area of instruction, or has
equivalent professional experience
·
has demonstrated
potential for effective teaching
Teaching
Assistant Professor
·
has
qualifications of the previous title
·
holds the
appropriate terminal degree, as evaluated by the academic unit and affirmed by
the appointing officer and the profession concerned
·
has demonstrated
effectiveness in teaching
Teaching
Associate Professor
·
has
qualifications of the previous title
·
has demonstrated
superior teaching ability
·
engages in
professional development activities
Teaching
Professor
·
has
qualifications of the previous title
·
has demonstrated
excellence in teaching
·
engages in
professional development activities
·
has demonstrated
a degree of proficiency sufficient to establish an excellent reputation among
colleagues
·
is qualified and
competent in mentoring others (such as graduate students, teaching instructors,
etc.)
b.
Faculty
with duties primarily in research
Research
faculty are typically externally funded. Research faculty are encouraged to
give seminars and teach occasional courses in their specialty. Teaching is at
the discretion of the unit and the availability of funds.
Research
Instructor
·
holds a minimum of
a master’s degree appropriate for the specific position or has equivalent
professional experience
·
has demonstrated
potential for effective research
·
should be
capable of carrying out individual research or should be trained in research
procedures
·
should have had
the experience and specialized training necessary to develop and interpret data
required for success in such research projects as may be undertaken
Research
Assistant Professor
·
has
qualifications of the previous title
·
holds the
appropriate terminal degree, as evaluated by the academic unit and affirmed by
the appointing officer and the profession concerned
·
has demonstrated
effectiveness in research
·
is qualified and
competent to direct the work of others (such as technicians, graduate students,
etc)
Research
Associate Professor
·
has
qualifications of the previous title
·
has extensive
successful experience in scholarly or creative endeavors
·
has the ability
to propose, develop, and manage major research projects
Research
Professor.
·
has qualifications
of the previous title
·
has demonstrated
a degree of proficiency sufficient to establish an excellent reputation among
colleagues
·
has demonstrated
scholarly production in research, publications, professional achievements or
other distinguished and creative activityc.
Faculty with duties primarily in clinical teaching
Clinical
Instructor
·
holds, at a
minimum, a graduate degree appropriate for the specific position or has
equivalent professional experience
·
has demonstrated
potential in clinical practice and teaching in the field
Clinical
Assistant Professor
·
has
qualifications of the previous title
·
holds the
appropriate professional degree, as evaluated by the academic unit and affirmed
by the appointing officer and the profession concerned
·
has training and
experience in an area of specialization
·
has demonstrated
expertise in clinical practice and teaching in the field
Clinical
Associate Professor
·
has
qualifications of the previous title
·
has extensive
successful experience in clinical or professional practice in a field of
specializations, or in a subdivision of the field, and in working with and/or
directing others (such as professionals, faculty members, graduate students,
etc) in clinical activities in the field
·
has demonstrated
superior teaching ability
Clinical
Professor
·
has
qualifications of the previous title
·
has demonstrated
a degree of sustained excellence in clinical practice and teaching sufficient
to establish an outstanding reputation among colleagues
d.
Additional
faculty titles
Artist-in-Residence;
Writer-in-Residence. These titles may be used to designate temporary
appointments, at any salary and experience level, of persons who are serving
for a limited time or part-time, and who are not intended to be considered for
professorial appointment.
Adjunct
Instructor; Adjunct Assistant Professor; Adjunct Associate Professor; Adjunct
Professor. These titles are used to appoint outstanding persons who have a
primary employment responsibility outside the university or in a different department
in the university, and who bring some specific professional expertise to the
academic program. These positions are typically unfunded.
Affiliate
Instructor; Affiliate Assistant Professor; Affiliate Associate Professor;
Affiliate Professor. These titles are used in the
Visiting
Instructor; Visiting Assistant Professor; Visiting Associate Professor;
Visiting Professor. The prefix “visiting” before an academic title is used to
designate a short-term full or part time appointment without tenure. Therefore
the visiting title shall not be used for periods of time beyond the initial
contract period. It shall be used only for those fixed-term faculty members who
are visitors, temporary replacements, or for whose disciplines the institution
in good faith expects to have only a short-term need. Use of the visiting title
for an individual for more than 3 years is a misuse of this title.
4. Emeritus status
The
title “emeritus” or “emerita” will be
conferred upon those retired faculty, including those on Phased Retirement, who
have made a significant contribution to the university through a long and
distinguished record of scholarship, teaching, and/or service.
E. Initial Appointment
[For
additional provisions related to initial faculty appointments, see ECU Faculty Manual, Appendix
D.II.]
Appointment to the faculty is made by
the chancellor or his/her designee. [3] Upon receiving recommendations by
appropriate unit committees and administrators, the chancellor or his/her
designee shall issue a contract letter for initial appointment to the faculty
that becomes binding upon being executed by the faculty appointee.
Criteria
for evaluation of faculty performance shall be provided in writing and
discussed before initial employment. A
record of this discussion shall be placed in the faculty member’s personnel
file. Any action conferring permanent tenure with the initial faculty
appointment requires approval of the Board of Trustees.
Appointment
to the faculty is made by the chancellor or his/her designee. [3]
Criteria for evaluation of faculty performance shall be provided in writing and
discussed before initial employment. A
record of this discussion shall be placed in the faculty member's personnel
file. Any action conferring permanent
tenure with the initial appointment requires approval of the board of trustees.
The initial contract shall be signed by the chancellor, or his designee, and
the appointee. This contract shall be accompanied by and elaborated on by a
letter signed by the chancellor, or his designee, and a letter signed by the
unit administrator.
The
chancellor's letter shall specify rank or title; salary; length of appointment;
and tenure status, whether fixed term, probationary term appointment, or
appointment with permanent tenure (ECU
Faculty Manual, Appendix D). The unit administrator's letter shall
establish the specific conditions of employment.
II.
Assignments
A.
Assignment of Teaching Responsibilities
Prior
to making final faculty assignments and at least two weeks prior to the beginning
of each semester, the unit administrator shall apprise each unit faculty
member, in writing, of the duties and responsibilities in teaching, after
soliciting faculty teaching preferences. If changes in a faculty member's
assignment become necessary, the faculty member shall be notified of such
changes prior to the effective date of the amended assignment.
B.
Assignment of Released Time
Faculty
members who are to be granted released time from teaching shall be informed in
writing of the purpose of the reduced teaching assignment.
C. Fixed-Term teaching load
Full-time,
fixed-term faculty members
whose primary responsibilities are teaching should not be required to
teach more than twelve credit hours per semester, with the exception of faculty members who voluntarily
teach special directed readings and like courses. If exceptional circumstances require that a
faculty member be assigned more than 12 credit hours in a semester, he or she
should be appropriately compensated for the excess teaching load during that
term or be given the equivalent reduced teaching load the following semester.
III.
Evaluation
Each
faculty member with either a fixed-term,
probationary term, or permanently tenured appointment shall receive
annually an evaluation of his/her performance from the unit administrator which
shall be based upon current academic year data, except that data from the
previous year's spring semester survey of student opinion of teaching may be
utilized when current spring semester survey data are unavailable [4].
This annual evaluation shall:
· be in
writing;
·
state the
percentage of variable salary increment available to the unit to be recommended
by the unit administrator for the faculty being evaluated;
·
be discussed
with the faculty member prior to being sent to any other administrator or
placed in the faculty member's personnel file; in the case of faculty members
with probationary period appointments, a record of this discussion shall be
placed in the faculty member's personnel file;
·
include an evaluation of the faculty member’s capacity to
relate constructively to his or her peers, in a necessarily collegial
environment in accordance with UNC Policy 101.3.1, section II.B.; and
·
be signed and
dated by the unit administrator and the faculty member, who may attach to the
evaluation a concise comment regarding the evaluation. The signature of the
faculty member signifies that the faculty member has read, but does not
necessarily concur in, the evaluation.
The
unit administrator shall forward to each faculty member a copy of that member's
annual evaluation within ten days of after
completing the evaluations of unit members.
Fixed-term faculty members shall be
evaluated for their performance of duties as stated in their contracts. Unit codes shall contain criteria and procedures for evaluating
fixed-term faculty members for initial appointment, subsequent appointment, annual
performance evaluation, salary
increase, advancement in title, and/or multi-year contracts.
The
unit administrator's annual performance evaluation of faculty members shall
employ the criteria contained in the unit code approved by the chancellor (ECU Faculty Manual, Appendix L). The evaluation shall be based upon that
year's assigned duties and responsibilities (except, as earlier noted, for the
previous year's Spring semester survey of student opinion) and shall consider:
1. teaching
The
quality of teaching must be evaluated by means of
a. data from surveys
of student opinion, when such data have been gathered in accordance with
established procedures of the department or the university which guarantee the
integrity and completeness of said data. As part of the effort to evaluate the
teaching of faculty members, each unit shall either: develop and use its own
instrument(s) as approved by the chancellor to determine student opinion of
teaching or utilize the instrument developed by the Teaching Effectiveness
Committee to determine student opinion of teaching.
b. formal
methods of peer review, including direct observation of the classroom teaching
of new and probationary term faculty.
c. procedures provided for in unit codes;
2. research and creative activities;
3.
patient care;
4. services
rendered on department, school, college, and university committees, councils,
and senates; service to professional organizations; service to local, state and
national governments; contributions to the development of public forums,
institutes, continuing education projects, patient services and consulting in
the private and public sectors; and
5. other
responsibilities as may be appropriate to the assignment.
The
relative weight given to teaching, research/creative activity, and service in
personnel decisions shall be determined by each unit code. In no case, however,
shall service be weighed more heavily than either teaching or research/creative
activity.
IV. Reappointment of Probationary Term Faculty
Members
Please refer to Appendix D of the ECU Faculty Manual.
V.
Reemployment of Fixed-Term Faculty Members
Faculty positions that are occupied by faculty
members holding fixed-term contracts shall periodically be evaluated to
determine if it is feasible to make the position probationary term. When it is
recommended that a position that is occupied by a fixed-term faculty member be
made probationary term, the
personnel committee and unit administrator should determine collaboratively the
appropriate kind of search recommended (search waiver, internal search or external
search), with the final
approval authority for searches resting with the Office of Institutional Equity
and Human Resources.
The repeated re-employment in
full-time, fixed-term positions of faculty members whose qualifications are on
a par with those of the probationary term faculty members in the unit is
justifiable only when special conditions apply, including but not limited to, (a) the position is
not permanently assigned to the unit, (b) the position is addressing temporary
needs, (c) the position cannot be filled by a faculty member with a terminal
degree, (d) the duties of the position are primarily clinical, (e) the position
is by its nature term limited (term-limited endowed professorship, for
example), or (f) this reflects the preference of the faculty member taking the
position. Qualified full-time, fixed-term faculty members should be encouraged
to apply for probationary term positions.
Appointment of part-time fixed-term faculty members should be
subject to the same conditions listed in a-f in the above paragraph. The continuous re-employment of faculty in part-time or temporary positions should
be avoided, unless
mutually desirable for the candidate and the unit.
VI. Professional Advancement
Advancement in title for fixed-term faculty
and pPromotion for
tenured and probationary term faculty are is a means through which
professional achievement is encouraged, recognized, and rewarded by the
university. Evaluation of faculty for purposes of promotion or advancement in title shall accord
with the regulations established in accordance with the unit code and shall
employ the criteria contained in the unit code approved by the chancellor (ECU Faculty Manual, Appendix L).
Departments
in professional schools may also establish guidelines for evaluation of faculty
for promotion or advancement in title
consistent with the criteria in their school’s unit code. Specific regulations and criteria governing
evaluation of faculty for purposes of promotion or advancement in title may vary from unit to unit. For evaluations pertaining to Fixed-Term
contract renewal at a higher title, the criteria shall be stated in the unit
code.
As
a minimum each unit shall:
·
apply published
criteria in teaching and creative activity and service for evaluating faculty
for promotion or advancement in title;
·
make available
procedures which will permit each faculty member to report achievements
annually or on a more frequent basis;
·
assure each
faculty member the right to discuss one's candidacy with the unit administrator
and/or the personnel committee at any time; and
·
notify each
faculty member within four days of receipt of the administration's call for
promotion or advancement in title
recommendations.
Upon
request by the faculty member, the unit administrator and the unit personnel
committee shall evaluate the faculty member for promotion or advancement in title. Following such evaluation, the unit
administrator and the personnel committee shall inform the faculty member of
their respective recommendations. Promotion or advancement in title shall be based primarily upon the faculty
member's total demonstrated professional competence and achievement. Procedures
to be followed for promotion are found in ECU
Faculty Manual, AppendixD. Procedures to be followed for advancement
in title should be specified in each code unit in accordance with ECU Faculty Manual, Appendix D, section
D; and Appendix C.D.3.
Among
the many qualifications which may be considered when making recommendations for
promotion, the
qualifications in section D.2. above are essential.
Promotion
usually in academic rank should
be accompanied by a salary increment which shall be separate from any and all
other increments to which the individual may be entitled. Notwithstanding any previous statement that
has appeared herein, competence for promotion to a specific rank may be
attested to by advanced study, culminating in appropriate graduate degrees, or
by extensive work experience in the teaching fields or in a professional practice
which is demonstrably of highest quality.
Advancement in title for fixed-term faculty members
should be accompanied by a salary increment which shall be separate from any
and all other increments to which the individual may be entitled.
Notwithstanding any previous statement that has appeared herein, competence for
advancement in title may be attested to by demonstrated excellence in the
performance of duties specified
in the contract of the fixed-term faculty member and supported by the faculty member’s annual
performance evaluation.
VII. Salary
A.
Initial Salary
Initial
salary shall be based on degree attainment, pertinent experience, professional
activity, scholarly publication or its equivalent, and level of responsibility,
consideration being given to the salaries of personnel presently in the unit
and salaries within the discipline in comparable institutions.
B.
Determination of Annual Salary Increments
The
unit administrator shall recommend annual salary increments to appropriate administrative
officials in accordance with requirements imposed by the North Carolina General
Assembly, The University of North Carolina Board of Governors, and the
university administration, and shall employ any additional criteria that have
been established in this appendix, in units codes, or in policies required by
unit codes. Basic criteria for assessing
merit shall include the degree of teaching excellence; creative activity and
research; service to local, state, and national governments; as well as
contributions to the development of public forums, institutes, continuing
education projects, and patients' services.
The unit administrator shall report annually to the unit, in dollar
amounts and percentages, the total increment allotted, mean salary increment,
and range in salary increments for the unit. Each faculty member shall be
informed by the unit administrator of any salary increment recommendations made
on behalf of the faculty member by the unit administrator.
Equitiability of salary and benefits for fixed-term
faculty members should be reviewed annually. When salary
increments are provided by the Board of Governors, full-time fixed-term faculty
who have completed one year of employment and have been reemployed for a second
or subsequent year should
be considered for a salary increase based upon their annual evaluation
and criteria established by the Board of Governors and the unit code.
Full-time,
fixed-term faculty are entitled to the same benefits as all other full-time
employees of ECU.
VIII. Faculty Personnel Files
(Please
refer to ECU Faculty Manual Interpretation #I90-1.)
North Carolina
law defines a personnel file as any information gathered by
Article 7 of Chapter 126 of the General
Statutes of
A
faculty member’s primary personnel file shall reside in the code unit office
under the supervision of the code unit administrator. The location and
custodian of other known files
containing personnel records will be listed in the Personnel File Checklist attached to the inside cover of the
primary personnel file. All evaluative
documents will be contained in the primary personnel file. In particular, official copies of Personnel Action Dossiers, as outlined in Part XII, including those
documents submitted by faculty for consideration in the tenure, reappointment
and promotion processes, shall reside in the primary personnel file.
The unit administrator is responsible for providing
faculty members access to their personnel file. Faculty members are encouraged to examine their
primary personnel file often, subject to certain restrictions of state
law. Faculty members may examine other
files containing personnel records subject to the same restrictions. A faculty member may obtain copies of any
materials that are not restricted by State law in the personnel file and may
attach a concise statement in response to any item therein. This concise statement shall be submitted to
the custodian for inclusion as an attachment to the specific document. A person designated by the faculty member may
examine that employee’s personnel file with the written authorization of the
faculty member. Willful disclosure of confidential information or unauthorized access
to a personnel file by any
person violates State law and University regulations and may result in
disciplinary action under University regulations. Any person who knows of these violations but does not act, has
neglected his or her duties and may also be disciplined in accordance with
University regulations.
No
material obtained from an anonymous source shall be placed in the primary
personnel file or any other file containing personnel records except for data
from student opinion surveys. Data from
student opinion surveys shall be used in the annual evaluation and shall be submitted
by the authorized surveying agent to the faculty member and the unit
administrator. Evaluative materials or
summaries thereof prepared by peer committees as part of a regular evaluation
system may be placed in the primary personnel file when signed by a
representative of the committee. Faculty members must be made aware
within a reasonable time of any change in their personnel file. The procedures of Article 7 of Chapter 126 of
the General Statutes of
Please
see the ECU Faculty Manual, Part VI. for further information on state statutes
and ECU policy concerning faculty personnel files.
IX. Amendment Procedure
Amendments
to ECU Faculty Manual, Appendix C.
Personnel Policies and Procedures may be proposed by any full-time member
of the faculty, by any faculty committee, or by any member of the
administration of
X. Effective
Date
All provisions of these policies and
procedures shall become effective on the date they are approved by the
Approved:
18
March 1994
ECU
Board of Trustees
Amended:
Interpretation:
Interpretation
made to Section VI. (2-15-90)
[1]For other policies and procedures dealing with faculty
appointments, see ECU Faculty Manual,
Appendix D.