08-12 Revisions to the ECU
Faculty Manual, Appendix C. Personnel Policies
and Procedures for the Faculty of
ECU
(Additions are noted in bold print
and deletions are noted 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. All such
recommendations shall be developed
with input from the unit’s fixed-term, probationary term, and tenured faculty
and shall contain justifications addressing the unit staffing plan and
appropriate planning goals of the university, division, college and unit.
In accord
with the directives 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 (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 actual selection process 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
C. General
Criteria[2][2]
For appointment, as well as reappointment and
promotion, the tenured and probationary
term faculty member is evaluated on past
achievements and potential for future achievements 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 achievements and potential for
future achievements 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
activity
c. 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 titles “emeritus” and “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.1 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. This contract letter shall
specify the faculty appointee’s: rank or
title; initial salary rate; length or term of appointment; tenure
status—fixed-term, probationary term, or appointment with permanent tenure;
initial assignments and/or responsibilities; and reference to the criteria for
evaluation of faculty performance, as provided in Appendices C and D, unit
codes, and other appropriate unit documents; and any special terms and
conditions of employment that are initiated by the unit administrator in
accordance with Appendix D.
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][3][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
No fixed-term
faculty member shall be required to teach more than twelve credit hours per
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][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; 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. The categories of
duties, 1 through 5 listed below, shall be explicitly stated in the fixed-term
contracts. Unit codes shall contain
evaluation criteria and policies for evaluating fixed-term faculty members for
initial hiring, re-hiring, annual performance evaluation, raises, or
advancement in title, and 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
All 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, personnel committee and unit administrator should determine collaboratively
the appropriate kind of search recommended (search waiver, internal search or
external search).
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, such as (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.
Use of part-time positions should be subject to the same
conditions listed in a-f in the above paragraph. The continuous reappointment of part-time or
temporary positions that do not afford benefits to the candidate 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 following are essential:
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
Promotion usually 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 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 as stated in the contract of the fixed-term faculty.
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.
Equitibility
of salary and benefits for fixed-term faculty members should be reviewed no
later than every other academic year.
When salary increments are provided by the Board of Governors, all
full-time fixed-term faculty who have completed one year of employment and have
been reemployed for a second or subsequent year shall receive raises in
accordance with their annual evaluation and criteria established by the Board
of Governors and the unit code. However, the unit code shall not prohibit a
full-time fixed-term faculty member from receiving a raise in accord with the
applicable raise policies for the academic year as stated in the General
Administration’s raise memorandum to the university.
No fixed-term
faculty member shall be required to teach more than 12 semester hours during
the fall or spring semester, or six hours during the summer term. Any fixed-term faculty member who teaches
more than 12 hours is teaching an overload and will be appropriately
compensated for doing so, with the exception of faculty members who voluntarily
teach special directed readings and like courses.
The
continuous reappointment of faculty members in .75 FTE or greater per academic
year fixed-term positions without
benefits shall occur only if
mutually agreed upon by the faculty member and the unit administrator.
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
The
procedures of 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 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 violates State law and University regulations and may
result in disciplinary action under University regulations. A unit administrator or chair of a personnel
committee, 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)