February 21, 2006
Attachment 4.
FACULTY
GOVERNANCE COMMITTEE REPORT
Proposed
revisions to the ECU Faculty Manual Appendix C. Personnel Policies and Procedures for the Faculty of
East Carolina University
The
Faculty Governance Committee proposes
the following revisions and have noted them by additions in underlined
print and deletions in double strikethrough.
PERSONNEL POLICIES AND
PROCEDURES FOR THE FACULTY OF
CONTENTS
I. Selection and Appointment of New Faculty
A. Determination of Number and Nature of
Positions
B. Selection Procedure
C. General Criteria
D. Specific Criteria for Appointment
E. Initial Appointment
II. Assignments
A. Assignment of Teaching Responsibilities
B. Assignment of Released Time
III. Evaluation
IV. Professional Advancement
V. Salary
A. Initial Salary
B. Determination of Annual Salary Increments
VI. Faculty Personnel Files
VII. Amendment Procedure
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 positions is the prerogative of
the vice chancellor for academic affairs, the vice chancellor for health
sciences and dean of the , and the
vice chancellor for student life, as appropriate.
The unit administrator is responsible for
recommending through administrative channels to the vice chancellor for
academic affairs, the vice chancellor for health sciences and dean of the
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]
For appointment, as well as reappointment and
promotion, the faculty member is evaluated on potential or achievements in:
·
Teaching
·
Creative Activity/Research
·
Service to the university, the profession, and the
community.
1. Teaching
2. Creative Activity/Research
3. Service
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
Tenure-Track 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 demonstrableteaching 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 terminal 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 and 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 extended periods of time is a
misuse of this title.
4. Emeritus
status
The titles “emeritus” and “emerita” will be conferred
upon those retired tenured 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.
D. Specific
Criteria for Appointment
Among the many qualifications which may be considered
when making appointments, the following are essential:
Instructor - Evidence of a sound
educational background for the specific position, including sufficient progress
toward a terminal degree that the degree will be obtained within a short period
of time as agreed upon by the academic unit and the appointing officer; and
evidence of teaching capacity. (
Assistant Professor - Qualifications of the
previous rank; an appropriate terminal degree, as evaluated by the academic
unit and affirmed by the appointing officer and the profession concerned;
evidence of potential for continued
professional growth which shall be in part measured
by teaching effectiveness, creative activity/research; and membership in
professional organizations.
Associate Professor - Qualifications of the previous
ranks; evidence of teaching effectiveness; a record of creative or research
activity resulting in publication or comparable productivity; a record of
participation in organizations; effective service on academic and/or
administrative committees, and a record of effective service to the profession.
Professor - Qualifications of the
previous ranks; an established record of excellence in teaching; a record of
significant publication or creative activity, or research activity; and a
record of significant service to the profession, such as
contributions to the development of public forums,
institutes, continuing education projects, and patient services; consulting in
the private and public sectors; and a record of significant contribution as a
member of academic and/or administrative committees. (
Notwithstanding any previous statement that has
appeared herein, competence for appointment 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.
E. Initial
Appointment
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.
III. Evaluation
Each faculty member with a probationary term
appointment and each permanently tenured faculty member 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 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
·
shall 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 after
completing the evaluations of unit members.
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 tenure-track 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
local, state and national governments; contributions to the development of
public forums, institutes, continuing education projects, patients 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. Professional Advancement
Promotion is a means through which professional
achievement is encouraged, recognized, and rewarded by the university.
Evaluation of faculty for purposes of promotion 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 consistent with the criteria
in their school’s unit code. Specific
regulations and criteria governing evaluation of faculty for purposes of
promotion may vary from unit to unit. As a minimum each unit shall:
· apply published criteria in teaching and creative activity and
service for evaluating faculty for promotion;
· 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 recommendations.
Upon request by the faculty member, the unit
administrator and the unit personnel committee shall evaluate the faculty
member for promotion. Following such evaluation, the unit administrator and the
personnel committee shall inform the faculty member of their respective
recommendations. Promotion 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, Appendix
D. Among the many qualifications which
may be considered when making recommendations for promotion, the following are
essential:
Assistant Professor -
Qualifications necessary to be appointed to the rank of instructor, an
appropriate terminal degree, as evaluated by the academic unit and affirmed by
the appropriate administrative officer and the profession concerned; a record
of progress toward teaching effectiveness; and evidence of a potential for
continued professional growth which shall, in part, be measured by creative
activity/research and membership in professional organizations.
Associate Professor -
Qualifications of the previous rank; evidence of teaching effectiveness; a
record of creative or research activity resulting in publication or comparable
productivity; a record of participation in professional organizations;
effective service on academic and/or administrative committees, and a record of
effective service to the profession.
Professor - Qualifications
of the previous ranks; an established record of excellence in teaching; a
record of significant publication, creative activity, or research activity; a
record of significant service to the profession, such as contributions to the
development of public forums, institutes, continuing education projects, and patients
services; consulting in the private and public sectors; and a record of
significant contribution as a member of academic and/or administrative
committees. (
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.
V. 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.
VI. Faculty Personnel Files
[Please refer to interpretation #I90-1 located in the
Index of ECU Faculty Manual Interpretations.]
Please see the ECU Faculty Manual, Part VI. for
further information on state statutes and ECU policy concerning faculty
personnel files. (
VII. 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
Approved:
18 March 1994
Amended:
Faculty Senate Resolution #97-20, April 1997
Faculty Senate Resolution #97-43, December
1997
Interpretation made to Section VI. (2-15-90)
Faculty Senate Resolution #99-7, March 1999
Faculty Senate Resolution #00-12, March 2000
Faculty Senate Resolution #05-09, April 2005
[1]For policies and procedures dealing with persons on fixed
term appointment, ECU Faculty Manual,
Appendix D.
[2]These criteria are not designed to be used for persons with
administrative rank to evaluate their administrative service. Criteria for that purpose shall be developed
by proper administrative authority.
[3]Reference to the chancellor's designee shall include and be
limited to the vice chancellor of academic affairs, vice chancellor for student
life, or the vice chancellor for health sciences.
[4] With respect to
Appendix C, Section III. Evaluation, “academic units” are defined as:
departments described in the codes of operation of professional schools, the
departments in the College of Arts and Sciences, professional schools without
departments, Academic Library Services, Health Sciences Library, and any other
units in which faculty evaluations are made.
In the