PROV-004: Employment of Academic General Faculty Members (Tenure-Ineligible)

Date: 01/03/2017 Status: Final
Policy Type: Executive Vice President & Provost
Oversight Executive: Executive Vice President and Provost
Applies To: Academic Division (excludes the College at Wise).
Reason for Policy:

Academic general faculty members provide important academic service to the University community, focusing on teaching, research, integration of professional practice, or clinical service. This policy provides the terms and conditions of their employment, establishing clear standards for review and promotion and affirming their role in faculty self-governance at the University.

Definition of Terms in Statement:
  • General Faculty:

    The term “general faculty” came into use around the start of the 20th century to refer to all faculty members at the University, each of whom held tenure or were eligible for tenure in one of the University’s schools. Today, the General Faculty encompasses all academic faculty at the University and convenes once each academic year to approve the conferral of degrees in each school of the University. In the 1970’s, the University began to hire faculty members who would not be eligible for tenure. They were called “general faculty members” because they were members of the General Faculty but did not hold tenure in a school.

  • General Faculty Members:

    Tenure-ineligible salaried faculty positions that focus on teaching, research, professional practice in an academic discipline, or clinical service, or provide high-level administrative or professional services in support of the institution’s academic mission.

    • Academic General Faculty Members:

      General Faculty Members whose primary responsibilities include teaching, research, professional practice, or clinical service without encompassing the full scope of responsibilities expected from tenure-track faculty positions (e.g., an academic general faculty member could have primary responsibilities for research with minimal or no responsibility for classroom instruction, or have primary responsibilities for teaching and/or clinical practice without research obligations).

    • Administrative or Professional General Faculty Members:

      General Faculty Members whose primary responsibilities (at least 50%) are to provide services to faculty, students, and staff in order to support the institution’s primary missions of instruction, research, and public service (see policy HRM-003, Employment of Administrative or Professional General Faculty Members). Effective January 3, 2017, the University no longer hires Administrative or Professional General Faculty Members. Although tenured faculty holding administrative positions are classified as “Administrative Faculty” for HR purposes for the duration of their administrative assignment, they are not hired as A/P faculty and will not retain that status once their administrative assignment ends.

      Administrative General Faculty Members who perform work directly related to the management of the educational mission and general activities of the institution, department, or subdivision thereof, and whose position is normally within three reporting steps of the president (e.g. the dean of a school).

      Professional General Faculty Members who perform work requiring advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience, normally limited to professional positions serving education, research, medical, student affairs, and other such activities.

Policy Statement:

Academic General Faculty Members provide important academic service to the University community, focusing primarily on teaching, research, integration of professional practice, or clinical service. This policy sets out the requirements for their employment.

Academic General Faculty Members are normally hired within one of the University’s schools. In rare circumstances, they may be hired in a unit reporting to the executive vice president and provost (“provost”) or the president. Such hires require the advance written approval of the provost.

In this policy, all references to schools/deans are intended to refer also to units/unit heads that employ Academic General Faculty Members.

  1. SCHOOL-SPECIFIC POLICIES:
    Each school that employs Academic General Faculty Members is required to publish a school-specific policy that must be approved by the provost.

    School policies must conform to the general requirements set forth in this policy and, where appropriate, provide greater specificity, consistent with the school’s particular needs and structure. School policies should be developed in consultation with the school’s faculty with representation from its Academic General Faculty Members.

    These policies must ensure that Academic General Faculty Members are represented appropriately in matters of shared governance in the school, including, but not limited to, the hiring, evaluation, and promotion of Academic General Faculty Members. School policies may, but are not required to, include Academic General Faculty Members in matters related to the hiring, evaluation, and promotion of tenured or tenure-track faculty members. See Procedure 1, Obtaining Approval for School-Specific Policies on Academic General Faculty Members.

  2. PROFESSORIAL RANKS AND TRACKS:

    1. Ranks and Titles:
      Academic General Faculty Members may hold professorial rank (assistant professor, associate professor, and professor) on the appropriate track (see section II.F, Tracks and, for Academic General Faculty Members in the School of Medicine, see “Faculty Appointment Designations in the School of Medicine”). Academic General Faculty Members in all schools except the School of Medicine may hold a lecturer or instructor rank only as described below (see section III.A. Use of the Lecturer Ranks and, for faculty members in the School of Medicine, see “Faculty Appointment Designations in the School of Medicine”). Formal faculty titles, as defined below in section II.F, Tracks, or “Faculty Appointment Designations in the School of Medicine,” must be used when presenting faculty actions for approval to the University’s Board of Visitors and in all school communications related to a faculty member’s employment (including appointment letters, performance evaluations, recommendations for promotion, etc.). Schools may determine in their policies how and when formal faculty titles will be used in other contexts.

    2. Qualifications:
      With the exception of faculty members on the practice track (see section II.F.3, Academic General Faculty Members who hold professorial rank normally must hold the terminal degree in their discipline. In exceptional circumstances, an individual with significant related experience who does not hold the qualifying terminal degree may be hired with professorial rank. In such cases, the hiring school must request approval in writing and provide a justification for the hire to the provost (see Procedure 3. Documenting Faculty Qualifications).

    3. Initial Appointment Term:
      Academic General Faculty Members hired with professorial rank will be given an initial appointment of: (1) one three-year term or (2) up to three successive one-year appointments. After the successful completion of the initial three-year appointment term, or the three successive one-year appointments, the Academic General Faculty Member will, if renewed, be offered a three-year appointment. Exceptions to these practices must be approved both in writing and in advance by the provost.

    4. Promotion:
      Academic General Faculty Members holding the rank of assistant professor may choose to be considered for promotion to associate professor after serving six continuous years. They may also choose to forego promotion review. A school may renew the contract of an assistant professor who foregoes review but is not required to do so.

      In extraordinary circumstances, the faculty member’s supervisor or manager (usually a department chair, associate dean, or dean) and the faculty member may agree that a faculty member at the assistant professor rank is ready to be considered for promotion prior to the seventh year of continuous service. Promotion review, including consideration for early review, will be conducted in accordance with the school’s policies for Academic General Faculty Members. For more detail regarding the criteria for promotion, see section II.F. Tracks.

      Once a school has completed its promotion review process, the dean will make a recommendation to the provost regarding the promotion of the Academic General Faculty Member. Each recommendation (whether positive or negative) must be supported by written evidence of adequate consideration and review.

      In the event of a negative recommendation, the dean will notify the Academic General Faculty Member in writing with copy to the provost. The faculty member will have thirty (30) days to submit a written appeal to the provost. The appeal will be accompanied by adequate documentation and a statement of reasons as to why the recommendation is believed to be inappropriate.

      The provost will review the dean’s recommendations regarding promotion (both positive and negative). In the event of a negative decision and the receipt of a written appeal from the faculty member, the provost will also review the faculty member’s appeal and related documentation before making a final determination regarding the dean’s recommendations.

      Academic General Faculty Members who have received notice of non-renewal (see section IV.B. Standards of Notice for Non-Renewal) may not initiate the promotion review process.

    5. Renewal and Non-Renewal Following Promotion Review:
      Once promoted to associate professor, the Academic General Faculty Member will continue to be reappointed for three-year terms and may be given notice of non-renewal in accordance with the standards of renewal defined below in section IV.B, Standards of Notice for Non-Renewal, only with the provost’s advance written permission and only if one of the two conditions applies:

      1. The faculty member’s performance falls below the high standards required by the school: At any time, or if the annual performance review or interim evaluations reveal that, the faculty member’s performance is not at a high level, the school will provide the faculty member with written guidance that documents the deficiencies in performance, stipulates that future reappointments are contingent upon significant improvement in performance, and establishes a timeline by which the faculty member needs to demonstrate significant improvements in performance.

      2. The school no longer needs the disciplinary expertise for which the faculty member was hired: Situations that may warrant non-renewal include, but are not limited to, the closure of a specialized center, sustained declines in student enrollment in a particular field, significant curricular redesign, or a change in curricular standards defined by an accrediting agency.

      These conditions apply as well to Academic General Faculty Members hired with the rank of associate or full professor who are renewed after their initial appointment term (see section II.C, Initial Appointment Term).

      For positions supported by contingent funds, the provisions of this section do not preclude schools from giving immediate notice of non-renewal in the event such funds are no longer available (see section VII, Positions Supported by Contingent Funds).

      An Academic General Faculty Member whose promotion review is unsuccessful may request reappointment with the same rank. A school may renew the contract of an assistant professor who has been denied a promotion but is not required to do so. Reappointment following an unsuccessful promotion review will be for three-year terms. The faculty member’s appointment may or may not be renewed at the school’s discretion, so long as the school gives notice of non-renewal in accordance with section IV.B, Standards of Notice for Non-Renewal.

    6. Tracks:
      Schools appointing Academic General Faculty Members with professorial rank must utilize one of three available tracks to identify the faculty member’s primary responsibilities: teaching, research, or practice. The School of Medicine uses a different set of tracks, which are consistent with national practices in academic medicine and which have been approved by the provost (see “Faculty Appointment Designations in the School of Medicine”).

      More specific information on the tracks used within a particular school, the evaluation/promotion criteria associated with each track, and details regarding the promotion review process, will be specified in the school’s policy (or policies) on Academic General Faculty Members.

      The structure of positions that include significant academic leadership responsibilities (such as association deans in the College of Arts & Sciences, undergraduate program directors in other schools, or academic center directors) may vary from the guidelines specified below, including the percentage of time devoted to responsibilities associated with the relevant track and criteria for promotion.

      1. Teaching Track:
        Academic General Faculty Members on the teaching track hold professorial rank (assistant professor, associate professor, or professor). Their formal faculty title will specify both their rank and their membership in the General Faculty (e.g. Assistant Professor, General Faculty).

        Academic General Faculty Members on the teaching track engage primarily in teaching (60–90% of their effort), as well as providing service to the University (10–40% of their effort). Because teaching is the primary responsibility of Academic General Faculty Members on the teaching track, the course load for these positions will often be higher than it would be for a tenure-track or tenured faculty member. Academic General Faculty Members on the teaching track may engage in scholarship that enhances their teaching as part of their primary responsibilities. This does not preclude them from engaging in scholarship that does not enhance their teaching, but such scholarship will not be considered for promotion on the teaching track.

        To be promoted to associate professor on the teaching track, Academic General Faculty Members must demonstrate sustained excellence in teaching and meet or exceed the expectations of their position as defined in their appointment letter or position statement. They also must demonstrate that they have attained a local or regional reputation as a superior educator. Scholarship is not required for promotion unless it is specified as a requirement in the appointment letter or position statement. If required, scholarship for promotion on the teaching track must be evaluated for its contributions to the enhancement of the Academic General Faculty Member’s teaching.

        Promotion to professor on the teaching track requires further sustained excellence in teaching, contributions to the educational capabilities and excellence of the University, and regional, national, or international reputation as a superior educator. Promotion to professor also may require further achievements, as set forth in the school’s policies on Academic General Faculty Members, such as substantial scholarship that enhances their teaching, national contributions to the development of curriculum or pedagogy in their discipline, or many years of extraordinary service to the school or University.

      2. Research Track:
        Academic General Faculty Members on the research track hold one of the following as their formal faculty title: research assistant professor, research associate professor, or research professor).

        Academic General Faculty Members on the research track engage primarily in research (60–100% of their effort). To the extent they are supported by non-grant funds, Academic General Faculty members on the research track may participate in service, prepare new grant proposals, or engage in other activities unrelated to their current grants.

        Academic General Faculty Members hired with the rank of assistant professor on the research track are expected to engage in independent research or contribute to collaborative research efforts. To be promoted to associate professor, Academic General Faculty Members on the research track must establish a substantial record of scholarship appropriate to their responsibilities and leadership in local, regional, or national discipline-related affairs.

        Promotion to professor requires independent research or research support as defined in the appointment letter or position statement, a sustained record of scholarship appropriate to the position, and national or international recognition for contributions to the field. Promotion to professor also may require further achievements, as set forth in the school’s policies on Academic General Faculty Members, such as significant innovations or accomplishments in research or many years of extraordinary service to the school or University.

      3. Practice Track:
        Academic General Faculty Members on the practice track hold one of the following as their formal faculty title: assistant professor of practice, associate professor of practice, or professor of practice).

        Academic General Faculty Members on the practice track focus on integrating professional experience with the academic mission of the school, as well as providing service to the University.

        To be promoted to associate professor on the practice track, Academic General Faculty Members must demonstrate sustained excellence in integrating professional experience with the academic mission of the school, meet or exceed the expectations of their position as defined in their appointment letter or position statement, and receive regional, national, or international recognition for contributions to their professions. Scholarship is not required for promotion unless it is specified as a requirement in the appointment letter or position statement. If required, scholarship for promotion on the practice track should relate primarily to integrating professional experience into academic instruction or scholarly research.

        Promotion to professor on the practice track requires further sustained excellence in integrating professional experience with the academic mission of the school, substantial contributions to the capabilities and excellence of the University, and further recognition for regional, national, or international achievements in the relevant professional field(s). Promotion to professor also may require further achievements, as set forth in the school’s policies on Academic General Faculty Members, such as substantial scholarship related to integrating professional experience into academic instruction or scholarly research, national or international contributions to the integration of professional experience with academic instruction or scholarly research, or many years of extraordinary service to the school or University.

  3. LECTURER AND INSTRUCTOR RANKS:
    This section applies to Academic General Faculty Members in all schools except the School of Medicine. The School of Medicine does not use the lecturer ranks and its use of the rank of instructor, which is consistent with national practices in academic medicine, is governed by separate guidelines, which have been approved by the provost (see “Faculty Appointment Designations in the School of Medicine”).

    These conditions apply as well to Academic General Faculty Members hired with the rank of senior lecturer, senior instructor, distinguished lecturer, or distinguished instructor who are renewed after their initial appointment term (see section III.C, Initial Appointment Term).

    For positions supported by contingent funds, the provisions of this section do not preclude schools from giving immediate notice of non-renewal in the event such funds are no longer available (see section VII, Positions Supported by Contingent Funds).

    An Academic General Faculty Member holding the rank of lecturer or instructor whose promotion review is unsuccessful may request reappointment with the same rank. A school may renew the contract of a lecturer who has been denied a promotion but is not required to do so. Reappointment following an unsuccessful promotion review will be for three-year terms. The faculty member’s appointment may or may not be renewed at the school’s discretion, so long as the school gives notice of non-renewal in accordance with section IV.B, Standards of Notice for Non-Renewal.

    1. Use of the Lecturer or Instructor Ranks:
      Schools may use the lecturer or instructor ranks only when the primary teaching responsibilities associated with the position do not require the qualifying terminal degree. Schools may, for example, not require a qualifying terminal degree for positions that focus primarily on teaching undergraduate competency or technical skills, such as, language acquisition, writing instruction, or computer software applications. Schools are not required to use the lecturer and instructor ranks for these positions. School-specific policies must stipulate whether or not the lecturer and/or instructor ranks will be used and, if so, define criteria (in addition to the criteria defined in this policy) that will be used to determine their appropriate use in the school.

      The lecturer ranks (lecturer, senior lecturer, distinguished lecturer) should be used for positions that deliver instruction primarily to a class or group. The instructor ranks (instructor, senior instructor, distinguished instructor) should be used for positions that deliver instruction primarily to individual students (e.g., clinical supervision, musical instruction, etc.).

      The rank of lecturer also may be held by faculty wage employees (who are not governed by this policy) and other types of employees who assume teaching responsibilities (see policies PROV-026, Faculty Wage Employment, and PROV-008, Teaching Courses for Academic Credit).

    2. Qualifications:
      Academic General Faculty Members who hold a lecturer or instructor rank normally must hold a minimum of a master’s degree in their discipline. In exceptional circumstances, schools may hire individuals with significant related experience who do not hold the master’s degree in their discipline with the provost’s advance written approval (see Procedure 3. Documenting Faculty Qualifications).

    3. Initial Appointment Term:
      Academic General Faculty Members holding one of the lecturer or instructor ranks will be offered an initial three-year appointment or up to three, successive one-year appointments. After the successful completion of the initial three-year appointment term, or the three successive one-year appointments, Academic General Faculty Members will, if renewed, be offered a three-year appointment. Exceptions to these practices must be approved in advance in writing by the provost.

    4. Responsibilities:
      Academic General Faculty Members holding the rank of lecturer or instructor may be expected to perform service in their departments or schools, in accordance with the school’s policy on Academic General Faculty Members. Academic General Faculty Members holding the rank of senior lecturer, senior instructor, distinguished lecturer, or distinguished instructor are expected to contribute service to their department, school, and/or the University, in addition to performing their teaching responsibilities. Teaching responsibilities may be reduced to accommodate increased responsibilities for service activities but teaching must remain at least 60% of the faculty member’s overall responsibilities.

    5. Promotion:
      Academic General Faculty Members holding the rank of lecturer or instructor may choose to be considered for promotion to senior lecturer after serving six continuous years. They may also choose to forego promotion review. A school may renew the contract of a lecturer who foregoes review but is not required to do so.

      In extraordinary circumstances, the faculty member’s supervisor or manager (usually a department chair, associate dean, or dean) and the faculty member may agree that the faculty member is ready to be considered for promotion prior to the seventh year of continuous service. Promotion review, including consideration for early review, will be conducted in accordance with the school’s published promotion review process for Academic General Faculty Members.

      Promotion to senior lecturer or senior instructor requires demonstrated excellence as a teacher. Promotion to distinguished lecturer or distinguished instructor requires further sustained excellence as a teacher and substantial service to the school or University. The specific criteria and types of documentation required for promotion to senior lecturer and distinguished lecturer are defined by each school in its policy (or policies) on Academic General Faculty Members.

      Once a school has completed its promotion review process, the dean will make recommendations to the provost regarding the promotion of the Academic General Faculty Member. The recommendation (whether positive or negative) must be supported by written evidence of adequate consideration and review.

      In the event of a negative recommendation, the dean will notify the Academic General Faculty Member in writing with copy to the provost. The faculty member will have thirty (30) days to submit a written appeal to the provost. The appeal will be accompanied by adequate documentation and a statement of reasons as to why the recommendation is believed to be inappropriate.

      The provost will review the dean’s recommendations regarding promotion (both positive and negative). In the event of a negative decision and the receipt of a written appeal from the faculty member, the provost will also review the faculty member’s appeal and related documentation before making a final determination regarding the dean’s recommendations.

      Academic General Faculty Members who have received notice of non-renewal may not initiate the promotion review process (see section IV.B. Standards of Notice for Non-Renewal).

    6. Renewal and Non-Renewal Following Promotion Review:
      Once promoted to senior lecturer or senior instructor, the Academic General Faculty Member will continue to be reappointed for three-year terms and may be given notice of non-renewal in accordance with the standards of renewal defined below in section IV.B, Standards of Notice for Non-Renewal, only with the provost’s advance written permission and only if one of the two conditions applies:

      1. The faculty member’s performance falls below the high standards required by the school: At any time, or if the annual performance review or interim evaluations reveal that, the faculty member’s performance is not at a high level, the school will provide the faculty member with written guidance that documents the deficiencies in performance, stipulates that future reappointments are contingent upon significant improvement in performance, and establishes a timeline by which the faculty member needs to demonstrate significant improvements in performance.

      2. The school no longer needs the disciplinary expertise for which the faculty member was hired: Situations that may warrant non-renewal include, but are not limited to, the closure of a specialized center, sustained declines in student enrollment in a particular field, curricular redesign, or a change in curricular standards defined by an accrediting agency.

  4. CONTRACT RENEWAL, NONRENEWAL, AND TERMINATION:
    1. Contract Renewals:
      All Academic General Faculty Members must undergo an annual performance review in accordance with the provost’s policy, “Annual Performance Reviews.” No appointment (i.e., contract) may be renewed without a successful performance review. Only designated academic hiring officials as specified in PROV-006, Extending Offers of Employment to Faculty in the Academic Areas are authorized to renew a faculty member’s appointment. Academic General Faculty Members who hold a three-year appointment who are to be reappointed should be notified in writing within three months of said reappointment by a designated academic hiring official.

    2. Standards of Notice for Non-Renewal:
      One-year appointments of Academic General Faculty Members (whether paid over nine or twelve months) carry no expectation of renewal and do not require advance notice of nonrenewal.

      Academic General Faculty Members who hold three-year appointments (whether paid over nine or twelve months) whose appointment (i.e., contract) will not be renewed must receive notice of non-renewal at least twelve months before the expiration of their appointment. Regardless of when they receive notice, they are entitled to twelve months of employment following that notice.

      Schools will abide by the University’s statement on academic freedom when making decisions about a faculty member’s employment contract.

      These standards of notice for non-renewal do not apply to positions supported by contingent funds when such funds are no longer available (see section VII. Positions Supported by Contingent Funds).

    3. Termination for Just Cause:
      Academic General Faculty Members may be terminated for just cause in accordance with the policy, “Disciplinary Suspension or Termination of Academic Faculty.” In the event of termination for just cause, Academic General Faculty Members are not eligible for the standards of notice defined in section IV.B. Standards of Notice for Non-Renewal.

  5. CHANGING TRACKS AS AN ACADEMIC GENERAL FACULTY MEMBER:
    This section applies to Academic General Faculty Members in all schools except the School of Medicine. Professorial ranks and tracks in the School of Medicine are governed by “Faculty Appointment Designations in the School of Medicine,” as approved by the provost.

    In some instances, an Academic General Faculty Member and the dean or head of the school may agree that the faculty member should be considered for assignment to a different track as an Academic General Faculty Member (e.g. from teaching to research). During the annual performance review, the supervisor or manager (usually a department chair, associate dean, or dean) and the Academic General Faculty Member should review the Academic General Faculty Member’s track assignment and either confirm it is appropriate or discuss recommending a change in track to the dean.

    A change in track within the academic general faculty professorial ranks must be approved by the dean. A change from the lecturer ranks to the academic general faculty professorial ranks requires a request from the dean to the provost that includes a clear plan and timeline for promotion review. The provost will review the dean’s request and, if approved, submit a recommendation to the University’s Board of Visitors (see policy PROV-029, Faculty Appointment Types and Titles).

  6. APPOINTMENT TO TENURE-TRACK POSITIONS:
    In selecting candidates for tenure-track positions, the University is committed to principles of both equity and excellence. In most cases, identifying the most qualified available candidates for a tenure-track position requires an open search. Academic General Faculty Members whose qualifications and accomplishments qualify them for consideration for a tenure-track position may apply to such a search at any time. Such application will not affect their current status as an Academic General Faculty Member unless the faculty member is offered and accepts a new appointment on the tenure track.

    In rare circumstances, when the dean (and department chair, if applicable) determines that an Academic General Faculty Member would likely be the best available candidate in an open search in that faculty member’s area of expertise, the dean may request that the provost waive the search. This request must be made in accordance with the procedure, “Requesting an Exception to a Recruitment or Selection Process” (see Related Information).

    If the provost approves the dean’s request, the candidate’s appointment must be approved by the faculty of the tenure home department or school as is customary for that school. The appointment of the faculty member on the tenure track must be handled in accordance with PROV-006, Extending Offers of Employment to Faculty in the Academic Areas. The faculty member’s appointment letter should address the terms and timeframe for tenure, salary, responsibilities, review procedures, and start-up package, if any.

    See Procedure 4, Appointment to Tenure-Track Positions, below.

  7. POSITIONS SUPPORTED BY CONTINGENT FUNDS:
    The employment of Academic General Faculty Members whose salaries are funded from grants, contracts, or private gifts is subject to the continued availability of such funds. In the event such funds become unavailable, faculty members will normally be placed on leave without pay for the duration of their current appointment and given notice that their appointment will not be renewed. The school and the University may, at their discretion, provide temporary funds from other sources to support the faculty member’s position from time to time. Such temporary support does not obligate the school or the University to support the faculty member’s position once the grants, contracts, or private gifts are no longer available, nor does it prevent the school or the University from giving the faculty member immediate notice of non-renewal in the event those contingent funds are no longer available.

  8. CONTRACTS THAT SUPERSEDE THIS POLICY:
    The appointment letter typically serves as a faculty member’s contract of employment with the University. Appointment letters that deviate from the terms and conditions of this policy must be approved in advance and in writing by the provost. The terms and conditions contained in such appointment letters or contracts that have been approved by the dean and the provost supersede this policy so long as they comply with applicable law and are consistent with the policies of the Board of Visitors.

  9. EXPECTATION OF CONTINUED EMPLOYMENT (ECE):
    Individuals who accepted their offer of employment as Academic General Faculty Members prior to January 3, 2017, are eligible to undergo Expectation of Continued Employment (“ECE”) review as provided in the remainder of this section. Individuals serving with ECE prior to January 3, 2017, will continue to do so. Eligible faculty not yet reviewed for ECE may choose instead to be evaluated for promotion in accordance with section II or III of this policy. Once such a decision is made the faculty member’s contract renewal will be governed by section II or III of this policy.

    1. Eligibility:
      Except as limited by contract (see section VIII. Contracts that Supersede this Policy), individuals who accepted their offer of employment as Academic General Faculty Members before January 3, 2017, who occupy positions that are 0.5 Full-time Equivalent (FTE) or greater are eligible for consideration for ECE. Those occupying positions that are less than 0.5 FTE can be eligible only if their eligibility is explicitly provided for in their appointment letter and the exception is approved, in advance, by the dean and the provost.

      Following successful review per the procedures documented below, eligible Academic General Faculty Members serve with ECE with the first reappointment after the sixth year of continuous employment at the University and may be reappointed, reassigned, or terminated only in accordance with the terms of this policy. Academic General Faculty Members who have earned ECE will be reappointed to a term commensurate with the term just completed, so long as the services of the school continue to be the type and scope requiring the faculty member’s high level of professional skills and the annual performance review reveals job performance judged to be at a high level of productivity and effectiveness.

    2. ECE Review Process:
      The ECE Review must be completed before an eligible Academic General Faculty Member may be considered to serve with ECE.

      For eligible Academic General Faculty Members holding one-, two-, or three-year appointments, ECE Review will usually take place in the fifth year of continuous employment; for those with five-year appointments, it will usually take place in the ninth year of continuous employment.

      ECE Review will be conducted by the supervisor or manager (usually a department chair, associate dean, or dean) using written procedures established by the relevant department and/or school and approved by the executive vice president and provost. No supervisor or manager has the unilateral power to award ECE. Any recommendation from a supervisor or manager regarding ECE must follow successful completion of this review process. An eligible Academic General Faculty Member has the right to request that an ECE Review be conducted with reasonable lead-time to allow appropriate consideration during the reappointment process.

      If ECE Review has been successfully completed per the provisions of this policy, the supervisor or manager (if someone other than the dean) may recommend to the dean that the faculty member serve with ECE. If the dean concurs, the dean will then submit a recommendation to the provost that the faculty member be reappointed with ECE. If promotion is a consideration, then the review for (and recommendation of) promotion may be concurrent with the ECE Review.

      The award of ECE requires the affirmative written approval of the provost; absent such written approval, the faculty member does not serve with ECE. The provost may consider the needs of the University and the performance evaluation recommendation in making this final determination. It is the responsibility of the supervisor or manager to ensure that the ECE Review occurs in accordance with this policy.

      Those Academic General Faculty Members who already serve with ECE under a prior version of this policy will not be subject to further ECE Review, although they will be subject to all other provisions of this policy, including an annual review.

      If ECE Review is not positive, or the dean does not recommend that the faculty member be reappointed with ECE, notice of non-reappointment, or the intention not to recommend reappointment, must be given in writing in accordance with the standards of notice described above (see section V.B. Standards of Notice for Non-Renewal).

      An Academic General Faculty Member who is eligible for ECE Review, but who has not been reviewed in a timely fashion, will be reappointed for a term commensurate with the previous term without ECE. An ECE review will be conducted in the year following such renewal. If ECE Review does not occur before the end of this new term, the faculty member may appeal directly to the dean and, if necessary, the provost. If ECE Review occurs before the end of this new term and the recommendation for ECE is negative, notice of non-reappointment or the intention not to recommend reappointment must be given in writing in accordance with the standards of notice described above (see section V.B. Standards of Notice for Non-Renewal).

    3. Appeal of ECE Decisions on Procedural Grounds:
      If a dispute arises over whether ECE Review was accomplished in accordance with this policy, the Academic General Faculty Member may submit a written appeal to the provost, stating the basis for the complaint within sixty (60) days of being notified that he/she will not be reappointed with ECE. Any challenge not filed within sixty (60) days will be deemed waived by the faculty member. The provost can, in addition to reviewing the complaint, delegate the power to investigate the complaint to an employee of the University. The provost has thirty (30) days after receipt of the written appeal to determine if the appeal will be accepted, rejected, or returned to the complainant for further information. The determinations made by the provost are final.

    4. Review Waiver:
      Nothing, however, precludes the eligible Academic General Faculty Member from waiving, in writing, the right to ECE Review and accepting a reappointment for a three-year term without ECE. Once such a waiver has been submitted and approved by the dean, the faculty member will not be eligible for ECE Review in the future.

    5. Contract Renewal and Non-Renewal Under ECE:
      Academic General Faculty Members serving with ECE will be reappointed for another three-year term at least one year before the end of their current contract provided their annual performance reviews affirm that their performance remains at a high level and the services of the school continue to be the type and scope requiring the faculty member’s high level of professional skills. At any time, if the annual performance review reveals that the faculty member’s performance is not at a high level, the school will provide written guidance regarding concerns about performance and stipulate that future reappointments are contingent upon significant improvement in performance. If the faculty member’s performance does not improve to the extent required by the school, the school may, with the provost’s advance, written approval, give the faculty member notice of non-renewal in accordance with the standard of notice defined in section IV.B. Standards of Notice for Non-Renewal.

Procedures:

Implementation of Revised Policy for Current Academic General Faculty Members:

All Academic General Faculty Members will be governed by this policy upon its effective date. Their positions will be evaluated during the course of 2017 for placement in the most appropriate track.

Beginning January 3, 2017, schools, in consultation with the school’s faculty (including representation from its Academic General Faculty Members), will develop school-specific policies in accordance with section I, School-Specific Policies, and Procedure P-1, Obtaining Approval for School-Specific Policies on Academic General Faculty. Policies will be submitted to the provost’s office as soon as possible but no later than June 1, 2017, for review and approval.

On or around January 3, 2018, the provost’s office will solicit feedback from the schools, the Faculty Senate, and the General Faculty Council regarding the implementation of the new policy.

  1. Obtaining Approval for School-Specific Policies on Academic General Faculty: In complying with the provost’s mandate for school-specific policies related to Academic General Faculty Members, schools may either develop separate policies or incorporate specific sections into larger policies governing all academic faculty in the school. School-specific policies (and subsequent significant revisions) must be submitted to the associate vice provost for administration and policy development in the Office of the Executive Vice President and Provost for the provost’s review and approval before they are published or considered effective.

  2. Extending Offers of Employment: See policy PROV-006, Extending Offers of Employment to Faculty in Academic Areas, and the sample conditional offer letter web form and guidelines.

  3. Documenting Faculty Qualifications: Schools requesting approval to hire an Academic General Faculty Member on the teaching or research track who does not possess the qualifying terminal degree must send their request, including a description of the individual’s qualifications/experience and the individual’s curriculum vitae, to the associate vice provost for administration and policy development.

    When hiring Academic General Faculty Members on the practice track, the dean must retain documentation justifying the qualifications of those who do not possess a master’s degree or higher in the discipline.

    All documentation related to the faculty member’s qualifications must be retained in the individual’s personnel record (see policy HRM-044, Maintaining Faculty Personnel Records).

  4. Appointment to Tenure-Track Positions: Deans/unit heads may submit a request to waive a search for a tenure-track position in accordance with the terms of this policy and the related procedure, “Requesting an Exception to a Recruitment or Selection Process,” to the associate vice provost for administration and policy development for the provost’s review and approval. The provost’s office will coordinate review with the Office for Equal Opportunity and Civil Rights (“EOCR”). Once the request has been approved by the provost’s office and EOCR, the school will submit the employment action through the University’s Jobs@ system, including the approved justification in the comments field and attaching the candidate’s current curriculum vitae.
Related Information:

Grievance Procedure for Academic Faculty
Disciplinary Suspension or Termination of Academic Faculty
PROV-006, Extending Offers of Employment to Faculty in Academic Areas

PROV-008, Teaching Courses for Academic Credit

PROV-026, Faculty Wage Employment

PROV-029, Faculty Appointment Types and Titles

HRM-003, Employment of Administrative or Professional General Faculty Members

HRM-044, Maintaining Faculty Personnel Records

HRM-045, Faculty External Consulting and Internal Overload

Policy Background:

First statement about “members of the general faculty and academic tenure” was issued in 1975 by President Frank L. Hereford. “Policy on the General Faculty” first issued in 1987 by vice president and provost, Paul R. Gross, under direction of President Robert M. O’Neil. Revised in 1997 by Provost Peter Low to stipulate standards of notice for non-renewal. Revised in 2006 by Provost Gene Block as policy, HRM-003: Employment of Non-Tenure-Track Faculty, governing both academic and administrative/professional non-tenure-track faculty.

Major Category: Executive Vice President & Provost Policies
Next Scheduled Review: 01/03/2020
Approved by, Date: Executive Vice President and Provost, 12/14/2016
Supersedes (previous policy):
HRM-003, Employment of Non-Tenure-Track-Faculty; Policy on General Faculty.