Faculty Human Resources Overview

1. Faculty Human Resources Overview For additional information contact the Office of Academic Personnel Gwen Burston Director 843-6298 Margaret Anderson HR Specialist 962-1570 Jaime Kelsky HR Consultant 962-4978 Ramona R. Womble HR Consultant 843-6049 Linda Goldston HR Consultant 843-6049

2. Faculty Ranks and Appointment Overview Recruitment and Hiring “Step by Step” Basic Appointment Terms and Conditions Probationary Term Appointments (Tenure Track) Permanent Tenure Appointments and Reviews Joint Appointments Vacation, Sick, and Bonus Leave Medical, Personal, and Other Leaves Faculty Salary Administration Other Compensation Issues External Professional Activities and Conflicts Grievance and Mediation Web Sites of Interest Topics to be covered

3. An Important Caveat! • This class describes overall institutional guidelines and protocols regarding faculty ranks, appointment, promotion, and tenure • Individual Schools and Departments have established policies and procedures which apply these institutional standards • Please ensure that you familiarize yourself with the policies and practices of your specific School • There are important differences from School to School in how faculty appointments are reviewed and processed • When in doubt, consult your Dean’s Office HR staff!

4. Faculty Ranks and Appointments Overview

5. Tenure Code • The “Trustee Policies and Regulations Governing Academic Tenure in the University of North Carolina at Chapel Hill” is the governing document for faculty appointment, promotion, tenure, and related conditions of employment • Refer to this document to assure appropriate resolutions of complex faculty appointment policy questions • The Office of the Provost and University Counsel’s offices can provide assistance in interpreting specific provisions of the Tenure Code

6. Basic Faculty Rank Structure • Lecturer • Senior Lecturer • Professor of the Practice • Instructor • Assistant Professor • Associate Professor • Professor

7. Tenure and Tenure Track

8. Tenured Appointments • A continuous, indefinite appointment that terminates generally as a result of retirement, voluntary termination, or death • Tenured faculty ranks included Professor and Associate Professor • FTE is 100% except in special and unusual circumstances approved by the Provost

9. Tenure Track Appointments • An appointment for a renewable probationary term subject to reappointment • Appointments are entered into with the goal of acquiring tenure • These end either with permanent tenure conveyed or with a “no” tenure decision and non-reappointment • Tenure track ranks include Associate Professor and Assistant Professor; Instructor with Special Provision can also be in the tenure track with a general expectation of promotion to Assistant Professor

10. Tenure Track Appointments Cont’d. • Tenured vs. Non-Tenured Associate Professors • Initial appointments at the rank of Associate Professor are made with permanent tenure generally only if they presently have tenure at another institution • Normally, these are made as 5-year probationary term appointments • Promotions from Assistant to Associate Professor convey permanent tenure • Instructors with Special Provision are appointed in the tenure track with the reasonable expectation that in the normal course of events, they will progress to the rank of Assistant Professor

11. Fixed Term Appointments

12. Fixed Term Appointments • An appointment for a specific period of time, from 1 to 5 years, which automatically terminates at the end of the defined term • Subject to renewal at the option of the Department • Tenure may not be acquired through fixed term ranks

13. Fixed Term Appointments • FTE may be anywhere from 0% to 100% subject to School-based limits; 0% are non-salaried appointments • Appointment is “Permanent” if … • 50% FTE or greater and • 1 year or greater term • Appointment is “Temporary” if … • Less than 50% FTE or • A visiting appointment of 1 year or less at any FTE • Categorized as clinical, research, adjunct, professor of the practice, senior lecturer, lecturer

14. Clinical Fixed Term Faculty • Engaged in teaching or providing a service that supports teaching or the supervising of students in academic, clinical, or field settings • May be reappointed to higher clinical ranks • Fixed term clinical ranks include: • Clinical Instructor • Clinical Assistant Professor • Clinical Associate Professor • Clinical Professor

15. Research Fixed Term Faculty • Engaged in research activities • May be invited to teach subject to relevant effort reporting compliance limitations • May be reappointed to higher research ranks • Fixed term research ranks include: • Research Instructor • Research Assistant Professor • Research Associate Professor • Research Professor

16. Lecturer • Primarily engaged in teaching activities • Typically a shorter term commitment than an Instructor to address near-term or intermittent instructional needs • Appointments may be renewed for fixed terms of one to five years unless visiting which may be appointed for lesser terms • FTE may be anywhere from 5% to 100% subject to School-based limits

17. Adjunct Faculty • Teaching, research, service, or practice activities • Initial appointment or reappointment of 1 to 5 years or lesser terms if a visiting appointment • Individuals usually have employment outside the University or a primary University appointment in a different unit than adjunct appointment • Normally signifies part-time commitment • Generally do not receive a regular salary but may be paid to perform specific activities or services typically via lump sum payments • May be promoted to higher adjunct ranks

18. Adjunct Faculty Ranks • Adjunct Instructor • Adjunct Assistant Professor • Adjunct Associate Professor • Adjunct Professor

19. “Visiting” Faculty • For individuals who will be appointed for one year or less • Provides a mechanism to deliver either regular salary or lump-sum payments • Can be used in special circumstances for anticipated tenure track or tenured appointees preceding BOT approval to provide benefits while their permanent appointment is pending • No more than two consecutive one (1) year terms permitted without a semester break

20. Other Special Fixed Term Ranks • Professor of the Practice • A fixed term appointee who is a senior level expert in a particular field with a prior career of distinguished non-academic achievement • Senior Lecturer • A fixed term Lecturer appointee who has rendered long and distinguished service to the University • Typically evidenced by awards for teaching or service • Based on the level of distinction, an appointment term of 5 years should typically be considered

21. Fixed Term Faculty Performance Review and Promotion • Review and promotion between fixed term ranks is left to the discretion of the individual Schools • Schools should implement policies and procedures to provide fixed term faculty members with regular written reviews and to define standards to achieve promotion within the fixed term ranks. • Promotional Scenarios: • Clinical Instructor to Clinical Assistant Professor • Clinical Assistant Professor to Clinical Associate Professor • Clinical Associate Professor to Clinical Professor

22. Review Question • “Adjunct” is an example of a: • Prefix • Modifier • Rank • Professor

23. Review Answer • Answer: Modifier • A modifier describes the type of rank = Distinguished, Clinical, Research, Adjunct, Associate, Assistant, Distinguished Term, and Vice. • Faculty Ranks = Professor, Associate Professor, Assistant Professor, Instructor, Lecturer, Professor of the Practice, and Senior Lecturer. • Professor is a type of rank.

24. Faculty Recruitment and Hiring Process “Step by Step”

25. “Step By Step” Recruitment and Hiring ** Note: Faculty hiring and review procedures vary by School; this provides a general overview of the process subject to specific policies and procedures in your School. ** • Step 1: Budget position and obtain relevant Department/Dean/Division approvals • Step 2: EEO Recruitment Plan or Waiver Request to the EEO Office; Waivers skip to a vote of the “assembled full professors” (Step 7) • Step 3: EEO Office posts approved positions • Step 4: Receive/review candidate CVs (resumes) • Step 5: Prepare Interim EEO Plan prior to conducting interviews

26. “Step By Step” Recruitment and Hiring • Step 6: Conduct interviews and identify final candidate(s) • Step 7: Candidate CV(s) and letters of recommendation presented to the “assembled full professors” of the appointing department(s) for consultation and voting • Step 8: In consultation with the “assembled full professors” and at the Chair’s recommendation, the selected finalist is advanced as a proposed faculty appointee • In some of the professional schools, the consultation and voting of the “assembled full professors” is at the School-level and not the Departmental-level

27. “Step By Step” Recruitment and Hiring • Step 9: Prepare Final EEO Plan for EEO Office review • Step 10: Department Chair or Dean makes offer to candidate conditional on the appointment receiving all relevant committee approvals, normally using written offer letter • Step 10a: Initiate criminal conviction check via Dean’s Office (Form AP2-bf) • Step 11: Appointments receive School-level review in accord with individual School policies on appointment, promotion, and tenure (APT). • In the College, this review includes the Arts and Sciences Advisory Committee (ASAC) • Other School’s have appropriate APT committees for review of faculty appointee credentials

28. “Step By Step” Recruitment and Hiring • Step 12: Appointments endorsed at the School-level are forwarded to Academic Personnel in the Office of the Provost for review and to confirm completeness of the appointment package • At this point, departments typically initiate relevant hiring EPAWeb action or use EPAWeb Advance Transmittal Form to transmit paperwork to the Provost’s Office when an on-line action cannot yet be completed

29. “Step By Step” Recruitment and Hiring • Step 13: • All fixed term faculty actions except the College receive final approval by Academic Personnel • Health Affairs Tenure track or tenured appointments are referred to the Health Sciences Appointments Committee (HSAC) for review and approval • Step 14: Appointment that are referred to the University Appointment, Promotion and Tenure (APT) committee for review • Appointments which confer permanent tenure • Joint tenured appointments • Chair appointments • Any Distinguished/Named professorship appointments

30. “Step By Step” Recruitment and Hiring • Step 15: After all required committee reviews are accomplished, the hiring action is approved in EPAWeb by Academic Personnel in the Provost’s Office and for tenure track/tenured appointments also by the Chancellor’s Office • Step 16: Appointing department ensures employee completes on-line orientation and submits all required benefits forms • Step 17: Appointing department ensures employee completes I-9 and department initiates Homeland Security EEV check no earlier than date job offer is accepted in writing and no later than 3 business days following start date including 1st day

31. Spousal & Partner Hiring Program (program currently suspended) • The program provides funds from the Office of the Provost on a competitive basis to assist departments in the appointment of accompanying academic spouses • Salary and benefits funding arrangement for accompanying spouse/partner … • Unit which appoints accompanying spouse/partner funds 1/3 • Unit which appoints the recruited faculty member funds 1/3for 3 years • Provost’s Office funds 1/3 for 3 years • After the 3-year period, continued appointment and funding is at the discretion of the unit employing the accompanying spouse/partner • Applications for funding may be made at any time subject to availability of program funds

32. Reminder! • A separate training class is available that covers “EPA Recruitment & Equal Employment Opportunity Topics”. • Check availability on the OHR Training & Development Web site. • Strongly recommended for those who are involved in faculty hiring and appointment processing!

33. Basic Appointment Terms and Conditions

34. Pre-Employment Checks • A criminal conviction check is required for all salaried and non-salaried faculty appointments (including adjuncts) for appointments effective July 1st 2007 or later • Credentials checking is required and should be accomplished by the appointing department • For degrees this includes some certified form of confirmation from the granting institution directly and not provided by the appointee

35. Offer Letters and Terms • A written offer letter should be prepared by the appointing Chair or Dean, as applicable • Use care in ensuring any special terms or conditions are permissible under University and State guidelines • When in doubt, consult with Academic Personnel or University Counsel before making written commitments! • All faculty appointments are subject to the terms and conditions of the University’s Tenure Code and the “Faculty Appointee Certifications and Conditions of Employment” (form AP-2a) • A form AP-2a must be acknowledged under signature by all faculty appointees prior to their start date

36. Faculty Service Period • 12 month faculty work and are compensated for 12 calendar months • Effective dates of appointment may be after the final required Committee and/or Board of Trustees approval • 9 month faculty work the 9 months of the academic schedule and are off during the summer months • Effective dates are January 1st or July 1st • 9 months pay is delivered in 12 equal monthly installments • Work performed in the summer months may be compensated as either summer pay or summer school pay as applicable and not as overload.

37. Benefits • Ensure that once faculty accept and sign an offer of appointment that they are notified about key benefits deadlines • Critical deadlines for benefits enrollment include … • Health insurance start date • Irrevocable election of TSERS or ORP for retirement option; defaults to TSERS if not made by faculty member within 60 days of hire date

38. Fixed Term Appointments and Discontinuation • From 1 to 5 years depending on type of appointment and subject to School-level limits • Exercise care in making lengthy term appointments taking into account that departmental and operational needs may change over time • Non-renewal of a fixed term appointment requires no notice but the Provost’s Office requests that departments give a written notice of at least 30 days, whenever possible

39. Fixed Term Appointments and Discontinuation Cont’d. • A fixed term faculty member may request in writing to the Chair to be notified if they will be reappointed not earlier than 180 days and not later than 90 days before their term end • Within 20-days of receiving such a request, the Chair shall communicate in writing his/her intention to reappoint or not • A failure to communicate this decision shall infer a non-reappointment decision

40. Funding Contingency(all faculty appointments) • Funding contingencies permit an early discontinuation of appointment due to the loss of non-state or non-permanent trust funds; typically contract and grant funds • A funding contingency must be specified on all appropriate paperwork to assure inclusion in the official appointment letter which governs the appointment terms • Letter from Dept. Chair recommending appointment • AP2 Form checkbox • Appropriate flag in EPAWeb action

41. Funding Contingency Cont’d. (all faculty appointments) • When present, a funding contingency permits early discontinuation of fixed or probationary term appointment without notice • Provost’s Office asks departments to provide a minimum courtesy 30-day notice, whenever possible in the event of discontinuations due to loss of funding • Exercising a funding contingency for a tenured faculty member requires advance consultation with the Provost’s Office • All terminations due to funding contingency should be accomplished in writing

42. EEO Considerations for Discontinuation and Non-Reappointment Decisions • Discontinuation or non-reappointment decisions, regardless of reason, may never be on the basis of or influenced in any way by legally impermissible reasons or considerations. • Such impermissible factors include race, gender, creed, ethnicity, age, pregnancy, and other legally protected statuses in conformance with the University’s EEO policies.

43. Post-Appointment Salary and FTE Changes • Each appointment represents a contractual commitment between the University and the employee • If requested in writing at the employee’s specific request and totally of a voluntary nature: • No legal notice requirement • With a funding contingency and due to a funding loss … • No legal notice requirement, provide 30 day courtesy notice, whenever possible • Unrelated to funding or with no funding contingency clause in appointment letter: • May only change at term end for fixed term or probationary term appointments • An amended appointment letter is required to communicate change in writing!

44. Review Questions • A Research Assistant Professor began a three (3) year term on January 1, 2007. The department will not be renewing the Research Assistant Professor’s contract. How much notice is required to be given? • What if the Research Assistant Professor requests in writing to the Chair to be notified if his/her contract will be renewed?

45. Review Answers • No notice of cessation is required; however, the Provost’s office recommends at least 30 days if there is knowledge that the contract will not be renewed. • A fixed term faculty member may request in writing to the Chair to be notified if they will be reappointed not earlier than 180 days and not later than 90 days before their term ends. Within 20 days of receiving the request, the Chair shall communicate in writing his/her intention to reappoint or not. A failure to communicate this decision shall infer a non-reappointment decision.

46. Probationary Term Appointments (Tenure Track)

47. Review and Approval of Tenure Track and Tenure Appointments

48. Tenure Track and Tenure Review and Approvals • Review and recommendation of prospective tenure-track and tenured faculty appointees made by the Department Chair in consultation with the “assembled full professors” • In some Schools, the “assembled full professors” are within a specific appointing department and in other professional schools, the assembled professors are of a specific rank from the entire School • If there are less than 4 full professors in the department, then the Dean should designate additional faculty to serve on a committee for personnel actions • The recommendation of the relevant Chair is reviewed and approved by the Dean prior to moving upward in the approval chain for further administrative and committee review

49. Review Committees • School-level APTs: Appointment, Promotion and Tenure Committees • ASAC: Arts & Sciences Appointments Committee for The College • HSAC: Health Sciences Appointments Committee for all Health Affairs Schools (e.g., Medicine, Public Health, Dentistry, Nursing, Pharmacy)

50. Instructor Probationary Term Appointment