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Developed by Catherine Archibald LongstrethAssociate Vice President, EmeritusUniversity of Florida Institute for Academic Leadership2000
IN THE SPOTLIGHT Authority and Responsibility of Academic Administrators
GENERAL POLICY A university and the Board of Regents retain and reserve the right to plan and manage universities in the State University System.
Generally, this responsibility rests with the chair or supervisor, although in some academic units the dean or director is the responsible administrator.
APPOINTMENTS • The chair or supervisor is responsible for the recommendation and offer to appoint an individual to the faculty. • The initial responsibilities are: • to initiate the search process • to advertise and recruit • to initiate and coordinate search • to consult with faculty and others • to offer employment, recognizing that employment offer constitutes legal contract
Employment Offers or Contracts • Offers should include the: • position offered and tenure status • criteria for T/P/PS • period of employment and effort (FTE) • salary offered • duties and responsibilities of position
And…the • general assignment (noting it is subject to change) • special conditions of the employment • statements regarding • outside activities • compliance with institutional rules • compliance with intellectual property policy • notice of cessation statement or non-renewal provisions, as appropriate
Some Points to Remember Everyone, regardless of appointment, should have an appointment letter. Appointments must be renewed annually.
Only tenured/permanent faculty- have the right to continuing appointments. Others- have the right to notice of non-renewal
If an appointee: • is transferring within SUS, an understanding about any • transfer of leave and the tenure status should be clearly stated. • is on multi-year appointment, the term of the appointment should be clearly stated.
If an appointee: is on a limited appointment or “soft money” funds, the cessation statement or notice of non-renewal requirements should be included: - in the appointment offer/letter, and - in the re-appointment letter
ASSIGNMENT AND RESPONSIBILITIES The chair or supervisor is responsible for the assignment of duties and determining that the employment responsibilities are met. • Responsibilities include: • informing the faculty member in writing of assigned duties and responsibilities. • providing the faculty member with: • › the opportunity to discuss the assignment or any changes prior to effective date. • › assignments that provide faculty members equitable opportunities to meet required criteria for personnel decisions.
And: • providing assignments that comply with the “12-Hour Law.” • assuring that time and effort is expended as assigned. • developing and implementing means of assessing performance. • changing the assignment, if necessary and if so, notifying the faculty member in writing.
Everyone -- regardless of the type of appointment (i.e., courtesy, adjunct, volunteer) -- should have some type of assignment letter indicating the: › responsibilities of assignment › relationship to the institution › duration of appointment
There is no guarantee of a specific assignment. Equitable means fair -- not a guarantee of a specific type of assignment. Assignments are subject to change at any time. Faculty must be held accountable for the assignment.
PROFESSIONAL RESPONSIBILITIES AND OBLIGATIONS The chair or supervisor is responsible for advising the faculty member of his/her professional responsibilities and obligations to the university. An assignment should include those professional responsibilities in both . . . › scheduled and non-scheduled activities › attendant professional responsibilities and obligations
Faculty do not work by the hour • AY (academic year) Faculty - Work 9 month contractual period. • 12 month Faculty - Work 12 month contractual period. • Expectation - Minimum of 40 hours per week.
The Chair’s responsibilities include: • • counseling with a faculty member who is not meeting the responsibilities and obligations of employment. • • providing suggestions to assist the faculty member in correcting the concerns. • • stating the consequences if the concerns are not resolved or corrected. • • following up to see if the concerns are being addressed by the faculty member. • • taking those actions necessary if the concerns are not corrected or responsibilities met in a satisfactory manner.
EVALUATION The chair or supervisor is responsible for the evaluation of the faculty. • An evaluation should: • assessperformance • review concerns • improve performance • recognize accomplishments • encourage professional development • state consequences • serve as a basis for employment decisions.
Evaluation . . . • The primary assessment of the faculty • member’s competency shall be in the: • performance of both assigned duties • and • professional responsibilities and • expectations.
Professional responsibilities and expectations • include: • › observing ethical standards of the discipline; • › participating in collegial governance; • › respecting the integrity of the relationship between professor and student; • › following all conditions of applicable research or other contracts and grants; • › adhering to proper role as teacher, researcher, professional, mentor and counselor.
Faculty members should have the opportunity to submit information relevant to the evaluation process, such as: › annual reports › copies of the faculty member’s instructional materials (syllabi, tests, bibliographies, etc.) › copies of research materials (abstracts, works in process, publications, etc.) › suggestions and comments to the chair. › evaluations of classroom instruction
A peer review process provides advisory input into the evaluation process by: › observations of classroom teaching › reviews of annual report › recommendations on salary decisions
The annual evaluation should be used in personnel recommendations and decisions including: › retention, › non-renewal, › tenure and promotion, › salary increases, › awards, and › sustained performance review(SPR)/ post-tenure review.
The written annual evaluation may include, where appropriate: • the notice of reappointment, and • the proposed general assignment for the next academic year and supplemental assignment, if appropriate.
And include: • the progress the faculty member is making toward tenure status and/or promotion (must be a separate component for in-unit faculty). • the results of the Sustained Performance/Post- tenure review. • a cessation of employment notification statement or 90-day notice for those on soft money, temporary faculty or those employed for a limited period of time.
NONRENEWAL OF APPOINTMENTS The chair or supervisor is responsible for the annual renewal or the notice of cessation of employment or non-renewal of appointments of non-tenured or non-permanent status faculty. • The responsibilities include • making the employment decision. • recognizing that all non-tenured/ non-permanent faculty are entitled to proper written notice of non-renewal.
The process of non-renewal includes: • › providing appropriate written notice of non-renewal. • › meeting with the faculty member to discuss the non-reappointment. • › providing, upon written request, reasons for the non-renewal. • › providing recall rights, if appropriate.
In the first five years - appointees on “soft money” or limited appointments should be informed of: Statement regarding “No further notice of cessation of employment.” Absent a cessation notice statement or after five (5) years, a written 90-day notice is required.
If a contract period begins with no notice of non- renewal or “cessation statement,” it is in force for its term. A non-renewal date cannot occur during the term of a contract.
An administrator has the right to exercise the option to non-renew an appointment of a non-tenured or non-permanent status faculty with the appropriate notice. • Reasons for the non-renewal do not have to be based on performance, • but may not be illegal, and • must be provided if requested. Non-renewed
SALARY DETERMINATIONS The chair or supervisor is responsible for recommending or determining the salary of a faculty member. • By informing faculty how they are paid: • at the effective date determined by the Chancellor and/or legislative action; • in accordance with the Appropriations Act and institutional policy; • at regular bi-weekly intervals established by the State Comptroller; • with normally not more than one salary increase per 12 month period.
And by: • certifying that the assignment has been performed for each bi-weekly pay period and authorize a salary payment. • discussing and explaining the basis for salary determinations or recommendations.
ensuring that salaries paid with contract and grant funds are consistent with work performed and contract terms.
All salaries are open to the public. Salary reviews and discussions may assist a faculty member in understanding the fiscal concerns affecting his/her salary when compared to colleagues. Salaries and raises should normally correspond to the assessment of performance of assigned duties and professional responsibilities and obligations.
According to Policy: • Salary raises or increases may be awarded or granted at other than raise time if: • successful applicant for nationally advertised search. • additional duties are assigned. • administrative supplement. • bonuses, awards, etc.
PROFESSIONAL MEETINGS AND ACTIVITIES Chairs or supervisors should encourage and provide opportunities for faculty members to participate in professional development activities. • Responsibilities include determining if such attendance is: • › consistent with duties and professional responsibilities including contract and grant obligations; • › relevant to professional development; and • › beneficial to the department, college or the institution.
approving the dates of attendance. • determining and informing the faculty member of what expenses will be covered, if applicable. • explaining the reasons for the decision - either approval or denial.
TENURE, PERMANENT STATUS AND PROMOTION The chair or supervisor is responsible in these personnel processes as follows: • providing the institution’s criteria and procedures to faculty members. • establishing appropriate departmental evaluation procedures. • reviewing and advising annually the progress toward tenure and permanent status -- and toward promotion, if requested.
And: • serving, with other faculty, as a mentor. • providing evaluations that indicate progress toward tenure or promotion. • initiating the tenure and promotion review process, as appropriate. • providing a recommendation on tenure or permanent status. • giving notice of non- renewal by the end of the sixth year of service, if required. • explaining the reasons for the action taken.
The chair is critical in these processes (critic mentor, advocate, evaluator, etc.). • But — • The candidate is responsible for completing the nomination packet in a timely manner. • The nomination packet (or portfolio) “belongs” to the candidate. • The candidate should receive a copy of anything added and be able to respond before the nomination packet is reviewed.
If a faculty member is: • not making appropriate progress, the chair should consider non- renewal. • re-appointed without any indication of concerns, the chair should normally be supportive of the tenure. • Tenure must be granted by the end of the 6th year or the faculty member given notice of non- renewal.
EVALUATION AND EMPLOYMENT FILES AND RECORDS The chair or supervisor has the right and responsibility for maintaining employment and personnel files. • This includes: • maintaining information relevant to the faculty member’s duties and responsibilities. • informing the faculty of the location of the evaluation file used in the annual assessment process. • providing access to the file.
ensuring that: • 1. the records are current. • 2. no anonymous material is placed in the evaluation file and • reviewing records periodically to make sure they • are maintained appropriately. • Evaluations of faculty are not subject • to public access.
Departmental files should contain information used: • in the evaluation process; • in the conduct of departmental business, etc. • There may be more than one file. • administrators may keep a file for easy reference -working notes are generally not subject to public access.
PHASED RETIREMENT The chair or supervisor has the right to determine if a person is eligible to participate in the phased or post retirement program. • Responsibilities include: • determining eligibility to enter the retirement program. • providing the reason(s) for denial. • scheduling the periods of the retirement program. • providing letters of evaluation, assignments, etc.. during the reappointment period. • providing raises as appropriate.
Provisions - guaranteed one-half time employment. Participants are paid retirement and salary. Eligibility - if vested (10 years) in the Florida Retirement System or in the Optional Retirement Program.
Requirements: • Must occur within 1 year after reaching age 62 (in the phased retirement program) • One month off payroll • Employment not more than 780 hours first 12 months • Paid by OPS • Other types of re-employment arrangements may be made.
OUTSIDE ACTIVITY/CONFLICT OF INTEREST The chair, supervisor and dean or director of the college or unit have the responsibility to ascertain that the faculty member’s responsibilities and duties to the institution are not being abrogated by an activity. • By informing faculty: • of their responsibilities for disclosure of activities outside or within the institution which may constitute a conflict: • › institutional vs private interests › conflicting time commitments or distribution of effort. • of the reasons the activity is deemed a conflict of interest or an interference with the obligations to the institution.
By approving or denying requests: for such activity for the use of institutional facilities, equipment or services. By advising faculty member of any: conditions charges But adherence to outside activity/conflict of interest laws and rules and disclosure is the responsibility of the faculty member.