Southern Arkansas University Magnolia. Faculty Handbook 12 th Edition

Transcription

1 Southern Arkansas University Magnolia Faculty Handbook 12 th Edition Edited by the Faculty Senate Handbook Committee Stacy Clanton, Chair Pat Clanton Bernadette Fincher Shannin Schroeder With additional assistance from Roger Giles, Vice President for Administration and General Counsel Recommended by the Faculty Senate and adopted by the Faculty Assembly Approved by the Board of Trustees August 3, 2016 Updates as of August

2 Table of Contents I. General Information about Southern Arkansas University... 3 II. Organization within the University... 6 III. Faculty Assembly... 7 IV. Constitution of the Faculty Senate V. Standing Committees of the University VI. Executive Council, Quality Leadership Team, and Quality Control Preamble 31 VII. Academic Policies VIII. Academic Freedom, Responsibility, and Tenure IX. Evaluation of Faculty and Administrators X. Faculty Appointment, Tenure, and Promotion Guidelines XI. Search Policy for Faculty and Academic Administrators XII. Appendices A. Organizational Chart B. Academic Organizational Chart C. Request for Approval of Class Absence D. Timelines for Promotion, Tenure, and Administrative Evaluation E. Development Plan F. Annual Summary of Professional Activity G. Faculty Evaluation and Progress Review Form H. Peer Evaluation Form I. Student Survey Form J. Administrator Rating Form K. Sample Contract L. Flow Chart for Faculty Promotion and Tenure Process M. Recommendation Summary and Routing (Form C) N. Faculty Member s Statement (Form D) O. Department Chairperson s Recommendation (Form E) P. College Tenure and Promotional Council s Recommendation (Form F) Q. Dean s Recommendation (Form G) R. University Tenure and Promotion Council s Recommendation (Form H) S. Notification of Tenure/Promotion Application (Form I) T. Academic Vice President s Recommendation/President s Recommendation (Form J) 122 2

3 U. Human Resources Requisition I. General Information about Southern Arkansas University A. Mission Statement Southern Arkansas University is a two-campus system comprised of a technical college with both state and regional responsibilities and a regional state university. Recognizing the diversity of student backgrounds and educational experiences, each campus accepts its coordinated and unique role. The University believes its mission is to educate students for productive and fulfilling lives by providing opportunities for intellectual growth, individual enrichment, skill development, and meaningful career preparation. It recognizes that to accomplish its mission, the University will support selected research. Further, the University believes in the worth of the individual and it has a responsibility for developing in its students those values and competencies essential for effective citizenship in an ever changing, free, and democratic society. B. Role and Scope of Southern Arkansas University (Approved by the Arkansas Higher Education Coordinating Board, July 25, 2008) 1. Audiences Southern Arkansas University (SAU) in Magnolia is responsible for serving: a. residents of southwest and south central Arkansas who have completed a high school education and are seeking either a college degree or continuing professional education and residents of the state through specific degree programs and services. b. employers in the region, both public and private school districts, health care providers, local governments, and private businesses. c. economic development interests and entrepreneurs in the region. d. the community and area by providing a broad range of academic and cultural activities and public events. e. area K-12 schools seeking college general education courses for advanced students. f. Two-year college transfer students. 2. Array of Programs and Services SAU serves its primary audiences by providing: a. an associate- and baccalaureate-level program in nursing. b. baccalaureate programs in arts and humanities, the natural sciences, and social sciences appropriate to a teaching institution with a predominantly undergraduate student body. c. baccalaureate programs in the professional fields of business, education, nursing, and human services (i.e., social work and criminal justice). d. masters programs in education, computer science, kinesiology, counseling, public administration, business administration, and agriculture. e. services specifically designed to meet the needs of regional economic development (small business development, support for entrepreneurs, problem-solving). 3

4 3. Special Features a. Agriculture and education programs. b. Regional natural resources research with emphasis in lignite development. c. Nursing programs to assist regional medical community needs. C. University Learning Goals To accomplish the University s mission to educate students, the general education curriculum and all program curricula provide learning opportunities that assist students in attaining the following University Learning Goals and Objectives: 1. Effective Communication Our graduates can communicate effectively. Effective communication embraces oral, visual, and language arts, including the ability to listen, speak, read, and write. It includes the effective use of various resources and technology for personal and professional communication. Our students can write effectively. Our students can effectively deliver an oral presentation. 2. Personal and Social Responsibility Our graduates are prepared to be personally and socially responsible citizens, having the ability to apply knowledge and skills that encourage responsible civic engagement for the advancement of society. This includes an understanding of their own and other cultures and societies and the ability to make informed and ethical decisions. Our students demonstrate an understanding of the diversity of their own and other societies and cultures. Our students demonstrate an understanding of the process of making informed and ethical decisions. Our students demonstrate an understanding of facts within historical and cultural contexts. 3. Critical Thinking Our graduates can think critically, solve problems, and make informed decisions. Critical thinking is the ability to analyze, synthesize, and evaluate information and ideas from multiple perspectives. It includes the accurate use of terminology, information literacy, the application of scholarly and scientific methods, logical argument, and the capability for analysis and problem solving. Our students use appropriate quantitative skills in making decisions. Our students demonstrate an ability to think critically and creatively to analyze and solve problems. 4. Information Literacy Our graduates can use technology effectively in their fields. Information literacy is the ability to determine the nature of required information, to access it effectively and efficiently, and to evaluate it critically. It includes the responsible, legal, and ethical use of information. 5. Content Knowledge Our graduates have content knowledge in their chosen fields and the necessary skills to be successful. Content knowledge is discipline and degree specific. 4

5 As one means of attaining the mission of the University and of providing the student with a basic wellrounded education, all candidates for degrees complete prescribed general education courses. The general education curriculum includes courses that introduce and reinforce learning objectives for the following goals: Effective Communication, Personal and Social Responsibility, and Critical Thinking. To accomplish the University s mission to educate students, all candidates for degrees complete the prescribed major and minor requirements of the University s degree programs. Curricula in all programs reinforce the learning objectives for effective communication, personal and social responsibility, and critical thinking; curricula in all programs also introduce and reinforce learning objectives for the following goals: Information Literacy and Content Knowledge. The University measures student learning related to all five University Learning Goals and uses this information to continuously improve the curricula. Assessment reports that describe the ways these goals are integrated into classes are available through the Office of Institutional Effectiveness and are reported within the University s AQIP Systems Portfolio. D. Accreditation Southern Arkansas University is accredited by the Higher Learning Commission and a member of the North Central Association (AQIP Participant), AACSB International, the National Association of Schools of Music, the National Council for the Accreditation of Teacher Education, the National League for Nursing Accrediting Commission, Council on Social Work Education, and Commissions on Accreditation of Athletic Training. E. Memberships SAU holds memberships in several national organizations. These include the American Association of Colleges for Teacher Education, American Association of State Colleges and Universities, American Association of University Women, American Council on Education, National Association of Schools of Music, National Collegiate Athletic Association, National Commission on Accrediting, National Council for the Accreditation of Teacher Education, National Council of Educational Opportunity Associations, the North Central Association of Colleges and Schools (30 North LaSalle Street, Suite 2400, Chicago, IL, ; or ), and the National League for Nursing. F. A Brief History of the University Southern Arkansas University (SAU) was founded more than a century ago as the Third District Agricultural School (TDAS) by Act 100 of the Arkansas legislature on April 1, SAU celebrates this date as Founder s Day. The school was a Progressive Era educational reform urged by the Farmers Educational and Cooperative Union. It taught rural young men and women scientific agricultural practices and modern home economics and awarded high school degrees. The Farmers Union s legacy endured at SAU. The University operates one of the state s largest collegiate farms, and the school s colors Blue and Gold are those of the union. SAU s agricultural roots are also evident in its unique symbol the Mulerider adopted in 1912 when its football players rode mules to practice and games. 5

6 To increase the supply of rural schoolteachers, Arkansas elevated TDAS and the state s three other residential agricultural schools to junior college status with Special Act 229 in 1923 and Act 45 in Officially renamed State Agricultural and Mechanical College, Third District, the school was known everywhere as Magnolia A&M College. The North Central Association of Colleges and Secondary Schools accredited Magnolia A&M in The institution afterward has maintained continuous accreditation. In the fall of 1949 the Board of Trustees, exercising authority vested in it by the state legislature, decided to change the junior college into a four-year, degree-granting institution. By Act 11 on January 24, 1951, the legislature confirmed this change with a new name, Southern State College (SSC). Enrollment grew from a few hundred students during the junior college years to well over two thousand during SSC s twenty-five year history. The Arkansas legislature, with Act 171 on February 14, 1975, created a three-campus SSC system by adding two junior college branches at El Dorado and Camden to the main campus at Magnolia. The El Dorado branch, however, became independent in Having gained approval in 1973 from North Central Association to offer graduate courses in education, SSC began offering master s degrees on June 2, II. Organization within the University A. Board of Trustees Government of the University is vested in the Board of Trustees, consisting of five members who are appointed by the Governor and confirmed by the Senate of Arkansas. Each board member serves a five-year term. Terms of appointment are staggered so that one member is appointed each year. The Board determines the general policies of the University and approves expenditures of its funds. B. Administrative Officers The Organizational Chart (see Appendix A) illustrates the structure of the University s internal administrative organization and its relationship to the Board of Trustees. C. Academic Organization An Academic Organization Chart (see Appendix B) illustrates the structure of the academic programs of Southern Arkansas University, which are administered by the Vice President for Academic Affairs. The University is organized into four colleges (the College of Business, the College of Education, the College of Liberal and Performing Arts, and the College of Science and Engineering), and the School of Graduate Studies. The library director, the 6

7 registrar, the director of continuing education, and the director of the Honors College all report directly to the Vice President for Academic Affairs. Continuous Quality Improvement The University s commitment to continuous quality improvement is the subject of section VI of this document. The Academic Quality Improvement Program (AQIP) model of accreditation is a quality-based, continuous improvement model of accreditation promoted by the Higher Learning Commission (HLC), and ratified by the University in D. Faculty Governance The Faculty Assembly and the Faculty Senate are the subjects of Sections III and IV of this document, and their roles in the overall functioning of Southern Arkansas University are described there. E. Communication The channels of communication are a two-way process. One way involves communication from administrative officers to faculty. The other involves communication from the faculty to the administration. Thus, channels of communication operate throughout the University by means of individual discussion, written communication, and committee reports. Any faculty members should feel free to discuss any program or problems related to the University with the administrative staff members concerned with the program or problems. However, faculty members are encouraged to indicate this intention to their immediate supervisor. Communication among the various constituent groups of the University is achieved through a variety of means including: electronic mail messages sent to individuals or groups, campus mail, with slots for each department and office within the University, regular and called meetings of departments, colleges, the Faculty Senate, and the Faculty Assembly, minutes of meetings of the Faculty Assembly, the Faculty Senate, and certain ad hoc committees, which are distributed to the faculty, other written communications and discussions, The Bray, the student newspaper, and The Bulletin, a periodic faculty and staff newsletter. III. Faculty Assembly The administrative and instructional staffs compose the faculty of Southern Arkansas University and operate under a Faculty Constitution. One of the purposes of this organization is to maintain democratic processes. Much of the work of the faculty is done through the 7

8 Standing Committees of the University or ad hoc committees. See Section V for Standing Committees of the University. The vice president for academic affairs, in consultation with the president of the University, prepares an agenda for the Assembly meetings and sends a copy of the agenda and the time of the meeting to each faculty member. Items to be considered for the agenda may be submitted by the Faculty Senate, other Standing Committees of the University, or any faculty member. The president of the University is president of the Assembly and presides at its meetings. In the absence of the president, the vise president for academic affairs presides. The Faculty Assembly expects each member of the Assembly to attend meetings. The Faculty Assembly Constitution Preamble Efficient operation and democratic process are two ideals for which most American institutions strive, and while the unfaltering quest for either may impair the attainment of the other, history shows that if either is totally absent, the other will not long endure. It is the purpose of the Constitution to provide a framework that will contribute to the optimum realization of both of these ideals at Southern Arkansas University. Definition of Terms: For the purpose of the Faculty Assembly, the administrative staff shall comprise the vice president for academic affairs, student affairs, administration, finance, facilities, the college deans, and the dean of the school of graduate studies. The instructional staff shall comprise all full-time staff members whose primary duty is instruction. The operational staff shall comprise all full-time employees of the University not included above. Article I The name of the organization shall be the Faculty Assembly of Southern Arkansas University. Article II Section 1. Members of this organization (hereinafter called the Assembly) shall be members of the administrative staff and instructional staff. Section 2. The administrative staff shall be responsible to the president of the University for the establishment of channels of communication and proper practices for effective administration. 8

9 Section 3. The instructional staff shall be responsible to the vice president for academic affairs for the departmental organization and functions contributing to the effective accomplishment of the academic purposes of the University. Article III Section 1. The purpose of the organization shall be to provide an Assembly of the entire University faculty. Section 2. The Assembly, by majority vote, may send any recommendations of the Faculty Senate back to that body for review. Article IV Section 1. The officers of the organization shall be the president, the vice president, the secretary, and the parliamentarian. Section 2. The president of the University shall be the president of the Assembly and preside at the meetings whenever possible. The vice president for academic affairs shall be the vice president of the assembly and shall preside in the absence of the president. It shall be the duty of these officers to prepare an agenda and notify each member of the forthcoming meeting. Section 3. The secretary shall be elected by the Assembly from its membership and shall record the proceedings of each meeting and publish the minutes. Section 4. The parliamentarian shall be elected by the Assembly from its membership and shall advise the presiding officer of parliamentary procedure. Section 5. The secretary and parliamentarian shall be elected at the last regular meeting and shall assume office at the first meeting in the fall semester. Article V Section 1. Periodic Assembly meetings will be held and special meetings may be called at the discretion of the president, the Faculty Senate, or on petition of a majority of the members of the faculty. Section 2. A majority of the membership shall constitute a quorum for any meeting, and each member present shall have one vote. Proxy votes by faculty members absent from Assembly meetings may be cast upon presentation of such proxy to the vice president for academic affairs prior to the meeting. Section 3. A majority vote of those present shall be sufficient to pass a by-law or recommendation. 9

10 Section 4. Meetings shall be conducted according to Robert s Rules of Order, Newly Revised. Article VI It shall be the duty of the president to report to the Assembly, no later than the second regular meeting after a vote is taken, the disposition of any recommendation made by the Assembly. Article VII This Constitution may be amended by two-thirds vote of those present at any assembly meeting providing the amendment was publicized at the most recent meeting. By-Laws All policies, regulations, and committees in force at the time of adoption of the Constitution which are not incompatible with the Constitution shall continue in force until changed through normal procedures. All Standing Committees of the University are required to report at least annually to the Assembly, except the Discipline Committee need not report the details of the committee deliberations. The Academic Affairs Committee will place copies of the minutes of its meetings in the hands of the members of the faculty. The yearly reports should be given at the last regular Assembly meeting of the spring semester. The Faculty Senate is the legislative body of Southern Arkansas University in all academic matters relating to or affecting two or more of the Colleges or the University faculty as a whole. The Faculty Senate may consider matters referred to it by any faculty member or administrative officer; and it may, upon its own initiative, undertake the consideration and the determination of policies or procedures relating to courses, curricula, instruction, and the academic welfare of students and faculty. IV. Constitution of the Faculty Senate Preamble Section 1. The Faculty Senate is the legislative body of Southern Arkansas University in all academic matters relating to or affecting two or more of the colleges of the University Faculty as a whole. The Faculty Senate may consider matters referred to it by any faculty member or administrative officer; and it may, upon its own initiative, undertake the consideration and the determination of policies or procedures relating to courses, curricula, instruction, and the academic welfare of students and faculty. 10

11 Section 2. All actions taken by the Faculty Senate are subject to review by a meeting of the entire Faculty Assembly. Article I. Membership and Organization of the Faculty Section 1. Faculty members eligible to vote for Faculty Senators and serve as Faculty Senators shall include those full-time employees of the University who hold the rank of instructor, assistant professor, associate professor, professor, or distinguished professor, and who have tenure or tenure-track appointment. However, any faculty member may bring issues before the Faculty Senate. Section 2. The Faculty Senate, hereinafter referred to as the Senate, shall serve as the representative and governing body of the faculty of Southern Arkansas University. Article II. Functions of the Senate Section 1. Within the limitations stated in the remainder of this Article, the Senate shall have the responsibility to review University policies in all areas which directly pertain to the academic function of Southern Arkansas University, including, but not limited to: a. admission requirements; b. curricula and courses; c. degrees and requirements for degrees; d. calendar and schedules; e. awards and honors; f. student affairs; g. continuing education; h. facilitation of teaching and research; i. faculty conduct and discipline; j. faculty appointment, retention, tenure, and promotion; k. freedom of expression and academic freedom; l. interpretation of the Senate s legislation and policies; and m. the necessary and proper implementation of the foregoing powers. Section 2. The Senate shall have the authority to make recommendations to the University s president and the Board of Trustees on all institutional matters of direct faculty concern, including, but not limited to: a. policies regarding faculty status, including appointments, promotions, granting of tenure, retirement, non-reappointment, and dismissal; b. policies affecting the general welfare, working conditions, and the services performed by and for the faculty; c. policies relating to academic and professional research and other scholarly and creative activities; d. selection and removal of the principal administrative officers having university-wide responsibilities, as well as the creation and abolition of such offices; 11

12 e. University budgets; and f. The academic calendar. Section 3. To facilitate the timely review of the policy proposals which pertain to the academic function of the University, each Standing Committee of the University shall forward copies of its minutes to the president of the Senate. The president of the Senate shall bring before the Senate for its review those committee actions which recommend substantial changes or the creation of new policies or procedures that affect institutional matters of direct faculty concern, as identified in Article II, sections 1 and 2. Section 4. The Senate shall establish such committees as it deems necessary to carry out its functions. Section 5. The Senate shall consider all matters placed on its agenda by the University and Senate committees, by individual faculty members, by the vice president for academic affairs, or by the president of the University. Section 6. The elected officers of the Senate shall serve as the Faculty Committee on Committees. Each member on the Committee on Committees shall maintain a list of faculty and endeavor to learn about their interests and abilities as regards service on Standing Committees of the University. Article III. Membership of the Senate Section 1. The Senate shall consist of elected members and non-voting ex-officio members as follows: a. Elected (voting) i. College Senators: Three faculty members from each of the four colleges of the University shall be elected by a secret ballot of the respective colleges in accordance with the provisions of the Constitution. ii. At-Large Senators: Six faculty members shall be elected by a vote of the entire faculty. iii. Special Constituency Senators: The Faculty Senate may, by two-thirds of its membership, confer (and rescind) voting representation to any campus special constituency not currently represented on the Senate. The Senate is limited to a maximum of three special constituencies from this classification with one senator for each special constituency. Upon action by the Senate conferring voting representation to the campus special constituency, the membership of the special constituency will elect its representative by secret ballot. The representative will serve a three-year term. Consideration of rescinding the special constituency representation may occur only at the end of a three-year term of the Senator for that special constituency. iv. Hereinafter, Senators refers only to College, At-Large, or Special Constituency Senators. b. Ex Officio (non-voting) 12

13 i. Administration: The president, vice president for academic affairs, vice president for student affairs, vice president for administration, vice president for finance, vice president for facilities, and deans of the various colleges and school will serve as ex officio representatives of the University administration. ii. Support services: An elected representative of the Staff Senate will serve a threeyear term as the ex officio representative for the administrative support personnel. iii. Library: The director of library and information services will serve as an ex officio representative of the University s librarians and library staff. iv. Student: The Student Government Association president will serve as an ex officio representative for all students enrolled in the University. Section 2. No more than three senators shall be from any single department and no more than two chairpersons shall be elected from each college. Section 3. Elected senators shall serve a term of three years. Vacancies shall be filled by a special election to fill the unexpired term. The election to fill a vacancy shall be by the constituency represented by the vacancy. However, no person shall serve more than two successive full terms. Section 4. Vacancies for Senate positions shall be filled in three stages. By April 1, the faculty shall elect by secret ballot two senators to fill the vacancies caused by the expiration of the terms of one class of At-Large Senators and shall fill other vacancies as may be required. Subsequent to the election of the At-Large Senators, but no later than April 20, each college shall elect by secret ballot one senator to fill the vacancy caused by the expiration of the term of one class of senators and shall fill other vacancies in the ranks of College Senators as may be required. Subsequent to the election of the College Senators, but no later than April 30, each represented special constituency shall elect by secret ballot a senator as may be required to fill a vacancy. Section 5. The term of office for newly elected senators shall begin May 1. Section 6. By written notice to the president of Senate submitted twenty-four hours before a meeting, a member of the Senate may choose another faculty member from the member s constituency to represent the member at a Senate meeting. Such a representative must be eligible for election to the Senate. Section 7. In lieu of choosing a replacement representative, a member of the Senate may, by written notice to the Senate resident, give a proxy vote to another member of the Senate from that member s constituency. Section 8. Proxies and alternate representative shall be announced by the Senate president at the beginning of each meeting when the roll is called. 13

14 Section 9. The seat of a member of the Senate who has been repeatedly absent from Senate meetings can be declared vacant by a three-fourths vote of senators attending a meeting. The motion to remove a member of the Senate shall be considered a major item of business. Article IV. Officers Section 1. The officers of the Senate shall be as follows: president; vice president, who shall serve as president-elect; secretary-treasurer; and parliamentarian. Section 2. Eligibility for the election to an office shall be restricted to elected members of the Senate. Section 3. The term of office for any Senate officer shall be one year or until a successor has been chosen and qualified. Section 4. The officers of the Senate shall be elected by vote of the elected members of the Senate before May 15 each year. Section 5. The president of the Senate shall be granted one quarter release time so that the functions of the office may be properly carried out. The secretary-treasurer shall notify the vice president for academic affairs of the name of the person selected as Senate vice president (president-elect) so that any necessary schedule changes may be made. Additional release time may be granted by the Senate as approved by the vice president for academic affairs Section 6. The president of the Senate shall: a. call for sessions of the Senate and preside over such meetings; and b. be empowered to interpret, when necessary, the Constitution, the University Catalog, and all reports issued by any of the Senate Committees. Section 7. The vice president of the Senate shall: a. assist the president of the Senate in performing all of the responsibilities incumbent to the position of Senate president; b. serve as Chairman of the Committee on Committees which nominates faculty members to the standing committees and ad hoc committees; and c. act as Senate president at such times when the president may be unable to perform these duties. Section 8. The secretary-treasurer of the Senate shall: a. confirm the presence of a quorum at each meeting of the Senate; b. record the minutes of each Senate meeting and distribute within seven working days a draft of the minutes to Senate members. The secretary-treasurer shall also send by a draft of the minutes to the faculty; c. aid the Senate president in election procedures and such other matters as the Senate president may deem appropriate to the office; 14

15 d. file, as soon as possible, a copy of the approved minutes in the Office of the Vice President for Academic Affairs as the official office record. Copies shall similarly be forwarded to the university president and each member of the Board of Trustees; and e. be responsible for the Senate budget. Section 9. The parliamentarian of the Senate shall ensure that the established guidelines described in Robert s Rules of Order, Newly Revised are adhered to during all regular and special sessions of the Senate. Article V. Meetings Section 1. The Senate shall hold regularly scheduled meetings each month of the academic year. The agenda of each meeting will be determined by the elected officers of the Faculty Senate in consultation with the vice president for academic affairs, the president of the University, or any member of the Board of Trustees. Section 2. The third Thursday of each month shall be reserved for Senate meetings. The Senate shall establish at the May meeting the time at which the Senate shall convene during the following academic year. Senate members shall be responsible for class arrangements. Section 3. The following order of business shall be observed in meetings of the Faculty Senate unless two-thirds of the senators present vote to change the procedures: (1) call to order, (2) approval of the minutes, (3) special orders of the day, (4) unfinished business, (5) reports of committees, (6) other new business, (7) adjournment. Section 4. The Senate may be called into special session by the president of the Senate or upon written petition of a majority of the Senate. A notice stating the purpose of any special session must be distributed to the members of the Senate twenty-four hours prior to the meeting. Section 5. Any faculty member may attend any regular or special session of the Senate and may participate in its deliberations with the consent of the presiding officer. Only senators shall be eligible to propose motions or to vote. Section 6. A quorum for any meeting of the Senate shall consist of two-thirds of the voting members. Section 7. The rules of procedure contained in Robert s Rules of Order, Newly Revised shall govern the proceedings of the Senate, subject to such special rules as may be adopted by the Senate. Article VI. Standing Committees of the Senate Section 1. The Standing Committees of the Senate shall be: a. Committee on Committees b. Handbook Committee c. Budget Committee 15

16 d. Parking Appeals Committee Article VII. Standing Committees of the University Section 1 (a). University Committees. a. Academic Advising Committee b. Building and Grounds Committee c. Commencement Committee d. Discipline e. Faculty/Staff Appeals and Human Rights Committee f. Faculty Staff Professional Development Committee g. Fringe Benefits Committee h. Intercollegiate Athletics Committee i. Library Committee j. Online and Technology Services Committee k. Public Information Committee l. Scholarship and Student Financial Aid Committee m. Student Affairs Committee n. Student Media Committee Section 1 (b). Academic Committees a. Academic Affairs Committee b. Academic Integrity Committee c. Academic Suspension Appeals Committee d. Animal Subjects Committee e. Annual Faculty Performance Review Monitoring Committee f. Assessment Committee g. Faculty Development in Teaching with Technology h. General Education i. Graduate Council Committee j. Honors College Committee k. Institutional Review Board for Treatment of Human Subjects l. Online Education Committee m. Research Committee n. Teacher Education Committee o. University and Promotion Council Section 2. Senate Standing Committees will be elected by the voting members of the Senate. Section 3. At the beginning of the school year, the committee on Committees will review the membership of all Standing Committees of the University and ensure that at least one 16

17 member of each committee is a senator. If a committee does not have a senator, then the Senate will elect an ex officio, non-voting member to that Committee. Article VIII. Amendments Section 1. An amendment to this Constitution may be proposed at any regular meeting of the Senate by a majority vote of the senators, provided a copy of the proposed amendment has been presented to each senator in attendance at the immediately preceding meeting. Section 2. Any amendment proposed by the Senate shall be submitted to a vote of the University faculty. Each faculty member shall be notified at least two weeks in advance of such a vote and at that time be furnished with a copy of the proposed amendment. Section 3. An amendment to this Constitution shall become effective upon approval by a majority of the members of the University faculty. The original version of the Constitution of the Faculty Senate was developed by the Faculty Affairs Committee, the Senate s precursor. The Constitution was ratified by the Committee and responsibilities were transferred to the Senate on September 19, The Constitution was approved by the Board of Trustees on September 27, 1991, and has been amended several times. V. Standing Committees of the University The four major functions of Standing Committees of the University are: recommend policy appropriate to the mission of the committee; act as advisory groups to the administrative officers; act as investigating bodies; and perform administrative functions such as those of the Discipline Committee. In performance of their duties, the Standing Committees of the University operate through regular channels of procedure. In developing a new policy or changing an old policy, except those designated as administrative, the initial action is started by or referred to the appropriate committee. To facilitate timely information about the policy proposals which pertain to the academic function of the University, each Standing Committee of the University shall have a Faculty Senate Representative who serves as the liaison between the Senate and the committee and is responsible for communicating the committee deliberations and the minutes to the Senate. When a Standing Committee of the University has a recommendation concerning an academic matter relating to, or affecting two or more of the Colleges, or the University faculty as a whole, the recommendation may be brought before the Faculty Senate. In addition, the Faculty Senate may consider matters referred to it by any faculty member or 17

18 administrative officer, and it may upon its own initiative undertake the consideration of and make recommendations about policies and procedures related to the functions of the Senate. Recommendations from the Faculty Senate are subject to review by the Faculty Assembly. The Assembly, by majority vote, may send any recommendation of the Faculty Senate back to the body for review. The Faculty Assembly s acceptance of the Faculty Senate s recommendation (perhaps as amended) constitutes a recommendation to the president of the University who may accept or reject the recommendation. When the president of the University accepts a recommendation, the president presents the recommendation to the Board of Trustees for its approval, when appropriate. Upon the Board s approval, the proposed policy or program becomes an established part of the University program. If the president rejects a recommendation, the Faculty Senate may appeal to the Board of Trustees. The administration of an existing policy is the responsibility of the administrative person involved, but that individual may seek advice and help from the advisory committee. The Standing Committees of the University are divided into two categories: University and Academic. Faculty membership in all Standing University and Academic Committees is determined by faculty election within each college under the supervision of the Faculty Senate Committee on Committees. If no senator is elected to any standing committee, the Faculty Senate will elect a senator to serve as a non-voting, ex officio member. Unless otherwise noted in Committee descriptions, student membership on standing committees is determined by appointment from the Student Government Association. Membership on Standing Committees, other than faculty and student members, is by presidential appointment. The Senate s president or the vice president may also appoint ad hoc committees at any time to study special problems. Only tenured, tenure-track, and non-tenure-track faculty members with a teaching load equal to or greater than 50 percent are eligible for election to University Committees. Only tenured and tenure-track faculty members with a teaching load equal to or greater than 50 percent are eligible for election to Academic Committees. The Faculty Senate will provide a list of committee openings to the dean of each college no later than the day of the opening General Faculty meeting for the fall semester. Each college will have ten (10) days to conduct elections for all committee openings and will forward all election results to the Faculty Senate. Unless otherwise noted, election is for staggered twoyear terms with half of the committee membership elected each year. Following is a description of the mission and membership profile of each standing committee. A. University Committees 18

19 1. Academic Advising Committee a. Mission Review policies and processes related to advising and registration Provide professional development and training activities Make recommendations to utilize best practices and resource in academic advising Advocate for advising b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Academic Dean, one (1) appointed by the Vice President for Academic Affairs iv. Dean of Enrollment Services (1) v. Registrar s Office staff (1) vi. Director of Advising Center (1) vii. Staff, two (2) appointed by the president viii. Students, two (2) c. All ex officio are non-voting i. Vice President for Academic Affairs, ex officio ii. Vice President for Student Affairs iii. Dean, School of Graduate Studies iv. Faculty Senator (if one is not elected to the committee), ex officio v. Staff Senator (if one is not already elected to the committee), ex officio 2. Building and Grounds Committee a. Mission: To recommend improvement that will enhance and beautify the campus. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Staff, two (2) appointed by the president iv. Students, two (2) c. Ex Officio (non-voting) i. Vice President for Facilities ii. Supervisor of Grounds iii. Vice President for Academic Affairs iv. Liaison to Faculty Senate v. Liaison to Staff Senate 3. Commencement Committee a. Mission: To plan and make necessary arrangements for commencement in May, August, and December each year. b. Membership i. Chair, Registrar ii. Faculty, four (4), one (1) from each college iii. Dean, one (1) appointed by the Vice President for Academic Affairs iv. Staff, two (2) appointed by the president v. Students, two (2) 19

20 c. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Vice President for Student Affairs iii. Vice President for Finance iv. Vice President for Facilities v. Director of Communications Center vi. Bookstore Manager vii. Liaison to Faculty Senate viii. Liaison to Staff Senate 4. Discipline Committee a. Mission: The committee serves as the review/appeal body for consideration of cases related to student or student organization misconduct when the dean of students has imposed disciplinary action or has affirmed disciplinary action imposed by a student affairs staff member. Review may be granted for allegations of failure to process the disciplinary action according to University policy or severity of discipline imposed. b. Membership: This committee is appointed by the president from faculty, staff, and student volunteers who are wiling to undergo training in student judicial affairs process. This training will provide guidance into methods to ensure due process and other current student judicial affairs issues and developments. The appointments are for two-year terms and any combination of primary and alternate can meet to obtain seven members. Alternates become primary in the second year. i. Chair, (may be a faculty or staff member, not already a member of the committee) ii. Faculty : (2) primary and (2) alternate iii. Staff: (2) primary and (2) alternate iv. Students: (2) primary and (2) alternate c. Ex officio (non-voting) i. Liaison to Faculty Senate ii. Liaison to Staff Senate 5. Faculty/Staff Appeals and Human Rights Committee a. Mission: To hear all appeals based on non-academic personnel issues; on academic issues related to academic freedom, curricula, salary, and non-reappointment; and student issues for which an appeal structure does not exist. In addition, the committee monitors the University s efforts to comply with desegregation and affirmative action plans and brings any discrimination complaints and grievances to the attention of the administration. Recommendations of the committee regarding faculty and staff appeals are sent to the President. Recommendations of the committee regarding student appeals are sent to the Vice President for Student Affairs. i. Committee of the whole: Mission: To monitor compliance with desegregation and affirmative action plans and issues of discrimination. Membership: i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college 20

21 iii. Academic administrators, two (2) below vice president rank iv. Staff, four (4) staff appointed by the president v. Administrator, one (1) below vice president rank vi. Students, two (2) appointed to serve only when issues of student discrimination are involved ii. Staff Appeals Subcommittee Mission: To hear all appeals based on non-academic personnel issues. Membership: i. Chair, appointed by the president from the subcommittee membership ii. Staff, four (4) staff appointed by the president iii. Administrator, one (1) below vice president rank iii. Faculty Appeals Subcommittee Mission: To hear all appeals based on academic issues related to academic freedom, curricula, salary, and non-reappointment. Membership i. Chair (also chair of the committee of the whole) ii. Faculty, four (4), one (1) from each college iii. Academic Administrators, two (2) below vice president rank iv. Student Appeals Subcommittee Mission: To hear all student appeals for which an appeal structure does not exist. Membership: i. Chair, faculty or staff from the subcommittee ii. Faculty, one (1) member from the committee iii. Staff, one (1) member from the committee iv. Student, one (1) member from the committee Membership designated when appeal filed by overall committee chair and Office of VPA v. Administrative Coordinator and Legal Advisor Vice President for Administration and General Counsel vi. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Vice President for Administration iii. Vice President for Finance iv. Vice President for Student Affairs v. Vice President for Facilities vi. Liaison to Faculty Senate vii. Liaison to Staff Senate 6. Faculty and Staff Professional Development Committee a. Mission: To maintain a professional development system for faculty and staff that regularly surveys faculty and staff for their professional development needs, analyze survey results, and coordinate and plan for professional program offerings. b. Membership 21

22 i. Co-Chairs, two (2), one (1) faculty co-chair, and one (1) staff co-chair, appointed by the president from the committee membership ii. Faculty, five (5), one (1) from each college and one (1) from graduate studies iii. Staff, five (5), one (1) from each of the vice presidents departments c. All ex officio are no-voting i. Continuing Education Coordinator ii. Vice President for Academic Affairs, ex officio iii. Vice President for Student Affairs, ex officio iv. Vice President for Facilities, ex officio v. Vice President for Administration and General counsel, ex officio vi. Vice President for Finance, ex officio vii. Faculty Senator (if one is not elected to the committee), ex officio viii. Staff Senator (if one is not already elected to the committee), ex officio 7. Fringe Benefits Committee a. Mission: To review and recommend policies that affect health insurance coverage and other fringe benefits for appointed faculty and staff employed one-half time by the University. b. Membership i. Chair, Vice President for Administration ii. Faculty, four (4), one (1) from each college iii. Staff, two (2) appointed by the president iv. Representative from Business Affairs, appointed by the president v. Representative from Student Health Services, appointed by the president c. Ex officio (non-voting) i. Vice President for Finance ii. Liaison to Faculty Senate iii. Liaison to Staff Senate 8. Intercollegiate Athletics Committee a. Mission: To assure institutional compliance in all athletic alliances and with accrediting agencies. The committee also makes recommendations on athletic related matters. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. NCAA Faculty Athletic Representative iv. Senior Women s Administrator v. Staff, two (2), appointed by the president vi. Students, two (2) vii. Booster, one (1), appointed by the president c. Ex officio (non-voting) i. Registrar ii. Athletic Director iii. Vice President for Finance or designee iv. Liaison to Faculty Senate 22

23 v. Liaison to Staff Senate 9. Library Committee a. Mission: To propose policies concerning the services and uses of the library. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Dean, one (1) appointed by the vice president for academic affairs iv. Staff, two (2) appointed by the president v. Students, two (2) vi. Archives Librarian c. Ex officio (non-voting) i. Director of Library and Information Services ii. Vice President for Academic Affairs iii. Representative of University Technology Services iv. Liaison to Faculty Senate v. Liaison to Staff Senate 10. Public Information Committee a. Mission: To support and advise the Office of Communication Services in efforts to enhance the image of the University by promoting activities and accomplishments of students, faculty, and staff in addition to the University s vision, mission, and strengths. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Staff, two (2) (appointed by the president), one (1) from Student Affairs area and one (1) from Finance and Administrative Services area iv. Students, two (2) c. Ex officio (non-voting) i. Director of Communications Center ii. University Editor and Information Specialist iii. Vice President for Student Affairs iv. Liaison to Faculty Senate v. Liaison to Staff Senate 11. Scholarship and Student Financial Aid Committee a. Mission: To propose regulations governing the award and continuation of scholarships and student financial aid; to explore the possibilities for new scholarship funds; and to find new ways to inform students, faculty, staff, and the public about the University s scholarship program and student financial aid. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Staff, two (2) (appointed by the president), one (1) from Student Affairs area and one (1) from Office of Student Life 23

24 iv. Athletic Director v. Students, two (2) c. Ex officio (non-voting) i. Director of Financial Aid ii. Vice President for Student Affairs iii. Office of Accounting representative iv. Liaison to Faculty Senate v. Liaison to Staff Senate 12. Student Affairs Committee a. Mission: To study and recommend policy involving student development, placement, security, student activities, counseling, housing, student conduct, physical and mental health, and activities related to students out-of-class welfare. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Staff, two (2) appointed by the president iv. Students, one (1) from each of the following groups: i. Association of Residence Halls ii. Inter-Greek Council iii. Non-traditional student iv. Minority student v. Dean of Students vi. Assistant Dean for Student Activities vii. President of the Student Government Association c. Ex officio (non-voting) i. Vice President for Student Affairs ii. Liaison to Faculty Senate iii. Liaison to Staff Senate 13. Student Media Committee a. Mission: To maintain oversight of the student media. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Students, two(2) c. Ex officio (non-voting) i. Media Advisor(s) ii. Vice President for Finance iii. Financial Services Representative iv. Liaison to Faculty Senate v. Liaison to Staff Senate 14. Online and Technology Services Committee 24

25 a. Mission: To recommend policies and procedures related to online services and other information technology issues affecting the campus. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Dean, one (1) appointed by the vice president for academic affairs iv. Staff, two (2) appointed by the president v. Students, two (2) c. Ex officio (non-voting) i. Director of Library and Information Services ii. Director of Information Technology iii. Representative from SAU-Tech iv. Vice President for Academic Affairs v. Liaison to Faculty Senate vi. Liaison to Staff Senate B. Academic Committees 1. Academic Affairs Committee a. Mission: To recommend and propose policies involving curricula, academic standards, transfer credits, and special offerings. This includes acting on recommendations from the Graduate Council Committee and the General Education Committee. b. Membership i. Chair, vice president for academic affairs (votes in case of tie) ii. Faculty, five (5), one (1) from each college and one from graduate faculty iii. Deans, five (5), one (1) from each college and School of Graduate Studies c. Ex officio (non-voting) i. Students, two (2) ii. Vice President for Student Affairs iii. Director of Library and Information Services iv. Registrar v. Liaison to Faculty Senate vi. Liaison to Staff Senate 2. Academic Integrity Council a. Mission: The Council serves as the review/appeal body for consideration of allegations of Academic Integrity Policy Violations. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4) (two year staggered terms), one from each college iii. Dean of Students iv. Students, three (3), appointed by the Student Government Association c. Ex officio (non-voting) i. Liaison to Faculty Senate ii. Liaison to Staff Senate 25

26 3. Academic Suspension Appeals Committee a. Mission: To administer the probation and suspension policies that are set up by the administration and faculty, recommend changes in those policies to the Academic Affairs Committee, and see that information about probation regulations is disseminated to the students. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, eight (8), two (2) from each college If an elected member cannot attend a meeting, the Senate President shall appoint a substitute from that member s college for that meeting, so that at least four voting members are present. c. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Vice President for Student Affairs iii. Registrar iv. Liaison to Faculty Senate v. Liaison to Staff Senate 4. Animal Subjects Committee a. Mission: To maintain oversight of the humane care and treatment of animals used in research. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty four (4), three (3) from the College of Science and Engineering and one (1) from the College of Liberal and Performing Arts involved in a non-scientific area iii. One (1) member not affiliated with the University, appointed by the president c. Ex officio (non-voting) i. Students (2) ii. Liaison to Faculty Senate iii. Liaison to Staff Senate Membership must meet Public Health Service Policy, IV. A.3.B: The committee shall consist of not less than five members, and shall include at least: (1) One doctor of Veterinary Medicine, with training or experience in laboratory animal science and medicine, who has direct or delegated program authority and responsibility for activities involving animals at the institution. (2) One practicing scientist experienced in research involving animals, (3) One member whose primary concerns are in a nonscientific area (for example, ethicist, lawyer, member of the clergy). One individual who is not affiliated with the institution in any way other than as a member of the IACUC (in the original PHSP document, IACUC stands for Institutional Animal Care and Use Committee), and is not a member of the immediate family of a person who is affiliated with the institution. 26

27 PHS policy IC. A. 3. C states: An individual who meets the requirements of more than one of the categories detailed in IV. A. 3. B. (1)-(4) of this policy may fulfill more than one requirement. However, no committee may consist of less than five members. 5. Annual Faculty Performance Review Monitoring Committee a. Mission: To review the overall SAU Annual Faculty Performance Review plan (which includes evaluation of faculty by administrators, peers, and students) in order to ascertain its academic effectiveness and to insure that its process is rigorously and consistently applied. The Committee will meet following written request(s) for re-evaluation of the annual faculty performance review process, as well as each spring semester. (See Faculty Handbook Section VIII, Evaluation of Faculty and Administrators. ) b. Membership i. Chair, vice president for academic affairs (votes in case of tie) ii. Faculty, four (4), one (1) from each college iii. Deans, four (4), one (1) from each college c. Ex officio (non-voting) i. Vice President for Administration ii. Liaison to Faculty Senate iii. Liaison to Staff Senate 6. Assessment Review Council a. Mission: To foster improvement of the assessment of student learning outcomes throughout the University by compiling and sharing information, making recommendations, and providing guidance and feedback to departments, faculty, and students. b. Membership i. Chair, Assessment Coordinator, appointed from the faculty by the president (votes in case of tie) ii. Faculty, five (5), one (1) from each college and the assessment coordinator iii. Dean, one (1), appointed by the president iv. Students, two (2) selected by the committee from departmental recommendations c. Ex officio (non voting) i. Vice President for Academic Affairs ii. Director of Institutional Research iii. Director of Counseling and Testing iv. College and department accreditation coordinators and college assessment committee chairs, if not already elected v. Liaison to Faculty Senate vi. Liaison to Staff Senate 7. Faculty Development in Teaching with Technology 27

28 a. Mission: To review, recommend, and/or propose uses of advanced technology for instructional and other academic purposes. b. Membership i. Chair, appointed from the faculty by the president from the committee membership ii. Faculty, (4), one (1) from each college iii. Students, two (2) c. Ex officio (non-voting) i. Director of Continuing Education ii. Dean of School of Graduate Studies iii. Director of Information Technology iv. Dean, one (1) appointed by the vice president for academic affairs v. Liaison to Faculty Senate vi. Liaison to Staff Senate 8. General Education Committee a. Mission: To recommend or propose policies and practices pertaining to the University s general education curriculum. b. Membership i. Chair, dean of the College of Liberal and Performing Arts ii. Faculty, eight (8), two (2) from each college c. Ex officio (non-voting) i. Dean, four (4), one (1) from each college ii. Vice President for Academic Affairs iii. Students, two (2) iv. Liaison to Faculty Senate v. Liaison to Staff Senate 9. Graduate Council a. Mission: To review and recommend all policies and procedures pertaining to the graduate programs of the University. b. Membership i. Chair, dean of the School for Graduate Studies (votes in case of tie) ii. Graduate Faculty, elected for three-year term, one (1) from each degree program area iii. At-Large Representative (i.e., non-program representative), one (1) elected for threeyear term iv. Graduate Student Representative, one (1) appointed annually by the dean of the School of Graduate Studies c. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Registrar iii. Director of Continuing Education iv. Coordinator of Assessment v. One representative from each college, appointed by the college dean, if not represented by current degree programs vi. Liaison to Faculty Senate 28

29 vii. Liaison to Staff Senate 10. Honors College a. Mission: To encourage intellectual and academic growth of the University community by giving academically prepared students the opportunity to pursue challenging and stimulating academic experiences. b. Membership i. Chair, Honors College Director ii. Students, two (2) Honors College residents iii. Staff, two (2), one (1) from housing and, one (1) from admissions/enrollment services iv. Faculty, four (4), one (1) from each college c. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Vice President for Student Affairs iii. Liaison to Faculty Senate iv. Liaison to Staff Senate 11. Institutional Review Board for Treatment of Human Subjects a. Mission: To ensure that human subjects research conducted by University personnel is in compliance with the Department of Health and Human Services regulations (CFR) Title 45, Part 46-Protection of Human Subjects. Annual training is required to insure compliance with the Department of Health and Human Services Regulations, 45 CFR Part 46 Protection of Human Subjects. All voting members must complete National Institute of Health certification. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, eight (8), two (2) from each of the colleges, each elected to a four-year term, with provision determined for staggering terms iii. Area Physician, one (1), appointed by the president iv. Community Member (must be non-affiliated with SAU: no financial or personal interest in the University) v. Students, two (2). Voting members, but only one can vote on each proposal. At least one of the students must be an undergraduate student. c. Ex officio (non-voting) i. Liaison to Faculty Senate ii. Liaison to Staff Senate iii. SAU Representative for the Office of Human Research Protection 12. Online Education Committee a. Mission: to address online education challenges and opportunities at SAU. Specifically, Recommend institutional guidelines to ensure quality in online courses Organize ongoing support and assistance for online faculty and students Explore emerging technologies to support teaching and learning. b. Membership i. Chair, appointed by the president from the committee membership 29

30 ii. Faculty teaching online, eight (8), two (2) from each college iii. Academic Dean, one (1) appointed by the Vice President for Academic Affairs iv. Director of institutional effectiveness v. Students, two (2) c. All ex officio are non-voting i. Vice President for Academic Affairs ii. Director of Online Learning iii. Director of Magale Library iv. Blackboard System Administrator v. Faculty Senator (if one is not elected to the committee) vi. Staff Senator 13. Research Committee a. Mission: To review, recommend, and/or propose research activity which is of interest to Southern Arkansas University. b. Membership i. Chair, appointed by the president from the committee membership ii. Faculty, four (4), one (1) from each college iii. Students, two (2) c. Ex officio (non-voting) i. Director of Continuing Education ii. Dean of School of Graduate Studies iii. Liaison to Faculty Senate iv. Liaison to Staff Senate 14. Teacher Education Committee a. Mission: To recommend, monitor, and evaluate programs and policies governing teacher education. b. Membership i. Chair, Dean of the College of Education ii. Faculty, eight (8), as represented by these areas: i. Counseling and Professional Studies, one (1) ii. Teacher Education, one (1), two year term iii. Health, Kinesiology, and Recreation, one (1) iv. Director of AFEL v. Coordinator, NCATE vi. Coordinator, M.Ed and MAT online vii. College of Liberal and Performing Arts Music, one (1) viii. College of Liberal and Performing Arts, one (1) ix. College of Science and Engineering, one (1) x. College of Business, one (1) iii. Undergraduate Education Student, one (1), appointed by Student Government Association iv. Graduate Education Student, one (1), appointed by Graduate Council v. Public/Private P-12 Teacher, one (1), appointed by Dean of the College of Education 30

31 vi. Public/Private P-12 Administrator, one (1) appointed by Dean of the College of Education c. Ex officio (non-voting) i. Vice President for Academic Affairs ii. Dean of School of Graduate Studies iii. Registrar iv. Director of Library and Information Services v. Education Renewal Zone Director vi. Liaison to Faculty Senate vii. Liaison to Staff Senate 15. University Tenure and Promotion Council a. Mission: To review and evaluate all applications for promotion and/or tenure, and to submit recommendations for promotion and/or tenure to the vice president for academic affairs. b. Membership i. Chair, Vice President for Academic Affairs (non-voting) ii. Faculty, eight (8), two (2) from each college; must be senior tenured faculty, 2-year terms, with four (4) being elected each year, one (1) from each college. If the elected faculty representative chooses to seek promotion or tenure, the representative s college will elect a replacement. Representatives cannot serve two consecutive terms on the Council. Each college should develop a schedule which allows for rotation among departments within the college. Faculty members may serve on both the College Council and the University Council. If an elected University Council representative is not on the respective College Council, the representative will attend all meetings of the College Council. VI. Executive Council, Quality Leadership Team, and Quality Control Preamble Section 1. Southern Arkansas University is committed to a philosophy of continuous quality improvement that supports the University s ongoing accreditation by the Higher Learning Commission. The Executive Quality Council (EC) oversees and approves the University s continuous improvement initiatives and accreditation processes. The Quality Leadership Team (LT) monitors program assessment, coordinates quality improvement initiatives, and manages the HLC accreditation processes. The Quality Council (QC) coordinates work on individual accreditation projects and coordinates work on quality improvement initiatives. Section 2. Recommendations from the Quality council that relate to faculty governance issues are forwarded to the Faculty Senate and are subject to review by a meeting of the entire Faculty Assembly. Section 3. Recommendations from the Quality Council that relate to staff governance 31

32 issues are forwarded to the Staff Senate and are subject to review by a meeting of the entire Staff Assembly. Article I. Membership and Organization of the Executive Quality Council Section 1. Members of the Executive Quality Council (EC) are appointed by the president of the University. The president presides over the EC. Other members include the VPAA and other appointed vice presidents, a member of the board of trustees, an academic dean, the Quality Leadership Team, and president of the Faculty Senate, and the president of the Staff Senate. Section 2. The EC reviews actions of the Quality Leadership Team and recommendations From the Quality Council. The EC reviews documents submitted to the HLC. Article II. Membership and Organization of the Quality Leadership Team Section 1. Members of the Quality Leadership Team (LT) are appointed by the president of the University. The VPAA presides over the LT, which includes the accreditation coordinators and other appointed members. Section 2. The Leadership Team recommends membership for the Quality Council, coordinates meetings of the Quality council, recommends quality improvement initiatives, and coordinates preparation of all accreditation documents and activities. Article III. Membership and Organization of the Quality Council Section 1. Members of the Quality Council (QC) are recommended by the Quality Leadership Team and approved by the Executive Quality Council. The VPAA and Quality Leadership Team preside over the QC. The QC includes the coordinators for each section of the accreditation System Portfolio and the Quality Leadership Team. Coordinators of ongoing action projects are ad-hoc members of the Quality Council. Section 2. Members of the QC are appointed for a term of four years. When a vacancy occurs within the QC, the Leadership Team will recommend a replacement. Section 3. Recommendations originating from the QC are communicated to the Executive Quality Council. Article IV. Meetings Section 1. The Executive Council normally meets once per month. Section 2. The Leadership Team meets as needed. Section 3. The Quality Council normally meets on the second Thursday of each month during the academic year. VII. Academic Policies A. Policies Related to Teaching Assignments and Scheduling 32

33 1. University Calendar The calendar for the school year is made up by the vice president for academic affairs and is published in the General Catalog. 2. Teaching Assignments Teaching assignments for each semester and summer term are recommended by the department chairs and deans of each college and approved by the vice president for academic affairs. Within the limitations set by curriculum needs and the requirements of a practical schedule, each college recommends the courses to be taught and the hours at which they will be offered. Class schedules are prepared utilizing the two-year cycle of courses. 3. Classroom Use Since factors such as suitability to course requirements, needs of classes, and convenience for an instructor help determine the assignment of classrooms, instructors may not change classrooms without approval from the Office of the Vice President for Academic Affairs. 4. Meeting of Classes/Faculty Absence Faculty members are expected to meet their classes at the regularly scheduled time, on time, and for the entire length of time for which each class (or laboratory) is scheduled. In anticipation of absence for such legitimate purposes as attending a meeting of a professional organization, representing the University officially, or participating in the program, the faculty member, after consultation with the department chair, should make provision for classes to be missed. The Office of the Vice President for Academic Affairs will provide a form on which the faculty member will indicate the reason for absence, date of absence(s), and arrangements made for the class(es) to be missed, which will be submitted in advance to the office of the appropriate dean who forwards the form, if approved, to the Office of the Vice President for Academic Affairs. A sample form can be found as Appendix C. 5. Emergencies When an emergency arises, such as illness, the faculty member should, as soon as possible, inform the department chair, who will contact the college dean. If it is not possible to locate the department chair or dean, the faculty should report to the vice president for academic affairs. 6. Office Hours For the convenience of students and others who may wish to contact them, faculty members will post on their office doors each semester a schedule which shows their classes and identifies at least eight hours (for full-time faculty, prorated for part-time) per week of regularly scheduled office hours. College requirements may exceed eight hours per week. During posted office hours, faculty members will be in their offices or will leave clear messages where they can be reached and/or when they will return. 7. Teaching Load 33

34 The normal full-time teaching load for full-time faculty in tenured or tenure-track positions is twelve (12) semester hours or the equivalent per semester. The normal load for full-time faculty teaching only graduate courses does not exceed nine (9) hours. The load of a faculty member teaching both graduate and undergraduate courses is an appropriate proration of graduate and undergraduate hours. The normal load for full-time faculty hired as instructors into non-tenure-track positions is fifteen (15) semester hours or the equivalent per semester. The value in credit hours given to various activities is determined through deliberation and consultation among the faculty of the department offering the credit, the chair of the department, the college dean, and the vice president for academic affairs. If an instructor is asked to teach an overload, the instructor will be compensated for it. In the infrequent circumstance in which a faculty member s load for a semester does not equal the normal load (for example, because a scheduled course has been cancelled), the instructor, the instructor s dean, department chair, and the vice president for academic affairs, through consultation with one another, will determine assignments for the instructor that will bring the instructor s load for the semester to the contractual level. Such assignments may include assisting teachers with heavy teaching loads, being responsible for non-instructional duties deemed important by the administration, or teaching an irregularly scheduled course such as a short course, a Saturday class, a night class, an outreach course, or a course in a succeeding semester or intersession. The administration may approve the teaching of small classes under the following conditions: the class is necessary for the timely completion of graduation requirements by the students enrolled (such as a course which is offered only in two-year rotation of courses or requires individualized instruction or use of limited facilities or equipment). The vice president for academic affairs will consult with the dean of the college who will consult with the chair of the department, who will consult with the faculty member to determine whether the course will be taught and the circumstances under which it will be taught. They will weigh matters such as the nature of the course, the number of students enrolled in the course, the number of students taught by the faculty member, and the number of different preparations the faculty member is responsible for during the semester. 8. Outreach, Saturday, and Night Courses which Carry Semester Credit Hours Teaching methods and procedures of outreach, Saturday, and night courses which carry semester credit hours, while employing methods appropriate to the course and the circumstances of the class, will conform to the same academic standards and contact hour requirements used in regular courses. When a student is enrolled in residence and desires to take at the same time an outreach course for credit towards a degree, the student must obtain the approval of the appropriate dean. Instructors of outreach, Saturday, and night classes will have the same qualifications as regular instructors. Adequate laboratory and library facilities when required must be available in towns where outreach courses are offered. 34

35 Outreach courses should be self-supporting. The amount of payment for teaching a course is to be determined by the administration. Decisions as to scheduling of outreach, Saturday, and night classes will be worked out between the affected college and the Division of Continuing Education based upon such factors as student demand, availability of instructors, budget, and teaching facilities. 9. Vocational and Technical Short Courses, Non-Credit Non-credit vocational and technical short courses may be offered on request as a public service to aid in training employees of nearby industries. There are no prerequisites, and the student does not need to meet University entrance requirements to be admitted to these courses. Courses given under this program must be self supporting. Outside agencies may be used to give training in non-credit courses. All non-credit courses should be coordinated by the Division of Continuing Education. B. Policies Related to Examinations and Assigning of Grades 1. Examinations Each instructor is personally charged with the responsibility of keeping examination papers from falling into students possession before examination time. a. Final Examination i. There shall be no exemptions from final examinations. ii. All one-hour courses will hold the final examination at the last regularly scheduled class meeting. iii. Final examinations will be given according to the published final examination schedule. b. Special Examinations Any examination final, periodic, standardized, or exemption given outside its regularly scheduled time is a special examination. Instructors who wish to give a class examination at any time other than during the regular class period or scheduled exam period must obtain approval of the vice president for academic affairs at least one week in advance for the proposed examination. c. Credit Examinations The University participates in the College Level Examination Program sponsored by the Educational Testing Service. In addition, the institution makes available subject examinations in areas not covered by CLEP. Details of this program are outlined in the University Catalog. d. Make-up Examinations/Credit for Class Absences Make-up credit for work missed will be given under any one of the following conditions: i. Student is excused in advance for due cause determined by the vice president for academic affairs. This will include, but not be limited to, absences due to academic program or course field trips and events, inter collegiate athletics, or schoolsponsored lectures. 35

36 ii. Student has been ill and has a written excuse from the University nurse or personal physician. iii. Student is excused by the instructor for emergency reasons. The types of work missed for which make-up credit may be given include major examinations, homework, presentations, and attendance. Work given to a student for make-up does not have to be in the same format as work missed, but must be of equivalent credit. The absent student must contact the instructor no later than the start of the next class attended in that course to make arrangements for the make-up work. A student who fails to make arrangements prior to commencement of the next class attended forfeits the right to make-up credit, though the instructor may, for good cause, choose to allow make-up credit. A student is responsible for notifying all instructors as soon as possible when the reason for an absence is known in advance. A student forfeits the right to make-up credit for failing to meet this requirement, though the instructor may, for good cause, choose to allow make-up credit. Notification by administrative or instructional staff of a student s absence, either before or after the absence, does not relieve the student of the responsibility for personal notification. 2. Grading System The grading system used at Southern Arkansas University is described in the University Catalog. In addition to the grades of A, B, C, D, and, F, as described in the Catalog, the following grades may be given under certain circumstances: a. The grade of AU may be given only if a student has registered as Audit for a course. b. The grade of CR may be given only if the student has registered for credit only. c. The grade of P may be given only in courses designated as pass/fail. d. The grade of I is given only to students whose work is incomplete because of circumstances beyond their control, and it is given at the discretion of the instructor. A student who receives a grade of I must complete the required work for the course in which the grade was received during the next regular semester (i.e., spring or fall semester). The work must be completed and the grade changed by the instructor prior to the week before final examinations of that semester. A grade of I which is not changed by that point automatically becomes an F. e. The grade of NC is given only in certain classes which have made provisions for such a grade, and it is given at the discretion of the instructor only to students who have made a sincere and vigorous effort to do the work of the course satisfactorily (including attending regularly) but have not met the requirements of the course. f. The grade of W is given by the Registrar to students who have officially dropped a course before the deadline for such action. The grade WF may be assigned by instructors to students who were failing at the time of their withdrawal from the University after the deadline for dropping a course, or to students who come under the provisions of the Attendance Policy of the University, described in the University Catalog. Alternatively, instructors who remove a student for non-attendance may, at their discretion, assign a 36

37 grade of WN (for withdrawn for nonattendance ). While the WF grade is calculated in student grade points as an F, the grade WN removes the course from consideration in calculation of grade point. 3. Mid-Semester Grades Mid-semester grades will be distributed for developmental courses, 1000 level courses, and 2000 level general education courses only, effective Spring Semester Grades Semester grades will be electronically submitted to the Registrar s Office as soon as possible and in no case later than 10:00 a.m. on the Monday following the end of the semester. The Registrar is responsible for distributing students grades at the end of the semester. 5. Grade Changes After semester or summer session grades have been submitted to the Registrar, changes may be made only through one of the following conditions: a. The instructor who assigned the original grade chooses (as a result of recalculation, completion of course requirements, or on the basis of appeal from the student) to initiate a Grade Change Request, in which the instructor outlines the reasons for the change. (Forms used in processing a grade change of this sort are available from the Registrar.) The college dean and vice president for academic affairs must approve such a request. b. The Student Grade Appeal Policy described in the current University Catalog concludes with a decision that a grade is to be changed (in which case the dean of the college initiates the Grade Change Request). The instructor involved will be notified by the dean. The appeal time limit (three weeks after the beginning of the next semester) will be extended indefinitely in any case where clear and compelling evidence is presented that the student has been unjustly awarded a grade. In cases of administrative withdrawal from the University during the semester the student is enrolled, signatures of all current course faculty are required for the student to be administratively withdrawn. If a WF has been previously assigned, the grade will be changed to W if the instructor agrees to such change. If the instructor does not, the student may appeal the WF through the Student Grade Appeal Policy defined in the University Catalog. c. The administration initiates a withdrawal from the University on behalf of the student. For administrative withdrawal, all grades posted to the student s record will be changed according to the policy described in the current University Catalog. Administrative withdrawal will be used only in extraordinary circumstances such as medical conditions, nonacademic suspensions, family emergencies, erroneous enrollment (defined as a student s inadvertently remaining enrolled in a course the student did not intend to be enrolled in), or situations clearly beyond the control of the student. The administrator initiating the withdrawal must personally sign the request for withdrawal. Administrative withdrawal for medical reasons requires that a written statement from the attending physical be placed in the student s permanent academic record. All instructors involved must be consulted by the most expeditious means before grades are changed by the Registrar. If the instructor is not available, the appropriate dean will be consulted in a like manner. The instructors involved have the option of sending to the Registrar a 37

38 memorandum of concurrence/non-concurrence that will be placed in the student s permanent academic file. Under no other circumstances may a grade be changed by an employee of the University. C. Academic Integrity Policy The mission of Southern Arkansas University empowers all members of the University community to develop and encourage learning environments that create, expand, acquire, share, evaluate, and communicate knowledge. Academic integrity at SAU is an organizational and individual responsibility to honesty in all learning experiences. Students, faculty, and staff share responsibility for maintaining the highest standards for academic integrity. This policy focuses on the academic integrity in course-related work, its basis and context is applicable to all. 1. Academic Misconduct Any act of dishonesty in academic work constitutes academic misconduct and is subject to disciplinary action. Acts of dishonesty include, but are not limited to, plagiarism, cheating, and fabrication. a. Plagiarism Plagiarism is the act of taking and/or using the ideas, work, and/or writings of another person as one s own. i. To avoid plagiarism, give written credit and acknowledgement to the source of thoughts, ideas, and/or words, whether you have used direct quotation, paraphrasing, or just a reference to a general idea. ii. If you directly quote works written by someone else, enclose the quotation with quotation marks and provide an appropriate citation (e.g., footnote, endnote, bibliographical reference). iii. Research, as well as the complete written paper, must be the work of the person seeking academic credit for the course. (Papers, book reports, projects and/or other class assignments are not to be purchased from individuals or companies which provide these services.) b. Cheating Cheating is an act of dishonesty with the intention of obtaining and/or using information in a fraudulent manner. Examples of cheating include: i. Observing and/or copying from another student s test paper, reports, computer files, and/or other assignments. ii. Giving or receiving assistance during an examination period. (This includes providing specific answers to subsequent examinees and/or dispensing or receiving information which would allow a student to have an unfair advantage in the examination over students who did not possess such information.) iii. Using class notes, outlines, and other unauthorized information during an examination period. iv. Using, buying, selling, stealing, transporting, or soliciting, in part or entirety, the contents of an examination or other assignment not authorized by the professor of the class. 38

39 v. Exchanging places with another person for the purposes of taking an examination or completing other assignments. c. Fabrication Fabrication is faking or forging a document, signature, or findings of a research project. i. Fabrication is most commonly associated with falsified research findings. ii. Other forms of fabrication may include unauthorized collaboration or submitting the same paper or portions of the same paper to two different courses without the consent of both instructors. 2. Requirement to Inform Students The University s academic integrity policy applies to all students enrolled in courses at the University. All forms of academic misconduct at SAU will be regarded as serious. The Divisions of Academic Affairs and Student Affairs will conduct an academic integrity seminar during Freshman Orientation. Other seminars related to academic integrity will be made available to faculty, students, and staff from time to time each year. The Divisions of Academic Affairs and Student Affairs will collaborate in publishing information about academic integrity and misconduct, with explanations and examples intended to help students make informed decisions about how they conduct themselves in their academic work, including the use and presentation of information. Beginning in the fall semester 2010, every course syllabus must include the following language: Southern Arkansas University affirms its commitment to academic integrity and expects all members of the University community to accept shared responsibility for maintaining academic integrity. Students in this course are subject to the provisions of the University s Academic Integrity Policy, approved by the president and published in the Student Handbook. Penalties for academic misconduct in this course may include a failing grade on an assignment, a failing grade in the course, or any other course-related sanction the instructor determines to be appropriate. Continued enrollment in this course affirms a student s acceptance of this University policy. An instructor may include in the course syllabus additional information about academic integrity if he or she wishes to do so. 3. Notification of Charge of Academic Misconduct In the event an instructor determines that a student has engaged in academic misconduct, the instructor will notify the student of the allegation and the basis on which it is made and inform him or her of the action or sanction the instructor deems appropriate, consistent with the terms of Penalties for Academic Misconduct section of this policy. 4. Penalties for Academic Misconduct Each instructor will decide on a case-by-case basis what penalty will be given to the student for his or her academic misconduct; such penalties are described in the table below. The 39

40 instructor will notify the dean of the college of the allegation and the penalty assigned. The dean will inform the student of his or her right to appeal. Within seven (7) working days of the dean s notification, the student has a right to request an appeal through the procedures set forth below. If the student does not appeal, the department chair may send all documentation and appropriate form(s) that contain a description of the academic misconduct and the penalty assigned to the University registrar for filing in the student s record. Institutional responses to allegations of misconduct fall into two categories: (1) automatic penalties based on an official allegation and (2) possible penalties that will result if the student is not exonerated. The institutional responses seek both to educate and reprimand students while promoting academic integrity. These responses vary based on previous infractions and their outcome. 5. Infraction Penalties unless exonerated by appeal Infraction Automatic Penalties Possible Penalties unless exonerated by appeal First Second Third 1. Referral to Academic Integrity Workshop 2. Instructor sanction 1. All of the above 2. Meeting with college dean 1. Permanent record in Registrar s Office 2. Referral to Academic Integrity Council for University sanction 1. Permanent record in Registrar s Office 2. Meeting with college dean 1. Permanent record in Registrar s Office 2. Referral to Academic Integrity Council for University sanction 6. Academic Misconduct File All documentation relevant to a student s academic misconduct will be maintained in both electronic and paper files. The files will be created and housed in the Office of the Registrar. Hard copies will reside on file in the office of the college dean in whose college the alleged misconduct occurred. Academic misconduct files shall only be used by non-student University employees as necessary in the case of an appeal. If the student makes a formal appeal, it will be decided in accordance with the procedures set forth below. If the instructor is not able to give notice to the student, the instructor will send the information to the Office of the Dean of Students for delivery to the student. Students may not drop a class until the allegation of academic integrity violation has been resolved. If the allegation is confirmed, the instructor retains the ability to give a grade for the course if the student decides to drop the class after completion of the process. 7. Appeals Process A student may appeal the charge of academic misconduct and any sanctions or actions taken by the instructor through the procedures set forth below, beginning at the department level, and proceeding to the University level, if necessary. a. Appeals at the Department Level: 40

41 i. After the instructor advises the student of an accusation of academic misconduct and the penalties to be applied, the student has seven (7) working days after receiving this information to meet informally with the instructor to attempt to resolve this matter. ii. If the student is not satisfied with the action of the instructor, then within seven (7) workings days of the meeting with the instructor, the student may submit a formal written appeal to the department chair. Within seven (7) working days of receipt of the written appeal, the chair will meet with the student to attempt to resolve the matter. iii. If the student is not satisfied with the action of the department chair, then within seven (7) working days of the meeting with the department chair, the student may submit a formal written appeal to the dean of the appropriate college. b. Appeals at the University Level: i. Within a reasonable time [generally not more than seven (7) working days] of receipt of the written appeal, the instructor and department chair must submit the following materials to the dean of the college: a description of the academic misconduct and any penalties assigned, and all pertinent documentation concerning the academic misconduct. The dean of the college may ask for additional documentation from the student s academic misconduct file if such documentation exists. ii. Within seven (7) working days of receipt of the appeal, the dean of the college will submit a written copy of the decision to the student, instructor, and the department chair. If the dean of the college does not fully exonerate the student of the charge of academic misconduct, he/she will submit a written decision to the Office of the Vice President for Academic Affairs and retain all pertinent documentation regarding the academic misconduct in the student s academic misconduct file. iii. If not satisfied with the action of the dean of the college, the student may submit a written appeal to the vice president for academic affairs for referral to the Academic Integrity Council seven (7) working days after receiving notice of the decision. iv. Within seven (7) working days of receipt of the student s appeal, the vice president for academic affairs will refer the appeal to the Academic Integrity Council for a hearing and inform the instructor, department chair, and college dean. The composition of the Council and the procedures to be followed are set forth in Section C below. v. The Council will submit the report of the hearing and the recommendations of the Council to the vice president for academic affairs. The vice president for academic affairs may choose appropriate designees to act on his/her behalf. The vice president for academic affairs (and/or designees) will render the final decision after considering the recommendations and report of the Academic Integrity Council. The vice president for academic affairs (or designees) will send a report of the final decision to the student, instructor, department chair, college dean, and registrar. c. Procedures for the Academic Integrity and Discipline Council i. The vice president for academic affairs will give the Council a copy of the appeal and all pertinent documentation regarding the charge of academic misconduct. Copies of the appeal will also be sent to the instructor, department chair, and college dean. ii. The Council will be made up of four (4) faculty, three (3) students, and the dean of students or designee. Five (5) members of the Council will constitute a quorum, and 41

42 D. Grade Records at least one (1) appointee from the dean of students, the faculty, and the Student Government Association must be present. Decisions must be reached by a majority of the members present. The chair may cast a deciding vote in the even of a tie. The number of yes, no, and abstention votes will be recorded without designating individual votes. iii. The student, instructor, department chair, the relevant deans, and the vice president for academic affairs will be entitled to three (3) calendar days notice of the date, time, and place of hearing. iv. After the Council considers the matters referred to it by the vice president for academic affairs, the student and instructor may present relevant witnesses and documentary evidence. The Council will accept all relevant oral testimony, and documentation that it feels to be relevant, and material to the issue. The chair has the power to rule on the admissibility of the evidence and on the relevance of the question. The responsibility for questioning witnesses, securing evidence, and determining the degree of proof will be vested in the Council. v. Strict judicial rules of evidence will not be applied. The student, the instructor, the department chair, and the appropriate deans may be accompanied by an advisor, who may be an attorney, who may advise his client but may not address the Council. Advisors will only function in an advisory capacity; they will not address the council, question witnesses, or otherwise actively participate in the hearing. vi. The student, instructor (and advisors), department chair, college dean, dean of students, undergraduate and graduate deans (as appropriate), and the vice president for academic affairs may be present at any time testimony is presented and be provided copies of all evidence considered by the Council. vii. The office of the college dean or administrator in whose unit the alleged misconduct occurred will retain and secure copies of all evidence considered by the Council. viii. A copy of the decision of the Council will be provided to the student, the instructor, the department chair, the college dean, dean of students, the undergraduate and graduate deans (as appropriate), the vice president of student affairs, and the vice president of academic affairs within seven (7) working days of the final meeting of the Council. ix. Within seven (7) working days after receipt of the Council s recommendation, the vice president for academic affairs, or the designees, will render a final decision. The vice president of academic affairs, or the designees, will give the student, the instructor, and the dean of students official notice of the Council s recommendation and final action on the appeal. Grade books may be obtained from the faculty member s department chair or college dean. Upon leaving the University faculty, the faculty member is responsible for leaving all grade records with the college dean. E. Other Policies 42

43 1. Advising Academic advising is an important part of a faculty member s workload. Faculty members may be given specific advising assignments each year, depending on the needs of the department and the college. Southern Arkansas University recognizes that advising is a service responsibility of the faculty. Freshman students are normally advised through the Academic Advising and Assistance Center during their first year. Academic departments may assist these students if they are declared majors or if students seek departmental assistance. Students who have selected a major in which the curriculum has heavy prerequisites will be urged to seek departmental guidance. 2. Textbooks a. Requisition by Faculty The management of the campus bookstore will send a textbook order form to the faculty at least two weeks prior to the October 15 and March 15 deadlines for book order submissions to insure compliance with state statutes. The form determines (1) what textbooks each instructor will require the succeeding semester, (2) the approximate number of each text that will be needed, and (3) whether the books used during the current semester will be used the next time the course is offered. Textbook requisitions must be approved by the department chair, and one copy of all requisitions must be forwarded to the appropriate dean(s). A faculty member may borrow textbooks from the bookstore for a period of not more than 90 days. If not returned in good condition during the above period, the books will be charged to the teacher s departmental budget. b. Student Responsibility Students are expected to acquire all textbooks assigned in courses in which they enroll. 3. Faculty Attendance at Spring Commencement The deans and chairs are to develop a rotation of required attendance that will ensure sufficient faculty presence at each of the spring ceremonies. Faculty members who elect to attend the graduate ceremony are not expected to attend an undergraduate ceremony. Individual Faculty members who wish to participate in commencement ceremonies more often than expected may choose to do so. The Registrar will be provided a list of participants for the ordering of academic regalia for the faculty. 4. Library Policies and information related to the functions and services of the Magale Library may be found in the University Handbook. F. Intellectual Property Policy The primary purpose of the Intellectual Property Policy is to provide the necessary protections and incentives to encourage both the discovery and development of new knowledge and its transfer for the public benefit; a secondary purpose is to enhance the generation of revenue for the home institutions and the creators. 43

44 1. Definitions Although the law provides for several different types of Intellectual Property, SAU faculty concerns center on two: copyrightable and patentable properties. The following definitions are adapted from the AAUP document, Sample Intellectual Property & Policy Contract Language, which relies on pertinent federal statutes: a. The term Copyrightable shall be understood to mean that bundle of rights that protect original works of authorship fixed in any tangible medium of expression, now known or later developed, from which they can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device. Works of authorship (including computer programs) include, but are not limited to, the following: literary works; musical works, including any accompanying words; dramatic works, including any accompanying music, pantomimes, and choreographic works; pictorial, graphic, and sculptural works (photographs, prints, diagrams, models, and technical drawings); motion pictures and other audiovisual works; sound recordings; and architectural works. Tangible media include, but are not limited to, books, periodicals, manuscripts, phonograph records, films, tapes, and disks. Tangible media also include material created for ordinary teaching use (including, but not limited to, traditional, distance, and online course delivery methods) and in departmental programs, such as course content/materials, syllabi, assignments, tests, activities, and exercises. b. The term Patentable shall be understood to mean that bundle of rights that protects inventions or discoveries which constitute any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof. c. Directed work or work for hire is defined as a work agreed upon between the University faculty creator(s), the creation of which is based upon a specific request by the University and which requires substantial University resources. To qualify as a directed work or a work for hire, the following three conditions must be satisfied: i. A specific request by the University. ii. Substantial resources invested by the University. iii. Agreement between the University and the faculty creator. Such arrangement is to be agreed to in writing in advance, and in full conformance with other provisions of this agreement. Substantial resources will vary by department and context. To be substantial, the resources must be beyond the ordinary (e.g., computer or BlackBoard or equivalent) and must be more than that to which other members of the department or unit are regularly offered as support for their work. For example, if a unit moves all courses online, support to move these courses online would not, in this context, be substantial as support was not differentially provided. 2. Ownership of Copyright or Patent: Intellectual property created, made, or originated by a faculty member shall be the sole and exclusive property of the faculty, author, or inventor, except as he or she may voluntarily choose to transfer such property, in full, or in part, except when the work qualifies as a 44

45 directed work or work for hire by meeting the three criteria stated in the definition of such work, found above. 3. Ownership of Copyright of Course Materials: Material created for ordinary teaching use in the classroom or for distance or online courses or programs, such as course content/materials, syllabi, assignments, tests, activities, and exercises, shall remain the property of the faculty author, but institutions shall be permitted to use such material for internal instructional, educational, and administrative purposes, including satisfying requests of accreditation agencies for faculty-authored syllabi and course descriptions. 4. Frequently Asked Questions: a. Do I own copyright in my course? To be copyrightable, a work must be fixed in tangible form that is, it cannot be oral. Thus, courses are not copyrightable as a general matter. Course materials (syllabus, class notes, etc.) of sufficient originality can be copyrightable and as academic works, copyright in such materials belongs to the faculty member. b. For the University to own a directed work, must the agreement be in writing? No. However, administrators and faculty are encouraged to memorialize agreements in writing. c. What are substantial resources under this policy? The substantial resources threshold will vary by college, department, unit, and context. At the broad policy level, it would be unwise to try to capture such a variety of potential situations. However, resources beyond the normal provision made to faculty members are, at a minimum, a threshold factor in this determination. Remember also that the other two criteria (request and agreement by the faculty member) must be satisfied for a work to qualify as directed under this policy. G. Copyright Policy Significant portions of this policy are derived from Complete Copyright: An Everyday Guide for Librarians, by Carrie Russell, Creative Deed License 2004, American Library Association. This use is subject to the following: original credit to the author, non commercial use, and sharing based on these same conditions. 1. Copyright Basics The founding fathers believed that authors and inventors would be more likely to create new works if they were given an incentive. Congress established a set of exclusive rights that gave copyright holders the sole right to reproduce and market their works to the public for limited times. During the term of copyright, copyright holders would have no competitors in the market for their particular copyrighted works. Initially, the exclusive rights pertained only to the rights of reproduction and distribution, but over the years, Congress has created additional rights. Copyright law is found in Title 17 of the United States Code. The owner of copyright, under this title, has exclusive rights to do and to authorize any of the following: 45

46 a. to reproduce the copyrighted work in copies or phonograph records; b. to prepare derivative works based upon the copyrighted work; c. to distribute copies of phonograph records of the copyrighted work to the public by sale or other transfer of ownership, or by rental, lease, or lending; d. in the case of literary, musical, dramatic, choreographic works, pantomimes, motion pictures, and other audiovisual works, to perform the copyrighted work publicly; e. in the case of literary, musical, dramatic, choreographic works, pantomimes, pictorial, graphic, or sculptural works, including the individual images of a motion picture or other audiovisual work, to display the copyrighted work publicly; and f. in the case of sound recordings, to perform the copyrighted work publicly by means of a digital audio transmission. If a person other than the copyright holder uses one of the exclusive rights without the authorization of the copyright holder, that person has infringed copyright (unless an exemption applies). Once an expression is fixed in a tangible medium, it is afforded copyright protection immediately. A doodle made during a staff meeting, a webpage published on the World Wide Web, and the video one makes of a friend s wedding are all equally copyrighted. In the past, to gain copyright protection for a work, the work had to be registered with the U.S. Copyright Office and/or contain a copyright notice ( 1999 Joe Creative) on the published work. The Berne Convention Implementation Act of 1988 (which went into effect on March 1, 1989) amended the Copyright Act of 1976 by eliminating the registration and notice requirement. Since copyright is automatic, copyright is the rule rather than the exception. The creator or author must do something in order not to have copyright protection. She can put notice on her work saying, This material is not protected by copyright or I assert as the creator of this work that this work be recognized as public domain material. If the creator does not take action to the contrary, all works she creates are automatically protected. Thus, materials are copyright protected, instantly. 2. Duration of Copyright The copyright term has been extended many times throughout the history of copyright law, and the rules for copyright registration, renewal, and notice have also been amended numerous times. As a result, it can be very difficult to determine whether materials are protected by copyright. To complicate matters, additional modifications of the law have affected the term of unpublished materials. Furthermore, materials published outside the United States may be treated differently that U.S. publications. Consequently, one needs a copyright duration reference guide such as the one found in Exhibit A at the end of this section on copyright. 3. Exceptions to Copyright Protection a. Non-copyrightable work 46

47 Copyright does not protect ideas, but it does protect expression. The idea of a story boy meets girl cannot be protected by copyright, but a boy meets girl story expressed in an original way can be protected. Works that are obvious in their nature, such as the 12-month Julian calendar, cannot be protected by copyright. However, other parts of the calendar, such as original art or photography, may be protected by copyright. Copyright law does not protect facts, but it does protect the original and creative selection and arrangement of facts. For example, a bibliography is a list of citations that cannot be protected. An annotated bibliography is copyright protected (not the list of citations but the original and creative annotations). On the other hand, a non-annotated bibliography might arguable qualify for copyright protection based on the originality of the selection of citations. Likewise, a bibliography arranged in a novel and creative way might also qualify. Current copyright law protects only those elements of databases that contain originality and creatively in selection, coordination, or arrangement. Copyright protection for databases is often considered minimal since databases frequently are composed almost entirely of public domain materials. These types of works of authorship are sometimes said to have thin copyright protection. Since existing copyright law protects an original selection, arrangement, and coordination of facts in databases, librarians and other public interest groups have argued that additional copyright protection is not necessary. If database producers could also copyright the facts that reside within a database, basic tenets of copyright law would be challenged: i. Originality is a constitutional requirement for copyright protection. ii. Copyright only protects expression and not ideas. iii. Copyright s purpose to advance learning demands that ideas and information presented by others be built upon to create new works. iv. Once materials fall into the public domain, they cannot be copyright protected. b. Public Domain The public domain is information, knowledge, discoveries, and artistic creation never or no longer protected by copyright. Most of us know that facts, for example, are automatically part of the public domain, because facts cannot be copyrighted. The copyright law ( 102) goes on to say that in no case does copyright protection for an original work of authorship extend to any idea, procedure, process, system, method of operation, concept, principle, or discovery. Thus, while a particular process a person may have designed for shelving books in his library cannot be protected by copyright, a description, explanation, or illustration of the process could be protected by copyright. 47

48 In addition, works of the U.S. government produced by government employees are in the public domain. This category includes works that are created by all agencies of the federal government, such as the Internal Revenue Service, federal legislation, the president s speeches, and court rulings. Works created by state governments and their employees may or may not be in the public domain. Once materials are in the public domain, anyone can exercise a right of copyright without the prior permission of the copyright holder. For example, publishing a work from the public domain is not violation of copyright. In fact, the re-publication of such a work can generate new revenue, not for the original copyright holder, but for whoever publishes and markets it. c. Fair Use Fair use is limited use without signing a license, and without paying a fee. It not only allows but also encourages socially beneficial uses of copyrighted works such as teaching, learning, and scholarship. There is never an immediate answer to the question, Is this a fair use? One must make a fair use determination based on sound judgment and the careful consideration of the situation at hand and that determination may take some time. Those who prefer a yes or no answer may be troubled by the ambiguous nature of fair use, but fair use cannot be reduced to a checklist. Fair use requires people to think. But at least the fair use section of the copyright law is short and easy to read: Sec.107. Limitations on exclusive rights: Fair use notwithstanding the provisions of sections 106 and 106A, the fair use of a copyrighted work, including such use by reproduction in copies or phonograph records or by any other means specified by that section, for purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research, is not an infringement of copyright. In determining whether the use made of a work in any particular case is fair use, the factors to be considered shall be: i. the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes. ii. the nature of the copyrighted work. iii. the amount and substantiality of the portion used in relation to the copyrighted work as a whole. iv. the effect of the use upon the potential market for or value of the copyrighted work. See Exhibit B at the end of this section for a practical analysis of fair use. The Supreme Court has framed the larger policy issue by saying that to negate fair use one need only show that if the challenged use should become widespread, it would 48

49 adversely affect the potential market for the copyrighted work. Usually, one will need to investigate a few facts to assess the market and effect on the copyrighted work for a particular use. A person considering the issue of fair use might ask questions such as these: What is the market and potential market? Has a market developed at all? What is its rough size a handful of possible buyers for some precisely focused newsletters, or a wealth of takers for a Hollywood film? Making a copyrighted work available to a small group of enrolled students for the purpose of teaching, learning, and scholarship is likely an easier fair use case than sharing that work with six billion people worldwide on a publicly accessible website. Ease and cost of acquiring permission also is a question to ponder and address in assessing the potential market. d. The TEACH Act Before the TEACH Act was passed in 2002, section 110 did not address transmitting digital materials to students in distance education situations. Unlike fair use, the TEACH amendment is more of a checklist one is allowed to do this and that, but you have to follow these particular conditions. The TEACH Act allows copyrighted works in digital formats to be digitally transmitted to students in the classroom or in distance learning environments without prior permission from the copyright holder. But make no mistake; the exemptions addressing the use of digital materials in the classroom are limited in scope. In particular, educational institutions must meet specific requirements before the exemption can be used. e. Public Displays and Performances in the Classroom In the face to face teaching situation (physical classroom or other place devoted to instruction), instructors and pupils at non-profit educational institutions may display analog works protected by copyright holder. For audiovisual works, like videotapes, the copy used must be a lawful copy. But, as you know by now, copyright has to be confusing most of the time. When transmitting material via digital networks, the rules for the display and performance of copyrighted works to the classroom are more complex and detailed in nature. See Exhibit C at the end of this section for analysis. 4. Additional Rules for Digital Works and Digital Transmission of Works Protected by Copyright a. All materials used for display and performance in the classroom must be works that were lawfully made and acquired, or at least one should have every reason to believe that the copies are lawful copies. b. Teaching must occur at an accredited, non-profit educational institution. Accreditation for K-12 schools is recognition by the applicable state certification or licensing board. For higher education, the college or university must be approved by a regional or national 49

50 accrediting agency recognized by the Council on Higher Education and Accreditation or the U.S. Department of Education. c. The use of the copyrighted resources must be within the confines of mediated instructional activities integral to the course, under the direction of the course instructor, and analogous to the kinds of performances or displays one would expect in a physical classroom. d. The use of dramatic literary works those works with a dramatic element like an opera or play and any other work (including audiovisual works) is limited to smaller, discrete portions of the work unless performing or displaying the entire work is essential to the course. For example, an instructor teaching the course Films of John Ford probably needs to show one or more John Ford Films in their entirety to meet course goals. In the rare instance where it is necessary to transmit a digital copy of a film via a computer network to students in remote locations, TEACH could also apply, but only if the digital copy is necessary to meet pedagogical goals. The digital transmission is made for enrolled students only and to the extent technologically feasible, limited to enroll students. To use these exemptions, educational institutions must also have in place copyright policies and copyright educational resources that promote lawful use of copyrighted works and that are readily available to instructors, staff, and students. In addition, students should be alerted to the fact that copyrighted works used in courses may be protected by copyright. Labeling works as protected by copyright and including the notice of copyright whenever possible is more important when works are in digital formats. Furthermore, the educational institution that transmits digital works must use technological protection measure (passwords, watermarking, encryption) that reasonably prevent: i. retention of the work in accessible form for any time longer than the class session. ii. unauthorized further dissemination of the work to others. iii. activities that would decrypt or otherwise interfere with technological measures already employed by the copyright holder to prevent retention or unauthorized distribution of the work. Digital materials are more vulnerable to copyright infringement because of the ease of reproduction and broad distribution. With TEACH, Congress said digital works should be more tightly controlled. To achieve this end, educational institutions are required to make a concerted effort to prevent infringements in two ways by educating the educational community about copyright law and by using technology to limit the possibility of infringement. 5. Effectiveness of Technological Controls Required by TEACH Arguably, the most difficult aspect of interpreting the TEACH Act is the technological requirements expected of institutions who want to exercise the TEACH exemptions. Congress used the reasonable measures language as an acknowledgement that educators judgment and our demonstration of good faith will come into play when educators implement protection technologies. The institution should take reasonable measures to 50

51 protect copyrighted works as best as possible, given existing technology, its availability, and the technological capabilities of the individual school, college, or university. Fair use is always an alternative option for educational institutions. Teachers and students can use digital materials for teaching if the use is a fair use. In fact, before the TEACH amendment, many educational institutions exercised fair use when using digital materials for educational purposes. As far as can be determined, none of these actions led to litigation. If the use of digital material is fair, the institution is not infringing. Note that with fair use, the institution is not required by law to meet the technological requirements outlined in section Course Packs Publishers and other copyright holders have long been concerned about course packs, for a number of reasons. If course packs are used rather than textbooks, profits are affected. Publishers and other copyright holders believe that they should be compensated through permission fees, for example for the use of copyrighted material in a course pack. Indeed, copyright permission fees are an increasing source of income for many publishers. Publishers are able to continue to collect royalties even on materials they no longer print or make available in the market. On the other hand, educators may feel that, if the materials are being used for non-profit, educational purposes, course packs are fair uses. After all, one of the exemplars of fair use listed in section 107 is multiple copies for classroom use. Even so, two court cases have found against course packs without copyright permissions. Unfortunately, the copyright law does not tell us when permission is necessary for the copyrighted works included in course packs. We know that if a copyright exemption such as fair use does not apply, permission should be sought. Some people assert that the first use of a copyrighted work in a course pack is fair, and subsequent uses of the same material are unfair. The copyright law does not provide a specific indication that repeated use of the same item is an infringement. However, if the repeated use is conducted to avoid a purchase, the fourth factor effect on the market would certainly come into play, and permission should be sought. For those institutions that rely on the Agreement on Guidelines for Classroom Copying in Not-for-Profit Educational Institutions, to make fair use decisions, repeated use may be in conflict with the spontaneity constraint. However, the Classroom Guidelines are merely one way to make decisions about copying. True fair use determinations (based on section 107) do not rely on the guidelines. Magale Library is the contact point for seeking permission for use when that need is determined. The Library currently is paying the copyright permission cost if it is not unreasonable. 7. The TEACH Act and Reserves The legislative history for the TEACH Act makes clear that exemptions to public performance and public display of resources outlined in section 110 do not apply to reserves. This makes sense if one considers that rarely would an instructor publicly display a journal article for classroom purposes. Students do not read their materials during the class period. It 51

52 Exhibits is more likely that a portion of a resource (like a graph or illustrative model) may be displayed in the classroom. Public performance applies only to works that are publicly performed (recitation, theatrical production, choreography) or that are shown or heard by means of a playback device (videos, motion pictures, sound recordings). Public displays are for work on display as in works that would be displayed in an art gallery. See Exhibit D at the end of this section for additional information. 8. Digital Millennium Copyright Act (DMCA) of 1998 The DMCA is the principal amendment that attempts to update the copyright law for the digital environment. This law remains unsettled and controversial. The DMCA: a. provides some protection to online service providers from liability for online infringement if certain conditions are true and particular rules are followed; b. allows libraries and archives to make up three reproductions for replacement or preservation purposes under certain conditions; c. gives copyright holders the right to control or deny access to digital works protected by copyright; d. makes the circumvention of technology used to protect copyrighted materials a civil and criminal offense; e. prohibits the manufacture, provision, importation of, and trafficking of ant-circumvention and anti-copying devices or software; f. prohibits tampering with copyright management information; g. maintains that rights, remedies, limitations, or defenses to copyright infringement, including fair use, are not affected regardless of new prohibitions on anti-circumvention technologies (although fair use is not a defense to the criminal act of circumvention); h. establishes that an ongoing, administrative rule-making proceeding be held to evaluate the impact of the anti-circumvention provisions on non-infringing uses of copyrighted works; i. directs the U.S. Copyright Office and the National Telecommunications and Information Administration of the Department of Commerce (NTIA) to produce a joint report on first sale and computer software exemptions and how encryption research may be affected by DMCA; and j. directs the U.S. Copyright Office to hold public hearings and make recommendations regarding distance education. Exhibit A Copyright for Published Works Time of Publication Conditions Public Domain Status Before 1923 None In Public Domain Between Publish without a copyright In Public Domain 1923 and 1978 notice Between 1978 and March 1, 1989 Published without a notice, and without subsequent In Public Domain 52

53 Between 1978 and March 1, 1989 Between 1923 and 1963 Between 1923 and 1963 Between 1964 and 1978 Between 1978 and March 1, 1989 registration Published without a notice, but with a subsequent registration Published with notice but copyright was not renewed Published with notice and copyright was renewed Published with notice Published with notice 70 years after death of author, or if work of corporate authorship, the shorter of 95 years from publication, or 120 years from creation In Public Domain 95 years after publication date 70 years after death of author, or if work of corporate authorship, the shorter of 95 years from publication, or 120 years from creation 70 years after death of author, or if work of corporate authorship, the shorter of 95 years from publication, or 120 years from creation After March 1, 1989 None 70 years after death of author, or if work of corporate authorship, the shorter of 95 years from publication, or 120 years from creation Copyright for Unpublished Works Type of work Copyright Term What Became Public Domain on January 1, 2003 in U.S. Unpublished works Life of the author + 70 years Works from authors who died before 1933 Unpublished anonymous and pseudonymous works, and works made for hire (corporate authorship) Unpublished works created before 1978 that are published before January 1, 2003 Unpublished works created before 1978 that are published after December 31, 2002 Unpublished works when the death date of the author is not known 120 years from date of creation Life of the author + 70 years or December 31, 2047, whichever is greater Life of the author + 70 years 120 years from date of creation Works created before 1883 Nothing. The earliest publications can enter the public domain is January 1, 2048 Works of authors who died before 1933 Works created before 1883 Exhibit B Applying the Four Factors One useful way to begin any fair-sue analysis is to examine the model prepared by Professors Kenneth D. Crews and Dwayne K. Buttler: (See below) The model gathers together a multiplicity of facts and circumstances that have occurred in fair use cases and that courts have found significant in weighing how those facts and circumstances fit within the four-factor analysis. (Sample analysis in Appendix B Buttler s Analysis) 53

54 Buttler s Analysis 1. Purpose E-reserve service furthers the teaching, learning, and scholarship of students. Libraries typically limit the use of resources solely to particular students enrolled in specific classes, not allowing access to all who might happen upon a webpage. That limit further reinforces and demonstrates the purpose of using the materials: teaching and learning. E-reserves also can serve as something of a multiple-copies-for-classroom-use opportunity, yet in practice actually might lessen the number of copies. The library typically would make only one copy of the work and would make the lone copy available electronically to multiple students. These facts and circumstances might generally favor a finding of fair use, but they certainly do not end the fair use inquiry. All four factors must be analyzed and weighed applying fair use, not just the purpose. 2. Nature This factor asks about the nature of the original work. Fair use generally favors the use of published works over unpublished works. Unpublished works enjoy a bit thicker protection under the theory that the author should have the right to decide not only when to publish but also whether to publish at all. However, the statute itself indicates: the fact that a work is unpublished shall not itself bar a finding of fair use. Thus, fair use could support the use of unpublished works in some circumstances. The other three factors, for instance, might weigh heavily in favor of fair use. Making use of more factually based works also can support a fair use finding. On the other hand, using fictional or highly creative works such as art, music, novels, plays, and the like might make a fair use outcome less likely. Professor Kahn assigns a range of diverse readings and materials; some may fall easily within fair use, others outside its ambit. Nature is but one of four factors. 3. Amount In general, less is better, but there may be instances when using a greater amount of work, maybe even the whole thing, is legitimate. Purpose relates closely to amount or, more precisely, ought to relate closely to amount of the copyrighted material used. The more one uses a given work, the more one will need to articulate not only well but also clearly how that amount might be critical to serving one s purpose, for instance, directly supporting teaching goals and pedagogy. A difficulty in understanding and applying an incremental approach, that is an amount standard, to fair use determinations is the seeming bias toward print materials. It is usually less difficult for faculty, librarians, and others to appreciate how one might limit the use of written works to particular teaching and learning designs rather than a photograph or musical work. If students do not need to read a whole article to understand a particular nuance, for instance, why copy and assign the whole work? Just copy and assign directly relevant portions of it. The more difficult conundrum is communicating visually or aurally in their broadest sense. Think about teaching photography and photographic principles. Can one teach photography by using only increments 54

55 or percentages of photographs or other visual works? Is the lower left-hand corner, somewhere near the middle, just above the border, enough to meet learner needs? Probably not. What about teaching music composition? Is listening to 10 percent or ten seconds of a particular work sufficient to convey the flavor of the work or something of more substance? Can one use a whole work and still fit within fair use? Such a quandary can raise difficult challenges in applying fair use. Whole works have successfully constituted fair use in some fairly narrow instances. Using whole works also has weighed against fair use in other instances. 4. Effect Effect is in some ways the most mysterious, and perhaps most irreconcilable, factor of fair use. Some courts have suggested that it might weigh more than the other factors, but the Supreme Court has sought to refine and arguable to extinguish this narrow interpretation. Copyright owners might claim that effect ought to determine the outcome of a fair use analysis. If there is a significant loss of revenue to the copyright holder, then the effect would be significant. Exhibit C Showing a Movie on Campus If a person is showing a movie to anyone other than family and friends in a nonpublic place, the following questions may apply to determine whether a public performance license is required. All of this assumes that the copy of the movie is a legal one. Is the movie being shown as a part of live, face to face teaching activities in a classroom or similar place devoted to instruction? If yes, then a public performance license is not required, but fair use and TEACH still apply. If no, is there any specific license for nonprofit educational purposes? If no, then a public performance license is required. Exhibit D Library Reserve Policy Options Following are three different hypothetical approaches a library might take, from the risk-averse approach to the more liberal, when developing library reserve copyright policies. It cannot be said with any certainty that a court of law would consider any of these options non-infringing. 1. Fair use claimed for all items, for a limited time. Photocopied or scanned material will be placed on course reserve for a number of semesters before permission is requested of the copyright holder. This will be done for all items, regardless of whether the library owns an original, except for consumables. These materials will not be copied for use on course reserve. Of course, permission will never be sought for works in the public domain. The 55

56 advantage of this approach is that legally it is fairly though certainly not absolutely safe. The disadvantages are that it requires extensive tracking of use, and that asking permission always carries with it the possibility of either a refusal or of a request for a fee that is prohibitive. 2. Fair use claimed for a limited time for items not owned; indefinitely for those the library has purchased. Same as (1), except that permission will not be requested to make copies of items the library has already purchased for the educational use of its clientele. For materials that are in print, a copy of an un-owned item may be purchased for the library in lieu of asking permission and paying a fee. The advantages of this approach are that it is fairly easy to articulate to staff and faculty, and there are fewer items that require tracking of use. The disadvantages are that some sort of checking must be done to determine (1) whether items are owned, (2) that the legalities are less certain, and (3) that (for those items that are not owned) permission requests always carry with them the risk of refusal or prohibitive fees. 3. Fair use claimed indefinitely. Fair use will be claimed any time the professor requests that the material be placed on reserve, except for consumables. The advantage of this approach is that it is very easy to articulate to faculty and staff. The disadvantage is that the legalities are perhaps even less certain. Note: The three scenarios outlined above are by no means the only possible ones but are intended to serve as broad examples of possible approaches to copyright management of reserve materials. VIII. Academic Freedom, Responsibility, and Tenure The Academic Freedom, Responsibility, and Tenure policies of Southern Arkansas University have been in accordance with the principles enunciated by the AAUP in 1940, and refined and modified since that time. A. Academic Freedom The administration and faculty of Southern Arkansas University adhere to the generally accepted principle that institutions of higher education exist for the common good and not to further the interest of either the individual teacher or the institution as a whole. The common good depends upon the free search for truth and its free exposition. Institutions of higher education are committed to the solution of problems and controversies by the method of rational discussion. Acts of physical force of disruptive acts which interfere with University activities, freedom of movement on the campus, or freedom for students to pursue their studies are the antithesis of academic freedoms and responsibility, as are acts which, in effect, deny freedom of speech, freedom to be heard, and freedom to pursue research of their own choosing to members of the academic community or to invited visitors. 56

57 Academic freedom entitles the teacher to full freedom in research and/or artistic expression and in the publication or presentation of the results. But research, publication, or presentation for pecuniary return should be based on an understanding with the authorities of the institution. Academic freedom is the freedom to discuss all relevant matters in the classroom; to explore all avenues of scholarship, research, and creative expression; and to speak or write without institutional discipline or restraint on matters of public concern, as well as, on matters related to professional duties and the functioning of the University. Academic responsibility implies the faithful performance of professional duties and obligations, the recognition of the demands of the scholarly enterprise, and the candor to make it clear that when one is speaking on matters of public interest, one is not speaking for the institution. B. Academic Responsibility The concept of freedom should be accompanied by an equally demanding concept of responsibility. University teachers are citizens, members of a learned profession, and officers of an educational institution. When teachers speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As people of learning and educational officers, teachers should remember that the public may judge their profession and their institution by their utterances. Hence, teachers should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution. The following is taken from the Statement of Ethics prepared by the American Association of University Professors. It provides guidance on ethical standards appropriate for faculty. Introduction. From its inception, the American Association of University Professors has recognized that membership in the academic profession carries with it special responsibilities. The Association has consistently affirmed these responsibilities in major policy statements, providing guidance to professors in such matters as their utterances as citizens, the exercise of their responsibilities to students and colleagues, and their conduct when resigning from an institution or when undertaking sponsored research. The Statement on Professional Ethics that follows sets forth those general standards that serve as a reminder of the variety of responsibilities assumed by all members of the profession. In the enforcement of ethical standards, the academic profession differs from those of law and medicine, whose associations act to ensure the integrity of members engaged in private practice. In the academic profession the individual institution of higher learning provides this assurance and so should normally handle questions concerning propriety of conduct within its own framework by reference to a faculty group. The Association supports such local action and stands ready, though the general secretary and the Committee on Professional Ethics, to counsel with members of the academic community concerning questions of professional ethics and to inquire into complaints when local consideration is impossible or inappropriate. If the alleged offense is deemed sufficiently serious to raise the possibility of adverse action, the procedures 57

58 should be in accordance with the 1940 Statement of Principles on Academic Freedom and Tenure, the 1958 Statement on Procedural Standards in Faculty Dismissal Proceedings, or the applicable provisions of the Association s Recommended Institutional Regulations on Academic Freedom and Tenure. The Statement 1. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper of compromise their freedom of inquiry. 2. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom. 3. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates, even when it leads to findings and conclusions that differ from their own. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution. 4. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their institution. 5. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak of act as private persons, they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a 58

59 particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom. Grievance Procedure. A faculty member, staff member, or student who alleges that another faculty member has violated the Statement of Ethics may lodge a complaint with the chair of the Faculty Staff Appeals and Human Rights Committee. The complainant will set forth in writing what actions or matters are being grieved and the remedy sought, and shall provide supporting documentation for the grievance. The chair of the Faculty Staff Appeals and Human Rights Committee will review the complaint and attempt to mediate the issue raised in the complaint. The sub-committee will be guided by Section 602 of the University Handbook, Faculty or Staff Member with Grievance (nondiscrimination). For ethical complaints under this section the subcommittee would follow the procedure beginning at Sept. 5. If the complainant is dissatisfied with the result of the mediation, the chair will convene the Faculty Sub-committee of Faculty Staff Appeals and Human Rights Committee to make findings and recommendations on the complaint. The sub-committee will conduct such review as it deems warranted. It will afford the faculty member making the complaint and the faculty member or members whose actions are the object of the grievance opportunity to present and respond. The committee will determine whether the grievance has merit. If the committee so finds, it will recommend appropriate remedies. The sub-committee will submit its report to the Vice President for Academic Affairs. The VPAA will review the report and issue a final decision on the grievance. This will constitute final disposition of the grievance. This is a change from the grievance procedure which goes to the president. C. Academic Tenure In an official faculty meeting October 3, 1979, the faculty, by majority vote, established a twotrack plan regarding tenure. Upon initial appointment an employee enters a non-tenure or tenure track, and all contracts to faculty personnel are clearly identified in this regard. No fewer than 80 percent of the teaching positions will be on a tenured track. Furthermore, no changes in tenure or non-tenure shall be applied retroactively. D. Non-Tenure Track Faculty Certain full-time positions, which consist of less than 100% teaching responsibility, may be filled by an appointment on the non-tenure track plan. Additionally, certain full-time positions with 100% teaching responsibility, but which clearly are of a limited duration, may also be classified as non-tenure track. A non-tenure track employee may have his/her contract renewed annually and under certain conditions may be considered for transfer to a tenure track position. In such a transfer, years accumulated in a non-tenure track position will not apply toward tenure unless the experience 59

60 gained is in the field (area) assigned as a tenured appointment. The maximum number of years to transfer is four (4). E. Tenure Track Faculty Tenure is a means to certain ends, specifically (1) freedom of teaching and research and of extramural activities and (2) a sufficient degree of economic security to make the profession attractive to men and women of ability. Freedom and economic security, hence tenure, are indispensable to the success of an institution in fulfilling its obligations to its students and to society. Tenure will be based upon merit as a teacher and scholar, rather than upon an arbitrary number of years at the institution. However, an adequate amount of time is necessary for a teacher to demonstrate competence and for the institution to evaluate it. The period for earning tenure will be stated in writing during contract negotiations and a copy will be retained by the University and the new faculty member. (Section IX of this Handbook contains guidelines regarding tenure and promotion.) F. Tenured Faculty After the expiration of a probationary period and upon the awarding of tenure, full-time teachers or investigators should have permanent or continuous tenure, and their service should be terminated only for adequate cause, except in the case of voluntary retirement, or under extraordinary circumstances because of financial exigencies. IX. Evaluation of Faculty and Administrators Annual Review of Performance A Institutional Plan The following is the procedure for conducting the administrative, peer, and student evaluations required of faculty by Act 244 of The procedure was developed by an Ad Hoc Committee on Annual Review of Performance. Act 244 requires state colleges and universities to conduct an annual review of the performance of all full-time faculty. The Act states: This review shall include assessment by peers, students, and administrators and shall be utilized to insure a consistently high level of performance and serve in conjunction with other appropriate information as a basis for decisions on promotion, salary increases, and job retention. This review shall not be used to demote a tenured faculty member to a non-tenured status. Regarding the issue of salary increases, on May 7, 1997, the Faculty Assembly passed a recommendation (which originated from the Faculty Senate) that states: The Senate recommends that cost of living raises take precedence over merit pay. 60

61 The Senate affirms that the University s initial contract with a faculty member sets a contractual value on the faculty member s service that the University should try to maintain in relation to the cost of living until the terms of the contract are changed by negotiation. The Senate does not oppose appropriate salary adjustments when change of degree status, prior gender or racial discrimination, considerations of salary equity or other weighty considerations can be documented. Moreover, if the budget for faculty salary exceeds cost of living increases, the Senate would support using the excess for merit pay. If it falls below cost of living increases, the Senate feels a policy of merit pay will result in more mischief than good. Since the passage and application of Act 244, another legislative bill was passed, Act 1330 of 1997, which requires state-supported colleges and universities to review faculty performance, including post-tenure review. The framework should be used to develop processes and procedures at each institution to ensure a consistently high level of performance of the faculty at Arkansas publicly supported institutions of higher learning. The effects of the review process of faculty performance should include rewarding productive faculty, redirecting faculty efforts to improve or to increase productivity, and to correct instances of substandard performance. These revised plans will have to be reported to several committees of the State Legislature, as well as the Arkansas Department of Higher Education no later than December 1, 1998, and shall be implemented on the respective campuses no later than January 1, Following are the current procedures of evaluating faculty at Southern Arkansas University. I. General Procedures for New Faculty Evaluation A. Evaluation Materials Storage and Access All materials generated by peer, student, and administrative evaluations shall be kept on file in the Office of Human Resources under lock and key for three years. Summaries of peer and student evaluations shall be kept on file indefinitely. Access to the files will be limited to those who have a personal need to see them. Faculty shall have access to and may obtain copies of their own files. Peer evaluation records will be distributed only as blind copies that do not reveal the identity of the peer evaluators. A log will be kept of all accessions to the files. B. Administrative Evaluation Procedures Appendix D contains sample deadlines. Specific dates will be provided by the Office of the Vice President for Academic Affairs. 1. Preparation and Review of the Development Plan for Tenure-Track Faculty Members By November 1 in the first year of appointment, new tenure-track faculty members will meet with their chairs to prepare the initial Professional Development Plan, using the form 61

62 entitled Development Plan for (see Appendix E). The plans will be forwarded to the dean and the vice president for academic affairs. 2. Progress Report Meeting for Tenure-Track Faculty By November 1 in subsequent years, the supervisor/department chair and the tenure-track faculty member will meet to discuss progress made and update the Development Plan for. The chair and the faculty member will date and initial the plan in the appropriate space. The plans with the chairs comments will be forwarded to the dean and vice president for academic affairs. 3. Completion and Submission of Annual Summary of Professional Activity By May 15, all faculty members will submit one copy of their Annual Summary of Professional Activity (see Appendix F) to their supervisor (department chair, etc.), college dean (or equivalent), and the Office of Human Resources. This report provides selfevaluation data which may enhance a faulty member s evaluation for the purposes of promotion, tenure, position retention, and/or salary increases. 4. Chair s Evaluation Scored on the Faculty Evaluation and Progress Review Form By November 1, the department chair will evaluate each faulty member for the previous academic year on the Faculty Evaluation and Progress Review form, hereafter referred to as the FEPR form. The progress report may occur at the same time as the overall chair evaluation of the faculty member. At the evaluation meeting between the department chair and faculty member, the two will also determine for the upcoming evaluation cycle the Faculty Member s Preference Ranking of Evaluation Categories on the Faculty Evaluation and Progress Review Form (see Appendix G). a. Data for consideration include the student evaluations, student comments, faculty selfevaluation through the Annual Summary of Professional Activities, faculty load, and professional contribution to departmental operation. b. Additional data may be collected for evaluation and documentation. Supervisors may solicit evaluative comments concerning external contractually assigned activities of faculty. c. At the evaluation meeting, the following details will be completed: i. the faculty member writes comments on the form, if he or she desires; ii. the faculty member signs and dates the form (by signing the form, the individual indicates only that he or she has read the form). 5. Faculty Response to Evaluation Results If a faculty member wishes to respond to the evaluation results of a supervisor, the faculty member may write a letter, within one week of receiving the annual evaluation report, to the supervisor, explaining the problem. The supervisor will strive to solve the problem, which could include a re-evaluation, as soon as possible. 62

63 A faculty member may request an evaluation by a supervisor at the level above that from which the faculty member is normally evaluated. Requests for re-evaluation or further evaluation may continue to the level of the vice president for academic affairs. The FEPR form shall be sent to the dean for review. The FEPR form shall be sent or made available to the faculty member after the dean s comments have been recorded. The FEPR form shall be sent the Office of Human Resources. C. Peer Evaluation Procedures *Each college has created their own Peer Evaluation Form. 1. A peer, for evaluation purposes, shall: a. be a full-time faculty member with at least a six semester credit hour teaching load or its equivalent per semester; b. have been employed as a full-time faculty member at SAU for more than one year; c. be a member of the same department; (Note: Faculty holding dual appointments, excluding instructors in the Methods and Materials courses in Education, shall evaluate and be evaluated in both departments.) d. not include department chairs or deans. 2. A department, for evaluation purposes, shall be defined by the administration. 3. A peer review shall include the following: a. Classroom Observation Procedures: i. Peer assignment: The chair will assign the peer to observe a faculty member s class. The faculty member, in consultation with the peer, will choose the class to be visited. Consideration will be given to both face-to-face and online courses. Two faculty peers should not visit and evaluate each other s class session. ii. Pre-Observation Meeting: The peer reviewer will meet with the instructor before the classroom visit. During the meeting the two will review the material to be presented and the connection to the syllabus, the planned instructional methods, the academic backgrounds and interests of the students, and the teaching style of the instructor. iii. Classroom Observation: The peer reviewer will be present at the beginning of the class and remain throughout the session. The peer reviewer will record observations on a form developed by the appropriate college or department. iv. Post-Observation Meeting: the peer reviewer will share initial observations and evaluations with the instructor following the class session. The instructor will have the opportunity to respond to the peer reviewer s observations in writing. v. The classroom visit will occur at least once each academic year for tenure-track faculty and at least once every three years for tenured faculty. Non-tenure track faculty will have a classroom visit each year while adjuncts will be observed at the discretion of the department chair. vi. Academic departments and colleges may determine whether additional classroom observations are needed to strengthen faculty evaluation and development as well as 63

64 vii. to meet program accreditation standards. Individual faculty may request additional classroom observations. Evaluation of Online Courses: Online classes will be similarly evaluated by peers based upon rubrics, standards, and procedures designed by the departments and colleges. b. Evaluation of the Annual Professional Summary: By October 1, a faculty member s Annual Professional Summary will be evaluated by at least one peer and an evaluation of the Summary submitted to the chair of the faculty member s department. The chair will assign the peer(s) to evaluate a faculty member s Annual Professional Summary. The peer reviewer(s) will report their evaluations of the Annual Professional Summary on a form developed by the college. Two faculty peers should not evaluate one another s Annual Professional Summary. c. Final Peer Review Evaluation: The evaluation will include the peer reviewer s classroom observation form, the faculty member s response to the classroom visit report, and an evaluation by the peer reviewer(s) of the faculty member s Annual Professional Summary. This peer evaluation assessment will become part of the chair s Faculty Evaluation and Progress Review that will be filed with the Vice President for Academic Affairs and Office of Human Resources. As set out in the Administrative Evaluation Procedures section, the faculty member will have the opportunity to respond to the FEPR findings, including the peer review evaluations. D. Student Evaluation Procedures New faculty will be evaluated by students in each course during their first three years of employment. Beginning with the fourth year of employment, the faculty member will be evaluated at the same rate as other faculty. Faculty in their fourth year of employment or beyond will be evaluated at least once in every course taught over a three-year period. These faculty must also be evaluated in a minimum of two courses per year. The cycle of courses to be evaluated during the three-year period will be agreed upon by the individual faculty member and appropriate departmental chair(s). Faculty members or their immediate supervisors may request and be granted a student evaluation during any semester. The Student Survey Form (see Appendix I) will be used as the instrument for faculty evaluations. The vice president for administration will distribute the Student Survey Form as requested. All student evaluations shall be conducted at the beginning of a class session during the last three (3) weeks of class by the department chair or other faculty member designated by that chair. 64

65 Arrangements for student evaluations of off-campus courses will be made by the respective college dean. Additionally, in the process of administering student surveys, the following narrative and instructions should be added to those administering student surveys: Read to the class: Please take a few minutes to complete this survey. After the semester is over and grades have been submitted, instructors will receive the compiled results of these surveys. All information is anonymous. For the person administering the surveys: Do not allow students to talk to one another about the surveys. Do not make comments of any kind about how the students should fill out the surveys. Have students put their surveys directly into the envelope that has been provided. Have a student seal the envelope and sign over the seal. The forms and comments, sealed in an envelope with a student signature across the seal, will be returned to the Office of Human Resources. Campus mail will not be used to return student evaluation packets. The Office of Human Resources will be responsible for preparing a summary of evaluations and typing the collated comments. At no time will student workers be involved in the summary or the typing process. The average score for questions of the Student Evaluation Form shall be used as an aid to compare instructional performance by departments, colleges, or university-wide. The reports of student evaluations for each faculty member evaluated will be distributed directly to the respective department chairs and deans for subsequent distribution to their individual faculty members. Four copies of the report will be distributed (one copy each) to the faculty member, the appropriate department chair, the appropriate college dean, and the Office of Human Resources. Campus mail will not be used in any distribution process. II. Institutional Monitoring of the Annual Faculty Performance Review The Southern Arkansas University institutional plan will be monitored by a nine (9) member committee. The monitoring committee will be composed of four members of the faculty (one elected member from each of the four colleges) and the Deans Council (the deans of each college and the vice president for academic affairs). If no Faculty Senator is selected in this process to this committee, one will be appointed by the Faculty Senate president to serve as an ex officio member. The committee will meet following receiving written request(s) for re-evaluation of the annual faculty performance review process, as well as meeting each spring semester, to review the overall SAU institutional plan to ascertain its academic effectiveness and to ensure that the process is rigorously and consistently applied. The Office of Human Resources will be responsible for maintaining the University s permanent faculty performance review records and in preparing the summary of the student s evaluations and comments for all faculty participants. III. Institutional Evaluation of the Annual Faculty Performance Review System 65

66 Based upon input from faculty to their college dean and/or the Faculty Senate, the AFPR Monitoring Committee members will regularly re-evaluate the AFPR System to recommend any changes/modifications to the approved AFPR System, as necessary. Any proposed change to the AFPR system must be forwarded to the Faculty Senate for consideration. IV. General Procedures for Administrator Evaluation A. Administrator Rating The administrators to be rated include chairs, deans, the vice president for academic affairs, and the president. B. Administrator Rating Process 1. Administrators will be rated by the faculty in the academic unit that they administer, i.e., chairs by their departments, deans by their colleges, and the vice president for academic affairs and the president by all of the faculty. 2. All administrators will be rated in their first year and on the two-year cycle for their unit thereafter. 3. The faculty rating of an administrator is intended for the use of the administrator being rated. 4. The Office of Human Resources will manage the process of conducting faculty ratings of administrators and will communicate a summary of these ratings to the evaluated administrator as soon as possible. 5. The rating summaries will consist of averages of both the importance rating and the performance rating on each rating item and a typed list of comments by category. 6. In order to preserve the confidentiality of these ratings, the Office of Human Resources will destroy the original documentation of the faculty ratings for each administrator as soon as feasible. No permanent record will be maintained in the Office of Human Resources of said ratings. Additions and Exceptions to the above for Chair Evaluation: 1. Chair ratings will be conducted only for those chairs that administer departments of five or more faculty. 2. All chairs will continue to be rated by their departments as peers. C. Administrator Rating Forms These forms can be found as Appendix J. X. Faculty Appointment, Tenure, and Promotion Guidelines 66

67 The following appointment policies were approved by vote of the SAU faculty on May 7, They were edited in October 1996 and May 2016 I. Faculty Appointment Policies A. Faculty Hiring Procedures Southern Arkansas University adheres to Higher Learning Commission guidelines on Determining Quality faculty (updated Oct. 1, 2015 following adoption of a policy revision to Assumed practice B.2 by HLC s Board of Trustees). These guidelines state that qualified faculty member are identified primarily by credentials, but other factors, including but not limited to equivalent experience, may be considered by the institution in determining whether a faculty member is qualified. When a mutual agreement between the administration and the dean of a college indicates a faculty position opening, the following procedures are used. A personnel requisition form is to be completed by the supervisor and signed by the appropriate dean, the vice president for academic affairs, and the president. Upon receipt of the approved personnel requisition form in the Office of Human Resources, a representative from the Office of Human Resources will meet with the person(s) primarily responsible for the employment decision in order to explain the University s employment procedures and to discuss other considerations regarding the position opening. The Office of Human Resources will advertise the position internally and externally and conduct standard correspondence with applicants. The person or persons responsible for the hiring recommendation as designated by the administration have the responsibility of screening and interviewing applicants and recommending to the vice president for academic affairs the candidate to fill the position. If interviews are required, the administration will establish an appropriate number of interviews (generally at least three for faculty positions and five for dean and vice president positions). The University will pay the costs of one visit to campus for the selected applicants. The formal written contract will be offered by the president or his designee and accepted by the applicant. Upon signing a contract, the candidate becomes a member of the faculty. Beginning at the time of employment and continuing throughout the term of employment, a set of basic records is maintained in the Office of Human Resources on the employee. B. Academic Rank Structure Academic personnel are classified in five categories: Distinguished Professor, Professor, Associate Professor, Assistant Professor, and Instructor. Academic personnel are defined here to include all members of the staff who teach either on a full-time or part-time basis. Academic personnel are defined here to include both tenure-track and non-tenure-track appointments, except as noted in the following paragraph. Those who teach, but whose duties are primarily administrative, hold one of the above ranks, but in all official publications of the University they are referred to by their administrative title only. 67

68 Temporary, less than full-time, teachers are designated as adjunct professors or adjunct instructors. Adjunct professors and adjunct instructors hold non-tenure-track appointments and are not covered by the tenure and promotion guidelines. 1. Criteria for Initial Academic Rank Appointment. The following criteria identify the MINIMUM qualifications for academic ranks at the time of initial appointment. All references to academic credentials include only accepted degrees and hours of graduate study related to the primary teaching field. All references to professional experience include service at this or some other institution of higher education and other appropriate experience related to the primary teaching field. (For purposes of determining time in rank for subsequent promotions, credit for prior professional experience is negotiated at the time of initial appointment and is limited to a maximum of two years.) 2. Minimum Qualifications for Academic Ranks a. Distinguished Professor i. Academic credentials in the discipline: an earned doctorate, or comparable terminal degree, or equivalent scholarly achievement. (For example: Ph.D., Ed.D. D.B.A., D.A., J.D., L.L.D., M.F.A.) ii. National recognition as a scholar and teacher based upon research, teaching, and/or scholarly pursuits at this or some other institution. b. Professor i. Academic credentials in the discipline and professional experience: an earned doctorate, or comparable terminal degree, with a minimum of nine years of professional service, and ii. Demonstrated effectiveness as a teacher on the college level, and iii. Demonstrated scholarly activity, and iv. Demonstrated professional service. c. Associate Professor i. Academic credentials in the discipline and professional experience: a.) an earned doctorate, or comparable terminal degree, with a minimum of four years of professional service, or b.) ABD with commitment to complete the doctorate with a minimum of six years of professional service, or c.) a master s degree plus 60 hours in field with a minimum of six years of professional service, or d.) a master s degree plus 45 hours in field with a minimum of eight years of professional service, or e.) a master s degree plus 30 hours in field with a minimum of ten years of professional service, and ii. Demonstrated effectiveness as a teacher on the college level, and iii. Demonstrated scholarly activity, and iv. Demonstrated professional service. d. Assistant Professor i. Academic credentials in the discipline and professional experience: 68

69 a.) an earned doctorate, comparable terminal degree, or ABD with commitment to complete the doctorate, or b.) a master s degree plus 12 hours in field with a minimum of three years of professional service, or c.) a master of science in nursing with a minimum of three years of professional experience. e. Instructor i. Academic credentials in the discipline: a.) Faculty should possess a master s degree and have completed at least 18 graduate hours in the discipline or subfield of the undergraduate credit courses for which they are the instructor of record and a terminal degree in the discipline if teaching graduate courses, or b.) Academic colleges may choose to assign faculty to teach courses or to employ faculty to positions based upon their equivalent experience rather than by their formal credentials. The deans of the colleges must follow HLC guidelines in documenting that these faculty have tested experience that may include defined skills relevant to the courses, a record of accomplishment throughout their career and profession, and credentials or certifications that confirm expertise in the field. A documentation letter of tested experience from the appropriate dean and approved by the Provost/Vice President for Academic Affairs must be included in the personnel files of the faculty employed under this criteria, or c.) A bachelor of science in nursing may be appropriate for some courses. ii. The above criteria are MINIMUM qualifications for each academic rank. They are not intended to suggest that faculty members be assigned to the highest category for which they are technically qualified. The total evaluation of faculty members is a process which requires the exercise of judgment. Decisions as to the initial rank assigned to individual faculty members are rightfully an administrative function. Such decisions should be based on careful consideration of the above criteria; careful consideration of the individual s academic credentials, experience, teaching competence, and scholarship; and consideration of supply and demand in the field, usefulness to the institution, and other factors. II. Contracts All members of the instructional and administrative staff are offered formal written contracts each year. These contracts outline the title of the position to which the individual is appointed, the salary, and term of the appointment. See Appendix K for a sample contract. 69

70 Members of the instructional staff who have achieved tenure are offered a contract each year, and it is understood that the contract will be offered automatically unless the individual retires, resigns, or formal charges are made against the instructor as provided in the regulations covering tenure. Contracts are usually offered by mid-spring of the fiscal year preceding the effective date of the contract. It is expected that contracts will be accepted or rejected in writing within ten (10) days of receipt. The position of faculty members on the new salary schedule will be determined by the president after consultation with the vice president for academic affairs, after the vice president has received recommendations from the deans. Special consideration will be given to faculty members who are continuing their graduate work, those who are doing especially effective teaching in the classroom and who are exerting constructive leadership in other campus roles, and those who are actively engaged in research. III. Criteria and Specific Rules for Tenure A. Criteria for Evaluation of Applications for Tenure Evaluation of applications for tenure will be based upon (1) the applicant s scholarship of teaching, scholarly activity, and service to the University, profession, and community and (2) satisfactory progress in achieving developmental goals. To be eligible for tenure, a faculty member must have at least a master s degree and have a tenure-track appointment. Departments may have additional requirements for attaining tenure which are agreed to at the time of employment. Evaluation of applications for tenure will not be based upon an arbitrary number of years at the institution; however, an adequate amount of time is necessary for a teacher to demonstrate competence and for the institution to evaluate it. Therefore, the following MINIMUM probationary periods should be followed: Professor Associate Professor Assistant Professor Instructor -- after 2 completed years -- after 2 completed years -- after 3 completed years -- after 4 completed years Typically, the probationary period is longer than the above stated MINIMUM probationary period. NORMAL PROBATIONARY PERIODS are as follows: Professor Associate Professor Assistant Professor Instructor -- after 3 completed years -- after 4 completed years -- after 5completed years -- after 5 completed years Exceptions to the above probationary periods may be made by the president of the University in extraordinary cases. B. Notice of Attainment or Denial of Tenure 70

71 The faculty member must be given written notice of attainment or denial of tenure at the end of the sixth year. (A one-year approved leave of absence granted by the University counts as one year in the probationary period.) During the probationary period, notice of non-reappointment, or of intention not to recommend reappointment to the Board of Trustees, will be given in accordance with the following: Not later than March 1 of the first year of academic service. Not later than December 15 of the second year of academic service. At least twelve months before expiration of an appointment after two or more years at the University. C. Procedures for Appeal of Tenure Decisions All applications for tenure will be evaluated and forwarded for further review through all levels of the evaluation process up to and including the Board of Trustees unless withdrawn by the applicant. The College Council, dean, University Council, vice president for academic affairs, and president will each notify the applicant by Form I of a positive or negative recommendation. For each candidate who receives a negative recommendation, the notification will state the general reasons for such recommendation, based upon relevant criteria. Within five working days of receipt of any Form I with a negative recommendation, an applicant may submit to the next level a written appeal which includes a brief statement (not exceeding two pages) explaining reasons for the appeal. The written appeal will be added to the application package, and a copy of the written appeal will be sent to the department chair for informational purposes. Final appeal is made by letter to the SAU Board of Trustees. IV. Criteria and Specific Rules for Promotion A. Criteria to Determine Eligibility for Promotion Eligibility for promotion consideration is determined based on academic credentials, years, of professional experience, and time in rank. Academic credentials and years of professional experience are evaluated in terms of the Criteria for Initial Rank Appointment (Part 1.B in this section). The minimum times in rank to be eligible to apply for promotion are as follows: Associate Professor to Professor Assistant Professor to Associate Professor Instructor to Assistant Professor -- 5 years -- 4 years -- 3 years Exceptions to the above time in rank requirements may be made in cases of extraordinary merit. Exceptions to the above time in rank requirements for promotion from instructor to assistant professor may be made before the three-year minimum when all requirements for a terminal degree except the dissertation are completed. 71

72 The above time in rank requirements are MINIMUM criteria necessary to apply for promotion and should NOT be considered indicative of meriting promotion. B. Criteria Evaluated to Determine Merit of Promotion Satisfaction of the eligibility requirements does not constitute grounds for recommendation. Rather, evaluations will include consideration of all of the following: teaching effectiveness, scholarly activity, and professional service. 1. Demonstrated effectiveness as a teacher is a necessary criterion and is a primary consideration in all promotion decisions. 2. Scholarly activity broadly defined to include published and unpublished research, creative works, and professional academic growth is a consideration in all promotion decision. 3. Service to the University, the profession, and the community is a consideration in all promotion decisions. C. Standards for Evaluation of Applications for Promotion Teaching effectiveness, scholarly activity, and professional service are evaluated as excellent, commendable, satisfactory, or unsatisfactory, based on documentation submitted in the application for promotion. Applicants for promotion should document activities meriting promotion as follows: 1. For promotion to professor: document excellent performance in either teaching effectiveness or scholarly activity with, at minimum, a commendable evaluation in all categories. 2. For promotion to associate professor: document commendable teaching effectiveness, scholarly activity, and professional service. 3. For promotion to assistant professor: document commendable teaching effectiveness with, at minimum, a satisfactory evaluation in all other categories. D. Operational Definitions for Evaluating Merit Promotions from one academic rank to another are based on evaluations of merit. These are subjective evaluations as determined in the eyes of the evaluator relative to the entire faculty. 1. Teaching effectiveness Evaluation of teaching effectiveness is based on a combination of accomplishments and contributions, including the following: student evaluations, peer evaluations, courses taught, alumni evaluations, student performance assessments, pedagogical methodologies, summaries of individualized student supervision, awards and honors received for teaching effectiveness. See the Documentation of Criteria for Promotion and Tenure in Part V of this section. 72

73 2. Scholarly activity Evaluation of scholarly activity is based on a combination of contributions, including those which are listed in the Documentation of Criteria for Promotion and Tenure. Demonstration of scholarly activity is required in all promotion decisions. Generally speaking, a record of continuous scholarly activity a commitment to scholarship rather than one-time or intermittent scholarly activity is important, and the level of scholarly activity is expected to increase as one progresses through the academic ranks. A mixture of scholarly activities is encouraged. To demonstrate satisfactory scholarly activity, all faculty are expected to perform sufficient scholarly activity to maintain competency in their teaching areas and to ensure that the content in courses they teach is consistent with accepted standards in the field. Typically, satisfactory scholarly activity is demonstrated by a combination of activities, including, for example, expansion of the faculty member s knowledge base, contribution to curricular development, and attendance at professional meetings. Commendable scholarly activity is demonstrated by a combination of additional activities, including, for example, scholarly contributions at the state or regional level evidenced by publications, or presentations or by juried presentations in the arts; participation in regional or state professional meetings; and a continual record of attendance at national, regional, and/or state professional meetings. Excellent scholarly activity is demonstrated by adding a combination of more substantial contributions, including, for example, substantial scholarly contributions at the national and/or regional level evidenced by publication of books and/or articles in refereed professional journals or by juried presentations in the arts; and substantial scholarly presentations at recognized, refereed national and/or regional professional meetings. 3. Service Evaluation of service is based on a combination of contributions, including those which are listed in the Documentation of Criteria for Promotion and Tenure. Evaluators consider both the quantity and level of service. E. Procedures for Appeal of Promotion Decisions All applications for promotion will continue in the evaluating process at least through Level Four unless withdrawn by the applicant. If an application for promotion receives three successive negative recommendations from the College Council, dean, and University Council, that application will not receive further consideration and will not be forwarded to Level five, the vice president for academic affairs. All other applications will be forwarded for further review. The College Council, dean, and University Council will each notify the applicant, by Form I, of the positive or negative recommendation. If the application is reviewed by the vice president for academic affairs and the president, they also will notify the applicant of their positive or negative recommendation. For each candidate who receives a negative recommendation, the notification will state the general reasons for such recommendation, based upon relevant criteria. Any faculty member may appeal a negative recommendation for promotion. 73

74 How a faculty member may appeal: Within five working days of receipt of any Form I with a negative recommendation, an applicant may submit to the next level a written appeal which includes a brief statement (not exceeding two pages) explaining reasons for the appeal. The written appeal will be added to the application package, and a copy of the written appeal will be sent to the department chair. An applicant who receives a negative recommendation from the president may appeal by letter to the SAU Board of Trustees. V. Documentation of Criteria for Tenure and Promotion Applications for tenure and promotion should include documentation of all criteria to be considered. Unless otherwise specified, evidence presented should be for the time period since the last promotion or since the initial appointment if no promotion has been received. Applications should follow the outline presented below. Concise, well-organized documentation is encouraged. A. Required General Information 1. Table of Contents 2. Current resume 3. Copy of the most recent Annual Summary of Professional Activity 4. Copy of all developmental plans (for non-tenured faculty only) B. Documentation of Teaching Effectiveness 1. Required Documentation a. Student Evaluations i. Summary of all student evaluations from the past three years. ii. Identification of evaluations for each course by semester, year, course prefix and number, course section, and course title. iii. All written student comments for each course, with appropriate identification. iv. If desired, faculty member s written responses to the student evaluations and to the written comments. b. Peer Evaluations i. Summaries of required Peer Evaluation Forms from the past three years. c. Courses Taught i. Listing of all courses taught during the past three years. ii. Examples of course syllabi for three courses taught during the past three years. 2. Optional Documentation a. Supplemental Peer Evaluation(s) i. Written peer evaluations based upon observation of teaching performance, and/or ii. Written peer evaluations based upon viewing a videotape of teaching. iii. Descriptions of conditions under which evaluations (a) or (b) were conducted. d. Alumni Evaluations 74

75 i. Solicited or unsolicited testimonial letters. (Specify whether solicited or unsolicited.) ii. Summary of alumni accomplishments, as reported in the last three Annual Summaries of Professional Activity. e. Student Performance Assessments i. Summaries of student accomplishments, as reported in the last three Annual Summaries of Professional Activity, for example, admissions to graduate and professional schools, performance on standardized examinations, job placement, honors and awards, and course examination results. f. Pedagogical Methodologies i. Summary of innovative pedagogical methodologies used in teaching, as reported in the last three Annual Summaries of Professional Activity. ii. Summary of help sessions and tutorial work used in supporting instruction. g. Individualized Student Supervision iii. Summaries of student supervision, e.g., undergraduate research, practicums, independent study courses, and direction of theses and honor projects. h. Awards and honors received for teaching effectiveness. i. Additional documentation which support teaching effectiveness such as a teaching portfolio. C. Documentation of Research, Creative Works, and Scholarly Activity 1. Bibliography of publications. Copies of publications should be available upon request. 2. Solicited and unsolicited reviews of faculty member s published works by experts in the field. 3. Summaries of faculty member s creative shows, recitals, etc. 4. Critiques of above creative shows, recitals, etc. 5. Summaries of reviews and critiques made by faculty member of others research and creative works. 6. Descriptions, including programs, of faculty member s scholarly presentations. 7. Documentation of significant expansion of faculty member s knowledge laterally and/or vertically related to faculty member s discipline, e.g., new undergraduate and graduate credits earned, self-study, seminars and workshops, additional degrees and certificates. 8. Documentation of significant curricular development and curricular research by faculty member. 9. Description of grant proposals submitted by faculty member and funding received. 10. Summary of attendance at professional meetings with indication of level of participation. 11. Summaries of unpublished and in-progress research by faculty member. D. Documentation of Service 1. Institutional Service a. Summary of student advising responsibilities, including field(s), number of advisees, and an evaluation of effectiveness of advising. b. List of University committees, offices held, work written, and studies completed. 75

76 c. Summary of activities directed toward fund raising. d. Summary of activities related to sponsorship of student group(s). e. Summary of activities directed to student recruitment. f. Description of consultation provided to other departments or areas of the University. g. Summary of contributions to self-studies of department, school, or University. h. Summary of responsibilities for teaching non-credit courses, workshops, or seminars. i. Summary of non-teaching or administrative duties. 2. Professional Service a. List of memberships in professional organizations. b. List of offices held in professional organizations. c. Summary of participation in professional organizations, including attendance at meetings. d. Summary of work on professional organization committees. e. Summary of activities related to organization of professional conferences, workshops, or seminars. f. List of presentations at professional conferences, workshops, or seminars. 3. Community Service a. List of memberships in community organizations. b. List of offices held in community organizations. c. Summary of other participation in community service activities. VI. Application Procedures for Tenure and Promotion During the fall semester of each year, the administration will notify the faculty regarding tenure and promotion procedures, the date by which to apply for promotion and/or tenure and the dates on which action will be taken on applications during the decision process. Faculty members seeking promotion and/or tenure will initiate the process by submitting an application (Form D, see Appendix N) and supporting documents to the department chairperson. Deans and department chairpersons may solicit such applications. See Documentation of Criteria for Tenure and Promotion (Part V of this section) for outline of supporting documentation. The Flow Chart for the Faculty Promotion and Tenure Process can be found as Appendix L. Faculty members with non-tenure-track appointments may apply for promotion. Such applications are evaluated on the same criteria and follow the same procedures as applications for promotion for faculty members with tenure-track appointments. Applications for tenure and promotion will be evaluated using the following procedures: All evaluations are based on documentation submitted in the application for promotion and/or tenure. An applicant cannot add documentation to the application after it is submitted to the department chair. Upon receipt of a negative recommendation, the applicant may add a two-page letter of appeal. (See Procedures for Appeal of Tenure Decisions in Part III. C., and Procedures for Appeal of Promotion Decisions in Part IV. E.) Evaluators may add documentation to the application to clarify and/or verify statements of fact and must notify applicant of such additions. 76

77 An applicant may choose to withdraw the application for promotion and/or tenure at any point in the process. A. Levels 1. Level One: Department Chairperson. The department chairperson will review the departmental applications for promotion and/or tenure and supporting documentation. The department chairperson must consult with other members of the department during the review process. The chairperson will complete and attach to each application (1) an evaluation and recommendation (Form E, see Appendix O), (2) a detailed and specific account of the ways in which the candidate s teaching effectiveness (as described in B. Documentation of Teaching Effectiveness, page 67 above); research, creative works, and scholarly activity (as described in C. Documentation of Research, Creative Works, and Scholarly Activity, page 68 above), especially the descriptions of various levels of Scholarly Activity on pages 65 and 66 specific to the discipline of the candidate; and service (as described in D. Documentation of Service, page above), do (in the case of a positive recommendation) or do not (in case of a negative recommendation) meet the criteria for promotion, detailed in IV. Criteria and Specific Rules for Promotion, beginning on page 64 of Section IX. Faculty Appointment, Tenure and Promotion Guidelines, and (3) the cover sheet which records the disposition of the application at each step in the decision process (Form C, see Appendix M). The chairperson will prepare (1) a ranked list of applicants whom the chair recommends for promotion and/or tenure and (2) a list of applicants whom the chair does not recommend. (The list of recommended applicants will be ranked according to the degree of support given each applicant.) Within three working days following the decision, the chairperson will send a response form (Form I, see Appendix S) to each applicant, indicating that the application has been reviewed and forwarded to level two. All applications and both lists will be forwarded to the College Tenure and Promotion Council. 2. Level Two: College Tenure and Promotion Council Each college will determine a method for selecting a College Tenure and Promotion Council and for selecting a chairperson for the College Council. The College Council will include only tenured faculty members representing the departments of the college and will include no more than one Department Chair. The College Council must consist of at least three faculty members; the exact size and composition will vary according to the needs of each college. (An applicant for promotion and/or tenure may not serve on the College Council.) If an elected University Council representative is not on the respective College Council, the representative will attend all meetings of the College Council. 77

78 The College Council will review the applications in its college. Following careful review, the College Council will vote by secret ballot with decisions based on a majority opinion. The College Council will complete and attach to each application (1) an evaluation and recommendation (Form F, see Appendix P), (2) a detailed and specific account of the ways in which the candidate s teaching effectiveness (as described in B. Documentation of Teaching Effectiveness, page 67 above); research, creative works, and scholarly activity (as described in C. Documentation of Research, Creative Works, and Scholarly Activity, page 68 above), especially the descriptions of various levels of Scholarly Activity on pages 65 and 66 specific to the discipline of the candidate; and service (as described in D. Documentation of Service, page above), do (in the case of a positive recommendation) or do not (in case of a negative recommendation) meet the criteria for promotion, detailed in IV. Criteria and Specific Rules for Promotion, beginning on page 64 of Section IX. Faculty Appointment, Tenure and Promotion Guidelines, and (3) the cover sheet which records the disposition of the application at each step in the decision process (Form C, see Appendix M). The College Council will prepare (1) a list of applicants whom it recommends for promotion and/or tenure and (2) a list of applicants whom it does not recommend. Each list will include a tally of the votes on each applicant. The list of recommended applicants will be ranked according to the degree of support given each applicant. Within three working days following its decision, the College Council will send a response form (Form I) to each applicant indicating a positive or negative recommendation, but not indicating the assigned ranking. For each applicant who receives a negative recommendation, the notification will state the general reason for such recommendation. The College Council will forward all applications to the college dean. 3. Level Three: College Dean The dean of each college will review all applications in the college. The dean will attach an evaluation and recommendation to each application. The dean will complete and attach to each application (1) an evaluation and recommendation (Form G, see Appendix Q), (2) a detailed and specific account of the ways in which the candidate s teaching effectiveness (as described in B. Documentation of Teaching Effectiveness, page 67 above); research, creative works, and scholarly activity (as described in C. Documentation of Research, Creative Works, and Scholarly Activity, page 68 above), especially the descriptions of various levels of Scholarly Activity on pages 65 and 66 specific to the discipline of the candidate; and 78

79 service (as described in D. Documentation of Service, page above), do (in the case of a positive recommendation) or do not (in case of a negative recommendation) meet the criteria for promotion, detailed in IV. Criteria and Specific Rules for Promotion, beginning on page 64 of Section IX. Faculty Appointment, Tenure and Promotion Guidelines, and (3) the cover sheet which records the disposition of the application at each step in the decision process (Form C, see Appendix M). The dean will prepare (1) a list of applicants in the college whom the dean recommends for promotion and/or tenure and (2) a list of applicants not recommended. The list of recommended applicants will be ranked according to the degree of support given each applicant. Within three working days following the dean s decision, the dean will notify each applicant of the status of the application indicating a positive or negative recommendation without reference to ranking (Form I). For each applicant who receives a negative recommendation, the notification will state the general reasons for such recommendation. The dean also will invite each applicant to confer with the dean about the evaluation and recommendation. The dean will forward all applications and both lists to the University Tenure and Promotion Council. 4. Level Four: University and Tenure Promotion Council The University Tenure and Promotion Council will be composed of eight tenured faculty members, two from each college. The vice president for academic affairs will serve as nonvoting chair of the University Council. Procedure for election of faculty representatives to the University Council. At the first school meeting for the academic year, each college will elect one representative and one alternate to serve a two-year term on the University Tenure and Promotion Council. The representative and alternate should be senior, tenured faculty members. A representative cannot serve on the Council if under consideration for promotion. If an elected member of the council chooses to seek tenure or promotion during his or her term, the College will elect a replacement to finish out the term. Representatives cannot serve two consecutive terms on the Council. Each college should develop a schedule which allows for rotation among departments within the college. Faculty members may serve on both the College Council and University Council. If an elected University Council representative is not on the respective College Council, the representative will attend all meetings of the College Council. The University Council will review and evaluate all applications for promotion and/or tenure. 79

80 The University Council will complete and attach to each application (1) an evaluation and recommendation (Form H, see Appendix R), (2) a detailed and specific account of the ways in which the candidate s teaching effectiveness (as described in B. Documentation of Teaching Effectiveness, page 67 above); research, creative works, and scholarly activity (as described in C. Documentation of Research, Creative Works, and Scholarly Activity, page 68 above), especially the descriptions of various levels of Scholarly Activity on pages 65 and 66 specific to the discipline of the candidate; and service (as described in D. Documentation of Service, page above), do (in the case of a positive recommendation) or do not (in case of a negative recommendation) meet the criteria for promotion, detailed in IV. Criteria and Specific Rules for Promotion, beginning on page 64 of Section IX. Faculty Appointment, Tenure and Promotion Guidelines, and (3) the cover sheet which records the disposition of the application at each step in the decision process (Form C, see Appendix M). The University Council will compile a single, ranked list of applicants who are recommended for promotion and or tenure. All decisions of the University Council will be based on voting by secret ballot. Decisions will be determined based on the majority opinion (5 out of 8). Within three working days following conclusion of its deliberations, the University Council will notify each applicant of the status of the application, including the assigned ranking (Form I), and will provide each applicant with a copy of the narrative explanation. After the deliberations of the University Council, any application for promotion which has received three successive negative recommendations at levels two, three, and four is removed from consideration. All applications for tenure are forwarded for further review through all levels, regardless of recommendations at any level, unless the faculty member withdraws the application. The University Tenure and Promotion Council will forward both lists, all applications for promotion which are still under consideration, and applications for tenure to the vice president for academic affairs. 5. Level Five: Vice President for Academic Affairs The vice president for academic affairs will review and evaluate applications for promotion and/or tenure. The vice president for academic affairs will complete and attach to each application (1) an evaluation and recommendation (Form G) and (2) the cover sheet recording disposition of the application (Form C). Within three working days following the decision, the vice president for academic affairs will send a response form (Form I) to each applicant indicating that the application has been reviewed and forwarded to the president. 80

81 The vice president will present the applications and his or her recommendations to the president. 6. Level Six: President The president will evaluate the vice president s recommendations for promotion and/or tenure and all other forms and related documentation deemed appropriate. All application documents will be retained by the president. Each applicant should retain a file copy. The president will convey his or her recommendations on promotion and tenure to the vice president for academic affairs and the deans of the colleges prior to presentation of the recommendations to the Board of Trustees. Within three working days following conclusion of the president s deliberations, the president will notify each applicant of his or her recommendation (Form I). For each applicant who receives a negative recommendation from the president, the notification will include a written general statement of the reasons for the decision. The President then will make his or her recommendations on promotion and tenure to the Board of Trustees. 7. Level Seven: The Board of Trustees The Board of Trustees will make the final decision on promotion and tenure. Upon approval by the Board of Trustees, there will be a public announcement. B. Procedures for Decision on Tenure and Promotion for Department Chairs, Deans and Administrators. Department chairs seeking promotion and/or tenure submit an application and supporting documents to the chair of the College s Tenure and Promotion Council for initial review. Evaluation of an application for promotion and/or tenure from a department chair begins at level two, the College Tenure and Promotion Council, and proceeds through the regular remaining evaluation process. Deans seeking promotion and/or tenure submit an application and supporting documentation to the relevant department chair for initial evaluation. Evaluation of an application for promotion/tenure from a dean begins with the relevant department chair, proceeds through the College Tenure and Promotion Council, and is forwarded from the College Council directly to the chair of the University Council. An application for tenure from an administrator holding academic rank and a tenure-track appointment is submitted to the relevant department chair for initial evaluation and then proceeds through the regular evaluation process. However, if the applicant is the vice president for academic affairs, the application is forwarded from the University Council directly to the president. Deans and the vice president for academic affairs who apply for promotion and/or tenure are expected to excuse themselves during the evaluation of their applications. 81

82 VII. Termination of Appointment, Dismissal Review, Dismissal Appeals A. Termination of Appointment 1. By the Faculty Member. A faculty member may terminate an appointment effective at the end of an academic year, provided that notice is given in writing at the earliest possible opportunity, but no later than May 15, or 30 days after receiving notification of the terms of the appointment for the coming year, whichever date occurs later. A faculty member may properly request a waiver of this requirement of notice in case of hardship or in a situation involving the potential loss of substantial professional advancement or other opportunity. 2. By the Institution. Terminations of tenured appointments or of non-tenured special appointments which occur before the end of the appointment period may be made for three reasons: (1) bona fide financial exigency or discontinuation of a program or department of instruction, (2) for medical reasons, or (3) for just cause. (1), (2) Terminations based on bona fide financial exigency or discontinuation of a program or department of instruction or on medical reasons must be documented by clear and convincing evidence. (3) Termination may be made for just cause including gross negligence, incompetence, and gross unfitness to associate with students or faculty, or moral turpitude. Just cause includes such grounds which are put forth by the Board of Trustees in good faith and which are not arbitrary, irrational, or unreasonable. In the case of termination of a tenured appointment for just cause, the burden of proof rests upon the institution. Adequate cause for dismissal will be related directly and substantially to the fitness of the faculty member in the professional capacity as a teacher. All dismissal procedures will be preceded by discussions between the faculty member and appropriate administrative officer, attempting mutual agreement. The decision to terminate will be reached only after (1) the faculty member or designated representative has been informed of the basis of the proposed action and (2) the faculty member has been afforded an opportunity to respond to the appropriate administrative officer, presenting his or her position and responding to the evidence. 3. Termination Schedule. If the appointment is terminated, the faculty member will receive salary or notice of termination in accordance with the following schedule: at least three months, if the final decision is reached by March 1 (or three months prior to the expiration) of the first year of probationary service; at least six months, if the decision is reached by December of the second year (or after nine months but prior to eighteen months) of probationary service or if the faculty member has tenure. This provision for terminal notice or salary need not apply if there has been a finding that the conduct which justified dismissal involved moral turpitude. On the recommendation of the faculty hearing committee or the president, the governing board, in determining what, if any, payments will be made beyond the effective date of dismissal, may take into account the length and quality of service of the faculty member. Before terminating an appointment because of the abandonment of a 82

83 program or department of instruction, the institution will make every effort to place affected faculty members in other suitable positions. If an appointment is terminated before the end of the period of appointment because of financial exigency or because of the discontinuance of a program of instruction, the released faculty member s place will not be filled by a replacement within a period of two years, unless the released faculty member has been offered reappointment and a reasonable time within which to accept or decline it. B. Dismissal Review Procedures Termination of tenured appointments or of non-tenured appointments which occur before the end of the appointment period may be appealed based on the following procedures. 1. Review by Mediation Committee If the parties cannot reach a mutual agreement, the faculty member may initiate a review by a Mediation Committee. The Mediation Committee will be appointed by the Faculty Senate Committee on Committees and will consist of three members of the Faculty Senate. The Mediation Committee will attempt to resolve the dispute through consultation with the faculty member and the appropriate administrative officer(s). The faculty member may appeal in person or in writing to the Mediation Committee. a. Financial Exigency when termination is based on a bona fide financial exigency or discontinuation of a program or department of instruction, the Mediation Committee will request that the administration provide the faculty member with a written statement explaining (1) the basis for the initial decision and (2) the information and data upon which the decision makers relied. b. Medial Reasons when termination is based on medical reasons, the Mediation Committee will request that the administration provide the faculty member with a written statement explaining (1) the basis for the initial decision and (2) the medical evidence upon which the decision makers relied. c. Just Cause when termination is for just cause, the Mediation Committee will request that the administration provide the faculty member with a written statement explaining the basis for the initial decision. In all cases, the review process will provide the faculty member the opportunity to respond in person or in writing to the Mediation Committee. 2. Mediation Committee recommendation of formal proceedings by Faculty Appeals Subcommittee of the Faculty/Staff Appeals and Human Rights Committee (hereinafter referred to as the Faculty Appeals Subcommittee ) If the Mediation Committee cannot resolve the dispute, it shall recommend whether or not formal proceedings to consider the individual s dismissal shall be instituted through the Faculty Appeals Subcommittee. The Mediation Committee shall notify the individual, the president of the University, and any other appropriate administrators(s) of its recommendation. The Mediation Committee s recommendation will not be binding upon either the president or the faculty member. 3. Faculty member appeal to Faculty Appeals Subcommittee if the Mediation Committee cannot resolve the issue to the satisfaction of all parties, the faculty member can initiate an 83

84 appeal by written request to the chair of the Faculty Appeals subcommittee of the Faculty/Staff Appeals Committee. The faculty member must initiate the appeal within ten (10) working days following conclusion of the review by the Mediation Committee. Upon receipt of the appeal request, the chair of the Faculty Appeals Subcommittee will notify the president. Within five working days the president or a delegate of the president will provide a written statement of the administration s position to the Faculty Appeals Subcommittee. The statement will offer clear and convincing evidence substantiating the administration s position. When the termination is based on just cause, the president or a delegate of the president will formulate a statement of charges, framed with reasonable particularity. The statement of charges will be transmitted to the faculty member and to the chairperson of the Faculty Appeals Subcommittee. C. Dismissal Appeals Procedures Within ten working days following receipt of the formal statement by the president, the Faculty Appeals Subcommittee will conduct a formal hearing. Notice of the hearing with specific charges in writing will be dispatched to the faculty member and all other concerned parties at least five working days before the hearing. The Faculty Appeals Subcommittee will proceed by considering the statement of grounds for dismissal already formulated and the faculty member s response written before the time of the hearing. Members of the hearing committee deeming themselves disqualified for bias or interest shall remove themselves from the case (to be replaced by their previously elected alternates). 1 Each party shall have a maximum of two challenges without stated cause. The faculty member and the administration shall have the right to confront and cross-examine all witnesses. A letter from the president shall be addressed to the chairperson of the Faculty Appeals Subcommittee, putting into writing the pertinent facts of the case. The Faculty Appeals Subcommittee, in consultation with the president and the faculty member, should exercise its judgment as to whether the hearing should be public or private. The parties of both sides will submit in writing the name of an academic advisor and counsel, if desired, and the names of any witnesses, to the chairperson of the Faculty Appeals Subcommittee at least one week before any hearing. At the request of either party or the hearing committee, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer. The committee will invite the president of the University or the president s representative. Each of the following may invite one observer: the faculty member, the president, and the committee. Questioning of witnesses will be limited to members of the Faculty Appeals Subcommittee, the faculty member involved, and president or the president s representative. Questioning shall be relayed through the chair to the person to whom the question is directed. The president or the president s authorized representative will have the option of attendance during the hearing. The president or the president s advisor, as well as the faculty member, may be assisted by counsel. The faculty member shall have the opportunity to confront all witnesses. 1 This parenthetical phrase refers to a procedure for the Appeals on Promotion and Tenure Committee, a committee that no longer exists. An updated procedure to allow for the selection of alternates is being studied. 84

85 A verbatim record of the hearing will be taken and a typewritten copy will be made available to the faculty member without cost if the faculty member so requests. The burden of proof that adequate cause exists rests with the institution and shall be satisfied only by clear and convincing evidence in the record considered as a whole. The hearing committee will not be bound by strict rules of legal evidence and may admit any evidence that is of a probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence. Following the hearing, and as soon as possible, the committee in closed session will draw up a written report, which will include a recommendation with respect to each of the charges which have been presented as being pertinent to the resolution of the problem. A copy of these recommendations will be submitted to the president of the University and to the individual faculty member involved. Except for as simple announcements as may be required covering the time of the hearing and similar matters, public statements and publicity about the case will be avoided so far as possible by the faculty member, the committee, and administrative offices until the proceedings have been completed, including consideration by the Board of Trustees. The president and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing. If the hearing committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the president. If the president rejects the report, the president will present the reasons for the rejection in writing to the Faculty Appeals Subcommittee and to the faculty member and provide an opportunity for response before transmitting the case to the Board of Trustees. If the hearing committee concludes that adequate cause for dismissal has been established but that an academic penalty less than dismissal would be appropriate, it will so recommend without supporting reasons. Consideration by the Board of Trustees If dismissal or other severe sanction is recommended, the president will, on request of the faculty member, transmit to the Board of Trustees the record of the case. The Board of Trustees review will be based on the record of the committee hearing, and the Board will provide opportunity for argument, oral or written or both, by the principals at the hearings or by their representatives. Either the decision of the hearing committee will be sustained, or the proceedings will be returned to the committee with specific objections. The committee will then consider, taking into account the stated objections and receiving new evidence, if necessary. The Board of Trustees will make a final decision only after study of the committee s reconsideration. Procedures for Imposition of Sanction other than Dismissal If the administration believes that the conduct of a faculty member, although not constituting adequate cause for dismissal, is sufficiently serious to justify imposition of severe sanction, such as suspension, the same procedures as for dismissal shall be followed. If the administration seeks to impose a minor sanction, such as a reprimand, it shall notify the faculty member of the basis for the sanction and provide the faculty member an opportunity to persuade the administration that the proposed sanction should not be imposed. 85

86 If the faculty member believes that a major sanction has been incorrectly imposed or that a minor sanction has been unjustly imposed, the faculty member may petition the Mediation Committee of the Faculty Senate. Non-reappointment of Non-tenured Faculty If a faculty member on probationary or other non-tenured appointment alleges that a nonreappointment decision was based significantly on considerations which violate (1) academic freedom, (2) governing policies on making appointments without prejudice with respect to sex, age, race, religion, or national origin, or (3) in retaliation for exercise of first amendment rights, the allegation will be given preliminary consideration by the Mediation Committee of the Faculty Senate, which shall seek to settle the matter by informal methods. The allegations shall be accompanied by a statement that the faculty member agrees to the presentation, for the consideration of the Mediation Committee, of such reasons and evidence as the institution may allege in support of its decision. If the difficulty is unresolved at this stage, and if the Mediation Committee so recommends, the matter will be heard in the manner set forth in the section on Dismissal Procedures, except that the administration in making the complaint is responsible for stating the grounds upon which the allegations are based, but the burden of proof shall rest upon the faculty member to disprove. If the faculty member succeeds in establishing a prima facie case in the opinion of the Mediation Committee, it is incumbent upon those who made the decision not to reappoint the faculty member to come forward with evidence in support of their decision. If the Mediation Committee agrees with the non-reappointment decision, there is no further appeal. Non-reappointment or Termination of Administrative Personnel The foregoing regulations apply to administrative personnel who hold academic rank, but only in their capacity as faculty members. If the administrator claims that the reason for termination or non-reappointment as an administrator constitutes a violation of academic freedom, then the administrator is entitled to procedures set forth for non-tenured faculty. XI. Search Policy for Faculty and Academic Administrators A. Summary of the Document and its Purpose This Search Policy document provides a means of accomplishing the following: 3. Ensuring the maximum amount of involvement by all the members of the SAU community. 4. Standardizing searches for faculty, chairs, deans, and vice president for academic affairs. 5. Setting deadlines for action. 6. Codifying standards for establishing search committees. 7. Establishing a recommendation procedure based on consensus. 8. Ensuring that searches are conducted expeditiously, openly, and inclusively. 9. Ensuring that the SAU Equal Employment Opportunity and Affirmative Action Policy (EEO- AA) is followed. 86

87 10. Searching for faculty and academic administrators that support the mission of the University. 11. Establishing a dialogue with the unit and the supervisors to determine the needs of the unit and University and how best to accomplish both goals. B. Search Process Flow Chart 1. Initiation of Human Resources Requisition (see Appendix U) by appropriate individual (chair, dean, director, vice president or president). The Human Resources Requisition should articulate any specific accreditation issues that must be considered in the filling of the position. 2. Approval by appropriate individuals (supervisory chain including president). This step includes a budget certification by the supervisors that this unit has a need for the position and funds exist in the department budget to fund the position. If not, then a budget request must accompany the HR requisition. SSCH production should be included in this analysis with at least the most current three years of data. 3. Submission of Human Resources Requisition to Office of Human Resources through the chain of supervisors through the president. A decision on the requisition should be communicated back to the initiating individual within 60 days of the submission. 4. Office of Human Resources prepares advertisement and submits it to initiating individual for approval (who consults with unit) and then places it in appropriate publications, websites, and mailing lists as described in the EEO-AA policy. 5. Search committee initiating individual or supervisor makes recommendation to president, president approves or amends. For faculty, the initiating individual is the chair of the unit, for a chair position the initiating individual is the dean, for a dean position the initiating individual is the vice president for academic affairs, and for the vice president for academic affairs the initiating individual is the president. 6. Office of Human Resources reviews with the search committee the Search Policy for Faculty and Academic Administrators and the EEO-AA policy. 7. Office of Human Resources receives and acknowledges applications and forwards them to search committee. 8. Applications reviewed by search committee, finalists (generally three) invited to campus for all positions. Search committee makes recommendation to president through the supervisory chain. The president consults with the individuals in the supervisory chain in the hiring decision process. 9. President takes action on search committee s recommendation. The action of the president will be communicated to the search committee members and Office of Human Resources. 87

88 C. Academic Search Time Line Searches for faculty positions should be conducted as early in the academic year as possible, preferably in the fall semester, to ensure an adequate pool of applicants will be available for the search committee to consider. Initiating individuals and their supervisors should not begin a search for a new tenure track position if the search cannot be completed by May 15. Generally, any advertisement that does not appear in The Chronicle of Higher Education by March 15 will prevent a search from being completed by May 15. New positions in units that are approved during the budget process must be advertised by March 15. If an existing position becomes vacant between March 15 and June 15, the unit may decide to fill the position as a one-year or as a regular appointment. Vacancies of existing positions that occur after June 15 should be followed by a search for a one-year appointment. One-year appointments generally require a search for the position the following year. When an appointment to a position is made as an interim appointment, the search for a person to fill that position on a permanent basis must begin within one year of the date when the interim appointment was made. 1. Time Line Sample for Academic Searches Action Action Taken No Later Than Approve Human Resources Requisition March 1 Place advertisement March 15 Receive applications March 15 April 15 Review applications April 15 April 25 Select finalists April 25 Interview finalists April 30 May 5 Recommend to president for decision May 10 (Most searches should be completed within 60 days of the published advertisement.) 2. Ideal Time Line Approve Human Resources Requisition September 1 Place advertisement September 15 Receive applications September 15 October 15 Review applications October 15 October 25 Select finalists October 25 Interview finalists October 30 November 21 Recommend to president for decision December 10 D. Responsibilities of Initiating Individual Academic Searches (faculty, chair, dean, vice president for academic affairs, president) 88

89 1. The initiating individual for faculty is the chair of the department, the initiating individual for a chair is the dean of the college, the initiating individual for a dean is the vice president for academic affairs, and the president is the initiating individual for the vice president for academic affairs. 2. For Faculty, chair, dean, and vice president for academic affairs positions. a. For Faculty the initiating individual offers the opportunity for all members of the department to participate in the process of determining specifics of duties, responsibilities, and qualifications of the desired position; identifying any issues relating to accreditation(s) that may affect the qualifications; and developing a list of appropriate venues for advertisement placement. Recommendations for membership on the search committee should be included. b. For chair positions, special circumstances exist because chairs also teach a faculty load (with release time for chair responsibilities). Budget considerations may preclude the addition of another faculty member, so the search must be internal to the department. c. For dean and vice president for academic affairs positions, meetings will be held by the initiating individual or designee to gather information from the college or all faculty, in the case of the vice president for academic affairs, for recommendations about the search as well as duties, responsibilities and qualifications of the position. 3. Based on the recommendations in number two above, the initiating individual prepares a Human Resources Requisition and the draft advertisement in consultation with the department or unit. This may be done by or other methods of communication as time permits. The Human Resources Requisition should include a recommended rank, the academic specialties sought, the duties of the position, and the deadline by which applications will be accepted or date review will begin. Accreditation issues should be included at this time. 4. When approved by the president, the Human Resources Requisition and the job listing are submitted to the Office of Human Resources. The Equal Employment Opportunity- Affirmative Action Plan provides guidance on the type of search to be conducted (local, regional, national). 5. Most advertisements go to The Chronicle of Higher Education (The Chronicle). Disciplinespecific publications or lists should be used when available. Other options will be explored as described in the EEO-AA Plan. 6. The initiating individual recommends to the president a search committee of approximately five to seven persons whose membership is determined by the following guidelines: a. Tenured faculty from the unit. If an insufficient number of such faculty who are willing to serve is available in the unit, members of the following group may be added to the committee. b. Non-tenured faculty from the unit. If a full committee can still not be constituted because there is an insufficient number of such faculty who are willing to serve, members of the following group may be added to the committee: 89

90 c. Tenured faculty from related disciplines. If a full committee can still not be constituted because there is an insufficient number of such faculty who are willing to serve, members of the following group may be added to the committee: d. Non-tenured faculty from related disciplines. e. Minority Representation. If these guidelines have produced no minority representation on the search committee or no gender diversity, the initiating individual shall recommend the appointment of additional members whose presence on the committee will rectify such a situation. f. Additional members may be added to the committee based on individual expertise. g. Student Members. The unit may add to the committee one student representative. h. Non-academic Community Members. The unit may add to the committee one member of the non-academic community whose perspective would be valuable to the work of the committee. The president or vice president for academic affairs may add a community member in the best interest of the University. i. Academic Administrators: Special provisions for constitution of search committees for academic positions which have administrative duties (vice president for academic affairs, deans, chairs): i. Vice President for Academic Affairs: One faculty member selected from each college and two at-large faculty members, all selected by the above criteria, and including at least one senator; one vice president; one academic dean; and one academic staff reporting to the vice president for academic affairs. The president may add additional members based on the needs of the University. ii. Academic Dean: At least one faculty member (exclusive of chairs) selected from each department within the college by the above faculty guidelines, one chair from within the college, and one dean. The president may add additional members based on the needs of the University. iii. Chair: The committee should also include a chair from within the college. The president may add additional members based on the needs of the University. 7. The chair of the committee will be a member of the department or unit in which the new person will serve unless no members of a department are willing to serve as chair. 8. After it is constituted, the search committee should take care to include non-tenured, nontenure-track, and even adjunct faculty in the search process by making materials of applicants available and by including them in the interview process. In the academic administrator positions, opportunity for interaction and application materials will be made available to those units that will be working with the selected individual. To ensure the search committee has knowledge of state and federal laws governing employment search activities and knowledge of University policies, goals, and objectives, the members of the committee will be informed about recruitment guidelines and on equal employment opportunity and the affirmative action plan. It is the responsibility of the Office of Human Resources to provide this information. Generally this will be done within two weeks of the appointment of the committee. This may be done by meeting with the committee or by the distribution of recruitment information packets by hard copy or . 90

91 E. Responsibilities of Faculty Search Committee 1. The chair of the committee, with the assistance of the Office of Human Resources, makes all application materials (which are public information) available to members of the search committee and to members of the unit not on the search committee. Other interested parties may view the application material by contacting the Office of Human Resources or the chair of the search committee. 2. Throughout the search process, the search committee seeks input from the unit and other interested parties. The chair should use available means to keep the SAU community informed and provide opportunities for the community to comment on the process and the applicants. Available means include meetings, communication, etc. 3. The search committee diligently seeks to discover reliable information about the candidates who may make the finalist list, including whether or not the salary range is acceptable. These include, but are not limited to, the following: a. Contact by telephone, mail, and or with references provided by the candidate. b. Contact by telephone, mail, and/or with other persons who might have valid and reliable knowledge of and insight into the candidate s qualifications for the job, for example, blind calls. Student members do not make reference calls. c. Individual contact with candidates by members of the search committee under the auspices of the search committee and the individual contacting the candidate will keep written documentation of the conversation and report back to the search committee. d. Screening interviews at meetings of organizations related to the discipline. (NOTE: Such interviews should be conducted by at least two members of the search committee, and such interviews should not substitute for on-campus interviews.) 4. Using information gained through these activities and from others, the search committee selects applicants of interest. Conference-call interviews and additional contact with references may be held to gain additional information about the candidates personally, professionally, and pedagogically. Conference calls also allow candidates to learn more about the position and the University. In order to conduct a conference call, a majority of the committee must participate. 5. The search committee selects finalists, generally three, to visit the campus. Exceptions may be made for good cause approved by the Office of Human Resources and vice president for academic affairs. In addition, it may be advisable to ascertain if the salary is adequate for the candidate before visiting campus. 6. During the visit, the search committee schedules time for members of the department or unit and other appropriate individuals to meet with the applicant in formal and informal settings. The committee may invite interested parties to participate in interview activities. Possible activities include: a. Teaching a class. b. Leading in informal activity. c. Making a formal presentation. d. Lunch and/or other opportunities for informal social contact. e. Tours of the campus and the community. 7. In faculty searches, the search committee schedules sessions with the president, the vice president for academic affairs, the Office of Human Resources, and the dean of the college 91

92 and faculty. Agendas should be posted for all campus visits with the final posted as soon as possible. 8. Following campus interviews, the search committee actively solicits input from other members of the department or unit and from others who have examined the candidate s credentials or come into contact with the candidate during the campus visit. As previously stated, the search committee will send an to the interested individuals requesting comment on the applicants. 9. The search committee gathers and considers all the information, input, and insights from the individuals participating in the campus visit. 10. The search committee recommendation process is as follows: a. The search committee determines its choice for the position by consensus within seven days after completion of the last interview. In the case of a search for the vice president for academic affairs or a dean, the president may request a ranked list of two or three acceptable candidates. However, in such a case, if the committee cannot recommend more than one acceptable candidate, the committee may recommend that the search be reinitiated. b. The committee prepares a brief written statement of its reasons for selecting that person. c. If consensus is not reached, members of the search committee who do not agree with the majority recommendation of the committee may document the reasons for their disagreement in writing as a minority report directly to the president who preserves the confidentiality of the information. d. The committee s recommendation is sent through channels to the president. Each supervisor in the channel makes a recommendation on the selection by the search committee. e. If the president rejects the recommended candidate, the president provides written notification promptly to the search committee. f. The committee returns to the pool of candidates, identifies by consensus its next choice, prepares a brief statement of its reasons for selecting that person, and sends that information through channels to the president. g. The process continues until a candidate who is satisfactory to all parties has been settled upon. h. Before a contract is sent, a background check must be conducted. Note: The search committee is not to give any assurances or make any offers of employment to any candidate. Only the president approves the selection, and the president sends an offer of employment to the candidate or designates an individual to make the contact (vice president for academic affairs, dean, or chair). The candidate is officially hired once the vice president for academic affairs receives a signed contract from the candidate accepting the position. The search committee is not to dismiss any finalists from consideration, either verbally or in writing, until a candidate is officially hired. EXCEPTION: The search committee chair will personally and individually inform internal candidates of their status before the identity of candidates to be invited to campus is made public. If the search committee recommends the hiring of an alien and the president approves, the Office of Human Resources must review immigration guidelines before the president makes the offer to the candidate. 92

93 The work of the search committee is not complete until a signed contract is received from the applicant. If an applicant declines an offer and there are no other finalists acceptable to the search committee, the committee will make a recommendation to reopen the search or to cancel the search and fill the position with adjuncts or a one-year appointment. F. Post Script Questions Regarding the Faculty Handbook may be addressed to the Faculty Senate Handbook Committee or the vice president for administration and general counsel. 93

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97 Southern Arkansas University Magnolia Faculty Request for Approval of Class Absence (Approval is to be obtained prior to absence) Name of Faculty Member: Date(s) of absence: Reason for absence: Arrangements made for class(s) to be missed: Class Day(s) and time at Arrangement made for (Course # and name) which class meets class - be specific as to assignment and person to direct the class. A) B) C) D) E) If room location changed, be specific as to building and room ======================================= Approval: Department Chair Dean of College 97

98 Timelines for Promotion, Tenure, and Administrative Evaluation September October November December 5 Declare Promotion or Tenure Intention January 16 Completed Application for Promotion or Tenure due February 6 Chair recommendation due February 27 College Council s recommendation due March 13 Dean s ranked recommendation due April 3 Tenure & Promotion council ranked recommendations due May 8 Board Approval & President s Announcement June July 98

99 DEVELOPMENT PLAN FOR (Nontenured faculty only) Date Plan Established 1. The growth area(s) identified in my latest evaluation, briefly stated: (Date) Chair comments: 2. Development goal(s): Chair comments: 3. Development activities planned. List projected date(s) of completion and, if possible, method(s) by which results will be evidenced: Chair comments: 4. Support and resources to be supplied by the evaluator and the University: Chair comments: 5. A progress check of this plan will be accomplished late this spring and fall semester. Submitted by Reviewed by Faculty member s signature Supervisor s signature Approved by College Dean Approved by Vice President for Academic Affairs Date: Date: Faculty Supervisor Spring follow-up interview accomplished Date Initials Initials Fall follow-up interview accomplished Date Initials Initials 99

100 ANNUAL SUMMARY OF PROFESSIONAL ACTIVITY Name: Rank: College: Department: I. TEACHING A. Teaching: 1. Number of assigned student contact hours (lecture, lab, other): Spring Fall 2. Number of class preparations (lecture, lab, other): Spring Fall 3. Total number of students: Spring Fall 4. Contractual, curriculum-related activities (band, choir, etc.): Spring activities Contact hours No. Students Fall activities Contact hours No. Students 5. Activities directed toward instructional improvement: (a) List any procedures you have used in your classes which you feel contribute to the improvement of instruction (such as audio-visual aids, panels, reports, readings, etc.) (b) Name any outside specialist or consultant you have used in your classes. (c) List all field trips or class visits to businesses, industries, schools, etc. (d) List any other activities you have organized which contribute to the improvement of instruction (such as teacher-student conferences, special activities, experimental teaching methods, etc.). 6. Indicate any honor or recognition received by students under your direction. 100

101 B. Student Advising: 1. Number of Advisees Spring Fall 2. List any procedure you have used in the past year to improve advising. 3. Name any student organizations for which you act as sponsor. II. SCHOLARLY ACTIVITIES A. Research: 1. Publications: (a) Books (Published or accepted for publication.) Title Publisher Date of Publ. (b) Articles: (Published or accepted for publication.) Title Publisher Date of Publ. 2. Unpublished research: (monographs, institutional studies, reports of special committees, etc.) Topic Completion Date 3. Research in Progress: Topic Completion Date B. Professional Activities: 1. Professional Organizations: (List membership held in professional societies this year. If you held office, please indicate.) 2. Professional meetings attended: (National, Regional, State, Local) Name of Organization Place of Mtg. Formal role on Program? (EXPLAIN) 3. Performances, Exhibits and Presentations: Type of Performances Place Date 101

102 C. Professional Development: 1. Graduate study: (List any graduate study completed during the past year.) Course Semester Hours Institution 2. Travel: (List travel during the past year which you feel is related to your professional growth.) 3. Other: (Workshops, seminars, program of study or personal development.) III. SUPPORT SERVICES A. Committee Work: (List the committees on which you serve. If you are chair, please indicate. Indicate significant committee accomplishments during the year.) 1. Standing committees: 2. Ad Hoc Committees: B. Recruiting: List any activity you participated in that is related to student recruitment, directly or indirectly. C. Public Service: IV. OTHER 1. List public meetings (on or off campus) which you presented, promoted, sponsored or participated in. 2. List membership in civic clubs or other community groups. Indicate offices held. 3. List any other activities that fall under the general heading of community service. A. Administration: List administrative responsibilities, and significant accomplishments during the year. B. Other: ADD ANY ADDITIONAL INFORMATION ABOUT YOUR PROFESSIONAL PERFORMANCE THAT IS NOT COVERED ELSEWHERE IN THIS ANNUAL SUMMARY. 102

103 FACULTY EVALUATION and PROGRESS REVIEW FORM Name: Rank: Preference Ranking Approval Approved: Faculty signature Approved: Supervisor signature Date Date Department: Category TEACHING SCHOLARSHIP Faculty Member s Preference Ranking of Evaluation Categories RANKING Low Medium High SERVICE Summary of Student Evaluations Raw Score (average of questions 10 to 23) Faculty Member Department School University Rank (percentile) Tabulation of Peer Evaluations: Needs Professional Development Performs at a Highly Competent and Professional Level Distinguished: Consider for Merit Pay SUPERVISOR EVALUATION Directions: The Supervisor Evaluation should reflect the faculty member s preferences for ranking the evaluation categories as communicated at an appropriately scheduled conference. Appropriate consideration should be given to the role of unforeseen circumstances in evaluating the faculty member s progress in their individual development plans. Peer visitation as part of the evaluation process may be requested at the discretion of the faculty member or the supervisor. It is imperative to provide supportive comment if a faculty member is ranked as needing professional development or as deserving consideration for merit pay and is encouraged for other ratings. Attach a sheet with supporting comments, if necessary Category TEACHING curriculum development course development course management class management SCHOLARSHIP professional activities professional development research SERVICE administration advising committee work public service recruiting student organizations RATING Only one check should appear in each row of the unshaded portion of the table opposite TEACHING, SCHOLARSHIP, SERVICE and OVERALL Needs Professional Development [*attach supporting comments] Performs at a Highly Competent and Professional Level (ratings increase from left to right) Distinguished Performance, deserving consideration for Merit Pay [*attach supporting comments] OVERALL 103

104 FACULTY EVALUATION and PROGRESS REVIEW FORM - page 2 Supervisor s Comments Date: Recommend Merit Pay: The faculty member s initials indicates that they have reviewed the comments above, but does not necessarily imply that they agree with them. Faculty Member s Initials: Date: Faculty Member s Comments Date: Date of Evaluation Interview: For Non-Tenured Faculty Only / Date scheduled for Development Planning session Date: Faculty Signature: Date: The faculty signature indicates they have reviewed this form, but does not necessarily imply that they agree with the evaluation. Supervisor Signature: Date: Dean s Comments Date: Recommend Merit Pay: Dean Signature: Date: The faculty member s initials indicates that they have reviewed the comments above, but does not necessarily imply that they agree with them. Faculty Member s Initials: Date: Faculty Member s Comments Date: 104

105 PEER EVALUATION FORM *Each college has created their own version of the peer evaluation form. 105

106 STUDENT SURVEY FORM Please take the time to complete this form carefully and thoughtfully. It is intended to provide information for the purpose of course, curriculum and faculty development. Student assessments are also considered in faculty salary, promotion and tenure considerations. Darken the response that most clearly matches your opinion of the statement on each line. Space is provided on the next page for additional comments. 5 - Strongly Agree 4 - Agree 3 - Neutral 2 - Disagree 1 - Strongly Disagree STUDENT: 1. I was academically prepared to take this course I attend class regularly and punctually I prepare properly (at least 2 hours for each hour in class) I believe that I have a positive attitude toward the course I am satisfied that I did my best in the course I think the course goals and objectives are appropriate I enjoy the course The textbook or manual is a valuable resource for the course This course has contributed significantly to my education <Use the corresponding section on the next page for additional comments on this section> INSTRUCTOR: 10. The instructor makes clear the goals and objectives of the course The instructor clearly communicates how student performance will be assessed The instructor s presentations are clear and well-organized The instructor is concerned about helping student s succeed in the course and appreciates student efforts The instructor challenges student s to think and to understand different viewpoints The instructor clearly explains difficult ideas The instructor speaks clearly and communicates effectively The instructor is enthusiastic in presenting the course Overall, the instructor is highly effective in teaching the course <Use the corresponding section on the next page for additional comments on this section> ASSIGNMENTS AND TESTS: 19. Assignments are clear, appropriate and challenging Deadlines for completing assignments are clearly stated Tests are clear, appropriate and challenging Assignments and tests are graded fairly Assignments and tests are graded and returned in a timely manner consistent with the academic development of the course <Use the corresponding section on the next page for additional comments on this section> 106

107 STUDENT SURVEY FORM - page 2 - STUDENT COMMENTS Comments on Student Category: Questions 1-9 Comments on Instructor Category: Questions 10-18: Comments on Assignments and Tests Category: Questions 19-23: The best aspect of the course was: I would suggest the following ways to improve the course: Other Comments: 107

108 ADMINISTRATOR RATING FORM Name of Administrator being rated: Administrator being rated Chair Dean VPAA President Average frequency of contact of rater with administrator being rated Daily Weekly Monthly Occasionally If you feel you cannot rate this administrator check here and return this form uncompleted. Directions: This form is designed to provide information concerning your perception of the performance of the administrator named on this form. Administrators should be rated relative to the program goals and objectives of the university that are their responsibility. In addition, administrators have leadership, managerial and fiscal responsibilities on which they should be rated. The questions below are divided into several categories based on these various responsibilities. Importance Response Keys Performance Response Keys A B C D E U X Essential Importance Important (+) Important Important (-) Un- Important Almost Always Normally (+) Normally Normally (-) Almost never No basis for judgment General 01. Institutional Mission: Administrator is able to make decisions consistent with total university goals. 02. Specific Knowledge: Administrator is competent and well-informed of developments in his/her area. 03. Human Relationships: Administrator uses tact and diplomacy in dealing with others. 04. Democratic Process: Administrator recognizes the rights of others to participate in decision-making. 05. Personal Integrity: Administrator is truthful, dealing with others with honesty and openness. 06. Organization: Administrator is able to expedite work with maximum efficiency through good planning. 07. Creativeness: Administrator is willing to try new ideas or approaches and is flexible in making changes. 08. Morale Maintenance: Administrator promotes a sense of teamwork and importance in co-workers. 09. Objectivity: Administrator makes decisions based on a logical factual analysis rather than emotions. 10. Administrative Protocol: Administrator respects lines of authority and staff relationships. 11. Foresight: Administrator looks ahead, plans adequately and seeks solutions to anticipated problems. 12. Organization Commitment: Administrator is willing to sacrifice self interests for the good of the organization. 13. Communication: Administrator is clear and concise in statements, sensing the need for clear understanding. 14. Academic Freedom: Administrator supports the concepts and precepts of both academic freedom and integrity. 15. Management Style: Administrator can delegate responsibility and need not micro-manage his/her area. 16. General Achievements: Administrator compares favorably with other administrators in the organization. Not relevant Performance A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X 108

109 Importance ADMINISTRATOR RATING FORM - page 2 Chair Performance 01. Represents the department s needs (personnel, budgetary, space, A B C D E U X equipment) well at all university levels. 02. Is active in the discipline(s) of the department. A B C D E U X 03. Maintains faculty morale by treating faculty needs and wants in a fair and equitable manner and by conflict management. 04. Is accessible to faculty and students. 05. Is effective and efficient in conducting the business of the department including class scheduling, budget management, etc. 06. Fosters scholarly activity, faculty professional development and high performance in teaching. 07. Leads effectively in the recruitment, hiring and orientation of new faculty. 08. Participates effectively in the promotion and tenure process. 09. Deals effectively with student concerns, e.g., advising, career planning, grievances, etc. 10. Improves the department s image and reputation in the total campus community. 11. Guides the development of sound procedures for assessing faculty performance. 12. Understands and communicates expectations of the campus administration to the faculty. 13. Guides curriculum development and program development. A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X What would you list as significant strength(s) of this administrator? What would you list as significant need(s) for improvement of this administrator? General Comments: 109

110 Importance ADMINISTRATOR RATING FORM - page 2 Dean Performance 01. Represents the college well at university level and with external A B C D E U X agencies. 02. Is active in his/her academic discipline in appropriate ways. A B C D E U X 03. Provides equal opportunities for individual departments and individual faculty. 04. Is accessible to department chairpersons, faculty and students. 05. Is effective and efficient in the conduct the business of the college. 06. Supports scholarly activity, faculty professional development and the enhancement of teaching performance 07. Participates effectively in the recruiting, hiring and orientation of new faculty. 08. Participates effectively in the promotion and tenure process. 09. Deals effectively with student concerns. 10. Provides effective leadership for the college. 11. Manages the fiscal affairs of the college efficiently, effectively and fairly. 12. Establishes cooperation and coordination among the departments within the college. 13. Adequately supports faculty rights and responsibilities. A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X What would you list as significant strength(s) of this administrator? What would you list as significant need(s) for improvement of this administrator? General Comments: 110

111 Importance ADMINISTRATOR RATING FORM - page 2 VPAA Performance 01. Represents both the faculty and the academic affairs of the A B C D E U X university well at the university level and with external agencies. 02. Is active in his/her academic discipline in appropriate ways A B C D E U X 03. Deals fairly with individual academic units and with individual faculty. A B C D E U X 04. Is accessible to deans, chairs, faculty and students. 05. Is effective and efficient in the conduct of university business for A B C D E U X academic affairs. 06. Encourages scholarly activity, professional development and the A B C D E U X enhancement of teaching performance 07. Participates effectively in the recruiting, hiring and orientation of A B C D E U X new faculty. 08. Participates effectively in the promotion and tenure process. A B C D E U X 09. Deals effectively with student concerns. A B C D E U X 10. Provides effective leadership for academic affairs. 11. Manages the fiscal affairs of academic affairs effectively, efficiently A B C D E U X and fairly. 12. Fosters cooperation and coordination among various academic A B C D E U X units. 13. Advocates faculty rights and responsibilities. A B C D E U X What would you sit as significant strength(s What would you list as significant need(s) for improvement of this administrator? General Comments: 111

112 Importance ADMINISTRATOR RATING FORM - page 2 President Performance 01. Represents the university well at the local, regional and state A B C D E U X levels. 02. Is active in his/her academic discipline in appropriate ways. A B C D E U X 03. Deals fairly with individual university units and with individual faculty, staff and students. 04. Is accessible to vice-presidents, deans, chairs, faculty, staff and students. 05. Is effective and efficient in the conduct of university business 06. Encourages scholarly activity, professional development and the enhancement of teaching effectiveness. 07. Participates effectively in the recruiting, hiring and orientation of new faculty and staff. 08. Participates effectively in the promotion and tenure process. 09. Represents the university well to the Board of Trustees. 10. Demonstrates effective leadership in accomplishing the university s mission. 11. Manages the fiscal affairs of the university effectively, efficiently and fairly. 12. Provides leadership and vision for university development including the procuring of external funding. 13. Evidences support for faculty governance. A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X A B C D E U X What would you list as significant strength(s) of this administrator? What would you list as significant need(s) for improvement of this administrator? General Comments: 112

113 Southern Arkansas University Magnolia, AR Faculty Contract To: John Doe SSN: Page 1 of 2 Section A: Offer of Employment Southern Arkansas University offers you the following employment during the fiscal year. Section B: Conditions of Employment It is understood that your regular assignment for the fiscal year may include one or more Saturday or night classes at Southern Arkansas University or at an off-campus location. Section C: Employment Status Title: Assistant Professor of Business Tenure Status: Tenure Track Contract Term: 9 Month Dates of Employment: August 15, May 14, 2004 Number of Paychecks: If you are a new employee of SAU and your contract begins in the month of August, you will receive a total of ten (10) monthly paychecks to be distributed on the last work day of each month beginning September 30, New employees that complete all necessary payroll forms prior to August 15, 2003 will receive a total of eleven (11) monthly paychecks beginning August 29, Section D: Salary Breakdown If you are a returning employee of SAU, you will receive a total of twelve (12) monthly paychecks to be distributed on the last workday of each month beginning July 31, Funds Source Amount Account Additional Information (if any) Teaching Base Salary Staff Base Salary 0 Research Salary 0 Department Chair Salary 0 Endowed Salary 0 Grant Salary 0 Other Salary 0 Other Salary 0 Other Salary 0 Other Salary 0 Other Salary 0 Total Salary $30,000 Overload teaching salaries are calculated on a nine-month base teaching contract. If you have a twelve-month contract, your nine-month base is equal to seventy five percent (75%) of your twelvemonth contract. 113

114 Southern Arkansas University Magnolia, AR Faculty Contract To: John Doe SSN: Page 2 of 2 Section E: Proper Credentials Credentialing is a necessary component of the University's many accreditation processes. By signing this contract you certify that you have received the following degree(s) from the appropriate colleges and/or universities indicated. If you are a new employee of SAU, Please see the Special Conditions listed in Section G, below. Bachelor's Degree: Master's Degree: Specialist Degree: Doctoral Degree: Bachelor's Degree School: Master's Degree School: Specialist Degree School: Doctoral Degree School: Section F: Other Conditions If you resign from your position at Southern Arkansas University at a time when your earned salary is more than you have been paid, the difference will be paid to you. If you resign from your position at Southern Arkansas University at a time when you have been paid more than your earned salary, your resignation will be accepted only on the condition that you refund the amount of overpayment. If SAU is giving you financial assistance in attaining your graduate degree(s), you agree to remain employed by SAU for a period equal to two (2) years for each year of financial support you accepted from SAU. Should you depart before the appropriate number of years of service, you agree to repay SAU for any financial assistance that has not been accounted for by your service to SAU. Section G: Special Conditions (if any) 1. Your teaching load for the semester will be twelve (12) semester hours or the equivalent. 2. You will be expected to report for the academic year by Thursday, August 14, CREDENTIALS: Official copies of ALL your college transcripts MUST be on file with the Office of Personnel by August 15, Failure to provide proper credentials will result in the suspension of your paycheck(s) until the required documentation is on file. Failure to provide proper credentials by October 15, 2003 will result in your being ineligible for a contract in fiscal year If you accept this offer, please sign and return one (1) copy of this contract to the Vice President for Academic Affairs within ten (10) days. Date Dr. David F. Rankin, president I accept the offer of employment and terms of the contract as stated above. Date John Doe 114

115 Flow Chart for Faculty Promotion and Tenure Process Promotion Tenure Level Seven: Board of Trustees Level Six: President Level Five: Vice President for Academic Affairs *Level Four: University Tenure and Promotion Council *Level Three: College Dean *Level Two: College Tenure and Promotion Council *Level One: Department Chair Faculty Member *Level Seven: Board of Trustees *Level Six: President *Level Five: Vice President for Academic Affairs *Level Four: University Tenure and Promotion Council *Level Three: College Dean *Level Two: College Tenure and Promotion Council Level One: Department Chair Faculty Member *** *A1l applications for promotion will continue in the evaluating process through Level Four, unless withdrawn by the applicant. If an application for promotion receives three successive negative recommendations for the College Council, Dean, and the University Council, that application will not receive further consideration and will not be forwarded to Level Five, the VPAA. All other applications will be forwarded for further review. *Applications for tenure are forwarded for further review through all levels, regardless of determinations by lower levels, unless the application is withdrawn by the applicant. 115

116 Southern Arkansas University, Magnolia Tenure and Promotion Document Routing Form C Recommendation Summary and Complete relevant pails of Section II, include it in the applicant s package, and forward to the next evaluator. Department chair should complete Section I. SECTION I Name of Faculty Member Department of College of Application for Tenure (check one) yes no Application for Promotion (check one) yes no To rank of (check one) Professor Associate Professor Assistant Professor Highest degree earned by applicant: Earned doctorate Equivalent terminal degree ABD Masters Degree plus hours of credit above Masters Degree Masters Degree Years of teaching experience in higher education Years of service at Southern Arkansas University Years in current rank SECTION II DOCUMENTS AND RECOMMENDATIONS: Forms Form D: Faculty Member s Statement and Annual Summary of Professional Activity Form E: Department Chair s Recommendation* Application Approved Not Approved Signature Date Form F: College Council s Recommendation* Application Approved Not Approved Signature Date: Form G: Dean s Recommendation* Application Approved Not Approved Signature Date: Form H: University Council s Recommendation* Application Approved Not Approved Signature Date: Form J: VPAA s Recommendation Application Approved Not Approved Signature Date: *Form I: Notification of Tenure/Promotion Application sent to each applicant by Department Chair, College Council Chair, Dean, and University Council Chair Documentation Reviewed (initial below) Numerical Ranking for Promotion n/a n/a n/a Numerical Ranking for Tenure 116

117 Southern Arkansas University, Magnolia Tenure and Promotion Document Form D Faculty Member s Statement Complete this form, attach a copy of the Annual Summary of Professional Activity, include both in the applicant s package and forward to the first evaluator. Name of Faculty Member Department of College of Application for Tenure (check one) yes no Application for Promotion (check one) yes no To rank of (check one) Professor Associate Professor Assistant Professor Highest degree earned by applicant: Earned doctorate Equivalent terminal degree ABD Master s Degree plus hours of credit above Master s Degree Master s Degree Years of teaching experience in higher education Years of service at Southern Arkansas University Years in current rank Evaluation of an application for promotion and/or tenure is based on the Promotion and Tenure Guidelines approved by the Faculty on May 7, To support your application for promotion and/or tenure, document the following as completely as possible. 1. Teaching effectiveness 2. Scholarly activity 3. Professional service 4. Progress in achieving developmental goals (tenure applications only) Signature Date 117

118 Southern Arkansas University, Magnolia Tenure and Promotion Document Form E Department Chairperson s Recommendation Evaluation of an application for promotion and/or tenure should be made based on the guidelines adopted by the faculty on Mary 7, Complete this form, include it in the applicant s package, and forward to the College s Promotion and Tenure Council. Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor BASIS FOR RECOMMENDATION: (based on analysis of documentation) Evaluation of eligibility criteria for tenure application: Years of service Has applicant met minimum criteria? yes no Evaluation of eligibility criteria for promotion application: Years in rank Has applicant met minimum criteria? yes no Highest degree earned by applicant: Earned doctorate Equivalent terminal degree ABD Masters Degree plus hours of credit above Masters Degree Masters Degree Years of Service in Higher Education Years of Other Professional Service Has applicant met minimum criteria for eligibility? yes no If any of the above criteria are not met but applicant is recommended for tenure or promotion, attach a statement justifying exception to minimum criteria. Evaluate criteria meriting recommendation for tenure and/or Promotion: (check one rank for each criterion) Teaching Effectiveness Scholarly Activity Excellent Commendable Satisfactory Unsatisfactory Professional Service Progress toward Developmental Goals (tenure only) Comments and assessment of the College Council (attach additional statement if necessary) Date Signature Ranking for Tenure out of (for University Council) Ranking for Promotion out of 118

119 Southern Arkansas University, Magnolia Tenure and Promotion Document Form F College Tenure and Promotion Council s Recommendation Evaluation of an application for promotion and/or tenure should be made based on the guidelines adopted by the faculty on Mary 7, Complete this form, include it in the applicant s package, and forward to the dean. Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor BASIS FOR RECOMMENDATION: Evaluation of eligibility criteria for tenure application: Has applicant met minimum criteria for years of service? yes no Evaluation of eligibility criteria for promotion application: Has applicant met minimum criteria for Years in rank? yes no Highest degree earned and years of service? yes no If any of the above criteria are not met but applicant is recommended for tenure or promotion, attach a statement justifying exception to minimum criteria. Evaluate criteria meriting recommendation for tenure and/or promotion: (check one rank for each criterion) Excellent Commendable Satisfactory Unsatisfactory Teaching Effectiveness Scholarly Activity Professional Service Progress toward Developmental Goals (tenure only) Comments and assessment of the College Council (attach additional statement if necessary) Date Signature Ranking for Tenure out of (for university council) Ranking for Promotion out of 119

120 Southern Arkansas University, Magnolia Form G Tenure and Promotion Document Dean s Recommendation Evaluation of an application for promotion and/or tenure should be made based on the guidelines adopted by the faculty on May 7, Complete this form, include it in the applicant s package, and forward to the University Tenure and Promotion Council. Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor BASIS FOR RECOMMENDATION: Evaluation of eligibility criteria for tenure application: Has applicant met minimum criteria for years of service? yes no Evaluation of eligibility criteria for promotion application: Has applicant met minimum criteria for Years in rank? yes no Highest degree earned and years of service? yes no If any of the above criteria are not met but applicant is recommended for tenure or promotion, attach a statement justifying exception to minimum criteria. Evaluate criteria meriting recommendation for tenure and/or Excellent Commendable Satisfactory Unsatisfactory Teaching Effectiveness Scholarly Activity Professional Service Progress toward developmental Goals (tenure only) Comments and assessment of the dean. (attach additional statement jf necessary) Date Signature Ranking for Tenure out of (for University Council) Ranking for Promotion out of 120

121 Southern Arkansas University, Magnolia Tenure and Promotion Document Form H University Tenure and Promotion Council s Recommendations Name of Faulty Member Application for Tenure Yes No Application for Promotion to the rank of Assessment and Recommendation of the University Council Date For University Council Assessment and Recommendation of the Academic Vice President Vice President for Academic Affairs Assessment and Recommendation of the President Date Date President 121

122 Southern Arkansas University, Magnolia Tenure and Promotion Document Form I Notification of Tenure/Promotion Application Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor Your application for tenure and/or promotion has been reviewed and forwarded to the next evaluator with the above recommended action(s). Comments and recommendations: Signature Date Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor Your application for tenure and/or promotion has been reviewed and forwarded to the next evaluator with the above recommended action(s). Comments and recommendations: 122

123 Southern Arkansas University, Magnolia Tenure and Promotion Document Form J Academic Vice President s Recommendation President s Recommendation Evaluation of an application for promotion and/or tenure should be made based on the guidelines adopted by the faculty on May 7, Complete this form, include it in the applicant s package, and forward to the president Name of Faculty Member Recommendation for Tenure (check one) Recommendation for Promotion (check one) yes no yes no To rank of (check one) Professor Associate Professor Assistant Professor Comments and assessment of the academic vice president: Date Signature (Academic vice president) Recommendation for Tenure (check one) yes no Recommendation for Promotion (check one) yes no To rank of (check one) Professor Associate Professor Assistant Professor Comments and assessment of the president: Date Signature (President) 123

124 Human Resources Requisition 1. Job title 2. Department 3. Permanent Temporary If temporary, how long? 4. Replacement for (name) New position Date needed 5. Brief outline of major duties: 6. Minimum education requirements: 7. Minimum experience requirements: 8. Minimum skill requirements: 9. Desired additional education, experience, and skills: 10. Who will supervise this employee? 11. Who will this employee supervise? Requested by Date Approved (Senior Administrator) Date Approved (Dean/Director) Date Approved (President) Date *Classified positions should conform to the minimum requirements listed in the Office of Human Resources position job description. In certain instances, job related education and/or experience may be substituted for all or part of the minimum requirements upon approval of the president. 124