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Faculty Human Resources Overview. Faculty Human Resources Overview For additional information contact the Office of Academic Personnel Gwen BurstonDirector843-6298.

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Presentation on theme: "Faculty Human Resources Overview. Faculty Human Resources Overview For additional information contact the Office of Academic Personnel Gwen BurstonDirector843-6298."— Presentation transcript:

1 Faculty Human Resources Overview

2 Faculty Human Resources Overview For additional information contact the Office of Academic Personnel Gwen BurstonDirector Margaret AndersonHR Specialist Jaime KelskyHR Consultant Ramona R. WombleHR Consultant Linda GoldstonHR Consultant

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

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

5 Faculty Ranks and Appointments Overview

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

7 Basic Faculty Rank Structure Lecturer Lecturer Senior Lecturer Senior Lecturer Professor of the Practice Professor of the Practice Instructor Instructor Assistant Professor Assistant Professor Associate Professor Associate Professor Professor Professor

8 Tenure and Tenure Track

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

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

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

12 Fixed Term Appointments

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

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

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

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

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

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

19 Adjunct Faculty Ranks Adjunct Instructor Adjunct Instructor Adjunct Assistant Professor Adjunct Assistant Professor Adjunct Associate Professor Adjunct Associate Professor Adjunct Professor Adjunct Professor

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

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

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

23 Review Question “Adjunct” is an example of a: “Adjunct” is an example of a: –Prefix –Modifier –Rank –Professor

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

25 Faculty Recruitment and Hiring Process “Step by Step”

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

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

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

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

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

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

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

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

34 Basic Appointment Terms and Conditions Basic Appointment Terms and Conditions

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

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

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

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

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

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

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

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

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

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

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

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

47 Probationary Term Appointments (Tenure Track)

48 Review and Approval of Tenure Track and Tenure Appointments

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

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

51 Instructor Probationary Term Appointment

52 Instructor with Special Provision Probationary Term Appointment Appointment to this rank accompanies an expectation that in the normal course, the individual will progress to the professional faculty ranks in this or another institution Appointment to this rank accompanies an expectation that in the normal course, the individual will progress to the professional faculty ranks in this or another institution Initial appointment is for a probationary term of one year Initial appointment is for a probationary term of one year Additional successive reappointments may be made three additional one year terms for a maximum of four such terms Additional successive reappointments may be made three additional one year terms for a maximum of four such terms No reappointment is permitted at the rank of Instructor after four-years at this rank No reappointment is permitted at the rank of Instructor after four-years at this rank

53 Instructor Reappointment Decisions and Notices Minimum notice required of reappointment decisions for probationary terms are: Minimum notice required of reappointment decisions for probationary terms are: –90 days before end of 1 st term –180 days before end of 2 nd term –12 months before end of 3 rd term 12 months before the end of the 4 th term, the decision is to either promote to the tenure track rank of Assistant Professor or separation from the University at term end. 12 months before the end of the 4 th term, the decision is to either promote to the tenure track rank of Assistant Professor or separation from the University at term end.

54 Instructor Appointments with Conditional Promotion to Assistant Professor “Instructor with Special Provision” appointments may be made on the condition that automatically upon being awarded a specified academic degree, the instructor is reappointed at the rank of tenure track Assistant Professor “Instructor with Special Provision” appointments may be made on the condition that automatically upon being awarded a specified academic degree, the instructor is reappointed at the rank of tenure track Assistant Professor In these cases, the promotional effective date is January 1 st or July 1 st whichever immediately precedes award of the degree and is closest in time In these cases, the promotional effective date is January 1 st or July 1 st whichever immediately precedes award of the degree and is closest in time

55 Review Question A faculty member is appointed as an “Instructor with Special Provision” in July. In February, the faculty member receives his PhD. When will the faculty member be reappointed to the rank of Assistant Professor?

56 Review Answer January 2010 because the promotional effective date is either January 1 st or July 1 st, whichever immediately precedes the award of the degree and is closest in time.

57 Assistant Professor on Tenure Track

58 Probationary Term Assistant Professor Appointments Initial appointment for a term of 4 years. Initial appointment for a term of 4 years. No less than 12 months before the end of the initial term, a decision shall be made and communicated in writing to the faculty member as to whether s/he will be reappointed. No less than 12 months before the end of the initial term, a decision shall be made and communicated in writing to the faculty member as to whether s/he will be reappointed. If reappointed at the rank of Assistant Professor, the appointment is for a second probationary term of 3 years. If reappointed at the rank of Assistant Professor, the appointment is for a second probationary term of 3 years.

59 Probationary Term Assistant Professor Appointments No less than 12 months before the end of the second term, a reappointment decision is communicated in writing No less than 12 months before the end of the second term, a reappointment decision is communicated in writing When reappointment occurs, it is generally with a promotion to Associate Professor with permanent tenure When reappointment occurs, it is generally with a promotion to Associate Professor with permanent tenure –In highly exceptional circumstances reappointment at the non-tenured rank of Assistant Professor is possible Non-reappointment generally means either separation from the University at the end of the term or conversion to a fixed term appointment, at the option of the department Non-reappointment generally means either separation from the University at the end of the term or conversion to a fixed term appointment, at the option of the department

60 Typical Probationary Term Assistant Professor Progression (a) Initial Appointment (b) Reappointment Decision at 3-year point 4-year term 12-month notice with termination at term end No Yes 2 nd probationary term 3-year term (c) Reappointment Decision at 2-year point No 12-month notice with termination at term end Yes Reappointment with tenure as Associate Professor at term end*

61 Review Question #1 Dr. Smith was hired as an Assistant Professor in July When will her “formal” review occur?

62 Review Answer #1 The formal review will occur in the third year of her appointment (one year prior to the end of the appointment).

63 Review Question #2 Dr. Smith was a Clinical Assistant Professor in the School of Medicine from January 1, January 31, On February 1, 2010, she was appointed as an Assistant Professor in the Department of Dermatology. When would Dr. Smith’s tenure clock begin?

64 Review Answer #2 Her tenure clock would begin on February 1, 2010, because that is the date of the initial tenure-track appointment.

65 Associate Professor on Tenure Track

66 Probationary Term Associate Professor Appointments When not the result of a promotion from Assistant Professor or when not appointed directly with tenure, initial probationary appointment is typically for a 5 year term When not the result of a promotion from Assistant Professor or when not appointed directly with tenure, initial probationary appointment is typically for a 5 year term No less than 12 months before the end of the initial term, a decision shall be made and communicated in writing to the faculty member as to whether s/he will be reappointed No less than 12 months before the end of the initial term, a decision shall be made and communicated in writing to the faculty member as to whether s/he will be reappointed If reappointed after the initial 5 year term, and no decision to promote to full professor was made prior to term end, the reappointment is made as an associate professor with tenure If reappointed after the initial 5 year term, and no decision to promote to full professor was made prior to term end, the reappointment is made as an associate professor with tenure

67 Typical Probationary Term Associate Professor Progression (a) Initial Appointment (b) Reappointment Decision at 4-year point 5-year term 12-month notice with termination at term end No Yes OR Reappointment to Associate Professor with tenure at term end Promotion to Full Professor w/tenure prior to term end

68 Review Question True or False? An initial appointment to the rank of Associate Professor is always for five (5) years.

69 Review Answer False A faculty member can be appointed to as an Associate Professor with tenure or as a probationary Associate Professor for 5 years.

70 Special Provision to Extend Probationary Appointments For reasons of health, childbirth, child care, or similar compelling circumstances a faculty member with a probationary term appointment at rank of Assistant or Associate Professor may … For reasons of health, childbirth, child care, or similar compelling circumstances a faculty member with a probationary term appointment at rank of Assistant or Associate Professor may … Request a special 12-month extension of the probationary term in writing 24-months prior to the end of their current term Request a special 12-month extension of the probationary term in writing 24-months prior to the end of their current term Such requests must be approved by the Chancellor Such requests must be approved by the Chancellor

71 Professor

72 Professor Appointments A promotion from Associate Professor to Professor typically occurs after 5 years (the absolute earliest would be 18 months) A promotion from Associate Professor to Professor typically occurs after 5 years (the absolute earliest would be 18 months) A new appointment/hire to Professor (must have tenure at another peer university to be appointed with tenure at UNC-CH) A new appointment/hire to Professor (must have tenure at another peer university to be appointed with tenure at UNC-CH)

73 Permanent Tenure Appointments and Reviews

74 Benefits and Responsibilities of Tenure Protects a faculty member from involuntary suspension or termination except under very specific circumstances in accord with the University’s Tenure Code Protects a faculty member from involuntary suspension or termination except under very specific circumstances in accord with the University’s Tenure Code Ensures freedom of discourse, teaching, research, and publication and protects against influences which would restrict these endeavors Ensures freedom of discourse, teaching, research, and publication and protects against influences which would restrict these endeavors Responsibilities include service to the academic community, commitment to the welfare of the University and demonstrated professional competence in teaching, research, or public service Responsibilities include service to the academic community, commitment to the welfare of the University and demonstrated professional competence in teaching, research, or public service

75 Tenure Actions and Considerations Permanent tenure may be conferred at the ranks of either Professor or Associate Professor Permanent tenure may be conferred at the ranks of either Professor or Associate Professor –Fixed term faculty ranks are not eligible for permanent tenure Promotion or initial appointment to the rank of Professor confers permanent tenure as of the date of the promotion or initial appointment action Promotion or initial appointment to the rank of Professor confers permanent tenure as of the date of the promotion or initial appointment action

76 Tenure Actions and Considerations Cont’d. No recommendation for a promotion or reappointment which will confer permanent tenure may be initiated until the faculty member has been in the active employment of the University for at least 18 months. No recommendation for a promotion or reappointment which will confer permanent tenure may be initiated until the faculty member has been in the active employment of the University for at least 18 months. Tenured faculty are considered full-time positions and must always be 1.0 FTE except in exceptional and temporary circumstances approved by the Provost Tenured faculty are considered full-time positions and must always be 1.0 FTE except in exceptional and temporary circumstances approved by the Provost

77 Post Tenure Review Policy Each faculty member is subject to post-tenure review no less often than every five (5) years following the conferral of permanent tenure Each faculty member is subject to post-tenure review no less often than every five (5) years following the conferral of permanent tenure Reviews must examine all aspects of a faculty member's academic performance and must involve faculty peers Reviews must examine all aspects of a faculty member's academic performance and must involve faculty peers Comprehensive evaluations conducted for other purposes, such as a review for promotion, may be substituted for or combined with post-tenure review Comprehensive evaluations conducted for other purposes, such as a review for promotion, may be substituted for or combined with post-tenure review A review may be delayed for compelling reasons approved by the Provost A review may be delayed for compelling reasons approved by the Provost

78 Review Question #1 True or False? An initial appointment to the rank of Professor is for four (4) years.

79 Review Answer #1 False Appoint to the rank of Professor is always with tenure.

80 Review Question #2 True or False? A faculty member who achieves tenure cannot be disciplined.

81 Review Answer #2 False The “Tenure Code” governs faculty terms and conditions of employment. Tenure is a status does that not preclude faculty members from adhering to the terms and conditions of their employment including policies and procedures.

82 Joint Appointments

83 Faculty members may hold faculty ranks in more than one department in the form of “joint” appointments Faculty members may hold faculty ranks in more than one department in the form of “joint” appointments Such appointments can be “full” joint appointments in that the faculty member holds the same level rank in both departments … or … Such appointments can be “full” joint appointments in that the faculty member holds the same level rank in both departments … or … Joint appointments can be “fixed term” such that the primary appointment is tenured and the joint appointment is a secondary fixed term rank for a set term (e.g., 1 to 5 years) Joint appointments can be “fixed term” such that the primary appointment is tenured and the joint appointment is a secondary fixed term rank for a set term (e.g., 1 to 5 years)

84 Joint Appointments Cont’d. The joint appointment can be salaried or non-salaried The joint appointment can be salaried or non-salaried When a faculty member is appointed jointly to two or more departments, the “assembled full professors” of all the appointing departments and the respective Chairs must be consulted When a faculty member is appointed jointly to two or more departments, the “assembled full professors” of all the appointing departments and the respective Chairs must be consulted

85 Vacation, Sick, and Bonus Leave

86 Faculty Vacation & Sick Leave Permanent 12-month faculty at.50 FTE or greater earn … Permanent 12-month faculty at.50 FTE or greater earn … –24 vacation days per year –12 sick days per year –May carry forward max of 240 hours from calendar year to calendar year; remaining balance >240 transferred to sick leave –Bonus leave carries forward without limit –Vacation and sick leave is pro-rated for less than 1.0 FTE 9-month faculty earn no vacation or sick leave 9-month faculty earn no vacation or sick leave

87 Faculty Leave Payout 12-month faculty members are not eligible for vacation or bonus leave payout 12-month faculty members are not eligible for vacation or bonus leave payout Leave also does not transfer with 12-month faculty going into phased retirement Leave also does not transfer with 12-month faculty going into phased retirement Active faculty members who die do receive payout of vacation up to 240 hours and bonus leave in final disposition of pay owed to the estate Active faculty members who die do receive payout of vacation up to 240 hours and bonus leave in final disposition of pay owed to the estate Any available leave may be negotiated to be taken prior to separation with the mutual agreement of the Chair Any available leave may be negotiated to be taken prior to separation with the mutual agreement of the Chair 9-month faculty earn no leave and payout is irrelevant 9-month faculty earn no leave and payout is irrelevant

88 Review Question When can a faculty member receive payment for his/her accrued leave?

89 Review Answer Faculty members do not receive leave payments; however, if a 12 month faculty member dies while in service, the estate will receive up to 240 hours of leave and any additional bonus leave. Faculty members do not receive leave payments; however, if a 12 month faculty member dies while in service, the estate will receive up to 240 hours of leave and any additional bonus leave. 9-month faculty members do not accrue leave. 9-month faculty members do not accrue leave.

90 Medical, Personal, and Other Leaves

91 Family and Medical Leave (FMLA) Allows paid (using accrued sick, vacation, and bonus leave) and unpaid leave of absence. Allows paid (using accrued sick, vacation, and bonus leave) and unpaid leave of absence. Use of leave without pay requires use of all accrued sick leave first. Use of leave without pay requires use of all accrued sick leave first. Applies to absence due to childbirth, adoption, or serious health condition of employee, spouse, child, or parent. Applies to absence due to childbirth, adoption, or serious health condition of employee, spouse, child, or parent. Medical certification required from attending physician. Medical certification required from attending physician.

92 Eligibility for FMLA Employment in State Government/UNC System in a permanent or temporary capacity for at least 12 consecutive months … and worked at least 1,040 hours during previous 12-month period. Employment in State Government/UNC System in a permanent or temporary capacity for at least 12 consecutive months … and worked at least 1,040 hours during previous 12-month period.

93 What FMLA Provides 12 work weeks of leave in any 12-month period. 12 work weeks of leave in any 12-month period. Job and certain benefits are protected during paid or unpaid FMLA leave. Job and certain benefits are protected during paid or unpaid FMLA leave. Upon return, employee must be reinstated to same position or one of similar pay, position, and type. Upon return, employee must be reinstated to same position or one of similar pay, position, and type. State Health insurance coverage and employer contribution maintained during FMLA State Health insurance coverage and employer contribution maintained during FMLA –If employee fails to work at end of FMLA, University may recover its portion of health insurance premiums All benefits (e.g., leave earnings, retirement credit) continue to accrue during paid portion of FMLA All benefits (e.g., leave earnings, retirement credit) continue to accrue during paid portion of FMLA

94 Faculty Serious Illness and Parental Leave Eligibility Eligibility –Permanent status; 12- or 9-month faculty –75% or greater FTE –Immediately upon hire 60 calendar days of paid leave for serious illness in a 52 week period; does not have to be continuous days 60 calendar days of paid leave for serious illness in a 52 week period; does not have to be continuous days Written medical certification is required Written medical certification is required

95 Faculty Serious Illness and Parental Leave Cont’d. Paid leave for birth of child or adoption within 12 months of the qualifying event Paid leave for birth of child or adoption within 12 months of the qualifying event One semester of paid leave for 9-month faculty One semester of paid leave for 9-month faculty 15-weeks of paid leave for 12-month faculty 15-weeks of paid leave for 12-month faculty Policy requires timely notification to faculty member’s chair of intention to use either type of leave Policy requires timely notification to faculty member’s chair of intention to use either type of leave Automatically triggers FMLA if eligibility for FMLA is met Automatically triggers FMLA if eligibility for FMLA is met

96 Other Leaves Relevant to Faculty Employees (Eligibility principally for permanent employees; check each policy on the OHR web site) Bonus Leave Bonus Leave –As awarded by the NC General Assembly Community Service Leave Community Service Leave –12-month faculty earn 24 hours per calendar year OR 1 hour per week (to a max of 36 hours) for a mentoring/tutoring program in a school Civil Leave (Jury Duty) Civil Leave (Jury Duty) Voluntary Shared Leave Voluntary Shared Leave Military Leave Military Leave

97 Review Question A 9-month faculty member gives birth to triplets. What leave options are available for the faculty member?

98 Review Answer Family Medical Leave (FMLA): If the faculty member meets the eligibility requirements (12 workweeks of leave in any 12-month period). Family Medical Leave (FMLA): If the faculty member meets the eligibility requirements (12 workweeks of leave in any 12-month period). Faculty Serious Illness Leave – 60 calendar days of paid leave for a serious illness in a 52 week period (runs concurrently with FMLA). Faculty Serious Illness Leave – 60 calendar days of paid leave for a serious illness in a 52 week period (runs concurrently with FMLA). Parental Leave – paid leave for birth of child pr adoption w/in a 12 month period of the qualifying event. One (1) semester of paid leave for 9-month faculty (triggers FMLA leave). Parental Leave – paid leave for birth of child pr adoption w/in a 12 month period of the qualifying event. One (1) semester of paid leave for 9-month faculty (triggers FMLA leave).

99 Faculty Salary Administration

100 Considerations When Setting Salaries Authorized budget Authorized budget Relevant salary caps as prescribed for specific faculty specialties and ranks Relevant salary caps as prescribed for specific faculty specialties and ranks Benchmark salary data from relevant salary surveys or peer institutions Benchmark salary data from relevant salary surveys or peer institutions Salary equity with other faculty within the department with commensurate duties, education, and experience. Salary equity with other faculty within the department with commensurate duties, education, and experience.

101 Considerations When Setting Salaries Be alert for potential disparities based on … Be alert for potential disparities based on … –Race –Gender –Age –Other EEO protected statuses Be prepared to address these at the same time or within close proximity of any new hire or job change action that causes an equity issue. Be prepared to address these at the same time or within close proximity of any new hire or job change action that causes an equity issue. Mechanisms to address equity issues Mechanisms to address equity issues –EPA Annual Raise Process (ARP) cycle –If permitted by your Dean’s Office in exceptional circumstances, an “Out of Cycle” salary increase

102 EPA Annual Raise Process The EPA annual raise process (ARP) is performed in proximity to the SPA annual increase process and is tied to the conclusion of the legislative budget session The EPA annual raise process (ARP) is performed in proximity to the SPA annual increase process and is tied to the conclusion of the legislative budget session EPA increases are based on guidelines issued by UNC General Administration but have typically been driven by performance and retention at the discretion of Department Heads EPA increases are based on guidelines issued by UNC General Administration but have typically been driven by performance and retention at the discretion of Department Heads The EPA ARP process is administered by the Office of the Provost The EPA ARP process is administered by the Office of the Provost

103 “Out of Cycle” Increase Justification Increases done outside of normal EPA ARP Process Increases done outside of normal EPA ARP Process If permitted by your Dean’s Office with specific justification and for exceptional reasons … If permitted by your Dean’s Office with specific justification and for exceptional reasons … –Correction of a documented salary error –Permanent newly added duties –**Address documented equity issues** –Retention with specific documentation and/or competitive offer letter from outside institution Requests sent to Provost’s Office or Chancellor’s Office (CO) for units that report to CO directly Requests sent to Provost’s Office or Chancellor’s Office (CO) for units that report to CO directly No retroactive base salary increases are permitted for “out of cycle” adjustments No retroactive base salary increases are permitted for “out of cycle” adjustments “out of cycle” adjustments opportunities become more limited as we get closer to the annual EPA ARP cycle “out of cycle” adjustments opportunities become more limited as we get closer to the annual EPA ARP cycle

104 Salary Increase Approval Requirements Departmental review and approvals Departmental review and approvals Dean or Division review and approvals Dean or Division review and approvals Provost’s Office and/or Office of the Chancellor review Provost’s Office and/or Office of the Chancellor review In 2011 UNC General Administration directed all UNC campuses to begin submitting certain salary increase actions to them for pre-approval in addition to our campus-level review process. These guidelines are available on the Academic Personnel website at In 2011 UNC General Administration directed all UNC campuses to begin submitting certain salary increase actions to them for pre-approval in addition to our campus-level review process. These guidelines are available on the Academic Personnel website athttp://hr.unc.edu/news-events/CCM3_034776

105 Other Compensation Issues

106 Administrative Salary Supplement vs. Lump Sum Payment Supplement: To compensate assignments that are non-permanent in nature but which will occur on a longer-term basis (e.g., greater than 2 pay-periods) and stands apart from regular, permanent duties. Supplement: To compensate assignments that are non-permanent in nature but which will occur on a longer-term basis (e.g., greater than 2 pay-periods) and stands apart from regular, permanent duties. Lump Sum Payment: To compensate intermittent duties which will be compensated on a “once or twice” basis and not on a regular schedule. Lump Sum Payment: To compensate intermittent duties which will be compensated on a “once or twice” basis and not on a regular schedule.

107 Administrative Supplement Used for compensating longer-term assignments that are non-permanent and not part of employee’s normal duties Used for compensating longer-term assignments that are non-permanent and not part of employee’s normal duties Special projects Special projects Interim or acting assignments Interim or acting assignments Academic Advising Academic Advising Must be requested by memo to the Provost’s Office or Chancellor’s Office (CO) for units that report directly to CO and approved at this level Must be requested by memo to the Provost’s Office or Chancellor’s Office (CO) for units that report directly to CO and approved at this level Separate from base salary but part of total salary Separate from base salary but part of total salary –Not subject to legislative increases or adjustments Once approved, must be communicated in writing to employee Once approved, must be communicated in writing to employee

108 Lump Sum Payments Compensate salaried employees for short-term additional duties (“Overload”) Compensate salaried employees for short-term additional duties (“Overload”) –Normally not for work in regular work unit (Department/School) unless exception granted by Provost –Subject to specific annual limits in Overload Policy! Compensate non-salaried or part-time employees using “additional duties” lump sum payment type Compensate non-salaried or part-time employees using “additional duties” lump sum payment type Summer or Summer School Pay Summer or Summer School Pay Awards Awards Correction to administrative supplement or leave payouts Correction to administrative supplement or leave payouts Other special incentive payments but only for incentive plans specifically approved by the Provost and presented to both the Board of Trustees and Board of Governors for information prior to use Other special incentive payments but only for incentive plans specifically approved by the Provost and presented to both the Board of Trustees and Board of Governors for information prior to use

109 Review Question Which type of payment is to compensate for assignments that are non-permanent in nature but which will occur on a longer-term basis (e.g., greater than 2 pay-periods) and stands apart from regular, permanent duties? –Lump Sum Payment –Overload –Summer Salary –Supplement

110 Review Answer Answer: Supplement Answer: Supplement –Lump sum payment: to compensate intermittent duties which will be compensated on a once or twice basis and not on a regular schedule. –Overload: Type of lump sum payment. Overload payments cannot exceed 20% of 12-month faculty salary in fiscal year and 25% of 9-month faculty salary in a fiscal year. Overloads are typically for work done outside of base department. –Summer salary: Type of lump sum payment for 9-month faculty. Payment cannot exceed 1/3 of salary.

111 External Professional Activities and Conflicts

112 External Activities and Conflicts of Interest (COI) Outside jobs, consulting, or businesses Outside jobs, consulting, or businesses Outside relationships (personal and professional) that do or can conflict with decision-making in official University capacity Outside relationships (personal and professional) that do or can conflict with decision-making in official University capacity Refer to individual and institutional COI policies linked from Academic Personnel web site Refer to individual and institutional COI policies linked from Academic Personnel web site University Legal Counsel should be consulted on COI issues and reviews COI disclosures University Legal Counsel should be consulted on COI issues and reviews COI disclosures

113 Grievance and Dispute Resolution

114 Dispute and Grievance Process The Tenure Code contains detailed guidelines on mechanisms for faculty to dispute and appeal appointment, promotion, reappointment, and tenure decisions The Tenure Code contains detailed guidelines on mechanisms for faculty to dispute and appeal appointment, promotion, reappointment, and tenure decisions Contact the Office of the Provost or the University Counsel’s Office in these situations Contact the Office of the Provost or the University Counsel’s Office in these situations

115 Other Avenues of Resolution Allegations of gender, racial, and sexual harassment: EEO/ADA Office who facilitates attempted resolution via an “Administrative Review” process Allegations of gender, racial, and sexual harassment: EEO/ADA Office who facilitates attempted resolution via an “Administrative Review” process –Unresolved matters move forward to the formal grievance process Mediation Program managed by OHR Mediation Program managed by OHR University Ombuds Office University Ombuds Office –Informal dispute resolution process and not part of the formal grievance process

116 Web Sites of Interest

117 Web Sites Academic Personnel Academic Personnel –http://academicpersonnel.unc.edu Office of the Executive Vice Chancellor & Provost Office of the Executive Vice Chancellor & Provost –http://provost.unc.edu Office of Human Resources (OHR) Office of Human Resources (OHR) – EEO/ADA Office EEO/ADA Office –http://www.unc.edu/depts/eooada/ University Policies and Procedures University Policies and Procedures –


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