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Part Three

PART THREE

FACULTY APPOINTMENT & EVALUATION

University policies and regulations can be found at www.policies.eku.edu.

I.   FACULTY APPOINTMENTS (Policy 4.6.3)
There are eight kinds of appointment to the faculty: (1) temporary, (2) probationary, (3) tenure, (4) visiting faculty, (5) lectureships, (6) clinical, (7) adjunct, and (8) retirement transition program.

A.  Temporary (Policy 4.6.3); Adjunct Faculty (part-time) (Policy 4.6.13)
This policy describes the use of temporary faculty, including adjunct (part-time) faculty.

B.  Probationary (Policy 4.6.5)
This policy describes the process for the evaluation and reappointment of non-tenured, tenure-track faculty. 

C.  Tenure  (Policy 4.6.4)
This policy describes the criteria and process for tenure and promotion. 

D.  Visiting Faculty (Policy 4.6.8)
This policy describes the conditions for faculty in visiting appointments.

E.   Lectureships  (Policy 4.6.10)
This policy describes the conditions for faculty in lecturer appointments.

F.  Clinical/Senior Clinical Faculty (Policy 4.6.11)
This policy describes the conditions for faculty in clinical appointments.

G.  Affiliated Adjunct Faculty (Policy 4.6.2)
This policy describes the conditions for faculty in affiliated adjunct appointments. NOTE: This is a unique, unpaid appointment and does not refer to traditional part-time faculty who are paid.

H.   Retirement Transition Program  (Policy 4.6.9)
This policy describes the conditions for faculty in the Retirement Transition Programs.
 

II.  FACULTY QUALIFICATIONS (Policy 4.6.1)
This policy describes the criteria and process for determining the qualifications of faculty teaching credit-bearing courses.

Policy Statement
Eastern Kentucky University will employ qualified faculty to teach credit-bearing courses.  The University places primary importance on academic credentials, which must be awarded from accredited institutions.  In addition to academic credentials, other competencies may be identified, as appropriate, when establishing qualifications. Faculty qualifications will be linked to the course(s) a faculty member is assigned to teach and will be initially determined by the department.  Approval of faculty qualifications must be made by the dean and the Provost and Vice President for Academic Affairs.  The criteria for qualifications are outlined in this policy.

III.  PROFICIENCY IN ENGLISH (Policy 4.7.10)
This policy ensures the University’s compliance with Kentucky Revised Statute 164.297.

 

IV.  SPECIAL APPOINTMENTS

A. Foundation Professorships (Policy 4.6.16)
This policy describes the criteria and process for selecting Foundation Professors.
B. Graduate Faculty Criteria
C. Shared Faculty Appointments (Policy 4.6.12)
This policy describes the conditions for creating shared faculty appointments. For the effects of shared appointments on the tenure process, see Policy 4.6.4, Promotion and Tenure, pages 4-5. 
D.  Adjunct Faculty Appointments (Policy 4.6.13)
This policy describes the evaluation of teaching for adjunct (part-time faculty).

 

V. EMPLOYMENT AGREEMENTS
New faculty members receive an Initial Terms of Appointment Form from their College Dean, which serves as their employment agreement with the University. Returning faculty members receive a Terms of Appointment Form from their College Dean, which serves as their employment agreement with the University. The signature of the faculty member on the form is written acceptance of the agreement terms.

 

VI. Dismissal of Faculty (Policy 4.6.16)
This policy describes the conditions and procedures for dismissal of faculty,

Policy Statement
Eastern Kentucky University complies with Kentucky Revised Statute 164.360 regarding the dismissal of tenured faculty. As a matter of principle, absent a conflict with State statute, the University complies with the American Association of University Professors and the Association of American Colleges and Universities “1958 Statement on Procedural Standards in Faculty Dismissal Proceedings.” The Kentucky statute and the AAUP statement address statutory and procedural expectations for the dismissal of faculty. With this in mind, EKU has established a process by which tenured faculty may be dismissed. Faculty members without tenure are classified as employees at will to serve at the discretion of the University.

This policy does not apply when tenured faculty are recommended for dismissal for violating Policy 1.4.1, Non-Discrimination and Harassment and/or Regulation 1.4.2, Response to Non-Discrimination and Harassment.

VII. GUIDELINES FOR RECRUITING TENURE-TRACK FACULTY
  1. The Department search committee should meet with the Department Chair to draft the position announcement/advertisement once authorization is granted from the Provost and College Dean for the search to begin. The announcement/advertisement must contain statements specifying the rank at which the candidate is to be employed, that the position is tenure earning, the minimum required qualifications and credentials, a reference to EKU’s competitive compensation, application instructions and contact information. The announcement/advertisement should contain a request for a list of at least three references, together with their telephone numbers and e-mail addresses. At this stage of the process, it is generally counterproductive to request letters of recommendation. The announcement/advertisement should state the date on which the initial review of applications will begin and should clearly state that the search will continue until the position is filled. The following statement must be included at the end of the announcement/advertisement: Eastern Kentucky University is an Equal Opportunity/Affirmative Action Employer.
  2. In order to facilitate the review process, it is recommended that a draft of the announcement/advertisement be shared with the College Dean, the Equal Opportunity Office, and the Provost as early as possible in the process. Those three offices promise a 24-48 hour turnaround.
  3. Two versions of the advertisement should be prepared. The longer version is for use in less expensive media and the shorter is for use in more expensive media. The longer version should be posted on the Department’s home page. Each advertisement should contain the appropriate web address where the full announcement can be found.
  4. The advertisement plan for the position should include a cost estimate. Human Resources can provide that information based on a draft of the announcement/advertisement.
  5. It is also recommended that departments prepare an attractive announcement of the position to be sent to colleagues at similar departments across the country, and make every effort to identify and solicit a broad pool of qualified applicants.
  6. Appropriate paperwork is to be filed with the Equal Opportunity Officer, the College Dean and the Provost.
  7. Each search committee is to select a Chair and have it understood that the committee Chair is the only contact person for communications with the candidates.
  8. The Chair of the search committee is to keep all records from the search, including CVs and related materials from all applicants, evaluations of each applicant; notes from all reference calls made; and interview notes. At the end of the search process, the entire file should be transferred to the College office for storage for five years.
  9. The search committee is to develop a clear set of selection criteria for evaluating applicants and a search process timetable.
  10. Each applicant is to be screened for minimum education and experience requirements. If an individual does not satisfy these requirements, the individual is not a qualified applicant and should not be given further consideration for the position. A letter should be sent to any such individual clarifying the status of the individual’s application.
  11. After initial screening under item 10 above, each remaining application received should be acknowledged, and the affirmative action compliance information form and a postage-paid envelope provided by the Equal Opportunity Office should be included in the acknowledgement.
  12. The search committee will then conduct an initial review of the applicants and provide the Department Chair and the Dean with a summary of the applicant pool. At this point, a review of the candidate pool will be made by the Dean to ensure that it is a viable pool of applicants. If it is determined that it is not, the search can be continued or reopened at a later date.
  13. The search committee will rigorously apply the stated criteria to the applicant pool to develop a list of semi-finalists. Careful notes must be kept as to the reason(s) why each applicant does or does not meet the criteria. These notes must be retained as a part of the search file.
  14. The search committee will check the listed references of the semi-finalists. References can be collected in the form of traditional letters, faxed letters, e-mail communications, or telephone calls to the references.  Telephone reference checks have been proven to be very effective means of gathering a good deal of information about candidates in a timely manner. Careful notes of any telephone conversation need to be kept as part of the applicants’ files.
  15. If reference checks are made by telephone, the caller should use a script so that the same topics are covered with each reference call for each candidate. (It is understood, that as in any conversation, the discussion can go in many directions. The important point is that at least the same topics are covered in each reference call.)
  16. It is important through the search process that candidates are kept informed as to the status of the search process.
  17. It is imperative that throughout the search process all candidates, internal and external, are treated exactly the same.
  18. Following reference checks, the search committee may choose to arrange to do video interviews or telephone conference calls with some of the semi-finalists for the purpose of exploring key issues with a larger group of candidates than be brought on to campus. Once again, a script should be developed and followed for each discussion with a candidate.  Records of those discussions must be kept as part of the search file.
  19. The search committee will submit up to three finalists for on-campus interviews (in extraordinary circumstances either less or more candidate interviews may be approved). Prior to inviting any candidates to campus, the Chair of the search committee should review the status of the search with the Dean. The search committee must be able to articulate why the proposed interviewees were selected for on-campus interviews. The Chair of the search committee and the Dean must ensure that all qualified applicants were given equitable employment consideration. Complete AA-1 form and forward to the College Dean. After all approvals, forward a copy to the Equal Opportunity Office.
  20. The search committee together with the Department Chair shall plan the campus visits of the finalists. Appointments should be scheduled with the College Dean as well as other appropriate individuals. Interviews may also be scheduled with the Provost if judged to be appropriate. Copies of the finalists’ resumes should be shared with each person with whom an interview meeting is scheduled.
  21. Planning for the campus visits of candidates should be done as much in advance of the visit as possible. Efforts should be made to bring in candidates on a Saturday for two reasons:  1) the air fare is less expensive, and 2) the candidate will have a better opportunity to experience the Richmond area in a leisurely fashion before formal interviewing begins. It is hoped that departments will also use the weekend for informal socializing with candidates.
  22. Departments working in conjunction with their College offices should prepare complete informational packets to be mailed to the candidates well in advance of their campus visits.
  23. All individuals who will interact with the candidates should be counseled on the legal considerations of an interview and the fact that good candidates will be interviewing us as much as we will be interviewing them.
  24. Cost containment is also an issue in searches. In addition to controlling the high costs of airfares, departments should consider housing candidates in an area hotel with whom we have a negotiated rate for two reasons. First, the University has established a negotiated rate per room per night with the following hotels/bed & breakfast: Best Western Holiday Plaza, Best Western Road Star Inn, Ref Roof Inn, Comfort Suites, Hampton Inn, and the Bennett House. Second, the University has negotiated a direct billing process so that departments will not have to charge their accounts and then get reimbursed. Hosted meals should be kept within reason. While it is important to provide candidates with gracious hospitality, it is also important to keep the cost of hosted meals under control. No more than two to three individuals should be included in candidate meals.
  25. While on campus, candidates should meet with as broad of a range of persons as possible. A formal feedback mechanism, preferably a written form developed in advance of the search committee, should be provided for everyone who meets with the candidates.
  26. Questions about salary should be referred to the Dean. Candidates can be told that our salaries are competitive. But the actual salary for a position is not determined until the top candidate is identified. At that time, a series of discussions occur between the Chair, the Dean and the Provost about the appropriate salary following an analysis of national data from at least two to three sources.
  27. Following the campus visits of all finalists, the search committee will meet the Department Chair to discuss the candidates in relation to the stated criteria, assess the feedback received on the candidates, and provide a listing of “acceptable” and “unacceptable” candidates to forward to the Dean together with a narrative of their relative strengths and weaknesses.
  28. Recommendation regarding recommended candidates, rank and salary are to be forwarded to the Dean, who in turn, will discuss them with the Provost. Following that discussion, final paperwork will be prepared for approval by the Department Chair, the Dean, the Provost, and for review by the Equal Opportunity Officer.  Once approval to proceed is given, the Dean will authorize an offer of employment to be made. If the offeree accepts the position, the Dean’s office will prepare the PAF.  NOTE:  The hiree is not to begin work until a fully executed PAF is in place.
  29. Care should be taken following a hiring that the transition to Eastern Kentucky University is made as smooth as possible for the new colleague. Frequent contact should occur between the new colleague and the home department during the period of transition to EKU.
  30. Departments should develop formal mentoring programs for new faculty members, which should begin in the first semester of employment at EKU.

 

VII. CRIMINAL BACKGROUND INVESTIGATIONS (Policy 8.1.1)
This policy applies to all positions for employment as well as to all volunteers for the University.

 

VIII. EVALUATION (INCLUDING TENURE AND PROMOTION)

A. Evaluation of Academic Administrators (Policy 4.8.1)
This policy describes the process for evaluating academic administrators (Chairs, Deans, Provost, Academic Vice Presidents, and other academic administrators) and the process for faculty involvement in evaluation the President.

Policy Statement
Regular evaluation of academic administrators is vital to ensuring ongoing improvement, development, and accountability. Eastern Kentucky University utilizes both annual and comprehensive evaluations in assessing the performance of academic administrators. The goal of annually reviewing administrators is to recognize exemplary performance, identify areas for potential growth, establish goals, and create professional development plans. The third-year comprehensive evaluation also includes participation and appraisal from all persons in a position to express valid viewpoints in the performance of individual administrators.

Evaluations shall provide the rational basis for decision making that considers the best interest of the academic mission of the University and shall result in a summary report that recognizes the necessity for transparency, accountability, fairness, and confidentiality.

All administrators at Eastern Kentucky University serve with annual appointments and at the pleasure of the President and Board of Regents. It should be understood throughout this document that all decisions regarding appointment or reappointment of academic administrators require approval at this level.

B.  Evaluation of Non-Tenured Tenure-Track Faculty (Policy 4.6.5)
This policy describes the process for the evaluation and reappointment of non-tenured, tenure-track faculty.

Policy Statement
Eastern Kentucky University, as a matter of principle, complies with the American Association of University Professors (AAUP) 1989 “Statement on Procedural Standards in the Renewal or Nonrenewal of Faculty Appointments” and the AAUP and the Association of American Colleges and Universities “1940 Statement of Principles on Academic Freedom and Tenure.” These AAUP statements address policy and procedural expectations for a wide variety of institutions of higher education. With these statements in mind, EKU has established criteria and processes by which tenure-track faculty will be evaluated. EKU’s policy ensures that processes are clearly articulated and published and are available to all persons in the university community.

EKU’s policy for evaluation of non-tenured tenure-track faculty respects the uniqueness of disciplines within the University and provides for appropriate professional flexibility at College and Department levels.

C. Evaluation of Full-Time Faculty Not Eligible For Tenure (Policy 4.6.6)
This policy describes the process for the evaluation of full-time faculty not eligible for tenure.

Policy Statement
Full-time faculty not eligible for tenure shall be evaluated based on their assigned duties as indicated on their Terms of Appointment. During the first three years of a continuous full-time faculty appointment at EKU, non tenure-track faculty shall be evaluated annually using criteria established for this purpose. Subsequent evaluations of the appointment shall be on a periodic basis but at least every three years. Faculty moving from one continuous appointment type (i.e., visiting, lecturer, clinical, ASL specialist) to another continuous appointment type shall be subject to annual review during the first three years of the new appointment type. Evaluation shall occur in a year the faculty member is applying for Senior Lecturer, Senior Clinical, ASL Specialist II, or ASL Specialist I.                                            

A schedule for evaluating full-time faculty not on tenure track shall be recommended by the Department and approved by the College. Colleges may establish a college-wide evaluation schedule.

Reappointment recommendations are made annually for each full-time faculty member not on tenure track and shall be based on need, funding, and performance.

D. Evaluation of Adjunct Faculty (Policy 4.6.14)
This policy describes the evaluation of teaching for adjunct (part-time) faculty.

Policy Statement
The purpose of faculty evaluation is to identify strengths as well as areas for professional growth. For that reason, adjunct faculty shall be evaluated at least annually by the Department Chair/Unit Head or designee.

E. Tenure and Promotion (Policy 4.6.4)
This policy describes the criteria and process for tenure and promotion.

Policy Statement
Eastern Kentucky University, as a matter of principle, complies with the American Association of University Professors and the Association of American Colleges and Universities “1940 Statement of Principles on Academic Freedom and Tenure.” The AAUP and AAC&U statement addresses policy and procedural expectations for a wide variety of institutions of higher education. With this statement in mind, EKU shall establish specific, objective criteria and processes by which tenure and promotion decisions will be made. EKU’s policy ensures that criteria and processes are clearly articulated and published and are available to all persons in the university community.

EKU’s policy for tenure and promotion respects the uniqueness of disciplines within the University and provides for appropriate professional flexibility at college and department levels

F.  Annual Review of Tenured Faculty (Policy 4.6.7)
This policy describes the process and criteria for annual review of tenured faculty.

Policy Statement
Tenured faculty members at Eastern Kentucky University share the responsibility to maintain an appropriate level of teaching, scholarly/creative activities, and service. The goal of annually reviewing tenured faculty members is to recognize exemplary performance, identify areas for potential growth, establish goals, and create professional development plans. For each of their tenured faculty members, Department Chairs/Unit Heads will collaborate annually with the faculty member to create and support individual goals and professional development plans and to assess every three years the faculty member’s performance, using department/unit-approved standards for teaching, scholarly/creative, and service activities. The review process respects the uniqueness of disciplines within the University and provides for appropriate professional flexibility at department/unit levels; however, the process is designed to provide consistency with department, school, college, and University policies.

G.  Post Tenure Review (Policy 4.6.7)

This policy describes the process for post-tenure review.

Policy Statement
Tenured faculty members at Eastern Kentucky University share the responsibility to maintain an appropriate level of teaching, scholarly/creative activities, and service Per Policy 4.6.7, Annual Review of Tenured Faculty, all departments/units will establish performance standards and procedures for the review of tenured faculty.

The Post-Tenure Review policy is intended to be a final opportunity to improve deficient performance. This policy does not replace Policy 4.6.16, Dismissal of Faculty, nor does it prevent the University from dismissing a tenured faculty member without using the Post-Tenure Review process if the dismissal is for cause, for financial exigency, or for program discontinuance. The University may choose to use the Post-Tenure process in lieu of immediate dismissal for cause.

The Post-Tenure Review policy does not go into effect until at least one of the following conditions apply:
1.     Refusal to participate in the annual review process as described in Policy 4.6.17, Annual Review of Tenured Faculty;

2.     A “below standards” rating in teaching in the Year Three Review and in the review in the subsequent year as evaluated in Policy 4.6.17, Annual Review of Tenured Faculty, page 2.

3.     A “below standards” and “insufficient progress” rating occurring in the same area of deficiency in two consecutive review cycles (see Policy 4.6.17); or

4.     A recommendation from the Department Chair/Unit Head, the College Dean, and the Provost to activate the process in lieu of immediate dismissal for cause.

Refusal of the faculty member to participate in any part of the post-tenure review process will result in sanctions as described in this policy. The post-tenure review process may be used no more than twice for the same faculty member.



 

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