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NORTHERN
Conditions of Faculty Service (COFS)
Approved by
the Faculty Senate, May 2007
1. Conditions
of Faculty Service – approved by the Faculty Senate May 2007
1.2.1 Tenure Eligible Positions
1.2.2 Non-Tenure Eligible Positions
1.3.2 Appointment Procedures -- Initial Appointment
1.4.2 Review and Evaluation Criteria
1.4.3 Calendar for Performance Evaluation Procedures
1.4.4 Personnel Involved with Faculty Evaluation
1.4.5 Materials Required for Review and Evaluation
1.4.5.1 Statement of Expectations
1.4.5.2 Professional Review File
1.4.5.3 Annual Faculty Performance Report
1.4.6 Policies for Faculty Review and Evaluation
1.4.6.1 Tenure Eligible/Tenured Faculty
1.4.6.1.2 Probationary (Retention) Review for Tenure Eligible
Faculty
1.4.6.2 Non-tenure Eligible Faculty
1.4.6.2.2 Renewal Review for Non-tenure Eligible Faculty
1.4.7 Post-Tenure Review Process
1.4.7.1 Relation of Annual Review Process to Post-Tenure
Review Process
1.4.7.2 Faculty Improvement Process
1.4.7.2.1 Faculty Development Plan
1.4.7.2.2 Performance Improvement Plan
1.4.7.3 Accountability Mechanisms
1.5.1 Procedure for Suspension and Dismissal
1.6 Honored Faculty Appointments
1.6.1 Nomination and Selection for Appointment as a Regents’
Professor
1.6.2 Evaluation for Appointment to Emeritus Status
1.7.3 Supplemental University Employment
1.7.4 Employment, Services, or Consulting Outside the
University (“Outside Employment”)
1.7.5 Faculty Leave of Absence without Pay
1.7.6 Faculty Input into Conditions of Faculty Service
Procedures
A.
Faculty Resolution Procedures
A.1 Introduction to Dispute Resolution Procedures
A.3 Resolution Processes and Procedures
A.3.1 Informal Dispute Resolution
A.3.2 Formal Dispute Resolution
A.3.3 Faculty Grievance Committee Jurisdiction
A.3.4 Structure of Faculty Grievance Committee
A.3.4.1 Faculty Grievance Committee Members
A.3.4.2 Chair of the Faculty Grievance Committee
A.3.4.3 Faculty Grievance Hearing Committee Chair
A.3.5 Formal Dispute Resolution Processes
A.3.5.2 Formal Complaint Steps
B. Committees
(effective 1/1/98)
B.1 FACULTY STATUS COMMITTEE (FSC)
B.2 School/College Promotion and Tenure Committee
B.2.1 Structure of the College Promotion and Tenure
Committee
B.2.2 Charge of the College Promotion and Tenure Committee
B.3 Annual Review Committee (ARC)
B.3.1 Structure of the Annual Review Committee
B.3.2 Charge to the Annual Review Committee
C. Hiring
Process for Faculty and Academic Professionals
C.4 Establishing the Screening Matrix
C.5 Screening for Minimum Qualifications
C.6 Applicant Pool Certification
C.7 Reviewing the Files for Preferred Qualifications
D. Common
Elements of the Post-Tenure Review Process
E. Procedures
for Academic Reorganization (Draft)
E.1 Reorganization with Anticipated Retrenchment
E.2 REORGANIZATION WITH NO ANTICIPATED RETRENCHMENT
Arizona Board of Regents Policy 6-201 constitutes the conditions of employment as a faculty member. The complete ABOR Policy Manual is available at the Cline Library, the Deans' offices, the Faculty Senate Office and the Office of the Provost. The ABOR Policy Manual may also be obtained on-line at the following address: http://www.abor.asu.edu/.
ABOR policies may be referred to herein.
ABOR Policy 6-201 provides for local university implementation and definition
of conditions of faculty service.
The following definitions shall apply as the words or phrases are used in the NAU Conditions of Faculty Service.
Academic Criteria – The
guidelines developed at the academic unit and college level to describe the
performance expectations for retention, promotion, tenure, and annual
review. These criteria must be approved
in writing by the Dean and the Provost.
Academic unit - The term academic unit refers to any degree-granting department, school, or college.
Administrator - The term administrator refers to someone who either has a notice of appointment issued under the ABOR Conditions of Administrative Service, or a faculty contract with administrative duties.
Annual Review
Committee (ARC) – This elected committee conducts annual reviews at the
unit level. See Appendix B for additional information including committee
alternatives for ARC.
Chair- The person immediately responsible for management of the academic department, division, unit, or other entity. Typically, this is the faculty member in charge of an academic department of the University. In some units, this role may be assumed by the Director, Executive Director, or Dean.
College - The use of the word college in this document shall include a freestanding college or consortium.
Day – This means calendar day, except that where the last day of any specific time period falls on a Saturday, a Sunday, or a university-recognized holiday. In these cases the time period shall run until 5:00 pm of the next day, or close of business as specified by university policy of the next day which is not a Saturday, a Sunday or a university-recognized holiday.
Dean - The use of the word Dean in this document shall include any person who is designated as the head of a college or consortium.
Faculty Status
Committee (FSC) - This elected
committee of tenured faculty performs a department level review and evaluation.
See Appendix B for additional information.
Full-time Faculty – Faculty employed in a 50% or greater capacity for an academic or fiscal year period.
Part-time Faculty - Individuals whose appointment is 49% or less Full-Time Employed (FTE) and who are not eligible for university benefits.
President – The President of Northern Arizona University or the President’s designated representative.
Promotion and Tenure Committee - An elected committee from the tenured faculty in the school or college which reviews and makes recommendations regarding promotion, tenure, sabbatical and Regents’ awards. See Appendix B for additional information.
Provost – The chief academic officer responsible for
academic affairs within the university; the academic Vice President.
School - The use of the word school in this document refers to an academic unit within a college or consortium.
Statement of Expectations –The description of the annual Workload Assignment and the academic unit criteria by which the performance of that workload will be evaluated. The Statement of Expectations is the result of a negotiation between the faculty member and the Chair and, when indicated by department policy, the Faculty Status Committee or Promotion and Tenure Committee.
Temporary Faculty – This term refers to the following two categories: faculty, whether full–time or part-time, who have one year temporary appointments and faculty who have appointments for less than six months and are not benefit eligible.
Workload Assignment - The allocation of a faculty member’s time and effort across categories of responsibility consistent with the mission of the University and the faculty member’s academic unit. These categories may include teaching and other student-related responsibilities; scholarship, research, and/or creative activities; service to the University and to the profession; and other activities as appropriate.
The tenure eligible positions include assistant professor, associate professor, and professor. Tenure eligible faculty shall have a maximum probationary period no longer than seven (7) years in full-time service at tenure eligible rank, except in cases of waiver by the President for an individual faculty member.
All tenure eligible positions require an earned doctorate or other terminal degree in the appropriate discipline. Any exception to this degree requirement must be recommended by the faculty and Chair of the academic unit, and approved by the Provost.
Achievement of a faculty rank at NAU shall be determined by
evaluation and recommendation using written academic unit criteria which must
be approved by the Dean and Provost before implementation. Academic unit criteria may exceed, but must
not be less than ABOR standards (6-201
ASSISTANT PROFESSOR
The rank of assistant professor is a tenure eligible position.
To hold the rank of assistant professor, the faculty member, at a minimum, must:
a. Demonstrate effectiveness in teaching, advisement, and other student-related responsibilities, or, in the case of a new appointment, show promise of effectiveness.
b. Show promise of scholarly activity or other creative endeavors related to the faculty member's discipline.
c. Show promise of service to the profession and the university community.
ASSOCIATE PROFESSOR
The rank of associate professor is a tenure eligible or
tenured position. A faculty member may not be promoted to associate professor
unless concurrently standing for tenure, but a faculty member may be hired as a
non-tenured associate professor.
Normally, a faculty member becomes eligible to apply for the rank of
associate professor in the sixth (6th) year of full-time service at
the rank of assistant professor at NAU. Any prior service credit to be counted
must be agreed to in writing at the time of hire.
To hold the rank of associate professor, the faculty member, at a minimum, must have:
a. A record that shows substantial evidence of effectiveness in teaching, advisement, and other student-related responsibilities.
b. A record that shows a sustained pattern of scholarly activity or other creative endeavors related to the faculty member's discipline.
c. A record that shows a pattern of sustained service to the profession and the university community, and the potential to assume a leadership role within the faculty as one moves toward the rank of professor.
PROFESSOR
A faculty member must be tenured in order to be promoted to the rank of professor, unless at the time of initial appointment the Notice of Appointment indicates it is at the rank of professor without tenure. Professors are faculty who have achieved significant accomplishments in the areas of teaching and research. Normally, a faculty member becomes eligible to apply for the rank of professor in the sixth (6th) year of full-time service at the rank of associate professor at NAU (including any prior service credit agreed to at the time of hiring as associate).
To hold the rank of professor, the faculty member, at a minimum, must have:
a. A sustained pattern of high-quality teaching, advisement, and other student-related responsibilities.
b. A sustained pattern of high-quality scholarly or other creative endeavors related to the faculty member’s discipline.
c. A record that shows a mix of sustained service to the profession and the University community and evidence of leadership within the faculty member's department (e.g., demonstrated ability to assume leadership roles within the department, college, and/or the University at large, and to mentor junior faculty).
In addition to providing evidence of effectiveness in all areas, faculty who apply for the rank of professor must demonstrate outstanding accomplishments in (a) or (b) above as defined by college and academic unit criteria.
The non-tenure eligible positions include instructor, lecturer, clinical faculty, professors of practice, research faculty, visiting faculty, faculty research associates, part-time faculty, adjunct faculty, and visiting scholars.
Non-tenure eligible faculty shall have no expectation of continued employment beyond the end of the current appointment period.
Academic unit criteria may exceed the criteria listed below.
INSTRUCTOR
Instructors are non-tenured, non-tenure eligible faculty. This title should be used in one of two ways: (1) for appointments of no more than one year or (2) as a temporary designation for individuals who have been hired into a tenure-track assistant professor position but who have not yet completed all requirements for the terminal degree. Upon completion of the dissertation or other final degree requirements, such individuals will be ranked as tenure eligible assistant professors.
Responsibilities: Instructors are primarily responsible for teaching courses at the undergraduate level.
Term of Appointment: If an individual was appointed as an instructor into a temporary one-year position, case (1) above, then he/she may normally be reappointed once. If the title of instructor was given as in case (2) above, then his/her rank may be changed during an academic year. Should it change during the fall semester, then that academic year will be considered the first year of his/her six-year probationary period. Should it change during the spring semester, however, the mandatory probation period will not begin officially until the next fall semester. In either case, instructors are temporary faculty and shall have no expectation of continued employment beyond the end of the current appointment period.
Qualifications: For case (1) above, an earned master’s degree
in the appropriate discipline and/or certification or licensing (where
appropriate).
LECTURER
Lecturers are non-tenured, non-tenure eligible faculty. A lecturer faculty member is appointed to one of the following academic ranks: lecturer, senior lecturer, or principal lecturer.
Responsibilities: Lecturers are primarily responsible for teaching undergraduate, graduate, or clinical courses.
Term of Appointment: Lecturers are appointed for one to three (1-3) years. They shall have no expectation of continued employment beyond the end of the current appointment period. These appointments may be renewed.
Qualifications: Lecturer ranks require an earned master’s degree in the appropriate discipline.
a. Lecturer: To be eligible for the rank of lecturer, the faculty member must demonstrate effectiveness in teaching, advising, and student-related responsibilities or, in the case of a new appointment, show promise of effectiveness if the candidate has no prior teaching experience.
b. Senior Lecturer: To be eligible for the rank of senior lecturer, the faculty member must have at least the following:
1. A record of substantial and continued effectiveness in teaching, advising, and other student-related responsibilities.
2. A record of service and professional development related to the teaching role.
3. The equivalent of six years (12 semesters) of college-level teaching or other relevant professional experience.
c.
Principal
Lecturer: To be eligible for the
rank of principal lecturer, the faculty member must have at least the
following:
1. A record of sustained excellence at the senior lecturer rank in teaching, advising, and other student-related responsibilities.
2. A record of sustained excellence in service and professional development related to the teaching role.
3. The equivalent of six years (12 semesters) of college-level teaching at the rank of senior lecturer or other relevant professional experience.
CLINICAL FACULTY
Clinical faculty members are non-tenured, non-tenure eligible faculty. A clinical faculty member is appointed to one of the following academic ranks: assistant clinical professor, associate clinical professor, or clinical professor.
Responsibilities: Clinical faculty members are primarily responsible for teaching and/or managing students in the practice components of their degree programs.
Term of Appointment: Clinical faculty members are appointed for one to three (1-3) years. They shall have no expectation of continued employment beyond the end of the current appointment period. These appointments may be renewed.
Qualifications: Clinical faculty are faculty members who have established themselves by professional experience and expertise over a sustained period of time to be qualified to teach or manage practicum, internship, or practice components of degree programs.
a. Assistant Clinical Professor: To be eligible for the rank of assistant clinical professor, the faculty member must have at least the following:
1. An earned master’s degree in the appropriate discipline and/or certification or licensing in his/her field of competence (where appropriate).
2. A record of effectiveness in teaching and other student-related responsibilities or the promise of such effectiveness if the candidate has no prior teaching experience and/or, where appropriate, demonstrated clinical competence in the relevant discipline.
b. Associate Clinical Professor: To be eligible for the rank of associate clinical professor, the faculty member must have at least the following:
1. An earned doctorate in the appropriate discipline or other terminal degree and/or certification or licensing in his/her field of competence (where appropriate).
2. A record of performance in the job-related responsibilities that shows substantial effectiveness in the role assigned.
3. The equivalent of six years (12 semesters) of college-level teaching or other relevant professional experience.
c. Clinical Professor: To be eligible for the rank of clinical professor the faculty member must have at least the following:
a. An earned doctorate in the appropriate discipline or other terminal degree and/or certification or licensing in his/her field of competence (where appropriate).
b. A demonstrated record of sustained excellence at the associate clinical professor rank in responsibilities related to the role assignment.
c. The equivalent of six years (12 semesters) of college-level teaching at the rank of associate clinical professor or other relevant professional experience.
PROFESSOR OF PRACTICE
Professors of practice are non-tenured, non-tenure eligible faculty. A professor of practice is appointed to one of the following academic ranks: assistant professor of practice, associate professor of practice, or professor of practice.
Responsibilities: Professors of practice are primarily responsible for teaching courses, including seminars and independent studies, to undergraduate and graduate students and for modeling the intersection of theory and practice in the relevant field.
Term of Appointment: Professors of practice are appointed for one to three (1-3) years. They shall have no expectation of continued employment beyond the end of the current appointment period. These appointments may be renewed.
Qualifications: Professors of practice are faculty
members who have established themselves by expertise, achievements, and
reputation over a sustained period of time to be distinguished professionals in
an area of practice or discipline but who may not have the terminal degree in
the discipline.
a. Assistant Professor of Practice: To be eligible for the rank of assistant professor of practice, the faculty member must demonstrate effectiveness in teaching and other student-related responsibilities or show promise of such effectiveness if the candidate has no prior teaching experience.
b. Associate Professor of Practice: To be eligible for the rank of associate professor of practice, the faculty member must:
1. Meet the criteria for assistant professor of practice.
2. Supply evidence of substantial scholarly, creative, or professional achievements.
c. Professor of Practice: To be eligible for the rank of professor of practice, the faculty member must:
1. Meet the criteria for associate professor of practice.
2. Supply evidence of outstanding scholarly, creative, or professional achievements.
RESEARCH FACULTY
Research faculty are non-tenured, non-tenure eligible faculty. A research faculty member is appointed to one of the following academic ranks: assistant research professor, associate research professor, or research professor.
Responsibilities: Research faculty members are primarily responsible for engaging in, being responsible for, or overseeing a significant area of research or scholarship. Research faculty may serve as principal or co-principal investigators on grants or contracts administered by the university. They are typically supported through external resources secured through the efforts of the appointee or in collaboration with others.
Term of Appointment: Research faculty members are appointed for one to three (1-3) years. They shall have no expectation of continued employment beyond the end of the current appointment period. These appointments may be renewed.
Qualifications: Research faculty are faculty members who have established themselves by expertise, achievements, and reputation to be distinguished scholars and researchers. Research faculty ranks require an earned doctorate degree in the appropriate discipline.
a. Assistant Research Professor: To be eligible for the rank of assistant research professor, the faculty member must show promise of scholarly activity or other creative endeavors related to the faculty member’s discipline.
b. Associate Research Professor: To be eligible for the rank of associate research professor, the faculty member must supply evidence of a record that shows a sustained pattern of substantial scholarly activity or other creative endeavors related to the faculty member’s discipline.
c. Research Professor: To be eligible for the rank of research professor, the faculty member must supply evidence of national or international recognition in his/her field and a sustained pattern of outstanding scholarly activity or other creative endeavors related to the faculty member’s discipline, as well as evidence of leadership within the individual’s scholarly and/or creative activity.
VISITING FACULTY
Visiting faculty are non-tenured, non-tenure eligible faculty. They are temporary appointees who are normally expected to return to their own institutions at the expiration of the appointment. A visiting faculty member is appointed to one of the following academic ranks: visiting assistant professor, visiting associate professor, or visiting professor.
Responsibilities: Responsibilities of visiting faculty will vary depending on the rank and the needs of the unit.
Period of Appointment: Visiting faculty are typically appointed for one year or less. They are temporary faculty and shall have no expectation of continued employment beyond the end of the current appointment period.
Qualifications: Persons considered for visiting faculty ranks shall hold the qualifications for those ranks as specified by the academic unit.
FACULTY RESEARCH
ASSOCIATE
These individuals hold an advanced degree but not necessarily a terminal degree, and are employed on a research grant or contract. They may also be engaged in teaching and student research supervision in their area of expertise.
PART-TIME FACULTY
Responsibilities: Part-time faculty are primarily responsible for teaching undergraduate, graduate, or clinical courses.
Term of Appointment: Part-time faculty are hired on a course-by-course basis. They shall have no expectation of continued employment beyond the end of the current assignment.
Qualifications: Part-time faculty shall hold the qualifications as specified by the academic unit.
ADJUNCT FACULTY
Adjunct faculty are individuals who are academically qualified or qualified through relevant non-academic experience to render valuable service to the university. The adjunct faculty position is a non-compensated position.
Applications and nominations for adjunct faculty are reviewed by the faculty of the department or academic unit and recommended for appointment by the Chair or Director to the Dean who recommends to the Provost.
Adjunct faculty are non-tenure eligible. Since the adjunct appointment is a non-compensated position, an adjunct faculty member must be appointed to another appropriate rank of contract employment to receive compensation.
VISITING SCHOLAR
Visiting scholars are typically non-compensated faculty members from another institution who spend a limited period at NAU for purposes of collaboration or research. The request for such an appointment is reviewed by the faculty of the department or academic unit and recommended by the Chair or Director to the Dean who recommends to the Provost. Since the visiting scholar appointment is a non-compensated position, a visiting scholar faculty member must be appointed to another appropriate rank of contract employment to receive compensation.
In addition to the ABOR policy set forth above, NAU shall comply with the following policies and procedures in making an appointment of a faculty member at NAU.
1.
NAU is an equal
opportunity/affirmative action employer. All appointments shall be made
consistent with all policies of the Arizona Board of Regents and
2. Initial appointments of faculty shall be made on the basis of high-quality professional experience and educational background and the specific needs of NAU. Job-related factors take precedence in the selection process.
3. Initial appointments of faculty shall be made in accordance with the procedures set forth in 1.3.2 below and in ABOR policy 6-201D as set forth in the ABOR policy manual.
4. Renewal appointments of faculty shall be made in accordance with the procedures set forth in this document (section 1.4, Faculty Evaluation) and using the written Notice of Appointment referred to in 5 below.
5. Appointment of a faculty member at NAU (whether initial or renewal) shall be made using a written "Notice of Appointment," which shall include at least the following:
a. A statement which reads: “This Notice of Appointment constitutes the employment contract of the faculty member named herein when accepted in writing by the faculty member;”
b. The name of the faculty member;
c. The beginning date of employment;
d. The type of faculty appointment (e.g. associate professor);
e. A statement defining the status of the appointment as full-time or less than full-time with tenure, tenure eligible, or non-tenure eligible. Non-tenure eligible appointments shall also state: "time served under this appointment does not accrue time toward sabbatical or tenure unless approved in writing by the Provost."
f. In the case of a tenure-eligible appointment, the Notice of Appointment will include a notification of any credit in years for prior professional activity toward tenure. These negotiated terms will not preclude the right of a faculty member to request a delay in tenure review, which shall be subject to approval by the President.
g. The salary to be paid will be included. Where appropriate for non-tenure eligible faculty, the Notice of Appointment will state that the appointment is dependent for continuation upon funding and that the appointment may be terminated prior to the end of the designated contract period if funding is no longer available.
h. The Notice of Appointment will also include a statement that employment is subject to ABOR Conditions of Faculty Service and Northern Arizona University Conditions of Faculty Service. Any other rules or policies including conditions of faculty service are found in the Faculty Handbook which is available at http://home.nau.edu/provost/. In addition, other policies that apply to different areas of service may be applicable. It is the individual’s responsibility to acquire additional materials of reference.
i. In addition to the Notice of Appointment, a statement of general responsibilities for the faculty member at the time of initial appointment is required. This statement will be modified in consultation with the faculty member within six weeks after commencement of the appointment period and will then constitute the first annual Statement of Expectations.
1. Screening Committee
The academic unit shall establish a screening committee in accordance with the following rules and procedures:
a. The faculty of the academic unit shall elect from among themselves at least 50% of the committee's membership.
b. The academic unit head (Dean or designee) and/or department Chair or Director shall appoint the remaining members of the committee with particular attention paid to providing representation that reflects ethnic and gender diversity. This requirement may mean that the Chair must go outside the department for committee members to ensure the inclusion of underrepresented groups.
c. If the faculty, the Chair or Director, and the Dean concur, the entire faculty of the academic unit may serve as the screening committee. Gender and minority representation referred to in (b) above is still required.
d. If the position to be filled will likely serve two or more departments or colleges, representatives from each academic unit involved shall serve on the committee.
e. The committee Chair will be appointed by the department Chair and/or academic unit head in consultation with the screening committee.
2. NAU Faculty Recruiting and Hiring Procedure
Hiring guidelines are outlined in Appendix C. The procedure offers a step-by-step description of the elements and forms required for the hiring of faculty. The required forms and documentation for recruiting and hiring are provided in the procedure. For all benefit-eligible positions, it is the responsibility of the academic unit head (Dean, Chair or Director) to consult with the screening committee Chair, and prepare materials for the hiring procedure.
The hiring procedure will be reviewed annually in consultation with faculty and is available in the offices of Deans, Chairs, Directors, Human Resources and Affirmative Action and on line at http://home.nau.edu/diversity/hiring.asp
3. Policy for Part-time, Non-tenure-eligible Positions
Faculty and administrators from each academic unit shall in accordance with the hiring procedure, establish in writing and publish their own set of policies and procedures for hiring part-time, non-tenure-eligible faculty. The policies and procedures will provide the opportunity for faculty participation in the hiring process and must be reviewed and approved by the Provost.
The Arizona Board of Regents recognizes the need for a faculty performance evaluation system that identifies, assesses, and enhances performance. It is essential that the evaluation process incorporate guidelines relevant to the achievement of the academic goals and objectives of teaching, advising, mentoring, research, and professional service while recognizing the unique nature and diversity of the units. To this end, it is necessary that guidelines be established and evaluations conducted in a manner that is flexible enough to serve the particular mission, objectives, and needs of the respective units.
Faculty performance evaluations will take several forms. For tenured faculty these include annual review and promotion review. For tenure eligible faculty these include annual review, probationary (retention) review, promotion review, and tenure review. For non-tenure eligible faculty these can include annual review, reappointment review, and promotion review.
Faculty with full-time administrative responsibilities, such as Deans or those with full-time special assignments, will be evaluated according to criteria established by the Provost or President as appropriate.
Part-time faculty will be evaluated according to the procedures established within the departments.
Academic units will establish criteria for evaluation and measures of quality and will make these criteria available to the faculty member. These criteria must be approved in writing by the Dean and the Provost before implementation.
Typically, academic units will have different criteria and levels of performance expected for annual performance evaluations (e.g., unsatisfactory, satisfactory, meritorious, highly meritorious) than for retention, tenure, and promotion. Annual evaluations do not cumulate into tenure and/or promotion decisions. For probationary (tenure eligible) faculty, the annual evaluation should not be confused with the probationary (retention) review. While these may occur simultaneously and be based upon overlapping material, the probationary (retention) review incorporates the unit’s estimate of the faculty member’s future promise and contributions to the unit and the discipline based on the performance and accomplishments to date. Annual performance evaluations are retrospective of a single year, and summative in nature. Tenure and promotion reviews incorporate an evaluation of the quality of contributions of the faculty member to date and promise of continued excellence.
Periods for review and evaluation shall be in accordance with the Personnel Action Calendar, which shall be prepared annually by the Provost and furnished through the Deans to all academic units conducting evaluations. Published dates for review of tenured, tenure eligible, and non-tenure eligible faculty will be set by the administration by the first day of the fall semester. This calendar will specify the due dates for faculty submission, committee consideration and recommendations, administrators’ consideration and recommendations, and actions by the Provost and President. The Personnel Action Calendar can be accessed at http://home.nau.edu/provost/faculty_info.asp.
For the purposes of Probationary Review, “first” and “second” year for tenure eligible faculty shall be determined by years of service at NAU regardless of years of prior service agreed to at the time of hire.
Depending on the type of review, the personnel involved with faculty evaluation may include
1. The faculty member;
2. Chair;
3. Committees (Annual Review Committee, Faculty Status Committee, Promotion and Tenure Committee);
4. Dean;
5. Provost;
6. President.
Normally, all tenured, tenure eligible, and non-tenure eligible faculty, whether full or part-time appointees, must have a Statement of Expectations that will be used as the basis for performance evaluations. Exceptions to this policy include part-time faculty.
a. Creating a Statement of Expectations:
A Statement of Expectations should be constructed so as to utilize the education, skills and talents of the faculty member as they relate to the missions and needs of the department, academic unit, school, college and/or the university. The performance of the faculty member will be measured within the context of his/her Statement of Expectations.
By April 1 of each year, all
those holding faculty appointments at
Each Statement of Expectations is to be signed by the faculty member, the Chair (or Dean in non-departmentalized colleges), and the Chair of the Faculty Status Committee or Promotion and Tenure Committee (if these committees are brought into the negotiation in accordance with department policy) and a copy forwarded to the Dean. These signatures indicate common understanding and agreement to the expectations for the forthcoming contractual period. If the Statement of Expectations is not signed by the faculty member (and relevant committee Chair as appropriate) by the end of the academic year, indicating acceptance of the terms of employment for the coming contractual period, the Statement is still considered operative and will be the basis upon which the faculty member is evaluated during the annual review process.
b. Revising the Statement of Expectations
If, during the period covered by the Statement of Expectations, there are significant changes in the faculty member's responsibilities or the faculty member has experienced significant changes in individual circumstances, then the Statement of Expectations may be revised through a negotiation process involving the faculty member, the relevant administrator(s), and/or the Faculty Status Committee or the Promotion and Tenure Committee (in accordance with department policy).
The revised Statement of Expectations must show the signatures of all relevant parties to be considered the statement of record against which performance is evaluated unless the revised Statement of Expectations has become operative without the signature(s) as provided in paragraph “a” above.
c. Tenure Eligible and Tenured Faculty
Unless otherwise specified, the Statement of Expectations for tenure eligible and tenured faculty will set forth the workload assignment, including percentage of effort that is anticipated in each of the following areas for the contract period:
1. Student-related responsibilities (to include at least teaching, advising, mentoring, and student supervision);
2. Scholarship, research, and/or creative activity; and professional development; and
3. Service to the profession, the University (including administration/ college/school/department/area) and to the community (local, state, national, and international) as it relates to the mission and guidelines of the University and the profession.
d. Faculty Members Not Eligible for Tenure
A Statement of Expectations for faculty who are not eligible for tenure will be developed to reflect the specific responsibilities for which those faculty have been employed.
Part-time and temporary faculty will normally have duties enumerated at the time of hire.
e. Faculty Members Serving More than One Discipline or Academic Unit
Statements of Expectations for faculty members who serve more than one discipline or academic unit should clearly specify the allocation of each faculty member’s efforts that will be assigned to each of the academic units served. The Statement of Expectations specifies how the allocations will be reflected in the evaluation process in each of the evaluation areas listed in (c) above.
f. Workload Assignment
Individual departments or academic units will develop unit policies for determining workloads. These policies must be approved by the Dean and Provost.
Workload Assignments are negotiated on an annual basis and described in the Statement of Expectations.
Typically, there are three types of files related to personnel: the Professional Review File (PRF) which is used in the faculty evaluation processes, the Personnel File which contains the standard hiring and reappointment forms, and Supervisory Files which are used by administrators to hold notes and materials that are informal in nature and not included in the PRF. Only the PRF and any letters of reference for which the faculty member has waived access shall be considered in the evaluation processes.
The Chair has the responsibility to maintain Professional Review Files for all faculty members within the academic unit regardless of the nature of their appointments. Only the faculty member whose records are involved, appropriate administrators and staff, and evaluation committee members shall have access to the Professional Review File unless release to others is required as a matter of law or to represent the interests of the University, such as in an Appeal, Complaint, or Grievance procedure. The file shall include at least the following:
a. All Statements of Expectations and any subsequent amendments to these documents;
b. Each Annual Faculty Performance Report filed by the faculty member. The faculty member will retain all supporting material, documents, productions and/or creations evidencing activity and/or recognition in the areas referred to in the Statement of Expectations. These materials must be available for review upon request by any evaluating committee/administrator;
c. Results of formal student, peer, and administrator evaluations, including recommendations and/or decisions relating to the faculty member resulting from such evaluations;
d. All letters or documents written by faculty, students, committees, and/or administrators that will be considered in the evaluation process by a Faculty Status or other applicable committee. A copy of any such material shall be given to the faculty member at the time it is placed in the file;
e. Application materials for promotion and/or tenure, including vitae. The faculty member will retain all supporting material, documents, productions and/or creations evidencing activity and/or recognition in the areas referred to in the Statement of Expectations. These materials must be available for review upon request by any evaluating committee/administrator;
f. Material relevant to the evaluation or review of a faculty member, by a Faculty Status or other applicable committee, including materials relating to leaves of absences and sabbaticals;
g. Any other relevant materials the faculty member may wish to include in the file, such as letters of support or reference, records of outside funding, evidence of awards and professional recognition, and responses to any other material in the file.
Any materials, such as letters of reference, that are received into the file with an understanding that access has been waived shall remain confidential and in a separate file, not available for review by the faculty member. In addition, any materials required by law to be maintained as confidential shall remain confidential and separate from the Professional Review File.
No material other than the items listed in subsections a-g above shall be placed in the faculty member’s Professional Review File and nothing shall be placed in the PRF without the knowledge of the faculty member. The faculty member shall be provided with a copy of any material placed in the file by someone other than the faculty member. Materials received with an understanding of confidentiality agreed to by the faculty member remain in a separate file not available for review or challenge by that faculty member. A faculty member shall have the right to challenge, in writing, the accuracy of material included by others in the Professional Review File. Such a challenge or objection shall be addressed in writing to the Chair. If the faculty member wishes to Appeal the response of the Chair, he or she may do so in writing to the Dean if it was a Chair's response or to the Provost if the response was from the Dean. The Dean or Provost will provide the faculty member with a written response within ten (10) days.
By mutual agreement between the faculty member and the Chair, material previously placed in the Professional Review file may be removed and placed in the supervisor’s file.
Each faculty member shall file an Annual Faculty Performance Report with the immediate unit administrator on the appropriate working day as determined by the Personnel Action Calendar. The report shall specifically address the areas referred to in the Statement of Expectations and the workload assignment described therein for the evaluation period. A current curriculum vitae of the faculty member shall be attached to the report. The report shall contain reference to materials submitted as described in a-d below.
a. For the evaluation of teaching and student-related responsibilities, the faculty member will supply materials to document performance. As determined by the department/unit prior to evaluation, such materials may include a teaching portfolio consisting of syllabi, reading lists, handouts, samples of examinations and student papers; advising logs; colleagues’ peer-observation reports; and reports of participation in teaching-improvement workshops. Every annual review will include course evaluations by students and every faculty member is expected to be evaluated on every course, every semester.
b. For the evaluation of scholarship, research, and/or creative activity; and professional development, the faculty member will provide evidence appropriate to the discipline and the Statement of Expectations.
c. For the evaluation of service (including a faculty member’s administrative service duties), the faculty member will supply a list of his/her service activities (including service to the profession, department/ school/ college/ university, and to the community as these activities relate to the mission of the university) as defined in a faculty member’s Statement of Expectations and any other relevant materials selected by consensus within the unit.
d. A faculty member may provide additional materials related to the three areas listed above as part of his/her performance report.
Evaluations of faculty members must be based upon the documentation available in the Professional Review File, including material that the faculty member has provided to clarify any documents placed in the Professional Review File. In addition, letters of reference for which the faculty member has waived access shall be considered in the evaluation. Approved academic unit and college/school criteria will provide the basis for the judgment of faculty performance.
All faculty who have less than full-time administrative responsibilities will be evaluated annually by faculty peers and appropriate administrators. The Annual Review shall be conducted during the semester following the year being evaluated. For first-year faculty, the first year’s review will encompass only the first semester. The Annual Review shall focus upon: 1) the Statement of Expectations, and (2) the Annual Faculty Performance Report and shall be based on the criteria and standards set forth by the individual units, the University, and ABOR. These unit criteria must be approved in writing by the Dean and Provost before implementation and will be made available to the faculty member.
The Annual Faculty Performance Report is due each fall in accordance with the Personnel Action Calendar (http://home.nau.edu/provost/faculty_info.asp). The Annual Review will be conducted by the Chair and either an Annual Review Committee or a Faculty Status Committee as determined by the academic unit structure.
The Annual Review shall be based on performance in the three areas specified in the Statement of Expectations (teaching/advising; scholarship, research, and/or creative activity; service). All faculty members are expected to maintain levels of professional activity appropriate to their disciplines to ensure that they will remain current in their disciplines and capable of delivering present and future curricula.
a. Annual Review Procedures
1. The Chair is responsible for providing the faculty member with a list of essential materials to be submitted and dates for the Annual Review.
2. Performance shall be evaluated overall and in the three areas of (1) student-related responsibilities (including teaching, advising, and mentoring), (2) scholarship, research and/or creative activity; and professional development, and (3) service (including service to the department/school/college/university/profession, and to the community as these activities relate to the mission of the university).
3. Every faculty member shall be evaluated in each of the areas specified on a four point scale, with one (1) corresponding to an unsatisfactory rating, two (2) corresponding to a satisfactory rating, three (3) corresponding to a meritorious rating, and four (4) corresponding to a rating of highly meritorious. No faculty member can be rated unsatisfactory overall unless he or she is rated unsatisfactory in one or more areas. Whether a rating of unsatisfactory in one or more areas is a basis for an overall evaluation of unsatisfactory will depend upon the percentage of the faculty member’s efforts assigned to those area(s) in the Statement of Expectations and the application of the applicable academic unit criteria to the faculty member’s performance.
b. Steps in the Annual Review Process
1. Faculty submit the Annual Faculty Performance Report, curriculum vitae, and any supporting materials to the Chair by the date specified in the Personnel Action Calendar.
2. The Chair reviews materials for completeness and when determined to be complete, forwards the materials to the appropriate committee (ARC, FSC or P&T).
3. The committee shall review the materials and provide a written recommendation to the Chair and a copy of the recommendation to the faculty member.
4.
Upon receipt of the recommendation of the committee,
the faculty member shall have the option to:
a. Submit a written response to the Chair within seven (7) days of receipt of the written recommendation; or,
b. Make no response.
5.
The Chair uses the performance of each faculty member
as well as the recommendation of the review committee to complete the Annual
Review for each faculty member. A
written copy of this Review shall be provided to the faculty member and the Dean.
6.
If the faculty member is dissatisfied with the Chair’s
Annual Review, the faculty member may submit an appeal with appropriate
documentation to the next level of administration within seven (7) days of receipt
of the evaluation.
7.
If the faculty member is dissatisfied with the outcome
of that appeal, the faculty member may submit an appeal to the Provost within
seven (7) days of receipt of the outcome.
The decision of the Provost is final.
8.
If a tenured faculty member receives an overall
unsatisfactory performance rating, or in a single evaluation category for a
single year, the post tenure review process is initiated. See section 1.4.7 for
full description of the post tenure review process.
c. Merit Policy
The basis for merit raises, including those for first year faculty, shall be the Annual Review. The Dean will provide to the Provost the ratings of all faculty members.
The Provost shall approve the plan for distribution of merit raises with input from the Faculty Senate. Should merit funding not be available annually, evaluation for the subsequent merit increase will be based on the three immediately preceding years, or on the period since the previous merit distributions, whichever is shorter.
If the faculty member is
dissatisfied with the merit decision of the Dean, the faculty member may submit
an appeal with appropriate documentation to the Provost. The Provost will
review the appeal and supporting documentation. The decision of the Provost is
final.
A faculty member whose appointment is tenure eligible shall have no legal right of continued employment or expectation of retention beyond the current contract period. Retention will be based on the review and evaluation procedure described below and on the approved ABOR, NAU, and unit/college criteria. In addition, retention shall consider the needs of the university/college/school/department. For the purposes of Probationary Review, “first” and “second” year for tenure eligible faculty shall be determined by years of service at NAU regardless of years of prior service agreed to at the time of hire.
Retention Review Procedure:
Tenure eligible faculty members will be reviewed for retention every year. The purpose of the retention review is to assess the faculty member's progress toward earning tenure and the University’s need for the role and functions served by that individual. The review considers the faculty member's Annual Performance Reports and evaluation outcomes for the year(s) served as well as all other materials from the Professional Review File. The criteria of ABOR and the NAU Conditions of Faculty Service as well as approved unit/college criteria will be used in the evaluation of faculty for retention.
The procedure for review and evaluation shall be as follows:
a. A review and evaluation of the faculty member shall take place in accordance with the Personnel Action Calendar (http://home.nau.edu/provost/faculty_info.asp). Each of the following committees and administrators will be involved in the review process.
1. Department Faculty Status Committee (FSC) (in non-departmentalized colleges this is the college or school Promotion and Tenure Committee (P&T);
2. Chair (no review at this level in non-departmentalized colleges);
3. Dean of the college;
4. Provost, who makes a recommendation to the President;
5. President.
b. At each review level, the Professional Review File shall be evaluated in accordance with approved criteria. At each level of review, the committee/administrator shall make written recommendations to the next level, providing a copy of such recommendations to the faculty member. Upon receipt of each recommendation made, the faculty member shall have the following options:
1. Within seven (7) days of receipt of the written recommendation, submit to the next level of review a written intent to respond, copied to the recommending committee/administrator. The final written response shall be completed within twelve (12) days of receipt of the initial written recommendation, and shall become a part of the Professional Review File to be reviewed by subsequent reviewing levels.
2. Make no response.
c. At each level of review, the committee/administrator shall assess the process followed to date to ensure that it is in accordance with these Conditions of Faculty Service. Upon finding, in the opinion of the reviewing committee/administrator, that the procedure has been followed satisfactorily, the committee/administrator may then proceed with the review and evaluation. If at any level a reviewing committee/administrator believes that appropriate procedure has not been followed, the committee or administrator shall return materials to the previous reviewing level with written instructions for a re-review.
d. For each tenure eligible faculty member, at each level of review the recommending committee/administrator must make available to the next level all materials in the faculty member's Professional Review File. Because a file may contain a large volume of material, the recommending committee/administrator may forward a subset of materials to the next level. This subset must be approved by the faculty member. The remaining contents of the file are available upon request. At a minimum, the faculty member’s current curriculum vita, all Annual Faculty Performance Reports, and all annual faculty evaluation results shall be forwarded, as well as any materials the faculty member designates.
e. Each level of review shall specifically state either “Recommended for Retention” or “Not Recommended for Retention.”
“Recommended for Retention” does not imply total satisfaction with progress towards requirements for tenure or with meeting all expectations of the faculty member. If there are suggestions for improvement in areas subject to evaluation, the suggestions must accompany the decision for retention and should be addressed in subsequent Statements of Expectations.
“Not Recommended for Retention” need not be construed as due to failure or poor performance by the faculty member, but may be based on other considerations as set forth in ABOR Policy 6-201-I.4b.
f. The decision of the President shall be final as to retention or non-retention. A tenure eligible faculty member who receives an adverse decision from the President is entitled upon request to a written summary of the reasons for the final decision.
g. A tenure eligible faculty member has no expectation of continued employment and shall not be entitled to a hearing following or prior to a decision of non-retention except as provided for in ABOR Policy 6-201M.1, except in cases involving alleged discriminatory or unconstitutional action, or violations of due process or academic freedom.
h. First year tenure eligible faculty members shall be notified of non-retention by March 1 of the first academic-year of service. Second year tenure eligible faculty members will be notified of non-retention no later than December 15 of the second academic- year of service. Third through fifth year tenure eligible faculty who will not be retained will receive a terminal contract for the following academic year.
Achievement
of a faculty rank at NAU shall be determined by evaluation and recommendation
using written ABOR and NAU criteria, and college/academic unit criteria which
must be approved by the Dean and Provost before implementation. Academic unit criteria may exceed ABOR (6-201
In making promotion decisions, the entire record of the faculty member, including accomplishments at other institutions and other professional activity, shall be considered.
Procedure for Review
and Evaluation for Promotion
The procedure for review and evaluation of faculty for promotion shall be:
a. During the fall semester, in accordance with the Personnel Action Calendar (http://home.nau.edu/provost/faculty_info.asp), applications for promotion must be filed in the office of the Chair;
b. A review and evaluation of the faculty member shall take place by each of the following committees/administrators;
1. Department Faculty Status Committee (FSC) (in non-departmentalized colleges this is the college Promotion and Tenure Committee);
2. Chair (no review at this level in non-departmentalized colleges);
3. Promotion and Tenure Review Committee;
4. Dean of the college;
5. Provost, who makes a recommendation to the President;
6. President.
A faculty member being considered for promotion who at such time is acting in an administrative capacity shall not participate as an administrator in the review process. The level of review at which the administrator would normally be involved shall be eliminated for review of this administrator for promotion.
c. At each review level, the Professional Review File shall be evaluated in accordance with approved criteria. In addition, the materials such as letters of recommendation received to which the faculty member has agreed to waive access shall be made available. At each level of review, the committee/administrator shall make written recommendations to the next level, providing a copy of such recommendations to the faculty member. Upon receipt of each recommendation made, the faculty member shall have the following options:
1. Within seven (7) days of receipt of the written recommendation, submit to the next level of review a written intent to respond, copied to the recommending committee/administrator. The final written response shall be completed within twelve (12) days of receipt of the initial written recommendation, and shall become a part of the Professional Review File to be reviewed by subsequent reviewing levels.
2. Withdraw his/her name from consideration for promotion
3. Make no response.
d. At each level of review, the committee/administrator shall assess the process followed to date to ensure that it is in accordance with these Conditions of Faculty Service. Upon finding, in the opinion of the reviewing committee/administrator, that the procedure has been followed satisfactorily, the committee/administrator may then proceed with the review and evaluation. If at any level a reviewing committee/administrator believes that appropriate procedure has not been followed, the committee or administrator shall return materials to the previous reviewing level with written instructions for a re-review.
e. For each faculty member, at each level of review the recommending committee/administrator must make available to the next level all materials in the faculty member's Professional Review File as well as the confidential file containing letters of recommendation to which the faculty member has waived access. Because a Professional Review File may contain a large volume of material, the recommending committee/ administrator may forward a subset of materials to the next level. This subset must be approved by the faculty member. The remaining contents of the file are available upon request. At a minimum, the faculty member’s current curriculum vitae, all Annual Faculty Performance Reports, and all annual faculty evaluation results shall be forwarded, as well as any materials the faculty member designates.
f. The recommendation made at each level of review shall specifically state either “Recommended for Promotion” or “Not Recommended for Promotion.”
g. A faculty member who receives an adverse decision from the President is entitled, upon request, to a written summary of the reasons for the final decision.
h. A faculty member must await the President's decision before initiating a formal appeal of a promotion decision. Within fourteen (14) days of receipt by the faculty member of the President's decision, the faculty member may submit a written appeal to the President stating specific reasons for the Appeal and providing any supplemental material relevant to the Appeal.
Upon receipt of the faculty member's written appeal, the President shall follow these guidelines:
1. Review all materials submitted for the initial decision and materials submitted with the appeal;
2. Meet with the faculty member upon request to clarify all reasons for the appeal.
3. Issue a final decision
Note: If the appeals process fails to reverse the decision against promotion, the faculty member has no further recourse, except as provided for in ABOR Policy 6-201.M.1, that is, except in cases involving alleged discriminatory or unconstitutional action, or violations of due process or academic freedom.
To be eligible for tenure the faculty member must meet the criteria for associate professor and, in addition, must show promise of continued productivity in all areas. The potential for long-term productivity of the faculty member to the university must be considered in making the tenure decision. Tenure is typically offered only to those faculty serving full-time in a tenure eligible position.
Normally, tenure applications and decisions are made in the sixth year of full-time service at NAU including approved prior service credit. The maximum probationary time permitted in a tenure eligible appointment shall be no longer than six (6) years in full-time service as a tenure eligible faculty member. A faculty member may withdraw his/her application at any time prior to a response from the President. A faculty member may only be reviewed for tenure once at the Presidential level. Unless otherwise negotiated, when a faculty member's initial appointment is for the spring semester, the faculty member’s probationary period will commence with the following fall semester.
Upon request, the President has the discretion to extend this probationary period for the faculty member for good cause following review and recommendation by the appropriate academic administrators. The President’s decision shall be final. Good cause might include serious illness, disability, exceptional family care responsibilities, and less than full-time service when the cause is shown to interfere with a faculty member's efforts to perform duties necessary to meet the criteria for tenure. Any extension of the probationary period shall be confirmed in writing and placed in the Professional Review File of the faculty member.
If a faculty member takes a leave of absence during the probationary period, the Provost and the faculty member must reach agreement prior to the time of leave as to the effect of such leave on the probationary period. A leave of absence will in some cases justify an extension of the probationary period if approved in writing by the Provost prior to the start of the leave.
Procedure for Review
and Evaluation for Tenure
The procedure for review and evaluation of faculty for tenure shall be the same as the policy set forth above in Procedure for Review and Evaluation for Promotion (1.4.6.1c). A faculty member may only be reviewed for tenure once at the Presidential level.
If tenure is awarded, it begins with the Notice of Appointment for the next period of employment. If tenure is not awarded, the faculty member is entitled to a final year of employment and the next Notice of Appointment will reflect that it is the faculty member's final year of employment at NAU, unless the faculty member is in the first or second year at NAU. In that case, the year of review is the final year. The faculty member shall be entitled upon request to a statement of reason in writing for the denial of tenure (ABOR Policy 6-201.I.1.)
Note: Prior to an application for tenure, a faculty member can request to be removed from a tenure eligible to a non-tenure eligible appointment status. This request will be evaluated according to procedures established by the academic unit and approved by the Provost. If such an agreement occurs, the faculty member forfeits all time toward tenure.
All full-time faculty who have less than full-time administrative responsibilities will be evaluated annually by faculty peers and appropriate administrators. The Annual Review shall be conducted during the semester following the year being evaluated. For first-year faculty the first review will encompass only the first semester. The Annual Review shall focus upon: (1) the Statement of Expectations, and (2) the Annual Faculty Performance Report and shall be based on the criteria and standards set forth by the individual units, the University, and ABOR for non-tenure eligible faculty. These unit criteria must be approved in writing by the Dean and Provost before implementation and will be made available to the faculty member.
The Annual Faculty Performance Report is due each fall in accordance with the Personnel Action Calendar (http://home.nau.edu/provost/faculty_info.asp.) The Annual Review will be conducted by the Chair and either an Annual Review Committee or a Faculty Status Committee as determined by the academic unit structure.
The overall evaluation shall be based on performance in the areas specified in the Statement of Expectations as measured against the approved unit criteria.
Annual Review
Procedures
a. The Chair is responsible for providing the faculty member with a list of essential materials to be submitted and dates for the Annual Review.
b. Performance shall be evaluated overall and in the areas of designated responsibility. These areas would include one or more of the following: (1) student-related responsibilities (including teaching, advising, and mentoring), (2) scholarship, research, and/or creative activity; and professional development, and (3) service (including service to the profession, department/school/college/university and to the community as these activities relate to the mission of the university).
c. Every faculty member shall be evaluated in each of the areas specified on a four point scale, with one (1) corresponding to an unsatisfactory rating, two (2) corresponding to a satisfactory rating, three (3) corresponding to a meritorious rating, and four (4) corresponding to a rating of highly meritorious. No faculty member can be rated unsatisfactory overall unless he or she is rated unsatisfactory in one or more areas. Whether a rating of unsatisfactory in one or more areas is a basis for an overall evaluation of unsatisfactory will depend upon the percentage of the faculty member’s efforts assigned to those area(s) in the Statement of Expectations and the application of the applicable academic unit criteria to the faculty member’s performance.
Steps in the Annual Review Process
a.
Faculty submit the Annual Faculty Performance Report,
curriculum vita, and any supporting materials to the Chair by the date
specified in the Personnel Action
Calendar.
b. The
Chair reviews materials for completeness and when determined to be complete,
forwards the materials to the appropriate committee (ARC, FSC or P&T.)
c.
The committee shall review the materials and provide a
written recommendation to the Chair and a copy of the recommendation to the
faculty member.
d. Upon
receipt of the recommendation of the committee, the faculty member shall have
the option to:
1. Submit a written response to the Chair within seven (7) days of receipt of the written recommendation; or,
2. Make no response.
e.
The Chair uses the performance of each faculty member
to complete the Annual Review for each faculty member. A written copy of this review shall be
provided to the faculty member and the Dean.
f.
If the faculty member is dissatisfied with the Chair’s
review, the faculty member may submit an appeal with appropriate documentation
to the next level of administration within seven (7) days of receipt of the
evaluation.
g.
If the faculty member is dissatisfied with the outcome
of that appeal, the faculty member may submit an appeal to the Provost within
seven (7) days of receipt of the outcome.
The decision of the Provost is final.
Merit Policy
The basis for merit raises, including those for first year faculty, shall be the Annual Review. The Dean will provide to the Provost a list of faculty members who are to receive merit raises.
The Provost shall approve the plan for distribution of merit raises with input from the Faculty Senate. Should merit funding not be available annually, evaluation for the subsequent merit increase will be based on the three immediately preceding years, or on the period since the previous merit distributions, whichever is shorter.
If the faculty member is dissatisfied with the merit decision of the Dean, the faculty member may submit an appeal with appropriate documentation to the Provost. The Provost will review the appeal and supporting documentation. The decision of the Provost is final.
A faculty member whose appointment is non-tenure eligible shall have no legal right of continued employment or expectation of renewal in that appointment beyond the current contract period. Renewal of appointment will be based on the review and evaluation process described below in consideration of approved ABOR, NAU, and unit/college criteria for non-tenure eligible faculty. In addition, renewals shall consider the needs of the university/college/school/ department and funding availability.
Renewal of Appointment Procedure