Chapter 3: Faculty Personnel Policies and Procedures


Introduction

Section 3.1 Academic Freedom and Responsibility

3.1.1 AAUP Statement of Principles on Academic Freedom and Tenure ‡

Academic Freedom

Academic Tenure

3.1.2 Faculty Responsibility ‡

Section 3.2 Affirmative Action and Equal Employment Opportunity

3.2.1 Policies Pertaining to the Workplace

3.2.2 Intimate Relations Policy

Section 3.3 Faculty Appointments

3.3.1 Overview of Faculty Personnel Policies ‡
3.3.2 Kinds of Appointment ‡
3.3.3 Initial Appointment ‡
         Prior Service
3.3.4 Academic Ranks and Promotion ‡
3.3.5 Continuation of Appointment ‡     
3.3.6 Policy on Administrator Return to Faculty Position

Section 3.4 Endowed and Distinguished Professorships

3.4.1 Guidelines for the Appointment of Endowed Chairs and Professorships
3.4.2 Distinguished University Professor ‡

Section 3.5 Nontenure-Track Faculty

3.5.1 Guidelines for Establishing and Filling Positions in the Lecturer Title Series
3.5.2 Guidelines for Establishing and Filling Positions in the Clinician Title Series
3.5.3 Guidelines for Establishing and Filling Positions in the Research Title Series
3.5.4 Provost’s Guidelines for Unit Specific Clinical Title Series Promotion Criteria
3.5.5 Provost's Guidelines for Unit Specific Research Title Series Promotion Criteria
3.5.6 Provost’s Guidelines for Unit Specific Lecturer Title Series Promotion Criteria

Section 3.6 Promotion and Tenure of Tenure-Track Faculty

3.6.1 Promotion and Tenure Considerations ‡
    A. Teaching
    B. Research/Creative Work
    C. Outreach
    D. Service
3.6.2 Tenure Criteria and Considerations ‡
3.6.3 Effective Implementation of Provost Approved Department Promotion and Tenure Guidelines
3.6.4 Eligibility for Promotion and Tenure ‡

de Facto Tenure

3.6.5 Policy and Procedure for Promotion and Tenure ‡
   A. Initiation of the Process
   B. Participating Faculty
   C. Information on the Candidate
       (1) General Instructions
       (2) Information to Be Supplied by the Candidate
             Scholarly Contributions by the Candidate
       (3) Information to Be supplied by the Department Head/Chair
       (4) Guidelines for External Evaluator Selection for Faculty Evaluation (Template)
       (5) External Evaluation Sample Solicitation Letter (Template)
    D. Consideration of the Candidate
    E. The Department’s and Dean’s Recommendation
    F. Submission of the Candidate’s Dossier
    G. Schedule
    H. University Level Review and Recommendation and Notification of the Candidate

3.6.6 Appeal of Promotion and Tenure Decisions ‡

Section 3.7 Evaluations and Reviews

3.7.1 Performance Evaluation
3.7.2 Annual Tenure Review Guidelines
3.7.3 Post-Tenure Review Guidelines
3.7.4 Provost’s Administrative Review Guidelines

Section 3.8 Faculty Development

3.8.1 Professional Improvement Leave ‡

A. With Pay
B. Without Pay
C. Professional Improvement Leave for Members of the ACES

3.8.2 External Residential Fellowships

Section 3.9 Termination of Faculty Appointments

3.9.1 Noncontinuation of Appointment ‡
3.9.2 Dismissal ‡
3.9.3 Termination because of Financial Exigency ‡
3.9.4 Termination without Financial Exigency ‡

Section 3.10 Retirement

3.10.1 Retired Faculty ‡
3.10.2 Retirement Promotion Policy and Procedures ‡
3.10.3 Emeritus Status Policy and Procedures ‡

‡ Policies that require Board of Trustees Approval.

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Introduction ‡

The Board of Trustees of Auburn University is charged with the responsibility of the management and control of the University under the provisions of Amendment 161 (formerly Section 266) of the 1901 Constitution of the State of Alabama. These responsibilities are further elaborated in Sections 16-48-1 et seq., Code of Alabama, 1975.

The Board cannot waive these duties and responsibilities to the people of Alabama for the continuation, growth, and services of the University as a land-grant university with clearly defined obligations for the advancement of knowledge through teaching, research, and outreach. Nor can the Board take lightly its responsibilities for financial control and effective operation of the University.
The Board recognizes as fact that the educational purposes of the University can be achieved only in a climate in which its faculty may enjoy the academic freedom that has traditionally prevailed in American universities and colleges. The Board supports the scholarly goals of the institution, which include dedication to the advancement of knowledge through the search for truth and the freedom to communicate information so gained.

The Board subscribes to the principles stated in the 1940 Statement of Principles on Academic Freedom and Tenure of the American Association of University Professors that has been endorsed by the Association of American Colleges, the American Association for Higher Education, and the American Council of Learned Societies, and that is quoted below.

The Board also subscribes to the principles incorporated in the American Association of University Professors’ 1982 Recommended Institutional Regulations on Academic Freedom and Tenure. These principles shall apply to all faculty members who hold academic appointments as described in this chapter of the Faculty Handbook as well as prospective faculty to whom Auburn has extended an offer of employment.

The Board holds strongly that correlative with the rights of academic tenure and academic freedom is the responsibility of all faculty members for the fulfillment of their duties as assigned by the University so that the University can fulfill its obligation to its students and to society. The specific details set forth in this chapter of the Faculty Handbook, as periodically revised, constitute the policies and procedures applicable to appointment, promotion, tenure, noncontinuance, dismissal, and retirement at Auburn University.

In order to assure that the faculty members nominated for promotion and tenure receive full consideration by their peers as well as by appropriate administrative personnel, the Board directs that all faculty being considered for promotion and/or tenure be reviewed at the following levels: (1) eligible department faculty members, (2) the department head/chair, (3) the college or school dean in conjunction with an advisory college- or school-level committee as may be established by the dean, (4) the Promotion and Tenure Committee, and (5) the University president.

The Board recognizes that universities may experience periods of financial stress that threaten the continuation of personnel and/or programs. Should such a situation of financial stress arise, the Board supports the principles that faculty members be apprised of the extent and seriousness of the financial problem with appropriate documentation; and that faculty members as well as administrators should be involved in formulating any plans that would result in discontinuation of either programs or personnel.

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Section 3.1
Academic Freedom and Responsibility

3.1.1 AAUP Statement of Principles on Academic Freedom and Tenure ‡

This statement is quoted from the AAUP Policy Documents and Reports, 2006, 3-4:

The purpose of this statement is to promote public understanding and support of academic freedom and tenure and agreement upon procedures to assure them in colleges and universities. Institutions of higher education are conducted for the common good and not to further the interest of either the individual teacher [including “the investigator who is attached to an academic institution without teaching duties”] or the institution as a whole. The common good depends upon the free search for truth and its free exposition.

Academic freedom is essential to these purposes and applies to both teaching and research. Freedom in research is fundamental to the advancement of truth. Academic freedom in its teaching aspect is fundamental for the protection of the rights of the teacher in teaching and of the student to freedom in learning. It carries duties correlative with rights.

Tenure is a means to certain ends; specifically: 1) freedom of teaching and research and of extramural activities, and 2) a sufficient degree of economic security to make the profession attractive to men and women of ability. Freedom and economic security, hence, tenure, are indispensable to the success of an institution in fulfilling its obligations to its students and to society.

Academic Freedom

  1. Teachers are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

  2. Teachers are entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to their subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.

  3. College and university teachers are citizens, members of a learned profession, and officers of an educational institution. When they speak or write on matters of public interest as well as matters related to professional duties and the functioning of the University, they should be free from institutional censorship or discipline. Academic responsibility implies the faithful performance of professional duties and obligations, the recognition of the demands of the scholarly enterprise, and the candor to make it clear that when one is speaking or writing on matters of public interest, one is not speaking for the institution.

Academic Tenure

After the expiration of a probationary period, teachers or investigators should have permanent or continuous tenure, and their service should be terminated only for adequate cause, except in the case of retirement for age, or under extraordinary circumstances because of financial exigencies.

In the interpretation of this principle it is understood that the following represents acceptable academic practice:

  1. The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and teacher before the appointment is consummated.

  2. Beginning with appointment to the rank of full-time instructor or a higher rank, the probationary period should not exceed seven years, including within this period full-time service in all institutions of higher education; but subject to the proviso that when, after a term of probationary service of more than three years in one or more institutions, a teacher is called to another institution it may be agreed in writing that the new appointment is for a probationary period of not more than four years, even though thereby the person’s total probationary period in the academic profession is extended beyond the normal maximum of seven years. Notice should be given at least one year prior to the expiration of the probationary period if the teacher is not to be continued in service after the expiration of that period.

  3. During the probationary period a teacher should have the academic freedom that all other members of the faculty have.

  4. Termination for cause of a continuous appointment, or the dismissal for cause of a teacher prior to the expiration of a term appointment, should, if possible, be considered by both a faculty committee and the governing board of the institution. In all cases where the facts are in dispute, the accused teacher should be informed before the hearing in writing of the charges and should have the opportunity to be heard in his or her own defense by all bodies that pass judgment upon the case. The teacher should be permitted to be accompanied by an advisor of his or her own choosing who may act as counsel. There should be a full stenographic record of the hearing available to the parties concerned. In the hearing of charges of incompetence the testimony should include that of teachers and other scholars, either from the teacher’s own or from other institutions. Teachers on continuous appointment who are dismissed for reasons not involving moral turpitude should receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution.

  5. Termination of a continuous appointment because of financial exigency should be demonstrably bona fide.

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3.1.2 Faculty Responsibility ‡

Faculty members should recognize that with the protections afforded by academic freedom and by tenure they enjoy certain privileges not afforded to all members of society. Such protections carry responsibilities. It is incumbent on a faculty member to observe the policies and practices that are described in this handbook that pertain to the well-being of the University, the students, and society. To this end, faculty members must recognize their obligation to ensure that the University remains a place characterized by the free exchange of ideas, the pursuit of knowledge, and tolerance for the opinions of others.

It is also incumbent upon all faculty members to practice proper employment ethics. When evaluating the possibility of leaving the University relatively late in the academic year, a faculty member should consider in a professional manner any unfavorable consequences that might accrue to Auburn University, including commitments to the satisfactory completion or resolution of ongoing instructional, research, outreach, and service projects that would be adversely affected by the faculty member’s departure on short notice.

Section 3.2
Affirmative Action and Equal Employment Opportunity

3.2.1 Policies Pertaining to the Workplace

As an equal opportunity and affirmative action employer, the University does not discriminate against or permit harassment of employees on the basis of race, color, sex, religion, national origin, age, disability, veteran status, sexual orientation, or genetic information. The Office of Affirmative Action/Equal Employment Opportunity has overall responsibility for the management of the University’s equal opportunity and nondiscrimination policies. The University also has the policy of providing a drug-free workplace environment. It is important that all University employees familiarize themselves with Auburn’s complete official policies on these issues, which can be found at:

The Americans with Disabilities Act (ADA) Accommodations Policy
https://sites.auburn.edu/admin/universitypolicies/Policies/ADAAccommodationsPolicy.pdf

Affirmative Action Policy on the Employment of Individuals with Disabilities
https://sites.auburn.edu/admin/universitypolicies/Policies/AffirmativeActionPolicyonthe
EmploymentofIndividualswithDisabilities.pdf

Affirmative Action Policy on Employment of Veterans
https://sites.auburn.edu/admin/universitypolicies/Policies/AffirmativeActionPolicyonthe
EmploymentofVeterans.pdf

Equal Employment Opportunity Policy
https://sites.auburn.edu/admin/universitypolicies/Policies/EqualEmploymentOpportunityPolicy.pdf

Policy Regarding Prohibited Harassment of Employees https://sites.auburn.edu/admin/universitypolicies/Policies/PolicyRegardingProhibited
HarassmentofEmployees.pdf

Policy Regarding Prohibited Harassment of Students https://sites.auburn.edu/admin/universitypolicies/Policies/PolicyRegardingtheProhibited
HarassmentofStudents.pdf

Drug-Free Campus and Workplace Policy
https://sites.auburn.edu/admin/universitypolicies/Policies/ADrugFreeCampusandWorkPlacePolicy.pdf

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3.2.2 Intimate Relations Policy

Auburn University prohibits all faculty, administrators, and supervisors, including graduate teaching assistants, from pursuing or engaging in romantic or sexual relationships with students, both graduate and undergraduate, whom they are currently supervising or teaching. Violations should be promptly reported to the University’s Affirmative Action Office. Violations of this policy will be addressed through appropriate disciplinary action.

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Section 3.3
Faculty Appointments

3.3.1 Overview of Faculty Personnel Policies ‡

Auburn University recognizes that its success as an educational institution depends largely upon its ability to attract and retain well-educated, talented, and dedicated faculty members. Thus, within available resources, it rewards individuals who demonstrate high-quality performance in its primary activities––teaching, research/creative work, and outreach––by granting promotion, tenure, and salary increases. This section of the Faculty Handbook provides definitions, criteria, and procedures for initial faculty appointments and for the granting of academic promotions and tenure. Appointments to the faculty, promotions in rank, and tenure decisions are made by the president in accord with the policies established by the Board of Trustees.

The faculty consists of academically qualified individuals whose obligations include (1) the teaching of students, (2) the discovery of new knowledge through research or other creative work, and (3) the dissemination or application of knowledge through outreach. In addition, all faculty have an obligation of service to the University. All faculty members who are eligible for academic rank and tenure shall have assignments that will provide the opportunity to participate in appropriate combinations of these activities as determined in the faculty member’s department.

Individuals involved exclusively in roles supportive of the institution’s primary functions––such as executives, administrators, managers, technicians, and clerical staff––do not as such have faculty status. However, academic administrators who have faculty status are eligible for academic rank, promotions, and tenure, subject to the provisions and procedures described here. Members of the same family may be appointed to the faculty, but one may not exercise direct administrative supervision over the other.

Eligibility for academic rank and tenure is accorded to faculty members assigned teaching, research, and outreach roles within traditional departments. Promotion and tenure are based on a faculty member’s meritorious performance, over a sustained period, of the duties and functions to which he or she has been assigned along with significant contributions to other recognized activities of the University. Standards for promotion and tenure are based on the weights of each performance area as described in the letter of offer and subsequent annual evaluations. In some colleges or schools the percentages of time and effort to be devoted to each assigned area are determined by funding sources; in others the percentages are set after discussion by the department head/chair and the faculty member and may or may not coincide with the source of the faculty member’s salary. The University recognizes that, in practice, these areas may overlap. Percentages for faculty members on nine-month appointments shall be based on the nine months of appointment. These percentages are taken into account as the faculty member is evaluated for promotion and tenure.

Whatever the percentages that define an appointment, a candidate for promotion and tenure must be engaged in an appropriate combination of (1) teaching, (2) research/creative work, and (3) outreach. In addition, all faculty have an obligation for University service. Provost-approved departmental guidelines will be used as the evaluation method for all performance areas for candidates covered by the guidelines. For candidates without approved departmental guidelines, the outline of material to be submitted for consideration for promotion and tenure (printed in this chapter) indicates that the University is prepared to interpret teaching, outreach, and research/creative work with a considerable degree of flexibility in order to accommodate the wide variety of work in which faculty members engage. Teaching is understood to include a variety of ways in which information and skills are passed on, such as classroom teaching, direction of advanced students, in service training, or off-campus instruction. Research/creative work is understood to include a variety of original scholarly activities such as basic research, applied research, interpretive or case studies, and artistic performances. Outreach is understood to be instruction, research, and other activities that are applied to the direct benefit of external audiences and that is directly relevant to the mission of the units in which the contributing faculty members work, including such activities as off-campus instruction and applied research that overlap with traditional instruction and research. In this sense outreach is understood as a function rather than as an organization; it includes activities of faculty associated with the Alabama Cooperative Extension System as well as those whose outreach work is sponsored by Auburn institutes or external sources and those who conduct outreach in support of their departmental missions. In addition, a candidate for promotion and tenure must recognize his or her obligation to provide the University with some kind of service, although expectations in the area of departmental, college or school, and/or University service for an assistant professor are typically modest.

The normal progression to tenured status is from a probationary appointment. A faculty member on joint appointment involving two or more departments is eligible for tenure in the department claiming the greatest share of the appointment or, in the case of an even share, in the department preferred by the faculty member. A faculty member on part-time appointment is not eligible for tenure. A member of the faculty or an academic administrator who also has faculty status can earn and retain tenure only in his or her faculty appointment.

This chapter also includes policies and procedures specific to nontenure-track faculty positions.
Through the policies and procedures described below, the University seeks to achieve a well-balanced educational program that is consonant with its stated mission and with excellence in all of its parts.

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3.3.2 Kinds of Appointment ‡

Members of the faculty of Auburn University are appointed to temporary, probationary, tenured, or continuing positions. Joint appointments, where half the appointment is a faculty appointment, fall under one of these classifications.

The professorial faculty includes the ranks of instructor, assistant professor, associate professor, professor, and their equivalents of librarian and archivist I, II, III, and IV. The equivalent ranks for librarians and archivists apply here and throughout this document. Except for the ranks of instructor, librarian I, and archivist I, these are tenure-track positions.

Other nontenure-track faculty includes such positions as visiting faculty, adjunct faculty, resident, intern, extension specialist, agent, program associate, clinical titles, research titles, and lecturer titles.
Academic administrators above the level of department head/chair hold temporary or continuing appointments and may also hold faculty rank. The department chair or head must hold faculty rank and should serve for a stated term but without prejudice to reelection or to appointment by procedures that involve appropriate faculty consultation.

A temporary appointment is granted to a faculty member whose service is required for a specific period of time (usually one academic year or less) identified on the appointment form and to all instructors and equivalent appointments. Except as noted below, temporary faculty member is not eligible for the insurance, medical benefits, annual leave, sick leave, and other fringe benefits available to other faculty members unless the appointment is a full-time appointment and the employment period is for at least a full year (nine or 12 months as appropriate to the appointment). However, a temporary faculty member working at least half time and retained for more than one year must be enrolled in the Teachers Retirement System. All part-time faculty members, regardless of rank, are temporary appointments. Adjunct appointments (whereby a regular faculty member serves in two departments) and affiliate appointments (whereby an individual external to the University provides specific service to the University) are also temporary appointments and are without pay. Academic ranks apply to these appointments.

Appointment to the rank of instructor should be based on ability or potential in research/creative work and teaching and/or outreach. The candidate should have a master’s degree or equivalent professional experience.

Appointments to the rank of instructor are temporary appointments. An individual holding the rank of instructor must demonstrate competence in his or her work assignments as a condition for reappointment. An instructor who has served on a full-time temporary appointment may be considered on the basis of highly meritorious performance and strong evidence of professional development for promotion to the rank of assistant professor.

Temporary and part-time faculty shall be provided the office space, material supplies, support services, and equipment needed to fulfill their assigned responsibilities. General departmental faculty meetings shall include the temporary and part-time faculty. Each department head/chair shall meet with temporary and part-time faculty as a group at least once a year to discuss their special concerns. Temporary and part-time faculty shall have appropriate time to prepare courses, though the specific time may vary depending on circumstances. In determining mutually agreed-upon academic responsibilities for temporary and part-time faculty, a three-credit-hour semester course should be considered equivalent to ten hours of other academic responsibilities. When funds are available for merit raises, temporary and part-time faculty should not be excluded from individual consideration for salary improvement.

Nontenure-track faculty who have been on full-time appointments and enrolled in the University’s health insurance program, but are forced into part-time appointments because of departmental policies, are eligible to continue their health insurance coverage in the University’s group plan. The following conditions apply: the nontenure-track faculty member (1) must have worked full-time for three years and carried the University’s health insurance during the most recent year of eligibility, and (2) must be on at least a 50 percent appointment and the appointment must be continuous.

A continuing appointment is assigned to a nontenure-track faculty member who is recommended for continuing appointment. Such an appointment is nontenurable; however, the employee is eligible for the standard benefit programs of the University.

A probationary appointment is granted to a faculty member who, because of scholarly or professional achievement, has demonstrated the potential to earn tenure. An individual holding the terminal degree from Auburn University normally is not eligible for permanent appointment and thus will not be placed on probationary appointment except in rare circumstances. An exception might occur if the individual has held faculty rank at another university or college, had a responsible position in industry or professional practice, is a qualified applicant in a field where there are national shortages, has an outstanding national reputation, or is certified in a discipline by a nationally recognized specialty board or college. Exceptions may also be allowed if such appointments would permit a department or unit to meet its affirmative action/equal opportunity obligations.

A tenured appointment is granted to a faculty member who has completed an appropriate probationary period and who, following recommendation and review in accordance with University policy and approval by the president, has been awarded tenure.

The president may also offer tenure to a faculty member or to an academic administrator holding faculty rank at the time of initial appointment provided that (1) the appointment is made at the rank of associate professor or professor, and (2) the tenure has been approved through the usual tenure review process. In the case of initial appointments involving tenure, the time of the tenure review may be altered.

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3.3.3 Initial Appointment ‡

Initial appointments are made as the result of departmental or unit searches. Departments and units have some leeway in establishing the search procedures most appropriate for their particular circumstances. The department or unit might act as a committee of the whole, or smaller screening committees might be used; a recommendation by a search committee might be transmitted to the department or unit as a whole for further consideration and transmittal to the department head/chair or unit head, or it might be transmitted directly to the department head/chair or unit head. Whatever the procedure, it should be established in advance of need by the department or unit as a whole. The department head/chair or unit head, in consultation with his or her faculty, should decide on the positions needed and the qualifications a successful candidate must have. Together they should develop a position description to be supplied to the candidates. The appointment of an internal candidate to fill a vacancy is a temporary solution and shall neither foreclose nor delay a national search to fill the originally vacated position. The internal candidate may subsequently compete in the national search.

The department head/chair or unit head and the search committee shall be guided by the Affirmative Action/Equal Opportunity Office in framing an advertisement for the position, in seeking permission to advertise, and in recommending an appointment. Guidelines from the Affirmative Action/Equal Opportunity Office help ensure compliance with federal law and help ensure an open and fair search.

When making recommendations for appointments at all faculty ranks except those designated as temporary, the department head/chair or unit head shall confer with all available members of the department holding professorial ranks or, if the unit does not include professorial faculty, with those faculty holding continuing appointments. He or she shall then transmit a written summary of the reactions of these faculty members along with appointment forms through the appropriate dean and/or director to the provost. Where the faculty members do not concur in an initial appointment, the head/chair may submit a recommendation for appointment with his or her justification and a report of nonconcurrence of the faculty. An appointment made without the support of the faculty may jeopardize the new hire, since the faculty will ultimately vote on promotion and tenure.

The doctorate is the terminal degree for most disciplines represented at Auburn University. Requests for exceptions must be presented to the provost with appropriate justification by the department head/chair, with faculty concurrence, and the dean. The appointment cannot be made without the approval in writing of the provost.

Each initial appointment must be confirmed by the appropriate department head/chair/unit head or dean in a written notice to the appointee after proper administrative approvals have been obtained. This notice should include determination of prior service at another institution to be credited toward the probationary period. This letter constitutes the faculty member’s written terms of the initial employment.

Prior Service: If a faculty member has had fewer than three years of full-time service in a faculty rank at one or more other institutions, he or she may request that up to two years be credited toward the probationary period for tenure. If a faculty member has had three or more years of full-time service in a faculty rank at one or more other institutions, he or she may request that up to three years be credited toward the probationary period for tenure. Such requests shall be made in writing at the time of initial appointment and shall be binding. They should be directed to the department head/chair, who will then make a recommendation to the dean and the provost for written approval.

All years of full-time temporary faculty appointment at Auburn regardless of rank shall normally count toward tenure eligibility. However, in specific cases in which an appointment to a new position entails significantly different responsibilities or a significantly different institutional setting, the interests of all parties may best be served through written agreement approved by the provost at the time of the new appointment to provide for a fuller current period of probation, so long as the probationary period does not exceed seven years from the time of the new appointment.

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 3.3.4 Academic Ranks and Promotion ‡

Academic rank is accorded to qualified individuals whose primary assignment is to any of the three major functions of the University: teaching, research/creative work, and outreach. The following general considerations apply to appointment or promotion to faculty ranks:

Assistant Professor: Assistant professor is the usual entry-level rank for a candidate who has completed the appropriate terminal degree (usually a doctorate) or has the equivalent in training, ability, and experience. While a terminal degree or the equivalent is required, an appointee is not required to have a minimum number of years in academic service to be eligible for the rank of assistant professor.

Associate Professor: Associate professor is a rank of distinction that is attained through successful performance of assigned duties. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent. Normally, a candidate must serve at least four complete years on full-time appointment at the assistant professor level before he or she may be nominated for promotion to associate professor. Prior faculty service at other colleges or universities or prior service in appropriate professional activities may qualify for consideration in meeting the requirement for years in rank for promotion. A candidate who is especially meritorious may be recommended for early promotion by the department head/chair with majority support of the faculty who hold rank superior to that of the candidate.

A candidate for associate professor should have demonstrated mastery of the subject matter of his or her field and the ability to apply it well in the primary area(s) to which he or she is assigned, whether in teaching, research/creative work, or outreach. Additionally, the candidate should have contributed, typically through significant scholarly or creative work, to his or her area of specialization; participated in professional life; and served on departmental, college or school, and/or University committees. Through his or her scholarly and professional activity, the candidate should demonstrate an emerging stature as a regional or national authority.

Professor: Professor is a rank requiring professional peer recognition of the individual as an authority in his or her field of specialization. A candidate must be recognized by associates as a capable teacher, scholar or artist, or outreach specialist. It is therefore expected that peers within and outside the University will attest to the candidate’s high professional standing. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent. Normally, a candidate must serve at least four complete years on full-time appointment at the associate professor level before he or she may be nominated for promotion to professor. Only in exceptional and well-documented cases in which a faculty member has met requirements for promotion to professor in a shorter time should he or she be recommended for early promotion by the department head/chair, with majority support of the faculty members who hold rank superior to that of the candidate.

A candidate for professor should have demonstrated significant involvement in the teaching, research/creative work, or outreach functions of the University. He or she should also have participated in professional life and have been actively involved in departmental, college or school, and University affairs. For this rank it is essential that the candidate should have demonstrated a marked degree of scholarship appropriate to his or her assignment through work, typically publication or creative endeavor, subjected to peer review. By means of such activity, a candidate for the University’s highest academic rank should have a respected national reputation.

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3.3.5 Continuation of Appointment ‡

It is the practice of the University for faculty appointments to be continued by mutual commitment and understanding rather than by formal annual contracts. The following principles outline the policy on continuation of appointment or reappointment of faculty members:

  1. A faculty member who has been awarded tenure is considered to have an ongoing contract.

  2. A faculty member who has a probationary appointment and who has not been given a notice of noncontinuation of appointment according to the schedule noted below is considered to have been reappointed.

  3. A faculty member who holds an appointment for a specified period of time does not have a commitment for continuation of appointment or reappointment beyond that period unless such commitment is set forth in writing.

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3.3.6 Policy on Administrator Return to Faculty Position

Terms and conditions that will govern the transition back to a faculty position upon completion of the administrative assignment

https://sites.auburn.edu/admin/universitypolicies/Policies/PolicyonAdministratorReturntoFacultyPosition.pdf

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Section 3.4
Endowed and Distinguished Professorships

  3.4.1 Guidelines for the Appointment of Endowed Chairs and Professorships

Standards and procedures for appointing faculty to endowed positions; internal nominations and external searches; expectations for faculty in endowed position, including performance criteria and performance review procedures

http://www.auburn.edu/academic/provost/policies/Guidelines_Appointment_of_Chairs_and
_Professorships.html

3.4.2 Distinguished University Professor ‡

The title Distinguished University Professor recognizes the University’s most outstanding faculty who have adhered to standards of continuous high performance. The number of these professorships will not exceed 1 percent of the eligible faculty at any one time and will not duplicate or compete with any other form of faculty recognition approved by the Board of Trustees. Appointments are for five years with the possibility for reappointment for successive five-year terms subject to review by the president, based upon normal standards of high performance. When available, a call for nominations with process guidelines will be issued by the president, in conjunction with the provost.

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Section 3.5
Nontenure-Track Faculty

3.5.1 Guidelines for Establishing and Filling Positions in the Lecturer Title Series

Executive Summary
Appointment and Promotion in the Lecturer Title Series
A. Definition
B. Establishment of a Position

Initial Appointment

C. Areas of Activity
D. Academic Ranks, Titles, and Criteria
E. Performance Evaluation
F. Promotion Criteria and Considerations for Lecturer Faculty
G. Eligibility for Promotion
H. Procedure for Promotion
I. Terms and Continuation of Appointment
J. Dismissal
K. Noncontinuation of Appointment
L. Conditions of Employment
M. University Membership
N. Change from Nontenure-Track to Tenure-Track Faculty
O. AAUP Guidelines

Executive Summary

The lecturer title series is a nontenure-track professional series for appointment of appropriately qualified individuals who contribute to the university’s academic mission by participation in activities that (1) predominantly involve instruction, and (2) are of contractually specified duration.

Criteria for appointment, performance review, and promotion in the lecturer title series are included herein. All lecturer title series positions are one academic year (nine month) contracts that may be renewed annually, but not to exceed the period of funding. All appointees in the lecturer title series will have annual, written employment contracts.

Appointees in the lecturer title series are considered to be educators and are under the supervision of the department head/chair or unit head. They are eligible for all the benefits except tenure, de facto tenure, and professional improvement leave. The department or unit must assure that space and facilities are available for conducting instructional work as appropriate.

To establish a position in the lecturer title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding; (2) prepare a job description and identify any space that is needed for the performance of the appropriate assignment; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of lecturers will follow normal university hiring procedures. Joint appointments require the approval of all deans involved.

Promotions in the lecturer title series will be specified for each department, and criteria must be approved by the Provost’s Office. Promotion decisions will be determined by the specific document, department head/chair, and the dean of the respective college or school. As the chief academic officer of Auburn University, the provost retains the right to review all promotions and act appropriately. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and be reported to the Provost’s Office accordingly.

Anything not delineated in this document should be decided at the college level in consultation with the provost.

Appointment and Promotion in the Lecturer Title Series

A. Definition: The lecturer title series is a professional series for appointment and promotion of appropriately qualified individuals who participate in the University’s mission by participation in projects that (1) predominantly involve instruction, and (2) are of contractually specified duration. A faculty member on appointment in the lecturer title series is primarily expected to provide lecturer services and to a lesser extent other scholarly endeavors. Recruitment into lecturer/senior lecturer positions must follow University Affirmative Action/Equal Employment Opportunity (AA/EEO) policies and be approved by the Office of the Provost and the AA/EEO Office. Appointments are for one- year duration with possibility for annual renewal. Lecturers/senior lecturers will be issued annual letters of appointment. A lecturer/senior lecturer is eligible for benefits equivalent to other full-time employees at Auburn University. Lecturers and senior lecturers are not eligible for graduate faculty status.


B. Establishment of a Position: To establish a position in the lecturer title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source, amount, and term of funding; (2) prepare a job description and identify any space that is needed for the performance of lecturer practice; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of lecturer faculty will follow normal university hiring procedures. Joint appointments require the approval of all deans involved.

Initial Appointment: Initial appointments are made as the result of normal recruitment procedures. Departments and units have some leeway in establishing the search procedures most appropriate for their particular circumstances. The department or unit might act as a committee of the whole or smaller screening committees might be used; a recommendation by a search committee might be transmitted to the department or unit as a whole for further consideration and transmittal to the department head/chair or unit head or it might be transmitted directly to the department head/chair or unit head. Whatever the procedure, it should be established in advance of need by the department or unit as a whole. The department head/chair or unit head, in consultation with his or her faculty, should decide on the positions needed and the qualifications a successful candidate must have. Together they should develop a position description to be supplied to the candidates.

The department head/chair or unit head and the search committee shall be guided by the Provost’s Office and Affirmative Action Office in framing an advertisement for the position, in seeking permission to advertise, and in recommending an appointment. Guidelines from the Affirmative Action Office help ensure compliance with federal law and help ensure an open and fair search.

When making recommendations for appointments in the lecturer title series, the department head/chair or unit head shall confer with all available members of the department holding professorial ranks or, if the unit does not include professorial faculty, with those faculty holding continuing appointments. He or she shall then transmit a written summary of the reactions of these faculty members along with appointment forms, through the appropriate dean and/or director, to the provost. Where the faculty members do not concur in an initial appointment, the head/chair may submit a recommendation for appointment with his or her justification and a report of nonconcurrence of the faculty. An appointment made without the support of the faculty may jeopardize the new hire since the faculty will ultimately vote on promotion.

The doctorate is the terminal degree for most disciplines represented at Auburn University. Requests for exceptions must be presented to the provost with appropriate justification by the department head/chair, with faculty concurrence, and the dean. The appointment cannot be made without the approval in writing of the Provost’s Office.

Each initial appointment must be confirmed by the appropriate department head/chair/unit head or dean in a written notice to the appointee after proper administrative approvals have been obtained. This notice should include determination of prior service at another institution to be credited toward possible promotion. This letter constitutes the faculty member’s written terms of the initial employment.

C. Areas of Activity: Three areas of activity are important in the evaluation of individuals for appointment, performance review, and promotion in the lecturer title series: (1) documented evidence of effective lecturer practice; (2) documented evidence in other appropriate academic endeavors as assigned, (3) collegiality, as discussed for tenure-track faculty in Section 3.6.2 of this Faculty Handbook. Guidelines relative to these areas of activity are described in this Faculty Handbook, Chapter 3.

Lecturer faculty are expected to teach and the agreement between the lecturer faculty and the university must specify the amount of teaching expected.

D. Academic Ranks, Titles, and Criteria: The academic ranks and related titles in the lecturer title series shall be: (1) lecturer, (2) senior lecturer. Although it is not feasible to specify exact criteria for evaluating the credentials of an individual for appointment to senior lecturer, the following statements are provided as guidelines.

  1. Lecturer: This nontenure-track faculty appointment is designated for those with an emphasis on the teaching mission at Auburn University who are qualified to teach in their discipline. The appointments are not tenurable and are made on an annual basis with no right or expectation of employment beyond the period specified in the letter of appointment. These appointments may be renewable on an annual basis contingent upon availability of funds, the need for services, and satisfactory performance.

  2. Senior Lecturer: This nontenure-track faculty appointment is designated for those who have sustained outstanding performance in teaching and service at the lecturer level. There is no fixed requirement for years of service at the lecturer rank before a lecturer can be promoted. However, the qualifications for promotion to senior lecturer rank generally cannot be demonstrated fully in less than five complete years of service. A lecturer may apply for promotion to senior lecturer following criteria and procedures for promotion maintained in the college of appointment. These appointments may be renewable on an annual basis contingent upon availability of funds, the need for services, and satisfactory performance and are not tenurable.

Criteria for promotion to senior lecturer are specific to each department and approved by the dean and the Provost’s Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. As the chief academic officer of Auburn University, the provost retains the right to review all promotions and act appropriately. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and reported to the Provost’s Office accordingly.

E. Performance Evaluation: Each department will have an annual evaluation system that includes student, peer, and administrator input. The evaluation system should have performance improvement as its primary goal. Evaluation metrics should be parallel to department faculty with similar duties and should be determined by the individual department or college.

All department heads/chairs and unit heads, such as center and institute directors, shall conduct at least one annual review before April 30 with each lecturer faculty member to evaluate his or her performance and to discuss his or her future development. For the review, the lecturer faculty member will provide a current vita and any supporting material the head/chair or unit head or the lecturer faculty member deems appropriate.

In the case of lecturer faculty members who have not achieved promotion to senior lecturer, particular care shall be taken by the department head/chair or unit head to relate the faculty member’s job performance to the promotion criteria set forth in this document. Significant achievements or deficiencies that might enhance or impede the candidate’s progress toward higher rank shall be noted.

The head/chair or unit head shall prepare a written report covering the major points of the conference. A copy of the report shall be provided to the lecturer faculty member within a month of the conference. The lecturer faculty member shall be asked to sign it as confirmation of having seen it. If the lecturer faculty member does not agree with material in the report, he or she may write a response to be appended to the report. One copy of the signed report and response, if there is one, is to be retained for the lecturer faculty member’s departmental personnel file and copied to the Office of the Provost; another copy is to be given to the lecturer faculty member. This report is to remain confidential, available only for the use of the concerned lecturer faculty member and any University officials who have supervisory responsibility over the lecturer faculty member.

F. Promotion Criteria and Considerations for Lecturer Faculty: A lecturer faculty member is focused on instruction and has the obligation to contribute to his or her discipline through teaching. To a large extent, each discipline and each department must determine how much and what quality of lecturer practice is appropriate for promotion and judge its candidates accordingly.

G. Eligibility for Promotion: There is no fixed requirement for years of service at a given rank before a lecturer faculty member can be promoted. Lecturer faculty members on leave of absence without pay need not count his or her leave time toward promotion. Except as otherwise required by law, a lecturer faculty member on leave without pay cannot be a candidate for promotion while on leave.

H. Procedure for Promotion: Promotion will be specific for each department and criteria must be approved by the dean and the Provost’s Office. Promotion decisions will be determined by the specific department, department head/chair and the dean of the respective college or school. As the chief academic officer of Auburn University, the provost retains the right to review all promotions and act appropriately.

I. Terms and Continuation of Appointment: Lecturer faculty will be appointed with written contracts. The following principles outline the policy on continuation of the contract for lecturer faculty members:

All lecturer title series positions are one-year contracts that may be renewed annually or, if for a lesser period of time, the period of funding from the contract, grant, or other designated funds. Renewal is contingent upon funding being available and upon performance. All appointees in the lecturer title series will have annual, written employment contracts.

All department heads/chairs and unit heads shall conduct at least one annual review with each faculty member to evaluate his or her performance and to discuss his or her future development. In order to review the faculty member fairly, the head/chair shall request a current vita and any supporting material the head/chair of the faculty member deems appropriate prior to the review. More frequent reviews may be conducted at the discretion of the faculty member or the department head/chair.

The initial letter of appointment should clearly define the length of the appointment (which is not to exceed one year), benefits, and duties/responsibilities. The offer letter should make clear that continuation of appointment is subject to the availability of funds, the need for services, and satisfactory performance. Letters containing promises not consistent with the lecturer title procedures are not enforceable unless authorized in writing by the president of Auburn University.

J. Dismissal: Termination of a lecturer/senior lecturer during the contract term shall be effected by the University only for lack of funding or adequate cause. If termination during the contract term is for reasons other than lack of funding, then Chapter 3, Section 9.2 of this Faculty Handbook provides that “Rights of due process shall also apply to a nontenured faculty member dismissed before completion of his or her contractual term.” Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.

K. Noncontinuation of Appointment: The contractual period for faculty in the lecturer title series is nine months and the university retains the right to continue or noncontinue a faculty member in the lecturer series.

L. Conditions of Employment: A faculty member on appointment in the lecturer title series is eligible for benefits as provided in this handbook or other applicable University policies, except tenure, de facto tenure, and professional improvement leave. University contributions toward retirement, social security, annual and sick leave, and insurance benefits for the faculty member shall be covered through the contract, grant, generated income, or other designated funds that provide support for the individual’s position.

M. University Membership: A lecturer/senior lecturer may be eligible to vote on faculty matters according to department and/or school/college governance rules; this may include the ability to serve on committees. They are encouraged to improve their instructional qualifications and are eligible for departmental/college resources earmarked for such purposes; this may include eligibility for travel and other resources.
A lecturer faculty member may vote on and/or be elected the department’s representative in the University Senate.

N. Change from Nontenure-Track to Tenure-Track Faculty: An appointment of a lecturer/senior lecturer from the lecturer title series to tenure-track faculty may only occur through normal, faculty-approved, department head/chair and dean–approved, provost-approved, and AA/EEO–approved tenure-track recruitment. Lecturer/senior lecturer time will not count toward the tenure clock.

Change of position from tenure track: An appointment from a tenure-track position to the lecturer title series may only occur through normal, faculty-approved, department head/chair and dean–approved, provost-approved, and AA/EEO–approved recruitment.

O. AAUP Guidelines: Auburn endorses the AAUP guidelines stating that no more than 15 percent of the total instruction within an institution and no more than 25 percent of the total instruction within any department should be provided by faculty with nontenure-track appointments. In Auburn University’s efforts to adhere to these guidelines, any exceptions to these percentages must be approved in writing by the provost on an annual basis.

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3.5.2 Guidelines for Establishing and Filling Positions in the Clinician Title Series

Executive Summary
Appointment and Promotion in the Clinician Title Series
A. Introduction
B. Definition
C. Establishment of a Position

Initial Appointment

D. Areas of Activity
E. Academic Ranks, Titles, and Criteria
F. Performance Evaluation
G. Promotion Criteria and Considerations for Clinical Faculty
H. Eligibility for Promotion
I. Procedure for Promotion
J. Terms and Continuation of Appointment
K. Dismissal
L. Noncontinuation of Appointment
M. Graduate Faculty
N. Conditions of Employment
O. University Membership
P. Change from Nontenure-Track to Tenure-Track Faculty

Executive Summary

The clinician title series is a nontenure-track professional series for appointment of appropriately qualified individuals who contribute to the university’s academic mission by participation in activities that (1) predominantly involve clinical practice; (2) are of contractually specified duration; and (3) operate under contracts, grants, generated income, or other designated funds. The designated funds that are appropriate are defined in the body of the document. Note, however, that clinical faculty are expected to teach in the clinical setting, and when this occurs, funding for instruction may either be from income or an appropriate source for such instructional activity.

Criteria for appointment, performance review, and promotion in the clinical title series are included herein. Appointment, review, and promotion in the clinical title series require demonstrated ability to initiate and maintain a program of clinical practice supported by generating clinical income. Employment as an associate clinical professor or clinical professor requires evidence of prior or current success as a clinical practitioner. Contract, grant, income, or other designated funds are expected to cover salaries and costs of benefits for the clinical titled individual and other appropriate expenses. Appointees in the clinical title series are not eligible for tenure or de facto tenure.

All clinical title series positions are one-year contracts that may be renewed annually, but not to exceed the period of funding from the anticipated income. All appointees in the clinical title series will have annual, written employment contracts.

Appointees in the clinical title series are considered to be clinicians/educators and are under the supervision of the department head/chair or unit head. They are eligible for all the benefits except tenure, de facto tenure, and professional improvement leave. The department or unit must assure that space and facilities are available for conducting clinical work as appropriate for an independent clinician. Clinical title series positions are not to be considered a substitute for resident or postdoctorate positions or a means to extend resident or postdoctorate appointment beyond university time limits for resident appointments.

To establish a position in the clinical title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of income funding; (2) prepare a job description and identify any space that is needed for the performance of the clinical practice; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to the dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of clinical faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions/requirements of the anticipated contract, grant, or income funds. Joint appointments require the approval of all deans involved.

Promotions in the clinical title series will be specified for each department, and criteria must be approved by the Provost’s Office. Promotion decisions will be determined by the specific document, department head/chair, and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and be reported to the Provost’s Office accordingly.

Appointment and Promotion in the Clinician Title Series

A. Introduction: In its role as a comprehensive research institution, Auburn University has a need to continuously expand its pool of scientists, engineers, clinicians, highly trained specialists, and other highly qualified personnel who are not part of the tenure-track system to meet responsibilities in clinical practice/education, especially those responsibilities related to projects that the institution operates under contracts, grants, or with generated income. To fulfill these requirements more effectively and to be more competitive in attracting and retaining needed professional personnel, a clinical title series for appointments and promotions without tenure is established as hereafter defined and described.

B. Definition: The clinician title series is a professional series for appointment and promotion of appropriately qualified individuals who participate in the University’s mission by participation in projects that (1) predominantly involve clinical practice/education; (2) are of contractually specified duration; and (3) operate under contracts, grants, generated income, or other designated funds. Designated funds are defined as:

  1. generated income

  2. contracts or grants funds either from external or internal sources

  3. cost-sharing funds

  4. funds from indirect cost recoveries

  5. funds from the Office of the Vice President for Research

  6. endowment funds

  7. gift funds

  8. funds from operating budgets of individual units currently designated for nontenure-track personnel with appropriate salary increases and market value for new hires

  9. discretionary funds from the Office of the President and/or Office of the Provost that are designated for clinical practice/education

  10. discretionary funds under the control of deans and directors that are designated for clinical practice/education

A faculty member on appointment in the clinician title series is primarily expected to provide clinical services and clinical practice and to a lesser extent other scholarly endeavors. Interim appointment and payment of salary from funds other than those associated with contracts, grants, generated funds, and other designated funds may occur, with approval of the provost, when there is a gap of six months or less between approved contracts, grants, or generated income. However, in such circumstances, the appointee’s assignment shall be consistent with the duties that the individual had and will be expected to continue under a clinical practice program that is supported from generated income, contracts, grants, or other designated funds. Classroom teaching duties may be assigned if the only salary funds available are teaching funds; research duties may be assigned if the only salary funds available are from research contracts and grants.

C. Establishment of a Position: To establish a position in the clinician title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding for the program of clinical practice, (2) prepare a job description and identify any space that is needed for the performance of clinical practice; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of clinical faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions of the contract, grant, generated income or other designated funds. Joint appointments require the approval of all deans involved.

Initial Appointment: Initial appointments are made as the result of normal recruitment procedures. Departments and units have some leeway in establishing the search procedures most appropriate for their particular circumstances. The department or unit might act as a committee of the whole, or smaller screening committees might be used; a recommendation by a search committee might be transmitted to the department or unit as a whole for further consideration and transmittal to the department head/chair or unit head, or it might be transmitted directly to the department head/chair or unit head. Whatever the procedure, it should be established in advance of need by the department or unit as a whole. The department head/chair or unit head, in consultation with his or her faculty, should decide on the positions needed and the qualifications a successful candidate must have. Together they should develop a position description to be supplied to the candidates. The appointment of an internal candidate to fill a vacancy is a temporary solution and shall neither foreclose nor delay a national search to fill the originally vacated position. The internal candidate may subsequently compete in the national search.

The department head/chair or unit head and the search committee shall be guided by the Provost’s Office and Affirmative Action Office in framing an advertisement for the position, in seeking permission to advertise, and in recommending an appointment. Guidelines from the Affirmative Action Office help ensure compliance with federal law and help ensure an open and fair search.

When making recommendations for appointments in the clinical title series except those designated as temporary, the department head/chair or unit head shall confer with all available members of the department holding professorial ranks or, if the unit does not include professorial faculty, with those faculty holding continuing appointments. He or she shall then transmit a written summary of the reactions of these faculty members along with appointment forms, through the appropriate dean and/or director, to the provost. Where the faculty members do not concur in an initial appointment, the head/chair may submit a recommendation for appointment with his or her justification and a report of nonconcurrence of the faculty. An appointment made without the support of the faculty may jeopardize the new hire, since the faculty will ultimately vote on promotion.

The doctorate is the terminal degree for most disciplines represented at Auburn University. Requests for exceptions must be presented to the provost with appropriate justification by the department head/chair, with faculty concurrence, and the dean. The appointment cannot be made without the approval in writing of the Provost’s Office.

Each initial appointment must be confirmed by the appropriate department head/chair/unit head or dean in a written notice to the appointee after proper administrative approvals have been obtained. This notice should include determination of prior service at another institution to be credited toward the probationary period. This letter constitutes the faculty member’s written terms of the initial employment.

D. Areas of Activity: Four areas of activity are important in the evaluation of individuals for appointment, performance review, and promotion in the clinician title series: (1) documented evidence of effective clinical practice; (2) national and international professional status and activity as indicated by evaluation statements from external peers; (3) ability to initiate and maintain a program of clinical practice supported by contracts, grants, or generated income; and (4) collegiality, as discussed for tenure-track faculty in Section 3.6.2 of this Faculty Handbook.

Promotion Criteria and Considerations–Research/Creative Work: Guidelines for the third area of activity are well-established in that the contract, grant, generated income, or other source of designated funds should cover salaries and costs of benefits for personnel.

Clinical faculty are expected to teach in the clinical setting. The letter of appointment between the clinical faculty and the university must specify the amount of teaching expected and an appropriate source of the funding to support such instructional activity.

E. Academic Ranks, Titles, and Criteria: The academic ranks and related titles in the clinician title series shall be: (1) clinical lecturer, (2) assistant clinical professor, (3) associate clinical professor, and (4) clinical professor. Although it is not feasible to specify exact criteria for evaluating the credentials of an individual for appointment or promotion to any one particular rank in the clinician title series, the following statements are provided as guidelines.

  1. Clinical Lecturer: Clinical lecturer is an entry-level rank for a candidate who has completed the appropriate terminal professional degree or has the equivalent in training, ability, and experience and meets appropriate credentialing requirements for course instruction. An appointee is not required to have a minimum number of years in clinical service to be eligible for the rank of clinical lecturer. Promotion from clinical lecturer to assistant clinical professor is possible if allowed by college/school promotion guidelines.

  2. Assistant Clinical Professor: Assistant clinical professor is the usual entry-level rank for a candidate who has completed the appropriate terminal professional degree or has the equivalent in training, ability, and experience and meets appropriate credentialing requirements. An appointee is not required to have a minimum number of years in clinical service to be eligible for the rank of assistant clinical professor.

    Appointment to the rank of assistant clinical professor shall be made when it has been determined that the individual (1) has a current independent capability of having a reliable clinical practice supported through contracts, grants, generated income, or other designated funds, (2) has a potential for significant professional growth in the area of clinical practice, and (3) holds the professional degree including licensure/certification appropriate to the field.

  3. Associate Clinical Professor: Associate clinical professor is a rank of distinction that is attained through successful performance of assigned duties. A candidate should hold the appropriate terminal professional degree or has the equivalent in training, ability, and experience and should meet appropriate credentialing requirements.

    Criteria for promotion to associate clinical professor are specific to each department, according to provost-approved guidelines, and must be approved by the Provost’s Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and reported to the Provost’s Office accordingly.

  4. Clinical Professor: Clinical Professor is a rank requiring professional peer recognition of the individual as an authority in his or her field of specialization. A candidate must be nationally recognized by associates as a clinician. It is therefore expected that peers within and outside the University will attest to the candidate’s high professional standing. A candidate should hold the appropriate terminal professional degree or have the equivalent in training, ability, and experience and meet appropriate credentialing requirements.

    Criteria for promotion to clinical professor are specific to each department and approved by the dean and the Provost’s Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and reported to the Provost’s Office accordingly.

F. Performance Evaluation: All department heads/chairs and unit heads, such as center and institute directors, shall conduct at least one annual review before April 30 with each clinical-track faculty member to evaluate his or her performance and to discuss his or her future development. For the review, the clinical faculty member will provide a current vita and any supporting material the head/chair or unit head or the clinical faculty member deems appropriate.

In the case of clinical faculty members who have not achieved promotion to assistant clinical professor, associate clinical professor or clinical professor, particular care shall be taken by the department head/chair or unit head to relate the faculty member’s job performance to the promotion criteria set forth in this document. Significant achievements or deficiencies that might enhance or impede the candidate’s progress toward higher academic rank shall be noted.

The head/chair or unit head shall prepare a written report covering the major points of the conference. A copy of the report shall be provided to the clinical faculty member within a month of the conference. The clinical faculty member shall be asked to sign it as confirmation of having seen it. If the clinical faculty member does not agree with material in the report, he or she may write a response to be appended to the report. One copy of the signed report and response, if there is one, is to be retained for the clinical faculty member’s departmental personnel file and copied to the Office of the Provost; another copy is to be given to the clinical faculty member. This report is to remain confidential, available only for the use of the concerned clinical faculty member and any University officials who have supervisory responsibility over the clinical faculty member.

Each department head/chair or unit head shall conduct a third-year review of all its clinical lecturers and assistant clinical professors according to college/school guidelines. As with the annual review, the head/chair or unit head shall request a current vita and any supporting material the head/chair or unit head or the clinical faculty member deems appropriate prior to the third-year review. The particular focus of this review is the clinical faculty member’s progress toward achieving promotion. The review, therefore, must address the specific departmental/college/school criteria for promotion. The head/chair or unit head shall prepare a written report covering the findings of the review.

G. Promotion Criteria and Considerations for Clinical Faculty: A clinical faculty member is focused on clinical practice and has the obligation to contribute to his or her discipline through clinical practice and clinical teaching. To a large extent, each discipline and each department must determine how much and what quality of clinical practice is appropriate for promotion and judge its candidates accordingly.

H. Eligibility for Promotion: There is no fixed requirement for years of service at a given rank before a clinical faculty member can be promoted. A clinical faculty member on leave of absence without pay need not count his or her leave time toward promotion. Except as otherwise required by law, a clinical faculty member on leave without pay cannot be a candidate for promotion while on leave.

I. Procedure for Promotion: Promotion will be specific for each department, and criteria must be approved by the dean and the Provost’s Office. Promotion decisions will be determined by the specific department, department head/chair, and the dean of the respective college or school. As the chief academic officer of Auburn University, the provost retains the right to review all promotions and act appropriately.

J. Terms and Continuation of Appointment: Although it has been the practice of the University for faculty appointments to be continued by mutual commitment and understanding rather than by formal contracts, clinical faculty will be appointed with written contracts. The following principles outline the policy on continuation of the contract for clinical faculty members.

All clinical title series positions are one-year contracts that may be renewed annually or, if for a lesser period of time, the period of funding from the contract, grant, or other designated funds. Renewal is contingent upon funding being available and upon performance. All appointees in the clinical title series will have annual, written employment contracts.

All department heads/chairs and unit heads shall conduct at least one annual review with each faculty member to evaluate his or her performance and to discuss his or her future development. In order to review the faculty member fairly, the head/chair shall request a current vita and any supporting material the head/chair of the faculty member deems appropriate prior to the review. More frequent reviews may be conducted at the discretion of the faculty member or the department head/chair.

The initial letter of appointment should clearly define the length of the appointment (which is not to exceed one year), benefits, and duties/responsibilities. The offer letter should make clear that continuation of appointment is subject to the availability of funds, the need for services, and satisfactory performance. Language that speaks to continuation beyond the initial appointment should include specific conditions. For example, the grant, contract, or income from which the clinical faculty is to be paid may be for multiple years, but rarely is funding for subsequent years guaranteed. Letters containing promises not consistent with the clinical title procedures are not enforceable unless authorized in writing by the president of Auburn University.

K. Dismissal: Termination of a clinical faculty member during the contract term shall be effected by the University only for lack of funding or adequate cause, including but not limited to lack of collegiality and unprofessional behavior. If termination during the contract term is for other than for lack of funding, then Chapter 3, Section 9.2 of this handbook provides that “Rights of due process shall also apply to a nontenured faculty member dismissed before completion of his or her contractual term.” Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.

L. Noncontinuation of Appointment: The contractual period for faculty in the clinical title series is 12 months, and the university retains the right to continue or noncontinue a faculty member in the clinical series. If a clinical faculty member whose contract is not to be renewed so requests, he or she shall be provided with a written statement of reasons why the contract is not to be renewed. In order to ensure that noncontinuation is not used to restrain faculty members in their exercise of academic freedom, an employee in the clinical nontenure-track ladder is afforded the opportunity to appeal his or her noncontinuation using the same procedure as provided in this handbook for tenure-track faculty members who are given letters of noncontinuation.

M. Graduate Faculty: A faculty member on appointment in the clinical title series may be proposed, recommended, and approved for membership in the graduate faculty as provided in this handbook. If an appointee in the clinical title series is approved for membership, the individual’s participation as a member of the graduate faculty shall be limited to directing graduate theses and dissertations, teaching courses that he or she is qualified to teach according to accreditation guidelines, and to serving on committees appointed by the dean of the Graduate School in proportion to their other assignments.

N. Conditions of Employment: A faculty member on appointment in the clinical title series is eligible for benefits as provided in this handbook or other applicable University policies, except tenure, de facto tenure, and professional improvement leave. University contributions toward retirement, social security, annual and sick leave, and insurance benefits for the faculty member shall be covered through the contract, grant, generated income, or other designated funds that provide support for the individual’s position.

O. University Membership: A clinical faculty member shall be eligible to vote on all faculty matters, including faculty appointment and promotion, but not on tenure. A clinical faculty member may vote on and/or be elected the department’s representative in the University Senate.

P. Change from Nontenure-Track to Tenure-Track Faculty: If the appointment of a faculty member is changed from the clinical title series to tenure-track faculty through normal, faculty-approved, tenure-track hiring, years of service while on appointment in the clinical title series will be treated as full-time service in a faculty rank at another institution, as described in this handbook.

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3.5.3 Guidelines for Establishing and Filling Positions in the Research Title Series

Executive Summary
Appointment and Promotion in the Research Title Series
A. Introduction
B. Definition
C. Establishment of a Position

Initial Appointment

D. Areas of Activity
E. Academic Ranks, Titles, and Criteria
F. Performance Evaluation
G. Promotion Criteria and Considerations for Research Faculty
H. Eligibility for Promotion
I. Procedure for Promotion
J. Terms and Continuation of Appointment
K. Dismissal
L. Noncontinuation of Appointment
M. Graduate Faculty
N. Conditions of Employment
O. University Membership
P. Change from Nontenure-Track to Tenure-Track Faculty

Executive Summary

    The research title series is a professional series for appointment of appropriately qualified individuals who contribute to the university’s academic mission by participation in projects that (1) predominantly involve research, (2) are of contractually specified duration, and (3) operate under contracts, grants, generated income, or other designated funds.

    Criteria for appointment, performance review, and promotion in the research title series are included herein. Appointment, review, and promotion in the research title series require demonstrated ability to initiate and maintain a program of research supported by contracts, grants, generated income, or other designated funds. Employment as an associate research professor or research professor requires evidence of prior or current success as a principal investigator or co-principal investigator of research grants. Contract, grant, generated income, or other designated funds are expected to cover salaries and costs of benefits for the research titled individual, operating expenses, equipment, and overhead. Appointees in the research title series are not eligible for tenure or de facto tenure.

    All research title series positions are one-year contracts that may be renewed annually, but not to exceed the period of funding from the contract, grant, generated income, or other designated funds. All appointees in the research title series will have annual, written employment contracts.

    Appointees in the research title series are considered to be independent investigators and are under the supervision of the department head/chair or unit head. They are eligible for all benefits except tenure, de facto tenure, and professional improvement leave. The department or unit must assure that space and facilities are available for conducting research as appropriate for an independent investigator. Research title series positions are not to be considered a substitute for postdoctoral positions or a means to extend postdoctoral appointment beyond university time limits for postdoctoral appointments.

    To establish a position in the research title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding for the program of research; (2) prepare a job description and identify any space that is needed for the performance of research; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to the dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of research faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions/requirements of the contract, grant, generated income, or other designated funds. Joint appointments require the approval of all deans involved.

    Procedures for promotion in the research title series will be specified by each department, and criteria must be approved by the college/school and the Provost’s Office. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and be reported to the Provost’s Office accordingly.

    Appointment and Promotion in the Research Title Series

    A. Introduction: In its role as a comprehensive research institution, Auburn University has a need to continuously expand its pool of scientists, engineers, specially trained investigators, and other highly qualified personnel who are not part of the tenure-track system to meet responsibilities in research, especially those responsibilities related to projects that the institution operates under contracts, grants or other designated funds. To fulfill these requirements more effectively and to be more competitive in attracting and retaining needed professional personnel, a research title series for appointments and promotions without tenure is established as hereafter defined and described.

    B. Definition: The research title series is a professional series for appointment and promotion of appropriately qualified individuals who participate in the University’s mission by participation in projects that (1) predominantly involve research; (2) are of contractually specified duration; and (3) operate under contracts, grants, generated income, or other designated funds. Designated funds are defined as:

  1. generated income

  2. contracts or grants funds either from external or internal sources

  3. cost-sharing funds

  4. funds from indirect cost recoveries

  5. funds from the OVPR

  6. endowment funds

  7. gift funds

  8. funds from operating budgets of individual units currently designated for nontenure-track personnel with appropriate salary increases and market value for new hires

  9. discretionary funds under the control of deans and directors that are designated for research

A faculty member on appointment in the research title series shall not have any regularly scheduled teaching or service assignments. Interim appointment and payment of salary from funds other than those associated with contracts, grants, and other designated funds may occur, with approval of the provost, when there is a gap of six months or less between approved contracts, grants, or other sources of designated funds.

However, in such circumstances, the appointee’s assignment shall be consistent with the duties that the individual had and will be expected to continue under a program for research that is supported from contracts, grants, and other designated funds.

C. Establishment of a Position: To establish a position in the research title series, the initiating unit shall (1) prepare a proposal demonstrating the need for such a position and indicate the source (including any commitment of Auburn University), amount, and term of funding for the program of research; (2) prepare a job description and identify any space that is needed for the performance of research; and (3) obtain approvals of the proposal by the chief administrative officer of the concerned unit, the dean of the college/school, and the provost. The proposal shall be transmitted to the dean of the college/school by the department head/chair or unit head with his or her indication of faculty approval for establishment of the position. The hiring of research faculty will follow normal university hiring procedures, except where to do so would be impractical because of the provisions of the contract, grant, or other designated funds. Joint appointments require the approval of all deans involved.

Initial Appointment: Initial appointments are made as the result of normal recruitment procedures. Departments and units have some leeway in establishing the search procedures most appropriate for their particular circumstances. The department or unit might act as a committee of the whole or smaller screening committees might be used; a recommendation by a search committee might be transmitted to the department or unit as a whole for further consideration and transmittal to the department head/chair or unit head, or it might be transmitted directly to the department head/chair or unit head. Whatever the procedure, it should be established in advance of need by the department or unit as a whole. The department head/chair or unit head, in consultation with his or her faculty, should decide on the positions needed and the qualifications a successful candidate must have. Together they should develop a position description to be supplied to the candidates. The appointment of an internal candidate to fill a vacancy is a temporary solution and shall neither foreclose nor delay a national search to fill the originally vacated position. The internal candidate may subsequently compete in the national search.

The department head/chair or unit head and the search committee shall be guided by the Provost’s Office and the Affirmative Action Office in framing an advertisement for the position, in seeking permission to advertise, and in recommending an appointment. Guidelines from the Affirmative Action Office help ensure compliance with federal law and help ensure an open and fair search.

When making recommendations for appointments in the research title series except those designated as temporary, the department head/chair or unit head shall confer with all available members of the department holding professorial ranks or, if the unit does not include professorial faculty, with those faculty holding continuing appointments. He or she shall then transmit a written summary of the reactions of these faculty members, including a formal vote, along with appointment forms, through the appropriate dean and/or director, to the provost. Where the faculty members do not concur in an initial appointment, the head/chair may submit a recommendation for appointment with his or her justification and a report of nonconcurrence of the faculty. An appointment made without the support of the faculty may jeopardize the new hire, since the faculty will ultimately vote on promotion.

The doctorate is the terminal degree for most disciplines represented at Auburn University. Requests for exceptions must be presented to the provost with appropriate justification by the department head/chair, with faculty concurrence, and the dean. The appointment cannot be made without the approval in writing of the Provost’s Office.

Each initial appointment must be confirmed by the appropriate department head/chair/unit head or dean in a written notice to the appointee after proper administrative approvals have been obtained. This letter constitutes the faculty member’s written terms of the initial employment.

D. Areas of Activity: Four areas of activity are important in the evaluation of individuals for appointment, performance review, and promotion in the research title series: (1) documented evidence of research; (2) national and international professional status and activity as indicated by evaluation statements from external peers; (3) ability to initiate and maintain a program of research supported by contracts, grants, generated income, or other designated funds; and (4) collegiality, as discussed for tenure-track faculty in Section 3.6.2 of this Faculty Handbook. Guidelines relative to the first two areas of activity are described in Chapter 3 of this handbook; guidelines for the third area of activity are well-established in that the contract, grant, or other source of designated funds should cover salaries and costs of benefits for personnel, operating expenses, equipment, and overhead.

E. Academic Ranks, Titles, and Criteria: The academic ranks and related titles in the research title series shall be: (1) assistant research professor, (2) associate research professor, and (3) research professor. Although it is not feasible to specify exact criteria for evaluating the credentials of an individual for appointment or promotion to any one particular rank in the research title series, the following statements are provided as guidelines.

1. Assistant Research Professor: Assistant research professor is the usual entry-level rank for a candidate who has completed the appropriate terminal degree (usually a doctorate) or has the equivalent in training, ability, and experience and meets appropriate credentialing requirements. While a terminal degree or the equivalent is required, an appointee is not required to have a minimum number of years in research service to be eligible for the rank of assistant research professor.

Appointment to the rank of assistant research professor shall be made when it has been determined that the individual (1) has a current independent capability for conducting reliable research supported through contracts, grants, or other designated funds; (2) has a potential for significant professional growth in the field of research; and (3) holds the terminal academic degree appropriate to the field.

2. Associate Research Professor: Associate research professor is a rank of distinction that is attained through successful performance of assigned duties. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent in training, ability, and experience and should meet appropriate credentialing requirements.

A candidate for associate research professor should have demonstrated mastery of the subject matter in his or her field and the ability to apply it well in his or her research work. Additionally, the candidate should have contributed, typically through significant work, to his or her area of specialization and participated in professional activities.

Criteria for promotion to associate research professor are specific to each department, according to approved guidelines, and must be approved by the Provost’s Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and reported to the Provost’s Office accordingly. As the chief academic officer of Auburn University, the provost retains the right to review all proposed promotions and act appropriately.

Appointment or promotion to the rank of associate research professor shall be made only after documented indication of continuous improvement and contribution by the individual in research activity supported through contracts, grants, generated income, or other designated funds. Successful efforts in obtaining extramural support for research work must be demonstrated.

3. Research Professor: Research professor is a rank requiring professional peer recognition of the individual as an authority in his or her field of specialization. A candidate must be recognized by associates as a researcher. It is therefore expected that peers within and outside the University will attest to the candidate’s high professional standing. A candidate should hold the appropriate terminal degree (usually a doctorate) or the equivalent in training, ability, and experience and should meet appropriate credentialing requirements.

Criteria for promotion to research professor are specific to each department, according to approved guidelines, and must be approved by the Provost’s Office. Promotion decisions will be determined by the specific department head/chair and the dean of the respective college or school. Promotion decisions must correspond to the annual deadlines approved by the Provost’s Office and reported to the Provost’s Office accordingly. As the chief academic officer of Auburn University, the provost retains the right to review all proposed promotions and act appropriately.

F. Performance Evaluation: All department heads/chairs and unit heads, such as center and institute directors, shall conduct at least one annual review before April 30 with each research track faculty member to evaluate his or her performance and to discuss his or her future development. For the review, the research faculty member will provide a current vita and any supporting material the head/chair or unit head or the research faculty member deems appropriate.

In the case of research faculty members who have not achieved promotion to associate research professor or research professor, particular care shall be taken by the department head/chair or unit head to relate the faculty member’s job performance to the promotion criteria. Significant achievements or deficiencies that might enhance or impede the candidate’s progress toward higher academic rank shall be noted.

The head/chair or unit head shall prepare a written report covering the major points of the conference. A copy of the report shall be provided to the research faculty member within a month of the conference. The research faculty member shall be asked to sign it as confirmation of having seen it. If the research faculty member does not agree with material in the report, he or she may write a response to be appended to the report. One copy of the signed report and response, if there is one, is to be retained for the research faculty member’s departmental personnel file and copied to the Office of the Provost; another copy is to be given to the research faculty member. This report is to remain confidential, available only for the use of the concerned research faculty member and any University officials who have supervisory responsibility over the research faculty member.

Each department head/chair or unit head shall conduct a third-year review of all its assistant research professors. As with the annual review, the head/chair or unit head shall request a current vita and any supporting material the head/chair or unit head or the research faculty member deems appropriate prior to the third-year review. The particular focus of this review is the research faculty member’s progress toward achieving promotion. The review, therefore, must address the specific departmental/college/school criteria for promotion. The head/chair or unit head shall prepare a written report covering the findings of the review.

G. Promotion Criteria and Considerations for Research Faculty: A research faculty member is focused on research work and has the obligation to contribute to his or her discipline through applied and/or basic research. To a large extent, each discipline and each department must determine how much and what quality of research work is appropriate for promotion and judge its candidates accordingly.

H. Eligibility for Promotion: There is no fixed requirement for years of service at a given rank before a research faculty member can be promoted. Except as otherwise required by law, a research faculty member on leave without pay cannot be a candidate for promotion while on leave.

I. Procedure for Promotion: Promotion will be specific for each department, and criteria must be approved by the dean and the Provost’s Office. Promotion decisions will be determined by the specific department, department head/chair, and the dean of the respective college or school. As the chief academic officer of Auburn University, the provost retains the right to review all proposed promotions and act appropriately.

J. Terms and Continuation of Appointment: Although it has been the practice of the University for faculty appointments to be continued by mutual commitment and understanding rather than by formal contracts, research faculty will be appointed with written contracts. The following principles outline the policy on continuation of the contract for research faculty members.

All research title series positions are one-year contracts that may be renewed annually or, if for a lesser period of time, the period of funding from the contract, grant, generated funds, or other designated funds. Renewal is contingent upon funding being available and upon performance.

The initial letter of appointment should clearly define the length of the appointment, benefits, and duties/responsibilities. The offer letter should make clear that continuation of appointment is subject to the availability of funds, the need for services, and satisfactory performance. Language that speaks to continuation beyond the initial appointment should include specific conditions. For example, the research grant or contract from which the research faculty is to be paid may be for multiple years, but rarely is funding for subsequent years guaranteed. Letters containing promises not consistent with the research title procedures are not enforceable unless authorized in writing by the president of Auburn University.

K. Dismissal: Termination of a research faculty member during the contract term shall be effected by the University only for lack of research funding or adequate cause, including but not limited to lack of collegiality and unprofessional research behavior. If termination during the contract term is for other than for lack of funding, then Chapter 3, Section 9.2 of this handbook provides that “Rights of due process shall also apply to a nontenured faculty member dismissed before completion of his or her contractual term.” Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.

L. Noncontinuation of Appointment: The contractual period for faculty in the research title series is 12 months, and the university retains the right to continue or noncontinue a faculty member in the research series. If a research faculty member whose contract is not to be renewed so requests, he or she shall be provided with a written statement of reason why the contract is not to be renewed. In order to ensure that noncontinuation is not used to restrain faculty members in their exercise of academic freedom, an employee in the research title series is afforded the opportunity to appeal his or her noncontinuation using the same procedure as provided in this handbook for tenure-track faculty members who are given letters of noncontinuation or by following the Scientific Misconduct Policy in Chapter 5 of this handbook.

M. Graduate Faculty: A faculty member on appointment in the research title series may be proposed, recommended, and approved for membership in the graduate faculty as provided in this handbook. If an appointee in the research title series is approved for membership, the individual’s participation as a member of the graduate faculty shall be limited to directing graduate theses and dissertations and to serving on committees appointed by the dean of the Graduate School taking into consideration their other assignments.

N. Conditions of Employment: A faculty member on appointment in the research title series is eligible for benefits as provided in this handbook or other applicable University policies, except tenure, de facto tenure, and professional improvement leave. University contributions toward retirement, social security, annual and sick leave, and insurance benefits for the faculty member shall be covered through the contract, grant, or other designated funds that provide support for the individual’s position. Except as otherwise specifically provided herein, research series faculty are otherwise subject to all then existing University policies and procedures.

O. University Membership: A research faculty member shall be eligible to vote on all faculty matters, including faculty appointment and promotion but not on tenure. A research faculty member may vote on and/or be elected the department’s representative in the University Senate.

P. Change from Nontenure-Track to Tenure-Track Faculty: If the appointment of a faculty member is changed from the research title series to tenure-track faculty through normal, faculty-approved, tenure-track hiring, years of service while on appointment in the research title series will be treated as full-time service in a faculty rank at another institution, as described in this handbook.

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3.5.4 Provost’s Guidelines for Unit Specific Clinical Title Series Promotion Criteria

Guidelines for units to develop procedures, identify required documentation, and establish criteria for promotion of their clinical faculty
http://www.auburn.edu/academic/provost/clinicalpromotions_guidelines.html

3.5.5 Provost’s Guidelines for Unit Specific Research Title Series Promotion Criteria

Guidelines for units to develop procedures, identify required documentation, and establish criteria for promotion of their research faculty

http://www.auburn.edu/academic/provost/pdf/Research_Promotion_Guidelines_3-19-2012.pdf

3.5.6 Provost’s Guidelines for Unit Specific Lecturer Title Series Promotion Criteria

Guidelines for units to develop procedures, identify required documentation, and establish criteria for promotion of their lecturer faculty

http://www.auburn.edu/academic/provost/pdf/Lecturer_Promotion_guidelines_final.pdf

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Section 3.6
Promotion and Tenure of Tenure-Track Faculty

3.6.1. Promotion Criteria Considerations ‡

Promotion is based on merit. A candidate for promotion should have acceptable achievements in the areas of (1) teaching and/or outreach and (2) research/creative work. He or she is further expected to demonstrate over a sustained period distinctive achievement in one of these areas or achievement in both areas comparable to that of successful candidates in the discipline in the past five years. In addition, he or she is expected to have contributed service to the University. Candidates covered by provost-approved departmental promotion and tenure guidelines will be evaluated accordingly.  For candidates not covered by provost-approved departmental promotion and tenure guidelines, the criteria for teaching, research/creative work, and outreach described below shall be considered by the faculty in the evaluation of a candidate's performance and achievement. The candidate's employment conditions and academic assignments shall determine which criteria are most emphasized, and standards for promotion are based on the weights of each performance area as described in the letter of offer and subsequent annual evaluations. Credit shall also be given for contributions above and beyond specifically assigned duties.

Promotion is based on merit. A candidate for promotion should have acceptable achievements in the areas of (1) teaching and/or outreach and (2) research/creative work. He or she is further expected to demonstrate over a sustained period distinctive achievement in one of these areas or achievement in both areas comparable to that of successful candidates in the discipline in the past five years. In addition, he or she is expected to have contributed service to the University. Candidates covered by provost-approved departmental promotion and tenure guidelines will be evaluated accordingly. For candidates not covered by provost-approved departmental promotion and tenure guidelines, the criteria for teaching, research/creative work, and outreach described below shall be considered by the faculty in the evaluation of a candidate’s performance and achievement. The candidate’s employment conditions and academic assignments shall determine which criteria are most emphasized, and standards for promotion are based on the weights of each performance area as described in the letter of offer and subsequent annual evaluations. Credit shall also be given for contributions above and beyond specifically assigned duties.

A. Teaching: Since a primary activity of the University is the instruction of students, careful evaluation of teaching is essential. Because of the difficulty of evaluating teaching effectiveness, faculty members are urged to consider as many relevant measures as possible in appraising the candidate. These include consideration of the candidate’s knowledge of the subject and his or her professional growth in the field of specialization; the candidate’s own statement of his or her teaching philosophy; the quality of the candidate’s teaching as indicated by peer and student evaluations and teaching awards; performance of the candidate’s students on standardized tests or in subsequent classes; the candidate’s contributions to the academic advising of students; the candidate’s development of new courses and curricula; the quality of the candidate’s direction of dissertations, theses, independent study projects, etc.; and the quality of pedagogical material published by the candidate.

B. Research/Creative Work: A faculty member engaged in research/creative work has an obligation to contribute to his or her discipline through applied and/or basic research, through creative endeavors, or through interpretive scholarship. To a large extent, each discipline and each department must determine how much and what quality of research/creative work is appropriate for promotion (and/or tenure) and judge its candidates accordingly. In appraising the candidate’s work, faculty members should consider the quality and significance of the work, the quality of the outlet for publication or exhibition, and, in cases of collaborative work, the role of the candidate.

Research and creative work ordinarily can be documented by a candidate’s publications or performances/exhibitions. Publication subjected to critical review by other scholars as a condition of publication should carry more weight than publication that is not refereed. Nevertheless, all forms of publication, including articles intended for a nonacademic audience, should be considered provided they are of high quality in relation to the purpose intended. Scholarly papers subjected to peer review and delivered at a regional or national conference and creative work subjected to peer review and performed or exhibited on a regional or national level should carry more weight than work done only on a local level.

Successful efforts in obtaining extramural support for research/creative work (as well as for teaching and outreach programs) should also be positively considered in evaluation of the candidate.

C. Outreach: As used in this chapter “outreach” refers to the function of applying academic expertise to the direct benefit of external audiences in support of university and unit missions. A faculty endeavor may be regarded as outreach scholarship for purposes of tenure and promotion if all the following conditions are met: (1) there is a substantive link with significant human needs and societal problems, issues, or concerns; (2) there is a direct application of knowledge to significant human needs and societal problems, issues, or concerns; (3) there is utilization of the faculty member’s academic and professional expertise; (4) the ultimate purpose is for the public or common good; (5) new knowledge is generated for the discipline and/or the audience or clientele; and (6) there is a clear link/relationship between the program/activities and an appropriate academic unit’s mission. (While outreach may be sponsored by a unit other than the faculty member’s department, both the faculty member and the sponsoring unit must recognize the activity as outreach. Outreach is not expected of all faculty. Participation in this function varies from major, continuing commitments, as is the case with the Alabama Cooperative Extension System, through intermittent engagement for individual faculty as needs and opportunities for a particular expertise arise, to no involvement at all.

The commitment of faculty time to outreach is a decision to be made by the faculty member with the approval of the department in which the faculty member will seek tenure and/or promotion. It is established in the letter of offer and may be modified in annual work plans, or during the year in response to unexpected needs. In any case, this decision should be made with due consideration to the professional development of the faculty member, the expected public benefits of the outreach activities, and the mission of the department and/or other supporting units. Departmental approval carries a commitment to assess and appropriately weigh outreach contributions in salary, tenure, and promotion recommendations.

Demands for quality in outreach are the same as in teaching and research/creative work; however, outreach activities are different in nature from other activities and must be evaluated accordingly. Please refer to http://www.auburn.edu/outreach for resources concerning faculty participation in Outreach Scholarship. Department heads/chairs should request any material necessary from the candidate to facilitate faculty assessment of the type, quality, and effectiveness of the candidate’s involvement in extension activities and evaluation of any resulting publications.

D. Service: University service includes participating in departmental, college or school, and University governance and committee work; assisting in the recruitment of new faculty; and developing and assisting in the implementation of new academic programs. Faculty should detail particularly distinctive contributions to University life on the part of the candidate, including service to the candidate’s profession, such as offices held and committee assignments performed for professional associations and learned societies, and editorships and the refereeing of manuscripts.

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3.6.2. Tenure Criteria and Considerations ‡

Auburn University nurtures and defends the concept of academic tenure, which assures each faculty member the freedom, without jeopardy at the department, college or school, or University level, to criticize and advocate changes in existing theories, beliefs, programs, policies, and institutions and guarantees faculty members the right to support, without jeopardy, any colleague whose academic freedom is threatened. Tenure establishes an environment in which truth can be sought and expressed in one’s teaching, research/creative work, outreach work, and service. In addition to demonstrating quality in the areas of (1) teaching, (2) research/creative work, (3) outreach, and (4) service, as described above under Promotion Criteria Considerations (Section 3.6.1) and, where applicable, in approved departmental guidelines, the candidate for tenure must demonstrate that he or she contributes as a productive and collegial member of the academic unit in all relevant areas. Are the candidate’s professional abilities and relationships with colleagues compatible with the departmental mission and with its long-term goals? Has the candidate exhibited an ability and willingness to engage in shared academic and administrative tasks that a departmental group must often perform and to participate with some measure of reason and knowledge in discussions germane to departmental policies and programs? Does the candidate maintain high standards of professional integrity? Concerns respecting a candidate’s collegiality should be shared with the candidate as soon as they arise; they should certainly be addressed in the annual review and the third-year review. For tenure, the candidate must demonstrate that he or she contributes as a productive and collegial member of the academic unit in all relevant areas.

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3.6.3 Effective Implementation of Provost-Approved Department Promotion and Tenure Guidelines

Application of departmental promotion and tenure guidelines to individual faculty members

http://www.auburn.edu/academic/provost/pdf/Implementation_of_P&T_Guidelines.pdf

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3.6.4 Eligibility for Promotion and Tenure ‡

There is no fixed requirement for years of service at a given rank before a faculty member can be promoted or tenured. However, the qualifications for tenure or for each professorial rank generally cannot be demonstrated fully in less than four complete years of service. Only in exceptional and well-documented cases, in which a faculty member has met all requirements for promotion and/or tenure in a shorter time, should he or she be recommended for promotion and/or tenure before completing four years in rank.

A candidate must be considered for tenure during his or her sixth year if he or she has not been granted tenure earlier and has not waived consideration. Under no circumstances should the length of the probationary period exceed seven years of full-time service except where the faculty member has agreed in writing that a year in which the faculty member qualified for leave under the Family and Medical Leave Act (FMLA) or took leave without pay will not count toward the probationary period. The written agreement must be received by the provost within the probationary year in which the extension is requested.

If a faculty member begins employment between January 1 and May 15, the partial academic or calendar year shall not count as part of the probationary period.

A faculty member who feels that he or she has not met the requirements for tenure by the sixth year can forever waive consideration by stating, in writing, that he or she does not wish to be considered by the department. In such a case, the dean will send the letter of noncontinuation to the faculty member.

A faculty member on leave of absence without pay need not count his or her leave time toward tenure and/or promotion. However, if such a leave is professionally related, the faculty member may wish to count that time. Except as otherwise required by law, a faculty member on leave without pay cannot be a candidate for promotion and/or tenure while on leave. A faculty member on leave with pay should count such time and may be a candidate.

A faculty member who has qualified for FMLA leave while holding a tenure-accruing appointment may request a one-year extension of the date on which the probationary period would end. Only two such extensions are allowed. Any request may be made only during the first five probationary years of the tenure process. The faculty member will retain the position of full-time employee.

Except in highly unusual circumstances, a faculty member holding the rank of assistant professor, librarian II, or archivist II recommended for tenure should be recommended for promotion to associate professor, librarian III, or archivist III as well. However, recommendation for promotion at this level does not necessarily entail recommendation for tenure, since the criteria for tenure, which include collegiality, are more exacting than the criteria for promotion. Recommendations for promotion and tenure must be voted separately.
There are no fixed quotas for tenured positions or for the various ranks established for colleges, schools, or departments.

De Facto Tenure: A faculty member who has provided more than seven years of full-time service in a probationary tenure-track appointment must be awarded tenure by the president, except in those cases described in Chapter 3, Section 3.3 of this handbook, in which a written agreement, approved by the provost at the time of the new appointment, excludes some or all years of prior service at Auburn toward tenure eligibility. Any such exclusion would also apply to the awarding of de facto tenure. A faculty member who contends that he or she has served as a tenure-track faculty member for more than seven years may appeal through the normal administrative chain for consideration of the claim. However, tenure gained this way must be forfeited if it is established that the faculty member’s not being recommended for tenure consideration was a deliberate attempt on the part of the faculty member and/or the department head/chair to avoid the formal tenure process in order to acquire de facto tenure.

A full-time faculty member who has been awarded de facto tenure is entitled to the procedural protections associated with tenure in any action to terminate his or her services.

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3.6.5. Policy and Procedure for Promotion and Tenure ‡

A. Initiation of the Process

The promotion process can be initiated by the candidate’s department head/chair or by the candidate. In the case of tenure, it is the joint responsibility of the department head/chair and the faculty member to see that the tenure process begins at the appropriate time. The steps delineated below apply to both the promotion and tenure process.

Candidates and department heads/chairs should supply information necessary for evaluation in the format outlined in this chapter. This information should be available first to eligible faculty members, then to the dean and, if applicable, the appropriate college committee, then to the University-level Promotion and Tenure Committee. The information requested is sufficiently detailed so that faculty members can evaluate a candidate in terms of both potential and achievement. Department heads/chairs and candidates who have questions about material to be submitted should feel free to contact the provost.

B. Participating Faculty

Faculty members eligible to participate in evaluation of the candidate are those of higher rank than the candidate for promotion and those with tenure in the case of a candidate for tenure.

C. Information on the Candidate

The outline printed below indicates the kind of information each candidate for promotion and/or tenure and his or her department head/chair should supply and describes the format to be followed in presenting that information.

(1) General Instructions

The candidate and the department head/chair should jointly supply (1) applicable department guidelines that establish criteria for evaluation, and (2) the weights of each performance area as described in the letter of offer or as modified by subsequent annual evaluations.

All lists (of positions held, courses taught, publications, etc.) should be in reverse chronological order with dates clearly indicated.

Supporting material such as publications, slides, course materials, evaluative material (book reviews, published critiques, adjudicated production reviews, etc.) should be made available for review by the department and later by the dean and appropriate college committee. The candidate and department head/chair should agree on the selection of material to be made available. This material should not be forwarded to the University Promotion and Tenure Committee.

(2) Information to Be Supplied by the Candidate

a. A Standard Biographical Data sheet (PDF Form).

b. A percent breakdown of the allocation of time and effort for teaching, research/creative work, outreach, and service for the past three years.

c. A list of honors and awards. Include academic honors, teaching awards, fellowships (such as NEH, NEA), internal support (including professional improvement leave), election to professional societies, etc.

d. A list of scholarly contributions in accord with the following outline. A candidate should present his or her work as informatively and accurately as possible. A candidate should cross-reference work that falls in two areas (e.g., “See X.x.”). Librarians and archivists should interpret teaching to apply to performing as a librarian or archivist and adapt the following outline accordingly.

Scholarly Contributions by the Candidate

1. Teaching

a. Actual courses taught for each senmester of the past three years. Indicate lecture/lab hours per week and enrollment.

b. Graduate students whose work has been completed. Indicate degree awarded to the student, year, and, if known, position now held by the student; indicate whether the candidate was the major professor or a committee member.

c. Graduate students on whose committee the candidate is presently serving. Indicate whether the candidate is the major professor or a committee member. Indicate the degree the student is working for and the work that the candidate has done.

d. Courses and curricula developed.

e. Grants received related to teaching.

f. Publications pertaining to teaching. Include textbooks, manuals, articles on pedagogy.

g. Other contributions to teaching.

h. Statement of candidate's teaching philosophy and self-evaluation in terms of his or her stated values. This should be no longer than one page.

2. Research/Creative Work

For publications, provide complete publication data. In cases of multiple authorship, list names of all authors in correct order. Inform the committee of the significance of author order on publications in the candidate’s disciplines. Indicate percentage of the candidate’s contribution or describe the nature of the candidate’s contribution; indicate, by means of an asterisk, student contributions. Provide, in an appendix, proof of acceptance of publications in press and proof of publications of which acceptance is conditional. Do not submit manuscripts that have not been accepted for publication. For exhibitions and performances, provide dates and locations.

a. Books.

b. Article-length publications. Distinguish by type: book chapters, articles in refereed journals and invited articles, bulletins, proceedings, transactions, abstracts, book reviews, non-refereed articles, etc.

c. Papers or lectures. Distinguish by type: papers at professional meetings, invited lectures, etc.

d. Exhibitions. Distinguish between juried or invitational shows; identify work(s) and juror (juries); indicate regional, national, or international exhibitions.

e. Performances. Distinguish between local performances, out-of-town invitationals, concert series, etc. List musical compositions here.

f. Patents and inventions.

g. Other research/creative contributions.

h. Grants and contracts. Note all co-authors, identifying the principal investigator and the involvement of the candidate; indicate funding source and amount. Distinguish between grants received and grants applied for but not funded. (Note: internal support and NEH and NEA fellowships should be listed under Honors and Awards above.)

i. Description of candidate's scholarly program. Work in progress and work anticipated should be described in no more than one page.

3. Outreach

The purpose of this section is to document achievement in outreach scholarship. It is divided into two parts. Part 1 is a reflective commentary on the candidate’s outreach program or programs. It is intended to highlight and explain the candidate’s most significant contributions. Part 2 is a list of all of the candidate’s outreach activities and products.

    a. Commentary: The commentary should describe and explain the scholarship involved in one or more outreach programs that you consider the major achievements of your efforts. A program is a set of activities that share a common focus and depend upon a particular expertise. The entire commentary is limited to five pages, single spaced. Each program should include the following: a.  Description. Provide a brief overview of the needs addressed, the objectives, methods, and target audience. Describe selected activities and/or products from Part B that are most illustrative of the candidate's contribution to this program.

    1. Description. Provide a brief overview of the needs addressed, the objectives, methods, and target audience. Describe selected activities and/or products from Part B that are most illustrative of the candidate’s contribution to this program. Include example in the portfolio.

    2. Mission. Indicate how the program was compatible with university and unit missions.

    3. Scholarship. Describe the role of the candidate’s professional expertise in the design and execution of the program. Describe how the activities applied the candidate’s discipline to the needs of society, required integration with other disciplines, and/or generated new knowledge for the discipline and/or audience. Explain how this knowledge was communicated to broader audiences. Indicate how the program led to increased recognition of the candidate’s professional expertise by external audiences. Indicators would include requests for information; invitations to make presentations; service on review panels; receipt of contracts, grants, and professional awards, etc.

    4. Impact. Describe observed impacts and/or explain any unobserved impacts that are to be expected according to the discipline(s) applied. Identify the direct and indirect beneficiaries. Evidence of impact can include both quantitative results (e.g., changes in test scores, increased crop production, or widespread adoption of a product or technique) and qualitative results (e.g., testimonials from clients, reviews by knowledgeable scholars/critics).

    b. Activities and Products: List activities and products using the categories outlined below. There is no page limit on Part B, but candidates are encouraged to be concise in order to focus reviewers’ attention on the most important contributions. In particular, numerous activities or products of the same type should be summarized to the extent possible. Brief descriptions accompanied by examples and totals will suffice.

    1. Instructional activities: List the title or subject of each distinct course or presentation, the type (curriculum, course, workshop, exhibit. etc.), the duration (usually in hours), the candidate’s role in creating (developer, presenter), the target audience, the method of reaching the audience (conference presentation, telecommunications, site visit, etc.), and the number of presentations given.

    2. Technical assistance: List each type of assistance (e.g., job classification), the clientele, the contribution, and the number of times provided.

    3. Outreach publications: Distinguish by type as indicated in items B1–B3 (“Research/Creative Work”) above: books (including published manuals and reports), article-length publications, papers, and lectures. Provide complete publication data, including number of pages, names of all authors in correct order, and percentage of candidate’s contributions. Indicate all refereed or peer-reviewed publications.

    4. Electronic products: computer programs, websites, etc.

    5. Other outreach products: videos, job aids, etc.

    6. Copyrights, patents, and inventions.

    7. Contracts, grants, and gifts.

    4. Service

    a. University Service: Distinguish among service to the University, to the college/school, and to the department. University service as part of a previously held position may be listed here. Administrative work that reduces the candidate’s teaching or research assignment should be listed here.

    b. Professional Service: Service to professional associations and learned societies such as offices held, committees served on, etc.

 (3) Information to Be Supplied by the Department Head/Chair

Information should be supplied in each of the following areas:

A. Teaching

  1. Student evaluations. Include all student evaluations from at least one class per year for each of the three preceding years as follows: For each class include a copy of the questions asked, a summary indicating the spread of numerical responses to all questions, and all student comments in unedited form. If the University form is submitted, submit information on the required questions only and all student comments in unedited form. Indicate the grade distribution in each of these classes. If evaluations from more than three classes are available, the candidate should be consulted about which evaluations are to be included. The evaluations should reflect the candidate’s teaching in the different kinds of courses he or she is assigned to teach. The evaluation results should be condensed into as few pages as possible.

  2. Peer evaluations. Include peer evaluations for at least one class for each of the three preceding years. These should include assessment of syllabi, handouts, and exams, and assessment of the candidate’s conduct of the class. Reports based on team teaching are an acceptable form of peer review.

  3. Letters from thesis/dissertation students. Librarians and archivists may include letters from members of the academic community outside the library. Supporting letters in this category are optional. No more than three should be included.

B. Research/Creative Work

  1. Statement as to how the level of support (dollars, personnel, space, reduced teaching loads, etc.) provided to the candidate compares to others engaged in similar work in the department.

  2. Based on faculty input, an assessment of the quality of journals in which the candidate has published.

C. Outreach

  1. A statement of how the candidate's outreach program

    a. serves the mission of an appropriate university unit (which information may be obtained from the sponsoring unit if it is not the candidate’s own department), and

    b. reflects scholarship (e.g., of application or integration) in the candidate’s discipline. (See C.1.c above in“Information to Be Supplied by the Candidate.”)

  2. Participant, client, or peer evaluations from outreach activities. These letters may be solicited by the candidate or the department head/chair.

  3. D. Service
  1. Letters invited by the candidate addressing his or her work on college and University committees.

E. Confidential Letters from Outside Reviewers

The department head/chair (or the dean) shall solicit information from outside referees in the case of candidates nominated for full professor or librarian IV or archivist IV; he or she may do so in other cases. In consultation with the candidate and the faculty voting on the candidate, the head/chair (or dean) shall compile a list of potential evaluators. He or she shall then seek responses from at least three of the potential evaluators. These evaluators shall be people outside of Auburn University who are nationally acknowledged experts in the candidate’s field and can comment on the quality and reputation of the candidate’s work. If the evaluator is from an academic institution, he or she shall be of higher academic rank than the candidate. Letters from the candidate’s major professor for a graduate degree, from former graduate students, and from ongoing research partners are unacceptable. Evaluators may be associated with industry, government agencies, foundations, etc. If these letters arrive in time, they shall be made available to the voting faculty; otherwise, they shall be sent on to the Promotion and Tenure Committee. The letters from these outside referees shall remain confidential and shall not be made available to candidates at any time.

(4) Guidelines for External Evaluator Selection for Faculty Evaluation

Format for identifying potential evaluators of promotion and tenure candidates

http://www.auburn.edu/academic/provost/guidelines.html

(5) External Evaluation Sample Solicitation Letter

Example of letter needed to comply with promotion and tenure policy

http://www.auburn.edu/academic/provost/guidelines.html

D. Consideration of the Candidate

The candidate’s dossier (consisting of the departmental guidelines, weights for each performance area, information supplied by the candidate and the information supplied by the department head/chair), and supporting material shall be available for review exclusively by faculty eligible to vote on the candidate. After the faculty has had time to review the dossier and supporting material, the department head/chair, as a nonvoting participant, shall convene a meeting of all eligible faculty to discuss nomination of the candidate.

Confidentiality and the right of faculty members to express their viewpoints openly without fear of retaliation shall be the hallmarks of the discussion. Departmental deliberations shall be confidential to the extent permitted by law.

E. The Department’s and Dean’s Recommendation

After the candidate has made a presentation of his or her credentials if he or she so wishes, and after the faculty eligible to vote have had time to discuss the candidate’s qualifications in a closed meeting, a secret ballot shall be taken at the meeting of eligible faculty to determine the final recommendation of the department faculty. Faculty members may participate in the promotion and/or tenure recommendation in one of the following ways:

a. present and voting;

b. present and abstaining;

c. absent but submitting a written vote prior to the meeting; or

d. absent and not voting (this response does not count as part of the total vote).

The department head/chair, dean, and any other faculty member serving as an administrator who has an official vote on the candidate at a higher administrative level shall not vote at the departmental level. Faculty members who serve on committees at the school, college, or University level may choose to vote at the department level or at higher levels, but they may vote only once on candidates from their departments. Immediate family members shall excuse themselves from discussion and voting.

The department head/chair shall announce the vote at the meeting. The vote shall be transmitted itemized as a, b, c, and d as listed above in writing, first to the dean of the candidate’s college or school and the appropriate college committee, then to the Promotion and Tenure Committee along with the other information requested in this document.

The eligible department faculty who voted on a candidate’s promotion and/or tenure will write a summary letter that reflects the vote and represents all aspects of the discussion leading to that vote. The department head/chair will also write an evaluative letter with a recommendation for or against promotion and/or tenure. In addition to these two required letters, individual faculty members may write letters explaining why they do or do not favor promotion and/or tenure. Where there are fewer than three faculty members in a department who are eligible to write letters of evaluation, the head/chair may ask for letters from faculty members in other departments who have knowledge of the candidate’s professional performance. Letters should address the quality of research/creative work and the candidate’s potential for continued work, teaching effectiveness, effectiveness in the area of extension, service contributions, and, in tenure cases, potential to contribute as a productive and collegial member of the academic unit in all relevant areas. In the case of candidates for tenure-on-hire, letters from the candidate’s current colleagues as well as from Auburn faculty members are strongly encouraged and should address these same issues.

Faculty should bear in mind that letters to the Promotion and Tenure Committee are an important source of information for the committee. Letters can help the committee to make an informed judgment about the candidate’s collegiality by addressing the candidate’s performance of his or her duties within a department. Letters can also help the committee, whose members may not come from the candidate’s field, understand the significance of the candidate’s work and make a fair appraisal of it. Faculty, department heads/chairs, and chairs should note that, unlike letters from outside reviewers, which remain confidential, their letters will be made available to and may be rebutted by the candidate.

The department head/chair shall communicate the department’s vote to the candidate and also make available to the candidate all letters submitted by the committee, the department head/chair, and individual faculty members. After reviewing the letters, the candidate has five working days to write a rebuttal if desired. The candidate can also make an informed decision about whether or not to continue with the process of seeking promotion and/or tenure. If the candidate wishes to continue the process despite a negative recommendation, the department head/chair and dean shall honor the candidate’s request.

If there is a college committee, its members will review the dossier, letters, and the candidate’s rebuttal (if submitted), and they will vote by secret ballot. The committee will write a summary letter that reflects the vote and represents all aspects of the discussion leading to that vote. The dean will also write an evaluative letter with a recommendation for or against promotion and/or tenure. The dean shall communicate the college/school committee vote and make available to the candidate the college’s/school’s and dean’s letters. After reviewing the letters, the candidate has five working days to write a rebuttal if desired.

F. Submission of the Candidate’s Dossier

Provost’s Office’s approved format guidelines for submitting candidates’ dossiers

http://www.auburn.edu/academic/provost/pdf/Approved_Format_for_Candidate_Dossier.pdf

G. Schedule

Nominations for promotion and tenure shall be transmitted to the University Promotion and Tenure Committee. The specific date shall be announced in the annual call for nominations from the provost. The candidate’s dean and/or appropriate college committee shall request material early enough to allow for recommendations from the faculty, the department head/chair, and the dean as well as rebuttals from the candidate to be forwarded with the candidate’s dossier.

H. University-Level Review and Recommendation and Notification of the Candidate

The University Promotion and Tenure Committee shall review each candidate’s dossier. Should additional material be needed, the committee shall contact the candidate’s department head/chair or dean. The committee shall vote by secret ballot whether or not to recommend the candidate for promotion and/or tenure. Deliberations of the committee shall remain confidential. The committee shall send its recommendation along with the candidate’s dossier to the president for final action. The president will meet with the Promotion and Tenure Committee whenever the recommendation of the committee on a promotion and/or tenure decision is not accepted. The meeting will take place before the president announces the decision.

When the president approves a recommendation for promotion and/or tenure, the candidate shall be notified in writing by the president, with copies of the notification to the department head/chair, dean, and provost. The candidate shall receive a copy of the Personnel Action Form authorizing the change in rank. When the president does not approve a candidate for tenure and/or promotion, the candidate shall be notified in writing by the provost. If the decision is to deny tenure and/or promotion, a letter with the vote of the University Promotion and Tenure Committee and the specific reasons for denial will automatically be sent to the candidate. If a candidate who was not denied so requests, he or she shall be informed of the numerical vote and provided with a written statement.

Copies of the notification shall also go to the department head/chair and dean. If the president overrules a recommendation, he or she shall inform the Promotion and Tenure Committee in writing within a month’s time of the overruling and the reasons for it.

Candidates considered for tenure and promotion on the schedule noted above shall be notified of the decision no later than the end of spring semester. Candidates for rank and tenure-on-hire shall be notified in a timely manner. A list of newly promoted and tenured faculty shall be made public by the end of summer term.

If tenure is denied in the fifth year, the department head/chair may give the candidate a letter of noncontinuation. Should tenure not be granted during the sixth year, the head/chair shall give the candidate at least a 12 months’ notice of noncontinuation. Such a candidate may be considered for tenure during the seventh year of full-time service, but this consideration does not invalidate the noncontinuation notice unless tenure is granted. In no case shall a candidate be considered for tenure by the Promotion and Tenure Committee more than two times.

A tenured faculty member who resigns and leaves the University and then is reemployed in a faculty position similar to the one previously held may have his or her tenure reinstated on the recommendation of the tenured faculty of the affected department and on the approval of the department head/chair, dean, Promotion and Tenure Committee, and the president. A tenured faculty member in a department at Auburn University at Montgomery who accepts a faculty appointment on the main campus may be awarded tenure at the time of appointment only through the normal tenure process.

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3.6.6 Appeal of Promotion and Tenure Decisions ‡

Grounds for appeal exist when, in the opinion of the candidate, one or more of the following occurred:

  1. The denial of promotion or tenure resulted from the fact that all evidence in support of the candidate was not presented at the time of the original consideration by the University Promotion and Tenure Committee.

  2. The denial resulted from procedural irregularities concerning advisement and periodic review or a failure to follow promotion and tenure procedures of the department, college, school, or University.

  3. The denial was based significantly on considerations violative of academic freedom.

  4. The denial was based significantly on discrimination with respect to race, sex, religion, national origin, age, physical handicap, marital status, or sexual orientation in which case the matter shall be forwarded to the Office of Affirmative Action/Equal Employment Opportunity (AA/EEO) for investigation and recommendation.

A faculty member who contends unjust denial of promotion or tenure may choose to discuss the reasons for denial and the appeals process with the provost. Appeals must be made in writing to the provost through the department head/chair and dean within 14 calendar days of the date of the faculty member’s receipt of written notification of denial. The written request should include any relevant new material (not included in the original dossier) for the appeals committee consideration.

If the faculty member bases his or her appeal on alleged violation of academic freedom or discrimination, the appeal must include a statement of the grounds on which the allegation is based and evidence to support his or her case. If the faculty member succeeds in establishing a prima facie case, it is incumbent upon those who made the decision against continuation to come forward with evidence in support of their decision. Statistical evidence of discrimination may be used in establishing a prima facie case.

The provost shall respond promptly to the faculty member’s request for an appeal by forming an Appeals Committee and setting the date, time, and place for the hearing of the appeal.

The Appeals Committee shall be comprised of the following:

  1. One current member of the University Promotion and Tenure Committee, selected by the Promotion and Tenure Committee.

  2. Five former members of the University Promotion and Tenure Committee who represent the colleges, but not departments, of the appealing candidates.  If more than five members are needed to represent the appellants, more than five members will be chosen as needed. 

    Each year the Senate Rules Committee will provide a list of recommended members for the appeals committee based on the guidelines above; the Provost will choose that year’s committee members from this list.

After the merit of the appeal has been judged, the recommendations of the Appeals Committee and all supporting documents shall be submitted to the president for final action.

In the appellate process, appeals must be taken and decisions rendered so as to prevent postponing a promotion or tenure decision to the next year.

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Section 3.7: Evaluations and Reviews
(See also Chapter 4, Section 2.5, “Evaluation of Teaching”)

3.7.1 Performance Evaluation

All department heads/chairs and unit heads shall conduct at least one annual review before April 30 with each faculty member to evaluate his or her performance and to discuss his or her future development. In order to review the faculty member fairly, the head/chair shall request a current vita and any supporting material the head/chair or the faculty member deems appropriate prior to the review. More frequent reviews may be conducted at the discretion of the faculty member or the department head/chair.

In the case of faculty members who have not achieved tenure or promotion to associate professor or professor, particular care shall be taken by the department head/chair to relate the faculty member’s job performance to the promotion and tenure criteria set forth in this document and in applicable departmental guidelines that have been approved by the Provost’s Office. Significant achievements or deficiencies that might enhance or impede the candidate’s progress toward higher academic rank or tenure shall be noted.

The unit head shall prepare a written report summarizing the major points of the annual review. A copy of the report shall be provided to the faculty member within a month of the annual review. If there are no objections, the faculty member shall be asked to sign it as confirmation of having seen it. If the faculty member does not agree with the material in the report, he or she may write a response to be appended to the report. A copy of the signed report and response, if there is one, is to be retained for the faculty member’s departmental personnel file; another copy is to be given to the faculty member; a third copy is sent to the Office of the Provost. To the extent permitted by law, the report is to remain confidential, available only for the use of the concerned faculty member and any University officials who have supervisory power over the faculty member.

Each department shall conduct a third-year review of all its probationary faculty members. This shall take place no later than 32 months after initial appointment, normally before April 30 of the faculty member’s third year. The head/chair shall request a current vita and any supporting material the head/chair or the faculty member deems appropriate prior to the review. The particular focus of this review is the faculty member’s progress toward achieving tenure. The review therefore must address the criteria for tenure set forth in this document. To be maximally useful to the candidate and the department, the review shall involve the entire tenured faculty. In order for it to accurately reveal the judgment of tenured faculty, it shall conclude with a vote on whether or not, in the judgment of the tenured faculty, the candidate is making appropriate progress toward tenure. The result of the vote shall be announced at the meeting. Faculty should understand that this vote is not a commitment to grant or deny tenure in the future.

The head/chair shall prepare a written report covering the findings of the review, and characterizing the nature of the vote. The procedure described above for the report on the annual conference shall be followed, with the difference that this report may be consulted by the tenured faculty when the faculty member is a candidate for tenure; otherwise, the report is to remain confidential.

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3.7.2 Annual Tenure Review Guidelines

All nontenured, tenure-track faculty should be reviewed annually for progress toward tenure status. This should be viewed as a process to recognize strengths and also identify areas for needed improvements.

All nontenured, tenure-track faculty will be reviewed by the tenured faculty of his or her academic unit each year relative to progression toward tenured status and that the assessment of that progress be reported to the nontenured, tenure-track faculty member annually. The mandated third-year review described within this handbook will serve this purpose for nontenured, tenure-track faculty in their third year. The third-year review should be conducted in concert with the currently mandated annual review. In implementing the third-year review, department heads/chairs should design processes that provide for the following:

  1. Dissemination of information (possibly an updated curriculum vita and attached biographical data form) to all tenured faculty.

  2. Input from tenured faculty to department head/chair relative to adequate progression toward tenured status. This input should include issues of concern as well as recognition of accomplishments.

  3. Communication by the department head/chair (as a part of the annual review process) to the nontenured faculty member relative to adequate progression toward tenure. This communication should be a part of the written evaluation provided for in the annual review process and should include issues raised by the tenured faculty.

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    3.7.3 Post-Tenure Review Guidelines

1. Purpose

This document, prepared by the Provost’s Office after consultation with faculty leadership, outlines the post-tenure review policy to be used by the Office of the Provost beginning with the 2008-2009 academic year. Post-tenure review (PTR) is intended to support faculty development and productivity. It considers the professional quality with which faculty members discharge the academic duties associated with their positions. It does not consider whether the previously tenured faculty member would meet current standards for the awarding of tenure. The policy on post-tenure review is not a dismissal policy and should not be viewed as such; the University’s dismissal policy appears in Chapter 3, Section 9.2 of this handbook.

The purpose of post-tenure review at Auburn University is to enhance public trust in the University by ensuring that the faculty holds itself accountable to high professional standards. As chief academic officer of Auburn University, it is the responsibility of the provost—with advice from faculty leadership—to formulate, implement, enforce, and review and revise as needed the University’s policy and procedures for post-tenure review. Post-tenure review is a natural extension of Auburn University’s process of annual faculty evaluation as specified in this handbook. PTR requires tenured faculty whose annual overall performance is found unacceptable twice within any six-year period to undergo more extensive review, prepare a written plan for performance improvement, implement this plan, and show progress in restoring performance to a satisfactory (or even exemplary) level.

2. Faculty Annual Review

The faculty annual review process for Auburn University directs department heads/chairs and unit heads to conduct at least one annual review before April 30 with each faculty member to evaluate his or her performance and to discuss his or her future development. In order to review the faculty member fairly, the head/chair shall request a current vita and any supporting material the head/chair or the faculty member deems appropriate prior to the review. More frequent reviews may be conducted at the discretion of the faculty member or the department head/chair. In the case of faculty members who have not achieved tenure or promotion to associate professor or professor, particular care shall be taken by the department head/chair to relate the faculty member’s job performance to the promotion and tenure criteria set forth in this document. Significant achievements or deficiencies that might enhance or impede the candidate’s progress toward higher academic rank or tenure shall be noted. The head/chair shall prepare a written report covering the major points of the conference. A copy of the report shall be provided to the faculty member within a month of the conference. The faculty member shall be asked to sign it as confirmation of having seen it. If the faculty member does not agree with material in the report, he or she may write a response to be appended to the report. One copy of the signed report and response, if there is one, is to be retained for the faculty member’s departmental personnel file; another copy is to be given to the faculty member. This report is to remain confidential, available only for the use of the concerned faculty member and any University officials who have supervisory power over the faculty member.

The annual review process described above applies to all tenure-track faculty members at AU, including those who have already earned tenure, with the exception of faculty members holding full-time administrative assignments, who are evaluated using a different mechanism. It is an implicit assumption within this process that faculty members whose performance is found to be below expectations during the annual review will take the steps needed to restore performance to a satisfactory (or exemplary) level. The following are the minimum standards for departmental/school/college faculty annual reviews (FAR). Each FAR must include:

  1. The department head/chair’s (or dean’s) signature

  2. The faculty member’s signature

  3. The nature of the faculty member’s assignment, including the percentage of assignment devoted to teaching, research, outreach/extension, administration, and service

  4. A clear indication of any change (including the percentage assignment) in the faculty member’s assignment for the coming year

  5. Coverage of university mission areas (teaching, research, outreach/extension) in alignment with the faculty member’s individual assignment

  6. An indication of the faculty member’s performance in each of the university mission areas consistently using the following descriptors: “exemplary,” “exceeds expectations,” “meets expectations,” “marginal,” “unacceptable”

  7. Qualitative evaluative comments, and

  8. An indication of the faculty member’s overall performance level using the following descriptors: “exemplary,” “exceeds expectations,” “meets expectations,” “marginal,” “unacceptable.”

If the faculty annual review is to be used effectively as a trigger for post-tenure review, it is essential that faculty members know where they stand with respect to their performance. Overall “unacceptable” performance must clearly be specified as such on the faculty annual review form. It is the responsibility of every department head/chair/chair and dean to ensure that the annual faculty review is conducted properly in accordance with University policy and that any faculty member whose overall performance is judged “unacceptable” be clearly notified of such in writing on the evaluation form. The Office of the Provost will continue to audit all annual faculty reviews to make certain the minimum standards listed above are met consistently throughout the University.

    3. The Trigger Mechanism

    An overall “unacceptable” annual evaluation determined by the composite of the weighted evaluations of the faculty member’s workload assignments will put the tenured faculty member on warning that the PTR process may be triggered by a second overall “unacceptable” annual evaluation received during the next five years. (In other words, two overall unacceptable annual evaluations in a six-year period will trigger PTR.) It shall be the department head/chair’s responsibility, in consultation with the dean, to notify in writing, by May 15 of each year, the faculty member and the Office of the Provost whenever PTR is triggered by a second overall “unacceptable” evaluation during any six-year period. Failure to provide this notification does not negate the requirement for PTR.

    4. Review of Tenured Faculty Holding Full-Time Administrative Posts

    Faculty members holding full-time administrative assignments are to be evaluated by their administrative supervisors. They serve in their administrative posts at the pleasure of the University. They are exempt from PTR as faculty while serving as full-time administrators. However, any tenured faculty member whose administrative term expires becomes subject to the PTR triggering mechanism described in Section 3 above.

    5. Review Criteria

    The review assesses the quantity and quality of the faculty member’s work over the preceding six years with respect to his or her assigned duties in terms of teaching, research, outreach/extension, and professional and university service. These criteria are stated in general terms as the basis of an overall policy applicable to a wide range of academic disciplines. The criteria are flexible to accommodate differing expectations in different disciplines and changing assignments at different stages of faculty careers. The criteria for appraisal should reflect the overall mission of the unit or department and be sufficiently flexible to accommodate faculty with differing responsibilities who contribute to the mission of Auburn University in varied ways. The criteria shall be applied in a manner that respects and safeguards First Amendment rights and academic freedom and that produces a fair result. The application of the criteria shall not be biased by consideration of the faculty member’s race, sex, religion, national origin, age, physical handicap, marital status, or sexual orientation.

    6. Materials to Be Reviewed

    Once a faculty member has been identified for post-tenure review as described in Section 3 above, and the Office of the Provost and the faculty member have been notified by the faculty member’s dean and department head/chair, the Office of the Provost will send instructions to the faculty member, department head/chair, and dean regarding how to prepare the faculty member’s PTR packet. The faculty member and department head/chair are to prepare materials for review following these instructions, then submit them to the Office of the Provost through the Office of the Dean. The dean has the right and responsibility to review the packet before it is submitted to the Office of the Provost and to comment on the packet as desired. The materials for review include:

  1. Annual reviews by the department head/chair (or dean if the school has no departments) for the previous six years. (Note: For confidentiality purposes, these reviews will be retained in the Office of the Provost and will not be shared with anyone who is not in a direct line of administrative authority over the faculty member.)

  2. A current, comprehensive curriculum vita.

  3. A summary of accomplishments and plans during the faculty member’s past six years at Auburn University, prepared by the faculty member, not to exceed two pages in length.

  4. A letter of evaluation, not to exceed two pages, to the provost from the department head/chair through the dean (or from the dean if a school has no departments) that describes the duties assigned to the faculty member during the review period and assesses the satisfactoriness of the faculty member’s overall performance of the assigned work. The department head/chair is expected to consider the viewpoints of all tenured faculty in the department while preparing this letter. The procedure for doing so is described below in Section 7.

  5. If the faculty member wishes to waive his or her rights of confidentiality, copies of the faculty member’s annual reviews for the previous six years may also be included in the materials submitted for review.

7. Advice from Tenured Faculty

Prior to preparation of the department head/chair’s letter (described in Section 6, item 4), the department head/chair is to make available to all tenured faculty within the department for their review (a) the curriculum vitaeand (b) the summary of accomplishments and plans prepared by the faculty member. The tenured faculty are to inspect these documents and vote (by secret ballot: yes, no, abstain) whether or not the faculty member under review is discharging satisfactorily the academic duties associated with his or her position. The faculty member under review is to be informed of the results of the vote. The results of the vote—including the actual numerical vote— shall be included in the department head/chair’s letter.

8. University Post-Tenure Review Committee

The University Post-Tenure Review Committee shall consist of at least six tenured faculty members from representative schools and colleges plus the provost, who shall serve as chair. The president will appoint the members of the Post-Tenure Review Committee following the same process and with all the restrictions that currently apply to the selection of candidates for the University Promotion and Tenure Committee. All deliberations of the University Post-Tenure Review Committee are to remain confidential.

9. Outcomes

  1. The University Post-Tenure Review Committee, chaired by the provost, shall provide the faculty member with a concise written summary of its review and a conclusion as to whether the faculty member’s performance is deemed satisfactory. This summary is also to be provided to the dean and department head/chair. The faculty member shall have the opportunity to appeal this decision using the appeals process described in Section10.

  2. A faculty member whose performance the review committee assesses to be unsatisfactory will undertake a development plan to be prepared jointly by the faculty member and academic unit administrator and approved by the dean and provost. The development plan will outline what is needed to move the faculty member to a higher level of performance. It must have specific, measurable goals that can reasonably be attained during a 12-month period. Progress on all plans will be reviewed and assessed after 12 months using the procedure described in item 3 below. The nature and source of any resources needed to accomplish the plan must be spelled out in writing.

  3. At the conclusion of the 12-month development period, the faculty member will prepare a report summarizing his or her progress on achieving the goals specified in the development plan. This report shall be forwarded to the provost through the department head/chair and dean, who will jointly review the faculty member’s progress and prepare a report that is also submitted to the provost. Faculty members who are judged not to have demonstrated progress after completing a development plan will be notified and given an opportunity to respond to the provost before the imposition of further sanctions. The provost’s decision can be appealed using the process described in Section10. If the provost (or president through the appeal process) decides that sufficient progress has been made, the faculty member shall be deemed to have completed the post-tenure review process. The faculty member would be reviewed annually (along with other faculty) using the process described in Section II above. Further PTR shall not be required unless triggered by two subsequent overall “unacceptable” evaluations on annual reviews during another six-year period.

  4. Sanctions for failure to meet the goals specified in the development plan may include, but are not limited to, a letter of notice to the faculty member; withholding of merit-based salary increases; reassignment of duties; and loss of eligibility for such privileges as travel funds, summer appointments, internal grants, and professional improvement leave.

10. Appeals Procedure

There are two points in this process where decisions made by the provost can be appealed: (1) The PTR committee’s decision regarding unsatisfactory performance (step 1 in Section 9 above) and (2) the provost’s decision that the faculty member has not satisfactorily completed the development plan (step 3 in Section 9). In both cases the faculty member may appeal the decision in writing within ten working days of receipt of the provost’s decision. The appeal process will parallel the process used in cases of promotion and tenure appeals. The appeal will be made in writing to the PTR Appeals Committee, which consists of the PTR Committee plus two additional members as selected by the Rules Committee. The PTR Appeals Committee shall have ten working days to respond to the faculty member’s appeal and has the right to request and consider additional information beyond that listed in Section 7 if the committee believes such information is valuable for evaluating the appeal. The PTR Appeals Committee will make a recommendation regarding the appeal to the president for consideration. The president will render a decision within ten working days and that decision shall be final.

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3.7.4 Provost’s Administrative Review Guidelines

Requirement for deans and departmental leaders (e.g., chairs, heads, program chairs, and assistant department chairs) to undergo periodic comprehensive reviews with feedback from faculty, students, staff, and other administrators

http://www.auburn.edu/academic/provost/pdf/Administrative_Review_Guidelines_final.pdf

 

Section 3.8
Faculty Development

3.8.1 Professional Improvement Leave ‡

A professional improvement leave may be awarded for faculty development. One semester of leave with pay may be requested for each four years of full-time service. Applications for professional improvement leave shall be made through department heads/chairs and deans. These academic administrators shall be asked to provide additional information, and all applications must have their support. A written copy of the action taken by these administrators, with the additional information, shall be supplied to the applicant. The purpose of the leave should be consistent with departmental missions and goals. The application form, faculty vita, prospectus detailing the nature of the study, and other supporting documents should be forwarded to the provost according to the annual call. The application form is located on the provost’s website.

http://www.auburn.edu/academic/provost/forms/sabbatical.pdf

A. With Pay

In the interest of facilitating the improvement of the qualities of faculty that relate to teaching, research, and outreach, the University grants leave with pay for approved professional enrichment activities. The University recognizes the importance of activities that provide an opportunity for professional renewal and growth. Additionally, the University recognizes that an enriched faculty member can dramatically improve both the quality of research and the quality of the educational experience for undergraduate and graduate students taught or mentored by faculty. This paid professional improvement leave is awarded based on merit through an application process. To ensure maximum flexibility in improving and enriching the capabilities of faculty members from diverse backgrounds, no restrictions are placed on where the development activity occurs or the type of improvement activity that is to be pursued provided that the activity is approved through the application process. The following guidelines apply to paid professional improvement leaves:

A tenured faculty member is eligible for a professional improvement leave after six calendar years of full-time employment. He or she may be granted one semester at full salary or two semesters at half salary. In order to facilitate such leaves, department heads/chairs should arrange teaching loads and course offerings in such a way as to minimize the need for additional funding to the department. The University recognizes that departments in which faculty do not have research appointments will need extra help in providing such leaves.

The application must be accompanied by a proposed program that gives reasonable promise of contributing to the improvement of the applicant’s professional services to Auburn University. A fall deadline for applications for leave for the following academic year will be announced by the Office of the Provost. Application should be submitted through the department head/chair and the dean to the Office of the Provost. Professional improvement leaves are competitively awarded. Preference will be given to proposals of faculty who have a proven record of success in research, teaching, and/ or outreach.

A faculty member granted professional improvement leave must serve as a member of the Auburn faculty for one year after taking leave. If he or she does not do this, he or she must reimburse the University for the paid leave time. A faculty member granted professional improvement leave with pay must submit a written report of his or her activities and accomplishments to his or her dean and to the provost by the end of the first semester after returning to campus. A faculty member on leave with compensation may receive fellowship support or part-time teaching or research appointments that do not interfere with their programs.

Professional improvement leaves granted to the outgoing chair and secretary of the Auburn University Senate are not covered by the provisions of this program.

B. Without Pay

Leave without pay may be granted for appropriate professional improvement activities. Such leave is approved for a maximum of one year and generally may not be extended for more than one additional year. Faculty members on leave without pay have no formal obligation to return to Auburn, but are expected to give adequate notice (generally at least six months) if they decide not to return. On formal request by the faculty member, the University will continue in force group life and health care insurance programs, making the institution’s regular contributions. However, in cases where the professional improvement leave takes the form of employment with a government agency or with a firm or business relevant to the faculty member’s field of specialization, such University benefits will not be available if these fringe benefits are provided by the temporary employer. If the faculty member does not return to Auburn University for at least one academic year after such leave, the University must be reimbursed for its contributions to the person’s life and health insurance programs. A minimum period of five years of University full-time service must be completed by faculty in nontenure-track positions before they become eligible for professional improvement leave.

Application for professional improvement leave without pay should be submitted through the department head/chair or unit head, dean, and provost.

 

C. Professional Improvement Leave for Members of the ACES

Faculty members of the Alabama Cooperative Extension System (ACES) will accrue 20 days (official work days) of professional improvement leave for each year of employment. The maximum number of professional improvement leave days a faculty member may accumulate is 120 days. For additional information, interested faculty should contact ACES.

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3.8.2 External Residential Fellowships

Tenure-track or tenured faculty members who are successful candidates for external fellowships may request one or two semesters of leave. Applications for such leaves shall be made through department heads/chairs and deans. The purpose of the leave should be consistent with departmental missions and goals. In cases of external fellowships whose duration is at least one and not more than two full semesters of a nine-month academic year, and where the stipend or award offered by the external fellowship is insufficient to match the current base salary for the same period of time, Auburn University will offer to provide the salary difference when such funding is available. In most cases, the funding to make up the salary difference will be equally divided between the department and/or college or school and the central administration. A faculty member who is paid a salary difference must serve as a member of the Auburn faculty for one year after taking leave, or else he or she must reimburse the University for its portion of the paid leave time. Support for leave in this section is unrelated to other forms of leave described in the handbook. Faculty members who receive support from Auburn University that enables them to accept external fellowships shall remain eligible to apply for Professional Improvement Leaves with pay according to the schedule described in 3.8.1.

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Section 3.9
Termination of Faculty Appointments

3.9.1 Noncontinuation of Appointment ‡

Notice of noncontinuation prior to a tenure decision shall be given in writing to full-time faculty members on probationary appointment. If a faculty member whose appointment is not to be continued so requests, he or she shall be provided with a written statement of reasons why the appointment is not to be continued. If he or she believes that the decision was based on inadequate consideration in terms of the relevant standards of the institution, an appeal may be made to the Faculty Dismissal Hearing Committee to be considered under procedures to be developed by the committee and approved by the Provost’s Office. This committee shall review the faculty member’s allegation to determine whether the decision was the result of adequate consideration in terms of the relevant standards of the institution. If the committee believes that adequate consideration was not given to the faculty member’s qualifications, it will request consideration by the departmental tenured faculty indicating the respects in which it believes the consideration may have been inadequate. It will provide copies of the Review Committee findings to the faculty member and to the president.

The provisions for notice of noncontinuation described in this section apply only to full-time faculty members on probationary appointment. All full-time service, whether in a tenure-track position or not, must be counted in determining the length of notice required. The provisions are not applicable to terminations for cause or where a termination is specified in the appointment instrument.

The following schedule applies to notice of noncontinuation:

A. For academic year (nine-month) appointments:

  1. By February 15 of the first academic year of service.

  2. By December 31 of the second academic year of service.

  3. At least 12 months before the expiration of an appointment (May 15) for faculty members with two or more years of service, except that faculty members who are not to be reappointed due to failure to obtain tenure shall be given notice by August 15 that they will not be reappointed the following August.

B. For 12-month appointments:

  1. Six months prior to noncontinuation date during first three years of service.

  2. 12 months prior to noncontinuation after three years of service.

If shorter notice is necessary because of major enrollment shifts, program changes, or financial exigency, the affected faculty member shall be informed as soon as possible, and every effort shall be made to find another appropriate position in the University. It is anticipated that analyses of enrollment pressures can be made each fall in time for affected faculty members to be notified by November 15.

Nontenure-track faculty on continuing appointment are considered to have ongoing appointments until written notice of noncontinuation is given.

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3.9.2 Dismissal ‡

Termination of a tenured appointment shall be carried out by the University only for just cause and according to the procedures set forth in this statement. Just cause for dismissal of a tenured appointment shall be related, directly and substantially, to the fitness of faculty members to continue in their professional capacities as teachers, researchers, and/or outreach specialists.

Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens. Rights of due process, as described in this statement, shall also apply to any nontenured faculty member who is dismissed before completion of his or her appointment. Public statements and publicity about the case by either the faculty member or the University administration shall be avoided as far as possible.

Just cause for dismissal of a tenured appointment may result from actions of misconduct or may be directly related to the academic and/or administrative performance of a faculty member as described in this statement.

Just Cause Resulting from Misconduct: Dismissal of a faculty member for just cause resulting from misconduct includes, but is not limited to, actions that bear a significant relationship to fitness to continue to serve as a faculty member, such as:

  1. Conviction or admission of guilt in a court proceeding of a felony or of a crime involving moral turpitude during the period of employment, or prior thereto if the conviction or admission of guilt was willfully concealed. The most common elements of crimes of moral turpitude are fraud, larceny, and intent to harm persons or property. Specific crimes that are generally considered to involve moral turpitude include, but are not limited to, murder, voluntary manslaughter, aggravated assault, rape, domestic violence, prostitution, fraud and crimes where fraud is an element, theft, blackmail, malicious destruction of property, arson, bribery, and perjury.

  2. Conviction or admission of guilt in a court proceeding of a felony drug offense including, but not limited to, unlawful manufacture, distribution, sale, use or possession of a controlled substance or other illegal or dangerous drugs as defined by Alabama law.

  3. Intentional false swearing on official documents filed with the institution.

  4. Repeated convictions or admission of guilt in court proceedings of substantive misdemeanors.

  5. Significant or repeated violations of substantive University policy, rules or regulations, other than violations of professional ethics.

Just Cause Resulting from Performance: Dismissal of a faculty member for just cause resulting from academic and/or administrative performance includes, but is not limited to, actions that bear a significant relationship to fitness to continue to serve as a faculty member, such as:

  1. Serious or substantial violation of professional ethics in administrative, teaching, research, or outreach activities.

  2. Demonstrated incompetence in teaching, research, and outreach activities.

  3. Serious or substantial neglect of professional or academic responsibilities.

Initiation of Dismissal Proceedings: Dismissal proceedings against a faculty member shall be initiated by the provost. To initiate a dismissal action, the provost shall request an informal review of evidence in support of the charges brought against the involved faculty member and shall advise the faculty member of such actions. This request shall be made in writing to the members of the Faculty Dismissal Review Committee (“Review Committee”) consisting of:

  1. The immediate past chair of the University Faculty/Senate unless the faculty member involved is in the same college or school, in which case the past chair immediately preceding that person shall serve instead; and

  2. The most senior current member (in terms of years of service at Auburn University) of the University Post-Tenure Review Committee unless the faculty member involved is in the same college or school, in which case the second most senior member of the committee shall serve instead; and

  3. The most senior immediate past member of the University Promotion and Tenure Committee unless the faculty member involved is in the same college or school, in which case the second most senior immediate past member of the committee shall serve instead.

The Review Committee shall elect a member to serve as chair to conduct the review.

The extent of this informal review undertaken by the Review Committee shall be to determine whether sufficient credible evidence exists to serve as a reasonable basis for proceeding with the dismissal process. In doing so, the Review Committee may conduct interviews and request documents and records. However, this review shall be undertaken expeditiously and is not intended to collect and examine all of the evidence that may exist or may become available during the course of an investigation. The Review Committee shall not seek to make a determination of guilt or to predetermine the likelihood of a subsequent recommendation for dismissal to be made later in the dismissal process. This review shall not involve legal counsel on either side other than the providing of legal advice to the faculty member outside of the review process.

The results of the informal review by the Review Committee shall be forwarded in a report to the provost within 30 calendar days of the provost’s request for a review. The Review Committee may also forward any recommendations concerning an informal resolution that may develop during its review. All materials forwarded to the provost by the Review Committee shall become part of the official record for the case.
Should the provost decide to proceed with the dismissal process, he or she shall, in a meeting with the faculty member, present the faculty member with a written statement of the specific charges accompanied by a copy of this statement of procedures. After being presented with the charges by the provost, the faculty member has the right to request a hearing on the charges. The request shall be made to the provost in writing within five working days after the meeting. The provost shall set the tentative hearing date and notify the faculty member.

The faculty member also has the right to attempt to reach a resolution in meetings with the provost at any time during the review or hearing process.

If the faculty member waives the right to a hearing, the matter shall be referred to the president. The president shall review the charges and evidence and provide the faculty member with an opportunity to rebut the charges, orally and/or in writing. The president will then make a final decision regarding the disposition of the case, either assigning the case to the Hearing Panel or dismissing the case.

Hearing Panel: For purposes of conducting a dismissal hearing and immediately prior to the beginning of the hearing, the Faculty Dismissal Hearing Committee (“Hearing Committee”) shall be reduced to a Hearing Panel consisting of five sitting members. Any member of the Hearing Committee may be excused as a result of personal involvement in the case or for other justifiable reasons. The faculty member and the University administration shall have the option of challenging and having struck from the Hearing Committee up to two members each without stated cause. The challenges shall be in alternate order, with the faculty member being allowed the first challenge. Whatever further reduction is necessary to arrive at five members shall be accomplished by lot. If the chair of the Hearing Committee is removed, the remaining Hearing Panel members shall elect a chair for the case under consideration. The chair of the Hearing Committee shall not be subject to removal by lot.

Dismissal Hearing: In addition to the written notice of charges, written notice of the names of known witnesses and the general nature of evidence expected to be presented shall be served to the faculty member by the provost at least 20 calendar days prior to the tentative hearing date. At this time, the provost, upon consultation with the Hearing Panel, will also set the official hearing date. Any evidence or names of witnesses received after this notice has been served shall be communicated promptly to the faculty member. The faculty member shall respond to the notice by either waiving the right to be heard in writing or by responding to the charges in writing no later than ten calendar days prior to the hearing. If the faculty member submits a response, such response shall include an admission or denial of the factual allegations underlying the charges, as well as an explanation of any mitigating circumstances that may be related to the events that resulted in the charges. If the faculty member admits to the charges, the hearing before the Hearing Panel will be limited to the issue of whether dismissal or sanctions of the faculty member are warranted under the undisputed facts.

If the faculty member waives the right to be heard or otherwise fails to respond, the Hearing Panel shall proceed to evaluate all available evidence in the record and submit its recommendation to the president.

All Hearing Panel proceedings shall be private and closed to all persons other than those officially involved, unless the accused faculty member requests otherwise. Such a request shall constitute a waiver of any claim resulting from public disclosure of the information during the hearing. If the faculty member requests that the hearing not be closed, the Hearing Panel shall make the final determination on whether the hearing is closed after considering both the privacy interests of the accused and any witnesses involved.

The faculty member has the right to be accompanied by legal counsel, chosen by the faculty member, and shall also be permitted the assistance of an academic advisor during the hearing. The provost, or his or her designee, shall also be permitted the assistance of an academic advisor, and if the faculty member is represented by counsel at the hearing, the provost or designee shall also have the right to be accompanied by counsel at the hearing. However, if counsels are present, neither counsel may participate in the hearing other than through providing legal advice to their clients.

The provost or designee shall direct the presentation of charges by such parties, other than legal counsel, as he or she may select. A verbatim record of the hearing shall be taken and a copy made available to the faculty member by the provost without charge if requested. After all of the evidence has been presented, the Hearing Panel shall conduct its deliberation in closed session outside the presence of anyone other than Hearing Panel members. The burden of proof that just cause exists for dismissal shall rest upon the University and shall be satisfied only by clear and convincing evidence in the record considered as a whole. In a hearing on charges of incompetence, the testimony shall include that of qualified faculty members from this or other institutions of higher education.

The Hearing Panel shall not be bound by strict rules of legal evidence; however, it shall make every effort to obtain the most complete and reliable evidence available that is relevant and material to the charges. Accordingly, character testimony will ordinarily not be admissible on the question of the charges but may be admissible on the issue of sanctions. The Hearing Panel shall grant adjournments to enable either party to investigate evidence if a valid claim of surprise is made.

The faculty member shall be afforded opportunity to obtain necessary witnesses and documentary evidence, and the administration of the University shall, insofar as it is possible for it to do so, secure the cooperation of such witnesses and make available necessary documents, communications, and other evidence within its control. The faculty member and the administration shall have the right to confront and cross-examine all witnesses. Witnesses may be accompanied by legal counsel, but such counsel may not participate in the hearing other than through providing legal advice to the witness. Where witnesses cannot or will not appear, but the interests of either party justify the admission of written statements, such statements by identified individuals may be considered by the Hearing Panel. The findings of fact and the decision will be based solely on the hearing record.

Hearing Panel Recommendation: The written majority recommendation of the Hearing Panel shall be presented to both the president and the faculty member within 60 calendar days of referral of the matter. For good cause shown, the provost, at the request of the Hearing Panel, can extend the period for an additional 30 calendar days where factors warrant. If the Hearing Panel recommends dismissal and the president sustains their recommendation, the president’s decision will be final. The president shall so notify the Hearing Panel and the faculty member, and the case shall be considered closed.

If the Hearing Panel concludes that just cause for dismissal has not been established but other sanctions may be appropriate, the Hearing Panel can recommend such sanctions in its report to the president. These sanctions may include, but are not limited to, a written warning, a summary of the charges and results being included in the faculty member’s annual performance review, financial penalties, and/or reassignment of work responsibilities. If a faculty member demonstrates repeated behavior that the Hearing Panel concludes still does not warrant dismissal, sanctions of a progressive nature can be recommended to the president.

If the president rejects the recommendations of the Hearing Panel regarding dismissal and/or sanctions, he or she shall state such objections in writing to the Hearing Panel and to the faculty member. The Hearing Panel shall reconsider the case, taking into account the stated objections of the president to the original recommendations and receiving new evidence if available. This reconsideration is not intended to conduct another full hearing with witnesses, only to consider the president’s objections and any new evidence that may have become available. The faculty member shall be informed of any new evidence and be offered the opportunity to provide a response to it before the reconsideration takes place. The Hearing Panel will provide a written statement on this reconsideration to the president and the faculty member within 15 working days of receiving the president’s request for reconsideration. The president shall make a final decision only after studying the Hearing Panel’s reconsideration statement and officially notify the faculty member of this decision to complete the official hearing process.

Suspension Pending the Outcome of the Dismissal Process:

Suspension with Pay: Suspension of the faculty member with pay prior to, or during the dismissal process, is justified if harm to students, faculty, or the University could result unless immediate removal of the faculty member is affected, or if the faculty member has been charged with, or indicted for, a felony. Suspension under these circumstances will be the decision of the provost upon consultation with the Review Committee. If immediate suspension is determined by the provost to be necessary, the faculty member’s salary will be continued during the period of suspension until the conclusion of the normal dismissal process or until the faculty member pleads guilty to, or is convicted of, the felony or other serious crime.

Suspension without Pay:Suspension of the faculty member without pay will be the decision of the provost upon consultation with the Review Committee in cases where a faculty member pleads guilty to, or is convicted of a felony or other serious crime. The action of suspension without pay shall be taken pending the outcome of the normal dismissal process and will only take place after completion of the following procedure:

  1. The faculty member will be provided notice of the charges and the basis of those charges;

  2. The faculty member will be provided an explanation of the evidence; and;

  3. The faculty member will be provided an opportunity to refute the charges in an informal meeting with the provost.

Terminal Salary: A terminal salary shall not be provided to a faculty member who is dismissed as a result of misconduct as described above (see “Just Cause Resulting from Misconduct”).

A terminal salary shall be provided to a faculty member who is dismissed as a result of performance as described above (see “Just Cause Resulting from Performance”) according to the following schedule:

  1. Three months if the dismissal decision is reached three months prior to the expiration of the first year of probationary service.

  2. Six months if the dismissal decision is reached after nine months but prior to 18 months of the expiration of the second year of probationary service.

  3. Twelve months if the dismissal decision is reached after 18 months of probationary service or if the faculty member has tenure.

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    3.9.3 Termination because of Financial Exigency ‡

In the event that financial stress poses a threat to University programs or continuation of faculty employment, the nature and extent of the situation shall be demonstrated to faculty by appropriate documentation. An explanatory statement shall be issued by the president, after consultation with the leadership of the University Senate, to the University Faculty concerning the financial condition of the University and the relation of that condition to all units and programs. Faculty and administrators shall then be involved in formulating plans that could result in discontinuation of programs or dismissal of personnel. A review process that includes the considerations noted below shall be implemented to guarantee the right of due process to those affected.

If the administration issues notice to a faculty member of an intention to terminate his or her appointment because of financial exigency, the faculty member shall have the right to a full hearing before a faculty committee. The hearing need not conform in all respects to one conducted by the Faculty Dismissal Hearing Committee, but the essentials of an on-the-record adjudicative hearing shall be observed. The issues in this hearing may include:

  1. The existence and extent of the condition of financial exigency. The burden of proof shall rest on the University.

  2. The validity of the educational judgments and the criteria for identification for termination. The recommendations of a faculty body on these matters shall be considered valid.

  3. Whether the criteria are being properly applied in the individual case.

If the University terminates appointments because of financial exigency, it shall not make new appointments at the same time except in extraordinary circumstances where a serious distortion in the University’s teaching, research, or outreach program would otherwise result. The appointment of a faculty member with tenure shall not be terminated in favor of retaining a faculty member without tenure.

Before terminating an appointment because of financial exigency, the University, with faculty participation, shall make every effort to place the faculty member concerned in another suitable position within the University.

In all cases of termination of appointment of a tenured faculty member because of financial exigency, the faculty member concerned shall be given severance pay in accord with the terminal salary schedule described in Section 3.9.2 (“Dismissal”) above.

In all cases of termination of appointment because of financial exigency, the place of the faculty member concerned shall not be filled by a replacement within a period of three years unless the released faculty member has been offered a reinstatement

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3.9.4 Termination without Financial Exigency ‡

Termination of a tenured appointment or a probationary appointment before the end of the specified term may occur as a result of bona fide formal discontinuance of a program or department. The following standards and procedures shall apply:

  1. The decision to discontinue formally a program or department shall be based essentially upon educational considerations as determined primarily by the faculty as a whole or an appropriate faculty committee. It should be recognized that educational considerations do not include cyclical or temporary variations in enrollment. They must reflect long-range judgments that the educational mission of the University as a whole shall be enhanced by the discontinuance.

  2. Before the administration issues notice to a faculty member of its intention to terminate an appointment because of discontinuance of a program or department, the institution shall make every effort to place the faculty member in another suitable position. If such placement would be facilitated by training, financial and other support for such training shall be proffered. If no position is available, the faculty member’s appointment may be terminated but only with a severance salary equitably adjusted to the faculty member’s length of past and potential service.

  3. A faculty member may appeal a proposed relocation or termination resulting from a discontinuance and has a right to a full hearing before a faculty committee. The essentials of an on-the-record adjudicative hearing shall be observed. The issues in such a hearing may include the institution’s failure to satisfy any of the conditions in this section of the Faculty Handbook. In such a hearing, a faculty determination that a program or department is to be discontinued shall be considered presumptively valid, but the burden of proof on other issues shall rest on the administration.

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Section 3.10
Retirement

3.10.1 Retired Faculty ‡

If appropriate, a retired faculty member may be invited to serve on committees. If need warrants, a retired faculty member may be invited to teach in a limited way in his or her former department; such an invitation is at the discretion of the department head/chair with the amount of compensation governed by the retirement and Social Security system’s guidelines. Additional privileges are extended to retired faculty with emeritus status.

3.10.2 Retirement Promotion Policy and Procedures ‡

A faculty member who has served well at least 15 years at the rank of assistant professor at Auburn may be granted a retirement promotion to the rank of associate professor after he or she has reached the age of 64.

The retirement promotion is approved administratively by the provost and the president on the recommendation of the department head/chair and dean; it does not require detailed justification or review by the Promotion and Tenure Committee. The recommendation should be made only when the effective date will occur within the 12-month period immediately prior to the faculty member’s known retirement date. A retirement promotion is for the purpose of allowing a faculty member to qualify for emeritus status; such a promotion does not bear a relationship to salary improvement or retirement income.

Any individual who receives a retirement promotion is eligible on retirement for emeritus status.

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3.10.3 Emeritus Status Policy and Procedures

Eligibility: Emeritus status may be awarded on retirement to faculty holding the rank of professor, associate professor, or their equivalents with ten years or more of sustained meritorious service to Auburn University. Faculty entering into retirement as the result of a disability must meet these eligibility standards, but may be exempt from the ten-year requirement. This honorary title may be awarded posthumously. Faculty holding a titled professorship at the time of retirement may transfer the title to emeritus status. The president may award emeritus status to other university retirees not holding faculty rank but meeting the qualification of ten years or more of sustained meritorious service to Auburn University.

Procedures: The faculty member may request consideration for emeritus status through the department head or chair, with the concurrence of the dean of the college or school. The dean will provide information and a recommendation concerning the faculty member’s eligibility to the provost. This information and recommendation shall include the results of a vote on the awarding of emeritus status taken from all department faculty. The provost will then make a recommendation to the president, who will act upon the recommendation and advise the faculty member and dean.

Privileges: Departments, colleges, and schools are encouraged to invite emeritus faculty to serve as lecturers, substitute instructors, and consultants, providing such faculty an opportunity for continued visibility at the University as a reflection of their experience and past service to the University. To this end, emeritus faculty may be provided the following privileges and courtesies.

  1. The names of all emeritus faculty will be included in a special section of the University Bulletin.

  2. Emeritus faculty are encouraged to participate in university events and are provided access to such events and the social and recreational resources of the university.

  3. Emeritus faculty retain faculty access to the University Libraries, including all services normally provided active faculty.

  4. Emeritus faculty may audit any Auburn University instructional course offering at no charge when space is available and with the approval of the instructor of the course.

  5. Emeritus faculty are encouraged to participate in extramural contracts and grants through the University.

  6. Emeritus faculty retain the parking, university ID card, network, and e-mail privileges normally assigned to active faculty.

  7. At the discretion of department heads or chairs and college or school deans and based on the availability of these resources, emeritus faculty may be provided office space, office support, mailing privileges, laboratory space, and library carrels when used for professional purposes in support of the University’s mission.

  8. The president may designate other privileges to emeritus faculty.

Last Updated: August 15, 2014