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Winthrop University Faculty Manual
CHAPTER III: FACULTY EMPLOYMENT
FACULTY RECRUITMENT OVERVIEW Please also refer to the Academic Affairs Recruitment Policy as well as the Winthrop University’s Procedures for Recruitment and Hiring of Unclassified Personnel for detailed procedures. Copies of both of these documents are available in the offices of the deans, chairs, Vice President for Academic Affairs, and Office of Human Resources and Affirmative Action. No search may begin until approval by the Vice President for Academic Affairs has been given to the dean to fill a vacancy or to recruit for a new faculty position. The Chair of the Search Committee and the individual who will handle the paperwork for that committee are to consult with the Coordinator of Personnel and Budgets for Academic Affairs, Office of the Vice President for Academic Affairs, regarding procedures. Please also contact the Affirmative Action Representative in the Office of Human Resources and Affirmative Action to discuss policy and procedures. A goal of the University is to increase the number of minority faculty and every effort should be made to develop a representative pool of candidates for each position. Request to fill faculty position. Procedures for filing formal vacancy notices, advertising vacancies, and gaining permission to interview candidates are described in detail in the Academic Affairs Recruitment Policy document. All forms must be submitted in the proper order with the appropriate signatures. Affirmative Action. The Affirmative Action Representative reviews the Applicant Referral Grids to ensure that appropriate procedures have been followed. If there are concerns regarding the pool of candidates recommended for interview, the Affirmative Action Representative consults with the search committee chair or dean, and/or vice president as necessary. Folders of candidates are forwarded to the Vice President for Academic Affairs after the Affirmative Action Representative signs the Applicant Referral Grids and each Approval for Interview and Hire form. The Vice President for Academic Affairs signs off on the Applicant Referral Grids and signs the Approval for Interview and Hire form of each candidate approved for interview. Folders of candidates are returned to the dean or search committee chair. Offer. The dean completes the bottom section of Approval for Interview and Hire form for candidate to whom offer is to be extended as well as for those candidates who are not offered the position. The dean is to enter under Item A (other details for letter of offer) any special arrangement; e.g., credit toward the probationary period for tenure, time limitation on completion of degree requirements, etc. Arrangements between the Dean/Candidate and VPAA not entered on this form will not be included in the letter of offer. An official transcript for the candidate's folder. If official transcript is not on hand, confirmation by Office of Registrar where candidate received highest degree is necessary. Notation regarding this confirmation as to date of phone call, name of individual who provided the confirmation and date of conferral of degree is to be entered into the file. Letter of offer will not be issued without proof of highest degree. If official proof is not on file, once candidate has signed letter of offer, such proof must be requested of candidate by chair or dean. Dean sends folders to Affirmative Action Representative for approval and folders are forwarded by Affirmative Action Representative to the Vice President for Academic Affairs for approval. Upon approval by the VPAA, the dean is notified. Dean makes verbal offer to candidate. If verbal offer is rejected, search committee chair revises appropriate Approval for Interview and Hire form and Applicant Referral Grid I to offer position to other acceptable candidate or to request additional interviews. Upon acceptance of verbal offer, the dean notifies Coordinator of Personnel and Budgets for Academic Affairs and letter of offer is prepared for the President’s signature. Acceptance of Letter of Offer. When candidate’s written acceptance is received, copy is sent by Coordinator of Personnel and Budgets for Academic Affairs to the dean who initiates a Personnel Action Form. The PAF is sent to the Budget Office for approval prior to signature by VPAA. Completing Hiring Process. After acceptance letter of candidate is received, search committee chair sends letter to applicants who were interviewed, but not offered position. The dossier of the candidate who is hired for the position is to remain in the office of the dean or chair. All search records are to be retained by either the dean or chair for a period of two years. If there is a pending or unresolved complaint/grievance, then the records would be retained until such action is resolved.
Tenured, Tenure-Track and Nontenure-Track Appointments have the service status of Regular, Restricted or Other. Tenured
Tenure-Track
Nontenure-Track
APPOINTMENTS/SERVICE STATUS Regular Service Status. Regular service status denotes service to the University for those individuals on a half-time or more appointment who are tenured or tenure-track faculty. Appointments in regular service status will be at the rank of Assistant Professor, Associate Professor, or Professor. A tenured appointment is a regular service status appointment which is continuous. Tenure will not be granted upon initial appointment, but credit toward the probationary period for Tenure may be granted. (See Chapter III, Conditions and Procedures for Granting Tenure, Credit Toward Probationary Period for Tenure.) Service shall be terminated by a faculty member only by voluntary retirement, disability which impairs job performance and which cannot be remedied by reasonable accommodation, or resignation. Service of a faculty member shall be terminated by the University only for adequate cause, termination on account of financial exigency, or change of institutional program, as determined in the termination procedure contained in Appendix II. Transfers in Regular Service Status. Faculty members who achieve tenure, and who are employed on a full-time basis when tenure is granted, will continue on a full-time basis. Shifts of tenured persons from full-time to less than full-time employment, or vice versa, will only be made upon specific agreement between the faculty member and the administration or as necessitated by financial exigency. A tenure-track appointment is a regular service status appointment and is granted for a specifically limited term, usually one academic year, subject to renewal. This appointment denotes a regular faculty appointment with all the privileges and responsibilities that constitute either full-time or half-time service. Credit toward tenure is given only for a full academic year of probationary service. To receive credit for a full academic year of probationary service, an appointment must begin before December 1. The time spent in leaves of absence granted for medical or administrative reasons will not be counted toward the probationary period. The time spent in a scholarly leave of absence (as determined by the Vice President for Academic Affairs) for one year or less will count as part of the probationary period as if it were credit for prior service. (See Chapter III, Conditions and Procedures for Granting Tenure, Credit Toward Probationary Period for Tenure.) Restricted Service Status. Restricted service status denotes service to the University for those individuals in a temporary, nontenure-track appointment. Appointments in restricted service status will be at the rank of Instructor, Assistant Professor, Associate Professor, or Professor. The restricted service contract is granted for one academic year at a time, limited to six years of full-time employment. This temporary contract does not imply any obligation for renewal. The term "temporary" denotes a limitation with regard to the employment period only and does not imply limitation with regard to faculty privileges and responsibilities unless so designated in the employment contract and/or the University Bylaws. Time spent in temporary appointments may, at the option of the administration, be counted toward the period leading to tenure if the individual is later granted a tenure-track appointment. (See Chapter III, Conditions and Procedures for Granting Tenure, Credit Toward Probationary Period for Tenure.) Other Service Status. Faculty with Multi-year contracts. Nontenure-track appointments may be at any academic rank. Multi-year contracts are not a substitute for tenure-track appointments. Lecturers. Nontenure-track appointments at the rank of Lecturer are for individuals who are appointed on a semester basis to teach one or more specific courses or to conduct a series of lectures. The appointment may be renewed, but Lecturers are not eligible for tenure. Each nominee for appointment to the rank of Lecturer is expected to hold an earned Master's degree. Comparable academic preparation and/or professional achievement appropriate to the field may be substituted. Adjunct faculty. Nontenure-track appointments of an Adjunct Assistant Professor, Associate Professor, or Professor will be tendered to individuals who serve in some capacity relative to their expertise and without remuneration. The appointment will be for a designated period of time, upon the recommendation of the department chair and dean and the approval of the President of Winthrop University. Appointments may be renewed. Visiting Faculty. Nontenure-track
appointments of a Visiting Assistant Professor, Associate Professor, or Professor will be
for a specific period of time, usually one academic year. LETTERS OF OFFER/CONTRACTS The terms and conditions (beginning date of employment, service status, academic rank, salary, credit toward probationary period for tenure, and any special arrangement regarding completion of degree) of every faculty appointment will be stated in writing and will be in the possession of both the institution and the faculty member before the appointment. Specific academic requirements may be provided by the appropriate dean in writing to the faculty member. Employment contracts are issued by the President of the University, upon recommendation of the appropriate administrative official, for all members of the faculty and senior-level administrators. Contracts are normally issued after the governor has signed the Appropriations Act. Nine-month contracts are for the period August 16 through May 15, and twelve-month contracts are for the fiscal year, July 1 through June 30.
ACADEMIC RANK Academic rank is predicated on academic preparation, teaching ability, personal qualifications, professional services, scholarship, concern for advising and counseling students, and other related factors. Instructor. Each nominee for appointment to the rank of instructor is expected to have earned the master's degree and to offer evidence or promise of competence in teaching and professional service. Instructors are appointed for a term of one year only, but appointment to additional one-year terms is permitted. Instructors are not eligible for tenure. Comparable academic preparation and/or professional achievement appropriate to the field may be substituted for the master's degree.
Assistant Professor. Each nominee for appointment or promotion to the rank of assistant professor is expected to hold an earned doctoral or appropriate terminal degree and to offer evidence of potential in teaching, scholarship, and professional service. Faculty in this rank are eligible for tenure if in a tenure-track appointment. Comparable academic preparation and/or professional achievement appropriate to the field may be substituted for the appropriate terminal degree. Associate Professor. In addition to the criteria for assistant professor, each nominee for appointment or promotion to the rank of associate professor, a senior rank in the faculty, is expected to hold a terminal degree, evidence of effective teaching, productive scholarship and professional involvement, and appropriate professional service and academic responsibility. Faculty in this rank are eligible for tenure if in a tenure-track appointment. At time of hire, in exceptional cases, comparable academic preparation and/or professional achievement appropriate to the field may be substituted for the appropriate terminal degree. Professor. In addition to the criteria for associate professor, each nominee for appointment or promotion to the rank of professor, the highest rank in the faculty, is expected to hold a terminal degree, offer evidence beyond that requisite for other ranks, of maturity and leadership, as well as superiority in teaching, scholarship, and professional involvement, and professional service and academic responsibility. Faculty in this rank are eligible for tenure if in a tenure-track appointment. At time of hire, in exceptional cases, comparable academic preparation and/or professional achievement appropriate to the field may be substituted for the appropriate terminal degree.
EMERITI FACULTY In recognition of faithful service, Winthrop University confers the title of Emeritus on those assistant professors, associate professors, and professors who, at the time of their retirement from the University, were serving in that capacity and who have had a minimum of ten years of service at Winthrop. The names of retired faculty members so designated appear in the University Catalog under a separate heading. This policy does not exclude administrative personnel holding academic rank. However, the policy pertains only to academic rank; administrative titles may be conferred at the pleasure of the Board. Various privileges may be extended to the Emeriti faculty upon retirement, including the use of on-campus parking space, the use of the Library, the privilege of purchasing tickets at faculty rates, attendance at the Faculty Conference as nonvoting members, an email address, and the use of University recreational facilities. Emeriti may request of the appropriate dean the use of available office and/or laboratory space. To facilitate the above privileges, each Emeritus faculty member is issued a permanent special identification card.
ACADEMIC FREEDOM AND TENURE Academic Freedom. All members of the faculty are entitled to academic freedom as set forth below from the AAUP 1990 Statement of Principles and Interpretive Comments: Academic Freedom and Tenure. 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. 3. College and university teachers are citizens, members of a profession, and officers of an educational institution. When they speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As scholars and educational officers, they should remember that the public may judge their profession and their institution by their utterances. Hence, they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution. Academic Tenure. All tenure-track and tenured members of the faculty are entitled to the principles of tenure as set forth in this Manual as adapted from the 1990 AAUP Statement of Principles and Interpretive Comments: Academic Freedom and Tenure. Academic tenure refers to the conditions and guarantees which apply to a faculty member’s professional employment as determined in accordance with the provisions of the Faculty Manual. Academic tenure exists at Winthrop University by virtue of the action of the Board of Trustees. Faculty members are granted tenure when they have met the qualifications as prescribed by the Board of Trustees. After the expiration of a probationary period, faculty members who are granted tenure will have appointment until retirement, resignation, dismissal for adequate cause, or termination because of financial exigency, change of institutional program, or disability which impairs job performance and which cannot be remedied by reasonable accommodation. Tenure is granted to maintain and promote academic freedom and faculty quality. As a visible manifestation of the institution's commitment to the faculty member, tenure offers assurance of career continuity which is often essential to a reciprocal faculty commitment to long-term programs of study and research by which the frontiers of knowledge are expanded.
CONDITIONS AND PROCEDURES FOR GRANTING TENURE The awarding of tenure to a tenure-track faculty member will be based primarily upon teaching effectiveness at Winthrop and scholarly attainment and professional recognition. The following is Winthrop University's policy:
Credit Toward Probationary Period for Tenure Credit toward the probationary period for tenure may be given at the time a tenure-track appointment is made. The number of years of prior service which will be credited toward the six years of probationary service will be stated in the REMARKS section of the Personnel Action Form. Credit may be given for:
In determining the amount of prior service which may be credited to a faculty member, no credit shall be given for summer school teaching at Winthrop or elsewhere. Once credit for prior service is negotiated, a faculty member cannot give it up. It is, therefore, incumbent on the faculty member, dean and/or hiring officer to enter negotiations for prior credit with this in mind. During the probationary period, a faculty member may be granted leaves of absence. The time spent in leaves of absence granted for medical or administrative reasons will not be counted toward the probationary period. The time spent in a scholarly leave of absence for one year or less will count as part of the probationary period as if it were credit for prior service. The designation of a faculty appointment as tenure-track does not imply that the appointment will automatically lead to tenure. Each year during the probationary period, the faculty member's performance shall be carefully assessed, and the dean and/or chair shall provide an opportunity to discuss the evaluation with the individual faculty member. The department chair must provide annual evaluations for the three years prior to the candidate's being considered for tenure. Pre-Tenure Review A pre-tenure review shall be conducted in the third year for faculty hired with no credit for prior service. For faculty hired with one or two years’ credit toward tenure, the review will take place in his/her second year of employment at Winthrop. If a faculty member is hired with three years’ credit toward tenure, a pre-tenure review will ordinarily not be conducted unless the review is requested by the faculty member. The pre-tenure review will be conducted by the appropriate committee as specified by the College or Library. This review shall be completed and the results will be given to the faculty member by March 1. Results of this review shall be discussed with the candidate in a conference with the department chair and the dean of the college or library. A signed acknowledgment of the conference shall be maintained by the dean. Results of this review need not be included in the tenure portfolio unless the candidate chooses to include the results. Tenure-Track Faculty Members Under exceptional circumstances, a person may stand for tenure in fewer than six years. Otherwise, application to stand for tenure will occur in the sixth year of probation, including credit given for prior service. In the event that simultaneous applications for promotion and tenure are submitted, a single supporting portfolio for both processes will be used. The letters of application and recommendations for each process must be submitted separately, as each review process will occur independently. A committee of no fewer than five tenured faculty, of whom a majority will be tenured within the faculty member's department or college (if possible), will be formed (as specified by the college) and convened at the request of the department chair to review the tenure portfolio and to determine whether to recommend the faculty member for tenure. If there are not a sufficient number of tenured faculty members within the department or college, then tenured faculty outside the department or college will serve as members of the committee. In the case of a department chair's consideration for tenure, the dean will appoint a committee of no fewer than five tenured faculty, which must include at least one member of the department but may include a majority who are tenured outside the chair's department. Should there be no tenured faculty member in the department, the dean will appoint the committee from tenured faculty outside the department. The membership of all reviewing committees upon formulation will be made known to the candidate and appropriate administrators. Each reviewing body, whether faculty or administrator, will forward its recommendations, along with the tenure portfolio, to the next level of review. A faculty member standing for tenure submits to the department chair a tenure portfolio prepared according to the guidelines of the College or Library. The department chair forwards to the proper committee the portfolio, to which has been added the annual evaluations and student evaluations for the three years prior to the candidate's being considered for tenure. The committee reviews and returns the portfolio with its report and recommendation to the department chair. At this juncture, no material may be deleted from the portfolio. At any stage of the review process, no material may be added to the portfolio by the candidate without the approval of all prior review bodies. The department chair reviews all materials and submits a report and recommendation, along with all of the material, to the College or Library Committee. The College or Library Committee reviews all materials and submits a report and recommendation to the dean, along with all of the materials. The dean reviews all materials and forwards a recommendation, along with all of the materials to the Vice President for Academic Affairs. The Vice President for Academic Affairs provides to the University Faculty Personnel Committee all portfolios and reports/recommendations received from the dean for review. The University Faculty Personnel Committee reviews all materials, and submits its recommendations to the Vice President for Academic Affairs. The recommendation of the Vice President for Academic Affairs is forwarded to the President, along with recommendations from each level. Upon receipt of the recommendations, the President or designee shall, before acting on the recommendations, convene the University Faculty Personnel Committee to discuss the granting of tenure. The President, acting as agent of the Board of Trustees, shall then determine whether to grant tenure to the faculty member in question. If tenure is to be granted, the faculty member shall be notified in writing by May 15 of the faculty member's sixth probationary year. By May 31, the President or designee reports to the faculty on the status of tenure by submitting for publication the names of those faculty who have been granted tenure. The names will be published in FYI (For Your Information), the news bulletin for all employees. The faculty member to whom tenure is to be granted will receive a tenured appointment for the seventh year of service, or its equivalent, at Winthrop. A faculty member who is denied tenure shall be terminated from the University. Written notice by certified mail not later than May 15 will be given to allow for notification at least twelve months before the expiration of the appointment. This permits a faculty member to serve a final year after being denied tenure. (See Appendix II, Procedures for Resignation, Termination, Dismissal.) A faculty member may appeal denial of tenure only if he/she considers that improper procedure has been followed. Any alleged improper procedure must have had a substantive impact on the outcome of the tenure denial decision. Such appeal may be filed with the Academic Freedom and Tenure Committee (See Appendix II).In matters of faculty promotion and tenure, while the Winthrop Board of Trustees may choose to receive an appeal on the basis of improper procedure only, the Board affirms that substantive judgments reside and end with the President of the University. (Board of Trustee Resolution 11/15/96) EVALUATION OF PERFORMANCE (as required by South Carolina Performance Funding) Faculty members at Winthrop University participate in a variety of performance evaluation activities which are formative and summative in scope. The following criteria, as relevant to Winthrop's mission and that of a faculty member's discipline, are incorporated into these activities: instruction/teaching, advisement and mentoring of students, graduate student supervision, supervision of other students (graduate assistants, independent study students), course/curriculum development, research/creative activities, activities which support the economic development of the region or the State, service to department, service to institution, service to community, participation in professional organizations/associations, honors, awards, and recognitions, self-evaluation, and participation in faculty development activities/programs. While procedures within different academic units may vary, the University’s performance review system includes the following activities for all faculty members:
GENERAL STANDARDS FOR AND EVIDENCE OF TEACHING EFFECTIVENESS, SCHOLARSHIP, AND SERVICE Faculty are evaluated in the three categories of Teaching Effectiveness, Scholarship and Professional Recognition, and Professional Service and Academic Responsibility. Evidence of sustained growth and development in all three areas is expected. Because teaching is the primary responsibility of all faculty members, evidence of effective teaching is expected for tenure and for promotion. Because scholarship and professional recognition are essential to the mission of the University, evidence of sustained scholarly activity and continuing scholarly commitment must be provided for tenure and for promotion. Because faculty should be contributing members of the University community and, where appropriate, the community at large, evidence of service is expected. While quantifiable data (numerical items from student evaluations, number of papers published, number of committee memberships, etc.) are important, decisions about tenure and promotion must ultimately rely on sound professional judgment of colleagues. What follow are the general standards and evidence which remain constant throughout the five levels of institutional evaluation: namely, pre-tenure review, tenure, post-tenure review, promotion to associate professor, and promotion to professor. For individual college standards and evidence, contact the department chair or dean. 1.Teaching Effectiveness
2. Scholarship and Professional Recognition
3. Professional Service and Academic Responsibility
TENURE FOR ACADEMIC DEANS AND VICE PRESIDENT FOR ACADEMIC AFFAIRS Eligibility for Tenure Consideration Administrators eligible to be considered for tenure as faculty members under these guidelines are the Vice President for Academic Affairs and the academic deans. In the eventuality that a faculty member who has already obtained tenure at Winthrop should be appointed to these or other administrative positions, he/she would retain his/her tenured status. Definition of Tenurability Tenurability acknowledges a reasonable presumption of a candidate's professional excellence and that this excellence is believed likely to contribute substantially, over a considerable period of time, to the University's mission. Tenurability is defined as having met the criteria for tenure, as outlined in the Faculty Manual. Attainment of tenure at an institution with criteria similar to Winthrop's may be taken as evidence of tenurability. Academic administrators would not be tenured as administrators, but as faculty members. Tenurability Review Process A judgment on whether or not a candidate meets the criteria for tenurability would be made at the time of the search. In a timely manner and using the materials normally required of candidates in a search, the search committee would consult with tenured members of the academic department most closely affiliated with the candidate's discipline, with the College or Library Personnel Committee and with the University Faculty Personnel Committee. Such consultations would be done under conditions that would ensure confidentiality. Each committee would review the candidate's credentials, in a timely manner, with respect to whether the candidate meets the standards for tenure as a faculty member at Winthrop. In the case of negative recommendations, the search committee would reconsider the candidacy. Candidates with non-traditional backgrounds would be considered tenurable if, in the view of both the review committees and the search committee, they have exceptional qualities and capabilities that could reasonably be substituted for those criteria normally considered. Location of Tenure Tenure would be awarded to the Vice President for Academic Affairs or dean in an academic discipline, or interdisciplinary area, appropriate to the current and emerging mission of the University. Conferral of Tenure Tenurability would thus be established upon hire. Tenure is not actually conferred, however, until the completion of an administrative review after a period of service as an administrator of at least two years but not more than four years. During the next to last semester of the last year of the appointment period, a review of the administrative performance of the Vice President or dean would be undertaken. In the case of a dean, the Vice President for Academic Affairs would create an administrative review team composed of administrators, department chairs, and elected (at least two) and appointed tenured faculty from the dean's academic unit (e.g., College or the Library). The administrative review team would make a recommendation to the Vice President for Academic Affairs who would in turn make a recommendation to the President. In the case of the Vice President, the President would create an administrative review team composed of, among others, administrators including deans, elected (at least two) and appointed tenured faculty and department chairs. The administrative review team would make their recommendation directly to the President. Only if the administrative review is positive would the dean or Vice President be granted tenure as a faculty member. (Revised May 7, 1997) Post-Tenure Review A post-tenure review process complements Winthrop’s other forms of faculty evaluation and is the University’s response to the mandate in Act 359 (1996), South Carolina’s performance funding legislation, that public institutions of higher education include in their faculty performance review systems periodic peer evaluation of tenured faculty members. This process complies with the "Best Practices for Post-Tenure Review" mandated by the South Carolina Commission on Higher Education (see Appendix IV). Post-Tenure Review Committee Composition. For faculty members, a committee of three faculty members: one from the candidate’s department if sufficient number of tenured faculty; one member from outside the department, and the third preferably from the candidate’s department. For assistant and associate deans, a committee of three faculty members: one faculty member from the candidate’s department if sufficient number of tenured faculty, one member from the academic unit in which candidate serves, and one assistant or associate dean from another academic unit. For academic deans, a committee of three faculty members: one from the dean’s academic department, one from the academic unit, and one dean from another academic unit. PROMOTIONS Advancement and promotions are granted at Winthrop on a merit basis. The criteria for promotions are the same as those required for academic appointment (See Academic Rank). Standards and Evidence for meeting these criteria are discussed in the previous section. A promotion in rank is associated with the academic discipline and should not be based exclusively on performance unrelated to the discipline. However, this does not preclude a promotion of faculty holding administrative duties, provided that judgments can be made in matters relevant to the academic discipline. Upon request by an eligible faculty member, the department chair will provide a promotion review form by September 1. For non-departmental faculty requesting a promotion review form, the appropriate dean will provide the form by September 1. [Not included in this process are Instructors, Adjunct Faculty and Visiting Faculty. For these faculty, the department chair recommends promotion to the dean, who recommends to the Vice President for Academic Affairs who, if he/she concurs, recommends promotion to the President for approval.] Faculty members requesting promotion review return to the department chair by September 15 the form and promotion portfolio prepared according to the guidelines of the College or Library. In the event that simultaneous applications for promotion and tenure are submitted, a single supporting portfolio for both processes will be used. The letters of application and recommendations for each process must be submitted separately as each review process will occur independently. In the absence of exceptional circumstances, failure to meet the September 15 deadline constitutes waiver of promotion review. A committee of no fewer than five tenured faculty, of whom a majority will be tenured within the faculty member's department or college (if possible), will be formed (as specified by the college) and convened at the request of the department chair to review the promotion portfolio and to determine whether to recommend the faculty member for promotion. If there are not a sufficient number of tenured faculty members within the department or college, then tenured faculty outside the department or college will serve as members of the committee. In the case of a department chair's consideration for promotion, the dean will appoint a committee of no fewer than five tenured faculty, which must include at least one member of the department but may include a majority who are tenured outside the chair's department. Should there be no tenured faculty member in the department, the dean will appoint the committee members from tenured faculty outside the department. The membership of all reviewing committees upon formulation will be made known to the candidate and appropriate administrators. Each reviewing body, whether faculty or administrator, will forward its recommendations, along with the promotion portfolio to the next level of review. The department chair forwards to the proper committee the portfolio, which includes the annual evaluations and student evaluations for the three years prior to the candidate's being considered for promotion. The committee reviews and returns the portfolio with its report and recommendation to the department chair. At this juncture, no material may be deleted from the portfolio. At any stage of the review process, no material may be added to the portfolio by the candidate without the approval of all prior review bodies. The department chair reviews all materials and submits to the college committee a report and recommendation, along with all of the materials. The college committee reviews all materials and submits a report and recommendation to the dean, along with all of the materials. The dean reviews all materials and formulates a recommendation. By February 1, the dean privately notifies each candidate of his/her recommendation and the recommendations of the committee(s). When the dean's recommendation is positive, all materials are submitted to the Vice President for Academic Affairs. When the dean's recommendation is negative, no materials are submitted. Rather, the dean discusses with the faculty member strengths and weaknesses identified in the review process. If the dean disagrees with a positive college recommendation in two consecutive years, the promotion portfolio will be forwarded to the Vice President for Academic Affairs, unless the faculty member requests otherwise, within 30 days of notification. The Vice President for Academic Affairs provides to the University Faculty Personnel Committee for review all portfolios and reports/recommendations received from the dean. The University Faculty Personnel Committee reviews all materials and submits its recommendations to the Vice President for Academic Affairs. The recommendation of the Vice President for Academic Affairs is forwarded to the President, along with recommendations from each level. Upon receipt of the recommendations, the President or designee shall, before acting on the recommendations, convene the University Faculty Personnel Committee to discuss the granting of promotion. By May 15, the President shall notify in writing faculty who are promoted. By May 15, the Vice President for Academic Affairs shall notify in writing faculty who are not being promoted. By May 31, the President or designee reports on the status of promotions by submitting for publication the names of those faculty who have been promoted. The names will be published in FYI (For Your Information), the news bulletin for all employees. Any promotion candidate who has reason to suspect discrimination as defined by South Carolina Code in 8-17-320 may file a grievance (see Appendix III). In matters of faculty promotion and tenure, while the Winthrop Board of Trustees may choose to receive an appeal on the basis of improper procedure only, the Board affirms that substantive judgments reside and end with the President of the University. (Board of Trustee Resolution 11/15/96) FACULTY SALARY POLICIES AND PROCEDURES
Recommendations for Merit Raises The guidelines for merit raises are intended
to foster an environment where meritorious performance is rewarded and where
non-performance based factors play a minimal role.
They are intended to allow, promote, and support individuality,
creativity, and academic freedom. All
decisions concerning merit should be thoroughly documented and justified to
preclude the use of nebulous or difficult to document criteria and irrelevant
criteria. Promotion and Tenure
Guidelines should also be used for evaluating meritorious performance. The evaluation should be based upon performance in all of the
areas consistent with the institutional purpose of Winthrop University –
teaching effectiveness, scholarship and professional recognition, and
professional service and academic responsibility. The following basic principles should be
considered when awarding merit:
Review Process and Criteria All faculty are reviewed by their
administrative supervisor in the spring semester.
These evaluations form the basis of the unit supervisor’s
recommendation of meritorious, satisfactory, or unsatisfactory performance. Criteria used in
determining the merit recommendations are teaching effectiveness, scholarship
and professional recognition, and professional service and academic
responsibility. In order to achieve
a merit raise a faculty member must excel in one of these areas and contribute
to the University above and beyond his/her normal performance expectations. Guidelines for
Evaluating Faculty Performance to Award Merit 1.
Those to be recommended for merit must show evidence of meritorious
performance, especially in teaching effectiveness.
2.
Merit evaluations should be based upon performance during the current
academic year. In the
event that funds are not available in a given year for merit raises, a complete
evaluation for that year should still be conducted and documented so that
retroactive awards of merit may be possible in a subsequent year. 3. Satisfactory performance should be judged by the criteria in the Winthrop University Faculty Manual with respect to teaching effectiveness, scholarship and professional recognition, and professional service and academic responsibility. 4.
Scholarly activity involving long-term projects should be evaluated on an
annual basis with respect to effort and progress rather than entirely on the end
result. Sources of Funds Funds for cost of living increases and merit
raises may potentially come from two sources.
The South Carolina legislator’s annual appropriations bill may provide
monies for these purposes depending on the State’s fiscal status and capacity.
Guidelines for distribution of such funds come from the South Carolina
Budget and Control Board. Similarly, Winthrop University may designate funds for salary enhancements depending on the University’s fiscal status and capacity. Distribution guidelines for institutional funds will be determined by the President of Winthrop University. Promotion Raises Salary increments accompany promotions to the
various academic ranks. These
amounts are awarded in a letter from the President each year. Administrative Supplements In some instances faculty may receive salary supplements and/or release time for administrative assignments. The supplement is not considered during the raise process, i.e., raises are only applied to the base amount of the salary. FLUENCY IN ENGLISH POLICY Each department and academic unit will make every effort to ensure that instructional faculty who are offered employment possess adequate proficiency in written and spoken English. Such assurance will usually be attained through interviews and documents submitted by candidates as a part of the hiring process. In cases where there is a question about a candidate's proficiency in English, further demonstration of proficiency may be required. The complete policy on fluency in English and procedures for student grievances is available from department or deans' offices.
FACULTY ETHICS The Winthrop University faculty endorses the following statements of ethics: The faculty, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognizes the special responsibilities placed upon its members. The primary faculty responsibility is to seek and to state the truth as one sees it. To this end, faculty members should devote their energies to developing and improving scholarly competence, understanding the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. Faculty members practice intellectual honesty. Although one may follow subsidiary interests, these interests must never seriously hamper or compromise freedom of inquiry. As a teacher, the faculty member encourages the free pursuit of learning by students. Faculty members hold before them the best scholarly standards of their discipline, demonstrate respect for the student as an individual, and adhere to the proper role as intellectual guide and counselor. Faculty members make every reasonable effort to foster honest academic conduct and to assure that evaluation of students reflects their true merit. Faculty members respect the confidential nature of the relationship between professor and student, avoid any exploitation of students for private advantage, and acknowledge significant assistance from them. Faculty members observe academic freedom of students. As a colleague, the faculty member has obligations that derive from common membership in the community of scholars. Faculty members respect and defend the free inquiry of associates. In the exchange of criticism and ideas, faculty members show due respect to associates and respect for the opinions of others. Faculty members acknowledge academic debts and strive to be objective in the professional judgment of colleagues. Faculty members accept a share of faculty responsibilities for the governance of the institution. As a member of the institution, the faculty member seeks, above all, to be an effective teacher and scholar. Although faculty members should observe the stated regulations of the institution, provided they do not contravene academic freedom, each should maintain the right to criticize and seek revision. Faculty members determine the amount and character of work to be done outside the institution with due regard to their paramount responsibilities within it. When considering the interruption or termination of service, faculty members recognize the effect of any such decision upon the program of the institution and give due notice of intention. As a member of the community, the faculty member has the rights and obligations of any citizen. Faculty members measure the urgency of these obligations in the light of responsibilities to their disciplines, students, profession, and institution. As a citizen engaged in a profession that depends upon freedom for its health and integrity, the faculty member has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom. Winthrop employees are also covered by "Ethical Principles for South Carolina State Government Service."
EMPLOYEE DUE PROCESS A faculty member who has tenure or whose appointment has not expired may be dismissed for adequate cause and after proceedings that guarantee the faculty member’s right to due process. In dismissal proceedings, and when used in this document, "adequate cause" shall be restricted to violations of the General Conduct Policy and to demonstrated incompetence or dishonesty in teaching or research, substantial and manifest neglect of duty, moral turpitude, or physical or mental incapacity, which substantially impairs the individual’s fulfillment of his/her institutional responsibilities. The prima facie burden of proof rests upon the institution. Teachers on continuous appointment who are dismissed for adequate cause shall receive no salary after notice of the final decision of the President. Termination of a continuous appointment because of financial exigency or change of institutional program shall be demonstrably bona fide. Procedures for Termination of Contract. A contract for a faculty member who has tenure or whose term of appointment has not expired may be terminated in accordance with due process as outlined in Appendix II. A tenure-track faculty member whose appointment is not renewed shall be given written notice by certified mail not later than the following dates:
Policy and Procedure for Faculty Grievance and Appeal. A faculty member who feels that he/she has basis for appeal may do so in accordance with procedures outlined in Appendix II, Termination Procedures, and Appendix III, Faculty Grievance and Appeals.
GENERAL CONDUCT POLICY Ethical Principles for South Carolina State Government Service Serving the public as an employee of South Carolina State Government requires an appreciation for and dedication to the basic principles of integrity, honesty, respect for others, fairness, and accountability. These principles are fundamental in providing good government and advancing the public interest and are central to and implicit in any personal, professional, or agency code of ethical conduct. Because protecting the public trust and strengthening public confidence in Government requires the highest standards of personal and professional conduct, State employees have an obligation to apply these ethical principles in their individual job duties and responsibilities. Integrity: State employees should adhere to a personal code of conduct which supports the moral values necessary for good Government and advances the purpose and mission of the State, their profession and their agency. Honesty: State employees should be truthful and sincere in all their interactions with the public and with each other. They should avoid even the appearance of wrongdoing and should confront and challenge unethical behavior. Respect for Others: State employees should discharge their duties with care, compassion, and concern for the well-being of all those they serve. They should recognize the inherent worth and dignity of all persons regardless of race, color, sex, age, religion, national origin, disability, social or economic status. Fairness: State employees should make decisions in a fair, objective and impartial manner. Accountability: State employees should take responsibility for their own actions and personal decisions and protect the public trust by upholding the constitutions and laws of the United States of America and the State of South Carolina.
FACULTY AWARDS Distinguished Professor. The Distinguished Professor Award is made to a faculty member who has demonstrated exceptional skill in teaching, significant research or creative efforts, and service to the University and community. As an expression of appreciation, the recipient receives a cash award from the Alumni Association and the Winthrop Foundation. Outstanding Junior Professor. The Outstanding Junior Professor Award is made to a faculty member who holds the rank of assistant professor and who has a reputation for inspired teaching, research or creative excellence, and dedication to the welfare of students. This honor is accompanied by a cash award from the Alumni Association and the Winthrop Foundation. Procedures for nominating and selecting candidates for Distinguished Professor and Outstanding Junior Professor will be disseminated each Spring. The Distinguished Professor and Outstanding Junior Professor awards are announced at commencement ceremonies at the close of the academic year. James Pinckney Kinard and Lee Wicker Kinard Award for Excellence in Teaching. The James Pinckney Kinard and Lee Wicker Kinard Award is made annually to the faculty member selected as Winthrop's outstanding teacher. The faculty member named receives a cash award made possible by a contribution from James and Agnes A. Dodds Kinard in memory of his father, James Pinckney Kinard, the University's second President. In addition to the cash award, the recipient will have access to funds for expenditure to enhance and support excellence in teaching. These funds are housed in the appropriate dean's budget, with expenditure requiring prior approval of the dean. Procedures for nominating and selecting candidates will be disseminated each Fall. The James Pinckney Kinard Award is announced at each year's Fall Commencement. Faculty Student Life Award. The Faculty Student Life Award is presented annually to the faculty member who has most significantly contributed to the quality of student life and to the Winthrop community of learners. The recipient is honored for sustained commitment to student growth and development outside traditional classroom activities. The Faculty Student Life Award is announced at each year's Fall Commencement.
POLICIES The following policies in this section are based on federal and state laws, regulations and provisos and are adapted within the general framework of pre-established State guidelines. Workplace Assurances: Equal Employment Opportunity and Affirmative Action Winthrop University is committed to the principles of equal employment opportunity and affirmative action to the extent required by federal and state law. It is the policy of the University that all employment decisions shall be made on the basis of job-related factors and without regard to a person's race, sex, religion, age, national origin, disability or veteran's status, except in those few instances in which gender is a bonafide occupational qualification. Winthrop University is committed to full compliance with all applicable federal and state laws. These laws include but are not limited to the Civil Rights Act of 1964, the Education Amendments of 1972, the Rehabilitation Act of 1973, the Americans with Disabilities Act, the Age Discrimination in Employment Act, the Vietnam Veterans' Readjustment Assistance Act and the South Carolina Human Affairs Law. Any person having a question regarding applicable laws and regulations or who believes that he/she has been discriminated against in violation of this policy is encouraged to contact the Affirmative Action Officer in the Office of Human Resources and Affirmative Action, Tillman Hall.
Drug-Free Work Place Policy Statement of Policy. In order to comply with the provisions of the Omnibus Anti-Drug Abuse Act of 1988, it is the policy of Winthrop University that the work place shall be free from the illegal use, possession, or distribution of controlled substances (as defined in the Controlled Substances Act). Controlled substances include, but are not limited to, marijuana, heroin, cocaine hashish, and hallucinogens. Employees are expected to report for work and while at work to remain in condition to perform assigned duties free from the effects of controlled substances. It is the University's intent and obligation to provide a drug free, healthful, safe, and secure work environment. The unlawful manufacture, distribution, dispensation, possession, or use of controlled substances on property owned or controlled by Winthrop University, or while conducting University business off University property, is prohibited. Any illegal substances discovered on University property will be turned over to the appropriate law enforcement agency and may result in criminal prosecution. An employee who is arrested and charged by legal authorities with drug related offenses while off the job may be considered to be in violation of this policy. The University reserves the right to deny any employee who has been so charged the privilege of returning to work until those charges have been resolved. An employee who is convicted of a drug-related felony may be terminated. Applicability. The provisions set forth below apply to all persons employed by Winthrop University. Violations
Federal Grants and Contracts. The Drug-Free Work Place Act of 1988 places emphasis on persons who are directly involved with a federal grant or contract. Accordingly, University employees engaged in the performance of activities which are funded in whole or in part by a grant or contract should be aware of the following:
Assistance. Winthrop University recognizes the growing problem of substance abuse in society. It is recognized also that dependency on controlled substances can be treated and controlled. Any employee experiencing a substance abuse problem is encouraged to seek assistance to resolve the problem before disciplinary action becomes necessary. An employee experiencing such problems may request assistance by contacting the Director of Human Resources and Affirmative Action or the professional staff of the Counseling Services Center. Community agencies also have programs designed to assist those experiencing substance abuse problems. No disciplinary action will be taken under this policy against an employee who requests assistance under this provision. This exclusion will not apply if disciplinary action has been taken or is being considered because the employee has violated other provisions of this policy prior to requesting assistance. Ethics Act (Nepotism) The State Ethics, Government Accountability, and Campaign Reform Act was enacted in October, 1991, to restore public trust in governmental institutions and the political governmental processes. The State Ethics Act applies to all public officials, public employees, and public members of the State and political subdivisions, with the exception of members of the judiciary. Probate judges, candidates for public office, and committees or groups working on behalf of candidates are also covered by the law. No public official, public member, or public employee may cause the employment, appointment, promotion, transfer, or advancement of a family member to a state or local office or position which the public official, public member, or public employee supervises or manages. Family member means an individual who is:
A public official, public member or public employee may not participate in an action relating to the discipline of the public official's, public member's or public employee's family member. Harassment and Discrimination Applicability. The provisions set forth below apply to all persons employed by Winthrop University. Statement of Policy. Winthrop University is committed to maintaining a workplace that is free of discrimination. In keeping with this commitment, the University will not tolerate harassment or illegal discrimination of or by any University employee. Definitions
Complaint Procedures. All University employees are responsible for helping to assure that the University avoid illegal harassment and discrimination. If an employee believes that he/she has been affected by, experienced, or witnessed such conduct, the employee should notify the immediate supervisor, department chair, or the Director of Human Resources and Affirmative Action immediately. All employees and supervisors are required to report these incidents promptly to allow the University to investigate the matter in a timely manner. The University forbids retaliation against anyone who has reported illegal discrimination or harassment. Fabricated or fraudulent claims of harassment or discrimination, however, will subject the offending person(s) to disciplinary action including, but not limited to, termination of employment. The University's policy is to investigate all such complaints thoroughly and promptly. To the extent practicable, the University will keep complaints and the terms of their resolution confidential. If an investigation confirms that improper conduct has occurred, the University will take corrective action, including discipline up to immediate termination of employment, as is appropriate. Any student who feels that he/she has been subject to harassment or discrimination, should contact the Counseling Center or the Office of the Vice President for Student Life. (see Student Handbook). Contractual Provisions and Benefits: Faculty Salaries During the first year of employment, 9-month faculty salaries are paid over their contract period. In subsequent years, faculty members may elect to be paid on either a nine-month (18-installment) or 12-month (24-installment) basis. Checks are distributed through the employing department on the first and sixteenth of each month. Winthrop participates in a direct-deposit system, which will deposit an employee's net pay into an account at the financial institution of the depositor's choice. Deposits are made on the morning of each payday. An employee who participates will receive a check stub each payday with a record of salary and deductions. Winthrop faculty and staff members may enroll in direct deposit at the Office of Human Resources and Affirmative Action. Salaries are reviewed annually by the department chair and the dean of the College or Library. The dean makes recommendations for appropriate increases to the Vice President for Academic Affairs. Final determination is made by the President. Extra compensation that is to be paid from any Winthrop University account to Winthrop faculty members for participation in special projects shall be paid as dual employment through the normal payroll process. Requests for such payment are to be made through proper administrative channels via Personnel Action Form. Summer Session Employment Teaching assignments during summer terms are offered in anticipation of course demand. Schedules for summer sessions are constructed by department chairs and college deans during the fall semester. Faculty members whose regular contracts are not renewed, including retiring faculty, are not eligible to teach during the summer session following their last academic year of employment at Winthrop, except in extraordinary circumstances. State guidelines limit the maximum salary which may be paid for teaching in one summer school term to 15% of the base salary, and to 30% of the base salary for teaching over the whole summer. Summer Teaching Load. In general, faculty will teach no more than six hours during summer semester. Exceptions to this policy will be made only under unusual circumstances and under the following conditions:
This policy is designed to ensure faculty sufficient time to engage in necessary scholarly activity and professional development and to maintain the same quality of instruction during the summer that is expected during the regular academic year. Consulting and Outside Employment1 The university believes that its educational program and effective teaching in all its aspects can flourish only when sustained by continuous, active participation of its faculty in professional development, enriched in many cases by interaction with industry, artistic organizations, business, government, school districts, and other activities and institutions of our society. This interaction is of greatest value when it contributes significantly to the public welfare, offers an opportunity for professional challenge and growth, or otherwise enhances the effectiveness of a faculty member's service to the university. Definitions. Interaction can come in many forms, one of which is consulting. Consulting includes those professional activities related to the faculty member's discipline or field for which remuneration is received or where a fee-for-service or equivalent relationship with a third party exists. In some cases, the commitment of time is the primary consideration, regardless of remuneration. Professional Standards The potential magnitude of outside professional activity, particularly when it entails consulting or outside employment, is such that orderly procedures must be followed to avoid ethical and legal conflicts of interest and to ensure that such activity does not conflict with the proper discharge of university responsibilities. Personal responsibility, integrity, and high ethical standards are the principal factors in avoiding conflicts of interest. The university expects that all faculty members will conduct their outside activities in a manner which reflects credit on themselves, their profession, and the university without need for specific criteria or rules of conduct. The principal safeguards against abuse include the standards required by professional colleagues and the rigorous processes by which the university evaluates and selects individuals for appointment, tenure, and promotion. Full-time Service Consulting and outside employment policies and procedures apply during the time in which faculty members are under contract with the university. (For most faculty members, this period would be August 16-May 15). The policy is not applicable during periods when faculty members are not under contract. (For most faculty, this period would be May 16-August 15. For the purposes of this policy, a faculty member teaching a summer school course is not considered under contract with the university.) The obligation inherent in full-time service is difficult to define, since in academic life it means far more than a stated number of hours per week. In a context in which the faculty member has substantial freedom in arranging his or her professional life, it implies an overriding interest, loyalty, and first responsibility to the university. This obligation, therefore, must be defined qualitatively, depending on principle rather than formula. Consulting vs. Outside Employment Several characteristics offer guidance in making a decision on whether an activity is considered consulting or an employment relationship. The primary distinction is in the type of work done and the degree of independence allowed in its implementation. 1Parts of this policy have been adapted from policies of the University of Texas System’s Office of General Counsel at www.utsystem.edu/ogc/ethics.htm. Specific references have been drawn from www.utsystem.edu/OGC/IntellectualProperty/1iii13.htm. For the purposes of this policy, an employee is one who is engaged in the delivery of the primary activity for which the organization exists, not someone who provides advice and suggestions in support of that primary activity. A contributing factor is the degree of independence. An employment relationship is said to exist when a person is in the service of another and the employer has the right to control and direct the employee in the material details of how the work is to be completed, not just in terms of results but in terms of the details and means by which a result is accomplished.
Disclosure and
Approval. Essential to the effectiveness
of such procedures is complete disclosure of outside professional
activities. It is the obligation of faculty members to keep their
dean/department heads continually informed in adequate detail as to all
outside professional activities, service on external committees, and other
special assignments.
Elected positions or public offices requiring time commitments and/or involving compensation would have to be approved by the president in advance of filing candidacy or accepting an appointment. Service on boards involving compensation would have to be approved by the president in advance of accepting an appointment. Because these activities broaden the experience of the individuals involved and expose the university to a larger audience of business, civic, professional, and social leaders (subject to conflict of interest ruling), to the university is the improvement of the individual by virtue of his or her continuing contact with nonacademic problems in the nonacademic world. Absences Due to Consulting or Outside Employment. Consulting and outside employment under the appropriate rules and procedures may require an absence from the campus. Absence from the campus or other regular place of work during the normal working period must be discussed as a part of the “Request for Approval of Consulting or Outside Employment” form. Appropriate travel policies will also apply. Use of University Resources. The South Carolina Ethics Act prohibits use of public materials, personnel, and equipment for private economic benefit. University resources should not be used in outside employment activities. In consulting activities, incidental use of university resources is acceptable when approved in advance.
A copy of the form is found in Appendix V. Dual Employment Dual employment is defined as the outside employment of a permanent Winthrop employee who will perform, and be paid by another State agency or by Winthrop University, for services which are separate from and in addition to his/her regular duties with Winthrop. The State Budget and Control Board has established guidelines regulating dual employment, which Winthrop University must follow, including the following:
Dual employment request forms are available in the Office of Human Resources and Affirmative Action. Employee Educational Assistance Program Winthrop faculty and staff employees are given the opportunity to take any credit course offered by the University tuition-free up to a maximum of 6 credit hours per semester. All faculty and staff employees who are assigned to regularly established positions and who have completed the probationary period of employment with the University will be eligible. EEAP guidelines and program request and registration forms may be obtained by calling the Office of Human Resources and Affirmative Action. Insurance Medical, Life, Dental and Disability Insurance. An extensive package of insurance programs is available at minimal cost to all employees who are assigned to regularly established positions and who are scheduled to work at least 30 hours per week. The basic package includes health and dental insurance, long-term disability income protection, and a life insurance policy for the employee. Health and dental insurance coverage may be purchased for the employee's spouse and dependent children at very competitive group rates. An optional term life insurance program is available. The amount of insurance one may purchase is based on the annual base salary; the amount of the premium is determined on the basis of the amount of coverage purchased and the employee's age. &n | |||||||||||||||||||