Faculty Handbook

University Faculty Meetings, presided over by the President of the Senate, are generally held two or more times each semester. All the faculty listed in this paragraph are expected to attend Faculty meetings and are eligible to vote: all regular faculty, the President, the Provost and Chief Operating Officer, the Deans of the Colleges, and such other administrative officers as may be appointed to the Faculty and given voting privileges by the Board of Trustees upon the recommendation of the President with the concurrence of the Faculty.

A voting member of the faculty who is on leave of absence may attend and vote in faculty meetings. Faculty members on leave will be notified of meetings only through normal University channels.

Temporary faculty and administrators with or without faculty rank are invited to attend and participate in faculty meetings, but without a vote.

The Executive Committee of the Faculty Senate has primary responsibility for the scheduling and function of University Faculty meetings. Procedures for University Faculty meetings can be found in the Faculty Senate Constitution. A secretary for faculty meetings is hired by the Faculty Senate President.

Absentee ballots and written authorization for proxy votes are allowed only for faculty who are out of town on University business, on a leave of absence, or for other reasons as authorized by the Provost and Chief Operating Officer. They should be delivered to the Chair of the meeting before the start of the meeting.

The Alfred University Faculty Senate, together with the Provost and Chief Operating Officer, will revise the Faculty Handbook, subject to the approval of the Board of Trustees or its designee. The Faculty Senate, in collaboration with the Provost and Chief Operating Officer, will periodically complete a review of the Faculty Handbook.

Proposals for revising the Handbook may be initiated by faculty, administration, or Trustees. These proposals should be brought to the University Faculty Senate, which will review them directly or refer them to the appropriate committee or individual for review. The relevant committee, in consultation with the Provost and Chief Operating Officer, will study the proposal, make necessary modifications, and refer the revised proposal to the Faculty Senate. Members of the University Faculty will be notified of the proposal for revision and will be provided with opportunities to provide information and feedback to the committee.

When the Faculty Senate approves the revision, the proposed revision will then be forwarded to the President and Trustees with a recommendation for final action. Proposals then go to the Secretary of the University to be checked for consistency with established bylaws. If there is a conflict with current bylaws, the President will refer the proposal back to the Faculty Senate for further study. The revision will then be adopted if both the President and the Board of Trustees give approval.

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All members of the Faculty, regardless of status or rank, are entitled to Academic Freedom.

• Faculty members are entitled to freedom in the classroom in discussing their subjects, but they should avoid introducing into their teaching information or opinions that have no relation to the material under discussion

• Faculty members are entitled to freedom in research and the publication of results, subject to the adequate performance of other academic duties. Faculty members who wish to engage in consulting are expected to adhere to University policy (including the Consulting Policy, and the Conflict of Interest and Business Ethics Policy), which generally permits up to one day of consulting per week in the absence of a material conflict of interest or interference with the faculty member’s University responsibilities. The appropriate Academic Dean must be informed of all research and consulting activities.

• When faculty members 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 learned individuals and as educators, they should remember that the public may judge their profession and institution by their utterances. Hence they should at all times strive to be accurate, should exercise appropriate restraint, and should show respect for the opinion of others. When expressing personal opinion, faculty members should make it known that they are not speaking for Alfred University.

Alfred University is an Affirmative Action, Equal Opportunity Employer and is committed to designing personnel policies that help to ensure equal employment opportunities for all individuals. As such, personnel decisions and practices are based strictly on job-related criteria.

It is against Alfred University’s policy to discriminate against, or tolerate harassment of, any employee or applicant for employment on the basis of race, color, national origin or ancestry, citizenship, religion, age, gender, physical or mental disability, sexual orientation, marital status, military status, veteran status, genetic predisposition or carrier status, political activities or other protected legal activities conducted outside working hours, and any other status protected by law.

Any faculty member who believes she/he has experienced such discrimination or harassment should immediately report such action to his/her Division Chair/Department Chair/Program Chair or Director (henceforth referred to as Chair), Dean, or Director of Human Resources.

The qualifications stated below and amplified in Sections 5 and 6 are intended as the University's principal guidelines. If a College, School, or Library wishes to interpret the qualifications for rank with more specific language or more specific guidelines, the College, School, or Library requirements must be consistent with this Handbook.

Promotion through the various ranks signifies not continuing competence and contributions, but rather growing competence and contributions accompanied by growing recognition on and beyond the campus.

Qualifications for Appointment to Rank: Instructor

A candidate for the rank of Instructor is normally expected to have the master's degree or its equivalent. Appointment to this rank shall be granted only to those whose potential as teachers is sufficiently promising.

New members of the faculty who satisfy all the qualifications for the rank of Assistant Professor, except the terminal degree, will hold the rank of Instructor. At the completion of the degree, they will be given the rank of Assistant Professor.

Qualifications for Appointment to Rank: Assistant Professor

A candidate for the rank of Assistant Professor should normally hold the highest degree in the appropriate field or its equivalent in study or other recognized accomplishment. Appointment to the rank shall be granted only to those whose potential as teachers and potential for scholarship/creative work/research is sufficiently promising.

Qualifications for Appointment to Rank: Associate Professor

A candidate for the rank of Associate Professor will meet the qualifications of an Assistant Professor and will have demonstrated outstanding teaching performance, given substantial evidence of productive scholarship/creative work/research, maintained appropriate professional or discipline-based involvement external to the university, as well as demonstrated interest and active participation in the advisory programs and in Division/Program, College, and University affairs. Length of previous employment may be taken into account when determining appointment as an Associate Professor.

Qualifications for Appointment to Rank: Professor

A candidate for the rank of Professor will meet the same qualifications of an Associate Professor. In addition, appointment to the rank will be granted only after careful consideration of a candidate's teaching ability, scholarship/creative work/research, advising, University service, and professional activity. Clearly demonstrated leadership and exemplary performance in two or more of these five areas specified should be evident. Length of previous employment may be taken into account when determining appointment as a Professor.

Senior faculty members are expected to act as mentors to their juniors. They are a principal resource for the operation of the University, and so appointment to the rank of Professor requires consistent growth in performance in all areas over a sufficient period of time.

The letter of appointment will specify the Division/Department/Program of the School, College, or Library to which the faculty member is appointed. The letter will serve as further notice of the faculty member’s obligation to respect all new university and faculty policies enacted since the time of initial appointment. The letter of appointment shall state whether the status of the faculty member is temporary, probationary tenure-track, or tenured.

Appointment

Initial appointment to a position with academic rank for non-tenured regular faculty shall normally be made for a period of one academic year.

Notice of Reappointment

Appointment to a position with academic rank for non-tenured regular faculty shall normally be made for periods of one academic year until the termination of appointment or the conferring of tenure.

All members of the regular faculty, either with or without tenure, whose appointments are not being terminated at the end of the current year, shall be notified of the terms of their employment for the following year by February 15.

All regular faculty members without tenure shall submit, to the appropriate Dean, written replies to letters of appointment by March 1. Acceptance shall be considered binding upon members of the faculty and the University with the following exceptions:

During the period between March 1 and May 15, a reversal of decision on the part of a faculty member shall receive sympathetic consideration by the administrative officers of the University.

After May 15, a reversal of decision by a faculty member shall be at the convenience of the University. It is desirable that faculty members notify their chairpersons or their Dean if they are negotiating with another institution for appointment.

An initial regular faculty appointment does not lead automatically to tenure; this status is achieved only after careful evaluation during the probationary period and an affirmative tenure decision by the President through the procedures stated in sections 7.2 or 7.3.

Notification of Non-Reappointment for Probationary Tenure-Track Regular Faculty

The University recognizes that faculty members are entitled to reasonable notice of non-reappointment. A recommendation of non-reappointment must be relayed to the non-tenured regular faculty member in a reasonable period of time. Faculty members who will not be reappointed beyond their first year will be notified by March 1st. In the second and subsequent years of appointment, faculty members must be notified by September 30th if their employment is to be terminated at the end of the academic year. Where later notification occurs, a terminal agreement for the subsequent year shall be offered.

Non-Tenure Track

A temporary or non-tenure track appointment is for a designated period and automatically terminates upon the expiration of that period. Re-employment of a faculty member after termination of a temporary appointment is solely within the discretion of Alfred University. A temporary faculty member may be dismissed for unsatisfactory performance, inability to perform job duties even with reasonable accommodations, misconduct, or financial reasons prior to the expiration of their term of appointment at the discretion of the University. Notice of at least three weeks will be given.

Probationary/Tenure-Track

Probationary/tenure-track appointments are made for one year or for other stated periods and are subject to renewal or non-reappointment in accordance with Section 2.5. The total period of fulltime teaching service at Alfred University before the consideration of continuous tenure normally should not exceed six years. The time length for tenure for part-time regular faculty will vary in inverse proportion to the faculty member’s time commitment relative to full-time faculty. If a non-tenured regular faculty member requests a leave of absence for any reason, the letter authorizing the leave must state whether or not the period of absence will count toward the probationary period for tenure.

Continuous Tenure Appointments

Appointments with continuous tenure are normally made no later than the seventh year of service at Alfred University (or the equivalent as calculated according to the above description) after the tenure review and recommendations of the appropriate Promotion and Tenure Committee, the Dean, and the Provost and Chief Operating Officer are forwarded to the President for final action in the sixth year. The President informs the Board of Trustees of his or her decision. An appointment with continuous tenure gives the faculty member the contractual right to be re-employed for succeeding academic years until the faculty member resigns, retires, is physically or mentally unable to perform, even with reasonable accommodations, the essential duties of his/her position, is discharged for cause, or is terminated pursuant to financial exigency or the discontinuance of the faculty member’s division, department, or program, but is subject to the terms and conditions of employment which exist from academic year to academic year.

Appointments with continuous tenure are made to those who have satisfied the criteria set forth in Sections 4 and 6.

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While a faculty member’s appointment may be to a particular College, School, or Library, tenure is granted by Alfred University and is a commitment by the University to offer continuous employment to tenured faculty members until the faculty member resigns, retires, is physically or mentally unable to perform, even with reasonable accommodations, the essential duties of his/her position, is discharged for cause, or is terminated pursuant to financial exigency or discontinuance of the faculty member’s division, department, or program.

It is incumbent upon tenured faculty to maintain their skills in their professional fields, to meet their classes and committees as scheduled, to remain informed about new developments in their fields, and to perform satisfactorily in other duties. It is a responsibility of the faculty members in each area to develop the criteria for judging whether or not their colleagues in these areas are meeting their obligations. Judgments as to whether the criteria have been significantly violated will be made through the reappointment, tenure, promotion, and performance review processes.

Tenure is a continuous appointment to the instructional staff that may be granted to faculty members who meet probationary requirements. Faculty members with tenure assume a responsibility for service of continued high quality and are entitled to consider their appointment permanent, except as noted herein.

The University may dismiss tenured faculty members under the following circumstances. Tenured faculty members may be dismissed if they are physically or mentally unable to perform, even with reasonable accommodations, the essential duties of their position, or for cause as defined in Section 8.5. An otherwise satisfactory faculty member on tenure shall not be discharged due to an unsatisfactory performance for a limited period of time resulting from apparently non-recurring causes. In addition, tenured faculty members can be dismissed if a financial exigency exists or if the faculty member’s division, department, or program is discontinued, as determined according to the procedures described in Section 8.7. The appointment of a faculty member with tenure will not be terminated in favor of retaining a faculty member without tenure, except where a serious distortion of the academic program would otherwise result. If otherwise satisfactory faculty members with tenure are not needed because the University is no longer able to support the number of course offerings in their fields, the University must make every effort to shift them to some other position or retrain them.

In provisions of this handbook regarding tenure, promotion, and the evaluation of faculty, the term ”faculty member” shall apply only to regular faculty with the academic rank of instructor or higher.

The maximum probationary period for full-time regular faculty normally should not exceed six years of full-time teaching service. Leaves of absence may extend the probationary period beyond six years of full-time teaching experience. Faculty members shall be notified by the appropriate Dean no later than February 15th of their sixth year on the faculty of Alfred University that: (1) they will have tenure as of the beginning of their seventh year; (2) that their services will terminate at the end of the seventh year; or (3) that other contractual arrangements will be offered.

Appointments made effective during an academic year, prior to the beginning of the second semester, shall be considered as having been made at the beginning of that academic year for purposes of the above paragraph.

Reappointments, promotions, tenure decisions, terminations of appointments, and other significant personnel decisions shall be made by the President after consultation with the Provost and Chief Operating Officer, the appropriate Dean, and the appropriate Promotion and Tenure Committee. Tenure and promotion are awarded based on a faculty member’s record of teaching, scholarship, advising, professional, and service activities. It is the responsibility of the faculty member to demonstrate that he or she has earned tenure and/or promotion. Tenure or promotion will not be awarded in any instance unless it can be enthusiastically recommended by the individuals involved.

If a non-tenured regular faculty member requests a leave of absence for any reason, the letter authorizing the leave must state whether or not the period of absence will count toward the probationary period for tenure.

Each College, School, or Library of Alfred University shall have a Promotion and Tenure Committee composed of the Dean (ex officio) and at least three faculty members elected in a manner determined by the faculty of the College, School, or Library. Each Committee shall elect a chairperson from the members other than the Dean, to whom the Committee shall submit its recommendations. In the course of its deliberations, the committee shall confer with the appropriate Chair. A faculty member elected to the Promotion and Tenure Committee shall serve for not more than three consecutive years.

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Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end, professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.

As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student's true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.

As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates. In the exchange of criticism and ideas, professors show due respect for the opinions of others. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.

As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.

As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons, they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

Teaching: Faculty members will meet all classes as scheduled by the Office of the Registrar. Other instructional responsibilities may include supervision of fieldwork, internships, or independent study. Faculty members who cannot attend an assigned class shall notify their students and the Chair as soon as possible, preferably in advance. The missed class(es) will be rescheduled by the faculty member.

Teaching Loads: Regular full-time faculty members are expected to carry a teaching load of twelve credit hours per semester. Credit hour equivalents for laboratory and studio classes will be calculated on a two contact hours per one credit hour basis. Reductions in teaching load may be considered where special research, supervision, professional, or administrative responsibilities exist.

Thesis supervision is an integral part of graduate programs and some undergraduate programs. At the graduate and undergraduate level, the equivalent teaching load shall be determined by the Chair based on the size and complexity of the work being carried out.

Supervision of independent study work is considered to be normal faculty activity. Under special circumstances, one or two credit hours reduction may be granted by the Dean for 12 to 24 hours of independent study supervision.

Reductions in teaching load for Chairs are contained in Section 3 of this handbook.

Classroom Management: The management of classes is under the purview of the faculty member conducting the class. Professional conduct is expected on the part of all students and faculty. The faculty member will outline in writing his or her policies at the initial meeting of the class. Classes will not be interrupted for any reason other than a perceived emergency situation.

Grading: Faculty members are expected to adhere to the Alfred University Grading Policy. In addition, faculty members must submit grades to the Registrar by the date and time announced by the Registrar.

Scholarship/Creative Work/Research

Regular faculty at Alfred University are expected to maintain a consistent, sustained, and successful record of peer-reviewed activity, as appropriate to their School, College, or Library.

Advising

Advising is important for the personal and professional growth of students. Therefore, regular faculty are expected to actively participate in advising students, and should post and maintain weekly office hours.

Professional Activity

Faculty are expected to maintain professional or discipline-based involvement external to the University.

University Service

Alfred University expects its faculty to participate in a conscientious, collegial manner in the life of the University, including departmental meetings, faculty meetings, and University-wide events.

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Each year, all non-tenured regular faculty members will meet with their respective Chair to discuss the content of their annual written performance assessment. This is a review of the individual’s teaching, scholarship/creative work/research, advising, professional activity, and university service. This evaluation will become part of the faculty member’s file to be submitted to the appropriate College, School, or Library Promotion and Tenure Committee. The written evaluation will be signed by both the Chair and the faculty member. The faculty member may provide written responses for the Chair to any portion of the evaluation, and these responses will be added to the assessment and forwarded to the Promotion and Tenure Committee.

When members of the Promotion and Tenure Committee have completed their annual performance review of the faculty member, a letter will be sent to the faculty member, Chair, and Dean informing them of the results of the evaluation. The Dean will forward the letter from the Promotion and Tenure Committee to the Provost and Chief Operating Officer and President, accompanied by his or her independent evaluation of the faculty member.

Deans shall notify the faculty member, by letter, of inadequacies that may impede the attainment of tenure. This letter shall state: (a) the criteria that the faculty member has failed to meet satisfactorily; and/or (b) assigned duties that the faculty member has performed unsatisfactorily, and/or (c) other factors that may contribute to a recommendation not to reappoint the faculty member.

In addition to their annual performance assessment, all non-tenured regular faculty should meet at least once per year with their respective Chair to discuss their goals for professional growth and development. The purposes of this meeting will be to: identify areas of continuing development and interest; develop intervention plans to address any areas of weakness that may be noted in the annual performance review; and assist the faculty member in accomplishing their goals.

All tenured faculty members should meet at least once per year with their respective Chair to discuss their goals for professional growth and development. The purposes of this meeting will be to identify areas of continuing development and interest and assist the faculty member in accomplishing their goals.

Each tenured faculty member will be evaluated every five years by the appropriate College, School, or Library Promotion and Tenure Committee. The primary purpose of this review is to support the faculty member in the monitoring and development of goals for professional growth and progress toward these goals, including the five criteria listed in Sections 5 and 6.5. Faculty will meet with their respective Chair to discuss the content of their written five-year performance assessment. This report will become part of the faculty member’s file to be submitted to the appropriate College, School, or Library Promotion and Tenure Committee. This written evaluation will be signed by both the Chair and the faculty member. The faculty member may provide written responses to any portion of the evaluation, and these responses will be added to the assessment and forwarded to the Promotion and Tenure Committee. When members of the Promotion and Tenure Committee have completed their five-year performance review of the faculty member, a letter will be sent to the faculty member, Chair, and Dean, informing them of the results of the evaluation. The Dean will forward the letter from the Promotion and Tenure Committee to the Provost and Chief Operating Officer and President, accompanied by his or her independent evaluation of the faculty member.

Procedures for evaluation of regular faculty must include the following expectations, means, and evidence:

Teaching

Expectation

The hallmark of an Alfred University education is excellent teaching and concern for the individual student. Excellence in other areas is not compensation for failure to meet teaching standards.

Means of Evaluation (required)

• Classroom visitation/observation by Chair, and/or (when instruction is primarily studio or performance-based, for example) review by Chair of student outcomes including performance or creative work resulting from studio instruction. Probationary faculty must be observed annually; tenured faculty as appropriate.

• Student course evaluations using an instrument selected by the Division and approved by the College or School. Student course evaluation records should be maintained in the Division or other appropriate office. Each College or School will determine the extent to which course evaluations are used in the faculty review process.

Examples of Evidence of Achievement (as appropriate)

• Course syllabi, curricular improvement, course development, and teaching innovations (including instructional technology)

• Examples of student creative work must be made available on a consistent basis through exhibition, portfolio, or other means

• Course evaluations

• Appropriate student outcomes

• Classroom observation

•Scholarship/Creative Work/Research

Expectation

A consistent, sustained, and successful record of peer-reviewed activity, as appropriate to the College, School, or Library mission, is the Alfred University standard.

Means of Evaluation (as appropriate)

• Annual faculty activity reports

• Documentation of the results of scholarship/creative work/ research. The nature of the publication, conference, presentation, et al. will determine the relative weight given the activity. Critical reviews and prestige of the forums for creative work are important in establishing judgments of quality.

Examples of Evidence of Achievement (as appropriate)

• Publications such as books, articles in scholarly journals or proceedings, monographs, book review essays, bibliographies, or electronic media as appropriate

• Presentation of papers at conferences and other professional gatherings, as appropriate

• External research support, as appropriate

• Results of professional positions such as editor or reviewer, as appropriate

• Performances, shows, exhibitions, or readings, as appropriate

• Solicited letters including those from external colleagues or recommenders addressing the candidate’s scholarly ability, as appropriate

• Reprints, manuscripts, slides, etc.

Citations or acknowledgements submitted as evidence of scholarship should include the citation reference for context.

Advising

Undergraduate Advising

Expectation

Undergraduate advising at Alfred University consists of conveying accurate information on curriculum and requirements, conveying the educational purpose behind those requirements, and mentoring students for personal and professional growth.

Means of Evaluation (as appropriate)

• Chair and peer assessment

• Exit interviews with seniors

Examples of Evidence of Achievement (as appropriate)

• Availability to students

• Numbers of advisees

• Appropriate progress of advisees toward degree

• Monitoring of advising loads

• Willingness to work with special advising categories

• Maintenance of office hours

• Ready availability for appointments

• Knowledge of graduation and disciplinary requirements

• Knowledge of career and graduate school opportunities

• Office phone number and email address on syllabi

Graduate Advising: Professional and Thesis

Expectation

Graduate program faculty are expected to participate actively in graduate advising. They are expected to demonstrate the ability to guide graduate students through their program by transmitting a thorough and complete understanding of contemporary scholarship in the discipline.

Means of Evaluation (as appropriate)

• Chair and peer assessment

• Exit interviews with graduating students

Examples of Evidence of Achievement (as appropriate)

• Willingness to work with students having diverse backgrounds and needs

• Number of advisees and committee participation

• Appropriate progress of advisees toward degree

• Thorough understanding of the requirements for all degrees offered in the program

• Demonstrated understanding of all resources available for the students’ success, from matriculation to graduation

• Availability to advisees (whether on-site or electronically)

• Knowledge of professional career paths and graduate opportunities

• Shared scholarship with students

• Publications by a graduate student with the faculty member

Professional Activity

Expectation

Alfred University faculty are expected to maintain professional or discipline-based involvement external to the University. This frequently is the result of scholarship/creative work/research undertaken by the individual faculty member.

Means of Evaluation (as appropriate)

• Annual faculty activity reports

• Chair and peer assessment

Examples of Evidence of Achievement (as appropriate)

• Holding office in a professional society

• Serving as member of an editorial or advisory board

• Chairing sessions at professional meetings

• Workshops offered

• Consulting

• Carrying out review of papers

• Invited lectures or presentations

• Test writing or reading externally

University Service

Expectation

Alfred University expects its faculty to participate in a conscientious, collegial manner in the life of the University, including departmental meetings, faculty meetings, and University-wide events. Faculty attendance at the Opening Convocation and May Commencement are required. In addition, faculty attendance at Honors Convocation is strongly recommended.

Means (as appropriate)

• Annual faculty activity reports

• Chair and peer assessment

Examples of Evidence of Achievement (as appropriate)

• Membership on standing or ad-hoc committees

• Leadership roles on committees and other University activities

• Participation in recruitment activities

• Advising of student organizations

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For individuals appointed to tenure track faculty positions, the annual performance review by the Chair, Promotion and Tenure Committee, and Dean will incorporate a tenure forecast during the third year of full time teaching. The purpose of this forecast is to indicate to the faculty member his or her progress towards meeting the expectations for tenure.

The tenure forecast will be positive, uncertain, or negative. These terms are indicative only. A positive forecast does not guarantee tenure. An uncertain forecast is not to be understood as negative. An uncertain forecast may only reflect insufficient evidence or a mixed review. A negative forecast indicates some problem(s) serious enough to demand attention. However, a negative forecast does not mean that tenure cannot be achieved. A tenure forecast is independent of the reappointment decision. If the forecast is uncertain or negative, the Dean must meet with that faculty member to discuss the results of the review.

The Chair should notify the tenure candidate of materials necessary as evidence for tenure consideration and should review with the candidate the relevant time tables. It is the responsibility of the candidate to provide the necessary documents and to become familiar with the procedure.

The faculty member shall submit materials necessary for tenure consideration to the Chair with a copy to the Dean in the summer prior to the beginning of the sixth year of full-time employment as a regular faculty member. The materials in this dossier must include:

• The candidate’s curriculum vitae and any statement the candidate deems appropriate to amplify the material in the curriculum vitae

• Copies of the candidate’s annual activities reports (see Section 6.2) for the first five years of faculty service

• Documentation of the evidence for teaching excellence, scholarship/creative work/research, advising, professional activity, and university service as described in Sections 5 and 6

• A statement concerning future plans and contributions

• External reviews of the scholarship/creative work/research, and professional activity of the candidate

• Additional materials deemed appropriate by the candidate

The Chair shall review the candidate’s dossier and submit a written recommendation to the Dean and Promotion and Tenure Committee. This recommendation shall be reviewed with the candidate, and the candidate shall be given seven calendar days to formulate a written response if desired.

During the process of review by the Promotion and Tenure Committee, the candidate may request a meeting with the Committee to amplify or explain his or her dossier. The Promotion and Tenure committee shall submit its recommendation concerning the candidate to the Dean. A letter will be sent to the candidate and Chair informing them of the committee’s recommendation.

Upon being informed of the tenure recommendation of the Promotion and Tenure Committee, as a result of the above process, the faculty member is entitled, on request, to full due process as outlined in Section 9.

The Dean’s recommendation shall be submitted to the Provost and Chief Operating Officer, and the Dean shall send a letter to the candidate and his/her Chair informing them of his/her recommendation. The Provost and Chief Operating Officer will review the materials provided and make a recommendation to the President. The President will notify the Board of Trustees of his or her decision.

Written notification of the outcome of the tenure review process will be provided to the candidate by February 15th. The candidate will be provided the notification letter, preferably in person, by the Dean, or the Dean’s appointed faculty representative, or alternatively by registered or certified mail. Copies of the letter will be provided for the Chair and the Promotion and Tenure Committee.

A decision to grant tenure will be effective as of the following July 1st.

A recommendation for promotion is typically initiated by the Chair. However, individual candidates for promotion may also initiate the review process. The candidates for promotion must notify the Chair by June 1st of their intent to submit their materials for promotion during the following academic year.

The Chair should notify the promotion candidate of materials necessary as evidence for promotion consideration and should review with the candidate the relevant time tables. It is the responsibility of the candidate to provide the necessary documents and to become familiar with the procedure.

The faculty member must submit materials necessary for promotion consideration to the Chair with a copy to the Dean. The materials in this dossier must include:

• The candidate’s curriculum vitae and any statement the candidate deems appropriate to amplify the material in the curriculum vitae

• Copies of the candidate’s annual activities reports (see section 6.2) for the years of service since the current academic rank was attained

• Documentation of the evidence for teaching excellence, scholarship/creative work/research, advising, professional activity, and university service as described in Sections 5 and 6

• A statement concerning future plans and contributions

• External reviews of the scholarship/creative work/research, and professional activity of the candidate

• Additional materials deemed appropriate by the candidate

The Chair shall review the candidate’s dossier and submit a recommendation to the Dean and Promotion and Tenure Committee. This recommendation shall be reviewed with the candidate, and the candidate shall be given seven calendar days to formulate a written response if desired.

During the process of review by the Promotion and Tenure Committee, the candidate may request a meeting with the Committee to amplify or explain his or her dossier. The Promotion and Tenure Committee shall submit its recommendation concerning the candidate to the Dean. A letter will be sent to the candidate and Chair informing them of the Committee’s recommendation.

Upon being informed of the promotion recommendation of the Promotion and Tenure Committee, as the result of the above process, the faculty member is entitled, on his/her request, to full due process as outlined in Section 9.

The Dean’s promotion recommendation shall be submitted to the Provost and Chief Operating Officer. A letter will be sent to the candidate and Chair informing them of the Dean’s recommendation. The Provost and Chief Operating Officer will review the materials provided and make a recommendation to the President. The President will notify the Board of Trustees of his or her decision.

Written notification of the outcome of the promotion process will be provided to the candidate by February 15th. Copies of the notification letter will be provided for the Chair and the Promotion and Tenure Committee.

A decision to grant a promotion will be effective as of the following July 1st.

Tenure and promotion decisions are independent. Therefore, promotion is not automatic as a result of a tenure decision; conversely, tenure is not automatic as the result of a promotion decision. Because of the variety of circumstances of appointment, such as prior service or experience, a candidate may stand for tenure and promotion at different times.

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If, during the annual performance review of a probationary tenure-track faculty member, the Promotion and Tenure Committee recommends not to reappoint a faculty member, the Committee Chair will inform the Dean immediately. The Dean will inform the Provost and Chief Operating Officer, and the Provost and Chief Operating Officer will then inform the President.

The Promotion and Tenure Committee will present the faculty member with a written statement of the Committee’s judgment as to: (a) the criteria which the faculty member has failed to meet satisfactorily; and/or (b) assigned duties which the faculty member has performed unsatisfactorily; and/or (c) other factors that may contribute to this recommendation not to reappoint the faculty member. A copy of this statement will also be forwarded to the Dean and the Chair.

In such instances, the faculty member is entitled, on request, to full due process as outlined in Section 9.

The Dean will consider the recommendation of the Promotion and Tenure Committee and conduct an independent review of the faculty member’s materials. The Dean will then submit a recommendation to the Provost and Chief Operating Officer. The Provost and Chief Operating Officer will review the materials provided and make a recommendation to the President.

On occasion, the Dean may choose to recommend the non-reappointment of a probationary tenure-track faculty member outside of the normal annual review process. In this process, the Dean will consult with the Promotion and Tenure Committee informing them of his or her wishes not to reappoint the faculty member, and the Dean will inform the Provost and Chief Operating Officer immediately. The Provost and Chief Operating Officer will then inform the President.

The Dean will then, in the presence of the Chair, hand the faculty member a brief written notice of the Dean’s intention to recommend non-reappointment. The Dean will also make an oral statement of his/her judgment as to: (a) the criteria which the faculty member has failed to meet satisfactorily; and/or (b) assigned duties which the faculty member has performed unsatisfactorily; and/or (c) specific changes in University conditions that make the non-reappointment necessary.

During the meeting the Dean:

• Will not make any oral statement as to the details of the evidence supporting such judgment. For example, the Dean can refer to “the excellence in teaching criterion” and state that in the Dean’s and/or Committee’s judgment, the faculty member has failed to measure up to that standard.

• Should avoid the humanitarian impulse to make alleviating statements of praise or have any informal “off the record” talks with the faculty member

If the faculty member so requests, the Dean will supply a written summary of his/her oral “judgment of unfulfilled criteria” and provide a copy to the Chair. This summary will indicate the position of the Chair, Promotion and Tenure Committee, and the Dean. The Dean will then submit a recommendation to the Provost and Chief Operating Officer. The Provost and Chief Operating Officer will review the materials provided and make a recommendation to the President.

In such instances, the faculty member is entitled, on request, to full due process as outlined in Section 9.

If a tenured faculty member is judged to demonstrate unsatisfactory performance (as referenced in Section 8.5), or if during the five year review (as found in section 6.4) a tenured faculty member’s performance is found to be unsatisfactory when judged against the criteria listed in Sections 5 and 6, the Dean shall: (a) give the faculty member a written statement indicating those areas in which the faculty member must make significant improvement; and (b) stipulate that the faculty member’s next academic year is a “warning year” at the end of which the faculty member will be re-evaluated. During this “warning year,” the faculty member shall not be entitled to promotion or salary increase.

Following the warning year, the faculty member will be re-evaluated by the appropriate Promotion and Tenure Committee, Dean, and the Provost and Chief Operating Officer. If the re-evaluation is negative, the faculty member shall be given the opportunity to resign (including the opportunity to take early retirement, if eligible). Should the faculty member choose not to use either of these options, formal proceedings under academic due process (pursuant to this section), leading to penalties up to and including dismissal, shall be initiated. The statement of charges shall be prepared by the Dean, who will forward the recommendations of the Promotion and Tenure Committee as an attachment. These charges shall be forwarded to the Provost and Chief Operating Officer and President. Such proceedings shall begin with the procedures found in Section 8.5.

The normal timeline for the above procedure shall be as follows:

1. Notification of the negative outcome of the review will occur by February 15th.

2. A warning year (if necessary) will occur in the Fall and Spring semesters of the next academic year.

3. A re-evaluation (at the end of the warning year) will occur by May 31st.

4. Informal proceedings, where necessary, will be completed within 30 calendar days of the re-evaluation.

5. Formal proceedings, where necessary, will begin after the conclusion of informal proceedings and will be completed within 120 calendar days of the inception of formal proceedings.

This warning year process does not apply to instances in which the University seeks to discharge a faculty member for reasons other than unsatisfactory performance.

Termination of an appointment with tenure, or of a probationary tenure-track appointment prior to the end of the period of appointment, because of a disability (physical or mental) will be based upon clear evidence that the faculty member, even with reasonable accommodation, is no longer able to perform the essential duties of the position. All medical information regarding the faculty member will be kept confidential and released only on a need-to-know basis consistent with its use in these proceedings.

The President may reach a decision to terminate only after the faculty member concerned, or someone representing the faculty member, has been informed of the basis of the proposed action and the faculty member, or representative, is afforded an opportunity to present his or her position and to respond to the evidence. The faculty member is entitled, on his or her written request, to full due process as outlined in section 8.6.

Definition of “For Cause”

The phrase ”for cause” shall be interpreted as covering the following:

• Personal conduct that indicates gross unfitness to associate with students

• Unsatisfactory performance in assigned responsibilities, and in those activities described in Sections 5 and 6. The term “unsatisfactory” shall not include the trivial or capricious. An otherwise satisfactory tenured faculty member shall not be discharged due to an unsatisfactory performance for a limited period of time resulting from apparently non-recurring processes (see Section 4).

• Obstructive opposition to the functioning of the University, including persistent violation of University policies

• Violation of the principles of academic freedom as stated in Section 2

• Conviction of a serious crime where the character or circumstances of the crime or violation of the law are such as to bring into question the fitness and/or effectiveness of the individual to continue in his/her present position

• Gross neglect of duty

All faculty members are entitled to protection against personal prejudice, unfounded rumors, and judgments based on inadequate evidence.

Informal Procedures

When reason arises to question the fitness of a regular faculty member who has tenure or a probationary tenure-track faculty member whose term appointment has not expired, the appropriate administrative officer(s) shall discuss the matter with the faculty member in a personal conference. The matter may be terminated by mutual consent at this point. If the matter is not terminated by mutual consent, the President, after conferring with the Provost and Chief Operating Officer and Academic Deans, may recommend dismissal to the appropriate Faculty Advisory Committee.

The membership of the Faculty Advisory Committee shall consist of: (a) the Promotion and Tenure Committee of the faculty member’s College, School, or Library; and (b) the senior member of the Promotion and Tenure Committee of the College of Liberal Arts and Sciences. The “senior” member of a Promotion and Tenure Committee is the member with the longest period of service on that Committee. Where necessary, rank and length of service (in that order) at Alfred University may be used as a means to further ascertain seniority. Should the faculty member who is the subject of the Committee’s deliberations be a member of the College of Liberal Arts and Sciences, the senior member of the Promotion and Tenure Committee of the next largest College, School, or Library will serve in the advisory committee position designated in (b) above.

The Faculty Advisory Committee shall informally inquire into the situation to: (1) effect a mutually acceptable resolution between the University and the faculty member; or (2) in the absence of a mutual resolution, determine in its view whether formal proceedings to consider the faculty member’s dismissal should be instituted.

If the Faculty Advisory Committee recommends that formal proceedings should be initiated, a statement with reasonable particularity of the proposed grounds for dismissal shall be jointly formulated by the President and the Faculty Advisory Committee.

If the President determines that formal proceedings should be initiated despite a contrary recommendation by the Faculty Advisory Committee, the President may initiate formal proceedings to consider the faculty member’s dismissal. In this situation, the President, or the President’s representative, shall formulate the official statement of charges. Under such circumstances, the Faculty Advisory Committee shall formulate its own statement, indicating where and how it disagrees with the official statement of charges. This statement, like the official statement of charges, shall become part of the record of the proceedings.

Suspension of the faculty member from teaching or other duties during the informal or formal proceedings is justified only if immediate harm to the faculty member or others is threatened by the faculty member’s continuance. The President will confer with the Faculty Advisory Committee before taking any suspension action. Unless legal considerations forbid, any suspension shall be with pay.

Formal Proceedings

Formal proceedings to consider the faculty member’s dismissal shall begin with written communication addressed to the faculty member by the President of Alfred University. This communication letter will provide the faculty member with the statement of charges and notify the faculty member that a hearing to determine whether the faculty member should be removed from the faculty will be conducted by the appropriate Faculty Hearing Committee at a specified time and place. The faculty member shall be informed of the procedure that will be followed. The faculty member shall have the opportunity to respond in writing to the statement of charges. A reasonable time (15 to 30 calendar days) shall be allowed to the faculty member to prepare a defense.

The Faculty Hearing Committee

The membership of the Faculty Hearing Committee shall consist of the Faculty Council of the appropriate College, School, or Library. Each Faculty Hearing Committee shall elect its own chairperson. In no case shall a faculty member against whom charges have been brought sit in judgment of his/her own case. Members of the Faculty Hearing Committee shall, at their own initiative, or at the request of the faculty member, the University President, or Committee Chair, remove themselves from the Hearing for reasons of bias or interest. The Committee Chair will evaluate the merits of each request for removal and make appropriate judgments. The faculty members most recently retired from the appropriate Faculty Council shall be the alternates for replacement of members of the Faculty Hearing Committee should the Committee Chair decide that replacement is necessary. In no case shall a faculty member sit on more than one committee concerned with the case.

Committee Proceeding

The Faculty Hearing Committee shall proceed by considering the statement of charges and the faculty member’s written response to those charges. If the faculty member does not respond, the Committee will consider the case on the basis of the obtainable information and the hearing will go on with or without the faculty member present. If any facts are in dispute, the testimony of witnesses and other evidence concerning the statement of charges set forth in the President’s letter to the faculty member shall be received. In the hearing of charges of unsatisfactory performance, the testimony shall include that of qualified faculty members from this or other institutions. The President shall have the option of attendance during the hearing. The President may designate an appropriate representative to assist in developing the case, but the Committee shall determine the order of proof, shall ordinarily conduct the questioning of the witnesses, and, if necessary, shall secure the presentation of evidence important to the case.

The faculty member shall have the option of assistance by a representative, whose functions shall be similar to those of the representative chosen by the President. The faculty member shall have the aid of the appropriate faculty hearing committee, when needed, in securing the attendance of witnesses.

The faculty member, and the President or his/her designee, shall have the right, within reasonable limits, to confront and cross examine all witnesses who testify orally. The faculty member shall have the opportunity to confront all witnesses adverse to her/him. Where unusual and urgent reasons move the Faculty Hearing Committee to withhold the right of confrontation and cross-examination, or where the witnesses can not appear, the identity of the witnesses, as well as their statements, shall nevertheless be disclosed to the faculty member. Subject to these safeguards, statements may, when necessary, be taken outside of the hearing and reported to it.

All evidence shall be recorded. The Hearing Committee Chair is not obligated to follow formal rules of court procedure. The burden of proof that adequate cause for dismissal exists rests with the University, and shall be satisfied only by clear and convincing evidence in the record considered as a whole.

The Faculty Hearing Committee shall reach its recommendation in conference on the basis of the hearing. Before doing so, the Committee shall give opportunity to the faculty member, or the faculty member’s representative, and to the President or representative designated by the President, to argue orally before it. If written briefs would be helpful, the Committee may request them.

The Committee shall make explicit its findings with respect to each of the grounds for removal presented. Short of dismissal, the Faculty Hearing Committee may also recommend such disciplinary actions as the following:

•Suspension without pay for a specified or indefinite period

•Reduction in salary and/or rank

•Removal of tenure

•Fine through payroll deduction

•Censure

•Warning

The faculty member and the President shall be notified in writing of the recommendation of the Faculty Hearing Committee and be given a copy of the record of the evidence.

Consideration by the Governing Body

The President shall transmit to the Executive Committee of the Board of Trustees the full report of the Faculty Hearing Committee, stating its recommendation. Acceptance of the Faculty Hearing Committee’s recommendation would normally be expected. If the faculty member requests that the recommendation be reviewed, or if the Executive Committee chooses to review the case, its review shall be based on the record of the previous hearing, accompanied by opportunity for argument, oral or written or both, by the President and faculty member, or their representatives.

The recommendation of the Faculty Hearing Committee shall either be sustained or the proceedings will be returned to the Faculty Hearing Committee with objections specified. In such a case, the Faculty Hearing Committee shall reconsider, taking account of the stated objections and receiving new evidence if necessary. It shall frame its recommendation and communicate it in the same manner as before. Only after study of the Faculty Hearing Committee’s reconsidered recommendation shall the Executive Committee make a final decision overruling the Faculty Hearing Committee.

The Executive Committee of the Board of Trustees shall inform the faculty member in writing of the final decision in the faculty member’s case. If the decision is dismissal, the Executive Committee shall inform the faculty member of the effective date of dismissal and of matters concerning compensation. This date may not be earlier than the day on which the Executive Committee’s notification is written. The faculty member shall not be considered as dismissed during the various deliberations on the case.

Publicity

Except for such simple announcements as may be required covering the time of the hearing and similar matters, public statements about the case by either the faculty member or administrative officers shall be avoided so far as possible until the proceedings have been completed. Announcement of the final decision shall be made by the Chair of the Executive Committee and shall include the statement of the Faculty Hearing Committee’s original recommendation, if this has not been made known previously.

Terminal Salary Payment

If a regular faculty member is dismissed for cause, a terminal salary payment may be made in accordance with the following schedule:

• Three months’ salary from the effective date of dismissal for a faculty member dismissed in the first year of appointment

• Six months’ salary from the effective date of dismissal for a faculty member dismissed in the second year of appointment

• A full academic year’s salary from the effective date of dismissal for a faculty member dismissed in the third or subsequent year of appointment, or for a tenured faculty member.

In general, a terminal salary payment for probationary tenure-track regular faculty shall not exceed the remaining term of appointment. According to the circumstances surrounding a given case, the Executive Committee of the Board of Trustees may deviate from the foregoing schedule in determining the sum (if any) to be paid.

The Faculty Paid Leave Program

A. The purpose of the Faculty Leave Program is the strengthening of the academic position of the University by furthering productive scholarship on the part of the faculties. Scholarship is here interpreted to mean not only original creative research leading to publication, but also study conducive to the improvement of teaching. Projects proposed will be evaluated on the basis of their intrinsic merit and their value to the University.

B. All faculty members on tenure shall be eligible to apply for paid leaves under this program. Leaves may be granted for one or two semesters, but not for more than one academic year. Normally, a person who has been on leave under this program shall not be eligible to apply for a second leave until after five additional years of service as a member of the Alfred University teaching staff.

C. Those participating in this program must agree to return to the University upon the termination of leaves and remain as members of the University staff for a period of two years. A faculty member on leave who decides not to return to the University shall be obligated to reimburse the University in full for all monies received from the University in support of the leave. Any faculty member who resigns after one year of service following the termination of a leave shall be obligated to reimburse the University for one-half of all monies received from the University in support of the leave.

D. Faculty members on leave under this program shall receive their annual base salaries in full for one semester, or one-half of their salaries for two semesters, subject to the following conditions: the University reserves the right to determine when leaves shall begin and when they shall end; if a faculty member on leave receives financial assistance from sources other than Alfred University, that person’s combined income less project expenses shall not exceed the annual base salary plus an amount which recognizes additional costs occasioned by conducting the study or research at a location other than Alfred; where combined income less project expenses does exceed the annual base salary, Alfred University’s share shall be reduced by a proportionate amount.

E. Formal application for a leave under the Faculty Paid Leave Program must be made no later than November first of the year preceding the academic year for which the leave is requested. The application shall be submitted to the appropriate academic dean who, after review and consultation with the divisional chairperson and the Promotion and Tenure Committee, shall make a recommendation to the President through the Provost and Chief Operating Officer.

F. Whenever possible, the courses of the faculty member on leave under the Faculty Paid Leave Program shall either not be offered during the period of leave or shall be taught by other members of the division.

G. Leaves may be granted under this program each year at the discretion of the President.

The Faculty Unpaid Leave Program

Under appropriate circumstances, unpaid leaves of absence may be granted upon the recommendation of the Dean and the approval of the Provost and Chief Operating Officer and the President.

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