Faculty Governance Structures Review

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1 Faculty Governance Structures Review November 2012 In the following report, Hanover Research benchmarks the faculty governance structures of the top 30 liberal arts colleges. Our report also presents in-depth profiles of governance structures in three of the top 30 colleges, as well as information on recent changes in governance at three additional institutions.

2 TABLE OF CONTENTS Executive Summary and Key Findings... 4 INTRODUCTION... 4 REPORT STRUCTURE... 4 KEY FINDINGS... 5 Faculty s... 5 Selection of Department Chairs... 5 Sub-s on Promotion/Tenure, Budget, and Curriculum... 5 Faculty Governance Changes and Faculty Reactions... 5 Section I: General Trends in College Governance Structures... 6 FACULTY COMMITTEES AND DEPARTMENT CHAIRS... 6 Changes in Faculty Governance Structures... 9 Faculty Executive Structures Selection of Department Chairs TENURE, PROMOTIONS, BUDGETING, AND CURRICULUM Tenure and Promotions Process Budget and Curriculum Decisions Section II: College Governance Profiles AMHERST COLLEGE Faculty s Selection and Responsibilities of Department Chairs Tenure and Promotion Decisions Curriculum Decisions Budget Decisions BOWDOIN COLLEGE Faculty s Tenure and Promotion Decisions Curriculum Decisions Budget Decisions OBERLIN COLLEGE Faculty s Selection and Responsibilities of Department Chairs Hanover Research Academy Administration Practice 2

3 Tenure and Promotion Decisions Curriculum and Budget Decisions Section III: Changes in College Governance and Faculty Reactions RENSSELAER POLYTECHNIC INSTITUTE NATIONAL UNIVERSITY MISSOURI STATE UNIVERSITY ON THE IMPORTANCE OF SHARED GOVERNANCE Appendix A: Amherst Faculty s Hanover Research Academy Administration Practice 3

4 EXECUTIVE SUMMARY AND KEY FINDINGS INTRODUCTION Hanover research investigated faculty governance structures at the top 30 liberal arts colleges identified by U.S. News & World Report. 1 Most of the information included in this report was gathered from institutional websites and faculty handbooks. However, we note that very little information was available on the websites of the two military institutions on the list of top 30 colleges (the United States Naval Academy and the United States Military Academy). REPORT STRUCTURE In Section I, we examine broad trends in governance at liberal arts institutions. We first examine faculty committees, including which committees speak for the faculty and relevant divisional committees, as well as department Chair selection. The second part of this section examines the bodies responsible for tenure/promotion, budget, and curriculum decisions at each institution for which information was available. In Section II, we provide in-depth profiles of the faculty governance structures at three institutions: Amherst College, Bowdoin College, and Oberlin College. The faculty committees, budgeting decisions, curriculum decisions, department chair selection, and processes for tenure/promotion are reviewed in these profiles. Finally, in Section III, we briefly discuss recent changes in college governance at three institutions: Rensselaer Polytechnic Institute (RPI), National University, and Missouri State University. However, we note the information regarding faculty reactions to changed governance structures was rarely available, either in news articles or on faculty or institutional websites. The key findings from our research are presented on the following page. 1 National Liberal Arts Colleges. U.S. News & World Report Hanover Research Academy Administration Practice 4

5 KEY FINDINGS FACULTY COMMITTEES Most faculty governance structures at liberal arts institutions include one representative faculty body that is responsible for speaking for the faculty. Typically, this body is called a Faculty Executive, and is comprised of between three and eight faculty representatives. These representatives are typically elected by the general faculty, and serve terms of two to four years. Many of the top liberal arts institutions reviewed either require or strongly encourage faculty participation in faculty committees. Several institutions also have legislation limiting the number of times faculty members can serve on certain committees, or limiting the number of committees on which faculty members can serve concurrently. SELECTION OF DEPARTMENT CHAIRS Department chairs are often either elected directly by the faculty, or are appointed by the President of the institution in consultation with faculty members. Department chairs typically serve terms of three to five years, although several institutions note that Chair service does not carry a fixed term. Department chairs can also typically be re-elected several times after their initial term is complete. SUB-COMMITTEES ON PROMOTION/TENURE, BUDGET, AND CURRICULUM Nearly all institutions have faculty subcommittees responsible for hearing and deciding matters related to promotion and tenure of faculty members, the institution s budget, and curriculum. Such committees are often comprised of various institutional representatives, including faculty members, administrators and students. FACULTY GOVERNANCE CHANGES AND FACULTY REACTIONS Information on changes to faculty governance structure was limited, as not many institutions choose to make such information public. However, Hanover found that faculty participation in college governance is very important to many faculty members. Indeed, a survey of Missouri State University faculty members during the beginning of the 2008 recession found that faculty satisfaction with an institution may be more influenced by the level of shared governance than by the level and allocation of institutional resource. Our research suggests that faculty members are typically least receptive to changes to faculty governance structures when governance is restructured without faculty input or consent. In other words, the higher the level of cooperation and consultation between faculty members and the administration during the governance review process, the more likely faculty members are to support changes in faculty governance Hanover Research Academy Administration Practice 5

6 SECTION I: GENERAL TRENDS IN COLLEGE GOVERNANCE STRUCTURES In this section, we review faculty governance structures in place at many of the top thirty liberal arts institutions identified by the U.S. News & World Report. This section is comprised of two subsections: one examines faculty committees and department chairs, and one that examines tenure and promotion, budgeting and curriculum committees. For each subsection, we first present information for each institution in a summary table, and then provide a brief discussion of themes that emerged in our review of faculty governance structures at these institutions. FACULTY COMMITTEES AND DEPARTMENT CHAIRS Hanover first surveyed institutional websites and faculty handbooks at each of the top 30 liberal arts institutions identified by the U.S. News & World Report for information regarding recent changes to college governance, faculty committee structures, requirements for committee service, and the selection of department chairs. However, most of the colleges did not provide information in all of these areas, and some institutions did not provide any information at all. Notably, no information was available for Swathmore College, Colgate University, Claremont McKenna College, Haverford College, Carleton College, the United States Naval Academy, or the United States Military Academy. Therefore, these institutions are excluded from our analysis and from the summary table below. INSTITUTION (U.S. NEWS RANK) Williams College (#1) Amherst College (#2) Figure 1.1: General Faculty Governance Information, by Institution RECENT CHANGE IN GOVERNANCE Creation of Williams Staff 2 Creation of the Advisory Budget (2009) 5 BODY THAT SPEAKS FOR FACULTY COMMITTEE SELECTION OF DEPARTMENT CHAIR (NUMBER OF MEMBERS) SERVICE President Consults with Faculty Steering (6) 3 Unknown department, then President appoints chair. 4 of Six (8 including the President and Dean of Faculty who do not vote) 6 Required, except in first year Department elects chair to recommend to the President of the College. 7 2 The New Williams Staff. Williams College Office of the President. 3 s, Panels, & Advisory Groups: Faculty Steering. Williams College. 4 Academic Department Governance: Williams College Employee Handbook. Williams College. 5 Advisory Budget. Amherst College. 6 s. Amherst College, Dean of the Faculty. 7 The Faculty. Dean of the Faculty Hanover Research Academy Administration Practice 6

7 INSTITUTION (U.S. NEWS RANK) Middlebury College (#4) Pomona College (#4) Bowdoin College (#6) Wellesley College (#6) Vassar College (#10) Davidson College (#12) Harvey Mudd College (#12) RECENT CHANGE IN GOVERNANCE N/A N/A Revised Structure 12 N/A N/A Formed Strategic Advisory 15 N/A BODY THAT SPEAKS FOR FACULTY COMMITTEE (NUMBER OF MEMBERS) SERVICE SELECTION OF DEPARTMENT CHAIR Faculty Council (6). Three of the members also serve on on Conference with Trustees, and the other Required Appointed by the President 9 three serve on the on Finance and Planning 8 Executive of the Faculty (6) 10 Unknown Appointed by the President. 11 on Governance and Faculty Affairs (6) 13 Unknown Required, except in first year Required, except in first year Unknown Unknown Faculty Policy and Conference (6) 14 Encouraged Unknown Faculty Executive (10) 16 Unknown Faculty Executive (6) 18 Required Selected by the President and the Vice President for Academic Affairs and Dean of Faculty, in consultation with departmental faculty. 17 Appointed by the President upon the recommendation of the Dean of Faculty after consultation with the members of the department Faculty Rules and Procedures. Middlebury College. 9 Administrative Appointments Terms/Conditions. Middlebury College Faculty Handbook Pomona College Faculty Handbook Pomona College. P Ibid., Revised Structure. Bowdoin College, Office of Academic Affairs Academic Affairs: on Governance and Faculty Affairs. Bowdoin College Faculty Handbook Vassar College. P The Strategic Advisory. The Davidson College Strategic Plan. P isory%20%20overview.pdf 16 The Davidson College Faculty Handbook. August, Davidson College. P Ibid., The Harvey Mudd College Faculty Notebook. Harvey Mudd College. P Ibid., Hanover Research Academy Administration Practice 7

8 INSTITUTION (U.S. NEWS RANK) Washington and Lee University (#14) Hamilton College (#16) Wesleyan University (#17) Colby College (#18) Smith College (#18) Bates College (#22) Grinnell College (#22) Macalester College (#24) RECENT CHANGE IN GOVERNANCE Faculty Administrators Evaluation is dormant, considering eliminating this committee 20 BODY THAT SPEAKS FOR FACULTY (NUMBER OF MEMBERS) COMMITTEE SERVICE SELECTION OF DEPARTMENT CHAIR Faculty Executive 21 Unknown Unknown N/A Academic Council (6) 22 Unknown Appointed by Dean from among members of the department 23 N/A Faculty Executive Council (6) 24 Unknown Unknown N/A No central body; rather, individual committees and Division Chairs represent faculty to the administration. 25 Encouraged N/A Faculty Council (5) 27 Unknown President, with advice of department and Dean of Faculty, appoints department chair 26 Elected by qualified voting members. 28 on Faculty N/A Governance (9) 29 Unknown Unknown Elected or appointed from N/A Executive Council (8) 30 Unknown among the Regular faculty of their department. 31 Academic Liaison - made of the three chairs of the N/A other Faculty Standing Unknown Appointed by Provost s (3) Faculty Handbook Listing of s and Members. Washington and Lee University Faculty Executive. Washington and Lee University Faculty Handbook. December, Hamilton College. P Ibid., Accreditation Report: Standard Three: university Organization and Governance Wesleyan University Board of Trustees Colby College Faculty Handbook Colby College. P Ibid., Smith at a Glance: College s & Governance. Smith College Code of Faculty Legislation and Administrative Practice at Smith College Smith College. P The Faculty Handbook of Bates College. August, Bates College. P Grinnell College Faculty Handbook. July 20, Grinnell College. P Ibid., By-Laws of the Faculty. Macalester College. P Hanover Research Academy Administration Practice 8

9 INSTITUTION (U.S. NEWS RANK) Scripps College (#24) Bryn Mawr College (#26) Oberlin College (#26) Barnard College (#28) University of Richmond (#28) RECENT CHANGE IN GOVERNANCE N/A N/A BODY THAT SPEAKS FOR FACULTY (NUMBER OF MEMBERS) COMMITTEE SERVICE Faculty Executive (8) 33 Unknown Representatives to the Board of Trustees (3) 35 Required N/A General Faculty Council (8) 37 Required SELECTION OF DEPARTMENT CHAIR Appointed by Dean of Faculty, in consultation with members of the department. 34 Elected by department, approved by Provost in consultation with the President. 36 Department chairs appointed by College Faculty Council upon recommendation of Dean, after consultation by Dean with members of the department. 38 N/A Faculty Advisory Council (6) 39 Required Unknown N/A University Faculty Council (17) 40 Unknown Appointed by the President of the University. 41 CHANGES IN FACULTY GOVERNANCE STRUCTURES Only five of the institutions we reviewed Williams College, Amherst College, Bowdoin College, Davidson College, and Washington and Lee University provided explicit information on recent changes in governance structures on their websites. Typically, recent changes to faculty governance structures at these institutions have revolved around the creation of new faculty sub-committees, such as the new Strategic Advisory at Davidson College, which was formed in order to consider strategic institutional issues and [serve] in an advisory capacity to the President and Principal Executive Staff (PES). 42 Additionally, Bowdoin College recently revised its committee structure to allow faculty more time for teaching and research. Information regarding faculty reactions to these governance structure changes was unavailable for the five top liberal arts colleges reviewed in this section of our report. However, faculty reactions to governance structure changes at other colleges and universities are reviewed in more detail in Section III. 33 Scripps College Faculty Handbook Scripps College. P Ibid., Plan of Governance of Bryn Mawr College. February 7, Bryn Mawr College. P Ibid., Oberlin College Faculty Guide. June 11, Oberlin College. P P A Faculty Guide to Barnard College. July 30, Barnard College. P University Faculty Council. University of Richmond Office of the Provost University of Richmond Guide to Faculty Governance: I. Preface: Mission, History, and Organization of the University. The University of Richmond Davidson s Vision for the Future. Davidson College. P isory%20%20overview.pdf 2012 Hanover Research Academy Administration Practice 9

10 FACULTY EXECUTIVE COMMITTEE STRUCTURES The majority of top 30 liberal arts institutions reviewed appear to have a specific faculty committee that is charged with speaking for the faculty, or representing the collective faculty to the institution s administration. Further, the majority of faculty committees at these institutions are comprised of six or more members, with only three institutions (Smith College, Macalester College, and Bryn Mawr College) noting that their faculty committees are comprised of less than six members. Typically, faculty executive committees include the president of the institution, the provost and/or academic dean of the institution, and three or more faculty members elected by the collective faculty. The notable exception to this general rule is the University of Richmond, which has a faculty committee comprised of 17 members, all of whom are elected faculty of the university s five schools. Faculty members are typically elected by the general faculty to serve on these committees, and serve terms of between two and four years. Faculty service on committees is typically either required or encouraged, though most institutions allow only tenure-track faculty to serve on committees, and to vote on matters such as department chair appointments and tenure and promotion decisions. We note, however, that the American Association of University Professors (AAUP) found that in 2009, 75 percent of faculty appointments in the U.S. were non-tenure-track, and that these faculty members are only sometimes included in governance structures. The AAUP is currently calling for more participation by these members, including eligibility for voting and holding office. 43 Therefore, it may be wise for institutions to consider including nontenure-track faculty in faculty governance structures moving forward. Although several institutions have additional sub-committees and sub-councils comprised of faculty members, we note that only one institution Oberlin College appears to have divisional executive committees responsible for approving legislation particular to their branches such as curricular policy. 44 Most other institutions appear to have separate curriculum committees or advisory boards who are responsible for setting legislation related to curricular policy, or designate decisions regarding these issues to departmental chairs or program coordinators. SELECTION OF DEPARTMENT CHAIRS Only fifteen institutions provided information on the selection of department chairs. Of these institutions, the majority note that all department chairs are appointed by the president of the institution, the provost, or the Dean of Faculty. Typically, however, all chair appointments are made in consultation with faculty and staff from the appropriate department. In general, only tenured or tenure-track faculty members are eligible to serve as departmental chairs. 43 New Report on Contingent Faculty and Governance. American Association of University Professors Faculty: Oberlin Faculty Structure. Oberlin College Hanover Research Academy Administration Practice 10

11 TENURE, PROMOTIONS, BUDGETING, AND CURRICULUM Hanover next examined information found on institutional websites in order to determine the bodies responsible for tenure/promotions, budgeting, and curriculum decisions at the top 30 liberal arts colleges. Most institutions provided this information in faculty handbooks or faculty governance webpages. However, we note that no information was available for the United States Naval Academy or the United States Military Academy. A summary of information collected for this section is found in the table below. INSTITUTION (U.S. NEWS RANK) Williams College (#1) Amherst College (#2) 50 Swarthmore College (#3) 53 Figure 1.2: Bodies Responsible for Tenure/Promotions, Budgeting, and Curriculum Decisions, by Institution TENURE/PROMOTIONS BUDGETING CURRICULUM on Appointments and Promotions Faculty Interviewing Panel Faculty Review Panel Trustees 45 Department Dean of the Faculty of Six Board of Trustees 51 Board of Managers on Promotion and Tenure Individual departments Dean of the Faculty 46 VP for Finance and Administration 47 Director of the Budget Dean of the Faculty Treasurer Board of Trustees on Priorities and Resources Advisory Budget 52 Finance 54 College Budget on Educational Policy 48 Individual committees for each program 49 of Six on Educational Policy Curriculum Council on Educational Policy on Academic Requirements 45 s, Panels, & Advisory Groups Appointments & Promotions. Williams College Office of the Dean of the Faculty. Williams College Vice President for Finance & Administration and Treasurer. Williams College Educational Policy. Williams College s, Panels, & Advisory Groups Membership. Williams College s. Amherst College Promotion. Amherst College Advisory Budget. Amherst College s of the Faculty. Swarthmore College Finance. Swarthmore College Hanover Research Academy Administration Practice 11

12 INSTITUTION (U.S. NEWS RANK) Middlebury College (#4) 55 Pomona College (#4) 57 Bowdoin College (#6) 59 Wellesley College (#6) 60 Carleton College (#8) TENURE/PROMOTIONS BUDGETING CURRICULUM Promotions of the Council on Reviews Vice President for Academic Affairs Department Chair (or Dean of the Faculty) Board of Trustees Department chairs Faculty Personnel Associate Dean for Academic Affairs 58 Dean Cabinet Board of Trustees Faculty Grievance Individual departments Dean for Academic Affairs on Appointments, Promotion, and Tenure of the College Academic Affairs of the Trustees Board of Trustees on Faculty Appointments Department Chair Departmental Reappointments and Promotions Board of Trustees Department Chair Dean Faculty Personnel Board of Trustees 61 Budget Oversight Budget and Finance Board of Trustees 56 Budget Planning Advisory Executive Financial Planning on Governance and Faculty Affairs Advisory on Budgetary Affairs Curriculum (subcommittee of the Educational Affairs ) Curriculum Curriculum and Educational Policy Curriculum Implementation Recording on Curriculum and Academic Policy Budget Education and Curriculum (subcommittee of the College Council) Faculty Councils and s. Middlebury College Self-Study Report Middlebury College Faculty s Pomona College Dean s Office Staff. Pomona College Faculty Handbook Bowdoin College Standing s of Academic Council. Wellesley College Tenure Reviews. Carleton College Hanover Research Academy Administration Practice 12

13 INSTITUTION (U.S. TENURE/PROMOTIONS BUDGETING CURRICULUM NEWS RANK) Haverford Administrative Advisory College (#9) 64 Academic Council Educational Policy Appointment, Promotion, and Tenure Claremont Executive McKenna Administration Curriculum College (#10) 65 Dean of the Faculty Department Vassar College (#10) 66 Davidson College (#12) Harvey Mudd College (#12) 70 Washington and Lee University (#14) Department faculty Dean of the Faculty Faculty Policy and Conference Faculty Appointments and Salary Vice President Department Chair Faculty Tenure 67 Reappointment, Promotion, and Tenure Department Chair Department Board of Trustees Advisory Tenure (for each department) Board of Trustees Promotion Evaluation Dean of the College 71 Board of Trustees Budget and Finance Trustee Audit and Budget Business Services Department 68 on Curricular Policies Faculty on Educational Policy 69 Budget Curriculum Budget Advisory 72 Courses and Degrees Budget. Carleton College Education and Curriculum. Carleton College Periodic Review Report Haverford College Faculty Handbook Claremont McKenna College The Governance of Vassar College 2010/11. Vassar College Compliance Certification Report Comprehensive Standard Evaluation of Faculty. Davidson College Finance and Administration. Davidson College Compliance Certification Report Comprehensive Standard Competencies within the general education core. Davidson College The Harvey Mudd College Faculty Notebook. Harvey Mudd College Faculty Handbook Washington and Lee University Hanover Research Academy Administration Practice 13

14 INSTITUTION (U.S. NEWS RANK) Hamilton College (#16) 74 Wesleyan University (#17) Colby College (#18) 78 Colgate University (#18) 79 Smith College (#18) 80 Bates College (#22) 81 TENURE/PROMOTIONS BUDGETING CURRICULUM Department Chair Department voting members Dean on Appointments Board of Trustees Academic Affairs Review and Appeals Board 75 on Promotion and Tenure Dean of Faculty Faculty on Promotion and Tenure Dean s Advisory Council on Faculty Affairs Department Dean of the Faculty Board of Trustees on Tenure and Promotion Board of Trustees Unit Department Chair on Personnel Trustees Faculty on Budget and Finance Vice Presidents on Academic Policy Executive Budget Educational Policy Cabinet Budget Priorities Financial Priorities Academic Affairs on Budget and Financial Planning (a Liaison ) Director of Budget and Decision Support Associate Provost Vice President for Administration Dean of the College Vice President for Institutional Advancement Budget Director Faculty Council Advisory on Resource Allocation Budget and Finance Advisory Academic Affairs Board Curriculum on Academic Priorities on Curriculum and Calendar 72 University Budget. Washington and Lee University Courses and Degrees. Washington and Lee University Faculty Handbook Hamilton College Academic Affairs. Wesleyan University Accreditation Report Standard Two : Planning and Evaluation. Wesleyan University Academic Affairs EPC Policies. Wesleyan University Colby College Faculty Handbook Colby College Organization of the University. Colgate University. c4580a90e02a/imagegallery/faculty%20handbook%20revisions%20for%20web% pdf 80 Code of Faculty Legislation and Administrative Practice. Smith College The Faculty Handbook of Bates College Bates College. Complete-Faculty-Handbook pdf 2012 Hanover Research Academy Administration Practice 14

15 INSTITUTION (U.S. NEWS RANK) Grinnell College (#22) 82 Macalester College (#24) 84 TENURE/PROMOTIONS BUDGETING CURRICULUM Faculty Personnel Divisional Personnel Department Chair Dean of the College Executive Council Trustees Faculty Personnel Provost Board of Trustees Appointments, Promotions, Scripps College (#24) 85 and Tenure Bryn Mawr College (#26) Oberlin College (#26) 89 Barnard College (#28) 90 on Appointments Board 86 Department Chair Dean Divisional Faculty Council General Faculty Council Trustees s Advisory on Appointments, Tenure, and Promotion Department faculty Board of Trustees Budget of the Curriculum s within Trustees Budget Steering 83 each division Resource and Planning Finance Faculty Executive on Academic Priorities College Budget (a subcommittee of Council on Institutional Priorities) 87 Chairs, division directors, and program directors prepare budgets, which are then approved by the Dean of the College of Arts and Sciences or the Dean of the Conservatory Faculty Budget Planning Faculty Finance and Resource Educational Policy and Governance Faculty Executive on the Undergraduate Curriculum 88 Curricular committees within each division on Instruction 82 Faculty Handbook Grinnell College Grinnell College Budget Steering. Grinnell College By-Laws of the Faculty. Macalester College Faculty Handbook. Scripps College on Appointments. Bryn Mawr College Budget Approval Policy. Bryn Mawr College. BudgetApprovalPolicy.doc+budget+committee&access=p&output=xml_no_dtd&ie=UTF- 8&client=new_frontend&site=default_collection&proxystylesheet=new_frontend&oe=ISO on the Undergraduate Curriculum. Bryn Mawr Oberlin College Faculty Guide. Oberlin College Elected s fo Fall 2012 Faculty Elections. Barnard College Hanover Research Academy Administration Practice 15

16 INSTITUTION (U.S. NEWS RANK) University of Richmond (#28) 91 TENURE/PROMOTIONS BUDGETING CURRICULUM Department and/or a faculty committee Dean Provost Board of Trustees Tenure and Promotion Planning and Priorities General Education Arts and Sciences Curriculum TENURE AND PROMOTIONS PROCESS Of the institutions for which information was available, 18 specifically mention the Board of Trustees as a body responsible for providing input into tenure and promotion of faculty members. Further, all institutions reviewed note that there is a specific faculty council or committee that is responsible for overseeing the promotions/tenure processes. Much of the process of promoting or granting tenure to faculty members appears to happen at the divisional or departmental level, with divisional/departmental chairs, program directors, and departmental faculty making recommendations to upper-level administrators (e.g. the president, the dean, and the Board of Trustees) for review. BUDGET AND CURRICULUM DECISIONS The majority of institutions have a specified budgeting committee such as a planning committee, a finance committee, or an advisory committee that is responsible for developing and reviewing the institution s budget. Institutions without such a committee typically employ a Budget Director or other Institutional Planning official to oversee matters related to the budget. Similarly, most institutions have curriculum or curricular committees that are responsible for overseeing the institution s curriculum. However, we note that several institutions such as Oberlin College, Grinnell College, and Williams College have departmental or divisional curricular committees that make decisions about curricula for these smaller units rather than utilizing committees that make decisions about curricula for the entire institution. 91 University and School s. University of Richmond Hanover Research Academy Administration Practice 16

17 SECTION II: COLLEGE GOVERNANCE PROFILES In this section, we provide in-depth profiles of governance structures at three institutions examined in the first section of our report: Amherst College, Bowdoin College, and Oberlin College. These institutions were chosen to be profiled here due to the comparatively high level of information regarding faculty governance structures available of their websites, and to the unique structures in place at each institution. First, we examine faculty committees at each institution, paying specific attention to how these committees are elected. Next, we examine the tenure and promotion process, including which bodies are involved and which individuals or committees have the final decision about such decisions. We then review the bodies involved in curriculum and budget decisions. Finally, for Amherst and Oberlin, we discuss selection of department chairs, and provide organizational charts from these institutions websites. AMHERST COLLEGE Amherst College is a private liberal arts college in Amherst, Massachusetts. It has an enrollment just under 1,791, a 13.3 percent acceptance rate, and ranks second on the U.S. News & World Report list of top national liberal arts colleges. 92 Figure 2.1, on the following page, provides Amherst s organizational chart for the academic year. 92 National Liberal Arts College Rankings. U.S. News & World Report Hanover Research Academy Administration Practice 17

18 Figure 2.1: Amherst Organizational Chart Campus Org Chart. Amherst College Hanover Research Academy Administration Practice 18

19 FACULTY COMMITTEES Amherst s faculty committee membership is limited to tenured and tenure-track faculty only. The of Six, which serves as the executive committee of the faculty, is the premier faculty committee of the college. The six faculty members of the of Six are elected by direct faculty vote, and are elected without restrictions of rank, tenure status, age or department affiliation. 94 The following persons are not eligible for appointment to the of Six: 95 The President and the Dean of the Faculty Those newly appointed during their first year at Amherst Those who will not be at Amherst for one or both semesters of the year following the election Members of the on Educational Policy Members of the College Council Retiring members of the on Educational Policy and the College Council Retiring members of the of Six and those who retired from it in the previous three years Those who have served three or more terms on the of Six and then exercise the option of taking their names off the ballot each year by contacting the Dean of Faculty s Office before the election begins Under extraordinary personal circumstances, those individuals for whom service on the would be a particular hardship. The President of the College and Dean of the Faculty serve on the committee as chair and secretary, respectively, and as non-voting members. The of Six is responsible for advising the President and the Faculty regarding College policy. This committee is also involved in promotion and tenure decisions, and is responsible for nominating faculty members to serve on other faculty committees. 96 There are nineteen additional standing faculty committees at Amherst. Appendix A at the conclusion of this report includes a table listing all additional faculty committees, their roles and responsibilities, and the number of faculty members serving on each. SELECTION AND RESPONSIBILITIES OF DEPARTMENT CHAIRS At Amherst, each department elects a chair by faculty vote. This person is then recommended to the President of the College for approval. Chairs can be untenured faculty members (although they are generally tenured), and often serve for three year terms. The 94 s: s of the Faculty. Amherst College Ibid. 96 Ibid Hanover Research Academy Administration Practice 19

20 President of the college does have the power to appoint or remove a department Chair, though only under special circumstances. Responsibilities of the department Chair s include course proposals, budget projections, and decisions on hiring, reappointment, tenure and promotion of faculty. 97 TENURE AND PROMOTION DECISIONS Several bodies and individuals are involved in the decisions regarding tenure and promotion at Amherst. Tenure decisions begin with a recommendation for a candidate s tenure by the tenured members of the department. The candidate s tenure materials are submitted to the Dean of the Faculty, who then submits them to the of Six. The department Chair discusses the letter of recommendation and the breakdown of faculty votes with the candidate. After this discussion, the candidate is allowed to send commentary to the of Six. 98 The of Six then reviews each candidate for tenure, consulting with the candidate s department for clarification if necessary. The President sits with the of Six to review the tenure candidates. After the President receives the committee s recommendation, he or she consults with the Dean of Faculty, and then forms an opinion regarding each candidate. If the of Six and the department make negative recommendations regarding a tenure candidate, the President will usually recommend a negative decision to the Board of Trustees. Similarly, the President will usually recommend a positive decision to the Board of Trustees if the of Six and the department make positive recommendations. However, the President is not bound by the decisions of others, and may give his or her own recommendation and reasoning to the Board of Trustees, the of Six, the department Chair, and the tenure candidate in writing. If the candidate receives a negative recommendation, and wishes to challenge it, he or she may file a petition with the Chair of the on Adjudication. 99 The promotion process is similar to the tenure process. The recommendation can originate with the candidate, or with the department in the case of promotion to the rank of Professor. The department promotion committee is comprised of all of the tenured full Professors in the department, though two other full Professors from the College Faculty may be included if the candidate chooses, in consultation with the Dean of the Faculty, to bring them in. The Dean selects the Chair of the promotion committee, and the Chair is responsible for writing a letter detailing the candidate s accomplishments. This letter is signed by the rest of the committee, and follows the promotion materials at all relevant stages. All of the candidates for promotion are reviewed by the of Six. The President also reviews all candidates, formulates his or her own opinion, and presents all of the recommendations to the Board of Trustees. The final decision is made by the Board of Trustees Ibid. 98 Tenure for Regular Full-time Members of the Faculty. Amherst College Ibid. 100 Promotion. Amherst College Hanover Research Academy Administration Practice 20

21 CURRICULUM DECISIONS The on Educational Policy and the of Six are jointly responsible for overseeing curriculum decisions at the College. The on Educational Policy is comprised of three student members and five faculty members. The five faculty members are nominated by the of Six and then elected by the general Faculty. The Dean of the Faculty also serves as a non-voting member of the committee. All three College divisions (Humanities, Social Sciences, and Physical Sciences) must be represented on the committee, and the committee may select its own Chair and secretary. The on Educational Policy is responsible for reviewing and evaluating the college s general education policy, receiving suggestions and suggesting changes in educational policy, and making recommendations to the of Six. It is also responsible for advising the President and Dean of the Faculty about how faculty positions should be allocated to the departments, and for assessing department curricular needs. 101 Amherst also belongs to the Five College Consortium, and occasionally the President or Dean of the Faculty, in collaboration with the of Six, will appoint a set of faculty members to serve as representatives on Five College Faculty s to consider questions of academic policy of joint interest to two or more of the Colleges. 102 BUDGET DECISIONS In 2009, Amherst College created the Advisory Budget in response to the global economic downturn to develop plans for how to keep Amherst s projected budgets in line with what its reduced endowment can contribute. 103 The college charged the committee with finding a way to reduce the spend rate of the endowment to five percent, as well as more specific financial targets to be set by the Trustees, within a decade. 104 This committee consists of six faculty representatives, the President, the Dean of the Faculty, three students, three Trustees, one alumnus of the College, and three staff members, with one being appointed by the Trustees. The Treasurer serves as a consultant to the committee. Amherst has also created a on Priorities and Resources, which is charged with overseeing 1) The process of annually budgeting the resources of the college, and 2) The long-term allocation of resources. 105 This committee is comprised of four faculty members (at least one each from each of the three divisions), two staff members elected by the staff, and three student members two of whom are elected by the student body, and one who is elected by the student executive senate. The President of the college, the Dean of the Faculty, the Treasurer, the Director of the Budget, and the Director of Human Resources all serve on the committee ex officio. The faculty members on the committee are expected to represent 101 s: s of the Faculty. Op. cit Ibid. 103 Advisory Budget. Amherst College Charge to the Advisory Budget (ABC). Amherst College s: s of the Faculty. Op. cit Hanover Research Academy Administration Practice 21

22 to the administration the views of the faculty concerning the budget and to report to the Faculty each year concerning the status of faculty salaries and compensation. 106 Regarding departmental budgets, each department Chair is responsible for overseeing their department s budget. All budgets must be approved by the Dean of the Faculty, the Treasurer, and the Board of Trustees. 107 BOWDOIN COLLEGE Bowdoin College is a private, suburban liberal arts college in Brunswick, Maine. It has an enrollment just under 1,800, an acceptance rate of 16.1 percent, and ranks sixth on the U.S. News & World Report list of top national liberal arts colleges. 108 No organizational chart was available on the Bowdoin website. FACULTY COMMITTEES Bowdoin College requires all faculty members to engage in active participation in the governance of the College. 109 Bowdoin s faculty handbook further notes that appointment, nomination, and election to committees should be accepted by faculty members as part of [the obligations of membership in the Bowdoin faculty], and that such acceptance should be taken for granted unless a faculty member provides compelling reasons to the contrary in writing to the on Governance. 110 Normally, faculty members are appointed to committees, though three committees (the on Governance and Faculty Affairs, the on Appointments, Promotion, and Tenure, and the on Faculty Appeals and Grievances) are comprised of faculty members who have been elected by the general faculty. Bowdoin uses approval voting in order to elect faculty members to the three elected committees concurrently using overlapping lists of candidates. Through the approval voting process, the on Governance and Faculty Affairs sends a ballot to voting-eligible faculty. This ballot includes the name of all faculty members who have been nominated by the general faculty to serve on the elected committees. Voting faculty are able to vote for as many candidates for each committee as they would like. Once all ballots are received, the on Governance and Faculty Affairs counts the ballots and announces the results. First, votes are counted for the on Appointments, Promotion, and Tenure, and then for the on Governance and Faculty Affairs. If a candidate is elected to the 106 Ibid. 107 The Faculty. Amherst College National Liberal Arts College Rankings. U.S. News & World Report Faculty Governance. Bowdoin College Faculty Handbook. Op. cit., Hanover Research Academy Administration Practice 22

23 on Appointments, Promotion, and Tenure, that candidate will be removed from the election of the on Governance and Faculty Affairs. 111 The on Governance and Faculty Affairs is the elected committee that is responsible for speaking for the faculty. This committee is comprised of six faculty members, four of whom must be tenured (including at least two full professors and one associate professor, one from each division). Two of the members must be untenured and from two separate divisions. The tenured members serve for three years, and the untenured members serve for two years. 112 In general, the on Governance and Faculty Affairs directs the faculty governance of the College. It is responsible for creating faculty meeting agendas in conjunction with the President and the Dean for Academic Affairs, communicating policy issues, advising the President and Dean on the faculty s issues including compensation, intellectual freedom, family leave, budget and financial priorities, and other issues. It oversees faculty committee elections and appointments, creates necessary working groups, and hears issues raised by the faculty. Finally, it represents the faculty at administrative meetings, including meetings of the Board of Trustees, and attends meetings of the Trustee Executive and the Trustee on Admissions. The committee then reports back to the general faculty, when necessary. 113 In 2007, Bowdoin revised its faculty committee structure by combining some committees, and reducing the number of members on others. This restructuring reduced the total number of seats available on committees from 140 to 90. The goal of these changes was to improve committee efficiency and allow more time for faculty to conduct their own research. 114 While these changes did not include the creation of divisional committees, each division must still be represented on the most faculty committees. Currently, there are 22 faculty committees included in Bowdoin s faculty governance structure. TENURE AND PROMOTION DECISIONS Candidates for tenure are usually evaluated in sixth year at the College. When it is time for a decision on a candidate s tenure, the on Appointments, Promotion, and Tenure assesses the candidate, whether or not the person has been proposed for tenure by the department. 115 The on Appointments, Promotion, and Tenure is an elected 111 Faculty Handbook, Bowdoin College. Pp Ibid., P on Governance and Faculty Affairs. Bowdoin College Revised Structure. Bowdoin College Faculty Handbook, Bowdoin College. P Hanover Research Academy Administration Practice 23

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