POLICIES AND PROCEDURES FOR SCHOOL OF BUSINESS/GRADUATE SCHOOL OF MANAGEMENT THE UNIVERSITY OF ALABAMA AT BIRMINGHAM

Transcription

1 POLICIES AND PROCEDURES FOR SCHOOL OF BUSINESS/GRADUATE SCHOOL OF MANAGEMENT THE UNIVERSITY OF ALABAMA AT BIRMINGHAM Revised Academic Year Effective date: 4/20/2012

2 The foliowing faculty members served on the School of Business Faculty Affairs Committee that reviewed these Policies and Procedures: Dr. Thomas E. DeCarlo Dr. George Munchus, III Dr. Manabendra Dasgupta Dr. Susan Key Chairperson Affirmative Action Officer Dr. Joshua Racca (replaced Dr. Dr. Tommie Singleton upon his retirement from UAB December 2011) Dr. Stephanie Rauterkus Dr. Joseph VanMatre Dr. Barabara W ech Thomas E. DeCarlo, Ph.D. and Ben S. Weil Endowed Chair of Industrial Distribution Chairperson, Faculty Affairs Committee Date: 7,h 5/; Dean and Wells Fargo Chair in Business Administration UAB School of Business Date: +/ ( ) /t 2_ 11

3 INDEX OF CHANGES TO THE VERSION OF POLICIES AND PROCEDURES Section 1.0, Mission, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 1.1, Dean responsibilities, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 7.2.3, Staffing Needs Relative to Sabbaticals, voted by the School of Business faculty on 4/20/12, effective date: 420/12. Section 1.5.2, Diversity Committee, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 1.5.3, Promotion and Tenure Committee, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.2, Awarding of Tenure, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.3, Promotion (Tenure) Review Process, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.6, Faculty Affairs Committee, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.9, Selecting Permanent and Temporary Chairpersons, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section , Making Initial Appointments, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.16, Dismissal voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 2.17, Termination Due to Bona Fide Financial Exigency, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 3.1, Consulting, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 5, Compensation, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Section 6, Travel, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. iii

4 Section 7, Holidays, Vacation and Leaves, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Appendix E, External Consulting Approval Form, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Appendix F, Consultation Within UAB Form, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. Appendix G, Evaluation of Administrators Form, voted by the School of Business faculty on 4/20/12, effective date: 4/20/12. iv

5 Table of Contents 1. ORGANIZATION Dean Associate Deans Department Chairpersons Program Directors Administrative Responsibilities Committees Faculty Affairs Committee Diversity Committee Promotion and Tenure Committee Departmental Review Committee Curriculum Committees Business Honors Committee Executive Committee Leadership Council Academic Affirmative Action Officer Faculty Appointments, Promotions, Tenure, Resignation, Termination and Grievance Faculty Rights and Responsibilities Awarding of Tenure Promotion (Tenure) Review Process Promotion Criteria Teaching Research Service Promotion to Assistant Professor Promotion to Associate Professor v

6 2.4.6 Promotion to Professor Rank and Tenure Status for Initial Appointments Faculty Affairs Committee Departmental Review Committees Faculty Grievance Committee Selecting Permanent and Temporary Chairpersons Allocating New Positions Recruiting Extending Offers of Position Making Initial Appointments Annual Review Pre-tenure Review of Tenure-Track Faculty Procedure For Evaluation of Administrators Voting Procedures for School of Business Elections Resignation Non-Reappointment Dismissal Termination Due to Bona Fide Financial Exigency Other Faculty Rights and Responsibilities Consulting Nepotism Policy Sexual Harassment Policy Insurance and Retirement Benefits Compensation Travel Holidays, Vacation and Leaves Granting Leaves of Absence Granting Sabbatical Leaves Residency vi

7 7.2.2 Plan of Activities Staffing Needs Relative to Sabbaticals (effective date: 02/01/07) Other School Policies Which Affect Faculty Handling Faculty Grievances Faculty Workload Assignments Academic Research Categories for Research Track Evaluation vii

8 Figure Figure Figure Figure Figure Appendix A Appendix B Appendix C Appendix D Appendix E Appendix F viii

9 INTRODUCTION The achievement of the mission, vision and values depends on effective faculty performance in teaching, scholarly activities, and university, community, and professional service. To enhance faculty performance, uniform and explicit guidelines for processing faculty personnel actions and for considering the administration of faculty issues are essential. Accordingly, the following Policies and Procedures have been established. 1. ORGANIZATION Also refer to Section 1 of the UAB Faculty Handbook Mission: Located in the largest business community in the State of Alabama, the UAB School of Business creates value for students and stakeholders by producing graduates who are prepared to compete successfully in a global context. Along with the pursuit of rigorous academic and practitionerbased scholarship, our faculty is also committed to teaching and nurturing students through a curriculum and pedagogy that emphasize experiential learning with broad access to teacherscholars. Vision--We see a future where Faculty and staff work together to create and deliver relevant, high quality, and innovative programs that serve our community. Businesses and other organizations seek us out for qualified employees and for partnerships to meet their educational, consulting, and service needs. We are recognized widely for excellence and innovation in teaching, applied research, and service. Our school is also recognized as an inclusive place where students of opportunity can be successful. 1

10 Values--We value Quality teaching, scholarship, and professional and public service by faculty, students, and staff; Relevance and innovation in curriculum, instructional methods, scholarship, and professional and public service; Intellectual growth and professional and ethical development of our students; A collegial environment of academic freedom and faculty governance; Partnerships with our internal and external constituencies; Diversity in our students, faculty, staff and community; High standards of professional and ethical conduct; and A climate that fosters continuous improvement. 2

11 The Dean, Associate Deans and Department Chairpersons are the designated academic administrators within the School of Business. As such, the Dean and Department Chairpersons are charged with the responsibilities for processing faculty personnel actions. All administrators, in carrying out all faculty personnel actions, shall comply with the current UAB Faculty Handbook and Policies, UAB Equal Opportunity Policy, UAB Sexual Harassment Policy, You and UAB Handbook for Administrative, Professional and Support Personnel, and approved School of Business Policies and Procedures. To provide documentation for such actions, Department Chairpersons shall maintain complete and current data files on all faculty members holding primary appointments in their departments. 1.1 Dean The Dean shall be responsible for leading the School of Business by implementing short- and longterm plans, supervising and directing external relations, and managing and directing internal affairs. In the spirit of faculty governance, the Dean shall lead the school s planning efforts by including faculty representatives and other appropriate stakeholders in the planning process. Moreover, the Dean has the obligation to keep the faculty informed in sufficient detail of relevant issues of the School of Business and faculty welfare (e.g., financial resources). The Dean shall monitor all faculty personnel actions within the School of Business. After personnel actions have been processed according to the School s Policies and Procedures, the Dean shall forward recommendations to the Office of the Provost and the Office of the President when required for final approval. 1.2 Associate Deans The Associate Deans have staff positions with the responsibility for handling administrative affairs of their respective areas as defined by the Dean with the input of the faculty. They are charged with implementing the Policies and Procedures of the School. When appropriate, they will develop new procedures to support the existing policies. However, the faculty and the administration working as a team are responsible for creating new policies. One of the major roles of the Associate Deans is to implement changes in the School of Business by adhering to the existing Policies and Procedures and the associated committee structure. An important role of the Associate Deans is to gather analyze and present information, useful to the School in decision-making. The Associate Deans are encouraged to bring recommendations for changes with documentation to the appropriate committee, individual Department Chairpersons and faculty for discussion and consideration. If a School-wide issue is of concern, it should be first discussed with each individual Department. Then, if the Departmental faculty approves the recommendation, it can be forwarded to the appropriate standing School of Business committee. 1.3 Department Chairpersons The Department Chairpersons are responsible for the effective leadership and administration of the Departments including the stewardship of their respective budgets. Department Chairpersons are responsible for actions related to recruitment, pre-tenure review, selection, appointment, reappointment, non-reappointment, change of status (promotion) or compensation, award of tenure, termination, or other faculty personnel matters. Department Chairpersons shall advise all faculty members prior to appointment (or as soon as possible thereafter) of the criteria and procedures concerning compensation, promotion, reappointment, and tenure, as well as how to appeal a 3

12 decision on such matters on a timely basis. Beyond any standing committees established with the approval of department faculty, Chairpersons may appoint committees to assist in processing faculty personnel actions. Such committees shall be advisory only, and each Chairperson shall retain the authority to discharge all designated responsibilities related to faculty personnel actions Program Directors From time to time the Dean may appoint Program Directors to assist Department Chairs or Center Directors with administrative duties. While the duties will vary with the assignment, they may include the following: Leading a division of a larger department so that it functions as an integral unit, leading a research project, and/or developing and implementing programs. 1.4 Administrative Responsibilities Administrative responsibilities are covered in general terms in Section 7 of You and UAB. The material presented here is an interpretation of that section for the UAB School of Business faculty. It only represents limited comments on the material and is not intended to represent all situations or issues. As a result this material is a guide for general policy matters indicating intent and not an exhaustive list of the steps. The scope of administrative responsibilities is quite large. UAB administration has been given the responsibility and authority to make and implement plans for a large and complex organization. Within this complex and sometimes conflicting framework UAB maintains the discretion to exercise the customary functions of management. This duty requires the management of fiscal and human resources as well as faculty governance. Generally the role of faculty governance requires a delicate balance between focusing on the overall governance of the university and financial issues and the appropriate academic freedom that give the faculty members the opportunity to create and disseminate new knowledge. Within this framework, the establishment and maintenance of positive working relationships amongst administrators and faculty is fundamental to the University's functioning. The need for building trust, mutual respect and cooperation is a key element for shared governance. As an institution, UAB as a supporter of faculty governance has sought and valued faculty opinions about academic issues, working conditions, work rules and other matters of faculty concern. UAB has repeatedly affirmed its belief in the principle of mutual respect for individuals, the importance of human dignity, and shared dedication to the process and goals of education. The faculty rights and responsibilities co-exist with the administrative responsibilities in the process of setting expectations and monitoring the individual faculty member s role. Administration has the right and responsibility to determine the size and organizational structure of the work force, and establish, change, or abolish work policies, work procedures, work rules and work regulations. Administration has the responsibility to clearly and fully answer inquiries about, appeals or requests for review of any administrative decisions. The administrators have the responsibility to share how the decisions were made, especially with regard to the steps in the process and the criteria applied to faculty members. 4

13 The response to substantive questions about the intent and interpretation of Policies and Procedures should be directed to FAC as the substantial player in the creation and modifications of such guidelines. The type of questions includes those dealing with specific areas of faculty concerns as described in UAB policies and procedures as well as FAC documents. 1.5 Committees Faculty Affairs Committee The Faculty Affairs Committee (FAC) is the voice of the faculty for issues related to Policies and Procedures. The FAC is responsible for advising and assisting the Dean and Department Chairpersons concerning faculty matters to assure, among other things, the establishment and implementation of fair and consistent faculty personnel procedures within the School of Business. This responsibility shall be met through a periodic review of procedures and a monitoring of faculty personnel actions within the School. The FAC provides a method of relaying concerns of the faculty to the administration. The FAC will address any appropriate issues. Thus, it must play a proactive role in improving teaching, research, and service opportunities. The Vice Chairperson/ Secretary of FAC shall maintain a file of all FAC recommendations and reviews, and shall disseminate a summary of FAC minutes to the faculty. The Dean's office will be responsible for maintaining a file of FAC minutes, Policy and Procedure documents and other archive material for future reference Diversity Committee University Mission Statement on Diversity: UAB is a research university that discovers, teaches and applies knowledge for the intellectual, cultural, social and economic benefit of Birmingham, the state and beyond. At UAB, diversity is the full range of human difference and potential that manifests itself in individual members of the campus community. Included in this range are many differences race, gender, ethnicity, age, culture, national origin, religious belief, physical abilities, sexual orientation, socioeconomic class, lifestyle preference, political conviction and any other difference. The Diversity Committee (DC) is the voice of the faculty/staff for issues related to Diversity. The UAB Diversity Mission Statement is the Guideline for any action taken by the DC. The DC is an ad hoc committee responsible for advising and assisting the Dean and Department Chairpersons concerning Diversity matters when they arise and is convened by the FAC. The DC provides a method of relaying concerns of the Faculty/Staff on Diversity to the administration. The DC will address any appropriate issues brought to its attention. Faculty/Staff concerns related to Diversity should be brought to the DC before a resolution of those concerns is pursued outside the School of Business. When a complaint arises by a faculty member, a committee will be formed to address the issue and will consist of two FAC members (randomly selected) and two ad hoc appointments by the Dean of people whose expertise is germane to the circumstances under review by the DC. For a 5

14 case involving staff members, the committee will consist of the two staff members and two ad hoc appointments by the Dean of people whose expertise is germane to the circumstances under review by the DC. If the issue involves both faculty and staff, the committee will consist of two FAC members, the two staff representatives, and two ad hoc appointments of the Dean who have expertise germane to the circumstances under review by the DC. The staff will have two representatives elected by the staff. The staff members will serve for one academic year and be elected at the beginning of the academic year. The Dean will have two ad hoc appointments of respective faculty or staff members whose expertise is germane to the circumstances under review by the DC. The Affirmative Action Officer shall serve as the DC Chair. The Vice Chairperson/ Secretary of DC shall maintain a file of all DC recommendations and reviews and shall disseminate a summary of DC minutes to the faculty. The Dean's office will be responsible for maintaining a file of DC minutes Promotion and Tenure Committee The Promotion and Tenure Committee (P&T) will review all requests for promotion and tenure including initial appointment rank and tenure status for associate and full professors regardless of tenure status of initial appointment. It is the responsibility of the Department Chairpersons to make sure that P&T is fully apprised of such administrative processes. The committee will then make recommendations and forward them to the Dean Departmental Review Committee The Departmental Review Committee (DRC) will review the faculty development plans and the Annual Activity Report (e.g., SEDONA) of each faculty member. The results of these reviews will be held in confidence Curriculum Committees The School of Business has three complementary committees that evaluate curriculum issues: the Undergraduate Curriculum Committee, the Graduate Curriculum Committee and the School-wide Curriculum Committee. The Undergraduate Curriculum Committee (UGCC) and the Graduate Curriculum Committee (GCC) will be represented by volunteer members from each department (from different disciplines if possible). The School-wide Curriculum Committee will be elected with two members from each department (from different disciplines, if possible) with one additional faculty member appointed by the Dean. The same faculty members can be on more than one of these committees. The Director of Undergraduate Programs and Director of Graduate Programs will be non-voting members of the Undergraduate and Graduate Committee, respectively. The role of the Undergraduate and Graduate Curriculum Committees should be proactive with the members reviewing the core curriculum including current syllabus and evaluating current trends in course offerings including benchmarking of external standards for change. The committee members will forward their findings about current curriculum trends to the appropriate Department Chairperson or to the School-wide Curriculum Committee for further action. They will report annually to the whole faculty, or more frequently if needed, on curriculum trends. 6

15 The School-wide Curriculum Committees will evaluate and process all requests for additions and changes to the curriculum proposed by the UGCC or GCC or the general faculty and submitted by the UGCC, GCC, or Department Chairperson. Every proposed and current course syllabus should include course objectives and learning objectives that are consistent with the mission of the School of Business. The process for curriculum changes is dependent upon whether the change affects the core requirements that transcend the individual major and/or departments OR if the effect of the change is confined to faculty and students in one department or discipline. 1) Core courses or educational trends (those aspects of the curriculum that transcends individual disciplines or departments) can be proactively considered by the Undergraduate or Graduate Curriculum Committee and then go to the respective Department Chairperson and faculty for evaluation and vice versa. If a change for the whole curriculum of the undergraduate or graduate program is recommended or the change is for the whole curriculum, then the proposal should go to the School-wide Curriculum and subsequently to the whole faculty. The School-wide Curriculum Committee members can review the proposed changes with the Departmental faculty. Then if the evaluations are positive, the proposal goes to the School-wide Curriculum Committee for deliberation. If either UGCC s or GCC s curriculum development involves in cross-departmental (or school-wide) curriculum, each committee can bypass departments and submit the proposal for the School-wide Committee s approval. 2) Changes that only affect faculty and students in one major or department go directly to the School-wide Curriculum Committee from the Department. The School-wide Curriculum Committee can request more documentation and modifications of form (to meet accreditation standards or other needs). The changes are then submitted to the faculty for a vote with a recommendation and summary of the deliberations. If the School-wide Curriculum Committee receives a change that in their view has impact on the entire graduate or undergraduate curriculum, they may suggest that the GCC or UGCC review the proposal. In order to provide broad and ongoing guidance to the interdisciplinary core curriculum courses designated by the faculty (currently BUS 101, 350, 450), the faculty established a BUS Steering committee as a standing sub-committee of the Undergraduate Curriculum Committee. The defined mission of this committee is to provide cross-disciplinary guidance for the courses that are interdisciplinary in our undergraduate core curriculum. The voting members of the BUS Steering Committee are each of the department chairs, the Director of Undergraduate Programs, and a representative of the UGCC. The committee may call for input from various faculty members who teach the BUS courses. Other faculty or administrators may be consulted by the Steering Committee to assure that these courses consistently meet the needs of all of the School of Business students Business Honors Committee The Business Honors Committee is composed of faculty members selected by the Business Honors Program Director on an annual basis. The committee chair is the Business Honors Program Director. Its mission is to admit students to the program, monitor the program s progress and propose changes to the program. 7

16 1.5.7 Executive Committee The Executive Committee acts as an advisory committee to the Dean. It consists of the Dean, Associate Dean(s), Department Chairpersons, FAC Chairperson or his/her designate, and the Faculty Senate Liaison. The FAC Chairperson or his/her designate and the Faculty Senate Liaison shall be non-voting members of the Executive Committee. The Dean has the right to limit the composition of the Executive Committee to the Dean, Associate Dean(s), and Department Chairpersons for Executive Committee meetings when confidential matters and personnel issues are discussed. All deliberations of the Executive Committee shall remain confidential at all times Leadership Council The Leadership Committee acts as an advisory committee to the Dean. It consists of the Executive Committee members and all directors or managers of the administrative units in the School of Business as defined by the Dean. 1.6 Academic Affirmative Action Officer The Academic Affirmative Action Officer (AAO) of the School of Business is responsible to: 1. Advise the Dean and Department Chairpersons in ensuring that equal opportunity and affirmative action procedures are followed in recruitment practices and in promotion and tenure decisions. In addition to the specific duties identified elsewhere in these Policies and Procedures, this role shall be met through service by the AAO as an ad hoc, nonvoting member of the FAC and the P&T (i.e., nonvoting, unless AAO is an official FAC or Promotion and Tenure Committee member). 2. Advise the Dean and Department Chairpersons on labor market conditions for the disciplines represented in the School of Business. The AAO usually obtains the data from the Association to Advance Collegiate Schools of Business and other professional organizations. The Dean and the AAO will review the data to determine if additional information is needed. If the need exists relative to recruitment efforts for a given position, the AAO will identify sources from which the desired information might be obtained. 3. Advise the FAC and the P&T on related issues of affirmative action, including a review of procedures and actions. The AAO is appointed for a two year term at the start of the appropriate academic year by the Dean from the tenured faculty. 8

17 2. Faculty Appointments, Promotions, Tenure, Resignation, Termination and Grievance Also refer to Section 2 of the UAB Faculty Handbook 2.1 Faculty Rights and Responsibilities Membership on the faculty of the School of Business at the University of Alabama at Birmingham is recognized as a high privilege that involves serious and solemn responsibilities. This Statement of Faculty Responsibilities is founded on the precept that membership and participation in a community of scholars is a full-time job that demands an individual s determined commitment to and active involvement with her/his profession, community, university, colleagues, students, and the common good. Commitment to the Profession Faculty members are expected to be active participants in the ongoing operations and progression of her/his academic discipline. Specific responsibilities involve: (1) obtaining the appropriate credentials, licenses, and/or certifications expected of participants in the profession; (2) maintaining the expected credentials, licenses, and/or certifications expected in the profession; (3) contributing to the progression of the profession through (a) scholarly research that adds to the discipline s existing body of knowledge, (b) leadership and involvement in appropriate professional organizations and societies and (c) service as advisors to appropriate organizations that will receive benefits from the application of the faculty member s professional knowledge and expertise. Commitment to the Community Faculty members are participants in the larger society within which the profession and university operate. As individuals, faculty members are free to exercise their individual freedoms of action and speech. Members of the academic community should, however, consider if their involvement and participation in activities would bring embarrassment to colleagues, the University, and the profession. Faculty members who involve themselves in social and political activities that have the potential of being controversial or contentious should make it clear that they are acting as individuals rather than members of the academic community. Faculty members are encouraged to offer service to appropriate organizations and groups in the community that would benefit from the individual s expertise or insights. Commitment to the University Although faculty members are bound by professional standards, academic communities are part of the University and its component schools. Universities and schools have no means of accomplishing their mission without the active participation and contributions of individual faculty members. Membership in the University community involves an explicit commitment of time and energy to the success of University and its respective schools. Faculty members have a responsibility to actively participate in governance issues through committee service and faculty 9

18 meetings and to assume essential symbolic duties such as attendance at and involvement in graduation ceremonies and related functions. Commitment to the School The School of Business at the University of Alabama at Birmingham is committed to maintaining its accreditation status as required by those accrediting bodies. As such faculty members are expected to maintain their academic or professional qualifications as required by accreditation criteria. Current criteria for maintaining academic or professional status are available in Appendix H. Commitment to Colleagues The essence of the role of faculty member is participation in a community of scholars comprised of colleagues. By virtue of acceptance of a position on the faculty of the University, the individual is expected to actively participate in faculty governance at the department, school, and university levels. Moreover, good faith participation in the academic community requires that individuals demonstrate, model, and encourage civility in all dealings with colleagues. When legitimate disagreements and controversies arise, members of the academic community shall submit themselves to established policies, procedures, and behaviors that are collectively agreed on by the profession, the University, and colleagues for addressing and resolving such matters. Consistent with the expectation of full-time employment, members of the scholarly community are expected to be available for face-to-face interaction with colleagues on a regular and predictable basis. Commitment to Students Members of the academic community include not only faculty but students. Faculty members are expected to provide a teaching and learning environment consistent with the highest expectations of the profession and discipline. Students should receive the services and attention expected by those who pay for the services, including not only individuals but citizens of the State of Alabama. Classes should be held according to expected schedules and deviations from these schedules should be properly approved and communicated. Students should be treated with dignity and respect. Faculty members should inform students about performance expectations and keep them informed regarding progress or lack of progress. Members of the faculty are expected to be available for face-to-face interaction with students through the observance of regular and publicized office hours. Commitment to the Common Good Ultimately it should be recognized that all statements of responsibilities depend on individual values and integrity. Members of the scholarly community are expected to conduct themselves at all times with regard to the highest standards of personal integrity and honesty. An essential part of this personal integrity involves a respect for individual and collective differences with regard to matters of faith, race, and conscience. All faculty members should regularly review their own attitudes and consciously renew their commitment to the profession, the University, the community, colleagues, students, and the common good. The faculty members are the primary participants in the process of creating and disseminating 10

19 knowledge in business through teaching, research, and service. They are the fundamental building blocks of the university structure and administration. As such, they have the responsibility to participate in faculty governance. The Faculty s rights include but are not limited to: and being informed of relevant School of Business matters, discussing and commenting on appropriate School of Business activities, being informed of the School of Business budget and significant budgetary allocations, participating in curriculum decisions. determining requirements for student admissions recommending the designations of degrees approving the requirements for degrees determining the courses for which students may receive credit toward a degree determining course content determining program curriculum content determining the grades of courses and examinations determining the scholastic standards required of students recommending those students who qualify for degrees participating in disciplinary proceedings for academic misconduct participating in the selection of their department chairs, deans, library directors, Provost, and President participating in the periodic evaluation of their department chairs, deans, library directors, Provost, and President recommending to their deans and library directors faculty appointments, reappointments, promotions, the award of tenure, and other faculty employment issues advising all levels of administration regarding the allocation and utilization of resources advising the President regarding faculty responsibilities 11

20 2.2 Awarding of Tenure Faculty members initially employed at the rank of assistant professor shall be eligible for consideration for tenure during the sixth year of service (at UAB and/or another peer academic institution), the last full year of which must have been at UAB. Any time of service recognized from another institution shall be stated in the letter of offer. Faculty employed at the rank of associate professor or professor may be eligible for consideration for tenure after one full year of service at UAB, assuming the minimum time requirement has been met. In no case however, will tenure be awarded solely on the basis of length of service. The awarding of tenure is a serious and significant step for both the faculty member and UAB. Tenure should be regarded as a most valuable possession, signifying a long term commitment by UAB. Tenure is awarded to individual faculty members upon evidence of the capacity and likelihood for continued intellectual, scholarly, and professional vitality; upon evidence of the ability and willingness to perform assigned duties; and upon evidence of a sense of responsibility and dedication to make the continuing exemplary performance of duties a reasonable expectation. Protected from arbitrary dismissal and from transient political and ideological currents, the individual faculty member assumes a responsibility to make a continuing effort to achieve the expectations upon which the award of tenure was based. Individuals appointed to or promoted to a tenure-earning or tenured position will be judged in terms of teaching, scholarly activities, and service in proportion to their relative importance to each academic rank and to the program priorities of the department (see applicable section of current UAB Faculty Handbook). Beyond length of service, candidates to be evaluated for the award of tenure must document high levels of performance and increasing competence in teaching, scholarly activities, and service at their current rank. At the same time, documentation should show evidence of a commitment to, and potential for, continued professional growth and achievement. Typically, the award of tenure is requested concurrently with the submission of a request for promotion to the rank of associate professor, or it is requested by individuals initially employed without tenure at the rank of assistant professor, associate professor, or professor (see applicable sections of current UAB Faculty Handbook. Therefore, evaluations of requests for tenure will place primary consideration on the same criteria and accompanying levels of performance expected for the rank being sought, or held, by each candidate. 2.3 Promotion (Tenure) Review Process The applicant for promotion shall collate and update Annual Activity Reports for at least the previous three years in preparing the Application for Promotion. (See Appendix C for a sample of the Academic Personnel Recommendation Form which is to be completed by the Department Chairperson and included with each applicant's materials when they are forwarded to the Dean.) The candidate s promotion (tenure) package must be organized in the following order: Section A current curriculum vitae Section B teaching evaluation materials 12

21 Section C copies of publications and other evidence of research productivity Section D service activities (internal and external to the UAB) Section E reports by references (reviewers) external to UAB Section F other letters and materials (such as chairperson s or director's annual reviews, committee reports, dean's recommendation) The candidate must only include the above materials. Extraneous items are strongly discouraged and will not be considered in the review process. To initiate the promotion review process, the faculty of the department will elect by vote a departmental committee. According to section of the UAB Handbook, "the committee must be comprised of faculty members chosen by the faculty." Committee membership should be constituted at the appropriate rank and are not members of the P&T. The committee shall consist of at least three people. The department committee reviewers will be drawn from the respective discipline of the candidate, if possible. (Other persons holding full-time teaching appointments within the University shall also be eligible for selection when their primary, secondary, or joint appointment resides in that department.) After its formation, the committee shall receive and review all the appropriate material. The Department Chairperson shall submit a copy of the application packet to each reviewer who shall independently review the candidate's materials and forward an assessment directly to the Department Chairperson. The Department Chairperson shall make an assessment by performance categories and shall forward the promotion application, including all attachments, each reviewer's assessment, the results of the vote of the departmental committee and the Chairperson's assessment, to the Dean who will ask the Promotion and Tenure Committee (P&T) for its review and recommendation (see Figure 1). P&T will be composed of UAB School of Business tenured faculty holding the rank of Professor. Seven members will be elected from the faculty at large (none of whom can be an administrator), and the AAO representative to P&T will serve as a non-voting member. The seven voting members of P&T will select a chairperson from the committee. The P&T Committee membership will be reconstituted at the beginning of each academic year. No member may serve more than two years in succession, if other eligible candidates are available. Although non-members of P&T may be asked to come before the committee for the purpose of issue clarification, only P&T committee members shall be present during its deliberations, which are considered privileged. The vote following deliberations will be by secret ballot. The P&T chairperson will report the vote tally to the Dean. The chairperson will also file a report detailing the committee s evaluation of the candidate and the basis for its recommendation, including any expressed minority viewpoints. The promotion and tenure decisions made by the P&T are based on the guidelines listed below for each category (teaching, scholarly activities, and scholarship) and for each rank. The P&T will review the respective candidate s application package, reach a decision and forward all of the relevant material from the Departmental Chair and the DRC to the Dean. The review 13

22 recommendation of the P&T shall be in the form of majority vote (for or against the application) conducted by secret ballot. The outcome of the vote totals for each candidate will be reported by the Chairperson of the P&T to the Dean. The Dean of the School of Business makes the final determination of a recommendation for promotion or promotion and tenure. If approved by the Dean, the recommendation and the candidate s package is sent to the Provost for consideration. The application for promotion should be submitted to the applicant's Chairperson by February 1. The recommendations should be in the Dean's office by March 1. The applicant shall be notified at the completion of each step in the process by the faculty member s Chairperson. The Dean should have the P&T completed review by April 15 (See Figure 1). If, at any step during the School of Business review process, the candidate is not recommended for promotion, the reasons shall be communicated to the individual as soon as practical by the Dean or Department Chairperson. As noted in the applicable section of the current UAB Faculty Handbook, in cases where promotion is denied, the faculty member shall be notified in writing by the Dean of the reasons for the decision. If requested by the applicant, written rationale for not recommending promotion shall be attached to the application packet. Any tenure-track candidate in the last year of his or her contract who is not recommended for tenure as a result of the process will be given a terminal one-year appointment. This is true only in the last year of the faculty member's appointment. Information on appeals can be found in the current UAB Faculty Handbook. 14

23 Figure 1 PROMOTION PROCESS FLOWCHART Department Chairperson at candidate's request informs Dean and P & T of candidate's application by second Monday in January Chairperson receives promotion (tenure if applicable) packet(s) by Feb 1. Chairperson must organize the Department Committee review and report, and also collect the outside reviewer letters Packet(s) are to be available to P&T for review by March 1 Packet(s) with the results of P&T deliberations must be forwarded to the Dean by April 1 Packet(s) and Dean s Recommendation (if positive) must be forwarded to the Provost for review by April 15 Provost reviews the packet(s) and makes a recommendation to the President and candidate is informed prior to October 1 15

24 2.4 Promotion Criteria Consistent with the mission and objectives of the School of Business, candidates for promotion will be evaluated in the areas of teaching, scholarly activities, and community and professional service. Teaching and scholarly activities are faculty responsibilities essential in the dissemination and advancement of knowledge. The service function recognizes the obligation of faculty members to share their specialized knowledge and skills with the business community and professional organizations, as well as with colleagues in the School of Business and other units of the University (also see applicable section of the current UAB Faculty Handbook,) Faculty members are expected to carry out their responsibilities with integrity, professionalism, and a spirit of collegiality. A consideration of these factors will, therefore, be included in the evaluation process for promotion and/or tenure, in addition to an evaluation of performance as related to the following criteria: teaching, scholarly activities, and service Teaching Evaluations of teaching performance will consider the candidate s knowledge of his/her subject field, including current developments in that field; ability to select, organize and effectively present course materials, including the implementation of current pedagogic technology where appropriate; ability to motivate student interest and participation; and active concern for the academic progress of students. Candidates for promotion will be responsible for submitting documentation that addresses the following criteria. While each candidate's situation may differ somewhat from that of others, documentation should normally address activities such as: 1. Courses taught at UAB during the time frame being reviewed, including student enrollments and special course requirements. 2. Development or revision of courses, with emphasis on the preparation and use of innovative instructional materials and teaching techniques where applicable. 3. Direction of major student projects, theses, or dissertations. 4. Availability for meeting with students outside of the classroom. 5. Attendance at graduation and other events recognizing students for academic accomplishments, or those providing opportunities for student/faculty interaction. 6. Evaluations of teaching effectiveness completed by students enrolled in classes at UAB. 7. Peer evaluations by departmental colleagues at UAB, as well as those at other institutions who can address the candidate's teaching effectiveness. 8. Honors or recognition received for teaching effectiveness. 9. Self-development activities focused on improving teaching effectiveness, including formal 16

25 study in relevant academic areas at UAB or elsewhere, as well as attendance at non-credit conferences, short courses or workshops Research Evaluations of effectiveness of research will place primary consideration on significant publications, the presentation of papers at major professional meetings, and the acquisition of external funding for scholarly projects. In the assessment of these and other scholarly activities, the quality of the candidate's output will be evaluated, as will the capacity for independent thought, originality, and continued productivity. Candidates for promotion will identify and document those scholarly activities and results to be considered in the evaluation process. Documentation should normally address areas such as: 1. Publications in refereed professional and academic journals. Documentation of the selection criteria should be included with each publication. This documentation should include the review process and acceptance selectivity of the journal. 2. Publications of scholarly monographs/books as well as chapter contributions to such publications. 3. Textbooks or Textbook materials. 4. Papers presented at national/international/regional professional meetings and any subsequent publications in proceedings. Candidates should document the type of professional meeting, the review process, and acceptance selectivity for each paper presented and included in proceedings. 5. Publication of original cases adopted by peer academic communities. 6. Receipt of funding for research projects. Funding from within UAB should be noted, but primary consideration will be given to external funding and the competitive review processes that resulted in such funding. 7. Research and/or publications having primary relevance to the local, state, regional, or national business communities. 8. Invited paper presentations based on research completed or in progress. 9. For other than sole authorship, candidates should clearly indicate the scope of their contributions to each scholarly item submitted Service Evaluations of effectiveness in service activities will consider faculty consultation and non-credit teaching within or outside UAB, participation on committees, service on the Faculty Senate, fulfillment of special administrative assignments, mentoring student organizations, editorships (editorial boards) and offices held in professional organizations. Documentation submitted by candidates should address areas such as: 17

26 1. Consulting projects completed, for whom, the nature of each project, time devoted to it, and whether compensation was received. 2. Non-credit teaching, including the subject matter of the course or seminar, where conducted, for whom, and the number of participants. 3. Editorships and editorial board memberships. 4. Committee assignments within UAB, any Chair positions, and the amount of time devoted to the work of the committee(s) during each academic year of service. 5. Service on the Faculty Senate, including committee assignments within the Senate, offices held, and time devoted to all Senate activities during each academic year of service. 6. Leadership roles and committee assignments in professional organizations at the local, state, regional, or national levels. 7. Public and community service activities for governmental and local service units at the local, state, or national levels. 8. The nature of any special projects assigned by the Department Chairperson or Dean, or other special roles filled after election by the faculty. Examples include service as the school's AAO; membership on the UAB Grievance Panel; unit head or solicitor for the Benevolent Fund Campaign, Blood Drive, etc Promotion to Assistant Professor A terminal degree generally is required for appointment to this rank and appointments to this rank may be tenure-earning or non-tenure-earning. An assistant professorship may be awarded to individuals who have the potential to make significant academic contributions. (See applicable section of the current UAB Faculty Handbook). Promotion to this rank normally requires service as a full-time instructor for a minimum of three years at UAB. In the absence of the terminal degree, an assistant professorship may be recommended for candidates who have made significant teaching contributions, scholarly activities including research and other creative activities, and service contributions, while showing evidence of continued contributions in these areas. With the appropriate terminal degree, candidates for promotion to this rank must demonstrate a high potential for ultimately acquiring tenure. Without the appropriate terminal degree, the candidate may hold the rank in a non-tenure capacity Promotion to Associate Professor This rank normally requires the appropriate terminal degree and service as an assistant professor for a minimum of six years at UAB or another university, the last year of which must have been at UAB. 18