3 FACULTY RANK AND SALARY

Transcription

1 3 FACULTY RANK AND SALARY Faculty Rank and Salary [AP09.0, Academic Personnel Policy and Procedure Manual, 1 July 2005] 1. Preamble Page 1 of A new faculty salary system was approved by the University Council on 20 May 2003 for adoption with effect from 1 July The new system has been established against the background of the impending need of the University to balance between the opportunities for faculty career advancement and budgetary constraints. The salary scale in this new faculty salary system was further revised subsequent to the adoption of the salary range system approved by the University Council in May The italic notes in section 1.5 below explain the salary range system. 1.2 With the limits imposed on University resources, it was a recognized inevitable reality that faculty promotions to a higher rank under the previous system would be hampered and indeed impossible in the long run. It was anticipated that as the University matured further to a stage with more stable establishments, the room available to cope with the pressing need for a better utilization of resources was diminishing if timely action was not taken to revisit the system. Discussions had therefore been initiated within the University administration on the possible solutions to resolve these potential problems. 1.3 One of the unanimous consensuses of the discussions was that the previous system for Associate Professors (on B-scale salary) to promote to Associate Professors (on A-scale salary) should be abolished. {Note: We shall denote this as a B to A promotion in the remaining parts of this paper.} It was recognized that such promotions (and in fact further promotions to full Professor) would be limited by the resources for which the University is able to fund A-scale salary positions. This would inevitably prevent eligible and qualified faculty members from advancing further to a higher rank. To provide a system in which faculty promotions could be accommodated without the limit on the availability of A-scale positions, it was further suggested that the B-scale and A-scale salaries for academic staff be merged to form one scale, and the salary range for the three ranks of Assistant Professor, Associate Professor and Professor be revised to introduce more flexibility in resource utilization. 1.4 In considering the above salary scale suggestion, a general comment from faculty members that our previous automatic salary increment system did not reward performers was also discussed. It was suggested that a mechanism for merit salary increase should be introduced to the faculty salary system at the same time if we were revisiting the faculty salary scales.

2 Page 2 of This paper outlines the principles of the approved proposals (in the following sections of this main paper), the new salary scales* (in Appendix I (revised)), and the principles of the transition arrangements for existing faculty (in Appendix II). Further guidelines on faculty budget management will be established by the University prior to implementation. * The salary points on these salary scales are removed with effect from 1 July 2005, as approved by the University Council in May Under the approved new arrangement, the salary scale for a particular rank will become a simple pay range with the same minimum and maximum in the relevant former salary scales. Faculty members will be remunerated within the said range, at levels not necessarily conforming to the points on the previous scale. The employment benefits related to a level of remuneration in the salary ranges remain the same as those corresponding to the relevant step in the S-scale salaries. 2. Principles of the New System 2.1 There should be no change to the current three-tier faculty rank system, namely Assistant Professor, Associate Professor and Professor. 2.2 The B to A promotion within the rank of Associate Professor shall be abolished. All Associate Professors (including those currently on B-scale salaries) can apply for promotion to full Professor directly. 2.3 The structure of the steps within the current B and A scale salaries will remain but the two scales will be merged to form an 18-step salary scale of S1 to S18. S1 is equivalent to B5 and S18 is equivalent to A10. Since B13 to B15 of the current B- scale salary overlap with A1 to A3 of the A-scale salary, S9 to S11 of the merged scale, which represent these three overlapping steps, will be equivalent to A1 to A3 of the A-scale salary and benefits related to the A-scale salary will apply to S9 and above of the merged scale. Note: This sub-section is superseded by the new salary range system approved by the University Council in May 2005 as explained in * in sub-section 1.5 above. 2.4 The current automatic annual salary increment system shall be abolished and will be replaced by a merit salary review system. 2.5 The current three-year floating bar review will be abolished in the new salary system.

3 Page 3 of The terms in the existing employment contracts of current faculty members will continue to apply for the duration of the contract. 2.7 To provide feedback on performance, all regular faculty members shall be required to file a short report on their achievements to the Department/Division Head annually. This information provided by the faculty will also serve as the input materials for the merit salary review in the appropriate cycle. 2.8 The review for merit salary increase and one-time merit award, as approved by the University Council in May 2005 will be conducted for all regular faculty members in every two years starting from the year that this new system is implemented. The major purpose of this review is to determine whether or not an adjustment to the faculty member s current remuneration will be made; it is not equivalent to the academic review for substantiation and promotion. 2.9 Under exceptional circumstances, Department/Division Heads can initiate an ad hoc merit salary review or one-time merit award at any time On promotion to a higher rank, the promotee shall either: (a) remain at the same salary prior to promotion if the faculty member is on a salary level which is within the range of the promoted rank; or (b) advance to the minimum of the appropriate salary range of the rank promoted if the faculty member is not yet on this salary level prior to promotion Salary advancement on promotion can be recommended and approved according to the review procedure set out in the current guidelines. It will be a separate recommendation in addition to a promotion recommendation The Dean will be the authority for approving a one-step merit salary advancement. Any salary advancement beyond the one-step increase and increase to a step off-scale shall be recommended by the Dean and approved by the Vice-President for Academic Affairs (VPAA). {For the initial two years of the implementation of the proposed salary review system, all salary advancement recommendations (including the one-step increases) shall be calibrated centrally at the University level and approved by the VPAA.} Note: As approved by the University Council in May 2005 and effective from 1 July 2005, Deans are authorized to approve a merit salary increase in an amount not exceeding $3,000 (which is the average size of a full increment in the previous salary step-scales) or a one-time merit award not exceeding $36,000 (i.e. $3,000 x 12 months). Any merit salary increase or one-time merit award beyond

4 Page 4 of 69 the average monthly amount of $3,000 or any salary increase (or appointment) to a level off-range shall be recommended by the Department/Division Head, endorsed by the Dean, and approved by the Vice-President for Academic Affairs (VPAA). {For the initial two years of the implementation of the proposed salary review system, all merit salary increase and one-time merit award recommendations (including those within the average monthly amount of $3,000) shall be calibrated centrally at the University level and approved by the VPAA.} 2.13 Merit increases or one-time merit awards should be based on academic attainment, performance, and internal and external relativity of the current salary level attained as appropriate; they are not automatic and will only be awarded within the limits of available funds. 3. The New Salary Ranges 3.1 The merged salary range for academic staff based on the existing B-scale and A- scale salary structure is outlined in Appendix I. 3.2 The normal salary ranges for the three ranks are: (a) (b) (c) S1 to S7 for Assistant Professors, S5 to S9 for Associate Professors, and S9 to S14 for full Professors 3.3 Off-range salaries beyond the maximum of a normal salary range of the relevant rank are possible subject to a review, recommendation and approval procedure. 4. Review System for Merit Salary Increases and One-time Merit Awards Details of the review mechanism are outlined in AP25.0 (revised version of 1 July 2005). 5. Transition Arrangements for Existing Faculty Principles of the transition arrangements are outlined in Appendix II. (Note: The special transition arrangements for faculty members being reviewed for substantiation and/or promotion in the Fall 2002 and Spring 2003 reviews have been implemented and are therefore not included in this paper.) 6. Guidelines on Faculty Budget Management The University will establish details of the guidelines prior to the implementation of the new system on approval.

5 Page 5 of Related Policies and Guidelines The relevant parts in the following existing policies and guidelines of the University shall be revised if the current proposals are approved and adopted: AP21.1 Floating Salary Bar for Academic Staff AP21.2 Salary Bar Review Procedure for Academic Staff on Contract Terms AP23.0 Annual Review of Faculty and Academic Administrator AP30.0 Promotion

6 Page 6 of 69 [Appendix I to AP09.0, Academic Personnel Policy and Procedure Manual, 1 July 2005] The Faculty Salary Ranges (approved by the University Council in May 2005) Step 1-18 S18 S17 S16 Off-Range S15 S14 Maximum S14 S13 S12 S11 Off- Range S10 S9 Maximu m S9 Minimum S9 Off-Range Professor S8 S7 Maximum S7 S6 S5 Minimum S5 Associate Professor S4 S3 S2 S1 Minimum S1 Assistant Professor The former 18-Step Salary Scale for Academic Staff, approved by the University Council on 20 May 2003, superseded by the Faculty Salary Ranges indicated on the left. Appendix I to AP09.0

7 Page 7 of 69 [Appendix II to AP09.0, Academic Personnel Policy and Procedure Manual, 1 July 2005] Transition Arrangements for Existing Faculty [Approved by the University Council on 20 May 2003 for adoption with effect from 1 July 2003.] Note: Effective from 1 July 2005, the salary steps on the S-scale salary have been removed (see * in sub-section 1.5 of AP09.0). The terms of faculty members who opted to remain on the A-scale or B-scale salary will continue to apply for the duration of their contract. For these faculty members, the new system on salary advancement shall come into effect when a new contract according to the new system is effected in circumstances such as contract renewal, substantiation, promotion, or when a merit salary increase is being awarded and accepted. Any merit salary increase, if recommended, would be made subject to the faculty member s agreement to switch to the S-range salary. If the faculty member declines to so switch, the merit salary increase made under the S-range salary cannot be executed and he/she will remain at the relevant A-scale or B-scale salary point without the increase. 1. Principles 1.1 The terms in the current employment contract of all existing faculty members (including those on board and those not yet on board but have accepted employment contracts on terms prior to the implementation of the new system) shall continue to apply for the duration of the contract. 1.2 The annual feedback system on performance shall apply to all regular faculty members including those on board at the time when the new system is implemented as well as to new appointees thereafter, which will replace the current review system as stipulated in AP23.0 Annual Reviews of Faculty and Academic Administrator. 1.3 The two-yearly merit salary review shall also apply to all regular faculty members including those on board at the time when the new system is implemented as well as new appointees thereafter. However, the terms in the current employment contract of existing faculty members shall apply irrespective of the outcome of the merit salary review. 2. Assistant Professors 2.1 Assistant Professors appointed on the previous salary system shall progress along the salary scale according to the terms of their current contracts for the duration of the contract, irrespective of the outcome of the two-yearly merit salary review.

8 Page 8 of The new system on merit salary advancement shall come into effect when a new employment contract according to the new system is effected in circumstances such as contract renewal, substantiation, and promotion according to the relevant academic review policies. The salary step to be offered in these new contracts shall remain at the same last step of the current contract, even if this is above the new salary scale of the rank to be appointed in the new contract. Salary progression thereafter in the new contract shall follow the system now proposed. 2.3 Example (1): An Assistant Professor appointed at B6 (S2) and is currently serving a first 3-year contract. He or she will progress along the current Assistant Professor B-scale salary, though subject to the proposed annual performance feedback system, and will be at B8 (S4) in the last year of the contract. If he or she is reviewed positively for contract renewal, a new contract according to the new system will be offered at the same salary step of S4 (B8). Whether or not there will be salary advancement beyond S4 will depend on the outcome of the new salary review system proposed. 2.4 Example (2): An Assistant Professor appointed at B6 (S2) and is currently serving a second 3-year contract. Assuming no salary bar was applied when this second contract was offered, the Assistant Professor will be at B11 (S7) in the last year of the second contract. If he or she is reviewed positively for substantiation and promotion, a contract on substantive terms and appointment to Associate Professor according to the new system will be offered at the same salary step of S7 (B11), which is a step within the new salary scale for Associate Professor. Whether or not there will be a salary advancement beyond S7 will depend on the outcome of the new salary review system proposed. {Note: As a general practice after the implementation of the new system, no salary progression shall be awarded in the seventh year, i.e. the fourth year of a second contract, if this is so requested by the Assistant Professor for deferring the substantiation and promotion review to the seventh year.} 2.5 Example (3): An Assistant Professor who is at salary B14 (S10) - a step which is not within the new salary scale of Assistant Professor nor that of Associate Professor - in the last year of his or her second contract, and is reviewed positively for substantiation and promotion, a contract on substantive terms and appointment to Associate Professor according to the new system will be offered at the same salary step of S10 (B14), despite that this is a step not within the new salary scale for Associate Professor. Whether or not there will be a salary advancement beyond S10 (on off-scale) will depend on the outcome of the new salary review system proposed.

9 Page 9 of Associate Professo rs 3.1 The terms in the existing employment contract of Associate Professors will continue to apply for the duration of their contract. In other words, all existing Associate Professors (whether on the B-scale or A-scale salary, substantiated or non-substantiated) shall progress along the relevant salary scale and subject to the floating bar review according to the terms of their current contracts, irrespective of the outcome of the two-yearly merit salary review. 3.2 The new system on salary advancement shall come into effect when a new contract according to the new system either on promotion or substantiation (the latter applies only to those appointed initially on non-substantive terms) is effected. Again the principle is that the salary step to be offered in these new contracts shall remain at the same last step of the current contract, even if this is above the new salary scale of the rank to be appointed in the new contract. Salary progression thereafter in the new contract shall follow the system now proposed. 3.3 Since the B to A promotion will be abolished in the new system, all Associate Professors (whether on the B-scale or A-scale salary) can apply for promotion to full Professor directly. On promotion to full Professor, a new contract according to the new system will be offered at the same salary step prior to promotion if this salary step is within (or above i.e. S15/A7 which will only occur in existing Associate Professors on A-scale salary) the new salary scale for Professor. If the salary step prior to promotion is below the first step of the new salary scale for Professor, i.e. S9 (B13), S9 will be the salary to be offered in the new contract on promotion to Professor. 3.4 Existing non-substantiated Associate Professors (A or B) will progress along the relevant salary scale according to the terms of their current contracts, irrespective of the outcome of the two-yearly merit salary review. The new system on salary advancement shall come into effect when a new contract on substantive terms according to the new system is effected when the Associate Professor has been reviewed positively for substantiation. The salary step to be offered in these new contracts shall remain at the same last step of the current contract. Salary progression thereafter in the new contract shall follow the system now proposed. 4. Professors 4.1 Existing non-substantiated Professors on A-scale salary shall progress along the relevant salary scale until a new contract according to the new system is effected on substantiation at the same last salary step of the current contract prior to substantiation. For substantiated Professors, the terms in the current employment contract shall apply.

10 Page 10 of All existing Professors, whether on the A-scale (below or at the top point) or above the A-scale salary, shall be subject to the currently proposed annual performance feedback system and the two-yearly merit salary review. However, they shall progress along the relevant salary scale and subject to the floating bar review according to the terms of their current contracts, irrespective of the outcome of the two-yearly merit salary review.

11 Page 11 of Academic Appointment [AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] 1. PREAMBLE 1.1 The best way to maintain as well as to raise the academic standing of the University is to recruit the best qualified academic staff. To achieve this, it is essential that we have University guidelines and procedures for academic appointments to be followed at every level involved. The criteria for initial appointment, the appointing authority, the appointment procedures, and the composition and functions of various committees are stated below. These guidelines and procedures shall be closely followed in the appointments of candidates to full-time positions that carry substantive status. Procedural guidelines for the appointments of short-term academic staff are stated in a separate paper (ref. AP11.0), with the basic principles as set out in this paper. 1.2 In this paper, the term department shall be understood to include the divisions of the School of Humanities and Social Science, and Department Heads shall include the Division Heads. 2. ACADEMIC TITLES 2.1 The academic titles endorsed by Senate on 9 October 1996 and approved by Council on 28 February 1997 and the latest salary range endorsed by Council on 20 May 2003 are as follows: Title Salary Range # Assistant Lecturer* B1-B4 Assistant Professor S1-S7 (B5-B15) Associate Professor S5-S9 (B11-B15/A1-A7) Professor S9-S14 (A5-A10) * An entry and transitional title for candidates soon to obtain their doctoral degrees. # The salary range for Assistant Professor, Associate Professor and Professor effective from 1 July 2003 is S1-S7, S5-S9 and S9-S14 respectively. Please refer to Appendix I to AP09.0 for details. The salary range applicable prior to 1 July 2003 is shown in brackets. 2.2 Internally, Associate Professors on B-scale salary (B11-B15) are known as Associate Professor(B) and those on A-scale salary (A1-A7) are known as Associate Professor(A). Officially the salary level will not be reflected in the title.

12 Page 12 of 69 Associate Professors can be appointed on an appropriate step of either the B- scale or A-scale salary depending on the candidates qualifications and the availability of vacancies of the relevant salary scale position. In this paper, the title of Associate Professor (when used without specifying the salary scale) shall be understood to include both Associate Professor(A) and Associate Professor(B). Note: Above applies only to Associate Professors appointed or promoted on the relevant B or A salary scales before 1 July Effective from 1 July 2003, the A-scale salary and B-scale salary are merged to form the S-scale salary, and there is no distinction between Associate Professor(B) and Associate Professor(A). For details, please refer to AP CRITERIA The following describe the minimum qualifications required for initial appointment to the different titles. 3.1 Assistant Professor. An Assistant Professor shall hold the highest earned degree (almost invariably a doctoral degree or equivalent) in his/her field of specialization. The appointee shall have demonstrated promise of a high level of creative ability in teaching and research in some subdivisions of his/her field. 3.2 Associate Professor. In addition to the qualifications of an Assistant Professor, the appointee shall have had extensive successful evidence of teaching and research. The appointee should have thoroughly documented scholarly production and professional achievement in teaching and research. In general, for appointment at the Associate Professor(A) level, the candidate should have demonstrated: (a) the following achievements above and beyond those reached at the substantiation and promotion from Assistant Professor to Associate Professor(B) namely: teaching - achieved significantly in undergraduate and postgraduate education as measured by teaching proficiency and postgraduate student supervision; research - excelled in research as measured by the impact on the candidate s field of specialization; and service - contributed to University, professional and public service

13 Page 13 of 69 AND (b) the potential to achieve international recognition as a leading scholar for promotion to Professor in the next few years as measured by achievements in teaching and research against an established standard. Note: Effective from 1 July 2003, appointments at the Associate Professor(A) will no longer apply according to AP Professor. In addition to having the qualifications of an Associate Professor, the appointee shall have demonstrated a high degree of proficiency in teaching and research, and have had significant contributions to and made an impact on his/her field of specialization, with an excellent national and international reputation as a leading scholar. Professorial candidates who are considered not qualified for appointment on a substantive basis shall not be appointed. A supplemental guideline (issued on 14 April 2000) regarding the initial appointment of Professor is attached in Appendix V. Appointments of candidates not holding a doctoral or equivalent degree shall only be considered under very exceptional circumstances. 4. APPOINTING AUTHORITY 4.1 The appointing authority for the different titles of academic appointments shall be: Appointing Authority President Vice-President for Academic Affairs (VP-AA) Dean Academic Title Professor Associate Professor Assistant Professor 4.2 The appointing authority shall be the party that signs the official appointment letter. In his/her absence, the individual formally appointed to act for him/her shall do so. 4.3 When the position at one level is vacant, the appointing authority shall automatically move up one level. Under no circumstances shall the party making the appointment recommendation act also as the appointing authority. 5. APPOINTMENT PROCEDURES 5.1 Academic appointments shall be processed through committees formed at the departmental, school and university levels. These committees shall respectively

14 Page 14 of 69 be referred to as Departmental Search Committee, School Committee, and University Committee in these guidelines and procedures. 5.2 The Departmental Search Committee shall make recommendations to the Department Head for all titles of academic appointments. The Department Head, on receipt of recommendations from the Departmental Search Committee, shall submit his/her own assessment of the candidates to the Dean, together with the recommendations of the Departmental Search Committee. 5.3 The Dean shall forward the department's recommendations on all titles of academic appointments to the School Committee, which shall conduct reviews and report back to the Dean. The Dean, on receipt of recommendations from the School Committee, shall decide on Assistant Professor appointments. For appointments at Associate Professor or above, the Dean shall submit his/her own assessment of the candidates to the VP-AA, together with the recommendations of the Department Head, the Departmental Search Committee and the School Committee. 5.4 The VP-AA shall forward recommendations of the department and the school on appointments at Associate Professor or above to the University Committee, which shall conduct reviews and report back to the VP-AA. The VP-AA, on receipt of recommendations from the University Committee, shall decide on appointments of Associate Professor. For professorial appointments, the VP-AA shall submit his/her own assessment of the candidates to the President, together with the recommendations of the Department Head, the Dean, the Departmental Search Committee, the School Committee and the University Committee. The President shall decide on professorial appointments. 5.5 In considering the appointment of Professors, the suitability to grant substantiation to a professorial candidate should also be reviewed and determined at the initial appointment stage. Normally, a candidate who is considered not suitable for appointment on a substantive basis shall not be recommended for appointment. 5.6 The procedures for the appointment of different titles of academic staff are illustrated in the flow charts at Appendix I, II and III respectively. 6. DEPARTMENTAL SEARCH COMMITTEE 6.1 General Departments may either form a single search committee for all titles of academic appointments or separate committees to deal with appointments at different titles.

15 Page 15 of 69 A uniform practice for all departments is expected to be established when the University has reached full capacity in terms of planned faculty positions. 6.2 Composition (a) Subject to paragraph 6.2 (b) below, the Committee shall normally be composed of three to five eligible members, appointed by the Department Head through delegated authority by the Dean, with one of the members to be appointed as chairperson. Eligible members are defined to be faculty members of the department and, where deemed valuable and necessary, members from other departments/universities. The Department Head is normally excluded except where the faculty strength of the department is still small. Members normally serve staggered two-year terms which are renewable. (b) (c) Except where alternative arrangements are necessary in recruiting Professors as set out in paragraph 6.2 (c) below, at least three members of the Committee should be eligible voting members. Eligible voting members are defined to be members who are of the same or higher rank than the title to which the candidate is being considered for appointment. In recruiting Assistant Professors, all members at Assistant Professor or above can vote. In recruiting Associate Professors, all members at Associate Professor or above can vote. In recruiting Professors, all members at the professorial level can vote. For departments where there is only one single search committee for all titles of academic appointments, the Committee shall consist of at least three members at Associate Professor or above. The following arrangements shall apply in recruiting Professors where there are less than three eligible voting members (i.e. members at the professorial rank) serving on the Committee: (i) (ii) if there is no Professor from the department serving on the Committee, the search shall be conducted by the School Committee; if there is only one Professor from the department serving on the Committee, one Professor coopted on an ad-hoc basis from other department/university and one Associate Professor on the Committee shall serve as the remaining two voting members; and (iii) if there are only two Professors from the department serving on the Committee, either a Professor coopted on an ad-hoc basis from other department/university or one Associate Professor on the Committee shall serve as the remaining voting member.

16 Page 16 of Functions (a) To conduct departmental faculty search and make recommendations on the appointment of all academic titles in the department, the procedures for which shall include: (i) (ii) (iii) preparing specifications for the advertisements of faculty vacancies; reviewing and shortlisting applications; soliciting reference letters; (iv) notifying the Department Head of each Committee meeting (the Department Head may then decide on whether or not to attend the Committee meetings); (v) conducting interviews in collaboration with the Department Head; (vi) consulting faculty members of the department on the short-listed candidates; (vii) reaching decisions on appointment recommendations by a simple majority vote among eligible voting members of the Committee; and (viii) submitting recommendation reports, through the Chairperson, to the Department Head together with the appointment files of the recommended candidates, the voting record and minority reports, if any, submitted by one or more member(s) of the Committee. [The recommendation report should outline: - the search process; - the number of candidates considered and their qualifications; - sources and extracts of reference letters; - deliberations leading to the recommendation. A sample of the form for compiling the recommendation report is in Appendix IV of this paper. The appointment file should include: - a copy of the public advertisement for the position; - curriculum vitae of the candidate;

17 Page 17 of 69 - a minimum of three reference letters requested by the Committee from qualified individuals, whose names are supplied by the candidate, of a rank equal to or higher than the rank at which the appointment is to be made; - additional letters solicited by the Committee at its discretion from persons or organisations whose names are not supplied by the candidate*; - copies of requesting and soliciting letters by the Committee. * The candidate should be consulted as to whether there are any persons or organisations which the Committee should not approach. Other than referees supplied by themselves, candidates should not as a rule have knowledge of the persons or organisations from whom the University is seeking references and opinion.] (b) To advise the Department Head on practices related to academic appointments. 7. SCHOOL COMMITTEE 7.1 General The School Committee which advises the Dean on academic appointments shall normally be the School Appointments and Substantiation Committee as stipulated in the Substantiation Policy. Separate School Committees for appointments and substantiation may be formed at the consent of the VP-AA. 7.2 Composition The Committee shall be appointed by the Dean and shall normally consist of three to six Professors from different departments of the School who are not heads of departments. One of the members shall be appointed as chairperson. Membership of the Committee shall be confirmed by the School Board, and members serve staggered two-year terms which are renewable. Members are appointed on individual merit and do not serve as official representatives of their respective departments. 7.3 Functions (a) To conduct reviews and make recommendations on the appointment of all academic titles following receipt of recommendations from departments, the procedures for which shall include:

18 Page 18 of 69 (i) (ii) (iii) (iv) (v) reviewing the appointment files of the recommended candidate including current curriculum vitae, reference letters, and documents on teaching and research proficiency, etc.; reviewing the recommendations from the Department Head and the Departmental Search Committee; requesting additional information from the candidate and/or the Department Head where necessary; requesting presentation by the Department Head and/or the Chairperson of the Departmental Search Committee where necessary; reaching a recommendation on the suitability for appointment of the recommended candidate by a simple majority vote taken by secret ballot [Members reviewing cases from their own department are not required to abstain from voting.]; and (vi) submitting report to the Dean, through the Chairperson, which shall include the pros and cons of the Committee's deliberations, the voting record and minority reports, if any, submitted by one or more member(s) of the Committee. (b) (c) To conduct search for Professors for departments in circumstances described in paragraph 6.2 (c)(i) above. To advise the Dean on practices related to academic appointments. 8. UNIVERSITY COMMITTEE 8.1 General The University Committee which advises the VP-AA on academic appointments shall be the University Appointments and Substantiation Committee as stipulated in the Substantiation Policy. 8.2 Composition The Committee shall consist of eight Professors with two from each School who are not Deans of schools. This composition is to broaden the information and expertise available from members for consideration by the Committee in deliberating cases. The Committee shall be appointed by the VP-AA in consultation with the President, with one of the members to be appointed as chairperson. Membership of the Committee shall be confirmed by the Senate, and members serve staggered two-year terms which are renewable. Members

19 Page 19 of 69 are appointed on individual merit and do not serve as official representatives of their respective schools. Normally, members appointed to this Committee shall not be a member of the School Committee. 8.3 Functions (a) To conduct reviews and make recommendations on the appointment of Associate Professors and Professors following receipt of recommendations from schools, the procedures for which shall include: (i) reviewing the appointment files of the recommended candidate including current curriculum vitae, reference letters, and documents on teaching and research proficiency, etc.; (ii) reviewing the recommendations from the Dean, the School Committee, the Department Head, and the Departmental Search Committee; (iii) requesting additional information from the candidate, the Department Head, and/or the Dean where necessary; (iv) requesting presentation by the Department Head, the Dean, the Chairperson of the Departmental Search Committee, and/or the Chairperson of the School Committee where necessary; (v) reaching a recommendation on the suitability for appointment of the recommended candidate by a simple majority vote taken by secret ballot [Members reviewing cases from their own department are not required to abstain from voting.]; (vi) submitting report to the VP-AA, through the Chairperson, which shall include the pros and cons of the Committee's deliberations, the voting record, and minority reports, if any, from one or more member(s) of the Committee. (b) To advise the VP-AA on practices related to academic appointments.

20 Page 20 of 69 [Appendix I to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] Appointment Procedures For Professors Appointing Authority Recommending Unit Committee President recommends recommends VP-AA ================= UASC refers for advice recommends Dean recommends ================= SASC refers for advice recommends DH recommends =============== Departmental Search Committee appoints * * Under delegated authority by the Dean Abbreviations VP-AA : Vice-President for Academic Affairs DH : Department Head UASC : University Appointments and Substantiation Committee SASC : School Appointments and Substantiation Committee

21 Page 21 of 69 [Appendix II to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] Appointment Procedures For Associate Professors Appointing Authority Recommending Unit Committee VP-AA recommends ===================================== refers for advice UASC recommends Dean recommends ================= refers for advice SASC recommends DH recommends ================ Departmental Search Committee appoints * * Under delegated authority by the Dean Abbreviations VP-AA : Vice-President for Academic Affairs DH : Department Head UASC : University Appointments and Substantiation Committee SASC : School Appointments and Substantiation Committee

22 Page 22 of 69 [Appendix III to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] Appointment Procedures For Assistant Professors Appointing Authority Recommending Unit Committee Dean recommends ====================================== refers for advice SASC recommends DH recommends ================= appoints Departmental Search Committee Abbreviations DH : Department Head SASC : School Appointments and Substantiation Committee

23 Page 23 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] THE HONG KONG UNIVERSITY OF SCIENCE AND TECHNOLOGY Recommendation for Appointment Please refer to the University Guidelines and Procedures for Academic Appointments, AP10.0 in the Academic Personnel Policy and Procedure Manual, on details of the appointment procedures. This recommendation report consists of THREE parts: PART I : PART II : Review report of the Departmental Search Committee (To be completed and signed by members of the Departmental Search Committee) Recommendation of the Department Head (To be completed and signed by the Department Head) PART III : Approval/Recommendation of the Dean (To be completed and signed by the Dean) CHECKLIST OF SECTIONS TO BE FILLED AND DOCUMENTS TO BE ENCLOSED WITH THIS APPOINTMENT RECOMMENDATION REPORT (Please check and put a tick against the item done.) All sections (1-12) in Part I of this Report have been filled by the Departmental Search Committee All sections (1-6) in Part II of the Report have been filled by the Department Head All sections (1-6) in Part III of this Report have been filled by the Dean Original of the recommended candidate's application letter (if any) and curriculum vitae Copy(ies) of advertisement(s), if available (Part I, item 1) Evaluation report(s) of interviewer(s), if any (Part I, item 5(b)) Copy of a sample of the soliciting letter of reference (Part I, item 6) Originals of all reference letters obtained (Part I, item 6) Minority report(s), if any, submitted by member(s) of Departmental Search Committee (Part I, item 10) Review report of the School Committee (Part III, item 1) Minority report(s), if any, submitted by member(s) of School Committee (Part III, item 2) For appointment at Assistant Professor, please forward the completed report to the Director of Personnel together with the "Request for Appointment" form by hand. For appointment at Associate Professor or above, please forward the completed report to the VP-AA.

24 Page 24 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] THE HONG KONG UNIVERSITY OF SCIENCE AND TECHNOLOGY Recommendation for Appointment Recommended candidate : Title : Department : * Application letter (if any) and curriculum vitae of recommended candidate attached. PART I: REVIEW REPORT OF THE DEPARTMENTAL SEARCH COMMITTEE (To be completed and signed by members of the Departmental Search Committee) 1. Advertisement (a listing of where the position was advertised or posted; sample text of an advertisement to be attached, if available) (a) Journal/Paper/Electronic Network : South China Morning Post The Chronicle of Higher Education Campus Review The Times Higher Education Supplement The Directory University Affairs Electronic media (Blank space for the more specific journals and other media used by the department.) (b) Date printed/posted and deadline set : 2. Composition of Search Committee Name Position Department (a) (b) (c) (d) (e)

25 Page 25 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] 3. No. of applications/nominations received (as of the date of this report or as of the deadline in the advertisement) Total : Rejected : On hold : (under consideration) 4. Semi-finalists selected (a) Name Qualification Present position/ current affiliation Remarks (Brief comments on each semi-finalist) (b) (c) (d) (e) 5. Interview (a) Place, date(s), and interviewer(s) Date(s) Interviewer(s) At HKUST Overseas (please specify place): Telephone (b) Evaluations from interviewers who are not members of the Search Committee (either to be summarised in the space below or attached as separate sheets to this report, if any)

26 Page 26 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] 6. References (A listing of all referees, including those not responding, from whom letters have been requested; a copy of a sample soliciting letter should be attached.) Name Rank Institute Reference letters (a) (b) (c) (d) (e) Attached/ Did not respond* Attached/ Did not respond* Attached/ Did not respond* Attached/ Did not respond* Attached/ Did not respond* * delete as appropriate 7. Summary of recommendation (include crucial comments from references obtained and evaluations of the candidate at interviews) 8. Recommendation for substantiability (for appointment of professors only) 9. Voting record Unanimous recommendation for the appointment Non-unanimous votes For : Against : Abstained : 10. Minority report A signed minority report is attached. There is no minority report involved.

27 Page 27 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] 11. Other remarks (if any) 12. Signature by Members of the Search Committee Signature: Signature: (, Chairman) ( ) Title: Date: Title: Date: Signature: Signature: ( ) ( ) Title: Date: Title: Date: Signature: Signature: ( ) ( ) Title: Date: Title: Date:

28 Page 28 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] PART II: RECOMMENDATION OF THE DEPARTMENT HEAD 1. Details of post (a) Research area of the position to be recruited (according to the Academic Plan of the Department) (b) (c) Planned number of faculty in the above research area at steadystate Number of faculty already on board or appointed in the above research area 2. Comments (include statements of justification for the appointment, and recommendation for substantiability for professorial appointment) 3. Recommendation and justifications on salary 4. Proposed appointment period 5. Establishment Using faculty salary budget of the Department Others (such as % for joint appointment, funding from other department or school, etc.): 6. Signature Title ( ) Head, Department of Date

29 Page 29 of 69 [Appendix IV to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] PART III: APPROVAL/RECOMMENDATION OF THE DEAN 1. School Committee's recommendation (attach signed review report of the School Committee, and its recommendation on substantiability for professorial appointments) 2. Minority report A signed minority report is attached. There is no minority report involved. 3. Comments (include statements of justification for the appointment and recommendation for substantiability for professorial appointment) 4. Approval/Recommendation I approve/recommend* the appointment I do not approve/recommend* the appointment * delete as appropriate (Note : Dean is the approving authority for Assistant Professor appointments. For other ranks, the Dean is the recommending party.) 5. Salary and justification 6. Signature Title Dean of Date ( ) * * * * * * * * * * END

30 Page 30 of 69 [Appendix V to AP10.0, Academic Personnel Policy and Procedure Manual, 1 July 2003] This paper delineates a supplemental guideline on the initial appointment of Professor, currently in practice at the University. (1) Candidates to be appointed Professors will normally be offered substantive employment on superannuation terms on initial appointment. This is based on the criteria in our current Appointment Policy (section 3.3 of AP10.0), which states that professorial candidates who are considered not qualified for appointment on a substantive basis shall not be appointed. According to this policy, all professorial candidates will go through a substantiation review at the time of initial appointment. It is only with a positive outcome of this substantiation review that professorial candidate can be appointed to the title of Professor. Thus, at initial appointment, the substantiability of all professorial candidates should have been ascertained and they will therefore be eligible to be appointed on the substantive superannuation terms. (2) Only if the candidate requests it, through the relevant Department Head recruiting the candidate, an initial appointment for Professor can be made on the regular threeyear contract basis. (Note: Apart from the payment of a 15% end-of-contract gratuity, contract staff may be provided, on application and subject to housing availability and set criteria being met, with on-campus housing at a charge of 7.5% of salary during their initial 3-year contract on an exceptional basis. This is in addition to the standard 10-year housing benefit package under the Home Financing Scheme available to University staff. Contract appointment does not however carry long-term appointment status as for one on substantive and superannuation terms.) (3) If the candidate is offered the three-year contract, the positive substantiation review outcome reached at the time of the initial appointment will be considered valid within the first two years of the contract. During this first two years, the Professor can request to change his terms of appointment to the substantive superannuation terms. This switch is not automatic and has to go through an internal review process by the relevant Department Head, the Dean, the VPAA, the President and finally approval by the Council according to the University procedure. However, there is no need to go through the committee review and the letter seeking process, which has been conducted at the initial appointment stage. (4) From experience, it is only under very rare circumstances that Professors are not granted the substantiation in the process of (3) above. However, if long-term job status is a major factor in the consideration of an appointment, professorial candidates should consider accepting the normal offer of substantive superannuation terms of employment on initial appointment.

31 Page 31 of Short-term Visiting Appointment [AP11.0, Academic Personnel Policy and Procedure Manual, 1 July 2005] 1. PREAMBLE 1.1 The University offers, from time to time as required, short-term appointments to visiting academics to assist in teaching and/or research and/or service for the University. This small pool of short-term visitors helps keep the academic community updated on current developments in the academic arena and maintain a constant flow of talents. These short-term appointments also enable the University and the appointee to determine if long-term appointment is appropriate. 1.2 Broadly speaking, short-term appointees can be grouped into the following categories: (a) distinguished individuals who will germinate new ideas or offer assistance in their interaction with the faculty; (b) professionals who are willing to teach professional subjects but are not suitable for regular appointments; and (c) others for whom short-term engagement is considered necessary before a decision is made over long-term employment. 2. DEFINITION Short-term visiting appointments in this paper shall be defined as full-time appointments on contract terms for a period shorter than two years. 3. TERMS The standard set of conditions of service for short-term appointees is at the appendix of this paper. 4. APPOINTMENT TITLES The following appointment titles shall be used in designating a short-term full-time academic appointment:

32 Page 32 of 69 Visiting Professor Visiting Associate Professor Visiting Assistant Professor Visiting Scholar 5. CRITERIA 5.1 The criteria for evaluation of a candidate for appointment with a Visiting title shall be the same as for the corresponding regular title, namely Professor, Associate Professor, and Assistant Professor. 5.2 Appointees to the title of Visiting Scholar must at least hold a higher degree or equivalent qualification. Depending on the need of the department concerned, a Visiting Scholar will be required to teach, conduct research, lead seminars or engage in other teaching/research activities. Hence, the appointees should have the experience relevant to the appointment. 6. AUTHORITY 6.1 The appointing authority for the different ranks of short-term academic appointment shall be: Appointing Authority President Vice-President for Academic Affairs (VP-AA) Dean Rank of Appointment Visiting Professor Visiting Associate Professor Visiting Assistant Professor, and Visiting Scholar 6.2 The appointing authority shall be the party that signs the official appointment letter. In his/her absence, the individual formally appointed to act for him/her shall do so. 6.3 When the position at one level is vacant, the appointing authority shall automatically move up one level. Under no circumstances shall the party making the appointment recommendation act also as the appointing authority. 7. PROCEDURE 7.1 The review for a short-term visiting appointment shall involve the Department Committee only. Department Heads shall submit his/her own recommendation, together with that of the Department Committee, to the Dean who shall decide on cases of Visiting Assistant Professors and Visiting Scholars. For cases of Visiting