CHAPTER 210: Procedures Calendar
210.01 ANNUAL REPORT OF YEAR'S ACTIVITIES
May — Fourth week: Department chairs submit reports to school deans or supervisors
June — Second week: School deans and supervisors submit reports to vice presidents
July 1: Vice presidents submit reports to president
Sept. 1: President submits annual report to chancellor, board of trustees and College Council.
210.02 BUDGET
The fiscal year for SUNY is from July 1 through June 30. The campus operating budget (i.e., State Operations Fund) is determined using the SUNY Budget Allocation Process (BAP). The BAP is a formula-driven methodology used to distribute State financial support to the various State-operated colleges and universities, System Administration and university-wide programs.
The distributed State support, in combination with each campus's tuition and certain other revenue, comprise the campus's State Operations Fund. Other campus self-supporting funds, such as Income Fund Reimbursable (IFR), Dormitory Income Fund Reimbursable (DIFR) and State University Tuition Reimbursement Account (SUTRA), are accounted for separately.
Each campus has full discretion in the distribution and use of both State and campus-generated revenue within the State and University fiscal guidelines. At SUNY Cortland, State Operations Funds are fully distributed to the appropriate campus officers and various campus-wide activities. Campus officers have authority to further distribute these funds within their area of responsibility in accordance with approved campus policies and priorities.
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210.03 LEAVE OF ABSENCE
November
First week — Faculty member makes application for February leave of absence to department chair.
Second week — Recommendation on February leave of absence department chair to school dean.
Third week — Recommendation on February leave of absence dean to provost.
Fourth week — Recommendation on February leave of absence provost to president.
December
First week — President notifies faculty member of decision regarding leave of absence.
April
First week — Faculty member makes application for September leave of absence to department chair.
Second week — Recommendation on September leave of absence — department chair to school dean.
Third week — Recommendation on September leave of absence — dean to provost.
Fourth week — Recommendation on September leave of absence — provost to president.
May
First week — President notifies faculty member of decision regarding leave of absence.
210.04 REGISTRAR'S CALENDAR
Week Prior to Start of Classes
Unpaid students de-registered (dropped from classes).
First Day of Classes
Class lists available on the Web for all instructors and department personnel.
Drop/Add Period.
Second Week of Classes
Final class lists following all drop/add activity available on the Web for instructors and department personnel.
Chairs and department personnel update semester Course Schedule with current instructors, meeting times and rooms for SUNY System Enrollment Reports (Course and Section Analysis, and Teaching Load Reports).
Chairs meet with registrar to schedule classes for next semester's courses.
Fifth Week of Classes
Chairs proofread next semester's course offerings prior to posting on Web site.
Final examination requests to faculty to identify department and special request examinations.
Seventh Week of Classes
First/Third Quarter grades are due; updated second or fourth-quarter class lists available on the Web.
Chairs return final examination requests to dean for approval.
Eighth/Ninth Weeks of Classes
Deans return final examination requests to registrar.
Course offerings and Web time-ticket and registration pin number distributed prior to registration of continuing students.
Tenth/Eleventh Weeks of Classes
Registration of seniors, juniors, sophomores and freshmen commences.
Instructors notified of outstanding Incompletes which are scheduled to be converted to failing E grades.
Final Examination Schedule distributed electronically and posted on Web site.
Last Three Weeks of Classes
Students cannot withdraw from courses.
Last Week of Classes
No in-class examinations or quizzes (unless approved by dean).
Final Examination Period
Make-up-of-Incomplete grades due in Registrar's Office.
All grades are due in the Registrar's Office within 72 hours after each final examination given. Holidays are excluded. Saturday and Sunday are counted as 24 hours.
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210.05 PROMOTION
October
Fourth week — Faculty member recommends him/herself for promotion.
(Note: In the case of promotion from the rank of associate professor to full professor, external reviews are required.)
December
First week — Department chair or committee representative informs faculty member of promotion recommendation.
Department chair forwards all recommendations on promotion to school dean and school Personnel Committee.
February
First week — Dean forwards all recommendations on promotion to the provost and vice president for academic affairs.
March
First week — Provost and vice president for academic affairs forwards all promotions recommendations to president.
March 15 — Faculty notification letters from president on promotioncopies to chair of school Personnel Committee, department chair, respective dean and provost and vice president for academic affairs.
June
First week — Department decides promotions procedures for next year.
210.06 RETIREMENT AND/OR RESIGNATION
December
Second week — Notify president of plan to retire faculty member to president.
Resignation — See 220.07
210.07 SABBATICAL LEAVES
October
First week — Faculty member makes application for sabbatical leave to department chair.
Third week — Department chair makes recommendation to respective dean, along with explanation of how applicant's courses will be covered. If the courses will not be taught, the chair must state how students who need those courses will make timely progress toward the degree.
November
Second week — Dean makes recommendation to provost.
December
First week — Provost makes recommendation to president.
January
First week — President notifies faculty member.
Article XIII, Title E, of the Policies of the Board of Trustees makes it clear that "The objective of [a sabbatical leave] is to increase an employee's value to the University and thereby improve and enrich its program. Such leave shall not be regarded as a reward for service nor as a vacation or rest period occurring automatically at stated intervals." Article XIII, Title E also states that "the applicant will continue as a member of the professional staff for a minimum of one year upon return" from the sabbatical leave.
"It is important that chairpersons and other academic officers be convinced that the project proposed for a leave is of sufficient value to justify the investment which the institution makes. In my view, faculty and staff should be encouraged to seek outside funding for half salary which would then allow a full year's leave which is more beneficial than a half-year to the institution and to the individual. I note in passing that the impact on the department's workload and on the College budget is lessened, since a temporary replacement can usually be employed for the half salary remaining to the College."
(Approved by President Clark, Oct. 14, 1980)
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210.08 SUMMER/WINTER SESSION
October
Third week — Summer Session/Winter Session coordinator canvasses department chairs regarding suggested listing of summer session offerings. Request is also made regarding necessary staffing, including visiting instructors.
210.09 TERM AND CONTINUING APPOINTMENTS: STEPS
|
Steps |
First-year appointment |
Second-year appointment |
Third-year appointment |
Department Committee —
Starts evaluation as early as necessary |
— |
— |
— |
Department Personnel Committee
to department chair |
December
Third week |
October
Third week |
March
First week |
Department chair to school
Personnel Committee |
January
Fourth week |
November
First week |
March
Third week |
School Personnel Committee
to school dean |
February
First week |
November
Third week |
April
First week |
| School dean to provost |
February
Second week |
November
Fourth week |
April
Second week |
Provost to president
|
February
Third week |
December
First week |
April
Third week |
| President to faculty member |
March 1 |
Dec. 15 |
May 1* |
| Reply to president |
10 days |
10 days |
10 days |
In those instances where the renewal of term will result in a tenure decision, the various committees and offices should follow the same schedule as that for the second- or third-year appointment. *This notice may be delayed if the NYS budget is delayed.
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CHAPTER 220: Academic Personnel Procedures
220.01 ACADEMIC FREEDOM
"It is the policy of the University to maintain and encourage full freedom, within the law, of inquiry, teaching and research. In the exercise of this freedom faculty members may, without limitation, discuss their own subject in the classroom; they may not however, claim as their right the privilege of discussing in the classroom controversial matter which has no relation to their subject. The principle of academic freedom shall be accompanied by a corresponding principle of responsibility. In their role as citizens, employees have the same freedoms as other citizens. However, in their extramural utterances employees have an obligation to indicate that they are not institutional spokespersons." Article XI, Title I, Policies, 2001.
The [AAUP] 1990 Statement of Principles asserts the right of faculty members to speak or write as citizens, free from institutional censorship or discipline. At the same time it calls attention to the special obligations of faculty members arising from their position in the community: to be accurate, to exercise appropriate restraint, to show respect for the opinions of others, and to make every effort to indicate that they are not speaking for the institution.
The Middle States Association states that: "A sound educational environment requires a secure framework of academic freedom. Academic freedom and job security are not synonymous and should not be contingent on each other. Regardless of whether faculty members hold probational initial appointments or are on extended contract or permanent tenure, the same principles of academic freedom must apply to all. Academic freedom protects the methods of inquiry and gives one the right and the obligation as a scholar to examine all data and to question any assumption. It debars one from preconceived conclusions. It obliges a teacher to present all information fairly because it asserts the student's right to know the facts. Academic freedom does not require neutrality on the part of either an individual or an institution. It is consistent with earnest and declared efforts to advance a particular point of view if it is insisted that complete access to the facts underlies the argument and that the argument can be plainly distinguished from the inquiry. To restrict the availability or limit the presentation of data or opinions is to deny academic freedom."
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220.02 RESPONSIBILITY OF FACULTY
During the first week of classes (preferably at the first class) a dated syllabus should be distributed by the instructor to all students. The syllabus should include at least a brief description of the course, a description of assignments and approximate dates on which they are due, the instructor's attendance policy, the method and weight by which grades will be determined, the books required for the course, and other information consistent with NCATE guidelines. Faculty should consult Section 410.12 on "Class Attendance for Students and Faculty" when preparing the syllabus.
Academic Integrity Statement: Faculty should include in all syllabi a reference to upholding academic integrity and intolerance of academic dishonesty. Suggested wording might be the following: "Students will not cheat or plagiarize in this course. Plagiarism, a serious academic offense, is defined as expropriating the ideas of others and using them as one's own without due credit. Students who cheat in examinations or plagiarize in this course will be disciplined in accordance with university rules and regulations. (See College Handbook, Chapter 340.)"
Disability Statement: Faculty should include in all syllabi a reference to disabilities accommodations SUNY Cortland is committed to upholding and maintaining all aspects of the federal Americans with Disabilities Act of 1990 (ADA) and Section 504 of the Rehabilitation Act of 1973. Suggested wording might be the following: "If you are a student with a disability and wish to request accommodations, please contact Disability Services located in Van Hoesen Hall, Room B-40, or call (607) 753-2066 for an appointment. Any information regarding your disability will remain confidential. Because many accommodations require early planning, requests for accommodations will be reviewed in a timely manner to determine their appropriateness to this setting."
Within the first two weeks of classes, faculty should post their office hours for students and submit them to their department chair who will send a copy to the dean of the school. Many faculty also list their office hours on course syllabi. As a part of its strong commitment to undergraduate teaching, Cortland prides itself on the availability of faculty to meet with students. To ensure this student access, faculty with a full teaching obligation should be available in their office for at least five hours per week to meet with students. Preferably, the hours should be spread through the week and at different times of the day. Those with part-time teaching assignments should hold proportionate office hours. Department chairs and deans will address any variations in these expectations.
Faculty members are required to meet their classes as scheduled in the Course Schedule unless permission to change meeting times has been approved by the dean of the school, after consultation with the department chair and with the Registrar's Office. Approving a request to change a course meeting time must meet the following criteria:
- Students enrolled in the course have no conflicts with any other scheduled course including laboratory or performance type course
- Students are not subjected to extreme inconvenience by the time change.
Faculty members are obligated to meet their classes during each scheduled class period, including those classes scheduled 48 hours before and after a vacation. With the approval of the department chair, an instructor may reschedule a particular class session for such purposes as testing, attendance at special programs, seminars, and field trips. In the event an instructor cannot meet this class for any reason including illness, absence from campus, or another professional obligation, s/he shall arrange for another qualified person to conduct the class during the absence unless, by mutual agreement between the chair and the instructor, other educational arrangements are warranted.
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220.03 RECRUITMENT OF FACULTY (SELECTION AND APPOINTMENT)
Positions, new or replacement, are assigned to departments by the president of the College on the recommendation of the provost.
- Advertisements and recruitment contacts should be made for all anticipated vacancies new and/or replacements as early as possible each new academic year. A position description should be prepared and submitted to the school dean for review of responsibilities, salary range, if stated, and rank. Notices of vacancies must be submitted to the Affirmative Action Office.
- Recruitment for actually assigned positions should begin as early as possible following the authorization of the new position by the provost and approval for advertising by the Affirmative Action Office.
- When the department committee and the department chair have decided on their top candidate or candidates (up to three) a complete vita, including transcripts and letters of recommendation or reports of telephone recommendations for each candidate should be forwarded to the appropriate dean, to the provost and to the affirmative action officer. After these approvals, the chair should request from the dean and the affirmative action officer permission to invite the candidate to the campus. Whenever possible, the chair or other designated members of the department should actively interview candidates at national and regional professional meetings to screen the field before inviting serious candidates for on-campus interviews. On-campus interviews should be arranged, whenever possible, for the top candidate or candidates.
- Candidates brought to the campus for positions at the professor or associate professor level should be interviewed by the provost in addition to other appropriate administrators. Candidates for assistant professor and instructor should be interviewed by the provost or his/her designee and the dean of the school in which the candidate may be appointed.
- Transportation charges and room and board may be reimbursed in accordance with campus policy. All such charges must be verified with appropriate receipts. Candidates staying overnight during their visit should be housed in college facilities when possible, and will be fed at college expense. To expedite the reimbursement of the candidate's travel expenses, responsible persons should obtain the candidate's signature, home address, and social security number on the State of New York Standard Travel Voucher, which is form AC 132-REV, 4-75 while the candidate is on campus. (See Guest Room Use Policy 380.08).
- Travel expenses incurred by the department chair or his/her designated representative for recruitment at regional or national or professional meetings may be paid by the provost or by the school dean subject to state travel regulations. Approval must be obtained from the provost or school dean in advance of such travel.
- Rank and salary for each position must be cleared with the appropriate dean and the provost. Except in extraordinary cases, initial appointment to the College will not be made with continuing appointment.
- The chair should discuss each appointment with the appropriate dean in advance of any oral or written statement to the candidate. Under no circumstances should the chair make an oral or written commitment to the candidate without the prior approval of the dean and the provost. It is the primary responsibility of the department chair to define for the candidate terms for employment.
- The appointment form should indicate the line which is intended to be used for the appointment existing line numbers are provided on the Departmental Service Roster; new line numbers will be provided by the provost or the Business Office. The appointment form and accompanying documents should list the following:
A. Recommended salary
B. Recommended type and term of appointment
C. Number of years of previous full-time college teaching in accredited institutions which count toward the seven year probationary period.
D. Any contingency arrangement agreed to by the candidate, the department, the appropriate dean and the provost.
- All recruitment efforts must conform to the campus Affirmative Action policies.
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220.04 IMMIGRATION AND VISA STATUS
- The Immigration and Naturalization Service does not permit employment of noncitizens holding certain types of visas. Employment of individuals who are not citizens or permanent residents requires the review and approval of the Human Resources Office.
- The College provides legal support to tenure-track academic faculty for immigration petitions and applications filed on behalf of prospective and current employees. Legal services in connection with such petitions and applications shall be performed only by attorneys retained through the Office of University Counsel. Contact the Human Resources Office for additional information.
- The Immigration Reform and Control Act of 1986 requires all employees hired after May 31, 1987 to complete the Employment Eligibility Verification (Form I-9). Forms and information are available in the Human Resources Office.
220.05 APPOINTMENT OF FACULTY
- Following consultation with the appropriate dean and vice president, the department chair should communicate by letter to the candidate the conditions of employment as they will be recommended through channels to the president. These include:
A. salary
B. term (semester, 10-months, 12-months, years)
C. title or rank
D. in tenure-track or temporary
E. if full or part time
F. general responsibilities
Copies of this communication should be filed in the department, the dean's office, and the office of the appropriate vice president. The communication must make clear that only the president can offer an appointment and that after the recommendation has been considered by reviewing authorities such as the dean, provost, business officer, and affirmative action officer, a formal offer will be sent from the President's Office. The appointment is not official until after the offer has been signed and returned to the President's Office.
- Do not release publicity regarding any prospective appointment until the candidate has been officially offered appointment by the president of the College and the candidate has accepted the offer. The Institutional Advancement Office normally handles publicity for College appointments.
- Generally, the doctorate (or terminal degree) is required for appointment except at the level of instructor or lecturer, where the master's degree is required. (February 1972)
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220.06 COLLEGE POLICIES AND PROCEDURES OF THE ACADEMIC FACULTY FOR RENEWAL OF TERM APPOINTMENT, GRANTING OF CONTINUING APPOINTMENT AND PROMOTION.
A. Preface
The policies and procedures established herein seek to provide maximum departmental autonomy in the development of policies and criteria on personnel matters, while guaranteeing both that the standards established by the board of trustees are upheld and that candidates are treated fairly.
These policies and procedures are in accordance with the current Policies of the Board of Trustees, the current Agreement between the State of New York and UUP, and the current Compilation of Codes, Rules and Regulations, State of New York.
In accordance with the American tradition of fair dealing and fair play, these policies and procedures guarantee the essential right of due process. The term, "right of due process," is used here to mean a system of clear, orderly, procedures in which the full disclosure of basic decisions and the specific reasons for those decisions are made at every stage of the process.
Decisions made by the Human Resources Office under the policies and procedures detailed herein are intended to serve the best interest of the University by providing the president with the maximum amount of information with which to make his/her decisions while at the same time protecting the basic rights of the individual faculty member by assuring her/him a fair hearing on those matters relating to her/his professional life.
It is essential that the faculty provide specific reasons why a colleague should be reappointed, given continuing appointment, or promoted rather than merely ask if reasons exist why s/he should not be reappointed, given continuing appointment, or promoted.
The success of any system of evaluation depends upon the willingness of both faculty and administrators to be candid, objective, and fair in the performance of their responsibilities. Only if this occurs can the best interest of the University be served.
B. General Guidelines for Academic Due Process
1. General Principles
- Recommendations on personnel matters, including continuing appointment, renewal of term appointment, and promotion shall be based on:
i. the overall official record of the candidate's training, teaching, and other relevant experiences and achievement in his or her academic field and related areas (note: activity via technology is legitimate activity within the scope of professional obligation, and it should be evaluated and entered under whichever category on the personnel action form is appropriate for the specific activity. Departments are requested to discuss the issue with a view of incorporating involvement in technology in their personnel policies);
ii. service to the College and to the profession while at Cortland;
iii. and in the case of promotion, on criteria for rank-to-rank promotion approved by the Faculty Senate. The existing criteria for promotion shall be in effect until the Senate approves new criteria.
- Should a personnel committee elect to operate under a rule of secrecy or should it be required to operate under such a rule, committee members, except for the chair, shall not discuss outside of a committee meeting, a candidate or his/her case with anyone not serving on the committee, until the committee has voted on the candidate. During committee deliberations the committee chair may discuss outside of a committee meeting a candidate's case with persons not on the committee, but, when the chair does so, s/he does so at the specific direction of the committee and in accordance with these policies and procedures.
- Once a committee has voted on a candidate, committee members may testify about a candidate and his/her case before a personnel review committee, and they may discuss a candidate or his/her case with a department chair, an administrator, or a grievance official. However, they shall not discuss a candidate or his/her case with anyone not involved in the personnel process.
- d. Department chairs and members of all personnel committees shall function as independent evaluators. They shall make their decisions in accordance with the highest professional and academic principles, free from departmental, personal, or administrative pressures.
- A candidate for reappointment, continuing appointment, or promotion shall be kept fully informed of all materials which are being used in the evaluation and be given opportunities to reply to them at all stages of the evaluation process. He/she shall have free access to departmental and school files at all times. Copies of materials placed in his/her official file shall also be included in his/her department and school files. Each academic faculty member shall be responsible for seeing to it that materials placed in his/her official file are also included in his/her department file and in his/her school file. The official file shall be maintained in accordance with Art. 31 of the Agreement between UUP and the State of New York.
- Department chairs and members of personnel committees shall make no use of private, secret files in the personnel process.
- A recommendation against continuing appointment, renewal of term appointment, or promotion shall be based mainly on grounds which bear on the candidate's service to the College during his or her time at Cortland.
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2. Definitions:
- In this document the term policies shall mean the rules governing the principles and structures of the decision-making process; procedures shall mean the process by which action is taken; and criteria shall mean the standards established for evaluating cases of renewal of term appointment, continuing appointment, or promotion.
- In this document the term recommendation shall refer to a written statement conveying (a) the recommender's decision or recommended decision concerning a personnel matter; (b) the evidence and other pertinent data supporting the decision or recommended decision. Recommendations shall provide specific reasons and supporting evidence justifying why a colleague should be reappointed, given continuing appointment, or promoted. For purposes of this section, "recommender" shall be defined as that person or committee obliged by these procedures to provide a personnel recommendation.
- Within the framework of the Trustees Policies and Agreement, the policies and procedures detailed herein shall supersede all other faculty policies and procedures dealing with renewal of term appointment, granting of continuing appointment, and promotion, and where conflicts in the above mentioned documents occur, the Trustees Policies and Agreement take precedence.
3. Candidates for Continuing Appointment, Renewal of Term Appointment, and Promotion.
- The candidate shall be responsible for adding to her/his departmental file any material s/he wishes to have considered in the decision-making process. In listing activities and scholarly accomplishments in his/her departmental file, the candidate shall adhere to the Code of Ethics and give credit where it is due.
- The candidate shall be notified in writing, at least five working days before his/her qualifications are to be reviewed by any faculty committee and given an opportunity to appear before the committee or send a campus colleague to speak for him/her.
- The candidate shall be provided with a copy of all recommendations and decisions at each formal stage of the decision-making process.
- Candidates shall refrain from exerting pressure on department chairs and personnel committee members. Similarly, faculty members shall not exert pressure on department chairs and personnel committee members on behalf of colleagues.
- Any faculty member having questions regarding the review process or problems deriving from it shall take them to the appropriate department chair and or personnel committee chair for resolution. Should those questions or problems remain unresolved, the faculty member may request assistance from the Faculty Affairs Committee. The Committee shall in accordance with the UUP Agreement and after consultation with the UUP Grievance Chair either attempt to resolve the faculty member's perceived problem under the faculty bylaws or refer him/her to some administrative or faculty agency which can resolve it.
(Approved by the Senate, Feb. 21, 1984 and by President Clark, April 11, 1984)
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C. Departmental Policies, Procedures and Criteria on Renewal of Term Appointment, Continuing Appointment, and Promotion
1. Formulation of Policy
- Each department shall develop personnel policies, procedures, and criteria on personnel matters consistent with the policies of the board of trustees, with the Agreement, and with the policies, procedures, and criteria adopted by the faculty. It shall be the responsibility of the department chair to submit such policies, procedures, and criteria and any revisions thereof to the Faculty Affairs Committee for that committee's determination that said policies, procedures, and criteria are in conformity with board of trustees and faculty policies, procedures, and criteria. This determination shall be by majority vote of the Faculty Affairs Committee. The chair of the Faculty Affairs Committee shall inform the department chair of the committee's decision and shall keep on file all records pertaining to the matter.
- If the Faculty Affairs Committee finds a department's personnel policies, procedures, and criteria to be in violation of the faculty bylaws, the Policies of the Board of Trustees, or the Agreement between the State and the bargaining agent, the Faculty Affairs Committee shall indicate the specific points of violation after which the department shall revise its personnel policies, procedures, and criteria and resubmit them to the Faculty Affairs Committee for approval.
- Department policies, procedures, and criteria should be on file in the office of the appropriate dean and of the provost.
2. Alternate Departmental Promotion Criteria
- If in the judgment of the department the criteria adopted by the Faculty Senate for rank-to-rank promotion do not meet the unique needs of the department, the department may submit its own set of criteria to the Faculty Affairs Committee as an exception to the faculty criteria, taking care to provide documentation and justification warranting the granting of an exception. The Faculty Affairs Committee shall consider the criteria as an exception to the faculty criteria and shall submit the alternate criteria to the Senate for consideration. By majority vote the Senate may recommend that the president consider accepting the department's criteria as a necessary and comparable substitute for the faculty criteria for rank-to-rank promotion.
- It is hoped that the president would meet with representatives of the department in question (as well as with others as s/he deems necessary) and discuss the reasons for the alternate criteria. If the president should decide to accept the department's alternate criteria for promotion, s/he should so inform the Senate and these would become the basis for all recommendations on rank-to-rank promotions for that department, by the department committee, department chair, school or school committee, school dean, and provost.
3. Departmental Policies and Procedures
- Departmental policies and procedures shall be clear as to the basic procedures the department plans to observe in making personnel decisions, and shall observe all the procedures for due process established by the faculty to protect the rights of individual faculty members.
- The specific criteria developed by the department shall include some definition of those matters which the department principally considers in making its recommendations.
- The policies, procedures, and criteria shall reflect due regard for the character and needs of the College and department and shall be offered as indicative and descriptive rather than narrowly binding.
- These policies, procedures, and criteria shall be approved by the respective department through secret ballot and majority vote of the voting members of the department as defined by the Board of Trustees Policies and faculty bylaws.
- These policies, procedures, and criteria shall be reaffirmed or revised at least once every three years by the department concerned through secret ballot and majority vote of the voting members. After revision of the policies, procedures, and criteria, the department chair shall submit such revisions to the Faculty Affairs Committee for its approval.
- All departments shall include, within their personnel policies, provisions concerning eligibility to vote, in all departmental actions provided for in their department personnel policies and procedures, by members of the department who are on leave of absence, sabbatical leave, or other recognized forms of leave. Each department shall forward to the Faculty Affairs Committee said provisions.
(Approved by the Faculty Senate, Nov. 28, 1995 and by President Taylor, Dec. 4, 1995)
- Copies of these policies, procedures, and criteria when reaffirmed or revised, shall be issued to all members of the department, the school personnel committee, the dean, the provost, and the president.
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D. Departmental Recommendations
1. Personnel Committee
- By Sept. 15 each department shall establish a standing personnel committee on renewal of term appointment, continuing appointment, and promotion. By vote of the department, a department with seven or fewer full-time members has the option of operating as a personnel committee consisting of all the members of the department, with or without the department chair. When a department chooses to act in this manner, those departmental members may serve on divisional personnel committees. By unanimous vote of the full-time members of the department with unqualified academic rank, a larger department has the option of operating as a personnel committee consisting of all the full-time faculty members with unqualified academic rank. This vote shall be taken annually in September for departments with more than seven full-time members. Neither the department chair nor the departmental representative to the school personnel committee shall have a vote on the committee of the whole.
- Membership on departmental personnel committees shall be limited to full-time academic faculty members with unqualified academic rank.
- Eligibility for membership and term of membership on the personnel committee shall be determined every three years by a majority of the voting members of the department as expressed by secret ballot. Each department shall establish in its policies the procedures for selecting a chair of its personnel committee.
2. General Procedures
- The chair of the departmental committee and the chair of the department shall apprise the candidate for continuing appointment, renewal of term contract, or promotion of the impending deliberations and need for decisions at least two weeks before the deliberations, to assure that the candidate has an opportunity to update his/her files and/or otherwise further his/her own interests appropriately.
- The chair of the departmental personnel committee shall fully inform the candidate of the material which is being used to evaluate her/him and shall allow her/him a reasonable period of time to respond to it before making a final recommendation on her/him.
- Similarly, the department chair shall fully inform the candidate of the material which s/he is using to evaluate him/her, and the chair shall allow the candidate a reasonable time to respond to the material before making his/her final recommendation on him/her.
- Committee decisions on recommendations shall be made by secret ballot and majority vote with a reasonable interval of at least one day but not to exceed one week allowed between the close of committee discussion and the deadline for balloting to permit each committee member judicious consideration of all factors pertinent to her/his decision.
- In the event that the candidate is a member of the committee, s/he shall abstain from deliberation and voting in his/her own case.
- Following committee action, the chair of the committee shall prepare a written statement which states the recommendation, the specific reasons for it, the voting procedures and the record of the vote. Copies of this statement shall be submitted to the candidate and to the department chair, or in the library, to the director of libraries.
3. Procedures for Continuing Appointment and Renewal of Term Appointment
- In matters of continuing appointment and renewal of term appointment the recommendation of the department committee shall be submitted in writing to the candidate and to the chair of the department. In the library, the recommendation of the Library Personnel Committee shall be submitted in writing to the candidate and to the director of libraries.
- The chair of the department shall submit the recommendation of the department personnel committee and his/her recommendation on continuing appointment or renewal of term appointment and the specific reasons for it in writing to the chair of the school personnel committee. At the same time he/she shall submit copies of his/her recommendation and the specific reasons for it to the candidate and the chair of the department personnel committee. In the library, the director of libraries shall affix his/her recommendation and his/her specific reasons for it to the recommendation of the Library Personnel Committee and submit these to the provost. At the same time s/he shall submit copies of his/her recommendation and the specific reasons for it to the candidate and the chair of the Library Personnel Committee.
4. Procedures for Promotion
- In the matter of promotion the department personnel committee shall screen all those in the department eligible for promotion and determine who wishes to be considered for promotion. In each case the candidate for promotion shall be afforded an opportunity to meet with the committee and, after the committee has completed its deliberations, each individual eligible for promotion shall be informed in writing regarding the committee's decision within five working days to afford her/him the opportunity (in the case that s/he is not to be recommended for promotion) to submit a self-recommendation for promotion.
- Once the department personnel committee has completed its deliberations on promotion, it shall forward its recommendations and specific reasons for them, accompanied by supporting documents and evidence, to the chair of the department. A copy of the committee's recommendation, along with the specific reasons for the recommendation, shall be sent to the candidate for promotion. In the library, once the Library Personnel Committee has completed its deliberations on promotion, it shall forward its recommendations and specific reasons for the recommendation, accompanied by supporting documents and evidence, to the director of libraries.
- The chair of the department shall submit the recommendation of the department personnel committee and her/his recommendation on promotion and the specific reasons for it in writing to the chair of the school personnel committee. At the same time s/he shall submit copies of her/his recommendation and the specific reasons for it to the candidate and the chair of the department personnel committee. In the library, the director of libraries shall affix her/his recommendation and her/his specific reasons for it to the recommendation of the Library Personnel Committee and submit these to the academic vice president. At the same time s/he shall submit copies of her/his recommendation and the specific reasons for it to the candidate and the chair of the Library Personnel Committee.
- It is the right of any faculty member to submit a self-recommendation for promotion. S/he shall submit same, accompanied by supporting evidence, directly to the appropriate chair of the subschool or school personnel committee, with a copy to the department personnel committee. The department committee, after deliberation, shall forward its recommendation to the department chair. Both the chair of the department committee and the department chair shall provide copies of each recommendation and the specific reasons for it to the candidate. Thereafter, the self-recommendation shall follow the same procedures as all other recommendations for promotion.
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E. School Review
1. Membership of the School Personnel Committee
- Members of the school personnel committees shall serve as representatives of the interest of their departments, schools, and the College as a whole.
- The professional studies School Personnel Committee shall consist of one representative from each department within the school.
- The education school personnel committee shall consist of one representative from each department within the school.
- The subschool personnel committees of the arts and sciences (grouped according to department alignment in 150.03, Article VI, Section A, No. 2, a., b., and c. and No. 3, a. and b.) shall consist of one member from each department. For each vacancy for a department representative the respective department shall nominate at least two candidates and shall elect one by secret ballot. Election for all vacancies shall be by majority vote by secret ballot of the members of the department voting. The departments shall elect alternates in the same manner. However, should only one candidate be available for departmental representative and should two-thirds of the voting members of the department indicate by secret ballot that the candidate is acceptable to them, s/he shall be the departmental representative.
- Membership on school personnel committees shall be limited to full-time, tenured, academic faculty members with unqualified academic rank.
- School and subschool committee members shall take office by Oct. 15.
- Members of the school and subschool personnel committees shall serve staggered two-year terms and may not serve two consecutive terms.
- Department chairs, acting department chairs, deans, assistant deans, and associate deans shall not be eligible for election or appointment to the school or subschool personnel committees. In departments of eight or more members, department personnel committee members shall not be eligible for election or appointment to the school or subschool personnel committees.
2. School Review
- In the matter of promotion the school committee shall weigh the evidence accompanying the candidate's recommendation and any supplementary evidence which the candidate may submit to it and make its own independent recommendation accordingly.
- In the matter of continuing appointment and reappointment the school committee shall review the evidence accompanying the candidate's recommendation and any supplementary material which the candidate may submit to it and make its recommendation accordingly. However, should the school committee question the professional qualifications of the candidate or the procedures used by the department in evaluation of him/her, it shall consult, at least, with the candidate's departmental personnel committee before making an independent recommendation on the candidate.
- Should the school personnel committee use material not used at the department level in evaluating a candidate, it shall fully disclose that material to the candidate and allow her/him a reasonable period of time to respond to it, before making a final recommendation on her/him.
- Decisions on recommendations shall be made finally by secret ballot and majority vote with a reasonable interval of at least one day but not to exceed one week allowed between the close of committee discussion and the deadline for balloting to permit each committee member judicious consideration of all factors pertinent to his/her own decision.
- In the event that the candidate is a member of the committee s/he shall be replaced by his/her alternate.
- The chair of the school committee shall affix to the candidate's file the committee's recommendation, the specific reasons for the recommendation, the voting procedures, and the record of the vote and forward the material to the dean. At the same time, the chair of the committee shall send copies of the recommendation, the specific reasons for it, the voting procedures, and the record of the vote to the candidate, the department chair, and the chair of the departmental personnel committee.
- On personnel matters referred to the dean from the school committee, the dean shall make a recommendation and provide reasons for the recommendation. In matters of promotion s/he will transmit the candidate's materials, her/his recommendation and reasons for it to the provost. In matters of renewal of term appointment and continuing appointment, s/he will transmit the candidate's materials, his/her recommendation and reasons for it to the provost. In all cases the dean shall send copies of his/her recommendation and the reasons for it to the candidate, the department chair, the chair of the department personnel committee, and the chair of the school personnel committee.
- Should the school dean make use of a solicited document, not used at a previous level of evaluation, in evaluating a candidate s/he shall, when feasible, inform the candidate of any new information contained in that document and allow the candidate reasonable time to reply to it, before making a recommendation on her/him. The school dean shall in all cases act in accordance with Art. 31 of the Agreement between UUP and the State of New York. Under no circumstances shall he/she disclose any information contained in a solicited document which would reveal the author of that document.
- Should the school dean make use of an unsolicited document, not used at a previous level of evaluation, in evaluating a candidate, s/he shall fully disclose the information contained in that document to the candidate and allow the candidate a reasonable time to respond to it, before making a recommendation on her/him. The dean shall decide whether it is appropriate to reveal the name of the author of the document to the candidate.
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F. Policies and Procedures of Managerial Faculty
1. Policies and Procedures
- The deans, the provost and the president shall make all personnel decisions in accordance with the principles of "due process."
- Should the provost make use of a solicited document, not used at a previous level of evaluation, in evaluating a new candidate, s/he shall, when feasible, inform the candidate of any new information contained in that document and allow the candidate reasonable time to reply to it, before making a recommendation on him/her. The provost shall in all cases act in accordance with Art. 31 of the Agreement between UUP and the State of New York. Under no circumstances shall s/he disclose any information contained in a solicited document which would reveal the author of that document.
i. Should the provost make use of an unsolicited document, not used at a previous level of evaluation, in evaluating a candidate, s/he shall fully disclose the information contained in that document to the candidate and allow the candidate reasonable time to reply to it, before making a recommendation on her/him. The provost shall decide whether it is appropriate to reveal the name of the author of the document to the candidate.
ii. Except in recommendations for or against a renewal of term appointment the provost shall provide reasons for his/her recommendation on the candidate. S/he shall send copies of his/her recommendation to the candidate, the department chair or director of libraries, the chair of the department committee, chair of the school personnel committee, and the appropriate dean.
- Should the president make use of a solicited document, not used at a previous level of evaluation, in evaluating a candidate, s/he shall, when feasible, inform the candidate of any new information contained in that document and allow the candidate reasonable time to reply to it, before making a decision on her/him. The president shall in all cases act in accordance with Art. 31 of the Agreement between UUP and the State of New York. Under no circumstances shall s/he disclose any information contained in a solicited document which would reveal the author of that document.
i. Should the president make use of an unsolicited document, not used at a previous level of evaluation, in evaluating a candidate, he/she shall fully disclose the information contained in that document to the candidate and allow the candidate reasonable time to reply to it, before making a decision on her/him. The president shall decide whether it is appropriate to reveal the name of the author of the document to the candidate.
ii. Except in decisions for or against a renewal of term appointment the president shall provide reasons for his/her decision on the candidate. He/she shall send copies of his/her decision to the candidate, department chair or director of libraries, the chair of the department personnel committee, the chair of the school personnel committee, and the appropriate dean.
G. Enabling Provision
1. The original document was ratified by a referendum of the academic faculty in December 1976 (Senate Minutes of Jan. 25, 1977). The amendments to the document were approved by the Faculty Senate on April 8, 1980 and on Sept. 22, 1981; and approved by President Clark on May 6, 1980 and on Oct. 8, 1981.
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220.07 ADVANCEMENT OF FULL-TIME, NON-TENURE TRACK LECTURERS: CRITERIA AND PROCESS
A. Introduction
To support full-time lectureships, the College has established opportunities for promotion and a corresponding set of salary increases: the rank of lecturer 1; the rank of lecturer 2, with a $1,000 increase in salary from lecturer 1; the rank of lecturer 3, with a $1,200 increase in salary from lecturer 2; and the rank of lecturer 4, with a $1,400 increase in salary from lecturer 3. The College has provided that a candidate is eligible for promotion one rank at a time.
A Peer Group Committee has developed criteria for these promotions and a process for awarding them. It oversees the process, and it has a role in making recommendations. The full-time lecturers elect the members of the committee to terms of three years. Places are allocated per school, and they are to be reviewed by the College and by United University Professions (UUP), with assistance from the committee, as numbers change within schools.
B. General Principles
This document is based on a Memorandum of Understanding, Evaluation of Full-time Lecturers, dated July 6, 2001 and revised July 29, 2004, between the College and UUP.
See Memorandum of Understanding
- The criteria for advancement are based on the quality of instruction and on activities related to instruction.
- The process is nonquantifiable. It does not require a minimum or a maximum number of activities or accomplishments. Lecturer A may apply for promotion on the basis of three, and lecturer B may apply for promotion on the basis of one.
- The process is continuing. The criteria for promotion are identical at every level, as standards of teaching excellence. Lecturers who continue to meet these standards will continue to advance professionally.
- The process is noncompetitive. Each application represents work unique to the lecturer, work that will be judged on its own merit and not in comparison with, or in contrast to, the work of other lecturers.
- The process is collegial. In meetings with the Peer Group Committee and in roundtable discussions under its sponsorship, lecturers may help one another to generate, develop, implement and assess proposals for the advancement of teaching. The Peer Group Committee represents this mutual commitment across the College.
- The criteria for promotion describe teaching. Lecturers demonstrate their abilities as teachers on the basis of discipline-appropriate work. As the memorandum on reappointment states, the main responsibility of full-time lecturers is “instruction ... suitable to discipline,” which includes teaching in the classroom, student teacher supervision and clinical supervision. Lecturers in some departments are expected to participate in certain committees and to serve other departmental functions, and such work may also be evaluated for advancement provided that the applicant demonstrates its relevance to teaching.
The memorandum also stipulates that scholarship and “committee work/service outside the department ... is not expected” and that “it may be considered for reappointment only at the lecturer’s request and as a form of faculty development appropriate to instruction and/or performance in the subject area.” In keeping with the memorandum, the process described below allows the applicant to demonstrate the relevance of any faculty development activities that have contributed to advancements in teaching, even if that work might otherwise be considered outside the criteria for evaluating full-time lecturers.
- The process is nonprescriptive. It does not establish a set of conventions for lecturers to observe in demonstrating their effectiveness, because success in teaching often involves innovation and nontraditional forms.
- The process is inclusive. Lecturers may include in their first application any relevant work within a three-year limit, whether they were teaching at SUNY Cortland part-time or full-time. Under special circumstances, to be negotiated with the department by the Peer Group Committee, an applicant may include exceptional work performed between four and five years previously.
- The process is distinct from DSI. A lecturer who applies for promotion may also apply for DSI.
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C. Application Process and Criteria
A lecturer may apply for promotion during his/her current contract period, in accordance with the schedule for applications that the provost shall publish every year.
- A lecturer who wishes to apply for promotion self-recommends to the department personnel committee. An application has three parts:
a. A brief cover letter summarizes a) the lecturer’s current status, b) the courses taught since the previous application, and c) the principal reason that promotion is now appropriate.
b. A reflective essay, one or two pages long, explores the lecturer’s accomplishments as a teacher. It draws specifically on the semesters under review, and it focuses on the quality of the lecturer’s engagement with students and vice versa. Any activities that define excellent teaching, in or out of the classroom, are relevant here provided that the lecturer demonstrates their significance for students. Such activities may include one or more of the following, but are not limited to them: a) accessibility, b) collaboration, c) contribution to professional organizations, d) curriculum development, e) expertise or scholarship, f) innovative teaching strategies, g) mentoring or supervision, h) promotion of diversity, i) uses of technology.
c. The lecturer presents documentation that he or she finds relevant to the application, either as evidence of continued excellence in teaching or as evidence of a significant innovation: for example, a) abstracts of presentations or articles, b) assignments, c) classroom observations, d) course-teacher evaluations, e) diskettes that show computer-mediated communications, such as PowerPoint presentations or exchanges on the Internet, f) lesson plans, g) recordings, audiotape and/or videotape, h) references by colleagues, i) reviews of publications or displays, j) special recognitions or honors, k) student work, with or without the lecturer’s comments, l) syllabi, m) unsolicited letters or notes from students. A reviewer may request additional materials but not of a specific type.
- The department personnel committee makes a recommendation on the lecturer’s application and forwards it, along with the application, to the department chair.
The department chair serves on the department personnel committee without a vote, to represent to voting members that lectureships are dedicated to teaching and that applications for promotion are to be evaluated solely on this basis.
- The department chair makes an independent recommendation on the lecturer’s application and forwards it, along with the application and the department personnel committee’s recommendation, to the Peer Group Committee.
- The Peer Group Committee makes an independent recommendation on the lecturer’s application and forwards it, along with the application and the preceding recommendations, to the appropriate dean.
Since the Peer Group Committee is charged with helping to develop the institution of full-time lecturerships, it has a particular interest in activities that demonstrate a commitment to professional growth.
A Peer Group Committee member from the lecturer's school presents the specific merits of the application to the committee. Having completed its review, the Peer Group Committee votes to support or not to support an application. In the event of a tie vote, an application is not supported. The committee's decision, not the vote by which it was established, is reported to the appropriate dean.
A Peer Group Committee member who is also a member of the personnel committee in the lecturer’s department and who has voted at the department level of the promotion process is recused from the Peer Group Committee’s vote.
- The dean makes an independent recommendation on the lecturer’s application and forwards it, along with the application and all preceding recommendations, to the provost.
- The provost makes an independent recommendation on the lecturer’s application and forwards it, along with the application and all preceding recommendations, to the president.
- The president decides on the lecturer’s application for promotion and notifies the lecturer that the application has been approved or declined, with copies to the department personnel committee, the department chair, the Peer Group Committee, the dean, and the provost.
- With the same rights of due process as other full-time faculty, the lecturer shall be provided with a copy of every recommendation and decision at each stage of this review. The lecturer’s chair shall also be provided with such copies.
(Approved by President Bitterbaum Aug. 12, 2004)
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220.08 RESIGNATION FROM A COLLEGE POSITION
Faculty members are expected to abide by the following policy:
- Negotiations for the possible reappointment for the following fall of faculty members in active service or on leave-of-absence and not on terminal appointment should be begun and completed as early as possible in the academic year. A faculty member who has been approached with regard to another position should inform the appropriate officers of his/her institution when such negotiations are in progress. The conclusion of a binding agreement for the faculty member to accept an appointment elsewhere should always be followed by prompt notice to his/her present employer.
- UUP Contract 2003-2007, §32.2 "Employees who intend to leave the employ of the University shall give 30 days' notice to the president or designee."
- Should a faculty member fail to follow the policy stated above, the administration of the College may be expected to express its concern in appropriate ways both to the hiring institution and to the faculty member involved.
220.09 EMERITUS FACULTY PRIVILEGES
Members of the University faculty who retire in good standing shall be entitled to append the term "emeritus" to the title of their academic or administrative post after the time of retirement (Policies of the Board of Trustees, 1998, XV, Title D).
Upon retiring, faculty and professional staff continue to enjoy the following benefits and privileges:
- Priority for teaching on a part-time basis for emeriti faculty depending on departmental needs and academic preparation;
- Participation in emeriti social functions hosted by the president;
- Participation in Commencement, Honors Convocation, Scholars' Day, the College's Opening Meeting, and other special events;
- Continued use of the SUNY ID card;
- Access to all facilities that are free to full-time employees;
- Access to the library;
- Membership in fee-based facilities (e.g., fitness centers), for the same amount paid by full-time employees;
- Purchase of a campus parking permit for the same fee paid by full-time employees;
- Participation in special travel programs available to the College;
- Campus work space for emeriti faculty in an office, laboratory, or the library, as available;
- Eligibility to apply for research grants;
- Participation in computer and technology workshops as well as other faculty development workshops, on a space-available basis; and,
- Eligibility to audit courses at the College.
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220.10 CODE OF ETHICS
- The faculty member recognizes the special responsibilities which derive from a commitment to the advancement of knowledge and realizes that one's primary responsibility is to seek and state the truth as one sees it. To this end the faculty member devotes the energy to develop and improve scholarly competence and accepts the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. The faculty member practices intellectual honesty and works for an environment conducive to intellectual honesty. Although the faculty member may follow subsidiary interests, these interests must never hamper or compromise freedom of inquiry.
- As a teacher, the faculty member encourages students to pursue learning freely, holding before them the best scholarly standards of the discipline. The faculty member demonstrates respect for the student as an individual and adheres to the proper role as intellectual guide and counselor. The faculty member makes every reasonable effort to foster honest academic conduct and to evaluate students' performance fairly and equitably. The faculty member respects the nature of the relationship between educator and student. One avoids exploiting students for private advantage and freely acknowledges assistance from them. The faculty member works to promote and to protect the academic freedom of students.
- As a colleague, the faculty member has obligations that derive from common membership in the community of scholars and educators. One respects and defends the free inquiry of those associates and works for an environment which stimulates free inquiry. In the exchange of criticism and ideas the faculty member shows due respect for the opinions of others, acknowledging academic debts and striving to be just in the professional judgment of colleagues. One accepts responsibility for the governance of the College.
- As a member of the College faculty, the faculty member seeks above all to be an effective teacher and scholar. One works to make the College a community of learning. As a citizen engaged in a profession that depends upon freedom for its health and integrity, the faculty member works to promote conditions of free inquiry and to further public understanding of academic freedom.
(Approved by President Clark, Sept. 30, 1981)
- Family relationships and relationships of a romantic and/or sexual nature between a faculty member and a student can present conflict of interest in violation of the New York Public Officers Law. As there may be a perception of favoritism and as such relationships can undermine the trust upon which the educational process depends, ethical principles preclude individuals from evaluating the work or academic performance of those with whom they have these relationships. Since a conflict of interest may exist in such a relationship, the faculty member should notify his or her immediate supervisor so that arrangements can be made to eliminate the conflict.
- Family relationships and relationships of a romantic and/or sexual nature between members of the College community other than students can also present a conflict of interest in violation of the New York Public Officers Law whenever one party has any position of power over, or professional responsibility for, the other. As there may be a perception of favoritism and as such relationships can undermine the trust upon which professional relationships are built, ethical principles preclude individuals from evaluating the work of those with whom they have these relationships. The party with the power or status advantage may not officially approve or recommend, or vote on such approval or recommendation of, the appointment, reappointment, promotion, or salary adjustment of the other, nor may that party evaluate the performance of the other.
(Paragraphs 5 and 6 approved by President Clark, April 1, 1994)
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220.11 PUBLIC OFFICERS LAW, CONFLICT OF INTEREST
An officer or employee of a state agency, member of the legislature or legislative employee should not by his conduct give reasonable basis for the impression that any person can improperly influence him or unduly enjoy his favor in the performance of his official duties, or that he is affected by the kinship, rank, position or influence of any party or person.
(Public Officers Law, Section 74, 3g)
220.12 GIFTS
A. Gifts to Individuals
No state officer or employee shall, directly or indirectly, solicit, accept or receive any gift having a value of $75 or more whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence, or could reasonably be expected to influence the employee, in the performance of official duties or was intended as a reward for any official action. No person shall, directly or indirectly, offer or make any such gift. . . .
(NYS Ethics Commission Opinion, August 1994)
B. Gifts to the College
Gifts to the College valued at up to $25,000 will be reviewed by the Office of the Vice Chancellor for Finance and Business, State University Plaza, Albany, NY 12246. The office of University Counsel will notify the campus when the gift acceptance has been approved. Acceptance of gifts in excess of $25,000 require Board of Trustees approval and will be processed at the next available Board of Trustees' meeting. (Anslow memorandum, Feb. 15, 1994).
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220.13 PLAN FOR DISCRETIONARY PERFORMANCE-BASED ADJUSTMENTS TO BASIC ANNUAL SALARY OF ACADEMIC FACULTY
Nothing in this document shall conflict with the current Policies of the Board of Trustees, the current Agreement between the State of New York and UUP, the current Compilation of Codes, Rules, and Regulations of the State of New York, and current SUNY System guidelines and regulations.
I. GENERAL STATEMENT OF PHILOSOPHY
- The Employee
The basic premise of this document is that monetary recognition shall be awarded in the form of adjustments to the basic annual salary of academic faculty members consistent with an appropriate and objective appraisal of the extent and direction in which each academic employee has met his/her professional obligation as evaluated primarily by academic administration.
- The College
The administration of SUNY Cortland shall take the opportunity to exercise its leadership through the rewarding of monetary recognition in the form of Discretionary Salary Increases (DSI) to the basic annual salary of academic faculty members in a manner that will reflect both their individual professional accomplishments and their contributions toward fulfilling the stated educational mission of SUNY Cortland.
II . ASSUMPTIONS
- Regarding Responsibility for DSI Decisions
1. Given the fact that the DSI plan is a management discretionary instrument, the task of decision making should rest primarily with those having administrative responsibility and accountability.
2. The initial DSI evaluation responsibility will rest with academic department chairs recommending to academic deans.
- Regarding Criteria for DSI Decisions
1. Criteria to be employed as the foundation for DSI recommendations College-wide must be stated as precisely as possible by the president.
2. Elaborations of criteria to receive special attention in other administrators' yearly evaluations should be known by concerned faculty.
3. The distribution scheme should not assume that professional excellence is equally distributed among departments at all times.
4. The scheme should not discriminate between smaller and larger departments, nor among departments with varying average faculty salaries.
5. DSI awards should not necessarily discriminate against long-term meritorious service in favor of yearlong activity, nor vice versa. Ordinarily, DSI nominations and recommendations for an individual should be based upon professional service in the last year (June 1-May 31). The date of eligibility for DSI shall not be determined by the date of any other discretionary salary increase such as inequity, disparity, or that which might accompany promotion.
- Regarding Procedures
1. DSI is a form of evaluation and should be subject to Article XII of the Policies of the Board of Trustees and to the relevant provisions of the Agreement.
2. The president will initiate the process for determining discretionary salary assignments sufficiently early so that adequate time is given at each level for deliberations.
3. Recommendations and principal reasons offered for them by chairs and deans shall be made available to the individual faculty member in a timely manner.
4. All discretionary money will be held in the President's Office pending final recommendations.
5. The president should inform the faculty of any prior allocation of funds from the pool of discretionary monies for inequity correction, affirmative action, or other special purpose.
6. Deans and the provost will recommend DSI awards with minimum attention to departmental quotas.
7. At the time the discretionary salary adjustment process is initiated, the president shall announce the categories to be used to classify candidates for different levels of DSI. These categories shall be used for ratings at each stage in the evaluation process.
8. Any elaborations of the weighing of criteria to receive special attention by administrators other than the president in yearly DSI evaluations will be published to concerned faculty a year in advance of the DSI decision process. The criteria that will be used in the forthcoming year shall be distributed by the department chair or director of libraries at the beginning of each academic year.
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III. CRITERIA
In conducting an evaluation pursuant to DSI salary adjustment, evaluators shall consider, but shall not be limited to, the following criteria:
- Mastery of Subject Matter — as demonstrated by such things as advanced degrees, licenses, honors, awards, and reputation in the subject matter field.
- Effectiveness in Teaching or Librarianship — as demonstrated by such things as judgment of colleagues, development of teaching materials or new courses, including materials and courses promoting pluralism and increasing sensitivity toward under-represented groups, and student reaction, as determined from surveys, interviews and classroom observation data from departmental course teacher evaluations (CTE's) and course dossier evaluations (CDE's).
- Scholarly Ability — as demonstrated by such things as success in developing and carrying out significant research work in the subject matter field, contribution to the arts, publications and reputation among colleagues.
- Effectiveness of University Service — as demonstrated by such things as college and university committee work, administrative work, quality contributions in the promotion of ethnic and gender issues and work with students or community in addition to formal teacher-student relationships.
- Continuing Growth — as demonstrated by such things as reading, research or other activities to keep abreast of current developments in his/her fields and being able to handle successfully increased responsibility.
- Academic Advisement — as demonstrated by such things as the quality of advisement in assisting students in their development of educational, personal, and career goals, with appropriate course scheduling and post graduate directions and, increasing student awareness with regard to ethnic and gender issues.
IV. PROCEDURES
- Persons who wish to be considered for DSI shall nominate themselves, providing appropriate supporting materials to their department chair. These materials may not exceed two typed pages. Librarians shall nominate themselves to the director of the college library. Faculty members whose responsibilities extend beyond the departmental or school level shall submit appropriate supporting material to, and receive due consideration at, the lowest administrative review level which encompasses both levels of their responsibilities.
- Chairs, following consultation as agreed within their departments, will rate nominees according to the categories announced by the president. They will then forward all application materials and ratings to their dean together with a summary recommendation not exceeding one page for each nominee. The director of the college library, shall follow analogous procedures, submitting application materials, ratings, and summary recommendations to the associate provost for information resources. The summary recommendation shall include specific reference(s) to the candidate's performance that is deemed meritorious. Chairs and the director of the college library will forward a copy of the summary recommendation and rating to the candidate at the same time they submit these materials to the dean or to the associate provost for information resources.
- Chairs who wish to be considered for DSI shall nominate themselves, providing appropriate supporting materials, to their school dean.
- Each dean, following consultation with the Provost's Cabinet, prepares recommendations of faculty (including chairs) across the school using the categories announced by the president, and submits these recommendations to the provost. A copy of the dean's decision will be forwarded in writing to the candidate and chairs at the same time it is submitted to the provost. The associate provost for information resources does likewise for library faculty.
- The faculty member shall have the opportunity to appeal the decision made by the dean or the associate provost for information resources. This appeal must be made in writing to the provost during the ten calendar days following receipt of the dean or associate provost for information resources' notification. Following this time period, the provost notifies each candidate for DSI in writing of the tentative DSI decision.
- The president designates final DSI award recipients and amounts.
- The president shall publish names of all academic faculty members who have received a DSI salary adjustment through these procedures, distinguishing between those who receive performance-based DSI and those who receive increases based on other factors (e.g., inequity corrections).
(Approved by President Taylor, May 26, 1998)
V. INITIATION AND REVIEW OF PLAN
- Initiation
These procedures shall become effective upon approval by the president. The procedures shall remain in effect until reviewed and revised as described immediately below.
- Review
During the 2004-05 academic year, the Cortland Faculty Senate shall establish an ad hoc committee to evaluate the effectiveness of the adopted plan and to recommend necessary modifications or termination.
The procedures shall remain in effect until reviewed and revised.
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220.14 PLAN FOR DISCRETIONARY PERFORMANCE-BASED ADJUSTMENTS TO BASIC ANNUAL SALARY OF PROFESSIONAL STAFF MEMBERS
Nothing in this document shall conflict with the current Policies of the Board of Trustees, the current Agreement between the State of New York and UUP., the current Compilation of Codes, Rules, and Regulations of the State of New York, and current SUNY System guidelines and regulations.
I. GENERAL STATEMENT OF PHILOSOPHY
- The Employee
The premise of this document is that monetary recognition shall be awarded in the form of adjustments to the basic annual salary of professional staff members. This should be consistent with an appropriate and objective appraisal of the extent and direction in which each professional employee has met his/her professional obligation.
- The College
The Administration shall take the opportunity to exercise its leadership by rewarding monetary recognition in the form of Discretionary Salary Increases (DSI) to the basic annual salary of professional staff members. This should be done in a manner that will reflect individuals' professional accomplishments and their contributions toward fulfilling the stated educational mission of the College.
II. ASSUMPTIONS
- Regarding the Role of Peer Review
Peer review remains an integral part of the DSI review process for professionals. Specifically, DSI Review Teams will be formed in each of the following functional areas: Enrollment Management, Student Affairs, Information Resources, Academic Affairs, and Finance and Management/Institutional Advancement. Each professional applying for DSI will be reviewed by the Review Team that is most appropriate to his/her area of responsibility. In addition, individuals at the director level will be evaluated by a Review Team consisting exclusively of directors.
- Regarding Responsibility for DSI Decisions
1. Because this plan is a management-discretionary instrument, the final decision will rest with those having administrative responsibility and accountability.
2. The initial DSI evaluation responsibility will rest with supervisors recommending to the appropriate DSI Review Team.
- Regarding Criteria for DSI Decisions
1. Criteria to be employed as a foundation for College-wide recommendations must be stated as precisely as possible by the president.
2. The criteria that will be used in the forthcoming year shall be given to each professional staff member no later than June 30. Special criteria for yearly evaluations shall be given to each professional staff member a year in advance.
3. The plan will not assume that professional excellence is equally distributed among centers, departments or divisions. Additionally, the plan should not discriminate between smaller and larger professional units, nor among professional units with varying average salaries.
4. Nominations and recommendations for an individual shall be based upon professional service from June 1 - May 31 of the designated year. The date of eligibility shall not be determined by the date of any other discretionary salary increase such as inequity, disparity, or one that may accompany promotion. Adjustments may favor both annual and long-term activity.
- Regarding Procedures
1. DSI is a form of evaluation and shall be subject to Article XII of the Policies of the Board of Trustees and to the relevant provisions of the Agreement with the United University Professions.
2. The president will initiate and announce the process and timetable for determining DSI in a timely fashion so that adequate time is available at each level for deliberations.
3. All discretionary funds will be held in the President's Office pending final recommendations.
4. The president will inform the professional staff of any prior allocation of funds from the pool of discretionary funds for inequity correction, affirmative action, or other special purpose.
5. At the time the DSI process is initiated, the president shall reiterate the criteria that will be used to rate candidates for DSI.
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III. CRITERIA
In conducting an evaluation pursuant to DSI salary adjustment, evaluators shall consider, but shall not be limited to, the following criteria:
- Mastery of Specialization — As demonstrated by degrees, licenses, honors, awards, and reputation in professional field.
- Effectiveness in Performance — As demonstrated by success in carrying out assigned duties and responsibilities, efficiency, productivity, and relationship with colleagues.
- Professional Ability — As demonstrated by invention or innovation in professional, scientific, administrative, or technical areas ( i.e., development or refinement of programs, methods, procedures, or apparatus).
- Effectiveness in University Service — As demonstrated by such things as successful committee work, participation in local campus and University governance, and involvement in campus or University-related student or community activities.
- Continuing Growth — As demonstrated by continuing education, participation in professional organizations, enrollment in training programs, and research.
IV. PROCEDURES
- Professionals who wish to be considered for DSI nominate themselves, providing appropriate supporting materials to their supervisor. Each individual's application must include: 1) a summary of his/her activities according to the announced criteria for the year being evaluated; and, 2) the Duties and Responsibilities page of his/her Performance Program for the year being evaluated. The summary of activities may not exceed two pages.
- Supervisors shall make their recommendations using the "Supervisor's Comments" form. Supervisors must classify nominees into one of four categories Most Highly Recommended, Highly Recommended, Recommended, and Not Recommended and provide a summary recommendation that includes specific reference(s) to the candidate's performance that is deemed meritorious. Supervisors then submit the nominees' applications accompanied by their recommendations to the appropriate Review Team. Supervisors shall forward a copy of the summary recommendation and rating to the candidate at the same time they submit them to the DSI Review Team.
- The DSI Review Teams will review applications, rate each into one of four categories Most Highly Recommended, Highly Recommended, Recommended, and Not Recommended and prepare a narrative for each applicant that explains the Team's rationale for its rating of the individual. This information and all application materials shall be forwarded to the President's Cabinet. Upon release of the Team's recommendation to the President's Cabinet, the Team will forward a copy of the rating category and narrative to each applicant.
- The President's Cabinet reviews and evaluates all application materials, including both the supervisor's and DSI Review Team's recommendations, and notifies each DSI candidate in writing of the tentative DSI decision. The professional staff member shall have the opportunity to appeal this decision to the appropriate vice president during the ten calendar days following receipt of the written notification.
- The president designates final DSI award recipients and amounts.
- The president shall publish names of all professional staff members who have received a DSI salary adjustment through these procedures, distinguishing between those who receive performance-based DSI and those who receive increases based on other factors (e.g., inequity corrections).
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V. INITIATION AND REVIEW OF PLAN
- Initiation
These procedures shall become effective upon approval by the president. The procedures shall remain in effect until reviewed and revised as described immediately below.
- Review
During the 2005-06 academic year, the Cortland Faculty Senate shall designate an ad hoc committee to evaluate the effectiveness of the adopted plan and to recommend necessary modifications or termination.
The procedures shall remain in effect until reviewed and revised.
(Approved by President Taylor, May 2002)
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CHAPTER 230: Criteria for Promotion of Academic Faculty
230.01 COLLEGE GUIDELINES FOR PROMOTION
Promotion to any rank above that of instructor serves as a form of recognition of individual merit and thereby strengthens individual departments, the College and the University. With respect to individual merit, promotion should be regarded both as recognition that an individual has achieved and maintained a level and quality of professional excellence appropriate to the rank sought and as a judgment that the individual is capable of maintaining and improving that level of work in the future. Recommendations for promotion should, therefore, provide specific reasons why a colleague should be promoted rather than merely ask if reasons exist why s/he should not be promoted. In light of these considerations, not all faculty members should expect to receive promotion to senior ranks during the course of their career at the College.
230.02 EDUCATIONAL QUALIFICATIONS FOR PROMOTION
- As used in this document, the term "doctoral degree" shall refer to the conventionally defined Ph.D., Ed.D., D.P.E., or similar degree, including foreign degrees ruled equivalent by the appropriate SUNY agency. In addition, the term "doctoral degree" shall be understood in this document to include those degrees or other educational qualifications defined by the Faculty Affairs Committee as equivalent to the doctorate for the purpose of rank-to-rank promotion.
- A faculty member must possess the doctoral degree or its equivalent as defined in paragraph 1 (of this section) in order to be eligible for promotion beyond the rank of instructor, except as provided in paragraph 3 or paragraph 4.
- A faculty member lacking the doctoral degree may offer an equivalent body of independent scholarship or creative work in order to demonstrate a mastery of subject matter sufficient to be considered for promotion. Such a body of scholarship would ordinarily include a published monographic work or a series of articles or papers in scholarly journals. A faculty member in the performing or fine arts, or in a comparable discipline, may offer a body of creative work that has received independent College Guidelines for Faculty professional recognition. In all cases, the burden of proof that the body of work is truly equivalent rests with the faculty member and with the recommending department.
- The educational qualifications set forth in paragraphs 3, 4 and 5 of section 230.03 may be waived only for those faculty members who satisfy the requirements set forth in section 230.03, paragraph 8.
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230.03 PROMOTION CRITERIA
- As used in this document, the term criteria shall mean the standards established for evaluating candidates for promotion.
- Any instructor, assistant professor, or associate professor who meets the educational qualifications set forth above and who satisfies the criteria for the next higher rank shall be eligible for promotion.
- Criteria for rank of assistant professor shall include:
a. A demonstrated ability (i) to organize and carry out courses of instruction in a manner that is intellectually sound and effective in terms of student learning, and (ii) to assume a broad range of professional responsibilities for the educational development of students;
b. A demonstrated ability to undertake a potentially productive program of intellectual inquiry, research, or creative work (The completion of the doctorate will normally satisfy this criterion.);
c. A demonstrated willingness to accept and discharge service responsibilities within the department or the College.
- Criteria for the rank of associate professor shall include:
a. A demonstrated and continuing ability (i) to develop areas of instruction in a manner that is intellectually sound and effective in terms of students learning, and (ii) to discharge in an effective manner a broad range of professional responsibilities for the development of students;
b. A demonstrated ability to undertake and successfully carry out a productive program of intellectual inquiry, research, or creative work and to do so with a degree of intellectual or creative excel |
