Faculty and Contract Staff Handbook
(3) Faculty Governance Policy
(3A) ACADEMIC FREEDOM, RESPONSIBILITY, AND EMPLOYMENT OF FACULTY (POLICY STATEMENT)
(3B) DOCUMENTATION FOR CANDIDATES FOR PROMOTION AND TENURE
(3C) ACADEMIC ADMINISTRATIVE GOVERNANCE
(3D) DISTINGUISHED PROFESSORSHIPS
(3E) FACULTY APPOINTMENTS AND EVALUATION (OTHER POLICIES)
(3F) FACULTY RECORDS
(3C) ACADEMIC
ADMINISTRATIVE GOVERNANCE
(Also
known as the Policy Statements on Academic Administrative Governance.)
For a summary of recent changes to this chapter, see Chapter 9A: Summary of Recent Revisions to this Handbook.
Contents of this page:
Selection, Evaluation, and Retention of Academic Administrators (Selection of the President; Selection of Academic Administrators Other Than the President; Evaluation of the Vice President for Academic Affairs, Associate Vice Presidents for Academic Affairs, the Vice President for Information Resources and Administrative Affairs, and the University Librarian; Evaluation of Chairs of Departments and Programs; Other Academic Administrators who Hold Rank as Members of the Academic Faculty and/or who are Directly Involved with the Faculty in the Academic Life of the University)
Curriculum and Academic Policy (Departments; Chairs; Vice President for Academic Affairs)
I. SELECTION,
EVALUATION, AND RETENTION OF ACADEMIC ADMINISTRATORS
(Amended by the
Faculty Senate and distributed on April 17, 2001; Approved by the Faculty May 3,
2001, Amended by the Faculty Senate and distributed on November 9, 2004;
approved by the Faculty on December 9, 2004.)
For the integrity and effectiveness of the academic process it is essential that members of the Academic Faculty play a significant role in the selection of academic administrators, including the President of the University, the Vice President for Academic Affairs, Associate Vice Presidents for Academic Affairs, the Vice President for Information Resources and Administrative Affairs, Associate and Assistant Vice Presidents for Information Resources and Administrative Affairs, the departmental and program Chairs, the University Librarian, the Director of Institutional Research, the Director of Information Technology Services, and other academic administrators who hold rank as members of the Academic Faculty and/or who are directly involved with the Faculty in the academic life of the University. It is equally important that members of the Academic Faculty participate significantly in the periodic evaluation of the academic administrators whom they have helped to select and that they contribute significantly to judgments and decisions regarding the retention or non-retention of such administrators. To this end, the following policies are prescribed for the selection, evaluation, and retention or non-retention of academic administrative officers of the University.
A. Selection of the President
Policies regarding the selection, evaluation, and retention or non-retention of the President of the University are set forth in the Charter and Bylaws of the University.
B. Selection
of Academic Administrators Other Than the President
(Amended by the Faculty Senate and distributed on April 17, 2001; Approved by
the Faculty May 3, 2001)
1. In all selections, except internal searches for departmental and program Chairs, Search Committees shall be employed.
2. Members of each Search Committee shall be appointed by the appropriate administrative officer; i.e., by the President of the University for the selection of the Vice President for Academic Affairs and Vice President for Information Resources and Administrative Affairs; by the Vice President for Academic Affairs for the selection of Associate Vice Presidents for Academic Affairs, departmental Chairs, and program Chairs; and by the Vice President for Information Resources and Administrative Affairs for the selection of Associate and Assistant Vice Presidents for Information Resources and Administrative Affairs, the Director of Institutional Research, the University Librarian, and the Director of Information Technology Services.
3. Nominations of faculty members for appointment to Search Committees for all academic administrators shall be made by the Faculty Senate. Part-time faculty members, faculty members on term appointments, faculty members who have completed less than one academic year as members of the Trinity University Academic Faculty, and faculty members who are currently serving as administrative officers of the University above the level of departmental or program Chair shall not be nominated for membership on Search Committees.
4. Search Committees shall be composed as follows:
a. For the Vice President for Academic Affairs, Associate and Assistant Vice Presidents for Academic Affairs, and the University Librarian, a majority of the membership of the Committee shall be members of the Academic Faculty, including at least one member from the Library. The Committee shall also include at least one student nominated by the appropriate student body or bodies and administrative personnel appointed by the President.
b. For the Vice President for Information Resources and Administrative Affairs, Associate and Assistant Vice Presidents for Information Resources and Administrative Affairs, the Director of Institutional Research, and the Director of Information Technology Services, the Committee shall include four members of the Academic Faculty including the Library, as well as one representative each from Information Technology Services, the Registrar, and Conferences and Special Programs.
c. In case of an open search for a departmental or program Chair, the Committee normally shall include the tenured members of the department, one tenured member of some other department, and either one or two students nominated by the Faculty members of the Search Committee. A majority of the Committee shall be tenured members of the department unless the department has fewer than three tenured members. In cases where a department or program includes fewer than three tenured members, the Vice President for Academic Affairs shall appoint one or more additional members of the Search Committee after consultation with all tenured members of the department or program.
5. The Chair of the Search Committee for the Vice President for Academic Affairs, Associate Vice Presidents for Academic Affairs, and the University Librarian shall be appointed from among the faculty members of the Committee by the appropriate administrative officer. The nomination for that appointment shall be made by the Faculty Senate. Faculty members of the Committee conducting an open search for a departmental or program Chair shall send nominations for the Chair of the Search Committee to the Vice President for Academic Affairs, who will make the appointment.
6. At the outset of every search, a written understanding and rationale shall exist between the appointing administrative officer and the Search Committee as to whether an open or an internal search (or both) is envisioned. If an open search is envisioned, all relevant sections of the Trinity University Policy Statement on Academic Freedom, Responsibility, and EmploymentFaculty (Chapter 3A) regarding faculty appointment and granting of tenure must be followed. The Search Committee shall formulate in writing any public announcements that are to be made of the position and a description of the proposed search procedures, both of which shall be submitted to the Faculty Senate for its information, and to the appointing administrative officer and the University’s Affirmative Action Officer for their approval. For the selection of each departmental or program Chair, the Vice President for Academic Affairs shall consult with all members of the department or program, both individually and collectively, in order to reach a clear understanding as to whether an open or an internal search (or both) is envisioned.
7. In the event that a purely internal search is envisioned for a departmental or program Chair, the Vice President for Academic Affairs shall consult with all members of the department or program, both individually and collectively, in order to determine whether there is a majority view within the department or program regarding the selection of a Chair. He/she shall also consult with students who have taken courses in the department or program. If there is a majority view within the department or program, and particularly if the tenured members of the department or program support this majority view, but the Vice President decides to appoint someone other than the first choice of the faculty of the department or program, he/she shall communicate this decision to the members of the department or program before making that appointment.
8. After completing its search process, the Search Committee shall submit to the appointing administrative officer the names of between three and five nominees (between one and three in a search for a departmental or program Chair) with a written evaluation of the strengths and weaknesses of each, all of whom are acceptable to the Committee. The Committee may rank its nominees in order of preference if it so wishes. If the appointing administrative officer decides to appoint one of the nominees other than the one ranked first by the Search Committee, he/she shall communicate this decision to the Search Committee before making the appointment. No one shall be appointed who was not recommended by the Search Committee.
9. The power to appoint the Vice President for Academic Affairs and the Vice President for Information Resources and Administrative Affairs rests with the President, after he/she has obtained the approval of the Board of Trustees or of the Executive Committee of the Board acting for the Board. The power to appoint Associate Vice Presidents for Academic Affairs and departmental and program Chairs rests with the Vice President for Academic Affairs after obtaining the approval of the President of the University. The power to appoint Associate and Assistant Vice Presidents for Information Resources and Administrative Affairs, the University Librarian, the Director of Institutional Research, and the Director of Information Technology Services rests with the Vice President for Information Resources and Administrative Affairs after obtaining the approval of the President of the University.
10. The initial appointments of all administrative officers (except departmental and program Chairs) shall be for a term of five years, with the possibility of reappointment for one or more subsequent five-year terms. The term of office of departmental and program Chairs shall be three years, with the possibility of reappointment for one or more subsequent three-year terms. The appointing administrative officers retain their authority to dismiss appointees prior to the completion of their terms of office.
11. For the selection of other academic administrators who hold rank as members of the Academic Faculty and/or who are directly involved with the faculty in the academic life of the University, specific procedures, analogous to those described above, shall be formulated for each case through consultation involving the appropriate administrative officer(s) of the University and the Faculty Senate. In each case, however, members of the Academic Faculty who have been nominated by their colleagues for this purpose shall be actively involved in the selection of such administrators.
12. Interim and Acting Academic Administrators
a. Interim and acting appointments of academic administrators may be made by the appropriate administrative officer. Acting appointments shall be used for the temporary replacement of administrators who are expected to resume their office after a brief absence. Interim appointments shall be used when circumstances require a delay in making a regular term appointment.
b. In the case of academic administrators other than departmental or program Chairs, the appointing administrator shall consult with the Faculty Senate and with appropriate academic administrators (e.g., departmental and program Chairs) regarding the circumstances requiring the appointment and the individual to be selected for appointment. In the case of an interim appointment of a departmental or program Chair, the Vice President for Academic Affairs shall consult with all members of the department or program regarding the circumstances requiring the appointment and the individual to be selected for appointment.
c. For acting appointments, the appointing administrator shall carry out appropriate consultations (with members of a department or program, in the case of departmental or program Chairs; with the Faculty Senate and other administrators, in the case of other academic administrators) before making the appointment.
d. No interim administrative officer shall be appointed for more than two consecutive years. In emergencies, interim appointments may be renewed for one additional year after consulting with the Faculty Senate and with appropriate academic administrators (e.g., departmental and program Chairs) regarding the circumstances.
C. Evaluation
of the Vice President for Academic Affairs, Associate Vice Presidents for Academic
Affairs, the Vice President for Information Resources and Administrative Affairs, and
the University Librarian
(Amended
by the Faculty Senate and distributed on April 17, 2001; Approved by the Faculty
May 3, 2001)
1. Early in the fifth year of the administrator’s term of office, unless he/she indicates a desire not to be considered for reappointment, a Review Committee shall be constituted for the purpose of evaluating the performance of the administrator in question and submitting a recommendation for either reappointment or non-reappointment for an additional five-year term. This evaluation shall be completed by November 15 and shall cover both the performance of the administrator per se and the total operation of his/her office, including the performance of any staff. The Review Committee shall be constituted in a manner similar to that used for the Search Committee. The appropriate administrative officer shall appoint the Review Committees. The Review Committee shall formulate in writing a statement of the proposed evaluation process, which must be submitted to the Faculty Senate for its response and to the appointing administrative officer and the University’s Affirmative Action Officer for their approval. The Faculty Senate will provide a questionnaire for use in polling all appropriate faculty members. After the review is completed, the completed questionnaires will be sealed and kept in the files of the Faculty Senate for five years and then destroyed. After completing its work, the Review Committee shall submit its report in writing, including a specific recommendation for either reappointment or non-reappointment, to the appointing administrative officer. The report shall be in two parts. The written report to the appropriate constituency should paraphrase individual evaluations in such a way as to protect the anonymity of the reviewers. A more detailed report will be provided to the appointing administrative officer but not be made public so as to protect those parties who may have had specific criticisms of the administrator under review. The appointing administrative officer will keep any materials or supporting documents of the review other than the faculty questionnaires. In the event that the Committee recommends reappointment, it shall also submit any recommendations that are needed for the improvement of performance. The recommendations will be shared with the person being reviewed. If the appointing administrative officer decides not to follow the recommendation of the Review Committee, he/she shall communicate this decision to the Committee and shall provide ample opportunity for the Committee to argue its case before acting.
The decision to reappoint or not reappoint the Vice President for Academic Affairs for an additional term must be approved by the Board of Trustees or by the Executive Committee of the Board acting for the Board. The decision to reappoint or not reappoint other academic administrators for an additional term must be approved by the President. In the event that the final recommendation is to reappoint, a summary of the evaluation shall be made available to members of the Academic Faculty.
2. Early in the third year of the administrator’s term of office, a Review Committee shall be constituted for the purpose of evaluating the performance of the administrator in question and submitting any recommendations that are needed for the improvement of performance. This evaluation shall cover both the performance of the administrator per se and the total operation of his/her office, including the performance of any staff. The Review Committee shall be constituted in the manner described in Paragraph C.l above. This evaluation need not be as formal in its procedures as is the fifth-year evaluation, and it need not make any recommendation regarding continuation or non-continuation in office. After completing its work, the Review Committee shall submit its report to the appointing administrative officer. Any recommendations that are needed for the improvement of performance shall be shared with the person being reviewed. The report shall also be available for use by the fifth-year Review Committee as described in Paragraph C.l above, as well as by any other Review Committee as described in Paragraph C.3 below. Materials or supporting documents used in the review shall be sealed and kept in the files of the Faculty Senate for three years and then destroyed.
3. At any point during his/her term of office, a formal evaluation of the performance of the administrator shall be carried out if initiated by the appointing administrative officer, if requested by the administrator, or if requested in writing by at least one-half of the members of the Academic Faculty. In such cases, the Review Committee shall be constituted in the manner described in Paragraph C.l above, and the procedures to be followed shall be analogous. The purpose of the Review may be either improvement of performance or recommendation regarding continuation or non-continuation in office or both. If the appointing administrative officer decides not to follow the recommendation of the Review Committee regarding continuation or non-continuation in office, he/she shall communicate this decision to the Committee and shall provide ample opportunity for the Committee to argue its case before acting. In the event that the decision is to continue him/her in office, a summary of the evaluation shall be made available to members of the Academic Faculty. The report shall also be available for use by the fifth-year Review Committee as described in Paragraph C.l above. Except under highly unusual circumstances, the administrator shall not be dismissed during his/her term of office without the procedures described above having been followed; if such dismissal should occur, however, the appointing administrative officer shall immediately inform the Academic Faculty regarding the action and, insofar as possible, the circumstances leading to the action.
D. Evaluation
of Chairs of Departments and Programs
(Amended by the Faculty
Senate and distributed on April 17, 2001; Approved by the Faculty May 3, 2001)
1. Early in the third year of the Chair’s term of office, unless the Chair indicates a desire not to be considered for reappointment or the Vice President for Academic Affairs indicates an unwillingness to consider him/her for reappointment, the Vice President for Academic Affairs shall meet )in person with each member of the department or program, unless the member has been employed less than one year or is not on campus (for example, on leave, in order to determine whether there is a majority view within the department or program regarding the performance of the Chair during his/her term of office and the desirability of his/her reappointment for an additional three-year term. In addition, at the request of either the majority of the members of the department or the Vice President for Academic Affairs, members of the department shall meet collectively with the Vice President of Academic Affairs. If there is a majority view within the department or program, and particularly if the tenured members of the department or program support this majority view, but the Vice President for Academic Affairs decides not to follow this majority view, he/she shall communicate this decision to the members of the department or program and shall provide ample opportunity for members of the department or program to argue their case before making the final decision. In the event that the final decision is to reappoint, any recommendations for improvement of performance from members of the department or program shall be communicated to the Chair by the Vice President for Academic Affairs.
2. At any time during a Chair’s term of office, the Vice President for Academic Affairs shall carry out a review of the Chair’s performance if the Vice President for Academic Affairs believes this to be desirable, if it is requested by the Chair, or if it is requested in writing by at least two-thirds of the full-time members of the department or program who have been in the department or program at Trinity University for at least two years. In such cases, the procedures shall be the same as those described in Paragraph D.l above.
E. Other Academic Administrators who hold Rank as Members of the Academic Faculty and/or who are Directly Involved with the Faculty in the Academic Life of the University
For the selection, evaluation, and retention or nonretention of other academic administrators who hold rank as members of the Academic Faculty and/or who are directly involved with the faculty in the academic life of the University, specific procedures, analogous to those described above, shall be formulated for each case through consultation involving the appropriate administrative officer(s) of the University and the Faculty Senate. In each case, however, members of the Academic Faculty who have been nominated by their colleagues for this purpose shall be actively involved in the selection, evaluation, and decisions regarding the retention or nonretention of such administrators.
II. CURRICULUM
AND ACADEMIC POLICY
(Amended by the Faculty
Senate and distributed on April 17, 2001; Approved by the Faculty May 3, 2001)
Responsibility for curriculum, academic policy, and planning is shared among various bodies and offices in the University. The Constitution of the Faculty Organization (Chapter 2A), bylaws of each group, and the job description for each office can be found in the Faculty and Contract Staff Handbook. Article II as well as Articles III-VII of this policy statement address the major areas of responsibility of each body and office as these responsibilities are shared at each level. These shared tasks include curricular and academic policy, resource development and management, salaries, faculty recruitment, and conflict mediation. The University Curriculum Council is the agency of the Academic Faculty exercising the Faculty’s authority and responsibility in the area of curriculum and academic policy. The University Curriculum Council insures that the University-wide effects of individual curricular proposals are fully considered and evaluated. The primary responsibility for the development and administration of courses and degree programs resides in the departments. The Office of Academic Affairs is responsible for coordination of programs, and the Vice President for Academic Affairs, along with the University Curriculum Council, is responsible for University-wide academic planning. Approval of all new courses, majors, degree programs, and academic policies, as well as changes in and terminations of the same, rests with the University Curriculum Council. Actions of the University Curriculum Council are subject to approval by the Academic Faculty Assembly and, where appropriate, by the Board of Trustees.
The following policies shall be followed in matters pertaining to academic planning. In the following sections, the term “Chairs” includes both Chairs and program Directors; “departments” includes both departments and programs.
A. Departments
Under the leadership of the Chairs, departments are responsible for developing and reviewing academic programs and policies.
B. Chairs
(Amended by the
Faculty Senate and distributed on April 17, 2001; Approved by the Faculty May 3,
2001)
In consultation with departmental faculty, Chairs are responsible for:
1. Transmission and articulation of departmental curricular proposals to the Office of Academic Affairs and University Curriculum Council,
2. Scheduling classes, subject to the approval of the Office of Academic Affairs,
3. Coordinating academic leaves, summer scheduling, released time, and other curricular demands on departmental resources, and
4. Insuring the most efficient use of the academic resources of the department.
C. Vice President for Academic Affairs
In consultation with the Academic Council, the Vice President for Academic Affairs and his/her office are responsible for:
1. The development of new academic programs consistent with the liberal arts traditions and goals of the University,
2. Insuring that the planning process includes consideration of societal needs, potential trends in academic programs, and fiscal considerations,
3. General implementation of programs,
4. Assuring that program coordination is developed and continually reviewed,
5. Assigning responsibility for programs, resources, and facilities,
6. Recommending program modification or elimination to the University Curriculum Council,
7. Reporting to the President and the Board of Trustees the status and direction of academic programs, and
8. Informing the faculty of evaluations of existing programs and proposals for new programs.
III. RESOURCE
DEVELOPMENT AND MANAGEMENT RESPONSIBILITY
(Amended
by the Faculty Senate and distributed on April 17, 2001; Approved by the Faculty
May 3, 2001)
Departments, under the leadership of the Chairs, are responsible for reviewing, developing, and recommending departmental budgets.
Chairs are responsible for administering departmental budgets, encouraging faculty development, and managing the physical resources of the department.
The Vice President for Academic Affairs, in consultation with the departmental Chairs, is responsible for reviewing, developing, and recommending the academic budget. The Vice President for Academic Affairs will charge the Chairs and the Directors with development and administration of the details of the budget. The Vice President for Academic Affairs will insure that Director and Chairs are accountable through the budgetary process for the developments of priorities within the departments.
The Vice President for Academic Affairs is responsible for identifying existing and potential resources and making advantageous use of these resources by review and allocation.
IV. SALARY
RECOMMENDATIONS
(Amended
by the Faculty Senate and distributed on April 17, 2001; Approved by the Faculty
May 3, 2001)
The Chair or University Librarian shall initiate and implement the evaluation of faculty members for matters of salary. The Chair shall obtain information from the faculty members in the department and use this information in preparing evaluations and salary recommendations for the Vice President for Academic Affairs. The University Librarian shall obtain information from the faculty members in the Library and use this information in preparing evaluations and salary recommendations for the Vice President for Information Resources and Administrative Affairs. Before an evaluation and salary recommendation concerning a particular faculty member are sent to the appropriate Vice President, that faculty member must be allowed to inspect these items and to prepare a written statement to accompany them, if he/she so desires. In the case of Chair evaluations and salary recommendations, the Vice President for Academic Affairs shall follow analogous procedures.
The Vice President for Academic Affairs and the Vice President for Information Resources and Administrative Affairs shall recommend faculty salaries to the President. Recommendations from the Vice President for Academic Affairs and the Vice President for Information Resources and Administrative Affairs to the President must be accompanied by the evaluations and recommendations prepared by the Chairs or University Librarian, and all written statements prepared by any of the parties involved.
A faculty member who wishes to appeal a salary decision must appeal through the Chair—Vice President for Academic Affairs—President route or the University Librarian—Vice President for Information Resources and Administrative Affairs—President route. If he/she is still dissatisfied with the decision and alleges that the salary decision is punitive and amounts to making his/her conditions of employment so unsatisfactory that they appear to be designed to influence him/her to resign without the protection of due process, he/she may then appeal this decision in the manner set forth in the Trinity University Policy Statement on Academic Freedom, Responsibility, and Employment of Faculty (Chapter 3A).
V. FACULTY RECRUITMENT
Refer to Article IV.C of the Trinity University Policy Statement on Academic Freedom, Responsibility, and Employment of Faculty (Chapter 3A).
VI. BODIES
OF ADVICE AND CONSENT
(Amended
by the Faculty Senate and distributed on April 17, 2001; Approved by the Faculty
May 3, 2001)
Chairs and the University Librarian will meet regularly with the members of their departments for advice and consent on matters of concern to departments. Chairs and the University Librarian will represent and serve as their departments’ advocates.
Chairs must also articulate the needs and policies of the remainder of the University to their departments or programs.
The Vice President for Academic Affairs will be assisted in carrying out his/her responsibilities by the departmental Chairs, program Directors, and Associate Vice Presidents for Academic Affairs.
VII. CONFLICT
MEDIATION
(Amended
by the Faculty Senate and distributed on April 17, 2001; Approved by the Faculty
May 3, 2001)
Responsibility for the resolution of conflicts, other than those that deal with matters of promotion, tenure, and salary, shall follow the Chair—Vice President for Academic Affairs—President route or the University Librarian—Vice President for Information Resources and Administrative Affairs—President route. If a faculty member who is a party to the conflict is dissatisfied with the final decision and alleges that this decision is punitive and amounts to making his/her conditions of employment so unsatisfactory that they appear to be designed to influence him/her to resign without the protection of due process, he/she may then appeal the decision in the manner set forth in Article VI.C of the Trinity University Policy Statement on Academic Freedom, Responsibility, and Employment of Faculty (Chapter 3A).
VIII. IMPLEMENTATION AND AMENDMENT
A. Implementation
The Trinity University Policy Statements on Academic Administrative Governance shall become effective when approved by
a two-thirds majority of the membership of the Trinity University Faculty Senate;
a simple majority of the members of the Trinity University Academic Faculty; and
the Trinity University Board of Trustees.
B. Amendment
The Trinity University Policy Statements on Academic Administrative Governance may be amended by
a two-thirds majority of the membership of the Trinity University Faculty Senate;
a simple majority of the members of the Trinity University Academic Faculty; and
the Trinity University Board of Trustees.
Amendments may be initiated by the Faculty Senate, the Academic Faculty, or the Board of Trustees. Before voting upon a prepared amendment, at least 14 days notice shall be given in writing to the membership of the Faculty Senate, the Academic Faculty, and the Board of Trustees.
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