3.0 FACULTY RIGHTS, RESPONSIBILITIES AND EVALUATIONS

3.1 Faculty Rights and Responsibilities (SD0294F, revised by SD2102S) (formerly 3.8 and subsections)

The professional responsibilities of full-time faculty at UNCA are divided among the three general headings of teaching, scholarship and service. All three are considered important, but historically UNCA has placed the heaviest emphasis on teaching. The way in which faculty members meet these three responsibilities will vary from department to department and may differ throughout a faculty member's career. Faculty members must carry out these responsibilities in a professional, ethical and collegial manner that enhances the purposes of UNCA.

As a relatively small, primarily undergraduate, liberal arts university, UNCA properly requires excellence in teaching as its first priority. Teaching loads are also heavier at UNCA than at some of the larger institutions in the UNC system. In order to teach well at the university level, up to several hours of preparation may be required for every hour in the classroom. Besides direct preparation for class, university faculty are also expected to keep abreast of the literature of their respective disciplines in order to incorporate current insights into their teaching. In addition, many more hours of follow-up are often necessary to meet with students, support ongoing projects, and evaluate their completed work. Finally, faculty are often asked to present material in courses in other departments.

3.1.1 Academic Freedom (formerly 3.8.1)

Chapter VI, Sections 600 and 601 of The Code of the University reads as follows:

Section 600:  Freedom and Responsibility in the University Community.

1. The University of North Carolina is dedicated to the transmission and advancement of knowledge and understanding. Academic freedom is essential to the achievement of these purposes. The University therefore supports and encourages freedom of inquiry for faculty members and students, to the end that they may responsibly pursue these goals through teaching, learning, research, discussion and publication, free from internal or external restraints that would unreasonably restrict their academic endeavors.
2. The University and each constituent institution shall protect faculty and students in their responsible exercise of the freedom to teach, to learn, and otherwise to seek and speak the truth.
3. Faculty and students of The University of North Carolina shall share in the responsibility for maintaining an environment in which academic freedom flourishes and in which the rights of each member of the academic community are respected.

Section 601: Academic Freedom and Responsibility of Faculty

1. It is the policy of The University of North Carolina to support and encourage full freedom, within the law, of inquiry, discourse, teaching, research and publication for all members of the academic staffs of the constituent institutions. Members of the faculty are expected to recognize that accuracy, forthrightness and dignity befit their association with the University and their position as men and women of learning. They should not represent themselves, without authorization, as spokesmen for The University of North Carolina or any of its constituent institutions.
2. The University and its constituent institutions shall not penalize or discipline members of their faculties because of the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and professional interest and responsibility.

UNCA

As a constituent institution of the UNC System UNCA subscribes to the foregoing statement as well as the following AAUP Statement of Principles on Academic Freedom and Tenure.

1. The teacher is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.
2. The teacher is entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to the subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.
3. The college or university teacher is a citizen, a member of a learned profession, and an officer of an educational institution. When they speak or write as a citizen, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As a person of learning and an educational officer, they should remember that the public may judge their profession and their institution by their utterances. Hence, they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not an institutional spokesperson.

3.1.2 Duties of Department Chairs/Program Directors (formerly 3.8.2)

Department Chairs (Position description developed by VCAA in consultation with the department chairs, 1/9/80).

The Chair is a member of the faculty who is designated by the VCAA to perform the administrative functions described below in addition to the usual teaching responsibilities. In this role the Chair is directly responsible to the VCAA and is normally appointed to a three year term. Consecutive reappointments may be made. The Chair is essentially the leader of the faculty group teaching in the programs of the department and is a manager of departmental affairs. Chairs serve a University function as well as a departmental one. The Chair, therefore, is expected to convey to the department members a university-wide view of the issues which arise. The major responsibilities and authority of the position are stated as, but not limited to, the following:

1. Academic Programs

1. Program and course evaluation and improvement
2. Academic Planning
3. New Programs and new course development
4. Liaison with the VCAA, Academic Policy Committee, Institutional Development Committee
5. Preparation of course schedules
6. Approval of special topics courses
7. Concern for and preparation of public information related to the departmental programs, students and faculty members

2. Faculty Members

1. Assignment of courses to department members
1. Negotiations with other Chairs concerning teachers belonging to other departments
2. Faculty development and assistance
1. Improvement of teaching
2. Encouragement of scholarship
3. Encouragement of participation in University and community life
3. Faculty evaluation for re-appointment and promotion
4. Evaluation of part-time faculty members
5. Recommendations to VCAA on hiring of faculty members
6. Communication to department members of information, new policies, and directives

3. Students

1. Involvement in recruitment of students for the University
2. Increase of students in the major program(s) of the Department
3. Solution of student problems with instructors and courses
4. Assignment of advisors to students in the major program(s)

4. Budget

1. Preparation of budget requests
2. Budget planning and setting of departmental priorities
3. Monitoring of expenditures to remain within approved budget
4. Monitoring of book fund for library purchases
5. Authorization of all expenditures
6. Endorsement and justification of all travel requests
7. Maintaining of equipment, supplies, etc.

5. Clerical Assistance

1. Determination (in conjunction with other Chairs, if necessary) of work assignments of clerical personnel working for the department
2. Supervision of clerical personnel assigned to the department
1. Signing of worksheets
2. Signing of leave slips
3. Evaluation of work

6. Delegation

   At his/her discretion the department Chair may delegate certain specific functions to a member of the department. At all times the Chair remains accountable for the actions of the delegate. General leadership functions and evaluation responsibilities may not be delegated.

7. Consultation

   An important function of all Chairs is to serve as consultants to the VCAA, and through him/her to the Chancellor and other Vice Chancellors. The Chair's advice and information is sought on major issues facing the institution, such as planning, academic or administrative problems, relations with the outside community and other matters of this kind.

Program Directors
Program Directors in many ways function similarly to Department Chairs.  However, because programs do not have their own faculty, neither item b. nor item f. in the preceding list apply to Program Directors. Relative to faculty, these directors do provide annual faculty teaching evaluations to Departmental Chairs in their instructors' home departments.

3.1.3 Campus Governance Participation (see Section 10.1)

3.1.4 Instructional Activities (formerly 3.8.4 and subsections)

3.1.4.1 Teaching Responsibilities

3.1.4.1.1 Full-time

A full-time teaching assignment is the equivalent of 24 semester hours per academic year or its equivalent as established by the Department Chair/Program director and VCAA.

Faculty who teach in the MLA program are released from one undergraduate teaching assignment in order to teach a graduate class. If the faculty member is preparing to teach the class for the first time, he/she will be released from an additional class in order to properly prepare. There will be no release time for cross listed courses that have an enrollment primarily made up of undergraduates. The Director of the MLA program will coordinate with Department Chairs to ensure a burden is not placed on the Department.

3.1.4.1.2 Overload Teaching:

Overload teaching may be approved by the VCAA only by way of exception in order to meet an unanticipated need or to ensure an appropriate level of expertise which is not otherwise available in the local community. To be awarded compensation for overload teaching a faculty member must already be scheduled to teach 12 semester hours of courses. In the case of a department Chair or a program director, one must already be scheduled to teach 9 semester hours.

3.1.4.1.3 Independent and Special Topics Courses

When in the judgment of the Department Chair/Program Director there is a curricular or student need coupled with available faculty expertise, Special Topics Courses may be part of a program's set of scheduled courses. When scheduled, these courses are part of a faculty members normal teaching load. Ordinarily, a special topics course which is offered for more than two consecutive years is to be considered for inclusion in the list of regular courses found in the catalog.

Faculty members are free to assume the responsibility of teaching an "Independent Course" to a student in order to meet an academic need of that student which cannot be met through the regular schedule of courses. The appropriate forms should be obtained from the Department Chair/Program Director. The student must register for the course in the usual manner during registration. A faculty member who consistently offers independent study courses without sacrifice of quality teaching and other professional duties may expect recognition for these efforts by his/her chair.

3.1.4.1.4 Faculty Reassigned Time Policy (SD2799S)

A full-time teaching assignment is 24 semester credit/contact hours per academic year or its equivalent as established by the Department Chair and the Vice Chancellor for Academic Affairs. Full-time faculty members may request Reassigned Time which reduces this twenty-four hour teaching responsibility for activities which benefit UNCA's distinctive mission. Responsibilities for which Reassigned Time may be granted include:

• Course/curriculum development
• Professional development for enhanced teaching effectiveness
• Technology training for instruction 
• Accreditation/program review 
• Cocurricular activities
• Participation in UNCA's distinctive-emphasis programs
• Heavy load - academic advising
• Compensation for prior overloads
• Academic administration/academic leadership assignments
• Scholarship/creative activity
• Externally-funded research
• Institutionally-supported research
• Off-campus scholarly assignment/on leave
• Institutional service
• Service to the public/community
• Service to the profession
• Other activity in support of UNCA's mission

Availability of Reassigned Time
Each academic year, the Vice Chancellor for Academic Affairs (VCAA) will normally allot each academic program an amount of reassigned time equivalent to three credit-hours for each full-time faculty position occupied by a faculty on a continuing contract. The VCAA will provide this authorization to Chairs in a timely fashion, usually in October, so they may plan the next year's schedule.

Requesting and Allocating Reassigned Time
Individual faculty requests for reassigned time will be made to the Chair at the time the schedule is beginning to be planned. The assignment of faculty duties is a fundamental responsibility of Department Chairs. They know the courses and sections that must be offered, and the other duties that must be carried out. Chairs are responsible for a judicious, equitable allocation of reassigned time to individual members of their departments on behalf of UNCA's mission. The VCAA, in consultation with the appropriate Chair, may sometimes allot additional reassigned time to members of the faculty for projects and activities which support the mission of the university but fall outside departmental purposes, such as accreditation reviews.

Chairs are also teacher-scholar members of the faculty, and may request reassigned time on an equal footing for purposes such as professional development for enhanced teaching effectiveness, scholarship/creative activity, and others as described above. These requests will be made to the VCAA prior to planning the schedule. The VCAA is responsible for a judicious, equitable allocation of reassigned time to Chairs and Program Directors on behalf of UNCA's mission.

Accountability for Reassigned Time
Faculty members who receive reassigned time will record the assignment and will report on the results of the assignment on their Annual Faculty Records. The productive use of this reassigned time will be a factor considered by Chairs in the annual evaluation of faculty who have received it.

Chairs who receive reassigned time for purposes other than the administrative duties of their position will report on the results of the assignment in their Annual Faculty Records and to the VCAA, who will consider the productive use of this reassigned time in the annual evaluation of the Chair.

3.1.4.1.5 Reassigned Time for Department Chairs/Program Directors (Academic Affairs policy, distributed to Chairs/Directors on 12/7/98)

Academic Department Chairs are eligible for reassigned time based on the number of faculty they supervise. (SH = semester hours reassigned.)

• 16 or more = 12 SH
• 10-15 = 9 SH
• 5-9 = 6 SH
• 1-4 = 3 SH

Directors of the following academic and curricular support programs are eligible for reassigned time as listed.

African American Colloquium	3 SH
Africana Studies	3 SH
Arts and Ideas	3 SH
Center for Teaching and Learning	6-9 SH
First Year Experience	9 SH
Honors	6 SH
Humanities	12 SH
Interdisciplinary Studies	3 SH
International Studies	3 SH
Key Center for Service Learning	3 SH
MLA	6 SH
Undergraduate Research	12 SH
Women's Studies	3 SH

Additional reassigned time may be awarded to Chairs or Directors according to the following criteria:

• Complexity of program
• Cocurricular demands
• Coordination required
• Number of students involved

3.1.4.1.6 Teaching Opportunities (formerly 3.8.4.1.5)

UNCA faculty are encouraged to do team teaching, teaching outside their own disciplines and cross listing of courses appropriate to more than one academic area. Faculty interested in pursuing one or more of these areas should discuss their plan with their department Chair/program director and the department Chair/program director of the other discipline. The UNCA Catalog has descriptions of  programs offering teaching opportunities to faculty.

3.1.4.2 Office Hours (formerly 3.8.4.2)

Faculty are expected to post and maintain regularly scheduled office hours for purposes of advising students and offering assistance to students enrolled in their classes. Office hours should be scheduled to allow access to instructors and advisors at times convenient to students. Course syllabi should also list regularly scheduled office hours.

3.1.4.3 Meeting Classes (formerly 3.8.4.3 and subsections)

3.1.4.3.1 Faculty meeting regularly scheduled classes

Faculty meeting regularly scheduled classes is to receive the highest priority in terms of faculty activity. Effective quality teaching is first priority for faculty at UNCA. However, there are times when faculty must miss class, e.g., attendance at professional meetings, illness, and personal considerations such as weddings or funerals for members of immediate family.

Faculty are expected to include on their syllabi, information about course assignments in cases when they cannot meet their classes. In every instance Faculty are to notify their Department Chair and/or Program Director when they cannot meet their classes, and to indicate what assignments are to be followed during that absence.

3.1.4.3.2 Class Cancellations Due to Inclement Weather

UNCA, as a state agency, is expected to provide its service to the public according to its announced calendar and schedules. Therefore, the presumption is that all classes will be taught during inclement weather. On occasion severe weather conditions may make it unusually dangerous or physically impossible for teachers and learners to get to campus. The VCAA is charged with making the judgment about canceling classes under these conditions.

Each individual student, in the event that classes are not cancelled, must assume the personal responsibility of deciding to go to class or not when local road conditions appear too hazardous. In such cases students should inform their instructors as soon as practicable.

Each faculty member should include in any class attendance policy a provision for the fair treatment of students who cannot reasonably be expected to attend class, especially in cases involving scheduled exams or due dates for papers.

The notice that classes are to be cancelled will be broadcast on all local radio stations normally by 6 a.m. The absence of any notice from UNCA signifies that classes will be taught as usual. The Telephone Snow Line (see listing in directory) will also provide notice of cancellation, but is often "busy". Cancellation notice about evening classes will be provided to the radio stations as soon as practicable after 4 p.m. Such evening cancellation notices affect all classes on campus, graduate and undergraduate, and all continuing education classes on and off campus.

An Instructor may schedule additional class meetings with attendance required if weather conditions have forced cancellation of the equivalent of one full week of class meetings.

3.1.4.3.3 Snow/Late Start Schedule

As an alternative to the cancellation of classes, UNCA may implement its snow/late start schedule.  A listing of "late start" class periods is posted at: http://www.unca.edu/enroll/late.html

3.1.4.3.4 Students Attending Class

Students are responsible for regular class attendance. Faculty members are responsible for reporting to the student's advisor any student whose repeated absence from class is impairing the student's work. Any faculty member who has a particular attendance policy for his or her classes is to state that policy in the course syllabus.

By the official withdrawal date an instructor may administratively withdraw from a course any student who has not fulfilled the prerequisites for the class. Students who are administratively withdrawn will receive the grade W on their transcripts. (SD0589F)

Religious Holidays: It should be noted (but not specifically in class policies) that a student who misses a test or deadline due to a bona fide religious holiday must be allowed to make up the test or other work. Legal counsel of the University system advises that to refuse this may be a violation of the prohibition against religious discrimination.

3.1.4.3.5 Sick Leave

Occasional absences from class due to illness are handled departmentally by the faculty member in consultation with the department chair/program director. For the policy on extended absence, see Section 4.2.1.2 (Family and Medical Leave policy).

3.1.4.4 Approval of Candidates for Degrees (formerly 3.8.4.4)

At the end of the fall semester, the spring semester, and the summer session, a faculty meeting is held at which the names of the candidates for graduation and honors are presented for faculty approval.

3.1.4.5 Advising (formerly 3.8.4.5)

Each faculty member is expected to be an academic advisor, both to students majoring in that faculty member's discipline as well as to other UNCA students. Some faculty instead are asked to participate in a special program for freshman advising.

The Office of Enrollment Services assigns advisees to departments based on student interest. The department chair is responsible for assigning advisees to faculty in that department.  Faculty should meet with their advisees, assist them in planning their schedules, sign appropriate forms, and provide other academic assistance.

3.1.4.6 Web for Faculty (replaces SIS)

Information on students can be obtained through the UNCA computer system. The Web for Faculty program allows faculty to get information about advisees as well as class schedule information. Web for Faculty is accessible at http://tserve.unca.edu/afhomepg.asp. A user's guide is available at http://www.unca.edu/enroll/Handbook.PDF

3.1.5 Patent and Copyright Procedures (see Section 9.4) (formerly 3.8.8)

3.1.6 Political Activities of University Employees (see Section 13.2.5) (formerly 3.8.9)

3.2 Other Employment Opportunities (formerly 3.11 and subsections)

3.2.1 Employment Opportunities in Special Programs

Centers such as Special Academic Programs and the North Carolina Center for Creative Retirement provide additional opportunities for faculty employment. Formal involvement in such programs during periods when the faculty member has instructional responsibility for his/her department, requires the department chair's approval. The conditions of employment, salary, responsibilities, and time requirements are specified by the Center or Program Director consistent with Center or Program policy.

3.2.2 Faculty Exchanges  (see Section 4.1.2)

3.2.3 Summer Programs Abroad

Certain study abroad programs also provide opportunities for faculty employment, usually during the summer term. Contact the VCAA or the Director of Study Abroad for more information.

3.2.4 Summer School Employment

There is no requirement that faculty teach during the summer. Faculty members who elect to teach during the summer session are subject to program needs, student enrollment and approval by their Chair/program director. Consequently, opportunities for faculty employment are limited and dependent on enrollment. Under-enrolled courses may be cancelled at the beginning of the term. Each department and/or program assesses student needs for a summer curriculum and offers courses suited to program requirements or service potential. As a general rule a faculty member may request to teach up to two courses during the summer. As noted above, actual employment depends on availability of courses in the schedule and actual enrollment in the courses. Salary is based on the number of semester hours taught and the rank of the faculty member. A salary schedule may be obtained from the Office of Academic Affairs. Salary checks are issued mid-July and mid-August and are subject to withholding for social security, state and federal income taxes, and retirement.

The summer school budget is distinct from the regular academic year instructional budget and is derived approximately one half from tuition and one half from state support.

3.3 Evaluation of Faculty Members (formerly 3.4 and subsections)

3.3.1 Types of Evaluations

Formal faculty evaluation is conducted for:
1. annual performance review and awarding of salary increases for merit (see Section 3.4),
2. personnel decisions (i.e., reappointment, tenure and promotion, see Section 3.5), and
3. scheduled post-tenure review (approximately every 5 years after tenure becomes effective, see Section 3.7).

In all cases teaching effectiveness is the highest priority. Both peer review of teaching (see Section 3.3.3.1.2) and student evalution of teaching (see Section 3.3.3.1.1) is required. Student evaluations are to be administered in a minimum of 50% of all courses taught by full-time teaching faculty each semester of the regular academic year. In the case of salary increases for merit, student evaluations must be submitted for all the classes which have been evaluated, with a minimum of 3 required for consideration.

3.3.2 Philosophy behind Evaluation of Faculty Members (formerly 3.4.1 and subsections)

3.3.2.1 Objectives of Evaluation

There are two basic objectives in all faculty evaluations and reviews at UNCA:

1. To assist in the professional development of the individual faculty member through assessment, feedback, and dialogue with reviewers.
2. To contribute to professional, efficient, and appropriate personnel decisions.

General considerations that govern faculty personnel actions are delineated in the Tenure Policies and Regulations, Section III, A, and J. (See Section 14.2) For description see:

Tenure, Notice, and Reappointment (III-B)
Faculty Ranks (III-C)
Initiation, Review, and Approval of Promotion and Reappointment decisions (III-D)
Resignations (III-E)
Leave of Absence During Probationary Terms (III-F)
Terms and Conditions of Appointment (III-G)
Continued Availability of Special Funding (III-H)
Provisions for Less than Full-Time Employment (III-I)
Nonreappointment of Faculty Members on Probationary Term Appointments (III-J)

All faculty are strongly advised and encouraged to become familiar with the Tenure Policies and Regulations of the institution.

3.3.2.2 Important Considerations in Personnel Evaluations

The Code of the Board of Governors states (see Section 13.1.1) that consideration should be given "to at least the following: the faculty members demonstrated professional competence, his potential for future contributions and institutional needs and resources". The UNCA Tenure Policy and Regulations (see Section 14.2) indicates that reappointment "may be based on any factor considered relevant to the total institutional interests". In the interests of better specifying the areas to be evaluated by the Chair and of assisting in faculty development, it would be helpful if attention were given to the items described below. Possession of the appropriate degree and demonstrated excellence in teaching are assumed to be prerequisite to any positive recommendation. Additionally, the candidacy should be supported by evidence of vigorous and effective activity in the other categories below.

1. The candidate possesses the degrees and experience appropriate to the position.

   The terminal degree, the Ph.D. except in certain professionally acknowledged areas, is required for employment or promotion to the professional ranks and is necessary for tenured positions. Exceptions to this may be made only in extraordinary circumstances. Demonstrated progress toward the attainment of the appropriate degree is expected of non-tenured candidates who were initially hired with a Master's degree.

   The areas of specialization must be consonant with departmental needs.

2. The candidate has demonstrated excellence in teaching.

   Consideration shall be given to such matters as knowledge of subject matter, effectiveness of course design, clarity of thought and expression, maintenance of fair and appropriate standards, ability to arouse and maintain interest, rapport with students, availability to students, and ability to direct research and non-traditional learning activities.

3. The candidate is active as a scholar and professional person.

   Consideration shall be given to such matters as currency of knowledge in the field, intellectual breadth, scholarly research and publication, creative accomplishments if relevant to the field, activity within professional organizations, and any evidence of recognition of accomplishment by the profession. Evidence suggesting future growth or continued accomplishment in these areas is considered significant.

4. The candidate contributes effectively to the development of the academic programs of the department and the institution.

   Consideration shall be given to such matters as flexibility and range of competence in relation to the present and foreseen needs of the department, involvement in program design and evaluation, contribution to administrative functions within the department, development of student activities, academic advising, and contributions to academic programs outside the department. Effective working relationships with colleagues and university staff is considered an important contribution to the department and the institution.

5. The candidate is active and effective in extra-curricular service to the institution.

   Consideration will be given to the amount and quality of work done in committees, in administrative tasks, in developing the University's off-campus relationships, in procuring grants, and such matters.

6. The candidate is active in community affairs, especially those relevant to his professional competence or to the well-being of the University.

   Consideration will be given to such activities as presentations to public or organizational audiences, involvement with the local schools, and media appearances in a professional capacity. Community activities unrelated to professional standing are of course encouraged but receive less weight in the evaluation process.

7. Institutional and Departmental Need

   Basic to all personnel decisions, indicated by such factors as financial resources, program requirements, changing patterns of student demand for courses and faculty resources.

8. Special Departmental Criteria

   Departments may develop specific criteria peculiar to a discipline which, upon written approval of the Vice Chancellor for Academic Affairs, will be considered in evaluating faculty members.

3.3.3 Criteria in Evaluations (formerly 3.4.2)

More specific considerations in faculty evaluations are indicated below. These are stated in a broadly-defined sequence of priority, with recognition that the "mix" for any individual may vary. These criteria apply to all faculty evaluations:  annual departmental-level, personnel (i.e., reappointment, tenure and promotion) and post-tenure review.

3.3.3.1 Teaching (formerly 3.4.2.1 and subsections)

The faculty member is expected to show clear, positive evidence of effective teaching. This is the primary and constant consideration in all personnel decisions.

3.3.3.1.1 Student Evaluation of Teaching Effectiveness (SD1482F)

Student evaluations are to be administered in a minimum of 50% of all courses taught by full-time teaching faculty each semester of the regular academic year. Part-time faculty must have evaluations administered in all courses they teach. The evaluation instruments are to be administered in class by a student who is to return the instruments to the appropriate department secretary or program secretary for disposition and analysis. The faculty member being evaluated is to be absent while the evaluation is being conducted.

Departments/programs may in addition develop their own instruments for the evaluation of teaching and/or add items to the standard student evaluation form.

While the evaluation results become part of the data reviewed for personnel decisions, the main purpose of the student evaluation is the improvement of teaching. Therefore, the faculty member being evaluated is to receive a copy of the evaluation results.

3.3.3.1.2 Peer Review of Teaching 

Peer review of teaching is mandated by the Office of the President (formerly GA).  The following are the minimum activities adopted in 1994 by the Department Chairs/Program Directors.  (Post-tenure review was added to listed items 1 and 6 in February, 2000.)

1. Each department/program with full-time faculty will conduct in-class observation of classroom teaching for new and non-tenured faculty, for candidates for promotion and for candidates for post-tenure review.

2. Observations will be carried out by a minimum of two tenured faculty selected from within the department or program of appointment or from outside the department/program with prior approval of the VCAA.

3. Departments are responsible for implementing procedures for direct observation of classroom teaching for faculty whose teaching outside the department constitutes a regular and substantial part of their responsibilities (e.g. humanities, arts, cross-listed courses). Development of these procedures should involve consultation with the program director or department chair of the outside department/program.

4. The direct observation of classroom teaching shall include a minimum of one course taught by the person being evaluated.

5. Each observer shall visit the determined course at least once.

6. The above procedures are for use in formulating department/program recommendations for reappointment, tenure, promotion and post-tenure review which are to be submitted to the VCAA.

These items represent the minimum number of activities which each department/program will implement.  Departments/programs may chose to expand these minimal activities.

3.3.3.2 Scholarship and Creative Activity (formerly 3.4.2.2)

The faculty member should demonstrate continued efforts toward professional development. This can take the form of contributions to one's academic field through scholarship, artistic activity or an active role in professional organizations. At minimum it requires demonstrated effort at professional self-development through teaching improvement and keeping abreast of the state of the art in one's field.

3.3.3.3 Service (formerly 3.4.2.3)

The faculty member should be an active contributor to the university community. Service needs and opportunities will vary with program requirements, allocations of financial and personnel resources, changing patterns of student demand, etc. Therefore, the priority of this consideration varies from program to program. Three types of faculty service are considered:

1. To the department: Contributions to program and curricular development and evaluation, availability and effectiveness in student advising, contributions to administrative functions within the department and in the rest of the university, effective service on committees, etc., are considered here. Effective working relationships with colleagues and staff are important elements in this same category.

2. To the university: Initiative and demonstrated readiness to serve the academic community is especially important in a small institution. Includes service in both elected and appointed functions.

3. To the community: To the community, especially those relevant to one's professional competence, flows from the nature of a publicly-supported university. Consideration is given to presentations to various community groups, involvement with the local schools, memberships on boards, media presentations and a wide range of activities comprising the university's contribution to building up the community.

3.3.4 Evaluation of Department Chairs (formerly 3.4.4)

1. During the final semester of the Chair's appointment to the Chair position, or whenever the VCAA deems it necessary, he will initiate the evaluation process by soliciting evaluations from the departmental faculty.
2. Each faculty member of the department (excluding the Chair) will complete a "Faculty Evaluation of Chair" form and return the signed form to the VCAA. Each Faculty member will complete the form without consulting anyone else. The completed forms are confidential and will not be shown to the Chair.
3. Upon receipt of all forms the VCAA will review and analyze the information conveyed, taking note of salient strengths, weaknesses, or problems of the department or the Chair, and also taking note of difference of opinion among the respondents. The VCAA will also review past departmental reports for the time period covered by the evaluation (with updates if desired) to get additional information on the accomplishments of the Chair.
4. At his discretion the VCAA may consult other administrators, staff, or faculty with whom the Chair interacts.
5. After reviewing all the above responses the VCAA may feel the need for further clarification and information. In such a case he will meet with each member individually, or with all members collectively if he feels it would be more helpful.
6. He will then prepare for the Chair a written summary of his perceptions of the strengths and weaknesses of the Chair's performance and of any problems which need to be addressed. This summary will be discussed with the Chair who may, if he wishes, reply in writing.
7. The summary and reply, if any, will be kept on file. The department members' evaluation forms will be destroyed.
8. The VCAA will then notify the Chair of his decision to reappoint or not to reappoint.
9. In instances in which the Chair is reappointed, but where sufficient serious problems appear, evaluations should be conducted each year until the problem has been resolved.

3.3.5 Evaluation of Program Directors (formerly 3.4.5)

Program Directors typically are appointed for three year terms and are evaluated in much the same way as Department Chairs. Faculty teaching in the program and other persons knowledgeable about the program (e.g., members of advisory committees) are asked to complete evaluations and submit them to the VCAA. Subsequently steps c-i for Evaluation of Departmental Chairs are followed (see Section 3.3.4).

3.4 Annual Evaluation of Faculty

3.4.1 Purpose

All full-time faculty members participate in an annual evaluation that has both formative and summative functions. Department chairs provide feedback on each faculty member's accomplishments, rate each individual on teaching, scholarship/creative activity and service and make recommendations regarding salary increases (i.e., merit raises, salary equity adjustments). Annual evaluations are reviewed by the VCAA who makes the final determination regarding raises. These annual evaluations become part of each faculty member's personnel file and are considered in all personnel and performance (i.e., post-tenure) reviews.

3.4.2 Procedure

The steps taken in annual reviews are as follows:

1. In May, each continuing faculty member submits a completed Faculty Record to his/her Department Chair covering activities from May 1 of the previous year to April 30 of the current year.

2. The Department Chair reviews the Record  along with student evaluation rating data, summaries of student comments, peer reviews of the faculty member's teaching and whatever other materials the faculty member chooses to submit. Note: Faculty teaching outside the department (e.g., in Humanities) should request that student/peer evaluation information be forwarded to the Department Chair.

3. After reviewing the materials, the Chair completes an evaluation form including a narrative discussion of the faculty member's activities and rating scales on teaching, scholarship/creative activity and service. The Chair also makes a recommendation regarding a salary increase including a rationale when required (e.g., exceptional level of merit).

4. The faculty member reviews the Chair's evaluation/recommendation and signs a statement to this effect (which does not imply endorsement of the Chair's evaluation).  The faculty member has the right to discuss the evaluation with the Chair prior to its submission to the Office of Academic Affairs.

5. The Faculty Record and Chair's Evaluation are submitted to the Office of Academic Affairs. After reviewing the documents and any other pertinent information the VCAA recommends both the award and the amount of the award to the Chancellor.

6. The Board of Trustees approves new salaries and forwards those of tenured faculty members to the Board of Governors for their approval.

3.5 Policies and Procedures Governing Reappointment, Tenure and Promotion

The following sections apply specifically to institutional reviews of faculty for the purposes of awarding reappointment, tenure or promotion.

3.5.1 Institutional Policies on Personnel Decisions

It is important for faculty to become familiar with the information in following two documents regarding personnel decisions:
* The Code of the UNC Board of Governors (see Section 13.1).
* The UNCA Tenure Policies and Regulations (see Section 14.2).

Key information from these documents is summarized in a section of this Handbook titled "Important considerations in personnel decisions" (see Section 3.3.2.2).

3.5.2 Policy on Granting of Rank and Tenure to Administrators (Board of Trustees adopted 1/18/79)

An administrator is defined as anyone whose administrative functions amount to more than fifty percent of his assignment load, regardless of whether he is on a nine-month or twelve-month contract. Because of the special nature of their positions, librarians are exempt from the provisions of this policy.

1. Tenured faculty members of the institution retain their rank and tenure when receiving an administrative appointment; however, they are ineligible for promotion in academic rank while serving in an administrative position.
2. With the exception of the Chancellor and the VCAA, administrators hired from outside the institution may not be appointed to any faculty rank except that of lecturer in their recognized discipline; in all cases, such individuals must receive the approval and recommendation of the appropriate department before rank is granted.
3. In the cases of untenured faculty members of the institution who are moving to an administrative position, the following applies:

Individuals may request a tenure decision at the time of the administrative appointment. If tenure is not granted, the following conditions prevail: upon accepting an administrative position, individuals must take a leave-of-absence from their faculty position with the provisions that, during this absence: she/he is removed from the tenure-track appointment and must remain off the tenure track for the duration of the administrative appointment; not to exceed three years. Beyond three years she/he may return to the original faculty rank only upon the recommendation of the appropriate department chair, the VCAA, and the Chancellor.

3.5.3 Guidelines for Awarding of Reappointment, Tenure and Promotion for Faculty (amended by SD1092S)

The candidate for reappointment, tenure or promotion is expected to present his or her chair with a well documented report of accomplishments in the categories described in Section 3.5.4.4. The department Chair will review and evaluate each faculty member's level of accomplishment accordingly and, after appropriate consultation with the department, shall make recommendation relative to reappointment and tenure, and may advance recommendations relative to promotion. Such recommendations are carefully reviewed by the Committee of the Tenured Faculty and by the VCAA.

The decision on the granting of tenure may precede the decision on promotion, although it is assumed that tenure will be awarded only to faculty who demonstrate the potential for promotion.

In their early years at UNCA, faculty members should emphasize teaching and scholarly and creative activity. In cases where unusual amounts of service are expected from an untenured faculty member, the University will take this into account in making decisions about reappointment, tenure and promotion. It is expected that an individual will have achievements in all three categories (teaching, scholarly and creative activity, and service). In all cases there must be clear evidence of highly effective teaching. It is normally expected that candidates will also demonstrate significant contributions in one of the other two areas.

Because promotion is based largely on accumulated accomplishment while in rank at UNCA, time spent in rank will vary according to the rate of achievement. Longevity per se is not considered sufficient grounds for promotion. In the interest of fairness it is desirable that approximately even standards prevail across the university. However, differences among departments and disciplines, as well as differing responsibilities among individual faculty members, require that these guidelines be implemented with some flexibility.

It is normally expected that promotion to a senior rank (Associate or Full Professor) requires an outstanding level of achievement in either teaching or scholarly and creative activity, with at least a significant level of contribution in the other area, as well as in service. While the evaluation will focus on accomplishments since the last promotion, the candidate's whole career will be taken into consideration.

3.5.4 Procedure for Evaluating Faculty Members for Reappointment, Tenure and Promotion (SD3701S)

3.5.4.1 Summary of the Evaluation Procedure

1. The evaluation procedure is applied to all faculty members on nine or twelve month contracts who are eligible for reappointment, tenure or promotion. The term "candidate" in subsequent items refers to the faculty member undergoing evaluation. The term "Chair" refers to the Department Chair or Program Director responsible for evaluating the candidate.

2. For faculty whose contracts begin in August, the evaluation process begins in Fall of the year of review. Faculty whose contracts begin at other times should consult with the VCAA for their specific review timelines.

A. In the case of a contractually required review (i.e., a reappointment or tenure review), the VCAA begins the process by sending a notice of review to each candidate with a copy to the faculty's member's chair.  The notice of review specifies the documents to be prepared and the timetable for the review process.

B. In the case of a requested review (i.e., a promotion or early tenure review), the candidate initiates the process, notifying his/her Department Chair of the request for review. Faculty members are encouraged to meet with their Chairs to discuss the request and to consider the likelihood of Chair and Department support before pursuing the request. If the faculty member decides to pursue the request, he/she notifies the VCAA who then sends the candidate a notice of review as described above. Faculty members considering early tenure reviews or promotion reviews prior to the awarding of tenure should note the following information:

     1) If a faculty member requests an early tenure review and is denied tenure, the consequence is the same as being denied tenure at a contractually scheduled review (see UNCA Tenure Policies and Regulations, Section 14.2, III-D-3).

     2)  A request for promotion prior to the awarding of tenure automatically requires an early tenure review (UNCA Tenure Policies and Regulations, Section 14.2, III-B-2). If the faculty member is denied tenure, the consequence is the same as being denied tenure at a contractually scheduled review. However, the faculty member may be awarded tenure and denied promotion, in which case he/she may request promotion again at a later date.

3.  Each faculty member under review prepares an evaluation file including a Candidate's Statement, a Fall semester Faculty Record and an up-to-date curriculum vitae of his/her professional career. (Information about the format and contents of the Candidate's Statement is available in Section 3.5.4.3.) If the candidate desires, letters of recommendation from students and/or colleagues and samples of professional work may be collected for submission at this time. All materials must be submitted to the Chair by the deadline specified in the notice of review.

4. The Chair adds copies of the candidate's annual Faculty Records and Merit Evaluations, student evaluation rating summaries and comments, and peer reviews of the faculty member's teaching to this file. These additional materials should cover the full period of time between the faculty member's last review and the current review. The Chair makes these materials available to the tenured
members of the Department for their review.

5. In certain circumstances, this process is modified as described below to ensure a fair and comprehensive evaluation.

     A. When the faculty member under review is a Chair or Program Director
When the faculty member under review is a Chair, the UNCA Tenure Policies and Regulations specify that the VCAA execute the tasks normally assigned to the Chair in the review process (see Section 14.2, footnote 4). This modification also applies in cases where the candidate is a Program Director.

     B. When the Department has fewer than three tenured faculty members
When the Department has fewer than three tenured faculty members, the Chair may include other faculty members in the departmental review process. The UNCA Tenure Policies and Regulations (Section 14.2, III-D-1-a) specify that the Chair may include other Department members senior in length of service to the faculty member under review. In addition, with prior approval from the VCAA, faculty outside the Department may be included. The following are faculty appropriate to consider for inclusion:
1) Tenured faculty members in Departments where the faculty member has taught courses.
2) Chairs or Program Directors in Departments where the faculty member has taught courses.
3) Tenured faculty members in other Departments who are familiar with the faculty member's work.

Subsequent references to the "tenured Department members" in this document include all faculty who participate in the departmental review process.

     C. When the faculty member has taught courses outside the Department
When the faculty member has taught courses outside the Department, the Chair should request written evaluations of the faculty member's performance from the Chairs/Directors of those Departments/Programs. The Chair in his/her statement regarding the candidate's performance should address these evaluations.

     D. When the faculty member has reassigned time for administrative duties
When the faculty member has reassigned time for administrative duties, the Chair should request a written evaluation of the faculty member's performance from the person who supervises these administrative activities. The Chair in his/her statement regarding the candidate's performance should address this evaluation.

6. After all tenured Department members have reviewed these materials, the Chair assembles these faculty for a vote on the candidate's reappointment, tenure or promotion request.

7. After consulting with the tenured Department members, and reviewing all materials in the evaluation file, the Chair writes an evaluation of the faculty member under review, including the vote of the assembled tenured Department members, and the date of that meeting, as well as the Chair's own recommendation regarding the faculty member. (Information about the format and contents of the Chair's Statement is available in Section 3.5.4.4.)

8. The Chair must submit his/her statement to the faculty member at least 5 days prior to its submission to the Office of Academic Affairs and, if the faculty member so desires, meet with him/her to discuss the recommendation.

     A.  In all cases, the faculty member may write a supplementary statement including explanatory or clarifying information after reviewing the Chair's Statement. This supplementary statement should be sent to the Chair and included in the candidate's evaluation file.

     B. In cases where the Chair makes a negative recommendation, the UNCA Tenure Policies and Regulations (Section 14.2, III-D-1-b) delineate a specific procedure to be followed:

1) In addition to submitting the Chair's Statement to the candidate, the Chair simultaneously communicates the intention to issue a negative recommendation to the VCAA and the faculty member in a separate simple, unelaborated written statement.

2) Within 5 days of receipt of that notice, the faculty member may request a conference with the Chair and the opportunity to provide additional written evidence or views bearing on the faculty member's demonstrated professional competence and potential for future contributions. This statement of rebuttal is included in the faculty member's evaluation file.

3) If the faculty member does not request a conference or provide additional written materials bearing on the case during this 5 day
interval, the Chair's evaluation and recommendation are added to the candidate's evaluation file.

9. The candidate and Chair submit copies of only the following materials to the Office of Academic Affairs by the deadline specified in the notice of review: the Candidate's Statement, the Curriculum Vitae, the Fall semester Faculty Record, the student comments, the Chair's Evaluation and, if written, the candidate's statement of clarification or rebuttal.

10. The materials listed in #9, along with the faculty member's annual Faculty Records and Merit Evaluations (provided by the Office of Academic Affairs) and student evaluation rating summaries (provided by the Office of Institutional Research) are made available to the Committee of Tenured Faculty. The Committee of Tenured Faculty reviews the materials and sends to the VCAA a vote on their recommendation regarding the faculty member's reappointment, tenure or promotion.

11. After reviewing all materials, including the Chair's statement and the recorded vote of the assembled tenured Department members, and the vote of the Committee of Tenured Faculty, the VCAA makes a decision regarding the faculty member's reappointment, tenure or promotion.

12. The UNCA Tenure Policies and Regulations specify the subsequent actions required by the VCAA, the Chancellor, the Board of Trustees and the Board of Governors. In the case of a favorable VCAA recommendation, the decision is communicated to the faculty member and the Chancellor, and the process continues. In the case of an unfavorable VCAA recommendation, the faculty member has the right to conferences with the VCAA and the Committee of Tenured Faculty, and the right to seek review of the VCAA decision before the Faculty Hearings Committee. Candidates should consult the UNCA Tenure Policies and Regulations (Section 14.2) for a more detailed description of all aspects of the process.

3.5.4.2 Documents for Evaluation by the Office of Academic Affairs

An evaluation folder must be established in the Office of Academic Affairs for each candidate under review for reappointment, tenure or promotion. Documents in this folder are reviewed by the Committee of Tenured Faculty and the VCAA. The Academic Affairs folder contains only the following documents:

1. The Candidate's Statement (submitted by the candidate)
2. The Professional Vitae (submitted by the candidate)
3. The Fall semester Faculty Record (submitted by the candidate)
4. The Candidate's Statement of Clarification, Explanation or Rebuttal, if written (submitted by the candidate)
5. The Chair/Director's Evaluation and Recommendation (submitted by the Chair/Director)
6. Comments from Student Evaluation Forms (submitted by the Chair/Director)
7. Student Evaluation Rating Form Summaries (provided by the Office of Institutional Research)
8. All appropriate annual Faculty Records (collected by VCAA)
9. All appropriate annual Merit Evaluations (collected by VCAA)

3.5.4.3 Guidelines for Preparation of Documents by Candidates

Candidates are required to prepare three documents: the Candidate's Statement, the Professional Vitae and the Fall Semester Faculty Record. These documents first are submitted for review by the Chair and Department and then are forwarded to the Office of Academic Affairs where they are reviewed by the Committee of Tenured Faculty and the VCAA. Candidates should not forward other supporting materials such as syllabi, course outlines, sample exams, and samples of scholarly or artistic work, testimonials, or letters from other Chairs/Directors or colleagues.

1. The Candidate's Statement

     A. Purpose: The Candidate's Statement should be viewed as a cover letter to the Vice Chancellor for Academic Affairs. The statement provides an opportunity for the candidate to integrate, expand, explain, and draw attention to information in the Annual Faculty Records. In addition, the statement can be used to discuss factors affecting the candidate's performance, factors not ordinarily covered in the listing of activities by categories.

     B. Format: The Candidate's Statement should be written in narrative form. The specific orientation or focus of the statement is the candidate's choice. Statements typically are 4-6 pages in length.

     C. Issues to Address: The Candidate's Statement should address performance in the areas of teaching, scholarly and creative activity, and service. What follows are some possible issues to address in the various categories of evaluation. The lists in no way imply that lengthy statements are expected. They are suggestive but not prescriptive.

          1) Teaching: As an undergraduate, liberal arts-oriented institution, UNCA values outstanding teaching above all other faculty accomplishments. Teaching is the art of helping students to learn. Consequently, it extends beyond the classroom to include individual teacher-student interaction, availability to students, and readiness to assist them. The following are suggested issues to address concerning teaching:
* philosophy of teaching
* methods employed (examples can be given)
* significant curricular or pedagogical contributions
* interdisciplinary teaching activities
* involvement of students in special academic projects
* mentorship of undergraduate research projects
* grants for pedagogical innovation
* awards for teaching given in open competitions
* future plans
* factors to consider regarding performance in these areas (e.g., required v. elective courses, lower v. upper division courses, teaching within discipline v. teaching outside discipline, major v. service course, advising freshmen v. majors, etc.)

          2) Scholarly and Creative Activity: Members of the faculty are expected to engage in scholarly or creative activity. These activities should be evaluated by their contribution to an academic area. Scholarly and creative activity that involves students and/or interdisciplinary work is noteworthy. In an undergraduate, liberal arts-oriented institution, research and scholarship can be especially valuable as they enhance teaching. The following are suggested issues to address concerning scholarly and creative activity:
* participation in ongoing research or creative activity, including production or performance of art, music, literature, or drama
* submission of grant proposals and grant-funded activities
* publications in journals (indicate if refereed), review articles, and scholarly books
* other writings such as textbooks, book reviews, or software; or non-print instructional materials
* attendance and participation in professional meetings, presentation of oral/poster papers, chairing of paper sessions, participation in symposia
* awards for scholarly or creative work
* editorships and peer reviews
* professional development activities
* work completed (but not yet published or presented) or in progress
* future plans
* factors to consider regarding performance in these areas (e.g., competitiveness/stature of journals/conferences in one's discipline, changes in one's line of research, obligations in other areas, etc.)

          3) Service: Members of the faculty are expected to participate actively in university and community life. Advising is a service activity that is considered an essential part of the teaching-learning process. Other outstanding service activities that involve the faculty member's professional competence will be most relevant to the evaluation. The following are suggested issues to address concerning service:
* administration of programs and tasks that contribute to the cultural, educational, and social welfare of the university and community
* election or appointment to committees, task forces, commissions, boards, or public offices
* advising activities
* development of resources
* professional activity as judged by election or appointment to boards, offices in societies, and committees
* awards and prizes given in recognition of service
* positions of leadership
* public lectures, workshops, and consultations
* benefits to student-faculty relations, to one's department, to the University, and to the local, regional, national, or international community
* factors to consider regarding performance in these areas (e.g., opportunities for service, obligations in other areas)

2. The Professional Vitae

     A. Purpose: The complete vita puts the candidate's professional work at UNCA into perspective relative to the individual's career in general. This permits the committee to assess the individual's activities at UNCA in light of his/her previous level of activity. This is particularly useful for candidates new to UNCA.

     B. Format: The vita should be written in the format appropriate to applying for an academic position. It should include information about the candidate's education, degrees, awards and honors, professional employment, as well as the candidate's most important papers, publications, artistic activities; grant activities, professional consultancies, or service activities.

3. The Fall Semester Faculty Record

     A. Purpose: The Fall semester Faculty Record summarizes the candidate's current and ongoing activities.

     B. Format: The Fall semester Faculty Record should be written in the same format used for the year-end Faculty Record.

3.5.4.4 Guidelines for Preparation of Documents by Chairs/Directors

Chairs are responsible for writing an evaluation of the candidate's performance, including a specific recommendation regarding reappointment, tenure or promotion, and for assembling all comments from annual student evaluation forms administered since the candidate's last review. These documents are forwarded to the Office of Academic Affairs where they are reviewed by the Committee of Tenured Faculty and the VCAA. Chairs should not forward other supporting materials such as syllabi, course outlines, sample exams, and samples of scholarly or artistic work, testimonials, or letters from other Chairs/Directors or colleagues.

1. Chair's Evaluation

     A. Purpose: The Chair's Evaluation has always been central to decisions concerning reappointment, tenure, and promotion. It is a summary evaluation which, when viewed together with the evaluations appended to the Annual Faculty Record, provides an historical account of the candidate's progress in the eyes of his or her Chair.

     B. Format: The Chair's Evaluation should be written in simple narrative form, addressing all issues listed in the guidelines for evaluation that are relevant for the candidate in question. (For example, comments on supervision of student projects may not be relevant for all candidates.)

     C. Issues to Address: The Chair's Evaluation should address performance in the areas of teaching, scholarly and creative activity, and service.

          1) Required issues: The Chair is required to address the following points in the Chair's Evaluation. Evaluations failing to cover these points will be returned for revision.
* The statement must report the results of the vote taken at the meeting of the tenured faculty in the department and the date of that meeting.
* If the candidate is a Lecturer or holds any other special faculty appointment, the Chair should make clear why such an appointment is appropriate and the specific expectations of this individual as previously established in consultation with the Vice Chancellor for Academic Affairs. Chairs should review the description of special faculty appointments in the UNCA Tenure Policies and Regulations (Section 14.2, III-C-5).
* If the candidate has reassigned time from teaching, the Chair should make clear the amount of reassigned time awarded and the specific departmental expectations in view of this reassigned time.
* The UNC Board of Governors requires peer evaluation of teaching. The statement should provide a brief description of the department peer evaluation process and summarize the results of peer evaluation of the candidate.

          2) Evaluation of teaching: Chairs should address the appropriate points regarding teaching from the following list in the Chair's Evaluation.
* appropriateness of candidate's training and expertise to departmental and institutional needs
* trends, patterns or tendencies in student evaluations interpreted in light of the nature of the courses surveyed (e.g.,
major/service/general education, required/elective, upper division/lower division
* teaching effectiveness as indicated by peer review, senior exit interviews, information from Chairs/Directors of other
departments/programs in which the candidate has taught, or other methods by which the candidate's teaching has been evaluated. (Comparison may be made to others in the department or others teaching similar courses with similar loads.)
* class materials such as textbooks, exams; syllabi/course policies
* curricular/pedagogical innovations by the candidate
* supervision of student projects by candidate
* utilization of reassigned time for teaching
* when problems exist in teaching, factors likely to be influencing performance (e.g., types of courses, types of students)

          3) Evaluation of scholarly and creative activity: Chairs should address the following points regarding scholarly and creative activity in the Chair's Evaluation. It is imperative that the Chair evaluate these activities in a clear and comprehensive manner because members of the Committee of Tenured Faculty, and the VCAA, often are individuals outside of the discipline.
* basis on which the candidate's work is being evaluated (e.g., Chair's appraisal, consultation with colleagues familiar with the work within or outside the institution)
* quality of the candidate's work, along with corroborative data and/or specific examples
* significance of candidate's activities to his/her teaching, to the Department, to the University, to knowledge in his or her field
* utilization of reassigned time for scholarly and creative activity
* when activities in this area are minimal, factors likely to be influencing productivity (e.g., competitiveness of journals, conferences, etc. in the candidate's scholarly or professional area, teaching obligations)

          4) Evaluation of service: Chairs should address the following points regarding service in the Chair's Evaluation.
* basis on which candidate's work is being evaluated (e.g., Chair's appraisal, interviews of colleagues and/or community members with whom the candidate has worked)
* significance of the candidate's work to the Department, the institution, the community
* candidate's performance in advising, including corroborative data and/or specific examples
* quality of the candidate's other service activities, including corroborative data and/or specific examples
* when activities in this area are minimal, factors likely to be responsible (e.g. opportunities for service, obligations in other areas)

     D. Recommendation: The Chair's Evaluation should conclude with a clear recommendation and a summary of the department/program's expectations, past and future, for the candidate. If the Chair requests reappointment, tenure, or promotion for the candidate, there should be no equivocation. Half-hearted statements will be interpreted as an indication of lack of support for the candidate. In turn, a Chair's recommendation for denial of reappointment, tenure, or promotion should be firm and well reasoned. Courtesy to the candidate requires no less.

Before preparing his/her recommendation the Chair consults with the assembled tenured faculty of the department/program. The Chair should weigh the opinion of the tenured faculty carefully. In cases where the tenured faculty does not concur with the Chair or expresses serious reservations with the Chair's recommendation, the Chair in the recommendation should delineate these.

2. Comments from Student Evaluation Forms

The Chair is required to provide all comments from annual student evaluation forms administered since the candidate's last review. These comments should be typed but unedited. (The Office of Institutional Research provides numerical summaries of the student evaluation ratings to the Office of Academic Affairs.)

3.6 Grievance Procedure (amended by SD4189S)

3.6.1 Grievance Committee Organization

1. The Grievance Committee shall organize itself within one week of the Full Faculty meeting. The Secretary of the Senate shall call the initial meeting and preside over the election of a Chair and Secretary. After this meeting, the Secretary of the Senate will report the results of the election to the faculty.
2. Upon the receipt of a grievance petition, the Chair shall, within one week, summon the committee to meet.
3. Any committee member who is a party to the grievance or who is in the same academic department as the petitioner(s) shall disqualify himself. In addition, a faculty member who feels he or she has a conflict of interest may, after consultation with the Chair of the Grievance Committee and the Chair of the Faculty Senate, be disqualified.
4. The Grievance Committee shall assume its duties at the beginning of the academic year and shall continue in those duties until the new committee is formed the following year.

3.6.2 Initial Screening

Mere receipt of a petition does not establish the need for a full grievance hearing. The first effort of the committee is to "decide whether the facts merit a detailed investigation". This determination shall be made only by a designated committee member who will secure from the grievant details necessary to explain the petition. Such inquiry shall be made only of the grievant, and findings shall be reported back to the committee simply as allegations. The purpose of this inquiry is to allow members to understand the petition as delivered, to amplify written charges, to remove possible misunderstandings of or ambiguities in the petition, and to ascertain whether at least prima facie the grievant has raised a significant issue.

3.6.3 Mediation

The Grievance Committee may upon request and agreement of the involved parties, first attempt to mediate the dispute without initiating a formal inquiry. Authorization for this procedure is found in the Tenure Policies, Section 14.2, VII, C, paragraph 2, which permits the Committee to "mediate voluntary adjustment by the parties . . ." This procedure can be used in instances requiring dispatch, in cases where disagreements need adjustment, and when requested by the petitioners. Proceeding with mediation does not prejudice the case against a later formal grievance inquiry, which may be used where mediation is unsuccessful.

The procedural steps outlined in Part IV, (The Formal Inquiry) do not apply to mediation, although confidentiality and other basic steps of discreet inquiry will prevail. In mediation efforts, the Committee provides its good offices and essentially acts as a broker in the dispute. Failure of either party to accept the committee's final offer signals the end of mediation. Committee proposals in these cases shall not be forwarded to administrative officers as in the case of the Formal Inquiry.

This inquiry, as all others, shall be made confidentially and shall not be communicated to anyone outside the committee.

3.6.4 Formal Inquiry (see also Section 13.1.4)

After conducting an initial screening, the committee may, based on the petition and the amplifying details uncovered, decide by majority vote that the petition warrants a formal inquiry. The formal inquiry should begin within forty days of the receipt of the petition unless all parties agree in writing to an extension or the grievance is filed within forty days of spring commencement.

In conducting a formal inquiry, the Grievance Committee shall offer the petitioner(s) and the accused:

• confidentiality of proceedings
• hearings with all parties to the petition present
• the right to bring legal counsel
• the right to offer evidence supporting or refuting charges made in the petition, to cross examine adverse witnesses, to inspect documents presented, and to offer evidence in explanation and rebuttal
• the opportunity to present a summary of their position and to reply to charges made during the hearing
• the right to challenge a committee member's impartiality and right to serve in the formal hearing. If challenged, the committee will make a finding in executive session before proceeding with the hearing.

The committee shall offer to keep a tape of its hearings, and shall allow supervised access to the tape by the petitioners and the accused. A transcript of the tape will not be prepared except on request of one of the parties who shall bear the cost of the transcript.

The committee shall prepare minutes of each of its meetings, summarizing activity, and listing in detail its findings and the reasons supporting them.

The Grievance Committee will forward a copy of its decision to the appropriate administrative officer and to each of the parties in the petition.

Forwarding its findings and recommendations ends the Grievance Committee's participation in the dispute. Grievants dissatisfied with decisions by the Grievance Committee possess the right under Section 501C4 of the University Code to appeal directly to the Chancellor.

3.7 Post-tenure review (SD1000F) (planned as 3.12 and subsections in Senate document)

Post-Tenure review at UNC Asheville is a periodic, comprehensive, cumulative review of tenured members of the faculty that emphasizes peer participation. The primary purpose of Post-Tenure Review (PTR) is to ensure continued faculty development and promote faculty vitality.

3.7.1 Objectives of Post-Tenure Review

Entirely separate from reviews for reappointment, tenure, and promotion, PTR is a formative process that focuses on identifying specific areas of strength among senior faculty and, when appropriate, areas requiring more concentrated development efforts. PTR recognizes and respects disciplinary differences in pedagogy and in the focus of faculty professional activities. This procedure recognizes that each faculty member is reviewed annually by the department chair and that this review is a comprehensive evaluation of teaching, scholarship, and service. The PTR creates a summary of several years of professional activity that may address trends not immediately obvious in an annual comprehensive review and annual faculty record. As professionals, faculty will welcome opportunities for and are committed to professional growth. The faculty assume primary responsibility for the implementation of activities which foster professional growth in ways that support the missions of their programs and the University as well as their own professional career(s). Professional development plans (see Section 3.7.3 below) will identify resource support necessary to accomplish specified goals. The VCAA is responsible for approval of these plans and allocation of any special resource support required to accomplish the objectives of the plan(s).

3.7.2 Procedure for Evaluation

1. The term "faculty member" includes all persons on a nine or twelve-month contract who teach one half or more of a full load and librarians with faculty rank.

2. After an initial phase-in period, tenured faculty members shall be evaluated no less frequently than every five years. During this phase-in period, faculty who have gone the longest since their last review for tenure or promotion will be evaluated first. The VCAA may approve the postponement of Post-Tenure Review in a case of illness, leave of absence, family emergency or other similar circumstances.

3. A review for promotion will take precedence over the PTR process and may replace it as follows. When faculty members apply for promotion in the same year they are to be evaluated for PTR, the PTR will be postponed. If successful, the review for promotion will satisfy the requirement for PTR and will start a new five-year PTR clock for the faculty member who is promoted. If the review for promotion is not successful, however, the faculty member will complete the PTR process in the following year, even if the application for promotion is renewed. Thus, post-tenure reviews will be deferred by an application for promotion only once.

4. In the Spring before the academic year in which a tenured faculty member is to be evaluated, the VCAA begins the evaluation process by notifying the selected tenured faculty members and requesting them to begin assembling materials for the review committee. In this process, the Vice Chancellor for Academic Affairs serves as facilitator and convener.

5. The evaluation will be performed by a University-wide committee called the Post-Tenure Review Committee (PTRC).

6. Evaluation of tenured faculty members is peer evaluation. The committee will consider a variety of materials. Peer observation of teaching will always be one of the procedures employed in the evaluation.

7. The Post Tenure Review Committee (PTRC) will review a dossier containing documents from several sources. The evaluee will submit the items noted (see A 1-4, below) to the Chair of his or her department. The Chair will provide items 5 and 6. For evaluation of Chairs, the most senior tenured member of the department will normally assume the duties of the Chair, as described below.

A. Completed Dossier

The evaluee's dossier is assembled by the Chair (or, for evaluation of Chairs, by the most senior tenured member of the department) and submitted to the PTRC. The complete dossier will include, in order:
1) The Evaluee's Statement (submitted by Evaluee to Chair)
2) The Professional Curriculum Vitae (submitted by Evaluee to Chair)
3) Chair's Evaluation (prepared by the Chair, or for the review of Chairs, by the most senior tenured member of the department)
4) Results from Peer Observation of Classroom Teaching (prepared by the Chair)
5) Annual Faculty Records (past five years, collected by VCAA and submitted to the Chair)
6) Merit Evaluations (past five years, collected by VCAA and submitted to the Chair)
7) Summary of numbers from course evaluations over the past five years (provided by Office of Institutional Research to the Chair). Written student comments may be requested by the PTRC and will be made available.

B. The Evaluee's Statement

1) Purpose: The Evaluee's Statement should be a reflective, self-assessment that comments on the evaluee's past, present and future contributions to the department, the university and their missions. This statement may also be used to discuss factors and extenuating circumstances affecting the evaluee's performance, which are not usually covered in the listing of activities by category. The evaluee should refer to categories outlined in Section 3.5.4.3 of the Faculty Handbook.

2) Format: The Evaluee's Statement should be written as a cover letter to the Chair of the PTRC. The statement is written in narrative form; possible issues to address, along with categories and guidelines for evaluating performance, are discussed in Section 3.5.4.3. The Evaluee should also outline briefly, his or her professional plans for the next five years, again, in the context of the department and university mission, which may also include a discussion of resources required.

C. The Professional Curriculum Vitae

1) Purpose: The complete curriculum vitae puts the evaluee's professional work at UNCA into perspective relative to the individual's career in general. This allows the PTRC to evaluate the individual's recent activities or changing emphases at UNCA in light of his or her previous levels of activity and responsibilities.

2) Format: The vita should be written in a format appropriate to apply for an academic position in the discipline. It should include information about the evaluee's education, degrees, awards, honors, professional employment and most important, papers/publications/artistic activities, grant activities, professional consultancies and major service activities.

D. Materials supporting professional activity (submitted by evaluee to Department Chair, if requested)

1) Purpose: Materials selected by the evaluee are meant to emphasize or augment the vita regarding teaching, scholarly and service activities. Materials provided should be chosen to illuminate the quality of the evaluee's activities rather than duplicate those reported in the vita.

2) Format: Materials provided by the evaluee should be representative and only a sampling, supporting:

a) Teaching: Representative syllabi, assignments, student work or other materials illustrating teaching practices and student learning.

b) Scholarship/Creative Activity: Representative scholarly papers, letters of commendation, awards, reviews of scholarly, creative or performance activities.

c) Service: Representative professional service activities to local or greater community, letters of commendation, awards, etc.

E. Results of Peer Observation of Teaching (provided by the Chair of the department and assembled in the dossier submitted to the PTRC)

1) Purpose: Evaluations of teaching by peer observation supplement other measures of effective teaching.

2) Format: Each peer observer should submit a one to two page written summary of his or her observations to the faculty member, and the Chair of the evaluee's department. Reports must include specific comments on the dimensions cited above.

F. Chair's Evaluation (provided by the Chair of the department and assembled in the dossier submitted to the PTRC)

1) Purpose: The Chair's Evaluation has always been central to decisions concerning reappointment, tenure and promotion. It is a summary evaluation that, when viewed together with the evaluations appended to the Faculty record, provides an historical account of the evaluee's overall performance as viewed by the Chair.

2) Format: The Chair's Evaluation should be written in simple narrative form, to the Chair of the PTRC, addressing the evaluee's past, present and future contributions to the department, the university and their missions. This statement may also be used to address factors and extenuating circumstances affecting the evaluee's performance, which are not usually covered in the listing of activities by category. The Chair must consult with faculty colleagues and report on that consultation (as is the case for reappointment, tenure and promotion reviews, see Section 3.5.4.4). For purposes of faculty development, the Chair should discuss the evaluation with the faculty member, prior to submission of the evaluation to the PTRC.

8. The faculty member and his or her chair will provide all materials to the Office of Academic Affairs by December 1.

9. For Post-Tenure Review of Chairs, the most senior tenured member of the department will normally assume the duties of the Chair. However, a Chair who perceives a conflict of interest with that person may petition the VCAA to appoint another tenured faculty member to those responsibilities. If no tenured member is available within the department, the VCAA may appoint one from a department within the same division of the university, giving weight to seniority of UNCA service and consulting with the Committee on Faculty Welfare and Development.

3.7.3 Results of Post-Tenure Review

1. The PTRC will write a report that will go to the faculty member, the department chair, and the Vice Chancellor for Academic Affairs. The report will be submitted by March 1.

2. The evaluee has the right to challenge any of the contents of the PTRC's report by submitting, to the Vice Chancellor for Academic Affairs, any further evidence, mitigating or complicating circumstances, etc. This must be in a letter received in the Vice Chancellor's office within fourteen calendar days of the submission of the PTRC's report. The VCAA will respond within twenty-one calendar days of receiving the challenge letter.

3. The PTRC is advisory to the VCAA and like the committee for tenure review makes recommendations directly to the VCAA. During initial review of an evaluee, the PTRC makes one of two recommendations:

     A. The faculty member has performed at a Successful level. The Post-Tenure Review process will then be complete. The PTR Committee Report will be sent to the faculty member, with copies to the Chair and the VCAA. The Report will express collegial appreciation for contributions to the mission of UNC Asheville, and will take note of any performances, accomplishments or contributions that appear excellent or exemplary. The Report may express support for the provision of university resources such as a Teaching-Scholarship Year, or an Off-Campus Scholarly Assignment when the faculty member has shown that this will benefit future excellence.

     B. The evaluee has one or more areas that require concentrated development efforts. The PTR Committee advisory report dossier will be sent to the VCAA for further review and final decision, with copies to the evaluee and the Chair. The Report will identify the area or areas of concern while noting any performances or accomplishments that appear commendable or excellent. The faculty member may challenge the advisory report as provided above.

If the VCAA affirms the Report after considering a challenge, or affirms an unchallenged report, the faculty member will construct a Development Plan in consultation with the Chair and the Associate VCAA assigned as liaison to the PTR process. The Plan will address the area or areas that warrant improvement. The Plan will include a time when the evaluee will again be reviewed by the PTRC - no less than one year later, up to three years later. The Chair and the VCAA will review the plan to determine resource implications. The Plan must be approved by the VCAA.

Development Plans may include provision for a Peer Mentor who is requested by the Evaluee and approved by the VCAA. Peer Mentors should be senior members of the faculty who are skillful in collegial relationships and recognized for excellence in the area(s) requiring improvement. On request a Peer Mentor may be appointed before the Development Plan is finalized.

4. At the conclusion of the term specified in the development plan the evaluee will be reviewed a second time by the PTRC. The committee will review the original file, the development plan, and a new file documenting developmental progress. In all of the following contingency proceedings, the PTR Advisory Report will be sent to the VCAA for review and final decision, with copies to the evaluee and the chair. The PTRC now can make one of three recommendations to the VCAA:

     A. The evaluee is performing at a Successful Level. The advisory Report will recognize developmental progress and take note of any added accomplishments, performances or contributions to the mission of UNCA which are commendable or excellent.

     B. The evaluee has made some progress toward remediating problem areas but should continue his/her efforts,

     C. The evaluee has failed to make any progress toward improvement and warrants sanctions. In a case that warrants sanctions the VCAA will decide the nature of these sanctions. Before implementing these the VCAA should consult with the PTRC, much as the VCAA now consults with the Committee of Tenured Faculty before issuing a denial of tenure, but the final decision, as with tenure, is up to the VCAA.

If the VCAA affirms a PTRC Report that recommends continued development work, the evaluee will revise the plan in consultation with his/her Chair and the Associate Vice Chancellor for Academic Affairs assigned as liaison to the PTR process and come before the PTRC one final time in 1-2 years.

5. If a final review is warranted, the PTRC now can make only one of two recommendations:

     A. The PTRC advises that the evaluee is performing at a Successful Level. The report will acknowledge developmental progress and take note of any new performances, accomplishments or contributions to the mission of UNCA that appear excellent or commendable.

     B. The PTRC advises that the evaluee has failed to make sufficient progress toward improvement and warrants sanctions.

6. Any sanctions including discharge or other disciplinary action imposed on faculty members for continuing deficiency in performance shall be in compliance with the criteria and procedures for due process as established in Chapter VI, Sections 602, 603, and 605 of The Code of the University of North Carolina.

3.8 FORMS for Section 3.0

• Faculty Record (condensed) (in PDF format)
• Faculty Evaluation of Chair (in PDF format)