Administrative Procedures Handbook (for Chairs)
Administration of the College
Duplication Services and Options
Faculty Office Assignments
Faculty Orientation and Review
Recruitment of New Faculty
Part-Time And Adjunct Faculty Members
Tenure and Promotion
Administration of the College
Responsibilities of Department Chairs
The Department Chairperson is the chief officer and academic leader of the department faculty. The Chair--the essential link between the Dean and the faculty, the one who makes things happen, who carries the present and shapes the future of the department—enjoys these responsibilities:
- chairing department meetings
- coordinating the evaluation of faculty performance
- representing the department in recommendations to the Dean on reappointment and non-reappointment, the granting of tenure and promotions, and salaries
- appointing department committees
- initiating curriculum development and revision
- coordinating the preparation of class schedules
- coordinating the recruitment of department faculty
- managing the affairs of the department
- supervising the department administrative assistant
- administering the budget of the department
- serving as the key link in communications between the department faculty and the dean
- representing the department in College matters
- providing leadership in all situations serving the interests of the department
Four responsibilities of chairs have extremely important long-term effects for the College, the Department, and students:
- evaluation of faculty, both full-time and part-time;
- recommendation of faculty for reappointment (or non-reappointment), tenure, and promotion;
- coordination of appointment of new faculty; and
Peer review procedures, both for ongoing evaluation and for tenure and promotion review, are essential, not as a way of setting aside chair responsibilities, but as a way of improving the execution of them. While it is widely recognized that evaluation has two broad purposes--bringing about improvement and determining bases for retention and advancement in status, rank, and salary--these purposes are not easily divided, and chairs must address both of them.
Each year new planning opportunities present themselves through such things as the University Strategic Planning Council, national commissions on Drake's future, preparation of materials for accreditation review, College-wide planning efforts independent of University direction, and department-initiated planning, often in the form of curriculum revision. While planning responsibilities take time, they also provide an important avenue for faculty to make input in determining the future of the College and University and for chairs to provide leadership in that process.
Responsibilities of the Dean and Others in the Dean's Office
Following are descriptions of the responsibilities of some who work in the Dean's Office in Room 268A of the Harmon Fine Arts Center.
If you have any questions, please contact the Dean's Office at 271-3939.
The Dean, personally or through his or her designees, ensures performance of the following responsibilities:
- Provides leadership to the faculty through such things as: promoting standards of excellence, communicating on matters of interest and concern, recognizing accomplishments, promoting faculty activities, encouraging ideas and innovation, projecting a vision for the College, and protecting the integrity of the College.
- Provides leadership in curriculum and instruction by coordinating efforts aimed at improving teaching and advising, developing and improving curricula and programs, and providing academic services to students.
- Maintains faculty records of professional activities, evaluates performance, handles appointments and reappointments, coordinates promotion and tenure processes and recommends candidates for both, recommends sabbatical leaves, and determines salaries.
- Represents the College and faculty in interactions with the Provost and President, among deans and vice-presidents, with students, and at such things as open house and orientation sessions.
- Manages the College budget, facilities, personnel procedures, clerical services, academic scheduling, grants, publications, and coordinates the work of the Council and committees.
- Provides oversight and coordination for the programs in the School of Fine Arts, works with the Friends of Drake Arts, and supervise the Manager of Fine Arts Activities and Facilities.
- Works with representatives of Institutional Advancement in resource, alumni, and constituent development.
- Represents the faculty and students of the College and serves the University through such things as committee and commission assignments and recruitment of students.
- Represents the University to accrediting agencies, professional organizations, the higher education community, and/or the Des Moines community.
- Maintains a scholarly identity in his or her discipline.
- Curricular Responsibilities
- Works with faculty to explore new academic programs and enhance the curriculum of the College, and to support faculty access to information about advising and innovative pedagogical methods
- Works with the Director of the Drake Curriculum to discuss Arts and Sciences support and faculty development for the general education program.
- Works with the A&S Council to ensure Dean’s office support of their work.
- Coordinates Scheduling
Works with the Administrative Support Specialists and Administrative Assistant to ensure that activities related to academic scheduling are completed. These activities include:
- Distribution of information from the Office of Student Records regarding fall and spring class schedules.
- Collection and review of schedules from A&S departments.
- Coordination of scheduling within Arts and Sciences, especially in the sciences.
- Coordination of scheduling as necessary with other colleges and schools.
- Reviewing enrollments after registration consulting with the dean regarding cancellation of courses.
- Faculty Development
- Works with new Arts and Sciences faculty members to facilitate adjustment to Drake University.
- Collaborates with the Dean and Arts and Science faculty members to identify and organize desired development activities.
- Provides support as needed for grant implementation.
- Technology Coordination
- Supervises the work of the educational technologist, and collaborates with the educational technologist on promoting the appropriate use of technology in the classroom.
- Serves as ex-officio on the Technology Planning Committee and coordinates their work.
- Works with the educational technologist and the Technology Planning Committee to develop, implement, and assess outcomes on a rolling three-year plan for technology use in the college.
- Supervises record keeping and assessment of staff computers.
- Works with chairs to derive recommendations for Capital Equipment requests for the College and submits requests to the Dean.
- Open Houses and Orientation
- Coordinates with the Administrative Assistant for Arts and Sciences activities for Admissions Open House events, Minnesota Days, and Iowa Private College Days. Represents personally or finds faculty representatives for Arts and Sciences at these events and New Student Orientation sessions.
- B. Supervises the Academic Support Specialists in planning New Student Orientation.
- C. Serves as liaison with Admissions for coordinating recruiting issues.
- Academic/Student Issues
- Deals with students with exceptional academic issue. This includes making final decisions on transfer credits, considering student petitions, and meeting with students with extraordinary academic problems. Serves as point person in referring issues to the Academic Integrity and Appeals Committee. Forwards academic integrity information as necessary to other colleges, the Provost, and/or the Dean of Students.
- Consults with and provides support to the Academic Support Specialists for student records management as needed.
- Reviews files for probation and suspension, receiving and making judgments on initial appeals of suspension.
- Represents Arts and Sciences on the Council of Academic Administrative Departments.
- Assumes such other duties as assigned by the Dean.
Assistant Dean for Academic Support
- Advise students and provide support services in making recommendations regarding course of study, degree requirements and particular course offerings to enrolled and prospective students in the College with particular attention to the following: fine arts students, open-enrolled, transfers, study abroad, students pursuing multiple majors or degrees, and students at risk.
- Assists with student registration and process add/drops. Maintains and updates student records regarding change of major/minor/degrees and advisors for all fine arts students. Evaluate transcripts for applicability of transfer credits working with the office of Student Records and the Academic Support Specialist. Process academic paperwork, including academic petitions, change of grades, independent studies, and perform junior and senior year graduation reviews.
- Assists with dismissals, withdrawals, reinstatements, and re-enrollments. Works with the Associate Dean on all matters needing attention on student academic issues.
- Maintains fine arts undergraduate curricular files to assure appropriate compliance of university with regard to institutional policies and accreditation procedures.
- Provides clerical assistance for office staff including maintaining databases for probation and suspension and producing and mailing probation and suspension letters.
- Helps represent the College to CAAD and other university-wide committees, as needed.
- Assists the Associate Dean with providing resources for faculty advisors by conducting periodic training sessions and updates assignments of students to faculty advisors.
- Oversees the online catalog for the college including entering courses and course details as departments change their curriculum. Maintains a curriculum database of all college curriculum changes.
- Collaborates with Associate Dean, Academic Support Specialist and other University personnel in organizing college activities related to summer orientation and Iowa Private College Week.
Budget and Office Manager
- Oversees the approval and processing of revenue, expenditure, and position control documents, department budgets, salary updates, ledger and account maintenance and data entry, ensuring compliance with university policies.
- Maintains, reviews, and monitors budgets and expenditures for the following areas; Friends of Drake Arts, Fine Arts Facilities events held in the Harmon Fine Arts building and Sheslow Auditorium, technology fee projects approved by the Provost’s Office
- Record-keeping and monitoring of projects and expenses approved by the Drake Center for the Humanities.
- Coordinates with the Dean the College travel budget and manages the Faculty Development grants.
- Maintains the departmental database and files and manage departmental records, including staff vacation/sick leave reports, time reports, status forms and other personnel reports.
- Coordinates secretarial services throughout the College; oversees the clerical operation of the Dean's Office, which includes recruitment, appointment and overall supervision of clerical personnel.
- Authorizes the issuance of keys to individuals in the College.
- Assists the Dean with new faculty searches and prepares the necessary paperwork.
- Represents the College in dealing with other University offices.
Fine Arts Facilities Manager
- Collaborates with the Art, Music, and Theatre Departments in the scheduling and management of activities in all fine arts facilities (Hall of Performing Arts, Sheslow Auditorium, Monroe Recital Hall, Weeks Gallery, Studio Theater and Harmon Fine Arts classrooms).
- Gathers materials for publication of Fine Arts Calendar and assists in maintenance of Fine Arts mailing lists for publicity purposes (all of these in collaboration with the Development Officer for Fine Arts and Friends of Drake Arts).
- Assists in all Drake facilities scheduling for Friends of Drake Arts.
- Coordinates grants as established by Friends of Drake Arts.
- Answers general information phone line for the School of Fine Arts.
- Gathers materials for publication of the Music Calendar
- Coordinates Music 21 events.
- Coordinates master classroom schedule with Student Records and Fine Arts chairs.
- Coordinates security policies and procedures with Campus Security.
- Establishes building hours and oversees security arrangements, including hiring and supervision of building monitors in the Harmon Fine Arts Center and Sheslow Auditorium.
- Manages the box office, appointing, training, and supervising the box office staff.
- Arranges rental agreements and coordinates needs with groups using facilities.
- Arranges for and supervises staff for events for outside users.
- Serves as liaison with the President’s Office for Levitt Hall, the Olmsted Director, the Knapp Center Director, and the Physical Plant Director.
- Oversees the operation of the Dickson Media Center (includes management of student staff and responsibility for maintenance of equipments).
- Oversees parking arrangements for Fine Arts events and deals with handicap accessibility issues.
- Tracks and issues keys to the facility.
- Coordinates facility needs and repairs with Facility Services.
- Assumes such other responsibilities as are necessary to accomplish effective management of Fine Arts activities and facilities.
- Consults with departments on educational technology needs in order to enhance student learning.
- Assists faculty with development and implementation of instructional materials using technology
- Assists faculty with their needs in computer teaching classrooms and labs
- Contribute technology knowledge to faculty and staff
- Assesses technology problems that affect the college or individual departments and provide solutions
- Provides informal or formal professional development opportunities
- Mentors and coaches faculty in using new technology for classroom
- Provides technical help on materials that are used to advance pedagogy methods
- Assesses, designs, develops and implements informal or formal training for faculty and staff for use in their classrooms that will further the mission of the college
- Provides consulting on special projects initiated in Dean’s Office or university-wide that affect the college
- Consults on technology purchases regarding technical requirements
- Serves as a technical reference in organizing technical work with other departments, colleges and organizations
- Provides technical support in situations that affect student learning
- Provides technical knowledge and recommendations for Technology Planning Committee
- Maintains security and other technical policies outlined by Drake University and the College of Arts and Science
- Manages, consults and organizes upgrades to high tech classrooms and labs
- Maintains a college computer inventory
- Serves as a single source of contact regarding available technology equipment in the college
- Represents the college in campus technology matters
- Serves as a link in technology between departments and the Dean
- Administers and initiates technology replacement requests for new faculty machines, faculty upgrades and technology planning projects
- Assumes other tasks and duties assigned by Dean.
Academic Support Specialist
- Advise students, including prospective students in all phases of educational planning, including program and course information, registration, adjustments to schedules, transfer requirements, articulations, and graduation requirements.
- Maintain academic records of undergraduate, graduate and unclassified Arts and Sciences and Fine Arts students. (Includes maintaining audits/individualized student plans, processing student petitions, verifying probation and dean's lists, performing junior and senior year graduation reviews, releasing degrees.)
- Handle complaints from students' families, recording information and directing complaints to appropriate person for investigation and response.
- Evaluate transcripts of transfer students. Determine course work applicability and/or equivalency toward degree completion. Make decisions regarding transfer of credits.
- Provide registration support to faculty advisors, department chairs, parents and students regarding matters of academic policy (provide forms, audits; computer back-up, Q&A via phone).
- Prepare and disseminate to campus offices information such as probation reports, honors information, list of candidates for graduation and graduation programs.
- Assist in preparation for registration activities related to summer orientation and registration of EFR.
- Meet with prospective students and parents to discuss academic requirements and procedures within the college and University.
- Review and approve degree audits for seniors graduating in the college.
- Helps represent the College to CAAD and other university-wide committees, as needed
- Serves as receptionist for the Dean's Office and assists visitors in locating people and places and accept parcels.
- Schedules and coordinates all meetings for the Dean and Associate/Assistant Dean.
- Shares in the coordination of the delivery and pick-up of daily mail, including opening, date stamping, and distributing to the staff.
- Serves as a back-up for the Academic Support Specialists. Tasks could include processing change of grades and independent study forms for the college, registering and processing drop/add forms, change of major and intra-university transfers, withdrawals and other student requests as needed.
- Provides clerical assistance for office staff; designing office documents, catalog changes, and class schedules.
- Types and proofs letters or memos for the Dean and Associate/Assistant Dean.
- Places fax messages for faculty and staff.
- Sets up monthly Council, Chair and Cabinet meetings.
- Distributes agenda and minutes and other relevant material needed for meetings.
- Set up Promotion & Tenure, Academic Integrity and other Arts and Sciences Committee meetings when the need arises.
- Hire, supervise and assign jobs to student employees.
- Coordinates the program for the College Honors Convocation, including assembling the program and the Dean’s award book for presentation and arrangements for the reception.
- Updates faculty handbooks as changes are approved by the Arts and Sciences Council. Coordinates with the Associate/Assistant Dean of the college class schedules and catalog issues. Maintains the college’s copy of course descriptions and major/minor requirements.
- Collect part-time faculty forms from departments and prepare part-time appointment letters.
- Collects and maintains files for all faculty evaluations. Prepares promotion and tenure documents received from candidates and departments for forwarding to the Promotion and Tenure Committee.
- Maintains conference room schedule for meetings.
- Updates web pages for the Dean's Office.
- Coordinates, in consultation with the Associate/Assistant Dean of College, elections for the A&S Council and other committees.
- Assumes such other tasks as are necessary and helpful in keeping the office in operation.
Each fiscal-year budgets typically are distributed near the beginning of the fiscal year. Management on a day-to-day basis of the budget, including the handling of invoices and reimbursements, is assigned to Budget and Office Manager. Initial questions relating to the budget should be addressed to her.
It is essential that the Arts and Sciences information in the Drake catalog be revised regularly. Chairs must be responsible for ensuring that the catalog copy accurately reflects program requirements and course descriptions. Chairs are urged to record changes in a copy of the current catalog as they occur, thus minimizing the labors required as deadlines approach. Particular attention should be paid to removal of courses that are not regularly offered and to ones recently approved.
Class schedules are to be prepared by department chairs or designated representatives, who will be notified of due dates by the Associate Dean. Course schedules are sent to the Associate Dean who will prepare a composite schedule to be reviewed by the Dean before it is forwarded to the Office of Student Records. Chairs or their representatives will be asked directly by the Office of Student Records to review and proofread final versions of course schedules before they are printed.
Duplication Services and Options
Photocopying and other printing may be done at the University print shop (most economically), at the copying machines in department offices or area, or at the Arts and Sciences office. Please bear in mind that only small quantities should be printed on the department machines.
Faculty Office Assignments
All office assignments and reassignments, including those of part-time faculty must be approved by the Dean before individuals situate themselves. Building utilization decisions must involve full consultation as part of the standard procedure.
The following considerations prevail in making assignments:
- Proprietary claims based on history and tradition will be respected in principle, but they will lose their force in practice in the face of the urgent necessity of placing people in suitable offices according to the priorities outlined below.
- Changed responsibilities and changed College needs may require reassignment of faculty from one office to another and possibly from one building to another. Changes in the size of departments will affect their location and relocation.
- In determining assignments, three principles guide assignment: proximity, position, and seniority:
- A principal goal will be to keep all members of a department in proximity, at least in the same building. However, a department may have the prerogative of declining an office assigned if it places a higher priority on allowing a senior faculty member in another department to remain in a specified office. In such instances, the faculty member in the department is assigned to the office to which the senior member was to have moved.
- Priority in office selection is to full-time tenured and tenure-track faculty, followed by full-time visiting faculty. These ranks are followed by full-time teaching lab assistants, part-time and emeritus faculty who are teaching and post-doctoral people supported by grants; in these cases it may be necessary to have two or three people sharing an office.
- Others things being equal, seniority plays an important and possibly decisive part in making office assignments.
- Space provided for emeritus faculty who are not teaching has the lowest priority.
Student awards are presented at the annual Honors Convocation, which occurs in April each year. Department chairs are expected to provide information on all award recipients on the appropriate form. The task of coordinating awards may be assigned to a member of the department.
Among the College-wide awards is the Sheslow Award for Leadership and Achievement; students having completed their junior year in pursuit of a B.A., B.S., or B.F.A. degree are eligible. Chairs are asked to nominate outstanding students as prospective recipients.
The Edward C. Truman Award in the Humanities is another extra-departmental award; it is administered by the Humanities Center.
The Centennial Scholar Award is presented in even-numbered years to a faculty member in the College in recognition of distinguished achievements in scholarship. The guidelines are in the Faculty Policies Handbook.
Additionally, a Teacher of the Year is honored annually. Student and faculty nominations are solicited during the Spring semester. The selection is made by a committee composed of previous winners.
The Stalnaker Lecture Award is presented to a distinguished faculty member who is invited to present a lecture to the University community on a topic in his or her discipline in September or October.
Chair involvement in nominations of candidates for student awards, such as the Sheslow Award, is important. Appropriate forms are distributed at the time of the call for nominations.
Orientation of New Faculty and Review of Responsibility for Established Faculty
The Dean conducts orientation sessions with new faculty, sometimes drawing upon the expertise and experience of faculty veterans.
Department chairs are responsible for orienting new faculty in their departments on the following (which provides a good list of items to be reviewed in a department meeting at the beginning of the year):
- Faculty responsibility in establishing class attendance policies
- Academic dishonesty/plagiarism policies
- The importance of beginning class meetings on time and meeting classes regularly
- Drop/Add policies, practices, and forms
- Advising responsibilities
- Midterm grade reports for entering freshmen
- Grading practices
- Final exam policies
- Meeting classes the day before vacation periods
- Dead day - a day free for study
- Reporting incomplete grades
- Changing grades (permissible only to correct calculation errors and omissions and to record a grade in place of an Incomplete)
- Requisitioning and purchasing procedures
- Textbook requests for the bookstore
- Phone usage (including the use of phonemail)
- Incoming and outgoing mail
- Procedures for referring students for tutoring or to the Math Lab and Writing Workshop
- Computer services
- Professional Activities Records/Evaluations
- Applications for travel grants
- Services provided by department secretaries
- And such others as are specific to departments
Recruitment of New Faculty
The document "Policy and Process for Review of All Faculty Position Vacancies - FY'05/FY'07 October 2002" provides detailed guidelines for conducting Searches. That document will supercede any conflicting directives in this document.
- The formal process for recruiting new faculty is set in motion by completing the "Case Statement for Authorization to Fill a Tenure-Track Position." The case statements should be pre-pared with the expectation that they will be reviewed by the Faculty Cabinet, other department chairs, the Council of Deans and the Provost and that they will be available to the President for review upon request.
- Authorization to recruit typically will be given orally, although written confirmation by the Dean, for the record, is required.
- As the search progresses, five very important considerations should always be borne in mind:
- An authorization to begin a recruitment is only that. It is NOT a guarantee that the position for which the recruitment is authorized will be filled. Circumstances change, and authorizations are sometimes withdrawn. Recruitment must be conducted with this reality in mind.
- Every recruitment must be seen as an opportunity to identify and recruit minorities and women, the appointment of whom would address the racial and gender imbalances that characterize Drake's staffing pattern.
- The eventual appointment to which the recruitment should lead is always and without exception dependent on the availability of funds as a result of a careful review of the prevailing budgetary situation. Again, authorization to conduct a search, even to the point of bringing candidates to the campus, is not a guarantee that an appointment will eventually be made.
- Appointments of faculty are made only by the Provost. Until the Provost gives his or her approval, the recruiting department should impress upon candidates the understanding that every action by individuals or the department or the Dean is a recommendation only.
- Every recruitment should be seen as part of a larger effort to strengthen the College and the University. Drake is an inviting place for persons looking for desirable teaching opportunities, a fact that is sometimes lost on those who have been here for many years and take its attractiveness for granted or who like to focus on the less happy side of their existences here. As the market in many fields turns from a buyers "market to a sellers," we must be careful not to undersell Drake.
- If the Provost authorizes a recruitment, carefully review the "Policy and Process for Review of All Faculty Position Vacancies." This policy statement has important language for advertisements and instructions for various parts of the recruitment process. (A copy may be obtained from the Dean's Office.) The comments that follow are supplements to that policy document.
- Committee Composition
- Search committees in all instances must include women. If there are no women in a given department, someone from another department must be asked to serve.
- It is strongly recommended that every search committee include one person from outside the department conducting the search.
- It is also recommended that each search committee include a student member.
- The chair of each search committee is asked to maintain the following on file in the office of the Assistant to the Dean:
- the notice of the position vacancy approved by the Dean and the Provost; the position notice should not give a deadline for sub-mission of applications; rather, it should state that "review of applications will begin on . . . ."
- copies of the texts for all announcements, a list of all places where they are to be published, and copies of the announcements when they are published; these announcements must be approved by the Provost and by Human Resources before they are submitted for publication;
- a copy of any special rules of professional associations regarding recruitment in your discipline;
- the membership of the departmental search committee with its chair identified;
- an outline of the timetable the committee will follow;
- the locations and dates of meetings of professional organizations to which we might send one Drake representative to screen candidates for further consideration;
- a sample of the letter acknowledging receipt of applications;
- a sample of the letter advising candidates that they are no longer under consideration or that someone else has been appointed;
- a Request for Faculty Interview Form.
- In-person interviews should be preceded by telephone interviews involving two or more members of the search committee.
- Before invitations for interviews may be extended, the Request for Faculty Interview form must be submitted to the Dean and the Provost and approved. This requirement is not waived. The appropriate forms are available in the Dean's office.
Throughout the search, recruiting departments should be mindful that they must keep good records of the racial, ethnic, and gender composition of the group of candidates considered and especially those interviewed.
- Interviews typically begin one day and continue through the next. A candidate should rarely have to remain over two nights. Bringing a candidate to the campus requires the Dean's and Provost's approval. Typically, no more than two candidates will be interviewed for a single position; a third candidate may be invited only with the Provost's approval.
The chair of the search committee is responsible for monitoring and recording all expenses and submitting the reimbursement forms. Some recruitment expenses are borne by the Provost's Office. A budget will be established by the Provost's Office for each search. The College must cover all costs in excess of the budget established by the Provost. Every effort should be made to keep recruitment expenses to a minimum.
- Candidates should be interviewed by the search committee, by as many members of the department as possible, by students, by the Dean, and the Provost. Each person conducting an interview should have a copy of the complete interview itinerary and the curriculum vitae of the candidate. The Dean should have copies of the reference letters.
- Candidates should be informed as far in advance as possible that they will be asked to make a formal presentation in their discipline during their time on campus. Publicity concerning this presentation should be designed to draw students and faculty beyond the department to attend. Special efforts should be made to invite students majoring in the discipline of the candidate.
- Following the interviews, it is the responsibility of the chair of the search committee to solicit and record comments of all who have interviewed the candidate. They should not wait for the interviewers to get around to calling them.
- Immigration-status questions can be problematical. The only direct question about status that may be asked, Human Resources informs us, is: "Are you legally authorized to work in the United States?" If you have other questions, contact the Dean or Human Resources.
- The main rules concerning immigration status are two:
- Don't assume anything.
- Make no promises to the candidates concerning what is likely to happen. [See the footnote to this section for important details!]
- [* Notes to be observed in making appointments of persons who are not U.S. citizens: Nonimmigrant visas are issued in accordance with the Immigration and Nationality Act. Most students receive F-1 visas and enter the United States in F-1 status if they are entering to pursue a full course of study in an academic institution or to engage in language and training. They are given M-1 status if they are entering for the purpose of pursuing a full course of study at an established vocational or other recognized nonacademic institution. Some are in J-1 status. A few may also hold other classifications (sometimes as dependents), such as temporary worker. Foreign scholars (professors, researchers) are usually in J-1 or H-1 status.
- The Department of Human Resources has a manual that contains sections on each of the non-immigrant classifications most frequently encountered in the field of international educational exchange, namely, F students, M students, J exchange visitors, and H temporary workers or trainees. A principal purpose for including these paragraphs is to persuade all chairs that they should not go it alone in dealing with immigration status questions.
- Questions about who pays the legal costs of dealing with immigration questions. The only rule of thumb to follow is this: Don't assume anything. Make no promises. Always consult with the Dean.]
- Recruiting departments are responsible for observing all of the procedures specified by the Department of Human Resources concerning:
- Request for Faculty Interview Form
- internal and external posting of the position announcements
- interviewing—what's legal to ask and what is not
- appointment letters
- When a department agrees upon a recommendation, the chair of the search committee presents it to the Dean. If the Dean endorses the choice, the Provost, Dean, and the chair agree upon the terms of the proposed appointment. The Dean then calls the candidate to determine continued interest, discuss the terms of a possible offer, and if appropriate, to make an oral offer. The candidate should be given a reasonable period of time to decide whether to accept or decline the offer. It must be stressed, when the offer is made, that the purpose of the offer is to determine if the candidate would accept a written offer from the Provost. The oral offer is not binding.
- The Dean should be kept informed of the progress of the search. The best way to do this is through email or phone calls when there are developments worth reporting. When a short list is agreed upon, the vitae of those on it should be reviewed by the Dean before candidates are invited for interviews. The Provost's preference is to see them close to the time of the campus visit.
- Once the search is successfully completed, with the appointment made, it is important for department chairs to:
- stay in touch with the new recruits
- welcome them upon arrival
- be responsible for ensuring that their offices are ready
- introduce them to people and procedures they need to know right away
- make them feel at home as quickly as possible.
Recruitment and Appointment of Part-Time And Adjunct Faculty Members
For every appointment or reappointment of a part-time faculty member, a Part-Time form must be filed. Without the filing of the form, no budgetary commitment will be made--and no budget commitment, no appointment. Please use the form that is dated for the current academic year.
- For fall semester, forms are due in late January.
- For spring semester, forms are due in the fall when the spring class schedule is submitted in September.
- The recruitment of part-time and adjunct faculty is the responsibility of department chairs in consultation with members of the department and the Dean.
- Recommendations for initial appointment should be accompanied by a current curriculum vitae.
- The appropriate "Part-Time form" must be submitted for every appointment.
Reappointment Of Part-Time and Adjunct Faculty
- Because part-time appointments are never of a continuing nature, a new appointment must be made each term that an individual is asked to teach (only in special circumstances and on rare occasions do we make two-semester appointments).
- The appropriate "Part-Time form" must be used for reappointment.
Department administrative assistants, in coordination with chairs, are responsible for providing faculty and chairs with appropriate forms in a timely manner. The forms, all of which are available from the Dean's office, include the following ones listed below. Those preceded by a bullet should be kept in the appropriate quantities in department offices by department secretaries. (Whenever possible, forms should be submitted electronically. Department administrative assistants have the appropriate forms.)
Application for Travel Grant: To be provided to all faculty upon request. Once completed, this form should be submitted electronically to firstname.lastname@example.org.
Arts and Sciences Course Proposal Form: To be used for recommendations to the Curriculum Committee. This form is subject to annual revision upon the recommendation of the Curriculum Committee. This form is to be submitted electronically.
Arts and Sciences Course Change Form: To be used to submit requests for or information about changes in already approved courses. This form is subject to annual revision upon the recommendation of the Curriculum Committee. This form is to be submitted electronically.
Degree Audit Change Form: To be sent to the Office of Student Records after Council action is completed. The chair of the sponsoring department is responsible for submitting the form to the Registrar.
Arts and Sciences Honors Convocation - Student Award: To be given on March 1 to department chairs or the person designated to prepare the department's forms in time for submission to the A&S office by April 1st before the Honors Convocation. This form should be transmitted electronically.
Case Statement for Authorization to Fill a Tenure-track position: To be used by departments when requesting permission to fill a vacant tenure-track position. Obtain the form from the Dean's office.
Checklist for the Recruitment File: To be used by departments that have been authorized to recruit new faculty. Provided by the A&S office when recruitments are authorized.
Checklist for Reviewing Department Statements on Criteria and Procedures for Faculty Evaluation: To be used by department chairs in working with faculty as they review the statements; distributed by the A&S office at appropriate times.
Part-time and Adjunct Faculty: Recommendation for Appointment or Reappointment: To be filed by chairs with the class schedules for each semester (for spring semester-submit in September with the schedule, for summer and fall semester-submit in January with the schedule) to make an appointment or reappointment, which cannot occur without this form. Forms to be submitted electronically.
Professional Activities Record: To be distributed by department secretaries on December 1 to all tenure-track faculty and every three years for all tenured faculty.
Professional Activities Evaluation: To be used by department chairs for evaluation of faculty using PARs.
Professional Activities Highlights and Evaluation: To be distributed on December 1 according to scheduled reviews for tenured faculty.
Professional Activities Highlights and Evaluation (Department Chair): To be given to department chairs for their use on December 1.
Sabbatical Leave Application Cover Sheet: To be given on September 1 to all faculty eligible to submit applications for a sabbatical leave for the subsequent academic year.
Office and Classroom Schedule (OCS): To submitted via the website to the A&S Dean's Office by the second Friday of the term.
Tenure and Promotion
Defining Department Standards
The faculty policies handbook calls for each department to establish criteria for evaluating teaching, scholarship, and research. The handbook is the prevailing document on all matters it addresses, and all department documents and practices must be consistent with it. See section 3.1.
Department chairs are required to direct and manage the process for complying with the policies specified in these paragraphs. To address differences between departments as they pertain to teaching, scholar-ship/creative activity, and service, each department develops statements on criteria and procedures for faculty evaluation, in compliance with the provisions in the concluding paragraphs of each of the Handbook sections. These statements are reviewed for approval by the Dean as revisions are proposed, with College-wide review of all statements occurring at least once within each five-year period.
Review of Untenured Faculty
Each year the Dean sends a memorandum to all tenure-track faculty that draws attention to key consideration in the tenuring process. Its most important point is the progressive nature of expectations during the course of time in the tenure track. The memo distributed in August, 2007, which follows, is representative; the memo is subject to revision and editing each year:
TO: Tenure-track Faculty in the College of Arts and Sciences:
COPY: Department Chair
FROM: Joe Lenz, Dean of Arts and Sciences
RE: Criteria, procedures, expectations, and timetables for reappointment and eventual tenure in the College of Arts and Sciences
Welcome back to Drake for the new academic year. As a follow-up to the meeting of the tenure-track faculty with the Dean and the Chair of the Promotion and Tenure Committee in the spring I am sending this.
Each year the Dean of Arts and Sciences sends a memorandum to all tenure-track faculty concerning the criteria and expectations for faculty performance as they apply to persons in the tenure track. It is intended to ensure that you are well informed on the matters it addresses. I encourage you to discuss this memorandum, as well as documents cited in it, with your department chair.
The criteria, expectations, and procedures for the awarding of tenure are stated in the College handbook (3.1) , now found on-line, and in the statements on criteria and procedures for faculty evaluation prepared in each department (and, consistent with the handbook requirement, approved by the dean). My purpose here is to call them to your attention in explicit terms and to offer to respond to any questions you might have as you seek to qualify each year for reappointment and eventually, following successive reappointments, for tenure.
The following summary reflects established practices, as it relies heavily on statements previously issued. It is intended primarily to supplement and elaborate on the College handbook, the faculty evaluation procedures, the department statements, and the traditions of the College. In case of any unintended discrepancies, the Faculty handbook takes precedence.
[Note: This is a slightly revised version of the one distributed on December 17, 1998, which, in turn, incorporated revisions made since the first one was issued on February 29, 1988.]
As the chief administrative officer of the College, the Dean has primary responsibility for personnel recommendations. The recommendations are based on careful annual evaluations and rigorous reappointment judgments by faculty in the departments of the College. Such evaluations and judgments are essential to ensure the strength of the faculty and the College. In addition to the forms completed for all faculty, department chairs, in consultation with the tenured faculty in their departments, provide more detailed assessments of the performance of persons in their departments who are in a probationary, tenure-track status. These assessments are submitted on or before these specified dates: November 15 for second-year faculty; February 15 for first, third-, fourth-, and fifth-year faculty.
Professional Activities Records should be presented to chairs one month before these due dates (they may be in tentative form for second-year faculty, since the due date comes before the end of the calendar year the PAR covers). Submission on these dates is necessary to permit decisions on appointment or non-reappointment by the dates stated in the AAUP guidelines to which Drake subscribes: March 1 of the first year of academic service if the appointment expires at the end of that year; December 15 of the second academic year of service if the appointment expires at the end of that year; and at least twelve months before the expiration of an appointment after two or more years of service at the institution. (See the Administrative Procedures handbook, Part I, for more information on PAR 's and PAE 's. The forms to be used are available from department secretaries.)
Annual reappointment involves consideration of two separate elements: a) an administrative element, in which the place of the faculty position in the programs and plans of the University is reviewed, taking into account the educational needs and the resources of the University and determining whether the line supporting the position shall be retained in the budget; and b) a performance element, in which the person holding the position is reviewed for quality of performance with respect to all of the evaluative criteria.
Probationary appointments of tenure-track faculty are one-year employment commitments, subject to annual evaluation to determine whether reappointment is warranted, based on both elements stated in the previous paragraph.
Tenure-track appointments typically require a probationary period of six years of service to Drake, or years of service totaling six, with no more than up to three years being credited for service in other institutions prior to coming to Drake. The number of years of service to be credited is agreed upon at the time of the initial appointment. Departments may recommend candidates in advance of the agreed-upon date, but postponement beyond this date is not permitted
The probationary period is the time for the faculty member to demonstrate her or his professional competencies and to establish a record of accomplishment for tenure review. Annual renewal of an appointment during the probationary period is not, in and of itself, an assurance of an eventual award of tenure. The granting of tenure depends both upon a demonstrated record of professional accomplishments and the University's long-term commitment to renewal of the position in the budget at the time of tenure consideration.
Faculty members are expected to meet stipulated performance criteria, and the College gives feedback concerning the sufficiency and quality of performance on the various aspects of their responsibilities and assignments. The feedback comes informally through conversations with the chair and colleagues in the department and formally in the annual Professional Activities Evaluation prepared by the department chair, as well as in other documents consistent with the practices in each department. The faculty member is at all times responsible for her or his progress toward an acceptable merit review at the time of consideration for tenure.
As the Faculty handbook makes clear, there are four basic criteria for the evaluation of faculty for reappointment.
- The first criterion is teaching effectiveness, which includes performance of any relevant teaching activity whether in the classroom, laboratory, studio, on-line, or in individual tutorial situations. It requires expertise in the discipline and mastery of the subject matter as well as the ability to select and implement appropriate pedagogical strategies to organize materials and activities for the accomplishment of student learning outcomes and to carry out formative and summative evaluations of student achievement. Effective teachers present materials clearly; conduct classroom, laboratory, studio or tutorial activities purposefully; engage students' minds and motivate them to perform to the best of their ability; create interaction when appropriate among students and between students and the professor, and develop students' skills consistent with course objectives. Each department typically specifies how evaluative information on teaching is to be gathered and reviewed, and faculty members are expected to provide their peers with materials for review that can help demonstrate their contribution to student learning.
- Scholarship/creative activity, which reflects intellectual or artistic growth and development, is the second criterion. As the handbook indicates, scholarship may have various manifestations. Research that generates new knowledge in a discipline or on teaching a discipline usually leads to the publication of articles (typically in refereed journals) and books. Creative activity includes artistic work that is subject to critical review, publication or performance of original musical compositions, exhibitions of art work in individual or group displays, involvement in either the technical or creative aspects of theatrical productions, and public readings of one's own creative writing in prose and/or poetry. Each department's statement on criteria and procedures for faculty evaluation provides elaborations, if deemed necessary, on the specific expectations concerning the demonstration of scholarship and/or artistic achievement in the discipline of its members.
The College of Arts and Sciences does not confine the idea of scholarship to publication, nor is creative performance measured strictly in terms of mandatory external review. Nonetheless, as is evident in the preceding paragraph, faculty members are expected to use significant modes of externalizing their scholarly or artistic ideas, insights, products, or creations. An idea or product which cannot be subjected to some form of critical examination by peers is not scholarship or creative activity as here defined. Moreover, ideas or products for which recognition is expected must be presented for review by colleagues in the department.
[An excellent statement on assessing scholarship appears in Saints and Scamps: Ethics in Academia, by Steven Cahn: "Few who oppose the 'publish or perish' principle would object to the demand that faculty members 'think or perish,' yet to publish is to make available to all the results of one's best thinking. Professors who fail to do so must seek alternative ways of providing clear and substantial evidence of their intellectual vigor. If they are unable to shoulder the burden of proof, others are justified in doubting the quality of their thinking and, hence, of their teaching."]
- The third criterion is service, which includes contributions to the Department, College, and University with respect to committee work, the governance system, or the general welfare of the collegial and professional communities and effectiveness in academic advising. Faculty members can demonstrate collegial service in a variety of ways, and no comprehensive listing is attempted here.
The importance of the three areas in which evaluative criteria are applied is clearly in the following order: teaching, scholarship, and service. The ideal is a balanced performance in which effectiveness in teaching, which is given the greatest weight, is accompanied by excellence in scholarship and collegial service. Deficiencies in teaching cannot be offset by accomplishments in other areas, a light advising load may be offset by strength in service, and vice versa.
The Arts and Sciences Council has voted to separate advising from service creating a new evaluative fourth criterion is of Advising and Mentoring. Faculty should be competent not only in advising students on major or general education curricular requirements, but also in developing relationships with students and/or student organizations that help mentor students in the discipline as they prepare for graduate studies or professional careers. Tenure-track faculty should consult with their Department s are charged with developing statements regarding its unique criteria and evidence to be presented evaluation processes in relation to advising and mentoring.
Advising and Mentoring will be an evaluative area starting with evaluations during the 2001-02 academic year.
Review and Evaluation for Reappointment
Throughout the probationary period the faculty member should build a case for tenure in terms of these evaluative criteria, and the College should provide feedback at each evaluation period. Note that since growth as a teacher, scholar, and collegial contributor is expected, a performance judged to be excellent in the first year and second year would not necessarily satisfy expectations in later years.
The First Year: In the first year, evaluation focuses principally on teaching performance. If problems are apparent or difficulties are encountered but are judged to be correctable, then the faculty person is advised to find ways of improving teaching effectiveness. Student assessments of teaching effectiveness are required, and the counsel of colleagues in the department should be sought. Grant proposals for support of scholarly or artistic work should be initiated if appropriate. Service beyond departmental involvement and participation in basic College activities is generally not expected.
[Note: Those who have not completed the terminal degree in the discipline must be aware that attainment of the degree is expected by March 15 of the first year.
The Second Year: Due to the AAUP requirement that non-reappointment decisions be conveyed to faculty members in their second year of service by December 15th, evaluations are completed and decisions made before the first semester of the second year is completed. Teaching effectiveness remains a major focus of concern. There should be clear progress toward overcoming previous difficulties and continued good performance overall. Faculty members are required to use some form of student assessment, and peer observation to evaluate teaching effectiveness is strongly encouraged. In the second year, probationary faculty should show marked progress in establishing a record of productive scholarship and creative activity. The beginnings of a service record should also be indicated.
The Third Year: A balance in the teacher/scholar or teacher/artist role should be well established. Any teaching problems should now be overcome and there must be no doubts about solid teaching effectiveness. There can be no grounds for reservations about the performance and promise of the individual as a contributing teacher/scholar or teacher/artist in the College community. The role of the faculty member in the department and the College is an important part of the evaluation process because each faculty member is expected to be an active teacher/scholar or teacher/artist involved in service to the College and University communities.
[Note: Faculty members appointed in the tenure-track with credit toward tenure must be evaluated according to the timetable indicated in the fourth paragraph of this memorandum; however, they are expected to move quickly to satisfy the expectations implicit in the credit they have been granted toward tenure. For example, one appointed with three years of credit will be expected, by the end of the first year, to be performing in the roles and at the levels expected of individuals in the fourth year of the track toward tenure.]
The Fourth and Fifth Years: These reviews are considered "pre-tenure" reviews (which come sooner, of course, for those faculty members who come to Drake with credit toward tenure). In both quantitative and qualitative terms, the faculty member must present a close approximation of fitness for tenure. He or she must provide clear evidence that a high level of performance has been attained. Any teaching deficiencies or weaknesses must have been overcome. Actual scholarly or artistic accomplishment should replace the indications of promise that were acceptable at earlier stages. The faculty member should also be building a record of service and student mentorship.
Probationary faculty members should be aware that in the initial years in the tenure track their annual reviews are largely, though not exclusively, formative in character. The principal purpose of the reviews is to provide guidance, direction, and encouragement. Through the years in probationary status, the reviews incorporate a greater measure of summative considerations, as increasing attention is given each year to assessing the strengths and weaknesses of the persons being reviewed, with the purpose of judging providing advice on the prospects of eventual tenurability. These probationary reviews , however, do not prejudge the recommendations of the department, Promotion and Tenure Committee, or the Dean of Arts and Sciences in the reviews taking place in the final tenure year.
Tenure - Just what is tenure?
- Tenure is the awarding of a continuous appointment to the faculty member by the University.
- Tenure is recognition by the University that the individual to whom it is awarded has demonstrated qualities and achievements that embody the ideals and purposes of the University and that continued excellence in professional performance can be anticipated.
- Tenure is a means of ensuring academic freedom by the provision of career security.
- Tenure is a serious and virtually permanent commitment–a lifetime commitment–by the institution to a faculty member. The University's expectations of the faculty member are equally serious.
- Tenure is actively earned during the probationary period by demonstration of professional competence in performance as a teacher, as a scholar or artist, and as a member of the University community.
Responsibility for initiating and establishing the record that justifies annual reappointments and eventually the awarding of tenure rests with the faculty member.
There can be no excuses and no equivocation in the review process preceding the tenure decision. When the decision point is reached, the faculty case must be clear-cut for tenure. If you have any questions on the criteria and process for tenure please consult with your department chair or with me as appropriate.
· · · · ·
For the record of:
Year of mandatory review, assuming annual reappointments:
xc: Provost Troyer
Counseling Tenure-Track Faculty
Department chairs should be certain that tenure-track faculty are aware of and understand the significance of the following:
- The essential criteria defining the terms of tenure-track appointments are stated in the Faculty Policies Handbook, section 3.1. While further criteria are found in the statements on criteria and procedures developed by departments and approved by the Dean and in the guidelines for preparing credentials for tenure and/or promotion review, these statements and guidelines must be consistent with the College's criteria and procedures. Should there be apparent or real discrepancies between the Faculty Policies Handbook and the department statements, our efforts to prevent them notwithstanding, the Faculty Policies Handbook prevails.
- If there are special provisions or conditions for any tenure-track faculty members, they are noted in appointment letters. As far as the changes in responsibilities that occur during the years of a probationary appointment are concerned, section 3.1.25 of the Handbook should be noted: "Evaluation of a candidate for tenure and/or promotion shall take into account the evolution of the candidate's responsibilities as reflected in the assignments made and accepted and in initiatives undertaken by the candidate to accomplish the objectives stated in the criteria outlined below from the date of initial appointment to the time of consideration for tenure and/or promotion. These assignments and initiatives should be reflected in the annual evaluations in the candidate's personnel file."
- The memorandum the Dean distributes annually to tenure-track faculty (see #2 above) is an elaboration on the Handbook. There is nothing contractually binding in it, and it is always secondary in importance to the Handbook. Should there be apparent or real discrepancies between the Faculty Policies Handbook and this memorandum, the Dean's and chair's efforts to prevent them notwithstanding, the Faculty Policies Handbook shall prevail.
- Council-approved Guidelines for Preparing Credentials for Tenure and/or Promotion Review are given to all department chairs, first-year faculty, and faculty to be reviewed for tenure and/or promotion in any given year. They are intended to suggest the format and content of materials to be reviewed by department and College committees and the Dean.
- Consideration for tenure assumes satisfactory reviews each year leading to reappointment. When performance is not satisfactory, terminal appointments are made and review for tenure does not occur. Indeed, review for tenure, as such, occurs only in the year specified in the appointment letter (or in an earlier one if a department decides to move someone ahead of schedule). Until that year, the review concerns reappointment only.
- The responsibility for establishing warrant for tenure rests with the candidates. In other words, if tenure is denied and the denial is appealed, the University is not obliged to prove that the individual does not qualify for tenure. For tenure to be gained, the candidate must present a record that demonstrates that tenure is warranted.
- At Drake, as in most universities, the strongest cases for tenure and promotion are typically presented by those who haven't worried too much about "what do I have to do?" or fussed about the criteria and procedures. They simply establish a record of persistent excellence in all aspects of their work, doing the things characteristic of teacher-scholars and teacher-artists who are committed to their disciplines, their students, and the institutions in which they work. Their inner-direction, in Riesman's term, compels them not only to do it, but to establish a life that ensures that they will keep on doing it long after a tenure decision is made.
- No one underestimates the seriousness of reappointment and tenure decisions. The members of departments making recommendations for reappointment and the Promotion and Tenure Committee of the College approach their responsibilities with full awareness that their decisions affect both individual lives and the well-being of the institution they serve. The committees consistently acts with integrity and honor. Tenure-track faculty can be confident that future committees will act in the same fashion.
Recommendations Concerning Tenure-Track Faculty
Performance evaluations of tenure track faculty are an essential part of the review and recommendation process. Due dates are given below.
First-year faculty members who will not be recommended for reappointment are to be so notified, by AAUP standards, as early in the academic year as possible. At Drake, we have established March 1 as the target date. Recommendations concerning first-year faculty must therefore reach the Dean no later than February 15 to allow time for consultation and counseling. In the event of negative recommendations, it is assumed that consultations with the Dean will have begun much earlier.
Second-year faculty: AAUP guidelines provide for early notification (December 1) of second-year faculty members in cases of non-reappointment. Accordingly recommendations regarding reappointment or non-reappointment of persons in each department must be made by the department chair, in accordance with established departmental procedures, and submitted to the Dean no later than November 15, again, to allow time for consultation and counseling. Again, in the event of negative recommendations, it is assumed that consultations with the Dean will have begun much earlier.
Third- through fifth-year faculty: Recommendations concerning the reappointment of third-, fourth-, and fifth-year faculty members must be submitted by February 15. Recommendations of third year faculty are regarded as particularly critical. Persons for whom the eventual attainment of tenure is regarded as at all problematical should not be recommended for reappointment at any stage, but particularly not at this time.
Recommendations concerning candidates for tenure in the year of mandatory review are due in the Dean's office October 1. This means that department review processes must be completed by this time.
In the evaluation leading to the recommendation at every stage, chairs and departments address both the strengths and the weaknesses of the faculty member in the areas of teaching, scholarship advising, and service. The evaluation must reflect the agreed-upon standards of the department as required by the College tenure policy as stated in the College handbook (see also #1). The recommendation should include an indication of its strength, whether positive or negative, and the degree of involvement of members of the department in arriving at the recommendation.
Criteria and Procedures for Evaluation of Tenure-Track Faculty
Recommendations for reappointment or non-reappointment of tenure-track faculty are made each year by all tenured faculty in each department.
Procedures: The procedures to be following in the annual evaluations are:
- The faculty members should complete a PAR and provide that and any other evidence of performance to the department chair by a specified date.
- The materials submitted should be reviewed by all tenured faculty members in the department.
- The chair, or another faculty members specified by the department, must write a memorandum recommending reappointment or non-reappointment of the tenure-track faculty member. This letter should provide thorough comments evaluating teaching, scholarship, service and advising.
- The evaluative memorandum presenting the recommendation to the Dean should record who participated in making the recommendation, and the recommendation must be signed by all tenured faculty (persons on sabbatical or other leaves of absence may be excused). [Note: All tenured faculty members, except those on leave, are required to participate in the evaluation.]
- Questions that are likely to arise from the recommendation should be the subject of a discussion between the department chair and the Dean at least several weeks before the recommendation is formally submitted. A conference between the Dean and the department chair about the recommendation regarding third-year and fifth-year faculty members is required, and it is preferred in all instances.
- Each year the evaluation of tenure-track faculty should assess teaching, scholarship, service and advising. These should be discussed using the same criteria that are to be addressed in the tenure document should be used. These are detailed in the Faculty Policies Handbook, Section 3.1.3 Criteria for the Review of Faculty Performance.
- In the evaluation leading to the recommendation at every stage, chairs and departments address both the strengths and the weaknesses of the faculty member in the areas of teaching, scholarship/creative activity, service and advising.
- The evaluation must reflect the agreed-upon standards of the department as required by the College tenure policy as stated in the College handbook. The document should indicate the (a) strength of the recommendation, (b) whether positive or negative, and (c) the degree of involvement of members of the department in arriving at the recommendation.