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Faculty Handbook 2021–2022Faculty Handbook 2021–2022SUNY EMPIRESTATE COLLEGE1 Union AvenueSaratoga Springs, NY 12866518-587-2100www.esc.eduRev. 9/2021SUNY EMPIRESTATE COLLEGE

Faculty Handbook 2021–2022SUNY EMPIRESTATE COLLEGE

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022iiTABLE OF CONTENTSPagePART I. INTRODUCTION . 1A.COLLEGE ORGANIZATION AND ADMINISTRATION .The Regents of the University of the State of New York .The Board of Trustees of the State University of New York .SUNY Empire State College .2222B.COLLEGE GOVERNANCE . 4C.SUNY EMPIRE STATE COLLEGE FOUNDATION . 5D.COLLECTIVE BARGAINING . 6E.POLICY CONTEXT FOR THIS HANDBOOK . 7PART II. GENERAL POLICIES AND PROCEDURES . 8A.TYPES OF EMPLOYEES . 8B.INITIAL APPOINTMENT . 9C.END OF APPOINTMENT .Retirement .Termination .Resignation .Responsibilities Prior to Departure .D.COLLEGE CALENDAR . 11Hours of Operation, Leave Accruals, and Holidays . 11Faculty Reading/No Appointment Periods . 11E.SALARY AND BENEFITS . 13Salary . 13Benefits . 13F.FACULTY OBLIGATION .SUNY Empire State College Policy on Faculty Utilization .SUNY Empire State College Faculty Responsibilities .Faculty Utilization Plan .Workload Consultation .1414141515G.PROFESSIONAL EXPECTATIONS .Professional Ethics .Intellectual Property .Academic Freedom .161616161010101010

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022iiiH.AFFIRMATIVE ACTION . 17I.AUTHORIZED TRAVEL . 18PART III. FULL-TIME FACULTY PERSONNEL POLICIES . 19A.ACADEMIC RANK, QUALIFIED ACADEMIC RANK, ANDCONCURRENT ACADEMIC RANK .Appointment to Academic Rank .Appointment to Qualified Academic Rank .Concurrent Academic Rank .State University of New York Distinguished Professor Ranks .Emeritus Status .Retired Faculty .19192020212121B.TYPES OF APPOINTMENT .Temporary Appointment .Term Appointment .Continuing Appointment .22222222C.INITIAL APPOINTMENT .Search Procedures .Qualifications for Tenure-track Appointments .Opportunities for Internal Transfer .Internal Candidates in Searches .2323232324D.GENERAL CRITERIA FOR FACULTY PERSONNEL REVIEWS .1.Mastery of Subject Matter .2.Effectiveness in Teaching .3.Scholarly Ability .4.Effectiveness of University Service .5.Continuing Growth .252525262727E.ADDITIONAL CONSIDERATIONS FOR CONTINUING APPOINTMENT . 28F.ADDITIONAL CONSIDERATIONS FOR PROMOTION IN ACADEMIC RANK .Promotion to Assistant Professor .Promotion to Associate Professor .Promotion to Full Professor .29292929PART IV. PERSONNEL REVIEW PROCEDURES . 31A.GENERAL PERSONNEL REVIEW PROCEDURES . 33Personnel Review Principles . 33Personnel Review Across College Settings . 34Procedural Information . 35B.CALENDAR FOR FULL-TIME FACULTY REVIEWS . 36Calendar for Spring Reappointment, Continuing Appointment, and Promotion Reviews . 37

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022ivC.NORMAL REVIEW CYCLE FOR FACULTY PRIOR TOCONSIDERATION FOR CONTINUING APPOINTMENT . 38Service Credit Toward Continuing Appointment (Tenure) Consideration . 38D.ANNUAL REPORT AND PLAN . 39E.REVIEW FILE . 40Establishing the Candidate’s Review File . 40Purpose of the Review File . 40Electronic Review File . 40Supplemental Review File . 40Electronic Review File Contents . 40Access to Electronic Review File Following Review . 42F.PROCEDURES FOR STUDENT ASSESSMENTS OF LEARNING EXPERIENCES (SALE) . 43G.SOLICITED LETTERS . 45H.DOCUMENT CORRECTION OR REMOVAL PROCEDURE . 46I.CANDIDATE PORTFOLIO . 47Required Elements of the Candidate Portfolio . 47J.INITIAL PEER REVIEW PROCEDURES .Voting Eligibility .Peer-administrative Consultation .Initial Peer Review Committee Composition .Initial Peer Review Committee Evaluation and Recommendation .Faculty Peer Reviewers’ Discussion and Vote .K.DEPARTMENT/SCHOOL LEVELADMINISTRATIVE REVIEW PROCEDURES . 52Associate Dean/Dean Responsibilities . 52Associate Dean/Dean Evaluation and Recommendation . 52L.ACADEMIC PERSONNEL COMMITTEE (APC) PROCEDURES .Academic Personnel Committee Composition .Academic Personnel Committee Responsibilities .Peer-administrative Consultation at the College Level .Academic Personnel Committee Evaluation and Recommendation .Participation by APC Members .APC Ballots .49494950505053535353535454M. COLLEGE-LEVEL ADMINISTRATIVE REVIEW PROCEDURES . 55President’s Review and Decision . 55N.AMENDMENT PROCEDURE .Initiation .Procedure for Amendment .Adoption .56565656

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022vPART V. PROFESSIONAL DEVELOPMENT . 57A.PROCEDURES FOR REVIEW OF FACULTY HOLDINGCONTINUING APPOINTMENT . 58B.PROFESSIONAL DEVELOPMENT PLAN . 59C.SABBATICAL LEAVE .Eligibility for Sabbatical Leave .Sabbatical Application Procedure .Sabbatical Application .Criteria for Sabbatical Award .Obligations of a Sabbatical Recipient .606060616161D.PROFESSIONAL DEVELOPMENT REASSIGNMENT .Eligibility for Professional Development Reassignment .Reassignment Application Procedure .Reassignment Application .Reassignment Selection Criteria .Reassignment to Other Roles in the College .626262636363E.CALENDAR FOR SABBATICAL AND REASSIGNMENT APPLICATIONS . 64Sabbatical Calendar . 64Reassignment Calendars . 64F.ADDITIONAL LEAVE, REASSIGNMENT, AND GRANT OPPORTUNITIES .Imperatore Award .Adult Learning and Mentoring Reassignments .Drescher Award .Externally Supported Leaves .Susan H. Turben Chair in Mentoring .G.PREPARING FOR A LEAVE . 67H.INDIVIDUAL PROFESSIONAL DEVELOPMENT AND TRAVEL SUPPORT . 68NYS/United University Professions Joint Labor-ManagementIndividual Development Awards . 68I.THE CENTER FOR MENTORING AND LEARNING AND ACADEMIC INNOVATION . 69J.COLLEGE PROFESSOR FOR ADULT LEARNING AND MENTORING . 71K.SCHOLARS ACROSS THE COLLEGE PROGRAM . 72L.ANNUAL COLLEGE MEETINGS . 73All College Conference . 73Fall Academic Conference . 73656565656666M. STATE UNIVERSITY OF NEW YORK FACULTY DEVELOPMENTOPPORTUNITIES RELATED TO TECHNOLOGY . 74

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022viN.ADDITIONAL PROFESSIONAL DEVELOPMENT RESOURCES .Faculty Reading/No Appointment Periods .Faculty Reassignments to Other SUNY Empire State College Settings .National/International Opportunities .External Employment and Extra Service .Grants/Applications for Outside Funding Support .Faculty Tuition Support .75757575757676O.AWARDS AND RECOGNITION .SUNY Empire State College Foundation Awards for Excellence .Altes Prize for Exemplary Community Service .James W. and Mary Elizabeth Hall Award .77777777PART VI. PART-TIME FACULTY . 78A.PART-TIME FACULTY .Part-time Faculty Appointments .Documenting Changes in Part-time Faculty Appointments .Rank and Title of Part-time Academic Employees .Peer Review of Part-time Faculty .Criteria for Review of Part-time Faculty .Department/School-level Administrative Review of Part-time Faculty .College-level Administrative Review Procedure .Calendar for Part-time Faculty Who Are Undergoing Peer Review for Reappointment .Notice Requirements .78787878787979798080B.ADJUNCT FACULTY .Qualifications .Appointment Procedures .Compensation .Types of Appointment .Status of Adjunct Faculty .818181818181APPENDICES . 831.Solicited Letter Consent Form . 842.Full-time Faculty Annual Report and Plan . 853.Department Chairs . 894.Continuing Development of Faculty Expertise and Competency . 925.Supplement to Professional Development Planning (Faculty Handbook Part V. Section B). 946.SUNY Empire State College Geographic Organization . 967.SUNY Empire State College Administrative Organization . 978.Members of President’s Cabinet . 98

SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–20221PART I. INTRODUCTIONThis handbook presents the faculty personnel policies and procedures of SUNY Empire State College,as well as resource information of particular interest to faculty (referred to in the collective bargainingagreement as “academic employees”). The primary audience is the individual mentor who is learningabout the college, preparing for a personnel review, or seeking a professional development opportunity. Thehandbook also is an essential guide for faculty serving on personnel review committees or serving as advisorsto colleagues, as well as for college administrators.The handbook is intended to provide an accessible treatment of important information. Much of the materialis based on other more formal or technical material (e.g., SUNY Policies). In general, the handbook refers thereader to original sources or specific offices or websites for technical information or further details, rather thanduplicating such resources. The reader is strongly advised to consult such sources directly.This introduction describes the larger organizational context for the policies, procedures and resourceinformation contained in the handbook.The State University of New York (SUNY), established in 1949, is the largest centrally-managed, multilevelsystem of public higher education in the nation. SUNY’s 64 institutions include four university centers; fourmedical centers (two of which — the health sciences centers at Buffalo and Stony Brook — operate under theadministration of their respective university centers); 13 colleges of arts and sciences including SUNY Empire;five specialized colleges; five colleges of technology; five statutory colleges administered in cooperation withCornell and Alfred universities, and 30 locally-sponsored community colleges.SUNY Empire was founded in 1971 to create new educational alternatives for the people of New York. In 1974,it was the first public, nontraditional institution of higher education to receive regional accreditation. In 2010,the Middle States Commission on Higher Education reaffirmed SUNY Empire’s accreditation for 10 years. Thecollege offers associate, bachelor’s, master’s degrees, and in fall 2021 started enrolling students into its firstdoctoral program.The college enables highly motivated adult learners to complete rigorous studies and earn degrees through aunique combination of academic features and resources. These include an onsite presence at locations acrossthe state of New York; individual plans of study; student-centered, mentored study in a variety of teaching andlearning modes, from guided independent study to online courses; and advanced standing credit for collegelevel learning.

2SUNY EMPIRE STATE COLLEGE FACULTY HANDBOOK 2021–2022A. COLLEGE ORGANIZATION AND ADMINISTRATIONThe Regents of the University of the State of New YorkThe University of the State of New York (as distinct from the State University of New York) is the organizationthat supervises New York’s entire system of elementary, secondary and higher education. The Board ofRegents, elected by the Legislature, governs the University of the State of New York. The chief executive officeris the commissioner of education, appointed by the Regents. The commissioner is responsible for the StateEducation Department, which oversees all public and private educational practices in the state of New York. Alldegrees offered by SUNY Empire must be registered by the New York State Education Department.The Board of Trustees of the State University of New YorkThe State University of New York is governed by a board of trustees, which is appointed by the governor.The governor also designates the chairperson and vice chairperson of the board. The trustees appoint thechancellor, the chief executive officer of SUNY. The Policies of the Board of Trustees (usually referred to as theSUNY Policies) is the basic document that details SUNY’s organization, governance, policies and procedures.Copies are available from the SUNY Empire Office of Human Resources and on the SUNY website.SUNY Empire State CollegeSUNY Empire is responsible to the SUNY Board of Trustees. The board’s authority is vested in the college’spresident through

Faculty Handbook 2021-2022 Rev. 9/2021 1 Union Avenue Saratoga Springs, NY 12866 518-587-2100 www.esc.edu SUNY EMPIRE STATE COLLEGE Faculty Handbook 2021-2022