Senate Resolution No. 0405-1R
Resolution
December 6, 2004
Introduced by
Senators Robert Geer, Steven Messner, R. Michael Range, and James Wessman
Whereas the President of UAlbany asked the University Senate to review the proposed
CNSE Bylaws and CNSE Senate Charter and to advise him by October 8, 2004, and
Whereas the Senate charged the Governance Council to carry out such a review and to
report back to the Senate, and the Governance Council submitted its report to the Senate
on October 4, 2004, and
Whereas the Senate unanimously approved the recommendation of the Governance
Council to create a Working Group consisting of members of the Governance Council
and of CNSE to address the issues identified in the report, and the President has in the
meantime granted two extensions to allow the Working Group to diligently carry out its
charge, and
Whereas the Working Group has completed and unanimously approved a Memorandum
of Understanding concerning the subject of promotion and continuing appointment for
CNSE, and
Whereas the Governance Council has unanimously endorsed the MOU presented by the
Working Group, subject to certain changes in said document, and the MOU that is now
presented to the Senate incorporates said changes, and
Whereas procedures during the Interim Period, as detailed in the MOU, are analogous
and consistent with existing procedures for cases in which CPCA performs the second
level academic review, and
Whereas procedures detailed in the MOU that become effective after the Interim Period
are intended to apply to CNSE only, and are not intended to preempt the conclusions and
recommendations of the Ad-hoc University-Wide Governance Committee concerning
related procedures for other schools and colleges within the University, and
Whereas the MOU is respectful of Bylaws, Charter, and practices of the Faculty of the
University of Albany and its Senate, and the MOU recognizes that any procedure it
contains that is found to be inconsistent with the Faculty Bylaws and/or the Charter of the
University Senate shall become effective only after appropriate amendments have been
duly approved to remove such inconsistencies,
The Senate of the University at Albany hereby
Resolves to accept the MOU as the Senate’s advice to the President concerning the
subject of promotion and continuing appointment for CNSE, and further
Resolves to transmit the MOU to the President of the University at Albany, and further
Resolves to charge the Governance Council to
i)
Examine the Faculty Bylaws and the Senate Charter and solicit input from the
University Faculty regarding the specific question of potential inconsistencies
between the procedures for CNSE detailed in the MOU that are applicable
after the interim period and said Bylaws and Charter, and
ii)
Determine if there are inconsistencies between the procedures for CNSE
detailed in the MOU that are applicable after the interim period and said
Bylaws and Charter, and, in case such inconsistencies are identified,
iii)
Formulate specific proposals for such amendment(s) as may be required to
resolve such potential inconsistencies, and
iv)
Submit such proposed amendment(s) of the Charter, if applicable, to the
Senate for consideration and vote no later than at the March 14, 2005 Senate
meeting, and
v)
Submit such proposed amendment(s) of the Bylaws, if applicable, to the
Voting Faculty of the University at Albany according to Article IV. Section 3
of the Faculty Bylaws, for a vote at the earliest opportunity but no later than
the Fall 2005 Meeting of the Faculty.
Memorandum of Understanding
Promotion and Continuing Appointment Procedures for CNSE
December 8, 2004
The joint working group comprised of representatives of the College of Nanoscale
Science and Engineering (CNSE) and representatives of the Governance Council of the
University at Albany Senate submits the following Memorandum of Understanding
(MOU) for consideration by the University at Albany Senate. The MOU has been drafted
in response to Interim President Ryan’s request for “review and comment” from the
Senate on proposed Bylaws and Charter for CNSE and a Senate resolution authorizing
the formation of the joint working group to address issues pertaining to the articulation of
governance structures for CNSE and other units of the University. The working group
has chosen the important subject of promotion and continuing appointment to address
first. The following framework is the product of extensive deliberations and has the
unanimous support of all six members of the working group (identified below), which is
continuing its work on governance matters.
In view of the complex and sensitive nature of promotion and continuing appointment
matters, and given the detailed and precise agreements in the MOU, the following brief
summary of the key provisions of the MOU will help to clarify its scope and
implications.
I.
Summary
I.1.
For an interim period of at least 3 years the existing procedures for promotion and
continuing appointment will be followed for CNSE cases, exactly as they apply to
units such as the School of Criminal Justice, School of Social Welfare, and others
for which CPCA serves as the second level academic review.
I.2.
The end of the interim period is reached when CNSE meets specific criteria that
are detailed in section II.8. of the MOU, but not prior to the end of the 2006-2007
academic year.
I.3.
Certification that CNSE has met the criteria is the responsibility of the President.
Given the objective and precise nature of the criteria in section II.8., no other
review or certification by governance or any other entity is required .
I.4.
Upon certification that CNSE has met the criteria, CNSE will form its own second
level academic review committee that will carry out the second level academic
review for all CNSE cases.
I.5.
After the second level academic review by CNSE, CNSE cases will be
transmitted to CPCA.
I.6.
After certification that CNSE has met the appropriate criteria, the role of CPCA in
CNSE cases will be one of monitoring adherence to procedures and auditing cases
at random for a thorough review. Furthermore, a thorough review by CPCA will
be required in specific situations detailed in section II.6. of the MOU.
I.7.
The MOU does not imply any extensions of I.6 to any other school or college
within the university, nor does it make any recommendations affecting other
schools and colleges. The MOU encourages discussions of such matters by
governance and the schools/colleges that might consider such changes.
I.8.
If any of the details outlined in items I.1. through I.7. above is inconsistent with
the Faculty Bylaws and/or the University Senate Charter, said item(s) will only
become effective if appropriate amendments are duly approved by the Faculty or
the Senate, as applicable, so as to establish consistency.
II.
Memorandum of Understanding
II.1.
CNSE will be responsible for the first level of academic review for promotion to
the rank of Associate Professor and Professor and for continuing appointment.
a.
Personnel cases will be initiated at the level of constellation/department
according to the regulations of the particular constellation, and consistent
with university-wide guidelines and the terms and conditions of the
Agreement between New York State and United University Professions
concerning appointment, promotions, and continuing appointment
procedures.
b.
For three academic years, beginning with 2004-2005, CNSE will involve
faculty members from its other constellations in the first level academic
review process so as to build up experience among CNSE faculty to
thoroughly review cases throughout the full spectrum of CNSE research,
education, and service activities.
c.
The Head of the Constellation/Department will then carry out the first
level administrative review, and transmit cases, including his or her own
written recommendation, to the university-wide Council on Promotion and
Continuing Appointment (CPCA) during an interim period of at least three
academic years, beginning with academic year 2004-2005. The Head of
the appropriate Constellation/Department shall ensure that the
Constellation/Department’s recommendation as well as his or her
recommendation and the format of the cases is in full compliance with the
rules and regulations of Sections I and IV-B of the University at Albany
Faculty Handbook.
II.2.
During an interim period of at least three academic years, beginning with
academic year 2004-2005, CPCA will be temporarily the designated second level
academic reviewing body for CNSE and will carry out its responsibilities
consistent with university-wide guidelines, just as CPCA carries out the second
level academic review for faculty in several other units, such as Criminal Justice,
Information Science, Rockefeller College, Social Welfare, and University
Libraries. CPCA should consider adding criteria such as patents, inventions,
consulting, etc., to the metrics to be used to measure scholarship. It is further
recommended that a representative from CNSE serve on CPCA during this period
for evaluating cases and revising guidelines so they include unique aspects of
scholarship, teaching, and service in CNSE.
II.3.
CPCA will transmit CNSE cases, including its written recommendation, to the
Vice President of CNSE. The Vice President of CNSE will conduct the second
level administrative review, and transmit cases, including his or her own written
recommendation, to the President of the University at Albany-SUNY (UAlbany).
II.4.
The process outlined in items II.1. through II.3. above for promotion and
continuing appointment will be in effect until CNSE has matured and grown to a
critical mass of faculty and constellations/departments, as outlined in more detail
in section II.8. below. Once CNSE achieves this level of maturity and critical
mass, CNSE will be responsible for the full second level academic review, but not
prior to the end of the 2006-2007 academic year. The President shall be
responsible for certifying that CNSE has met the criteria and standards detailed in
section II.8., in consultation with the Chair of the University Senate, the Chair of
CPCA, the Provost, and the Vice President of CNSE. After certification by the
President, CNSE will form its own second level academic reviewing body
consisting of faculty from across the various CNSE constellations.
II.5.
Once established, the CNSE second level academic reviewing body shall perform
a full second level academic review according to university-wide guidelines for
promotion and continuing appointments by examining each case transmitted to it
by the Head of the Constellation/Department. This CNSE full second level
academic review process will be identical to the second level academic review
conducted by CPCA prior to CNSE achieving the critical mass defined in section
8. The CNSE second level academic reviewing body will then transmit cases,
along with its own written recommendation, to the CNSE Associate Vice
President for Academic Affairs. The CNSE Associate Vice President for
Academic Affairs will conduct his or her own administrative review and transmit
cases, including his or her own written recommendation, to CPCA.
II.6.
Once the CNSE second level academic reviewing body is established and
functional, the role of CPCA in CNSE cases shall be transformed to monitoring
adherence to procedures and auditing cases at random for a thorough review, to
ensure implementation of university-wide policies. Furthermore, a thorough
CPCA review of CNSE cases and recommendation to the Vice President of CNSE
will occur in cases that contain clear evidence of dissensus indicating that further
review is required. The latter consists of a negative majority vote at either
academic review level within CNSE, or a negative administrative
recommendation by either the Head of the relevant CNSE
constellation/department or by the CNSE Associate Vice President for Academic
Affairs. A consistently negative recommendation or consistently positive
recommendation at all four CNSE review levels does not constitute evidence to
activate a thorough review and recommendation by CPCA. A thorough CPCA
review and recommendation could also occur at the request of the President of the
University, or of the Vice President of CNSE, or of the candidate, regardless of
the nature of the recommendations of the four levels of CNSE review. A more
precise and detailed definition of the role of CPCA will be determined as soon as
practical in consultation between UAlbany Faculty Governance, CNSE, and all
the schools/colleges that have their own second level academic review, i.e., CAS,
School of Business, School of Education, and School of Public Health. This
process may include amendments to the UAlbany Senate Charter and/or UAlbany
Faculty Bylaws, as required.
II.7.
It is important to establish specific standards and criteria for CNSE to be entitled
to carry out its own second level academic review while ensuring academic
excellence and scholarship. Such standards and criteria are required for the
reasons outlined below.
a.
CNSE needs to know the applicable criteria so as to be able to develop in
such ways as to meet these criteria at some point in time.
b.
Such criteria would set the expectations of a unified governance structure
and thereby support such a unified structure.
II.8.
CNSE will be entitled to carry out its full second level academic review if and
only if all of the following criteria are met:
a.
Consistent with current practices, CNSE must consist of a minimum of
four independent departments/constellations with significantly different
foci (e.g., nanoscience, nanobioscience, nanoengineering, and
nanoeconomics).
b.
At least three of these departments/constellations must include a minimum
number of ten teaching faculty per department/constellation, i.e., teaching
faculty members (herein and hereafter identified as consisting only of
those members of the academic staff who have academic rank as defined
in the UAlbany Faculty Bylaws), whose primary academic affiliation is
within this specific department/constellation (no adjunct faculty or visiting
faculty are included for this purpose).
c.
Forty percent of the teaching faculty within each department/constellation
must be senior faculty members. For this purpose, senior faculty member
are defined as associate or full professors who have undergone the
promotion and/or continuing appointment process at UAlbany and/or
associate or full professors who have spent a minimum of six years in a
position of academic rank at an academic institution of higher learning.
d.
A minimum number of two continuing appointment cases (with or without
promotion as applicable) of teaching faculty within each
department/constellation must have been approved by CPCA while CPCA
carries out the second level academic review.
Date: December 8, 2004
Acknowledged and Agreed to By:
For the College of Nanoscale Science and
For the University Governance Council
Engineering
____________________________________
___________________________________
Robert Geer, Ph.D.
Steven Messner, Ph.D.
Associate Professor
Professor and Chair of Working Group
____________________________________
___________________________________
Alain Kaloyeros, Ph.D.
R. Michael Range, Ph.D.
Professor
Professor
____________________________________
___________________________________
Eric Lifshin, Ph.D.
James Wessman, Ph.D.
Professor
Associate Professor
