Section 3.2 Faculty Appointments

Faculty Appointment and Reappointment

Initial Appointment (see Article 7, Section A, AFUM Contract)

UMaine Cooperative Extension faculty members serve under fiscal-year appointments. Faculty members who are employed in time to serve any portion of the period from July 1 through November 30 are appointed for a period that ends the first June 30th after their hiring. They begin their second year of service on the next day, July 1. Faculty employed after November 30 are considered first-year faculty until the July 1st following their first full year of employment.

Faculty Reappointment

University of Maine Cooperative Extension faculty members serve under fiscal-year appointments. Faculty members who are employed in time to serve any portion of the period from July 1 through November 30 are appointed for a period that ends the first June 30th after their hiring. They begin their second year of service on the next day, July 1. Faculty employed after November 30 are considered first-year faculty until the July 1st following their first full year of employment.

Faculty Reappointment

Faculty members in their first through fifth years of service are considered annually for reappointment or non-reappointment. The timing of the procedure for reappointment or non-reappointment differs, depending on the years of service of the faculty member.

All first-year faculty and all faculty holding fixed-length term appointments are reviewed for reappointment during January. Recommendations are forwarded through the regular procedure (see next section) to the UMaine president, who makes the final decision for reappointment and non-reappointment and notifies the faculty member by March 1. His/her decision takes effect the following July 1.

Second-year faculty reviews take place during the October promotion review committee meeting. The same procedure is followed; the president notifies faculty of his/her decision for reappointment/ non-reappointment by December 15, and that decision takes effect the following July.

Third- and subsequent-year faculty are reviewed during the April promotion review committee meeting. This includes all remaining faculty who do not have continuing contracts, unless they have indicated in writing their intent to resign at the end of the year. The same procedure is followed. The president decides prior to June 30 either for reappointment or appointment for a terminal year. The reappointment year or terminal year begins July 1.

By the sixth year of service, faculty members must be considered for continuing contract status or non-reappointment. Consideration takes place at the October promotion review committee meeting. If continuing contract status is not awarded, the faculty member will be given a terminal year appointment, which begins the following July 1.

Procedures for Faculty Reappointment (first- through fifth-year faculty)

Article 7 of the AFUM contract (PDF), Sections C and D, outlines a peer recommendation process for reappointment or non-reappointment. The main points of that process are summarized here and gives the appropriate procedures as approved by the vote of the UMaine Extension faculty in 2000.

The promotion review committee (PRC) meets to make recommendations concerning reappointment according to the schedule appropriate for length of service of the individual involved. A leadership team member, designated by the Director, convenes the committee. The ELT member may be present during the deliberations of the PRC, but does not participate in the discussion and does not vote.

The director provides, in writing, instructions to the promotion review committee on its responsibilities. These instructions are given at least four weeks prior to the deadline for submitting the committee’s recommendation concerning reappointment of first- and second-year unit members, and at least six weeks prior to the deadline for submitting the committee’s recommendation concerning reappointment of third- and subsequent-year faculty.

The instructions to the promotion review committee include the following:

The names of faculty who must be considered: consideration for reappointment or non-reappointment is automatic except for faculty who have submitted written resignations
The date by which the committee must make a recommendation
That the faculty member must have an opportunity to meet with and address the committee prior to preparation of the committee’s written recommendation
That the committee has access to the personnel file of the faculty member being considered

The faculty member prepares and submits a packet of information to the director to be used by the PRC in making its reappointment or non-reappointment decision. The packet includes all pertinent information and documentation. In completing the packet, the faculty member should keep in mind the evaluation and rank criteria for UMaine Extension (next two sections) and provide documentation relevant to those criteria.

For a complete description of the faculty reappointment process refer to UMaine Extension Faculty Performance Evaluation.

PRC members have a responsibility to hold their readings of personnel material and the content of committee discussions in confidence. The PRC bases its reappointment deliberations on Extension’s Evaluation Criteria and standards and Criteria for Extension Faculty Ranks.

The rules of voting used by PRC in recent years are that

each faculty member’s request is voted separately;
voting takes place on “Yes-No” ballots that are counted;
discussion follows a vote; any member should feel welcome to make statements that reflect a minority or majority view;
the majority rules; each committee member, however, may call for a second vote, after discussion;
immediately after each vote, committee members go through each question on the Evaluation Form to agree on comments to be written;
the chair appoints a PRC member to write the PRC’s recommendation; the form is then typed up and signed by all members of the PRC; and
PRC recommendations are given to the director, who sees that a copy of the committee’s recommendations goes to the faculty member.

The faculty member has an opportunity to respond to his/her supervisor, in writing, within one week of receipt of the PRC recommendation from the director. (The director ensures that the faculty member is aware of the right to respond in writing.)

By the end of the one-week response period, or after receipt of written comment, if any (whichever is earlier), the supervisor writes his or her recommendation.

The supervisor’s recommendation is forwarded to the faculty member and the director along with the faculty member’s written response, if any. Upon receipt of the supervisor’s recommendation, the director makes a recommendation to the UMaine Provost and the Provost makes a recommendation to the president.

The faculty member receives a copy of each recommendation at the time it is written. Subsequently, the president notifies the faculty member of his/her decision. At this time, the president returns all the pertinent material for inclusion in the personnel file. In keeping with the terms of Article 6, Personnel File (AFUM contract), unit members receive a copy.

If a faculty member grieves the president’s decision, the grievance will be filed with the first administrative officer (supervisor, director, vice president) making a negative recommendation. There is no provision in the contract for a faculty member to file a grievance against the PRC.

UMaine Cooperative Extension Evaluation Criteria

As adopted by the faculty in 2000, and called for in the AFUM contract, UMaine Extension has developed the performance areas, criteria and standards.

The six performance areas, with their respective criteria and standards, are described fully in Section II: Performance Areas, Criteria, Indicators, and Standards.

Criteria for Extension Faculty Ranks

In addition to evaluation criteria and standards, Extension has developed these criteria for faculty ranks. These criteria should be kept in mind when determining whether a faculty member has met the requirements for reappointment, promotion, and continuing contract.

1. Instructor

A minimum of a master’s degree is required for appointment to this rank. No prior experience is required, but formal education in subjects related to job assignment is expected. Instructors are expected to demonstrate an understanding of the process of Extension program development. In addition, they are expected to implement their assigned responsibilities successfully.

2. Assistant Extension Professor

A master’s degree is the minimum degree required, and experience in teaching, Extension or related work is necessary for appointment or promotion to this rank. Faculty members in this rank should show evidence of satisfactory performance in all areas of assigned responsibility and evidence of efforts to improve professional competence. Assistant Extension professors are also expected to show evidence of ability to implement the program development process, including evidence of ability to determine client needs, to establish program priorities and to conduct Extension or related educational programs.

3. Associate Extension Professor

A master’s degree is the minimum degree required, and a minimum of five years of teaching, Extension, or related work is necessary for promotion or appointment to this rank. Faculty members in this rank should show a sustained high level of competence in the implementation of all assigned responsibilities and should demonstrate evidence of continued professional development. Evidence of recognition as an educator in the assigned geographical area is expected. Associate Extension professors are also expected to demonstrate increasing skill in the program development process. At this rank, evidence of creative performance in the conduct of Extension or related educational programs is required.

4. Extension Professor

A master’s degree is the minimum degree requirement, and a minimum of eight years in teaching, Extension, or related work is necessary for promotion or appointment to this rank. Faculty in this rank should show evidence of sustained outstanding performance in the implementation of assigned responsibilities. Continued professional development through the exploration of new areas of Extension programming is required. There must be recognition as an educator beyond the assigned geographical area. In addition, Extension professors are expected to show excellent program development skills as evidenced by outstanding ability and consistent sustained performance in determining clientele needs, establishing program priorities and conducting Extension or related educational programs.

The Master’s degree requirement for rank is waived for Extension faculty appointed prior to 7/1/81.

Promotion and Continuing Contract Status

Preparation for Promotion and Continuing Contract

Before seeking promotion or requesting continuing contract, the ELT encourages a faculty member to meet with his or her supervisor and discuss the appropriateness of such a request in any given year. The supervisor is there in a supportive and helpful role. He or she can provide guidance, and share personal evaluations of whether the faculty member is ready for either continuing contract or promotion in accordance with the guidelines and criteria.

Continuing Contract

Faculty are normally required to submit their credentials and request promotion to Associate Extension Professor with continuing contract in their sixth year. Cooperative Extension faculty can request promotion sooner, and normally in their fifth year, if they meet the criteria specified in this section of the faculty evaluation guidelines. This section also provides information about circumstances where faculty are hired with years of credit toward continuing contract.

Although the AFUM contract and the language here provide for the possibility of awarding continuing contract prior to the sixth year, the awarding of continuing contract requires a sustained level of performance.

Procedures for Faculty Promotion and Awarding of Continuing Contract (see Article 9, AFUM Contract)

Faculty promotion and continuing contract reviews take place during the October meeting of the promotion review committee. Extension faculty must apply in writing to be considered for promotion, or for continuing contract prior to their sixth year of service. Consideration for continuing contract status is required for those unit members who are in their sixth year of service, unless they indicate in writing their intent to resign at the end of their current appointment.

In late summer each year, the director sends a letter to all faculty indicating the promotion and continuing contract deadlines, and requesting a letter of intent from those planning to pursue promotion or continuing contract. Faculty members then submit a letter of intent to the director that must be received by September 15. (The complete schedule for promotion and continuing contract consideration can be found in Article 9 of the AFUM contract and in Administrative Guidelines for Article 9, published 9/89 by the University of Maine office of human resources.)

The procedure for promotion or continuing contract consideration is similar to the procedure for reappointment. The same documentation packet is used as is used in the reappointment process. The criteria are the same — the standards are related to the action being requested.

The director notifies the PRC of its responsibilities as in the reappointment process. Procedures and the deliberation process are the same as in reappointment, including voting, making recommendations and submitting the PRC’s recommendations in writing to the director. The faculty member has an opportunity to respond to his/her supervisor, in writing, within one week of receipt of the PRC recommendation from the director. (The director will ensure that the faculty member receives the PRC recommendation and is aware of the right to respond in writing.)

The supervisor’s recommendation is forwarded to the director along with the faculty member’s written response to the PRC recommendation, if any. Upon receipt of the supervisor’s recommendation, the director makes a recommendation to the Provost, and the Provost to the president.

The faculty member receives a copy of each recommendation at the time it is written. No later than February 28, the president notifies the faculty member of his/her decision. At this time, the president returns all the material pertinent to the review to the director, and the official forms are included in the faculty member’s personnel file. A copy is sent to the faculty member. (By contract, faculty members receive copies of all materials placed in their personnel files, with the exception of materials that they themselves submit.)

Joint Appointments

UMaine Extension faculty with joint appointments in teaching, research or both, prepare and present one document for reappointment, promotion, post-tenure review and continuing contract or tenure consideration. The MOU for the joint appointment will guide the faculty member regarding the criteria, format and procedures to follow in submitting portfolios for consideration by the PRC and administration.