WORKSHOP FOR DEPARTMENT HEADS - PowerPoint Presentation

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WORKSHOP FOR DEPARTMENT HEADS2016

You who choose to lead must follow,

But if you fall, you fall alone.

If you should stand, then who’s to guide you?

Robert HunterSlide2
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Role of the department headBudget fundamentals

Faculty positions

Hiring

Supervising academic personnel

Personnel problemsVision

Session 1: Administrative Rudiments

Academic Affairs website: http://www.uwyo.edu/AcadAffairs /Slide4

Role of the department head

Nature of the position

“Officers of the university;” serve at will.

Retain

tenure and rank

as faculty members if tenured.

Variety of titles: department head, department chair, division head, dean (Schools of Pharmacy, Nursing).Report directly to the dean of the college.Slide5

Reporting line

Department head

College dean

Associate deans

Provost

and

VP for Academic AffairsAssociate provosts

President

Trustees

Usually bad practice to circumvent the college dean

.

DirectorsSlide6

HiringAssignment of duties (e.g. teaching loads, courses)

Performance evaluations and raises

Recommendations on reappointment, tenure, promotion, post-tenure review

Managing the department’s academic programs

Administering department budgets

“Promotion of academic excellence”All in consultation with the department faculty and subject to the college dean’s approval.

Department Head - Main dutiesSlide7

Your own academic career

Typical job description: 50%

administration, remainder

in

teaching, research & service. (Not universal.)

“Psychological risks”:

What are you: A rank-and-file faculty member or an administrator?What are your

colleagues’ attitudes about

administrators?

How will your success be measured?

Implications for promotion

What will the previous department head think?

Do you remember when

you

engaged in conversations about the department head?Slide8

More psychological risks:Personal

career aspirations:

Is this temporary

service to the department or long-range interest in administration

?The REST of your life:Family and friends

Physical well-beingOther interests

Sense of satisfaction, accomplishment, happinessSlide9

The five words that an administrator hates to hear:Slide10

The five words that an administrator hates to hear:“Do you have a minute?”Slide11

Budget fundamentals

Breakdown of UW’s

budget (soon to change):

Section I

: state-funded (includes most tuition revenue)

Replenishes each FY (1 July – 30 June) Authorized each biennium; use it or lose it. Special case: summer school revenues “roll over”.

Section II: self-supporting activities (includes grants and contracts, Outreach School tuition, fees) Can “roll over” from one FY to the next.

Section III:

grants and other external fundsSlide12

Where does UW’s money come from?General fund (legislature) $213.7 M

Tuition

60.5 M

Other (land-grant funds, royalties, etc.)

17.0 MSection I total $291.2 M

3/4 goes to salary and benefits

Non-grant section II funds (incl SFA) $155.6 M

Grants & contracts

(est., w/o fin. aid)

81.9 M

Section

II total (est.)

$237.5 M Estimated

total $528.7 M

(FY

2015, ends 30 June 2015Slide13

Funded by legislature*:

73%

of section 1

40% of total budget (High for state universities)

*not including Hathaway scholarships or Endowment for Excellence in Higher EducationSlide14

Note: any new, benefited position requires money for salary and benefits (~ 42% × salary)Slide15

Components of the department’s budget

Permanent faculty and staff salaries

. Section I. Not

much day-to-day

flexibility here, but you have the pivotal voice in defining positions, hiring, reappointment, and tenure decisions.

Part-time salaries. Usually negotiated with the college dean. Barely enough.

Section I support budget. Use for equipment, supplies, travel, speakers. Summer-school revenues. Section I, but they “roll over.” Opportunity for departmental creativity.Slide16

Indirect cost reversions (ICR). Section II. Department’s share (15%) of the indirect costs budgeted for external awards. (IC =

44%

 DC.) Lots of flexibility, if your faculty get grants.

Released time

. Section 1 money freed when department members are paid from grants and released from regular section 1 duties, usually teaching. The duties must be replaced; leftovers can be used flexibly.

The department head , not the released faculty member, manages these funds.Endowment income

. Expendable income generated by investment of gifts. Can be the most flexible type of money available, except for constraints on scholarships. Requires long-term fiscal planning.Slide17

3. Faculty PositionsFaculty positions are your most critical

resource (and account for almost all of your budget)

Position management during financial crisis

Strategic planning and faculty positionsSlide18

Formulating position requestsEvery new position is an opportunity to shape the future of your department, college, and university

Take that opportunity

!

Tie the position into institutional and college priorities and areas of distinction identified in the University Plan

Your dean will expect this

Departments that have done this well are the ones well positioned for the futureSlide19

Formulating position requests

Think outside your department’s immediate needs

A joint or interdisciplinary request can enhance the department’s linkages with others and enrich the scholarly and teaching opportunities for your faculty

A request that contributes teaching to first-year USO curriculum will potentially grease the wheels of progress toward degree completion for your department’s own students. (Remember: some departments provide service courses that benefit the entire university.)

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Hiring standards for faculty, APs, and staff

Faculty:

Open, national or international search

; terminal degree in the field; best qualified candidate; promise of excellence in teaching and national or internationally recognized scholarship.APs:

Open regional search, at least; best qualified candidate; promise of excellence in job duties.

Staff: Local (or broader) search; done through Human Resources with detailed procedures and guidelines.4. HiringSlide21

4. Hiring – Words (and titles) matterAcademic TitlesTenure Stream(Instructor), Asst. Professor, Assoc. Professor, Professor

Non-Tenure Stream Faculty

Clinical; Research, Visiting Professor

Academic Professionals

Assistant, Associate, Senior Lecturers or Research ScientistsExtended TermNon-Extended Term (1.0 FTE)Temporary Lecturers

Overload v. Supplemental PayOverload – when course load is beyond standard loadBudget reduction plan – avoid overload (and overtime)Adjustments to teaching load

can be made so that an average of 5 courses is taught over a 2-year period Supplemental – additional pay beyond 9 month contract receive additional payAdjustments to teaching load can be made to allow summer session or J term to be “on-load” Slide22

3 remarks:

Pre-selection is unethical.

Search!

Don’t

hire in desperation; extend the search another year if necessary.

Don’t underestimate the value of candidates who have long-range leadership potential.Slide23

Searches - Affirmative action plan

Affirmative-action principles:

Advertise broadly and fairly.

Include UW’s EEO-AA statement.

Appoint a diverse search committee.UW - A Diverse Workplace (OFCCP Training

) (Required for all search committee members) Guard against adverse stereotyping. Hire the most qualified person.

http://

www.uwyo.edu/diversity/Hiring/facsearches.html

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Advertising v. SearchingGeneric advertisements for:

Part-Time (Temporary) Lecturers

Post Doctoral Research Associates

http://www.uwyo.edu/hr/hremployment/listjobs.asp?jobtype=2

Search – Post-DocIf

you have someone in mind, abbreviated processSearch plan

, results, CV, and job description can be submitted to EPO simultaneouslyIf don’t have someone in mind, regular search process must be followed.Slide25

Exceptions to advertising policyCan hire into a position not advertised only

under the following circumstances:

Target of opportunity

(highly qualified person from underrepresented group).

Business necessity (rarely applicable to academic positions).Domestic partner

accommodationRequire recommendation from dean and VPAA and approval from EPO. There is no special funding for this type of hiring.Slide26

Business NecessityWhat about your “business” situation warrants an immediate hire without affording other qualified candidates from applying?

Why can the duties not be filled by someone already in your department?

What makes the hire an urgent one?

How does this hire align to the mission of the university?

Would the individual’s credentials place him/her in top tier if search (at appropriate level) was conducted?Slide27

Common problems

Domestic partner hiring

No universal solution, but UW has a pretty good record of solving these problems. Bring the issue to the dean’s attention ASAP.

Illegal questions

Don’t

ask about marital status, family configuration, ethnicity, religion, political beliefs, veteran status, disabilities, sexual orientation. Candidates are free to volunteer the information.

Bad interviewsGive a pep-talk to faculty before the interviews. The interview is not a test or a hazing ritual. You’re evaluating the candidate

and

selling the department.Slide28

Information for

faculty and academic professionals

, including:

Faculty openings

Faculty-related policies

Reappointment, tenure, promotion

Pythian papers and other guiding documents

Information for

administrators and staff

, including forms and policies related to:

employment and hiring

reappointment, tenure, promotion

computer accounts

Navigating the Office of Academic Affairs Website

http://www.uwyo.edu/acadaffairs/index.html

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What’s in your binder?Slide31

5. Supervising academic personnel

You have a powerful influence on the department’s morale. A

positive outlook

and a

sense of control over the department’s destiny are the faculty’s most precious assets. Cultivate them.

If departmental ambitions are high, they will bump up against resource constraints. Some frustration is inevitable. Don’t let it dampen the will to excel.

The faculty should want ownership of the programSetting the toneSlide32

External peer review

Department faculty review

Department head’s recommendation

College-level faculty review

College dean’s recommendation

University-level faculty review

Review by Academic Affairs

Trustees’ action

Review by President (on appeal)

A

B

C

Tenure, promotion, reappointment, extended terms: the decision chainSlide33

Follow the regulation-prescribed process

Stick to the academic merits of the case

Ensure alignment between university, college and department expectations and job descriptions –

Where you do you find these?

Let the dean know about problems

Don’t sugar-coat the truth … document…. document…documentBe fair and civil

Navigating the RTP minefield

New Faculty and AP Workshop on RT&P

Sept 19, 3:10 – 5:00 pm; Coe 506

Drop in session: Sept 27 3:10 – 5:00; Coe 123Slide34

UW 5-808 - Post-tenure Review

The faculty of each administrative unit shall develop and formally approve:

Definitions of major job duties

A minimum time frame for post-tenure review cycles

Process and set of minimum expectations for post-tenure review evaluation

What is your department’s post-tenure review process?Slide35

http://www.uwyo.edu/generalcounsel/_files/docs/Post_Tenure_Rev_5-808.pdf Slide36

Evaluating Performance

Good

record keeping is a must!

Ongoing, systematic assessment can help make evaluation decisions easier and more defensible.

Avoid relying on a single source

How do you evaluate teaching in your unit?Slide37

Evaluating PerformanceSlide38

Your department has a fourth-year faculty member who’s

toxic

in department meetings and who has a habit of showing up to class unprepared. She seems perennially at odds with her students, who tend to do poorly in her courses. Whenever anyone discusses these issues with her, she mentions her attorney.

The majority of the department faculty members vote against her reappointment case. One of their comments dwells on the fact that she’s a woman in a field where men have traditionally been more successful. After reading their remarks, she tells you she’ll sue you for discrimination if you recommend against reappointment.

What should you do?Slide39

Your department has a fourth-year faculty member who’s a highly charismatic teacher. His scholarly record is thin -- barely acceptable by department standards. His CV lists 15 works in progress. While it’s hard to document, you have serious concerns about his honesty:

You think he stretches the truth in reporting his own research accomplishments;

His colleagues report that his teaching, while immensely popular with students, is filled with basic errors;

In his 3.5 years at UW, he has launched three grievances against you and your associate department head. Hearing committees have dismissed all of them.

He routinely recruits graduate students to take sides in his disputes with senior faculty members.

What’s your recommendation for reappointment?Slide40

Collegiality: The willingness to work with colleagues in a civil, productive fashion that advances the mission of the department and university

.

Collegiality is tricky: big egos and rebellious spirits are part of the academic landscape.

However, failure to contribute to the university’s mission – and interference with it – are grounds for poor performance appraisals, including reappointment denials.

6. Personnel problemsSlide41

Faculty grievances, discrimination, harassment, student complaints

Best defenses:

Get sexual

harassment

training. (It’s mandatory.)

Explore resources for conflict management.When a problem arises,

consult the dean or EPO.Protected v. Non-Protected (PD4-2016-1)Treat people honestly, fairly, and respectfully. When you make decisions they don’t like, explain your reasons.

Base decisions on your

academic judgment

, not on legalistic grounds. UW has an indemnity clause that protects your good-faith academic judgments.

When in doubt, do what’s right.Slide42

Faculty grievances, discrimination, harassment,

student complaints

Know the Department, College, and UW Regulations

!

UW 1-5 (Discrimination and Harassment); UW 1-44 (Violence in the Workplace)

Office of Diversity and Employment Practices – Equal Opportunity Report and Response Unit

UW 5-35 Faculty Dispute ResolutionInternal process to provide University faculty a prompt and efficient review and resolution of disputes.

Method for appeals

from terminations resulting from financial exigency

.

PD4-2016-1

Investigative process for complaints of harassment, hostile environment, and retaliation (non-protected class)

Investigating office

Academic Personnel (UW5-1) – Office of Academic Affairs

All others – Department of Human ResourcesSlide43

Personal problems

People (including department heads) are fragile and fallible. Family difficulties, messy relationships, substance abuse, medical problems, and ethical lapses are as common in academia as elsewhere.

Be sensitive; maintain confidentiality; protect the legitimate interests of others (including the institution); try to approach problem constructively instead of punitively. Remind us to do the same.

Get advice and help. You can’t handle everything yourself.Slide44

Commitment to access Balance between general and professional education

Judicious mix of theory and application in research

UW’s setting and mission:

The only 4-year institution in the state

A public land-grant institution

One of the smallest Carnegie research-doctoral extensive institutions in the U.S.

7.

VisionSlide45

Defining a scholarly culture

What type of department do you want to be?

Stress the attributes of

successful careers

, not minimal expectations.

Make external peer review a guiding principle.

Cultivate the areas of distinction consistent with UW’s strategic plan. Stick with them.

Integrate

scholarship with

teaching and public service.Slide46

Interdisciplinarity

A vehicle for expanding research communities at

UW

A strong current motif in many

disciplines

A key competitive advantage for a small university A natural mode of inquiry at land-grant institutions

A way to influence hiring outside the department.Slide47

One last thought:

Leadership is a commitment to the success of the group.

Great leadership is the ability to instill that commitment in others.Slide48

That’s all for today.

Questions?