Preamble

The Culverhouse College of Commerce (hereafter known as Culverhouse or CCC) Faculty Handbook
represents a continuing effort to communicate a set of policies and guidelines that have evolved
over time in the College. Our hope is that making these materials conveniently accessible will
further contribute to an atmosphere of openness, trust and partnership which should guide all of
our efforts in the College. The policies have evolved as a result of continuing discussion about how
most effectively to support the faculty in their teaching, research, and service.
The policies are not designed to be limiting. Rather, they are designed to ensure that each person is
treated equitably in the application of the policies, is fully aware of the spirit and intent of the
College, and has the opportunity to comment on the goals, directions, and priorities for the College
as embodied in these statements.
We welcome suggestions for change and modification. Many of the policies have changed quite
significantly since they were first adopted as a result of faculty suggestions for making the policies
more responsive to faculty needs. Several of the policies have been updated to reflect revisions in
the University Faculty Handbook which became effective in October 2010.
We urge you to continue to offer suggestions for improvement.

J. Michael Hardin, Dean

Culverhouse College of Commerce

CCC FACULTY HANDBOOK CONTENTS

I.

Administrative Organization of the CCC Deans Office

II.

Culverhouse Faculty Forum By-Laws

16

III.

Tenure-Track or Tenured Faculty Appointments

23

A.
B.
C.
D.

Promotion and Tenure Procedures and Criteria

External Peer Review Policy and Procedures
Graduate Faculty Membership Policy
Initial Appointments With Tenure Policy

24
34
36
39

IV.

Non-Tenure Track Faculty Appointments

40

V.

Teaching Loads and Faculty Responsibilities

46

A. Faculty Workload Policy

B. Release Time Policy
C. Absence from Duty, Missed Classes, and Reporting of Consulting and
Supplemental Compensation Activities Policy
D. Deterrence of Academic Misconduct Policy
E. Solicitation of Student Feedback
VI.

Annual Evaluations and Reviews

Research, Curriculum Development and Travel Support

A.
B.
C.
D.
E.
F.
G.

VIII.

50
52
54
55

A. Annual Written Evaluations of Faculty Policy

B. Review of Tenure-Track Faculty
C. Criteria and Procedures for Assessing Academic and
Professional Qualifications of Faculty Members
D. Merit Salary Adjustments
E. Reviewing Named Fellowships, Professorships and Endowed Chairs Policy
F. Monitoring Adjunct Faculty and Graduate Teaching Assistants Policy
VII.

47
48

Summer Support Programs for CCC Faculty Policy

Program I Summer Research Award Program for Entry-Level Faculty
Program II Summer Research Award Program
Program III Faculty Development Award Program
Program IV Curriculum Development Award Program
Summer Excellence in Research Program (SEiRP)
Policy on Information Technology Infrastructure

Appendices

56
57
58
64
73
74
75
76
77
79
81
83
84
86
87

A. Example Lists of (Tier 1) Top Quality and (Tier 2) High Quality Journals
B. Sample Career Performance Report
3

88
92

C.
D.
E.
F.
G.
H.
I.

Graduate Faculty Member Application Forms Full, Associate and Temporary

Academic Qualifications (AQ) and Professional Qualifications (PQ) Forms
Supplemental Compensation Approval Forms Internal and External
International Travel Approval Form
Coverage Approval Form
Summer Excellence in Research Program (SEiRP) Application Form
Standardized Form Letter for External Review Solicitation
For Promotion to Full Professor
J. Standardized Form Letter for External Review Solicitation
For Promotion to Associate Professor/Tenure

98
101
103
105
106
107
110
111

CHAPTER I
Organization of the CCC
Deans Office

ADMINISTRATIVE ORGANIZATION OF THE OFFICE OF THE DEAN

September 2012
This document summarizes the administrative organization of the Office of the Dean of Culverhouse
and the Manderson Graduate School of Business. The organizational structure described is
intended to be flexible and can be modified as needed.
The administrative structure of the Office of the Dean is intended to aid and facilitate the
attainment of the following specific goals:
1. To provide a flexible administrative support unit that facilitates research, teaching, and
service activities of the faculty and staff;
2. To provide support services for CCC students, including academic advising;
3. To provide a systematic framework for the representation of the College to its various
University of Alabama administrative constituencies;
4. To provide an appropriate framework for the representation of the College to its various
external constituents, including employers, alumni, and friends of the College.
I. The Organization of the College
Teaching, research, and service are central to the mission of the University and the College. The
Deans Office is organized to provide the necessary support to create and maintain outstanding
academic/teaching and research programs and to provide timely professional service to the
State, the University, and the greater academic community. The administrative responsibilities
of the Deans Office with respect to these programs are as follows:
A. Academic Programs
Graduate and undergraduate programs are jointly administered by the Deans Office and the
academic Departments/School.
1. Graduate Programs
Graduate programs offered through the Manderson Graduate School of Business include
the PhD, MA, MSC, MBA, EMBA, and other specialized masters degree programs (MTA,
MACC). The MBA and EMBA programs are administered principally at the College level
through the Office of the Manderson Graduate School of Business. MBA specializations
are controlled by the academic departments offering the specialization. PhD, MA, and
specialized masters degree programs are administered principally at the department
level. For these programs, the primary role of the Deans Office is to support
departmental activities, particularly with regard to coordination across programs,
developing each program to its full potential, advertising programs to potential students,
assisting in the recruitment and placement of students, and representing the faculty of
the College to external constituents who are interested in graduate programs.
2. Undergraduate Programs
Administrative responsibility for undergraduate programs in business is shared by the
Deans Office and the academic Departments/School.
6

The Deans Office is responsible for assuring that the curriculum is delivered to the
students in a manner consistent with established policies, prerequisite controls and
accreditation standards; for student services provided by the A. H. Bean Student Services
Center; and for working with the CCC Faculty Executive Board to continually monitor and
update the curriculum.
Administrative responsibilities of the A. H. Bean Student Services Center include new
student recruiting, admissions and readmissions control and coordination, student
advising, student retention programs, student records, certification of transfer credit,
graduation check-out, coordination of Honors Day activities, coordination of the
awarding of undergraduate scholarships, coordination of the Faculty Scholars Program
and the Internship Program, and coordination of the College Honors Program.
B. Research Program
Each individual member of the faculty is responsible for developing and maintaining a
continuing program of research. The Colleges responsibility is to encourage and support
faculty research activities and to ensure that productive research is rewarded. This
responsibility is shared between the Deans Office and the Departments/School.
The Center for Business and Economic Research (hereafter known as CBER) is headed by the
Associate Dean for Research and Technology. In addition to the historic responsibilities of
CBER for archiving data and providing information and services to state agencies, businesses,
and citizens of Alabama, the Center has the responsibility for providing selected research
support and external grant seeking assistance to the faculty. These responsibilities include
helping the faculty identify opportunities for externally funded contract and noncontract
research. The Center will also assist the faculty with the preparation of research proposals
including, when appropriate, advice regarding proposal strategy and other matters which
will facilitate the facultys ability to obtain outside funding for research.
C. Service to the State and the Region
CBER functions as an umbrella organization for coordinating service activities provided
through a number of research and service centers affiliated with the College. These centers
include the Alabama State Data Center, the Alabama Productivity Center, the Alabama
International Trade Center, the Small Business Development Center and the Alabama Real
Estate Research and Education Center. CBER also coordinates activities involving these
centers and teaching and research units attached to academic departments within the
College, such as the Hess Institute for Retailing Development, the Garner Center for Current
Accounting Issues, and the Enterprise Integration Laboratory.
II. Duties, Responsibilities, and Appointment Arrangements of the Dean and Associate Deans
This section outlines the major responsibilities and reporting relationships for the Dean and
Associate Deans and summarizes the appointment procedures and arrangements for persons in
these positions.
A. Responsibilities and Reporting Arrangements
1. Dean of the College
7

The position of Dean is held by a senior faculty member with the rank of Professor in an
academic unit of the College. The Dean shall have an established record in
administration, teaching, research, and service. The Dean reports to the University
Provost and Vice President for Academic Affairs. The major duties include the following:
a. Supervising the academic Departments/School including oversight of such matters as
merit salary adjustments, promotion, and tenure;
b. Representing the College to its external and internal constituencies;
c. Strategic planning for the College;
d. Implementing College goals and objectives;
e. Developing faculty and student morale;
f. Supervising the Colleges Office for Alumni and Corporate Relations;
g. Overseeing fundraising for the College and the University, including supervision of
the Colleges Director of Development;
h. Overseeing publicity and public relations functions for the College, including
supervising of the Communications Specialist;
i.

Overseeing financial affairs and budgetary matters, including supervising of the

Colleges Director of Financial Affairs; and

j.

Overseeing computer services and technology support services of the College,

including supervising the Director of Technology.

2. Senior Associate Dean

The primary responsibilities of the Senior Associate Dean are for academic programs and
policies and for the day-to-day operation of the College. The position of Senior Associate
Dean is held by a senior faculty member with the rank of Professor in an academic unit of
the College. The Senior Associate Dean shall have an established record in teaching,
research and service. Desirable additional qualifications include an established record in
academic administration. The Senior Associate Dean reports to the Dean of the College.
The major responsibilities include:
a. Assisting and advising the Dean on all administrative matters relating to the College;
b. Overseeing the academic programs of the College, including supervising the Director
for Undergraduate Programs and the Associate Dean for the Manderson Graduate
School;
c. Overseeing financial affairs and budgetary matters,
d. Overseeing international programs, including supervising the Associate Dean of
International Business Programs;
e. Administering faculty support programs of the College, including summer support
programs and international travel (See Chapter VIII, Appendix F for approval form)
support programs;
f. Overseeing and supervising the summer school program; and
8

g. Liaising with the Faculty Executive Board.

3. Associate Dean for Research and Director of CBER
The primary responsibilities of the Associate Dean for Research and Director of CBER are
providing research services to internal and external constituencies of the University,
supervising CBER, and providing support for faculty engaged in applied contract research.
The position is to be held by a tenured faculty member or a staff member with a PhD
degree who has an established record in research. Desirable qualifications include an
established record of teaching, service, and academic administration. The Associate
Dean for Research and Director of CBER reports to the Dean. Major responsibilities
include:
a. Coordinating activities involving specialized research and service centers affiliated
with the College, which are engaged in activities related to the overall mission of the
College. These centers include, but are not limited to, the Small Business
Development Center, the Alabama International Trade Center, the Alabama
Productivity Center and the Alabama Center for Real Estate (ACRE). The Associate
Dean coordinates activities involving these centers and research and service units
attached to academic departments in the College, including the Enterprise
Integration Laboratory, the Hess Institute for Retailing Development, the Garner
Center for Current Accounting Issues, and the Human Resources Institute, and chairs
the Directors Council of affiliated research and service centers;
b. Administering CBER;
1. Overseeing the Alabama State Data Center
2. Providing research services to public and private organizations
3. Serving as Director of Economic Forecasting
c. Developing programs and providing services to support and improve CCC faculty and
graduate student research productivity, and aiding and facilitating external faculty
research grants and contracts;
d. Representing the College to external constituencies regarding research resources and
capabilities of the College; and
e. Serving as the primary link between the College and other University divisions for
interdisciplinary and cross-disciplinary research and outreach initiatives, such as the
Alabama Innovation and Mentoring of Entrepreneurs.
4. Associate Dean of The Manderson Graduate School
The Associate Dean for The Manderson Graduate School reports to the Senior Associate
Dean and in that capacity oversees the activities of the Office of The Manderson
Graduate School of Business and the Colleges graduate programs. Major responsibilities
include:
a. Overseeing the PhD programs, specialty Masters programs and the campus MBA
Program; including supervision of the Program Coordinators/Directors;
9

b. Overseeing the Executive MBA (EMBA) Program, including supervision of the

Executive MBA Program Director;
c. Coordinating with Department Heads/Director and faculty on class schedules, course
materials, and student progress;
d. Advising the Dean and the Senior Associate Dean on matters related to curriculum
development for the graduate programs; and
e. Assisting and advising the Senior Associate Dean, the Graduate School, and CCC
faculty on matters relating to graduate student admissions and compliance with
accreditation standards and guidelines.
5. Associate Dean for Undergraduate Programs
The Associate Dean of Undergraduate Programs reports to and works closely with the
Senior Associate Dean in managing the activities of the College relating to undergraduate
student services. Major responsibilities include:
a. Supervising and directing all activities of the A. H. Bean Student Services Center and
oversight of day-to-day operation of the Center;
b. Coordinating registration activities and new student orientation;
c. Overseeing the student advising function of the Center, including supervision of CCC
Academic Advisors;
d. Overseeing the records functions of the Center, including supervision of the CCC
Registrar/Associate for Records;
e. Serving as a CCC representative in matters relating to undergraduate students and
undergraduate programs;
f. Representing the Deans Office and the College at various internal and external
functions;
g. Coordinating the undergraduate scholarship program and the Faculty Scholars
Program;
h. Coordinating CCC Honors Day activities and commencement responsibilities;
i.

Overseeing the primary responsibility for academic bankruptcy, Deans admit and
readmit decisions;

j.

Acting as liaison between the CCC faculty and the CCC Academic Misconduct Officer;
and

k. Serving as a sexual harassment officer for the College with primary responsibility for
student complaints.
6. Associate Dean for International Business Programs
The Associate Dean for International Business Programs reports to the Senior Associate
Dean. Major responsibilities include:
a. Developing programs for international student and faculty exchanges;
10

b. Overseeing joint programs with partner institutions abroad;

c. Liaising with the CCC International Advisory Board;
d. Overseeing faculty-led international travel courses; and
e. Liaising with International Committee.
7. Associate Dean for Accreditation
a. Overseeing assessment of student learning initiatives for both regional (SACS) &
professional (AACSB) accreditation.
b. Supervising Office of Academic Affairs review of College degree programs.
c. Coordinating data collection for and creating the Colleges Fifth Year Maintenance of
AACSB Accreditation Report.
d. Interfacing with department heads/director and other College and University
administrators.
B. Appointment Procedures and Arrangements
The procedures and arrangements relating to the appointment of the Dean are specified in
The University of Alabama Faculty Handbook (Appendix A). Terms of appointment and
service arrangements for the Associate Deans will be as follows:
1. The appointments are for a five-year period and are made by the Dean following a
screening process and recommendations by a faculty committee. While the
appointment of Associate Deans is not governed by the formal procedures that relate
to the Dean and Department Heads/Director, the Dean will make appointments by
utilizing all information, including the views and recommendations of a special faculty
search committee.
2. Normally, the appointments require continuation of both teaching and research
activities. Details are specified in appointment letters.
3. Each Associate Dean is subject to a five-year administrative performance review.
4. Annual merit salary reviews are based primarily upon administrative performance,
but may also reflect appropriate weight for teaching and research as specified in
letters of appointment.
III. Administrative Support Staff
The Office of the Dean includes several administrative support positions which are normally
staffed by faculty with part-time administrative appointments or by administrative professionals
who have the title of Director or another title (e.g., Registrar) consistent with University policy.
In each case, persons selected as administrative directors must have the appropriate education,
background, skills, and experience to serve the College well in the specialized unit to which they
are assigned. When a faculty member is appointed to an administrative support position, there
will be a five-year administrative review. In all cases, the person selected to serve in an
administrative support position is subject to periodic review and serves at the pleasure of the
Dean. The first part of this section identifies the positions, indicates the reporting channels, and
outlines major responsibilities. The second part summarizes the appointment arrangements.
11

A. Responsibilities and Reporting Arrangements

1. Director of Development
The Director of Development reports jointly to the Dean and to the University Vice
President for Development. The Director of Development is responsible for planning and
implementing development activities within the College, especially the identification,
cultivation, and solicitation of major gift prospects involving individuals, corporations,
and foundations. Major responsibilities of this position include:
a. Planning and implementing an overall development strategy for the College including
annual giving programs, Commerce Executives Society (CES) membership drives and
acquisitions of major gifts. Supervising the CCC Advancement Officer; and
b. Identifying donor prospects. Preparing and assisting in the preparation of written
proposals to be submitted for prospect consideration. Ensuring that each gift is
properly recorded and acknowledged.
2. Director of Alumni and Corporate Relations
The Director of Alumni and Corporate Relations is responsible to the Dean for
administering programs of the College that are targeted to specific external
constituencies. Programs currently administered include the Commerce Executives
Society (CES), the Board of Visitors (BOV), and the Alabama Business Hall of Fame. Major
responsibilities of this position include:
a. Serving as the chief administrator of the Office of Alumni and Corporate Relations,
including supervision of the Events Coordinator, who is responsible for major event
initiatives and meetings of College support groups, such as the Alabama Business Hall
of Fame;
b. Developing and maintaining College alumni relationships; and
c. Coordinating activities of the Board of Visitors (BOV) and the Commerce Executives
Society (CES), including supervision of the Coordinator of the Commerce Executives
Society (CES).
3. Executive Director for Innovation Initiatives
The Executive Director for Innovation Initiatives is responsible for overseeing and
developing executive development programs involving the College, including activities
with the College of Continuing Studies. This position reports to the Senior Associate
Dean and the duties include:
a. Overseeing of collaborative efforts with other colleges including the Idea Translation
Lab;
b. Overseeing of Executive Education including development of new efforts to
generate operating funds for this office;
c. Having responsibility for EMBA logistics and marketing/recruiting efforts; and

12

d. Overseeing of the STEM pathway to the MBA.

4. Director of Financial Affairs
The Director of Financial Affairs is the chief financial and personnel officer for the College
and is responsible for the day-to-day operation of the physical facilities of the College.
This position reports to the Dean of the College. Major responsibilities include:
a. Serving as chief budget officer of the College, including supervising of the accounting
specialist. Serving as the budget liaison with the University central administration.
Providing review and control of all financial budgets. Advising the Dean and the
Senior Associate Dean on all budgetary matters;
b. Serving as chief personnel officer for the College. Reviewing and approving all
personnel action forms. Advising the Dean and Senior Associate Dean on matters
related to personnel policies;
c. Serving as affirmative action coordinator for the College;
d. Serving as principal sexual harassment officer for the College, with primary
responsibility for faculty and staff complaints;
e. Serving as coordinator for access and accommodation for individuals with disabilities
in accordance with the provisions of the Americans with Disabilities Act of 1990;
f. Overseeing operation and maintenance of CCC physical facilities; and
g. Overseeing of preparation of Culverhouse classroom schedules.
5. Director of Technology
The Director of Technology is responsible for supervising of all computer and technology
services in the College. This position reports to the Dean of the College. Principal
responsibilities include the following:
a. Overseeing maintenance of multimedia classroom equipment and computer
equipment in the College, including the CCC student/faculty local area network.
Supervising the computer maintenance staff;
b. Overseeing network operations of the Sloan Y. Bashinsky, Sr. Computer Center,
including management of software and hardware for instructional computing;
c. Overseeing all budgets and budgetary matters related to computer services and
technology for the College;
d. Planning and coordination of special courses for faculty and staff in computer
software application packages; and
e. Advising the Deans Office in computing-related policy matters.
6. Director of the Center for Small Business Development
The Director of Small Business Development Center (SBDC) reports to the Associate Dean
for Research and Technology. Major responsibilities include:
a. Providing individual counseling services to the small business community of West
Central Alabama;
13

b. Developing and delivering training workshops for the small business community;
c. Providing business data and information, on request, to existing businesses and
business start-ups;
d. Providing information and assistance in the area of government procurement via the
Alabama Small Business Procurement System;
e. Providing an outreach service for the University to the small business community;
and
f. Providing a training lab for University students who act as consultants and
researchers for the SBDCs small business clients.
B. Appointment Procedures for Administrative Support Staff
All administrative support staff personnel holding the title of Director and/or Registrar are
appointed by the Dean. Appointments will be made following consultation with selected
administrators within and, where appropriate, outside the College.
In situations in which an individual holding a nine-month faculty position is appointed to also
hold an administrative staff position, the following additional terms of appointment will
generally also apply:
1. Appointments will be on an academic year basis.
2. Summer appointments will normally be provided, depending upon duties and
responsibilities. Summer teaching may be required as a part of the summer
compensation plan.
3. Teaching expectations may allow for a reduction from the normal teaching load; the
number of courses per year will be specified in the appointment letter.
4. Research expectations will include productivity consistent with at least a 25 percent
faculty appointment; the research requirement will be specified in the appointment
letter.
5. Evaluations for annual salary adjustments will be consistent with the specifications
provided in points (3) and (4) above.
6. The term of appointment is normally for a five-year period and may be renewed subject
to the usual University review of faculty holding administrative positions.
Directors not holding faculty rank will fall under the appointment procedures and
arrangements described under Administrative Support Staff.
In filling positions and making appointments within the Deans Office, as well as constituent
Departments/School, the College adheres to both spirit and formal requirements of the
Universitys affirmative action and equal opportunity policies.

14

THE UNIVERSITY OF ALABAMA

Culverhouse College of Commerce
Updated 2013

Dean of the College

J. M

Director of Financial Affairs

Director of Technology

Associate Dean for Research

Center for
Business and
Economic
Research

Alabama
Center for
Real Estate

Senior Associate Dean

All Other
Centers/
Institutes/Labs

Associate Dean for

Undergraduate
Programs

Associate Dean
Manderson Grad
School of Busin

Associate Dean for

International
Programs

Associate Dean f
Assessment and
Continuous
Improvement

Assistant Dean for

Faculty and
Graduate Student
Development
Academic Department
Heads/Director
(AC, EFLS, ISM, MGT, MKT)

15

Chapter II
Culverhouse Faculty Forum
By-Laws

9/4/2014

Culverhouse Faculty Forum By-Laws

Revised September 2011
I. NAME OF THE ORGANIZATION
This association will be known as the Faculty Forum of the Culverhouse College of Commerce
(hereafter known as Culverhouse or CCC) and The Manderson Graduate School of Business at
The University of Alabama.
II. MATTERS OF CONCERN AND VOTING REQUIREMENTS
The Faculty of the College will be concerned with matters involving the participation of the
Faculty in and the well-being of the College. Specifically, the Faculty is responsible for
development of degree requirements and curricula (programs and courses) and transmittal of
these matters to the Dean for implementation. Examples of other pertinent matters of concern,
for which the Faculty and the Administration of the College share authority and responsibility
include: objectives and philosophy of education, admission standards, research and service
programs, program realignment and organization, faculty appointments, promotion and
tenure, and other matters of vital concern to the Faculty and to the Administration.
III. MEMBERSHIP
Voting members of the faculty shall be those holding full-time tenured, tenure-track, or fulltime clinical appointments. Only those admitted to the faculty of the Graduate School of
Business are eligible to vote on matters pertaining to graduate programs. The Faculty Executive
Board (FEB) shall decide questions relating to eligibility to vote.
IV. ORGANIZATION
Section 1
The Faculty Executive Board (FEB)
Each academic department is to be represented on a Faculty Executive Board (hereafter
referred to as FEB) by one member for each ten (10) voting members or fraction thereof at the
time of election. The elected members must receive a majority of the votes cast in the
department. The faculty of a department may elect its representatives at large or by faculty
sub-groups. The FEB shall elect a Chair and a Vice-Chair from its membership prior to the
completion of the Spring semester.
All members of the FEB must be voting members of the faculty and must be full-time tenured,
tenure-track or full-time clinical members of their departments. Each voting member of the
Faculty Forum will be entitled to vote for the FEB representative for the department in which
he or she is assigned for administrative purposes. However, no member shall vote in more than
one department. The election of each FEB member and alternate shall be held each year no
17

later than April 15. Members shall be elected for one-year terms but may be re-elected. Faculty
members holding administrative appointments of 50 percent or greater are not eligible to serve
as voting members on the FEB.
Section 2
Alternates will be elected from each department to serve in place of FEB members when the
members are unable to attend meetings or provide other services. If a member of FEB becomes
permanently unable to serve, the department will elect a replacement on a timely basis.
Section 3
The Dean or her/his appointed representative will be a nonvoting ex officio member of the FEB.
The FEB Chair shall preside at meetings of the Faculty Forum unless other arrangements are
agreed to by the FEB. In the absence of the Chair, the Vice-Chair shall preside.
Section 4
The Office of the Dean will provide a secretary to prepare the minutes of all meetings of the
Faculty Forum and the FEB. Copies of the minutes will be distributed to each member of the
voting faculty within two weeks following duly called meetings.
Section 5
The FEB shall appoint such standing and ad hoc committees as it believes are necessary to
perform its responsibilities and to serve the interests of the faculty. The responsibilities and
composition of these committees shall be determined by the FEB, subject to faculty approval.
At least one representative of each department shall serve on each committee, unless this right
is waived by the faculty in a department. The FEB shall appoint faculty to these committees on
an annual basis and shall also designate the chair of each committee. All such committees
report to the FEB. Chairs of all committees are encouraged to solicit the opinions of appropriate
stakeholders, including students, alumni, and employers.
Section 6
The FEB shall continuously review and participate in establishing the overall philosophy of
education in business and in formulating plans for the development of and approval of
programs, new courses, curricula, college or departmental organization, and tenure and
promotion policies. It shall present its recommendations on all substantive matters to the
Faculty Forum for approval. Once approved, these recommendations shall be forwarded to the
Office of the Dean for implementation. The FEB shall have any other such duties and powers as
may be delegated to it by the faculty or as assigned by the Dean.
V. MEETINGS
Section 1
18

A meeting of the Faculty Forum will be held at least once each semester. Additional meetings
may be called by the Chair of the FEB or the Dean when there is business to be conducted. The
Fall meeting will be held not later than December 1 and the Spring meeting not later than April
15. The Chair of the FEB must call a meeting of the faculty when presented with a written
request signed by ten (10) voting members.
Section 2
A quorum shall be deemed to exist at all meetings for which a seven-day notice is given to all
members. For meetings called on shorter notice, a quorum will be constituted by the presence
of at least one-half of the voting membership. In order to operate as a notice of a meeting, the
notice should be separately issued and contain an agenda.
Section 3
Approval of new programs and courses and the expansion, deletion, or contraction of programs
or courses will be by secret ballot and will require an affirmative vote of 60 percent of the
voting membership in attendance, including proxies.
Should a proposal from a department for a curriculum change be disapproved by the Faculty
Forum, so the proposal is not accepted, the department shall have the right to revise the
proposal, taking into account objections and issues raised by the Faculty Forum, and resubmit
the proposal for consideration. Under such circumstances, the revised proposal will be treated
as a new proposal.
Section 4
Written proxies will be honored at meetings but will not affect the determination of a quorum.
No faculty member shall exercise more than one (1) proxy, and such proxy shall be filed with
the Chair of the FEB at least 24 hours before the meeting.
Section 5
The FEB will determine the agenda of all meetings of the Faculty Forum. Items for discussion
requested in writing by ten (10) or more voting members or by the Dean at least one week prior
to the meeting shall be included on the agenda. The voting members of the Faculty Forum must
be provided a written agenda (electronic distribution is permissible) at the time a meeting of
the Forum is called.
VI. AMENDMENTS
Section 1
These by-laws may be amended by the affirmative vote of two-thirds of the members voting
(including proxies) at a regular or special meeting of the Faculty Forum provided notice of such
amendment and the nature thereof shall have been given to the membership at least seven
19

days prior to the date of the meeting at which said amendment is to be presented for
consideration, and provided 50 percent of those eligible to vote are present and voting.
Provisions of the by-laws may be waived at any duly called meeting of the Faculty Forum upon
approval of two-thirds of the voting members present.
COMMITTEE DESCRIPTIONS
The following committees and descriptions are those currently approved by the faculty. These
descriptions are not part of the by-laws and may be changed by approval of the faculty without
amendment of the by-laws.
Undergraduate Programs
Composition: At least one tenure-track or clinical representative from each department; and
Assistant Dean for Undergraduate Programs (ex-officio).
Charge:
1. To analyze and evaluate the undergraduate curricula, programs, goals and courses of
the CCC.
2. To initiate studies and make recommendations regarding undergraduate curricula and
programs and to respond to requests for study and recommendations regarding
undergraduate curricula and programs by the FEB, faculty members, or administrators
of the CCC.
Undergraduate Awards & Honors
Composition: At least one tenure-track or clinical representative from each department;
Assistant Dean for Undergraduate Programs (ex-officio).
Charge: To evaluate candidates and select recipients for undergraduate awards and honors,
including but not limited to College scholarships and faculty scholars.
Masters Programs
Composition: Selected by FEB from tenure-track faculty or clinical with an expressed interest in
the specialty masters programs, to include at least one representative from each program;
Associate Dean for The Manderson Graduate School of Business (ex-officio).
Charge:
1. To analyze and evaluate the curricula, programs, goals and courses of the specialty
master's programs.
2. To initiate studies and make recommendations regarding curricula and programs of the
specialty master's programs and to respond to requests for study and recommendations
20

regarding curricula and programs by the FEB, faculty members, or administrators of

Culverhouse.
3. To identify candidates and select recipients for awards and honors that are applicable to
students in the specialty masters programs.
MBA Program
Composition: Selected by FEB from tenure-track faculty or clinical with an expressed interest in
the MBA program, to include at least one representative from each department and
concentration; Associate Dean for The Manderson Graduate School of Business (ex-officio).
Charge:
1. To evaluate the effectiveness of the MBA program and curricula within the Graduate
School of Business with a view towards keeping the program and curricula in tune with
the needs of students and employers.
2. To evaluate applications and approve admissions to the MBA program.
3. To identify candidates and select recipients for awards and honors that are applicable to
students in the MBA program.
EMBA Program
Composition: Selected by FEB from tenure-track faculty with an expressed interest in the EMBA
program, to include at least one representative from each department; Associate Dean for
Manderson Graduate School of Business (ex-officio).
Charge:
1. To evaluate the effectiveness of the EMBA program and curricula within the Graduate
School of Business with a view towards keeping the program and curricula in tune with
the needs of students and employers.
2. To evaluate applications and approve admissions to the EMBA program.
PhD Programs
Composition: Selected by FEB from tenure-track faculty with an expressed interest in the PhD
programs, to include at least one representative from each program; and Associate Dean
for Manderson Graduate School of Business (ex-officio).
Charge:
1. To analyze and evaluate the curricula, programs, goals and courses of the PhD
programs.
21

2. To initiate studies and make recommendations regarding curricula and programs of the
PhD program and to respond to requests for study and recommendations regarding
curricula and programs by the Faculty Executive Board, faculty members, or
administrators of the College of Commerce.
3. To evaluate candidates and select recipients for PhD student honors and awards,
including but not limited to Outstanding Dissertation and Outstanding GRA/GTA awards.
Faculty Awards and Honors
Composition: At least one tenured faculty member from each department; Senior Associate
Dean (ex-officio).
Charge:
1. To evaluate candidates and select recipients for faculty awards and honors, including
but not limited to College-wide fellowships, professorships, and chairs, and members of
the Faculty Hall of Fame.
2. To review reappointment recommendations for fellowships, professorships, and chairs
to ensure recommendations are consistent with published expectations for these
positions and to monitor consistency across departments.

22

Chapter III
Tenure-Track or Tenured
Faculty Appointments

23

A. PROMOTION AND TENURE PROCEDURES AND CRITERIA

Updated July 2004
Introduction
Decisions concerning tenure and promotion are two of the most important decisions which the
University must make. Tenure determination involves a particularly important decision
because conferral of tenure establishes a lasting relationship between the University and the
faculty member.
The promotion and tenure process as evolved by the faculty and administration of Culverhouse
strives to produce objective and equitable recommendations for review by the Offices of the
Vice President for Academic Affairs and the President.
The CCC has developed a five-level process of evaluation that serves to maximize objectivity
and fairness. As this statement describes in depth, a CCC candidate is evaluated by:
1. Himself or herself as he/she prepares documentation and decides whether to seek
advancement prior to the mandatory time limit
2. The Department/School colleagues
3. The Department Head/Director
4. The College-wide Promotion and Tenure Advisory Committee (hereafter known as
P&T Committee) operating independently of the Department and the Deans Office
5. The Dean after careful assessment of the various recommendations flowing to that
office
Furthermore, the candidate can appeal any of these recommendations at the department level
or College level.
In addition to the Culverhouse Promotion and Tenure Procedures and Criteria, each faculty
member should be aware of the Universitys policies regarding promotion and tenure. These
policies can be found in The University of Alabama Faculty Handbook, including the policy for
annual progress review for all non-tenured faculty members.

24

Procedural Matters
A. Establishment of Department/School Procedures
1. Each year, at a time not later than August 16, the Department Head/Director
initiates the promotion and tenure process in his or her respective area. (Candidates
must submit completed dossiers to the Department Head/Director by October 1 as
noted in Chapter 2 of the UA Faculty Handbook.) Each academic area establishes
appropriate procedures for evaluation. All faculty members in those areas are
informed as to these procedures including the procedure to appeal the Department
Committee recommendations. Copies of these procedures are forwarded to the
Dean of CCC and to the College-wide P&T Committee.
2. Department/School Committees are constituted for the purposes of:
a. making recommendations for awarding, denying, or postponing promotion,
b. making recommendations for conferral, denial, or postponement of tenure, and
c. conducting annual professional progress reviews on probationary faculty. (For
details on annual progress reviews, see Chapter V of the Culverhouse College of
Commerce Faculty Handbook.)
3. The primary responsibility for preparing a dossier to be considered by a faculty
committee on promotion, progress review, or tenure rests with the candidate, but
the Department Head/Director will provide appropriate assistance upon request. To
apply, the candidate submits his/her dossier to the Department Head/Director.
(Normally, candidates do not apply for tenure until the year before their
probationary period ends. In exceptional circumstances, decisions to award or deny
tenure may be made sooner).
4. At a minimum, each candidates dossier should include materials specified in the
attached Guidelines for the Contents of the Candidates Dossier. The candidate is
encouraged to include in the dossier any other evidence available and relevant in
support of candidacy. The dossier should be organized in such a way as to allow
ready access to materials likely to receive particular attention in the review by the
Vice President for Academic Affairs. A proposed organization into Volume I and
Volume II of the dossier is provided in the attached Proposed Contents of Dossier
Volumes I and II.
5. The Department/School Promotion and Tenure Committee forwards its written
recommendation to the Department Head/Director. The Department Head/Director
makes a separate written evaluation of the candidate for promotion or tenure,
appends this recommendation to the recommendation of the Committee, and
provides the candidate with a written summary of these recommendations. Unless
the candidate specifically requests to be withdrawn from consideration, all materials
together with the recommendations and the Department/School vote are forwarded
to the Deans Office by November 15.

25

B. Establishment of the College Promotion and Tenure Advisory Committee

The College-wide P&T Committee is constituted in the following fashion:
1. The Dean appoints ten faculty members who must be AQ at PhD level with tenure to
serve as the College-wide P&T Committee. Each Department/School is represented
on the Committee with at least two members. The Dean asks each Department
Head/Director to nominate two persons to be appointed to the Committee. In
addition, the Dean selects two at-large members of the Committee for a total of
twelve members. These committee members serve two-year staggered terms so
that only five are appointed in each year. This Committee is appointed by November
15.
2. The Dean designates one member of the Committee as Chairperson.
3. The College-wide P&T Committee has the authority to establish its own procedures
and rules within the constraints of the UA and CCC Faculty Handbooks.
4. The role of the College Committee is to make an independent assessment and
recommendation to the Dean on each candidate. It is not the role of the committee
members to serve as advocates for a particular departmental/school position on a
candidate.
5. The Dean forwards by November 15 all promotion and tenure materials, including
candidates personal submissions, Department/School Committee
recommendations and comments, and Department Head/Directors
recommendations and comments to this Committee. After careful consideration of
the material on each candidate, the Committee presents a Committee
recommendation to the Dean together with supporting documents and written
summaries of the basis for the recommendation. Any member or members of the
Committee who believe that the Committees report is not an accurate reflection of
the committee deliberations may write a minority opinion and append it to the
report on the candidate. The Committee should complete its deliberation and
forward its report to the Dean by January 15.
6. The Dean informs the Department Head/Director of the Committees
recommendations and provides them with copies of the written summaries of the
basis for the Committees conclusions. The Department Head/Director informs the
candidates of the recommendation and makes available to them copies of the
written summaries provided by the P&T Committee. If the candidate desires,
she/he may appeal this recommendation to the Dean by responding in writing to the
Committees summary.
7. The Dean, based on the recommendations of the College-wide P&T Committee, the
Department Head/Director, Department/School Committee recommendations, and
any written appeals of the candidate, makes a final recommendation. The Dean
informs the Department Head/Director and the candidate of this recommendation
and makes available to them a written statement as to the basis for the
recommendation.
26

8. If a candidate disagrees with the final recommendation of the Dean, he or she may
submit a written statement explaining the basis for the disagreement to the Dean.
This statement, together with all other material relevant to the candidates
recommendation, is forwarded to the Academic Vice Presidents Office by
February 1.
9. The Dean informs the College P&T Committee of his or her recommendation to the
Academic Vice President.
10. The Dean notifies by letter those faculty members promoted or denied promotion
as soon after receipt of the official decision of the President of the University or his
or her designee. Decisions regarding tenure will be communicated directly by the
Academic Vice President.
Criteria for Promotion and Tenure
A. General Considerations
The basic criteria for tenure and promotion are (a) performance in teaching and
knowledge of subject matter as specified in the UA Faculty Handbook; (b) creative
scholarly activities evidenced by publication; and (c) appropriate professional service.
Teaching and research are considered to be co-equal in importance.
A faculty member usually completes at least four years in rank before being considered
for promotion from Assistant Professor to Associate Professor or from Associate
Professor to Professor; consequently, candidates normally do not apply for promotion
before their fifth year in rank (UA Faculty Handbook, Chapter 2).
1. Teaching
Teaching performance assessment is consistent with both the UA Faculty Handbook
and the College Policy on Student Evaluation of Teachers, which appears separately
in the Culverhouse College of Commerce Faculty Handbook. In addition to the
criteria spelled out in these documents, the promotion and/or tenure evaluation
considers the following (not necessarily listed in order of importance):
a. The quality of the teaching.
b. The quantity of teaching, including the number of students and the number of
courses.
c. The difficulty/uniqueness of preparation and delivery.
d. The response of students to the faculty members teaching efforts.
e. Special materials, cases, and other extra preparation efforts necessary for unique
and specialized courses.
f. Dissertations directed and dissertation committees served on.
g. Student advising.
h. Publication of textbooks and other teaching materials.
27

2. Evaluation of Research and Scholarship

The UA Faculty Handbook states that faculty members at all ranks are expected to
engage in an ongoing program of research, publication, creative activity, and
scholarly effort that is appropriate to their appointment, discipline, and fields of
specialization (p. 13). For purposes of promotion and tenure, the weight placed on
each scholarly activity varies according to the contribution it makes to the discipline
and to the professional stature of the candidate. Furthermore, the UA Faculty
Handbook specifies that each successful candidate is expected to have published a
number of substantial articles, in recognized refereed journals in his/her discipline.
To provide greater specificity for the College, research and scholarship evaluations
will be based primarily on accepted or published materials giving consideration to
the nature of the work and the general readership of the publications in which the
work appears. Refereed journal articles are a principal form for disseminating new
knowledge in most business disciplines. Generally, papers appearing in leading
academic journals are to be considered as making a significant contribution to ones
discipline. Other avenues for extending the boundaries of knowledge may include
scholarly books and monographs, chapters in scholarly books, papers in
professional and/or practitioner journals, and other reference works. A candidate
for promotion to the rank of Professor is expected to provide evidence of an ability
to independently conceptualize and carry out scholarly research. The evaluation of
research may also include an assessment of a faculty members success in securing
competitive research awards that are based on substantive external peer review,
e.g., National Science Foundation Awards. Material which is proprietary in nature,
such as consulting reports or proprietary computer software, does not meet the
minimum AACSB standard to qualify as research and will not be considered for
purposes of promotion or tenure.
3.

Evaluation of Service
Service contributions which are above and beyond the UA Faculty Handbooks
requirement of a continuing record of outreach/academic citizenship will be
valued.
The absence of responsible academic citizenship detracts from what otherwise
might have been a strong set of qualifications for promotion or tenure. Thus,
performance in teaching and research are necessary for promotion and/or tenure,
but they are not sufficient. Effectiveness in teaching and research must be
combined with responsible academic citizenship.

4.

External Reviews
External reviews of scholarly work are required for all candidates seeking promotion
and/or tenure. A standardized procedure has been developed for the inclusion of
external reviews in the candidates dossier. This procedure is summarized in the
External Peer Review Policy and Procedures Section B (a few pages forward in this
Culverhouse Faculty Handbook.) External review letters cannot be solicited from
people who served on the candidates dissertation committee. External review
28

letters from co-authors are normally discouraged but may be included in special
situations.
5.

Reporting Recommendations
The recommendations from the Department/School Committee and from the
College P&T Committee will be reported in terms of the actual vote on each
candidate. Separate assessments of teaching and research will be provided by the
Department/School Promotion and Tenure Committee and the Department
Head/Director. Detailed responses underlying the reasons for the
recommendations will be provided. The Dean will consider the recommendations
of the Department/School Committees, Department Head/Director, and the
College P&T Committee. The Dean will make an independent assessment of and
recommendation on the candidate to the Academic Vice President. Examples of
the reporting formats used by the Dean for promotion and tenure
recommendations are contained in the attached Promotion Recommendation
Summary and Tenure Recommendation Summary.

B. Awarding of Tenure
The performance of probationary faculty members will be evaluated on the basis of
the following categories: teaching, research, and service to the University and to
ones discipline.
In order to obtain tenure, a probationary faculty member will have demonstrated a
high level of ability and accomplishment in teaching and research. The faculty
member must show the capacity for further development in all areas of
professional activity in such ways that continued development would warrant
promotion through the ranks and the probability of successful performance in areas
involving substantially greater levels of responsibility.
C. Promotion to Associate Professor
Promotion to the rank of Associate Professor is premised on the individuals having
fulfilled all the qualifications for the rank of Assistant Professor. The promotion is
justified on the basis of a record of actual performance and by identification of
potential for additional achievement. There should be evidence of recent
accomplishments and professional contributions in the individuals discipline.
Normally the record of accomplishment should include evidence of progress
toward outstanding achievement in the general areas of instruction and research.
D. Promotion to Full Professor
The criteria for promotion to the rank of Professor listed in the UA Faculty
Handbook (Chapter 2, section III) are summarized as follows:
Promotion to Professor is premised on the individuals possessing a
strong record of performance at the rank of Associate Professor. The
decision to promote an Associate Professor to the rank of Professor is
based principally upon: (1) the caliber of the faculty members
teaching effectiveness and overall contribution to the quality of the
29

instructional programs in which he/she has assigned duties and (2) the
caliber of the faculty members record of research, publication, creative
activity, and scholarly efforts in his/her discipline and fields of
specialization. These two areas of performance are co-equal in
importance and are predominant in the evaluation of candidates for
promotion from Associate Professor to Professor.
Given the criteria for promotion to the rank of Professor specified in the UA Faculty
Handbook, the following series of questions should be asked by departmental and
divisional committees considering candidates for promotion to Full Professor:
1. Does the individual present a record of achievement which is clearly
superior to that which would be expected if the person were a candidate
for promotion to his/her present rank (i.e., Associate Professor)?
2. Does the candidate essentially offer the same evidence which has already
been drawn upon to justify promotion to Associate Professor?
3. Does the candidate offer recent contributions to scholarship in his/her
field?
4. Does the candidate show evidence of continuing scholarly contribution?
5. Does the candidate offer evidence of an ability to independently
conceptualize and carry out scholarly research?

30

GUIDELINES FOR CONTENTS OF THE CANDIDATES DOSSIER

The candidates dossier serves as a basis for decisions regarding retention, tenure and/or
promotion. The following are recommendations to assist the candidate in preparing a dossier:
1. Candidates should review promotion and tenure guidelines provided in the UA Faculty
Handbook and the Culverhouse College of Commerce Faculty Handbook. Each of the
criteria identified in these guidelines should be addressed by the candidate. The
candidate should demonstrate succinctly how criteria for teaching, research, and
academic citizenship/service have been met.
2. Candidates are strongly encouraged to prepare self-evaluation statements about their
research and teaching activities. These statements provide an opportunity for the
candidates to explain how they believe they have met the criteria for promotion and/or
tenure. These statements should help evaluators understand the academic philosophy
of the candidate. Thus, the statements should not be a listing of accomplishments
provided already in the candidates resume. Instead, the statements should help
evaluators understand a candidates approach to research and teaching, as well as
major successes and future goals. Each statement should be limited to five (5) pages.
3. The candidate should identify three recent research papers (or other research works, if
applicable) published or accepted for publication that the candidate believes are
representative of the candidates research efforts. At least one of these should be a
paper under review. These should be identified in the candidates self-evaluation
statement. These papers will provide a foundation for a review of the candidates
research, although all information submitted by the candidate will be considered. The
candidate may wish to comment on why these papers are of special merit and the
contributions that the published works have made to the literature (e.g., information
about citations might be appropriate). The contributions of the candidate to coauthored papers should be identified clearly.
4. The candidate should provide information to assess the quality of the journals in which
the candidate has published. This information should include lists prepared by the
candidates department of quality academic journals in the candidates discipline,
including one list of leading journals that publish research in the candidates discipline,
and their tier two list, that includes examples of other distinguished journals.
Supporting information may include published assessments of journal quality in the
candidates discipline and/or other information about the purpose, status, and quality of
the journals which may be specified by the candidates academic department/school.
Information should be provided about the appropriateness of the journals for the
candidates research. Any evidence of theoretical or practical impact by the candidates
research also would be useful.
5. Careful summaries of teaching evaluations are more useful than large amounts of data.
Teaching evaluation information should be supplemented with such information as
summaries of courses taught, class sizes, approaches used in teaching, syllabi, teaching
materials developed by the candidate, efforts to develop special student skills (e.g.,
writing, thinking, leadership, etc.), the use of technology, letters from students and
other faculty, and similar materials that will help evaluators assess the candidates
31

teaching efforts and quality. All submitted materials are assumed to be the work of the
candidate. If jointly developed materials are submitted, care should be used to identify
the contributions by the candidate. It is not suggested that a candidate must provide all
of the possible types of support listed above. Instead, the candidate should choose
those that are most suitable for the candidates situation.
6. Information about the backgrounds of external reviewers would be helpful. A paragraph
about each reviewer, indicating the reviewers status as a researcher in the candidates
field would help evaluators assess the merits of the reviewers comments. In all cases,
complete explanation of any relationship between the candidate and the reviewer is
necessary.
7. Any College or University service activities the candidate believes to be particularly
important should be described briefly if the candidate believes these warrant special
consideration in the promotion and/or tenure decision.
8. Each dossier should contain an up-to-date, complete and accurate career performance
report in the form specified in the Appendices as Sample Career Performance Report.
9. The dossier for a probationary faculty member should contain copies of the
departmental annual progress reviews for the candidate for all prior years.
10. It is recommended that candidates submit their documentation in binders to prevent
pages from being lost or misfiled. A detailed table of contents should be included.

32

PROPOSED CONTENTS OF DOSSIER

VOLUMES I AND II
Volume I
1.

Deans Recommendation

2.

Recommendation of the College Committee

3.

Recommendation of the Department Head/Director

4.

Recommendation of the Departmental/School Committee

5.

Written Appeals, if any, Provided by the Candidate in Response to

Evaluations by the Departmental/School Committee, Department
Head/Director, College Committee or Dean

6.

For probationary faculty, copies of the departmental annual progress

reviews for all prior years

7.

Career Performance Report

8.

Statement of Candidates Teaching Philosophy

9.

Statement of Candidates Research Philosophy

10.

Summary of Portfolio of Teaching Materials

11.

Ratings of Journals in Which the Candidate Has Published

12.

External Review Letters (with notations on who selected the

reviewers and the relationship of the reviewer to the candidate)

13.

Three Representative Research Papers or Other Research Works

Provided by the Candidate That Have Been Published, Accepted for
Publication or are under review

14.

Letters of Support From Persons Other than External Reviewers

Volume II
1.

Copies of all Publications

2.

Detailed Portfolio of Teaching Materials

3.

Other Materials Which the Candidate Thinks Are Pertinent to the

Promotion and/or Tenure Decision

All materials will be available for review at each stage of the process and all materials will be
forwarded to Academic Affairs. The dossier for each candidate will be standardized as outlined
above.

33

B. EXTERNAL PEER REVIEW POLICY AND PROCEDURES

Revised October 2005
University policy requires external reviews for all candidates seeking promotion or tenure (The
UA Faculty Handbook, Chapter 2, section VI). This document summarizes the policies of the
CCC that supplement the general University policies on external reviews.
1. The Department Head/Director requests from candidates for promotion and/or tenure
a list of three or more persons who are recognized as experts in professional areas of
relevance to the evaluation of the candidates record. Candidates may indicate
preferences with respect to the individuals to be contacted, and these will, in general,
be respected unless there are specific and compelling reasons for not doing so.
External review letters cannot be solicited from persons who served on the candidates
dissertation committee. External review letters from co-authors are normally
discouraged, but may be included in special situations. Candidates will be expected to
provide the Department Head/Director with a statement of any professional or
personal relationship which they have or have had with the persons whose names are
provided.
2. Normally, faculty reviewers should hold tenured positions at the rank to which a
candidate is seeking promotion or higher at universities of peer status or better to The
University of Alabama. These include major state universities and private universities
with nationally recognized business schools. If a department selects reviewers who do
not meet these criteria, exceptions should be noted by the Department Head/Director
in documentation provided in the candidates dossier and an explanation of the
reasons for the exceptions should be described. The majority of external reviewers for
any candidate should meet the criteria noted in paragraph one (1) above.
3. The Department Head/Director requests from faculty in the Departments/School who
are knowledgeable about the candidates research specialization the names of at least
three experts who can provide an evaluation of the candidates record. External review
letters cannot be solicited from persons who served on the candidates dissertation
committee. External review letters from co-authors are normally discouraged, but may
be included in special situations. A statement of personal and/or professional
relationships between the candidate and the external peer reviewers ultimately
selected will be included in the candidates dossier.
4. The Department Head/Director will request at least three evaluations of the
candidates work from those names that were supplied by the candidate and two
evaluations of the candidates work from those names that were supplied by the
faculty. The candidate will be told the identity of the reviewers selected from the
faculty list before they are contacted but will not have the right to veto the choices.
Outside letters will be annotated by the Department Head/Director to indicate whether
the letter was provided by a reviewer selected by the faculty or provided by a reviewer
selected by the candidate. A minimum of two letters obtained under these guidelines
shall normally constitute a minimum requirement. If outside letters were requested
34

but not received in time for review by the faculty, the Department Head/Director will
provide a memo to the promotion file to that effect. Outside letters received after the
departmental faculty begins its deliberations will not be included in the review process.
5. Reviewers will be contacted by the Department Head/Director prior to mailing any
materials to verify their willingness to prepare the review on a timely basis.
Standardized letters have been prepared for use in soliciting external reviews and can
be seen in Appendix I and Appendix J. Reviewers will be provided with a complete
resume of the candidates professional accomplishments and a sample of his/her
published or unpublished research. The candidate will normally select the papers to be
included in the material mailed to outside reviewers.
6. Normally, reviewers will be asked to comment only on a candidates research. In some
cases, however, opinions on professional association activities, consulting, or other
matters may be requested if these are important to the candidates case and if the
reviewer has special knowledge of the candidates work in these areas. In no
circumstances will reviewers be asked to provide a recommendation regarding the
personnel action under consideration. External reviewers who are asked to write
letters as part of the P&T process will be informed that the letters will be confidential
and available only to those who are directly involved in the review process. The letters
will be shared with candidates only when required as a result of legal action.
Consequently, the letters will be added to a candidates dossier after the dossier has
been turned in to the Department Head/Director and will be removed from the dossier
before it is returned to the candidate. The dossier will not be available to the
candidate once it has been turned in until the review process is complete.
7.

The outside review letters will be available to the faculty group participating in the
evaluation of the candidate. The Department Head/Director will include these letters
in the review file forwarded to the Dean.

8.

No explicit weight will be assigned to external reviews, and it will not be assumed that
they are more accurate or authoritative than internally generated evaluations. Such
reviews should be viewed as additional information only. The final decisions regarding
promotion/tenure recommendations and actions remain the exclusive responsibility of
the faculty of the CCC and the central administration of The University of Alabama.

9.

The Department Head/Director will have discretion as to whether to discuss the

contents of external review letters with candidates. In circumstances in which the
contents of the external letters are likely to have a significant negative effect on the
promotion or tenure decision, the Department Head/Director should discuss the issues
raised by the external reviewers with the candidate, without revealing the source, and
provide the candidate an opportunity to explain or rebut those issues.

35

C. GRADUATE FACULTY MEMBERSHIP POLICY

FOR THE MANDERSON GRADUATE SCHOOL OF BUSINESS
Revised September 2011
The University of Alabama policy titled Qualifications for the Graduate Faculty, adopted in
spring 2004, specifies broad criteria for membership on the Graduate Faculty and suggests that
each college develop additional policies specifying how these criteria are best interpreted in
terms of the Colleges unique role and mission. This document sets forth the policies of the CCC
regarding standards and procedures for appointments of Graduate Faculty in the Manderson
Graduate School of Business.
The Graduate Faculty sets standards for graduate work in business and provide graduate
instruction. Only graduate faculty may teach courses numbered 500 and above and chair thesis
and examining committees. Only full members of the Graduate Faculty may chair dissertation
committees. Temporary members of the Graduate Faculty may perform specific functions for
the graduate program for specific time periods.
Standards for Membership in the Graduate Faculty
I. Full Membership Candidates must:
A. hold an earned doctorate in business or related field,
B. hold the rank of at least Assistant Professor in a full-time, tenured or tenure-track
position, and
C. be Academically Qualified at the PhD level in the most recent five-year period.
II. Associate Membership Candidates must:
A. hold an earned doctorate in business or related field,
B. hold the rank of at least Assistant Professor in a full time, tenure-track position, and
C. be Academically Qualified at the Masters level or Professionally Qualified in the
most recent five-year period.
III. Temporary Membership Under circumstances where a faculty member does not satisfy
the above criteria, a temporary appointment to the graduate faculty may be made to allow
qualified persons to perform specific duties such as teaching a graduate course or serving
on a thesis or dissertation committee. Reasons for temporary membership may include,
but are not limited to, the following:
A. Candidate possesses the necessary expertise to carry out the assigned
responsibilities.
B. Candidate has not yet obtained the doctorate in a related field.
C. Candidate position is not full-time or tenure-track.
36

D. Candidate has lost graduate faculty membership, but must continue to supervise
existing graduate students until degree completion.
Terms of Appointment
I. Full Members - Appointed for six-year renewable terms.
II. Associate Members Appointed for six-year renewable terms.
III. Temporary Members Appointed for one, two, or three-year terms. Appointments
are renewable.
Initial Appointment to the Graduate Faculty
An individual is considered for appointment as a member of the Graduate Faculty of The
Manderson Graduate School of Business at the time of the individuals initial appointment to a
full-time faculty position in one of the academic Departments/School of the Culverhouse
College of Commerce.
Individuals not offered an appointment to the Graduate Faculty at the time of their initial
appointment to a full-time faculty position, such as individuals who have not completed the
doctorate at the time of their initial appointment, may be subsequently considered for
appointment as a member of the Graduate Faculty.
Application and Review Process
1. Faculty members apply for graduate faculty membership or renewal of graduate faculty
membership by submitting an application form (see Chapter VIII, Appendix C), a letter of
application and documentation of their activities. The information contained in a faculty
members curriculum vita or compiled in the Career Performance Report is sufficient, and
needs not be recompiled for the purpose of the application. The review process will take
place at the end of the spring semester during the mandatory annual faculty review by the
Department Head/Director. If the applicant wishes, the curriculum vita or Career
Performance Report can be supplemented with other appropriate documentation.
2. Candidates should submit an application for appointment or continuation to the
Department Head/Director. The request will be considered in accordance with the criteria
set forth in this policy document.
3. The Department Head/Director may request a meeting with the faculty member before
making a recommendation to the College Dean.
4. The faculty member under review will have the opportunity to respond to the Department
Head/Directors recommendations before the application materials and recommendations
are forwarded to the College Dean.
5. The application, along with recommendations from the Department Head/Director and
College Dean, will be forwarded to the Dean of the Graduate School.
6. The faculty member will be informed in writing of the recommendation at each level. A
negative recommendation at any of these levels will cause the application not to be
forwarded further. An appeals process then is available as described below.

37

7. In the absence of a request for reappointment, membership will lapse after six years, but it
is the responsibility of the Department Head/Director to advise a member that his/her
membership is about to expire.
Appeals Process
An applicant may appeal any recommendation made. If a faculty member seeking appointment
or reappointment to the Graduate Faculty of the Manderson Graduate School of Business
disagrees with a negative recommendation from the Department Head/Director or the Dean of
the Culverhouse College of Commerce, the appeal should be submitted to the Dean of the
College. The appeal should state the rationale for reconsideration of the decision made. After
review of the appeal and any appropriate materials, the Dean will make a final
recommendation. This recommendation may be further appealed to the Dean of the Graduate
School. Appeals filed with the Dean of the Graduate School shall be subject to processes and
procedures specified by the Graduate School.

38

D. INITIAL APPOINTMENTS WITH TENURE POLICY

September 2011
It is the policy of the Culverhouse College of Commerce that tenure is not normally awarded at
the time of an initial appointment to faculty rank. Exceptions may be made for distinguished
chairs and for other faculty hired at the rank of Professor whose professional stature, records of
teaching and scholarship, and potential for making an outstanding contribution to the mission
of the College are so strong and convincing as to merit the awarding of tenure without the
normal probationary period for evaluation.
A decision to award tenure at the time of initial appointment requires an affirmative vote of the
departmental faculty, the support of the Department Head/Director and the Dean, and the
concurrence of the Provost/Vice President for Academic Affairs. In making this decision, the
candidates record and credentials are examined from the standpoint of 1) teaching experience
and evidence of instructional effectiveness, 2) quantity and quality of research, publication and
scholarly achievement, 3) professional stature in the discipline, and 4) potential for making an
ongoing meritorious contribution to the mission of the College and the University in teaching,
research, and outreach/service activities.

39

Chapter IV
Non Tenure-Track Faculty
Appointments

40

Draft Policy Subject to Approval by Academic Affairs

NON-TENURE-TRACK FACULTY APPOINTMENTS
Introduction
The Culverhouse College of Commerce(CCC) has three categories of full-time faculty: TenureTrack Faculty (TTF), Tenured Faculty (TF) and Non Tenure-Track (NTF). For Tenure-Track and
Tenured Faculty, expectations for promotion, and specified evaluation procedures and
schedules for such appointments, are set forth in Criteria and Standards for Promotion and
Tenure, as found in the University of Alabama (UA) Faculty Handbook and the CCC Faculty
Handbook.
This document describes procedures and processes for evaluation and promotion for full-time
Non Tenure-Track Faculty who are appointed to full-time, nine-month, multi-year positions that
are not on the tenure track. Consequently, it does not apply to part-time appointments,
temporary appointments, adjunct appointments, visiting appointments, or appointments
intended to be for one year only.
NTF efforts are based primarily on teaching responsibilities or program administration, or
service or some combination of these activities. NTF do not have a primary responsibility in
research or scholarship or creative activity outside teaching/clinical responsibility and thus have
a much less or non-existent research-intensive focus.
A. Ranks and Terms of Appointment
1.

Ranks. This policy applies to full-time, nine-month, multi-year appointments at the ranks
of Assistant Professor of Practice, Associate Professor of Practice, and Full Professor of
Practice, collectively referred to hereafter as Non Tenure-Track Faculty (NTF).

2.

Terms of Appointment.
a. Initial appointments may take place at any rank, contingent upon experience. Initial
appointments will normally be for a period of three years. Offer letters will be issued
by the Office of the Dean. Continuation in the appointment throughout three years is
contingent on satisfactorily meeting the departmental and Colleges performance
standards, compliance with all policies in the UA Faculty Handbook, general UA
employment policies, and the needs of the department and College.
b. Unlike tenured faculty, this is a term appointment that, by definition, is not tenureearning and does not convey any right or expectation of continued employment after
the time specified. The position is subject to the policies and procedures of The
University of Alabama, the Culverhouse College of Commerce, and the Department.
The University reserves the right to terminate employment immediately if, in the
judgment of the Department Chair/Director and Dean, such action is warranted.
c. All full-time faculty will participate in an annual review with their Department
Head/Director. Part of this review will include determining whether a faculty member
satisfies the criteria to be academically or professionally qualified. Renewable
contracts every three years will be based on program need, performance, other
criteria stated in this document, the absence of instances outlined in Section VII
below, and other terms and conditions noted herein.
41

d. Assistant Professors of Practice, in the sixth year of service, will be eligible to apply
for promotion to Associate Professor of Practice. To be eligible for promotion, a NTF
Professor must satisfy the academically or professionally qualified requirements of
the Culverhouse College of Commerce.
e. Associate Professors of Practice, after five years in rank, will be eligible to apply for
promotion to Full Professor of Practice. Those Non Tenure-Track Faculty with five or
more years of service in the Culverhouse College of Commerce at the time this policy
was adopted may be granted exceptions to the five years in rank requirement.
B. Qualifications
1. NTF should normally possess the appropriate masters degree for their field and
significant work experience in the area of appointment. Equivalent credentials in special
cases as approved by the Department in consultation with the Dean of the Culverhouse
College of Commerce may be sufficient.
2. A criterion for NTF appointment and promotion is outstanding teaching ability/clinical
competency including classroom or clinical presence, knowledge of the discipline and
specific subject area as well as competence with current instructional pedagogy.
C. Responsibilities
The responsibilities for NTF, which are determined at the discretion of the Dean and
Department Chair/Director, include, but are not limited to:
1. Teaching/Clinical Workload. NTF will have the equivalent of a full-time teaching/clinical
practice load as reflected in the appointment letter. Any variation in the workload of a
NTF member must be approved by the Dean.
2. Service. NTF are expected to carry the same service load as TTF. They are expected to
contribute to the life of the College through appropriate departmental faculty
committees and other forms of academic service consistent with policies of the
Department, College and the University.
3. Scholarship. NTF are generally not required to engage in the preparation and publication
of original scholarship. However, those who choose to remain Academically Qualified
will need to publish in appropriate journals as specified in the AQ/PQ policies of the
College.
4. Voting Privileges. NTF have full voting privileges, and may serve on College committees.
The only exceptions to this are promotion decisions for tenure-track or tenured faculty.
D. Reappointment, Evaluation, and Promotion
1. Reappointment. Reappointment of NTF appointments depends not only on annually
documented meritorious teaching and service, and the absence of instances outlined in
Section G below, but also on continued departmental need for the faculty members
services and continued availability of funding as determined by the Dean. The final
decision and notification of reappointment and non-reappointment will be made by the
Dean.
42

2. Evaluation. There are three types of NTF evaluations: Annual evaluations, third-year
reappointment evaluations, and promotion evaluations.
a. Annual Evaluations. NTF, like all instructional/clinical faculty, must be evaluated
annually. The Department Head/Director is responsible for annual evaluation of the
teaching and service of each NTF. Unsatisfactory reviews may lead to termination at
the end of the academic year or non-reappointment.
b. Third-Year Reappointment Evaluations. When a NTF is being considered for contract
reappointment after a three-year term or for any subsequent reappointment to a
three-year term at that rank, the Department Head/Director and the Dean will first
consider whether both programmatic need and available resources support
reappointment of a NTF position. If position reappointment is warranted, the
Department Head/Director will determine if the current NTF in the position should be
recommended for position reappointment based on annual evaluations and the
absence of instances outlined in Section G below. The Dean will make the final
decision regarding whether to renew the three-year contract or not. At no time will a
NTF contract renewal be deemed de facto tenure.
c. NTF Promotion Evaluation. Due to the smaller relative number of NTF faculty, the
process will be different than that followed for tenured or tenure-track faculty. The
Dean will appoint a college-wide committee to evaluate the NTF who are applying for
promotion to Associate or Full Professor of Practice. The committee should be
constituted with tenured faculty and NTF Professors who have previously been
promoted. However, the majority of the committee should be NTF faculty, if possible.
The Department Head/Director will review the NTFs teaching/clinical practice,
course and curricular development, pedagogy, and service to the department and
make a recommendation to the NTF Promotion Evaluation Committee. It is within the
Department Head/Directors discretion whether a departmental advisory committee
is utilized.
3. Promotion. Unless specified differently in this document, the promotion process for NTF
follows the departmental, College, and Dean-level timeline and process for TTF as
described in Section III, VI, and IX of Chapter 2 of the UA Faculty Handbook. The
evaluation committee will base its recommendation on job descriptions, review criteria
in the faculty members appointment letters, and reference to the criteria for promotion
as described by the NTF Review Committee reports that have been approved by the
Deans office.
Assistant Professors of Practice are eligible for promotion to Associate Professor of
Practice in their sixth year of service. Associate Professors of Practice are eligible for
promotion to Full Professor of Practice any time after fully completing five years of
service after promotion to the rank of Associate NTF Professor. Exceptions to these
times in rank requirements may be warranted for those NTF Professors with significant
experience in the college at the time this policy was adopted.
Promotions for NTF will require letters of support from within the department, along
with the submission of a dossier as described later in this document, a recommendation
from the Department Chair/Director, and a recommendation from the Colleges NTF
43

Promotion Committee. The candidate should assemble a dossier that includes a current
curriculum vita; a statement of professional activities; evidence of teaching/clinical
practice from a variety of sources, and advising effectiveness; a record of service at the
departmental, College, and University levels; and documentation of other relevant
activities. Any modification from the aforementioned requirements requires approval by
the Dean.
1. Promotion to Associate Professor of Practice will be based on evidence of noteworthy
activity in the areas of teaching/clinical practice, advising, and departmental, College
and University service, as well as public service. While not required, candidates
applying for promotion to Associate NTF Professor may include evidence of
scholarship/creative activity and professional development. This will be viewed
favorably as it contributes to the teaching and research mission of the College.
2. Promotion to Full Professor of Practice requires compelling evidence of significant
contribution to ones department, to the College and the University, and to the
pedagogical or clinical aspects of ones field. While not required, candidates applying
for promotion to Full Professor of Practice may include evidence of
scholarship/creative activity and professional development. However, NTF are
encouraged to contribute to the understanding and practice of teaching or clinical
service by disseminating their contributions in national and regional conference
presentations and in teaching-related or practice-related publications.
Documentation of high-quality service is expected.
E. Support
1. Operating Support. NTF will be provided the appropriate office and/or laboratory space
and computer equipment, with access to the same support for their teaching and
service role as tenure-track faculty. NTF are eligible for departmental and College travel
and professional development funds.
2. Teaching and Curricular Proposals. NTF are eligible to apply for internal curricular
development support on the same basis as tenure-track faculty.
3. Salary Enhancements for Promotion. Unless otherwise modified by practice, Assistant
Professors of Practice promoted to Associate Professors of Practice and Associate
Professors of Practice promoted to Full Professors of Practice will receive a 10 percent
increase in base salary.
4. Raises. The raise process for NTF will be consistent with the raise process for TTF.
F. Termination
The position is subject to policies and procedures of The University of Alabama, the
Culverhouse College of Commerce, and the Department. The University reserves the right to
terminate employment immediately if, in the judgment of the Dean and concurrence of the
Provost, such action is warranted. Examples of instances in which employment may be
terminated immediately include, but are not limited in any way to:
Falsifying information on an employment application or other information concerning
qualifications for a position;
44

A pattern of unfair or abusive treatment of students;

Consistently substandard performance or academic incompetence;
Incompetence, neglect, or dishonesty in performance of duties;
Excessive absenteeism;
A pattern of insubordination or failure to carry out reasonable, job-related duties assigned
by a supervisor when such assignments are reasonable and non-discriminatory;
Violating State Ethics laws or other University policy, including but not limited to
appropriating state or student equipment, time or resources for personal use or gain,
fraudulent research or plagiarism, theft of University property, or unethical conduct;
Violating UAs Harassment Policy or Policy on Consensual Romantic Relationships;
Committing a serious criminal offense, a crime involving moral turpitude, a felony, or a
crime involving immoral or unethical conduct;
Illegal possession of a drug or controlled substance, or improper use of narcotics or
intoxicants, which substantially impairs the faculty members fulfillment of his/her
departmental and University duties and responsibilities or violations of the Universitys
Drug-Free Workplace Policy;
A serious violation of one or more of the faculty behavioral obligations set forth in the
Code of Conduct section of the UA Faculty Handbook; or
Any other behavior or condition which significantly affects a faculty member's fitness to
carry out his or her professional responsibilities.
G. Benefits
All NTF positions are eligible for faculty benefits applicable to nine-month full-time non-tenured
or non-tenure track faculty members as described on the UA benefits website, and as amended
from time to time. The UA Faculty Handbook defines a non-tenured faculty member as being
either probationary (tenure-track) or temporary (with no right or expectation of continued
employment beyond the period specified in the letter of appointment). All NTF positions are
akin to what the Faculty Handbook defines as temporary for purpose of interpreting applicable
provisions in the Faculty Handbook.

45

Chapter V
Teaching Loads and
Faculty Responsibilities

46

A. FACULTY WORKLOAD POLICY

Revised September 2011
The University of Alabama Faculty Handbook defines a full-time workload as . . . twelve hours
of undergraduate teaching per semester combined with the other duties required by good
academic citizenship. The UA Faculty Handbook further provides, Negotiations between the
chairperson and the faculty member can result in replacing part of the teaching component . . .
by time assigned to research or other activities which contribute to the mission of the
University; depending on the nature of the assignment, approval of the Dean or Provost/Vice
President for Academic Affairs may be required.
In the Culverhouse College of Commerce it is the responsibility of the Department
Head/Director to make teaching load assignments. The general guidelines are as follows.
1.

New faculty members may have their teaching load reduced for research or service
commitments. Their teaching load is normally six hours per semester and they are
expected to engage in a continuing program of scholarly research leading to
publication in high quality peer-reviewed journals and high quality teaching. If it
becomes clear that the research program is unproductive, the Department
Head/Director will assign a higher teaching load.

2.

All faculty members are expected to contribute to the mission of the College that is
defined as the creation, dissemination, and application of business knowledge. The
contributions of each faculty member to this mission may vary. Because research
leading to publication in major academic journals [defined by College policy as Tier 1
(Top Quality) and Tier 2 (High Quality) (See Chapter VIII, Appendix A for listings)
journals is a high priority for the College and is time consuming, faculty who publish on
a continuing basis in these journals normally will have fewer teaching responsibilities
than other faculty. Faculty who do not publish regularly in these journals are expected
to contribute more to the dissemination mission through additional teaching and/or
service responsibilities. Tenured faculty with no tangible progress towards achieving
AQ status for two years, will be expected to teach four courses per semester.
Exceptions to this policy require approval of the Department Head/Director and Dean.

3.

The Department Head/Director may negotiate with a faculty member to rearrange

teaching assignments within a given academic year so long as the total teaching is not
below the normal load for the affected spring and fall semesters (i.e., twelve hours).
Such rearrangements must be reported to the Dean. Any rearrangement of teaching
responsibilities that leaves a faculty member free of teaching duties for any one
semester must be approved by the Dean.

47

B. RELEASE TIME POLICY

September 17, 1999
Faculty and Staff can be budgeted for participation in contract activity in different ways. The
desirability or benefits of any given approach depends upon the nature of the work to be
performed, the timing and duration of the contract, and the current obligations of the
individual participant. The following paragraphs describe the policy options for twelve-month
staff and faculty and for teaching faculty on nine-month appointments.
Twelve-Month Appointees
Release Time Compensation. Release time requests for faculty and staff on twelve-month
appointments must include salary prorated to the requested release time and benefits as
determined by the Office for Sponsored Programs. Release time must be approved in advance
by the participants supervisor and the Deans Office. State salary dollars released through
participation in a sponsored project will be shared equally between the participating
department and the Deans Office.
Release Time Match. If a project requires a match and the sponsor is willing to accept an inkind contribution, salary and benefits can be used as an in-kind match with the approval of the
participant, participants supervisor, and the Deans Office. Participants whose salary is used as
a match must be advised that they will be jointly responsible to the sponsor and to the
University for time accounting and job performance.
Faculty on Nine-Month Appointments
Faculty members are encouraged to use sponsored projects for summer support. However,
sponsored program opportunities occasionally require work product during the academic year.
Release time can be an excellent approach to supporting such projects. However, as outlined
above, the release time must be consistent with the work product specified in the sponsored
program and include full benefits. Requests for release time must be approved in advance by
the participating department and by the Deans Office.
Research Release. Faculty who wish to engage in sponsored projects during the academic year
will normally seek release time from their research hours. Unlike a 25 percent course release,
research hours can be committed in any increment between one and 50 percent--assuming a
50 percent teaching and research distribution. Release time requests must include salary
prorated to the requested release time and benefits as determined by the Office for Sponsored
Programs. Funds released in this manner will be shared equally between the Deans Office and
the participating department.
Course Release. Course release time can also be used to support sponsored projects. However,
course release time carries with it the added responsibility of ensuring that the department is
able to cover the released course(s) with a qualified instructor consistent with all accreditation
standards and requirements. A course release is equivalent to 11.25 percent of a faculty
members nine-month base salary for a single course. Released dollars will be used to cover the
cost of the replacement instructor. Any residual funds will be shared equally between the
48

Deans Office and the department. There is no provision for a participant operating account
when course release is used.

49

C. ABSENCE FROM DUTY, MISSED CLASSES, AND REPORTING

OF CONSULTING AND SUPPLEMENTAL COMPENSATION ACTIVITIES POLICY
Updated August 2000
It is the intent of University policy that all classes be met at the scheduled time and that they be
taught by the instructor assigned to the course. On occasion it may be necessary for a faculty
member to miss a class. This policy summarizes and expands upon The University of Alabama
Faculty Handbook requirements relating to missed classes and absence from duty. Because
supplemental compensation and consulting activities are sometimes cited as reasons for
absence from duty, this document also summarizes reporting requirements and establishes
policies relating to missing and rescheduling classes for these purposes.
I. Missed Classes and Absence From Duty
A. The UA Faculty Handbook states that, A faculty member normally must receive prior
approval from the department chairperson before missing or rescheduling
classes.(Chapter 5, section III)
B. The CCC Policy clarifies and builds upon University policy and requires that with the
exception of emergencies faculty must receive prior approval to miss or to reschedule a
regularly scheduled class.
C. Submission of a properly completed CCC Coverage Approval Form (See Chapter VIII,
Appendix G for form) to the Department Head/Director constitutes notice of intent to
miss a class and is the appropriate means for requesting prior approval. Except in
unusual circumstances, the form should be submitted at least one week in advance. If
the request is approved, a copy of the signed form will be returned to the faculty
member in a timely manner, with a copy to the Deans Office.
D. Approval generally requires that the class be met at the scheduled time by a suitably
qualified substitute instructor or that the class be rescheduled (or offered in another
format). Effectively rescheduling a large class is usually difficult and will not generally be
approved.
E. In the event that an emergency causes a class to be missed, a telephone call at the
earliest possible time is suggested. The CCC Coverage Approval Form should be
submitted as soon as practical following the emergency.

50

II. Consulting and Supplemental Compensation

A. Because supplemental compensation activity may infringe upon a faculty members
teaching, research, and academic citizenship responsibilities, University policy requires
prior approval from the Dean or the Deans designated representative for any such
activity (UA Faculty Handbook, chapter 3, section VII).
B. It is the policy of the College of Commerce that regularly scheduled classes take
precedence over consulting and other supplemental compensation activities, and that
faculty should schedule these activities to avoid conflicts with regularly scheduled
classes.
C. For external supplemental compensation activities and for internal supplemental
compensation activities that have standardized approval forms, the signature of the
Department Head/Director and the Dean on the appropriate University coordinating
form will constitute prior approval of the activity. If the planned activity is expected to
result in a missed class or other assigned responsibility, the CCC Coverage Approval
Form must also be submitted and approved by the Department Head/Director.
D. For supplemental compensation activities that do not have standardized approval
forms, prior approval must be obtained from the Department Head/Director and the
Dean using the CCC Supplemental Compensation Approval Form (See Chapter VIII,
Appendix G for form). If the planned activity is expected to result in a missed class or
other assigned responsibility, the CCC Coverage Approval Form must also be submitted
and approved by the Department Head/Director.
D. University policy limits the number of supplemental compensation days during any
academic year and during the interim term and the summer term for faculty members
with teaching assignments during these periods (UA Faculty Handbook, chapter 3,
section VII).
E. Faculty who are not AQ and have not made reasonable progress in improving their
status for the past two years are not eligible for University paid supplemental
compensation. This includes overload teaching, EMBA programs, etc.

51

D. Deterrence of Academic Misconduct Policy

August 2000
Instructors in the Culverhouse College of Commerce have the responsibility of maintaining the
academic integrity of assigned grades. This responsibility includes vigilance on the part of each
instructor in detecting and deterring academic misconduct which has the potential for
distorting the merit-based assignment of grades.
The responsibility of detecting and deterring academic misconduct exists separately from the
Universitys Academic Misconduct Disciplinary Policy that outlines the appropriate procedures
for investigating and resolving academic misconduct charges which are brought against a
student (UA Faculty Handbook).
An instructor should take reasonable steps to stop academic misconduct in the classes he or
she is assigned to teach. Each instructor possesses a degree of latitude in his or her
instructional style and may take reasonable steps to deter academic misconduct in the
classroom which are consistent with that instructors style of classroom management. Such
reasonable steps to prevent academic misconduct in the classroom could include the following:
l. An instructor can require that all books, notebooks, and written materials be placed
on the floor so that they are inaccessible during the examination
2. At the beginning of or during an examination, an instructor may move students from
one part of the examination room to another
3. An instructor may verbally warn a student suspected of possible academic
misconduct
4. An instructor may seize unauthorized materials, such as cheat sheets, being used by a
student to facilitate academic misconduct.
For mass large sections, special precautions may be needed to deter academic misconduct. The
instructor may take the following steps:
1. Make up two versions of the exam (A and B) with essentially the same questions but
with different numbers or slightly altered wording. The question sequence can also
be altered.
2. Where the examination room is tiered, students can be assigned to every other seat
and exams A and B can be altered by row. (Note: This procedure often requires
extra classrooms and monitors.)
3. Request students to bring their student identification to the exam and check the
picture and match the signature on the identification to the one on the exam. Should
the student fail to bring adequate identification, note this fact on the exam for
reference and follow-up.
52

4. Have a sufficient number of monitors for the examination (one monitor for each of
about 60 students is a reasonable guideline).
5. Keep monitors moving from place to place in the auditorium and on their feet.
Require that monitors refrain from visiting during the exam, stay dispersed
throughout the classroom, and be alert for cheating of any kind.
When an instructor has reasonable cause to suspect that a student is engaging in academic
misconduct, the instructor has the discretion to decide whether or not the student should be
permitted to finish the examination. In making such a decision, the instructor should consider
the type of suspected academic misconduct which may be occurring, whether or not the
misconduct is flagrant or continuing, and whether some lesser action, such as moving the
student who is suspected of cheating to another seat in the examination room, is sufficient to
stop the suspected misconduct activity. For example, if an instructor suspects that a student is
looking at another students examination paper, then because of the potential difficulty of
proving the suspected act of misconduct, the instructor might move that student to another
seat and permit the student to finish the examination. If charges are brought against the
student and the student later is absolved of academic misconduct under the Universitys
Academic Misconduct Disciplinary Policy procedures, then that student can receive a grade
based upon the results of the given examination rather than receiving a grade based upon a
make-up test. However, the instructor bears the ultimate responsibility of determining the
appropriate actions necessary to detect and deter academic misconduct in his or her classroom
based on the circumstances of each suspected act of misconduct and whether to report that
misconduct to the Colleges Academic Misconduct Officer.
To deter cheating on homework, team projects and plagiarism on term papers, rules and
guidelines for what is permissible and what is forbidden can be incorporated into the course
syllabus. Systematic checks of term paper footnotes, citations, and literature references can be
carried out on selected papers to monitor compliance. A statement in the course syllabus that
such systematic checks will (or may) be carried out may be used to deter misconduct.
With respect to grade assignment, although each instructor has the discretion to determine the
grade that is submitted on the official Final Grade Report for a student accused of academic
misconduct, it is recommended that the instructor, assign a grade of I. Following the
outcome of the academic misconduct procedural review, the appropriate final grade for the
student shall be assigned.
An instructor who has reasonable cause to suspect that a student has engaged in academic
misconduct should report the misconduct to the Director of Undergraduate Programs or to the
Academic Misconduct Officer for processing in accordance with the procedures outlined in the
Universitys Academic Misconduct Disciplinary Policy.

53

E. Solicitation of Student Feedback

Culverhouse encourages all faculty members to solicit formative evaluations from students, as
well as other College stakeholders, to improve their teaching effectiveness. Such evaluation
can be provided in several ways.
1. Mid-semester comments on a self-designed survey instrument
2. Comments in a quality circle led by the faculty member with a sample of volunteer
students throughout the semester
3. End-of-semester comments in a focus group with a sample of students led by the
faculty member or other College representative.
4. Results, especially written comments, on the official Student Opinions of Instruction
survey instrument.

54

Chapter VI
Annual Evaluations and Reviews

55

A. ANNUAL WRITTEN EVALUATIONS OF FACULTY POLICY

Department heads/Directors will provide an annual written evaluation for each full-time faculty
member in their departments. The evaluations will provide information about the performance
of the faculty member with respect to teaching, research, and service relative to other faculty
members and/or departmental and college expectations for faculty members of the same rank
and tenure status. The evaluations should be clear about improvements or changes that the
faculty member needs to make in her/his performance that will have a positive effect on future
evaluations.
Evaluations should be provided to faculty members by June 1. Faculty members will have two
weeks to respond to the evaluations and to correct any factual errors. They may request a
meeting with the Department Head/Director to discuss the evaluations during this period.
Department Heads/Directors will then have time to revise their evaluations, which will be
submitted to the Deans Office. When merit salary raises are provided, this evaluation will
provide the basic raise recommendations.

56

B. REVIEW OF TENURE-TRACK FACULTY

September 2011
It is the policy of Culverhouse to review untenured faculty each year and to provide formal
feedback concerning their progress towards achieving tenure. Untenured faculty members
prepare dossiers for review by their departmental committees and Department
Heads/Directors each fall beginning in the second year of service. These dossiers should be
consistent with those outlined for promotion and tenure considerations. Please refer to
Chapter III for details on the contents of ones dossier.
The departmental committees and Department Heads/Directors are responsible for advising
faculty on their progress towards tenure and for preparing formal evaluations of that progress.
Prior to the fourth year of service, these reviews and evaluations are forwarded directly to the
Deans Office and are not reviewed by the Colleges Promotion and Tenure Committee or by
the Universitys Office of Academic Affairs, unless a recommendation is made to terminate a
faculty member.
The dossiers of and evaluations for untenured faculty who have completed three or more years
of service (i.e., they are beginning their fourth year) are reviewed by the Colleges Promotion
and Tenure Committee. The Committee does not make a separate recommendation
concerning the progress or retention of candidates. Instead, the Committee reviews
departmental recommendations to ensure proper procedures have been followed and that
reasonable consistency is being maintained across departments. The Committee should report
any concerns about these matters to the Dean.
In the fourth year of service, a formal retention recommendation is made by the Dean, based
on departmental evaluations, to the Vice-President of Academic Affairs, who reviews the
departmental evaluations and the candidates file.

57

C. CRITERIA AND PROCEDURES FOR ASSESSING ACADEMIC AND

PROFESSIONAL QUALIFICATIONS OF FACULTY MEMBERS
As passed Spring 2010 CCC Faculty Forum

This document describes the criteria and procedures used by the CCC to assess the academic
and professional qualifications of faculty, as described in Standard 10 of Eligibility Procedures
and Accreditation Standards for Business Accreditation from the AACSB.
We view these criteria and procedures as a cooperative effort between faculty members and
College administrators to maintain a high level of instructional quality for our students. They
also are intended to achieve a level of intellectual contributions consistent with the teaching
and research mission of the College, as required by Standard 2 of the AACSB.
The various items that are used as metrics for evaluating faculty contributions are consistent
with our Colleges goals:
1. To be the college of choice for Alabama students and state and regional corporate
recruiters and to provide our students with the skills and knowledge to enable them to
work anywhere.
2. To have a national research reputation and be able to attract quality faculty.
3. To maintain diversity in our faculty, staff and student body.
4. To support economic development and outreach initiatives at the local and state levels.
5. To obtain sufficient funding to accomplish the goals of the College.
AACSB Standard 10 (revised January 31, 2008) requires that at least 90 percent of faculty
resources be either academically or professionally qualified. The standard further states [items
in italics are from the AACSB standard]:
A school should develop appropriate criteria consistent with its mission for the classification of
faculty as academically or professionally qualified.
The criteria should address:
The educational background, experience, and demonstrated work outcomes that are
required to attain each status.
The priority and value of different activity outcomes reflecting the mission and strategic
management process.
Quality standards required of each activity and how quality is assured.
The quantity and frequency of activities and outcomes expected within a typical AACSB
review cycle to maintain each status.
Further, the standard requires:
58

The school has a clearly defined process by which it evaluates how faculty members contribute
to the mission and maintain their qualifications.
and
Maintenance of knowledge and expertise supports faculty performance through an appropriate
balance, given the school's mission, through contributions over the past five years in all the
following areas:
Learning and pedagogical research
Contributions to practice
Discipline-based research

Broad Criteria for Qualification

Academically Qualified (AQ) Faculty Members
The AACSB Standard states that AQ requires a combination of original academic preparation
(degree completion) augmented by subsequent activities that maintain or establish preparation
for current teaching responsibilities.
Thus, the criteria for AQ are defined in two parts: (1) original academic preparation and (2)
development to maintain qualifications.
Original Academic Preparation: Faculty members who hold a doctoral degree from a
nationally recognized doctoral-granting program are deemed to have met this requirement if
their area of degree specialization is the area of their primary teaching responsibility.
Faculty members holding doctoral degrees that differ from their primary teaching
responsibilities will be evaluated on a case by case basis. These faculty members normally will
meet the academic preparation requirement when they maintain active involvement in the
area of teaching responsibility through writing, participation in professional meetings, or
related activities. In some cases, additional academic preparation will be required.
Development to Maintain Qualifications: The AACSB Standard states the following:
Faculty members must be involved in continuous development throughout their careers to stay
current. The standard requires that faculty members maintain their competence through efforts
to learn about their specialty and how it is applied in practice.
Faculty can maintain qualifications through a variety of efforts including production of
intellectual contributions, professional development, and current professional experience.
Each faculty member has the professional responsibility to maintain her/his qualifications
through ongoing activities that involve the acquisition, development and communication of
59

knowledge and skills relevant to the faculty member's teaching responsibilities. Every faculty
member is expected to maintain knowledge of current developments in her/his area of
expertise and to incorporate that knowledge in courses taught by the faculty member.
Professionally Qualified (PQ) Faculty Members
The criteria for professional qualification are defined in two parts: (1) original academic
preparation and professional experience and (2) development to maintain qualifications.
Original Academic Preparation and Professional Experience: Except in unusual
circumstances, a professionally qualified faculty member should have a master's or terminal
degree in an area directly related to the faculty member's teaching responsibility. Professionally
qualified faculty members should have had at least five years of professional experience in a
position that can reasonably be expected to develop knowledge and skills consistent with the
faculty member's teaching responsibilities so that the faculty member has a level of current
knowledge in the discipline sufficient to provide a high level of instruction at the time the
person is hired.
Development to Maintain Qualifications: Each faculty member has the professional
responsibility to maintain her/his qualifications through ongoing activities that involve the
acquisition, development and communication of knowledge and skills relevant to the faculty
member's teaching responsibilities. Every faculty member is expected to maintain knowledge of
current developments in her/his area of expertise and to incorporate that knowledge in courses
taught by the faculty member.
Specific Criteria for Qualification
These are the standards required for a faculty member to be designated AQ or PQ. Faculty
members who fail to meet these criteria may still be designated AQ/PQ if there are
extraordinary circumstances. In such cases, the faculty member must request such special
consideration from his/her department chairperson. The department chairperson must then
submit the request to the Deans Office for approval/rejection.
The standards set forth in this document are not intended to be used for merit pay or
promotion/tenure decisions.
Academically Qualified Faculty Members
Specific criteria for AQ faculty are specified at two levels of teaching: (1) doctoral level (AQ.D)
and (2) undergraduate/masters level (AQ.MU). The department chairperson must justify the
use of faculty members in levels in which they do not meet the level qualifications.
Specific criteria for AQ faculty are as follows:

60

I.

Academically Qualified (Doctoral Level) AQ.D: In order to meet the academic

qualification (AQ) standards to teach doctoral courses (600 level) and chair
dissertations, a faculty member must:
a. Possess an appropriate terminal degree in (or related to) the field in which
s/he is teaching.
b. Be a full member of the Graduate Faculty.
c. Publish in the last five years:
i. One Tier 1 (Top Quality) peer reviewed journal article and one other
peer reviewed journal article OR two Tier 2 (High Quality) peer
reviewed journal articles;
AND
ii. One additional peer reviewed journal article OR make two other
intellectual contributions from the OIC-AQ list below.

II.

Academically Qualified (Masters/Undergraduate Level) AQ.MU: In order to

meet the academic qualification (AQ) standards to teach undergraduate (100 to
400 level) or masters level courses (500 level), a faculty member must:
a. Possess an appropriate terminal degree in (or related to) the field in which
s/he is teaching.
b. Be a full or associate member of the Graduate Faculty (Masters courses
only).
c. Publish in the last five years:
i. Two peer reviewed journal articles;
OR
ii. One peer reviewed journal article AND make two other intellectual
contributions from the OIC-AQ list below.
Examples of Other Intellectual Contributions (OIC-AQ):
1.
2.
3.
4.

Publish scholarly book (including textbooks)

Publish chapter in a scholarly book
Serve on editorial board of peer reviewed journal (including editorial roles)
Serve as an investigator on a grant submitted to an external funding agency.
Grant should be for more than $25,000.
5. Publish in non-peer reviewed journal
6. Publish in a peer reviewed proceeding
7. Conduct a faculty workshop presentation
Professionally Qualified Faculty Members
Specific criteria for all PQ faculty members are as follows:
61

1. Possess a post-baccalaureate degree in (or related to) the field in which s/he is
teaching.
2. Have at least five (5) years of professional experience in a position that can
reasonably be expected to develop knowledge and skills consistent with the faculty
members teaching responsibilities.
Additionally, all PQ faculty members must satisfy at least one of the three following criteria:
1. Be employed full-time in the area (or related area) in which they teach,
OR
2. Be self-employed full-time in the area (or related area) in which they teach,
OR
3. In the past five years:
a. Publish two peer reviewed articles, OR
b. Publish one peer reviewed article and make two contributions from the
OIC-PQ list, OR
c. Make four contributions from the following OIC-PQ list
Examples of Other Intellectual Contributions (OIC-PQ)
1. Develop or substantially revise a course within the teaching discipline
2. Be substantially involved with a professional association (beyond attendance)
3. Participate in outreach activities resulting in contribution to student
knowledge of teaching discipline
4. Participate in a substantial consulting engagement or project within the
teaching discipline
5. Take or teach a continuing education course within the teaching discipline
6. Publish a teaching case in scholarly outlet (journal, book, etc.)
7. Serve on editorial board (including editorial roles) for a either a peer or nonpeer reviewed journal
8. Earn or renew a professional certification within teaching discipline
9. Make any contribution from the OIC-AQ list
Exceptions for AQ/PQ
(i) Faculty members who have received a terminal degree in the discipline in which they
teach within the last 5 years will be considered AQ.D.
(ii) Faculty members who are ABD in the discipline in which they teach will be considered
AQ.MU if they defended their dissertation proposal within the last 3 years.
(iii) Faculty members who are currently pursuing an appropriate doctoral degree and have
completed some coursework in the discipline in which they teach, but have not yet
defended a dissertation proposal, will be considered AQ.MU. Note: This group is limited to
not more than 10% of the faculty.
62

(iv) Faculty members who hold full-time administrative positions at the University of
Alabama are considered AQ.MU. Upon cessation of administrative service and return to the
faculty, these individuals will be considered AQ.MU for three additional years.
(v) Faculty members qualifying under PQ criterion 3 or 4 will continued to be considered
professionally qualified for five years after their retirement at which time they will fall under
criterion 5.
Documentation Procedures for Qualifying as AQ/PQ
It is the responsibility of each faculty member to document his/her intellectual contributions
and development activities and submit such documentation to the department chairperson
each year. The department chairperson should review the documentation and evaluate the
merits of each faculty members activities and identify those faculty members who are
academically and professionally qualified. Records of these documents must be provided to the
Senior Associate Dean each year with a copy of the faculty members annual written evaluation.
These records will remain on file in the Deans office.
If doubt exists about the qualifications, the department chairperson should discuss her/his
concerns with the faculty member. If disagreement exists about the department chairpersons
decision, the matter should be discussed with the Senior Associate Dean. The College
administration is the final arbiter of decisions concerning academic and professional
qualifications, subject to standards for appeal.
In those instances when a faculty member is not academically or professionally qualified, the
department chairperson should work with the faculty member to modify the faculty members
activities in an effort to remove deficiencies.

63

D. MERIT SALARY ADJUSTMENTS

August 2011
University policies and guidelines on faculty evaluation are described in The University of
Alabama Faculty Handbook (Chapter 2, section X). This document summarizes the policies on
merit salary adjustments for the Culverhouse College of Commerce that supplement the
general University policies.
For purposes of merit salary adjustments, the following policies and review procedures have
been established:
1. Separate and distinct evaluations are to be made of teaching, research, and service.
Judgments by the Department Head/Director and the Dean are required in making merit
evaluations.
2. Ten percent of the salary adjustment funds are to be retained and allocated by the Deans
Office using market conditions and productivity as the criteria. When making a market
adjustment, the Dean will consider the market value of the individual. The Dean is expected
to be able to articulate the rationale for market/productivity adjustments.
3. Each faculty member is to be considered for the possibility of a merit service increment, and
up to 20 percent of the funds made available to the Department can be designated for
service raises for selected faculty.
Separate evaluations of teaching and research are to be made, and each faculty member is
then to be assigned to one of five merit categories (1 denotes highest):

Category I Exemplary requires at least eight total publications with at least one
Tier 1 (Top Quality) and five Tier 2 (High Quality) peer reviewed journal articles.
Category II Above Average requires at least six publications with at least four Tier
2 (High Quality) peer reviewed journal articles.
Category III Good Citizen requires at least three publications, two of which are
Tier 2 (High Quality) or better.
Category IV Needs Improvement at least one publication.
Category V Teaching Focused no publications.

The Department Head/Director is expected to be able to articulate succinctly the rationale

for placing a faculty member in a particular merit category. Merit evaluations are to be
based on performance over the immediately preceding three years (ending on May 31).
The funds not designated for service are to be allocated proportionally to the departmental
total assignments for teaching and research. For example, if a department has four faculty
members with assignments as indicated in the table below, then 10/16 or 62.5 percent of
the raise pool (after service is removed) is allocated to teaching and 6/16 or 37.5 percent is
allocated to research. For each of these faculty members the amount of their individual
raise from the teaching and research pools will vary as indicated in the table below.

64

Name

Teaching
Assigned

Research
Assigned

Total per
semester

Raise based
on Teaching

Raise based on
Research

Louise

25%

75%

Ted

50%

50%

Jack

75%

25%

Anna

100%

0%

Total

10

16

Average =
62.5%

Average = 37.5%

Merit salary evaluations are tied to a faculty members performance and workload.
The UA Faculty Handbook defines a full-time work load as twelve hours of
undergraduate teaching per semester combined with the other duties required by good
academic citizenship. The UA Faculty Handbook further provides, Negotiations between
the chairperson and the faculty member can result in replacing part of the teaching
component by time assigned to research or other activities which contribute to the mission
of the University . The UA Faculty Handbook directly addresses the issue of merit
evaluation of faculty for salary increases as follows:
Faculty members are subject to evaluations throughout their careers since decisions must
be made about matters such as salary increases and the amount of time for research. The
criteria and standards used in these evaluations shall be similar to those used in reviews for
tenure and promotion, except that these continuing reviews shall concentrate on the
question of whether the individual has maintained or improved the level of performance
which justified hiring, earlier promotions, and/or tenure.
The promotion and tenure criteria are articulated in detail in the UA Faculty Handbook
(Chapter 2). The criteria are slightly different for promotion to the rank of Associate
Professor and promotion to Professor. However, the substantive bases of the criteria are
quite similar and are revealed by the following performance standards which apply to
promotion to the rank of Professor:
1.

A successful candidate must present convincing evidence of outstanding

instructional performance and effectiveness; each candidates record should be
judged sufficiently consistent in quality to warrant the expectation of continued
performance at this level.

2.

A successful candidate must present a record of research, publication, creative

activity, and scholarly achievement appropriate to his/her discipline and fields of
specialization; this record must be sufficient in both quantity and quality to
demonstrate the potential for progress toward an outstanding level of
performance.

3.

Each successful candidate must show evidence of a continuing record of

outreach/academic citizenship appropriate to the candidates area of expertise.
65

It is clear from the UA Faculty Handbook that annual merit evaluations must consider the
following fundamental questions:
o Has performance in teaching been maintained or improved, and is it at an
appropriate level?
o Has performance in research been maintained or improved, and is it at an
appropriate level for the rank and position held?
o Is there a continuing record of responsible academic citizenship?
o Is there a record of federally funded research?
To assess faculty performance and make merit evaluations, the following explicit and specific
criteria must be used to supplement the general criteria set forth in the UA Faculty Handbook.
A.

Evaluation of Teaching Performance

Teaching evaluation criteria should be consistent with both the UA Faculty Handbook and
College Policies on Evaluation of Teaching. In addition to the criteria described in these
documents, the annual merit evaluation should consider the following (not necessarily listed in
order of importance):
1.

The quality of the teaching.

2.

The quantity of teaching, including the number of students and the number of
courses.

3.

The difficulty/uniqueness of preparation and delivery.

4.

The response of students to the faculty members teaching efforts.

5.

Special materials, cases, and other extra preparation efforts necessary for unique
and specialized courses.

6.

Dissertations directed and other dissertation committee membership.

7.

Student advising.

8.

Publication of textbooks and other teaching materials.

The evaluation of teaching in each individual case should consider these aspects of
performance in establishing the recommended merit adjustment for teaching.
B.

Evaluation of Service

Valuable service contributions that are above and beyond the UA Faculty Handbooks
requirement of a continuing record of outreach/academic citizenship (Appendix Q) may be
rewarded in two ways. First, important assignments of a continuing nature may be the basis for
a reduction in teaching load or special summer research support to compensate for research
time lost during the academic year because of significant service activities and responsibilities.
Second, merit salary adjustments may be assigned for outstanding and valuable contributions
to the Department/School. The total amount of such awards is limited by the 20 percent rule
outlined on page 58. Generally, these merit increments should be made only for continuing
and significant departmental service and important service activities relating to the faculty
members academic discipline (e.g., officer in a major academic association).
66

C.

Evaluation of Research and Scholarship

The UA Faculty Handbook states that faculty members at all ranks are expected to engage in
an ongoing program of research, publication, creative activity, and scholarly effort that is
appropriate to their appointment, discipline, and fields of specialization (Chapter 2, sections III,
IV, VII, VIII, IX). A successful candidate must present a strong, continuing record of productive
research, publication, creative activity, and scholarly achievement appropriate to his/her
discipline and fields of specialization; this record must be sufficient in both quantity and quality
to demonstrate substantial progress toward an outstanding level of performance.
In providing greater specificity for the College, research and scholarship evaluations should be
based primarily on accepted or published materials giving consideration to the nature of the
work and the general readership of the publications in which the work appears. Refereed
journal articles are a principal form for disseminating new knowledge in most business
disciplines. Generally, papers appearing in leading academic journals are to be considered as
making a significant contribution to ones discipline. The College maintains a list of Tier 1 (Top
Quality) Journals and examples of Tier 2 (High Quality) Journals for each department. The
current lists are shown in Appendix A.
Other avenues for extending the boundaries of knowledge may include scholarly books and
monographs, chapters in scholarly books, papers in professional and/or practitioner journals,
and other reference works. Co-authoring activity is recognized as having merit, as is
interdisciplinary research. In this context, the faculty members discipline is to be interpreted
broadly to include related functional and foundation areas of commerce and business
administration. The evaluation of research also may include an assessment of a faculty
members success in securing competitive research awards that are based on substantive
external peer review (e.g., National Science Foundation awards). Material that is proprietary in
nature, such as consulting reports or proprietary computer software, does not meet the
minimum AACSB standard to qualify as research for merit salary purposes. Textbooks and
other teaching materials are generally considered to be relevant to the evaluation of teaching
performance, rather than to the evaluation of research and scholarship.
D.

Assignment to Merit Categories and Percentage Increases Within Categories

All individuals in a Department/School receiving the same merit rating for teaching should
receive approximately the same merit percentage increase for teaching performance.
Exceptions are made for those with increased or decreased teaching loads. In these cases, the
amount of time a faculty member is assigned to teaching and research should be reflected in
the assigned raises. Similarly, those receiving the same rating for research should receive
approximately the same percentage merit increase for their research contributions. Further,
those judged to be in higher merit categories should receive larger percentage raises than those
in lower merit categories.
E.

Teaching Loads and Assignments to Merit Categories

A faculty member who is assigned a heavier than average teaching load contributes more to the
teaching enterprise. However, a heavier load by itself is not sufficient reason to elevate the
evaluation of teaching to a higher merit category. A heavier load combined with conscientious
and effective teaching may elevate the evaluation of teaching to a higher category. In this
67

context, effective teaching includes advising student organizations, continuing interaction with
students, being readily available to students, assisting the Department/School in promoting
quality education for undergraduate students, and carrying a heavier than average load in
teaching large sections.
F.

Unsatisfactory Performance

Unsatisfactory research performance is reflected by the absence of a continuing and productive

record of scholarly research and publication activities. Such performance would not lead to
promotion and tenure, and therefore, cannot be considered as acceptable for merit salary
adjustments. For those having reduced teaching loads to encourage and facilitate research,
unsatisfactory performance will result in an increased teaching load. As noted above, the fulltime workload is twelve semester hours of teaching, which can be reduced to promote and
facilitate research.
Finally, as provided by the UA Faculty Handbook the absence of outreach/academic citizenship
detracts from what otherwise might have been a strong set of qualifications for a merit salary
adjustment. Thus, performance in teaching and research is necessary for all merit salary
increases but not sufficient. Effectiveness in teaching and research must be accompanied by
responsible academic citizenship.
G.

Documentation of Recommendations

The Department Head/Director is responsible for making judgments concerning departmental

service increments and merit category assignments for teaching and research. In accordance
with the general instructions concerning merit recommendations, the Department
Head/Director also makes specific dollar salary recommendations for teaching, research, and
service. The recommendations must be supplemented with information that reveals the
substantive basis for the judgment.
H.

Annual Merit Evaluation Criteria

Statement of Principles
Evaluation criteria are developed to provide guidance for faculty in determining how to allocate
their time and efforts and as a basis for evaluating faculty performance. They also provide a
basis for setting program goals and for evaluating success in meeting those goals. These criteria
are designed specifically for tenure-track faculty and should be adapted as needed for
evaluation of other faculty and instructors.
Teaching excellence and the creation of a superior learning environment throughout the
College is a top priority. All faculty are expected to be conscientious in their teaching efforts, to
maintain high standards, and to remain current on issues of relevance to the educational
process. Success on other criteria does not compensate for poor teaching performance and will
not be rewarded unless this criterion is met.
Academic market value is driven largely by research efforts as demonstrated by publications.
The market for faculty is segmented among those who publish in top academic journals, those
who publish in less academically respected journals, and those who do not publish or who do so
infrequently. Consequently, significant salary differentials are likely to exist among faculty, who
68

otherwise meet the teaching criterion, based on their research performances. These
differentials are dictated by the market in which faculty work.
Teaching
All faculty are expected to be conscientious and effective classroom teachers. Teaching
excellence is not necessarily defined as receiving superior student evaluations but by
demonstration of a commitment to effective learning and ongoing development of the skills
necessary to create an effective learning environment.
The College uses a five-point scale to evaluate teaching. That scale shall be interpreted as
follows:
1.

Superior performance above that normally expected of faculty. Contributions that

substantially enhance the learning environment and the reputation of the College.

2.

Performance consistent with the Colleges expectation of teaching excellence. Evidence

of a commitment to continuous improvement and special contributions to the teaching
program, including extra sections and preparations and/or leadership in program and
course development and coordination.

3.

Performance consistent with the Colleges expectation of teaching excellence. Evidence

of a commitment to continuous improvement.

4.

Performance below the Colleges expectations of teaching excellence. Teaching efforts

may be meritorious but the faculty member is encouraged to make special efforts to
enhance teaching in ways to be detailed in the evaluation.

5.

Performance well below the Colleges expectations. Significant and immediate efforts are
needed to improve performance in ways to be detailed in the evaluation.

Activities and attributes that are consistent with teaching excellence include, but are not
limited to:

A clear statement of course objectives and expectations for each course taught.

Up-to-date course content.

Emphasis on developing higher level cognitive and communication skills in addition to

basic technical knowledge.

Preparation of students for subsequent courses.

Creation of a professional orientation and climate in the classroom.

Creation of a stimulating learning environment that encourages students to work hard

and perform well.

Fair, consistent, and courteous treatment of students.

Meaningful use of technology to enhance the learning process.

Interaction with other faculty to determine appropriate content and learning objectives.
Each course should fit into overall program objectives and help achieve the Colleges
mission.
69

Faculty can demonstrate their success in meeting the teaching criteria by providing evidence in
their teaching portfolios of:

Course syllabi that communicate course objectives and expectations clearly and
precisely.

Exams, projects, cases, and other evaluation instruments.

Student evaluations and other student input.

Observation of classroom activities by the Department Head/Director or other faculty.

Self-evaluation reports.

Statements of teaching philosophy and methods.

Peer review of course materials.

Participation in discussions, workshops, professional organizations, and professional

development activities that are directed towards teaching improvement and
enhancement.

Research, publication, and work activities directed toward enhancing teaching and
course content.

This list is neither intended to be comprehensive nor is it necessary that faculty use all of these
methods. Further, the quality of these efforts and the documentation to support them is more
important than simply providing evidence of their existence.
Research
A superior research effort is one that focuses on the development of a stream of research that
is acknowledged through peer review as making a substantial contribution to knowledge and
understanding in a particular discipline. Quantity of research and publication is less important
than quality. Conference presentations add marginally to an otherwise good record but carry
little weight independent of publications.
The College uses a five-point scale to evaluate research performance. This scale shall be
interpreted as follows:
1. Superior record of research leading to publication in top journals, including Tier 1 (Top
Quality) journals.
2. Continuing record of research leading to publication in top journals, including Tier 1 (Top
Quality) and Tier 2 (High Quality) journals.
3. Continuing record of research leading to publication in respected journals.
4. Occasional research and publication.
5. Extended period without research and publication.
Teaching will be rewarded independent of research but the opposite is not true. An otherwise
superior research record will not be rewarded without evidence of teaching excellence.
Evidence of research performance can be provided by providing evidence in the research
portfolio of:
70

Publications, including research books and book chapters

Working papers

Workshop presentations

Conference presentations

Application for research grants

Receipt of research grants

Citations

Publications are by far the most important of these.

Service and Outreach
All faculty are expected to contribute to service and outreach activities. The extent of those
responsibilities will depend on individual, departmental and College needs. Tenured faculty are
expected to engage in a much higher level of service activity than other tenure-track faculty.
The College does not provide a scale for evaluating service and outreach activities. Faculty will
be evaluated on these activities and will be rewarded for superior performance. Poor
performance will detract from an otherwise meritorious record.
Activities and attributes consistent with service excellence include but are not limited to:

Sharing program and committee responsibilities willingly and effective accomplishment

of those responsibilities.

Contributing to a positive and professional work environment.

Participation in College extra-curricular activities, student organizations, research

workshops, and other College functions.

Engaging in professional activities and participation in academic and professional

organizations in such a way as to promote the professional image and reputation of the
College.

Meritorious assistance to students, staff, and colleagues.

Participation in grants, contracts, and professional work activities that enhance the
Colleges reputation and resource base.

Evidence of service efforts can be provided by means of:

Awards and formal recognition.

University, College, and departmental committee service.

Program leadership activities.

Attendance at and contribution to College functions and research workshops.

Participation in academic and professional organizations.

Leadership positions in academic and professional organizations.

71

Formal evaluation of service activities by committee chairs and others in a supervisory

capacity.

Service on editorial boards.

72

E. REVIEWING NAMED FELLOWSHIPS, PROFESSORSHIPS

AND ENDOWED CHAIRS POLICY
Revised May 2007
Faculty holding named fellowships, professorships and endowed chairs in the CCC are subject
to five-year reviews. To implement the reviews, the Department Head/Director will ask the
faculty member to prepare a dossier for review. The dossier should be completed and on file in
the departmental office by February 1. In consultation with the Dean and the faculty member
holding the named position, the Department Head/Director may also invite individuals outside
the University to review the dossier or those portions for which external evaluation is relevant.
External review letters should be sent to the Department Head/Director and should be added
to the dossier by February 1.
At a minimum the dossier should contain the following information:
1. A statement or letter of application for reappointment from the candidate, which
outlines the candidates achievements in the dimensions of performance that are
expectations for the position. Typically, these include scholarship, teaching, and
leadership.
2. An up-to-date Career Performance Report (CPR.)
3. Copies of papers accepted or published over the term of appointment.
4. Evidence of leadership over the term of appointment.
5. Evidence of national reputation if this is an expectation of the position.
All tenured faculty members in the department will serve as a Review Committee. The
Committee should review the dossier and meet to make a formal recommendation concerning
renewal of the position. The Committee should send its recommendation to the Department
Head/Director in the form of a letter that includes the Committees vote by March 1. The
Department Head/Director should promptly provide a copy of the letter to the candidate. The
faculty member is then free to comment or submit a rebuttal which is due March 15.
The Department Head/Director will review the dossier, the Committee recommendation,
comments and all other pertinent information and make a formal written recommendation to
the Dean no later than April 15. The Dean will make a decision concerning reappointment by
May 1. Reappointment of professors and chairs must be approved by the Provost.
As part of the annual merit evaluations, Department Heads/Directors should assess the
performance of holders of named positions relative to the expectations of the positions, except
in years in which the faculty members are considered for renewal. Faculty members should be
informed of deficiencies in their performance and areas in which they need to improve in order
to meet expectations. These progress reviews should be provided to the Dean at the time the
faculty members are reviewed for annual salary increases.

73

F. MONITORING ADJUNCT FACULTY AND

GRADUATE TEACHING ASSISTANTS POLICY
Revised March 5, 1999
Each Department/School will monitor Adjunct Faculty and Graduate Teaching Assistants to
assure that the content of the classes they teach and the quality of instruction are
commensurate with that offered by full-time faculty. This would include reviewing course
syllabi and monitoring the effectiveness of instruction.

74

Chapter VII
Research, Curriculum Development and
Travel Support

75

A. SUMMER SUPPORT PROGRAMS FOR CCC FACULTY POLICY

Updated February 2012
Culverhouse maintains several distinct summer support programs for CCC faculty. New entrylevel faculty and those who qualify are provided with research awards for two summers under
the policies of Program I. Other tenured and tenure-track faculty are eligible for competitive
research awards under Program II, Summer Excellence in Research Program (SEiR) and for
faculty development and curriculum development awards under Program III and Program IV.
Each of these programs is described separately below. A faculty member who accepts a
summer grant under any of these programs is required to forego other income-generating
activities over the full time period covered by the grant. Academic departments may
supplement summer awards within the limits of other University policies.
For purposes of this Policy, summer is defined as the full summer school session specified in the
University calendar, beginning with Testing and Orientation for the first summer term and
concluding with the end of the Final Examination period for the second summer term. Program
I and Program II summer research awards are designed to support faculty research over the full
ten-week summer term, and cannot be taken for shorter time periods. Faculty supported by
these summer research awards may take up to three weeks of vacation time during the
summer, provided that a plan has been approved in writing by the Department Head/Director
and the Dean for making up the missed research time within the three-week Interim Term.
Faculty who choose to exercise this vacation option cannot earn additional income from
teaching during the Interim Term.
Program III and Program IV awards for faculty development and for curriculum development
can be taken for time periods shorter than the full summer term, as described below. This may
allow for teaching during one summer term or for other income-earning activities during the
part of the summer that is not covered by the summer grant. As with Program I and Program II
awards, faculty who receive Program III or Program IV grants for the full summer period may
take up to three weeks of vacation time during the summer, provided that a plan has been
approved in writing by the Department Head/Director and the Dean for making up the missed
time within the Interim Term. Grants for shorter time periods may not be interrupted by
vacation time.

76

B. PROGRAM I
SUMMER RESEARCH AWARD PROGRAM
FOR ENTRY-LEVEL FACULTY
The support of entry-level faculty is intended to encourage and support the research activities
of new faculty members beginning their academic careers.
A.

B.

Objectives
1.

To provide incentives and assist in developing research programs which will lead to
career-long patterns of high productivity.

2.

To lessen the financial sacrifice of a full-time summer research program by providing

an alternative to other sources of summer income available (e.g., summer teaching,
teaching in the College of Continuing Studies and consulting).

3.

To assist new faculty members in meeting the criteria for promotion and tenure
within the time limits set by University and College policies. Increasingly, these
policies require the development of strong records of research and teaching within a
relatively short period of time and the summer research awards will contribute to
faculty development.

4.

To ensure that the College is competitive with peer universities in the support it
offers to prospective faculty.

Policies
1.

Each new entry-level faculty member (those beginning their first academic
appointment) is guaranteed summer research support for the first two summers
following the initial appointment to the faculty of the College of Commerce and after
completion of the doctorate, subject to meeting the conditions outlined in this policy
statement. The first summers support will be awarded only after at least one
semesters full-time service unless a specific exception is granted by the Dean. Some
faculty members may obtain other funding for their research during the first two
years, and for that reason one or both of the two guaranteed awards may be
postponed until a future date. However, the CCC Program I awards must be taken
within the first four summers following the faculty members initial appointment.

2.

Other new untenured faculty members (those who come with prior service to other
institutions) may be considered for summer research grants under this program, but
the grants are not guaranteed and are dependent upon (a) the availability of funds
and (b) the support of both the Department Head/Director and the Dean.

3.

In accepting the research grant, the faculty member must agree to the following
conditions:
a.

To engage in an active, in residence, research program during the summer of the

grant. (Exceptions to the residency requirement must be approved in writing in
advance by the Dean.)
77

C.

b.

To engage in research full-time to the exclusion of all other income-producing

activities (including the consulting allowed under University policy).

c.

To remain on the faculty for the academic year following the receipt of a
summer research grant. A faculty member who has received approval for a
summer research grant but who accepts a position at another institution for the
following year will have the grant canceled.

d.

To submit a written report of research accomplishment by November 1 following

the period of the grant. The report should detail the results of the research
period, provide copies of manuscripts produced and indicate the future
publication outcomes anticipated.

4.

Program I summer research awards will carry stipends equal to approximately 12 to

15 percent of the average entry-level salary for business faculty. A faculty member
may receive the CCC Summer Research Award partially in salary and partially in
funds for data collection or other research support if the faculty member wishes to
do so. The amount of the CCC award will change from time to time to reflect
changes in the average starting salaries of new faculty. The level of the stipends will
be announced by February 1 of each year. The announcement of individual awards
under this program will be made by March 1 of each year.

5.

Academic units within the College may supplement the CCC Summer Research
Grants from available internal or external funds.

Procedures
1.

For new entry-level faculty:

a. The two-year entitlement will be made part of the offer letter.
b. For the activation of the grant, the faculty member must submit by February 15
a summary of the planned research indicating expected accomplishments and
the targeted refereed journals. The summary should be submitted along with a
letter of application to the Department Head/Director who will forward all
materials to the Dean who will make the awards.

2.

For other new untenured faculty members:

a. The Department Head/Director and the Dean must agree that the faculty
member is eligible for the two-year award program.
b. With the Deans approval, the grant can be made a part of the initial offer letter.
c. The award will be activated as in 1.b. immediately above.

78

C. PROGRAM II
SUMMER RESEARCH AWARD PROGRAM
Program II is designed to support research activities of tenured and tenure-track faculty who
are not eligible for Program I support. Program II awards are competitive and dependent upon
the availability of funding. This summer research award program is intended to accomplish two
objectives.
A.

B.

Objectives
1.

To encourage faculty to seek research funding from outside CCC. Priority

consideration will be given to faculty who have sought summer support from
outside the College within the previous 12 months.

2.

To promote high quality research and publication in the leading academic journals.

Policy and Procedures

1.

The level of stipends for Program II awards and proposal due dates will be
announced annually by the College administration not later than March 1. The
proposal due date will normally be established to coordinate with summer teaching
schedule preparation.

2.

Subject to the availability of funds, the College may support worthy proposals that
are not funded by an agency or unit external to CCC. The stipends for these awards
will be equal to approximately 10 percent of the average entry-level salary for
business faculty. A faculty member can receive the CCC Summer Research Award
partially in salary and partially in funds for data collection or other research support
if the faculty member wishes to do so.

3.

Subject to the availability of funds, the College may supplement competitive

research awards funded by an agency or unit external to CCC, provided that the
externally-funded research award is equivalent to at least one-half of the Program II
stipend level announced by March 1 each year. Supplemental stipends will be
calculated to achieve a combined grant-in-aid equal to approximately 12 percent of
the average entry-level salary for business faculty. A faculty member can receive the
CCC Summer Research Award partially in salary and partially in funds for data
collection or other research support if the faculty member wishes to do so.

4.

When two proposals are comparably rated, with one proposal submitted by a
tenured faculty member and the other by an untenured faculty member, the
proposal from the untenured faculty member will be given higher priority. A faculty
member who has received Program II support for two consecutive summers will be
given lower priority for funding for the following summer.

5.

In accepting a CCC Summer Research Award with grant-in-aid, the faculty member
must agree to the following conditions:
79

a. To engage in an active, in-residence, research program during the summer of the

grant. (Exceptions to the residency requirement must be approved in writing in
advance by the Dean.)
b. To engage in research full-time to the exclusion of all other income-producing
activities (including the consulting allowed under University policy).
c. To remain on the faculty for the academic year following the receipt of a
summer research grant. A faculty member who has received approval for a
summer research grant but who accepts a position at another institution for the
following year will have the grant canceled.
d. To submit a written report of research accomplishment by November 1 following
the period of the grant. The report should summarize the results of the research
period, provide copies of manuscripts produced and indicate the future
publication outcomes anticipated.
6.

Applications for summer research grants should be submitted to the Department

Head/Director using the application form developed for this purpose (located in the
Appendices+). Applications should include a prospectus summarizing research plans
and a statement of expected outcomes providing information on targeted academic
journals. The research prospectus may be the proposal submitted to the external
funding agency. If this is the case, the application accompanying the prospectus
should outline the expected outcomes and targeted journals.

7.

The Department Head/Director will rank the proposals in priority order and forward
them to the Dean with a recommendation for funding.

8.

Funding decisions will be made by the Dean.

80

D. PROGRAM III
FACULTY DEVELOPMENT AWARD PROGRAM
The faculty development program is intended to encourage faculty members to acquire new
skills and knowledge that will enhance their teaching and research capabilities. Unlike research
support awards, faculty development awards may be taken for time periods shorter than the
full summer term. The grant period may be any time period from one week up to and including
the full ten-week summer term.
A.

B.

Objectives
1.

To provide incentives and assist in faculty development programs that will lead to
career-long patterns of high productivity.

2.

To lessen the financial sacrifice for a faculty member engaged in a summer

development program by providing an alternative to other sources of summer
income available (e.g., summer teaching, teaching in the College of Continuing
Studies and consulting).

3.

To ensure that Culverhouse is competitive with peer universities in the support it

offers to faculty.

Policies
1.

Faculty development awards for the full summer term will carry stipends up to
approximately 10 percent of the average entry-level salary for new business faculty.
Stipend levels will vary with the nature of the project proposed. A faculty member
may receive a faculty development award partly in funds for data collection, or to
pay program registration fees and necessary travel expenses or other costs
associated with the faculty development activities. When a shorter grant period is
specified, the amount of support provided will not exceed the full summer support
rate prorated by the proportion of the ten-week summer period for which the
faculty member is awarded support. For example, half-summer awards will carry
stipends up to one half of the amount available for the full summer term.

2.

Priority consideration will be given to proposals for which funds are requested to
supplement faculty development awards from programs external to the College.

3.

In accepting the faculty development grant, the faculty member must agree to the
following conditions:
a. To engage in an active, in-residence faculty development program or in an offcampus program approved by the Dean that is designed to enhance the faculty
members teaching, research, or technical skills or to update the faculty
members knowledge in his or her academic discipline or to cross-train in
another business discipline.
b. To engage in faculty development activities full-time and to the exclusion of
other income-producing activities (including the consulting allowed under
81

University policy) during the time period covered by the faculty development
award.
c. To remain on the faculty for the academic year following the receipt of a faculty
development grant. A faculty member who has received approval for a faculty
development grant but who accepts a position at another institution for the
following year will have the grant canceled.
d. To submit a written report of accomplishments by November 1 following the
period of the grant. The faculty member should provide a report that details the
results achieved as a result of the faculty development initiative and indicates
how the newly acquired skills and/or knowledge will be used to enhance
teaching and/or scholarship, and agree to host a seminar or other initiative to
share the results of the summer development efforts whenever it is appropriate
to do so.

82

E. PROGRAM IV
CURRICULUM DEVELOPMENT AWARD PROGRAM
The Deans Office will entertain proposals for faculty support for curriculum development
consistent with departmental, College and University goals. Proposals should outline
motivation and plans for substantive enhancement of courses or programs. Curriculum
development awards may be awarded for the full ten-week summer term or for a five-week,
half-summer time period.
A.

Policies
1.

Curriculum development awards for the full summer term may complement other
University initiatives and will carry stipends up to approximately 10 percent of the
average entry-level salary for new business faculty. Stipend levels will vary with the
nature of the program proposed and with complementary support from other
sources. A faculty member may receive the CCC curriculum development award
partly in funds for data collection, or to pay program registration fees and necessary
travel expenses, or other costs associated with the curriculum development
activities. Half-summer awards will carry stipends up to one-half of the award for
the full summer term.

2.

Priority consideration will be given to proposals for which funds are requested to
supplement curriculum development awards from programs external to the College.

3.

In accepting the curriculum development grant, the faculty member must agree to
the following conditions:
a. To engage in an active, in-residence curriculum development program that is
designed to enhance the teaching-learning experience in a course or program of
study. (Exceptions to the residency requirement must be approved in advance
by the Dean.)
b. To engage in curriculum development activities full-time and to the exclusion of
other income-producing activities (including the consulting allowed under
University policy) during the time period covered by the curriculum development
award.
c. To remain on the faculty for the academic year following the receipt of a
curriculum development grant. A faculty member who has received approval for
a curriculum development grant but who accepts a position at another
institution for the following year will have the grant canceled.
d. To submit a written report of accomplishments by November 1 following the
period of the grant. The faculty member should provide a report that details the
results achieved as a result of the curriculum development initiative and
indicates how the new course or program will enhance teaching and learning;
provide any materials that will illustrate the teaching-learning enhancement; and
agree to host a seminar or other initiative to share the results of the summer
development efforts whenever it is appropriate to do so.
83

F. SUMMER EXCELLENCE in RESEARCH PROGRAM (SEiRP)

While C&BA Summer Research Programs I and II provide support for faculty to begin their
research program or to initiate new research streams, there is no program within the College
that provides faculty ongoing research support based on high productivity achieved through
summer research activities. Further, there is no program that actively promotes collaboration
of outstanding faculty researchers and doctoral students on mutually beneficial projects. The
Summer Excellence in Research Program (SEiRP) is a means to support collaborative research
for faculty and associated doctoral students.
Requirements
1. To qualify for the Summer Excellence in Research Program a faculty member must have
the support of their department chair. This support will be indicated by the department
committing to fund one half of the faculty members proposed project. The Deans Office
will provide the other half of the funds. Project funding will be limited to $17,500 during
the summer.
2. In addition to securing departmental support, the faculty member must identify a doctoral
student to work with them on the project. The Deans Office will provide support for the
doctoral student in the amount of $5,000 for the summer. The faculty member must have
the student co-sign the application (located in Chapter VIII, Appendices) when it is
submitted and it is fully expected that the student will be a co-author on publications
resulting from the summer research activities. Again, the purpose of this program is to
enhance collaboration between faculty and doctoral students as well as to enhance
faculty members research activities. The other usual requirements for Program I and
Program II will be in effect.
3. Faculty holding chaired positions are not eligible to receive SEiRP support but summer
support for a PhD student working with them may be provided. In these situations the
PhD student should propose the research which must be endorsed by the faculty member
and the Department Head/Director. In these situations, the summer student support will
be split between the college, department and the chair holders endowment funds.
Procedures
1. Summer Excellence in Research Program proposals will need to follow the format detailed
on the C&BA website.
2. In accepting the SEiRP support, the faculty member must agree to the following
conditions (these conditions are identical to those listed in the CCC Handbook for other
Summer Research Support):
a. To engage in an active, in residence, research program during the summer of the
grant. (Exceptions to the residency requirement must be approved in writing in
advance by the Dean.)
84

b. To engage in research full-time to the exclusion of all other income producing

activities (including the consulting allowed under University policy).
c. To remain on the faculty for the academic year following the receipt of a summer
research grant. A faculty member who has received approval for a summer research
grant but who accepts a position at another institution for the following year will
have the grant canceled.
d. To prepare a paper to be submitted for journal review. This paper (or draft) will be
due September 1. It is recognized that the paper may not be finished, so the
completed portions of the paper and an outline detailing the remaining work will be
sufficient.
e. The doctoral student must not be within a year of graduation, and should be
expected to matriculate in the fall semester following the summer research.
f. The doctoral student and faculty member should plan to meet and discuss progress
on the project on average twice a week during the summer award period. A listing of
the meeting dates must be submitted as part of the project report on September 1.
3. Funding decisions will be made by the Deans Office.
4. The project deliverable will be a paper to be submitted for journal review. This paper will
be due September 1. While it is recognized that the paper may not be finished, the
completed portions of the paper and an outline detailing the remaining work will be
sufficient. However, to be eligible for funding in the following year the faculty member
and/or student must have the completed paper (or at least a working draft) either: 1)
presented at a professional conference in anticipation of submission, or 2) under review
at an appropriate journal, prior to receiving any subsequent funding. Documentation must
be provided for either option. Otherwise, no continuing year funding will be provided.
5. Except in unusual circumstances, no continuing year funding will be provided if the
student is not a full participant and co-author on the publication. Any problems with the
graduate student should be discussed with the department chair and Deans Office
immediately upon arising and such situations will need to be documented.
6. The Deans Office will provide travel support for one conference trip for the faculty
member and the doctoral student to present the work resulting from the summers
research. Travel funds will be provided at the time the faculty member and student make
the conference trip. Travel must be domestic.

85

G.

POLICY ON INFORMATION TECHNOLOGY INFRASTRUCTURE

Revised September 2011

Responsibility for and authority over information technology infrastructure resides with the
Culverhouse College of Commerce Dean.
All proposed changes to the infrastructure should be referred to the Dean for approval,
regardless of the source of funding. The Dean is responsible for maintaining a current list of all
infrastructure components, locations, dates of installation, and costs.
The Dean is responsible for designing and administering an internal control system to protect
the infrastructure, to monitor its reliability, and to ensure its adequacy in meeting the needs of
the College.
The Colleges Technology Support Group, under the oversight of the Dean, will maintain the
information infrastructure in all facilities over which the College has control, except as
approved by the Dean.
Any department or academic unit of the College that believes it has special needs that require
separate administration of information technology resources may propose a plan for
administration of those resources. The plan should include at a minimum, the educational
and/or research objectives of the proposed IT resources; a brief description of the hardware
and software to be used; proposed lifetime of the project/resources; proposed replacement
cycle appropriate to the proposed lifetime; security provisions; and a support plan including
staffing.
The proposal must be approved by the Dean. Separate administration does not remove the
responsibility of the unit for obtaining approval from the Dean for proposed changes in the
infrastructure prior to making those changes. All purchase requests must be approved by the
Dean regardless of source of funding. Units that accept responsibility for administering their
own infrastructure resources must ensure that their activities do not interfere with the
technology needs of other units or diminish the technology support available to other units of
the College.

86

Chapter VIII
Appendices

87

Appendix A Journal Lists

Culverhouse College of Commerce
Examples of (Tier 1) Top Quality and (Tier 2) High Quality Journals
Accounting Journals
Tier 1 (Top Quality)
Accounting, Organizations and Society
The Accounting Review
Journal of Accounting Research
Journal of Accounting and Economics
Contemporary Accounting Research
Review of Accounting Studies

Tier 2 (High Quality)

Auditing, a Journal of Theory and Practice
Behavioral Research in Accounting
Journal of the American Taxation
Association
Journal of Management Accounting
Research
Journal of Accounting, Auditing and Finance
Journal of Accounting and Public Policy
Economics Journals

Tier 1 (Top Quality)

American Economic Review
Journal of Political Economy
Econometrica
Quarterly Journal of Economics
Review of Economic Studies
Journal of Economic Theory
International Economic Review
Review of Economics and Statistics
Journal of Monetary Economics
Journal of Econometrics

Tier 2 (High Quality)

Economic Journal
Journal of Business and Economic Statistics
Journal of Law and Economics
Rand Journal
Journal of International Economics
Journal of Public Economics
Journal of Money, Credit and Banking
Journal of Mathematical Economics
Journal of Labor Economics
Journal of Economic Dynamics and Control

Finance Journals
Tier 1 (Top Quality)
Journal of Business
Journal of Finance
Journal of Financial and Quantitative
Analysis
Journal of Financial Economics
Review of Financial Studies

Tier 2 (High Quality)

Financial Management
Journal of Banking and Finance
Journal of Derivatives
Journal of Corporate Finance
Journal of Financial Intermediation
Journal of Financial Research
Journal of Money, Credit and Banking
Journal of Risk and Insurance
Real Estate Economics
Journal of International Money and Finance
Journal of Financial Markets
88

Operations Management Journals

Tier 1 (Top Quality)
IIE Transactions
Management Science
Manufacturing and Service Operations
Management
Mathematics of Operations Research
Naval Research Logistics
Operations Research

Tier 2 (High Quality)

Annals of Operations Research
Computers and Operations Research
Decision Sciences
European Journal of Operations Research
Interfaces
International Journal of Production
Economics
International Journal of Production
Research
Journal of the Operational Research Society
Journal of Operations Management
Journal of Scheduling
Mathematical Programming
Operations Research Letters
Production and Operations Management
SIAM Review
Transportation Science
Statistics Journals

Tier 1 (Top Quality)

Biometrics
Journal of the American Statistical
Association
Journal of Computational and Graphical
Statistics
Technometrics
Journal of the Royal Statistical Society
American Statistician

Tier 2 (High Quality)

IEEE Transactions
Biometrika
Data Mining and Knowledge Discovery
Journal of Quality Technology
Journal of Statistical Computation and
Simulation
Statistical Science
Annals of Statistics
Computational Statistics & Data Analysis
Journal of Applied Statistics
Journal of Business & Economic Statistics
Statistics and Computing
Statistics & Probability Letters
Computational Statistics
Journal of Multivariate Analysis
Communications in Statistics
Quality Engineering
Journal of Statistical Planning and Inference
Journal of Agricultural, Biological, and
Environmental Statistics
Quality and Reliability International
Statistics in Medicine
89

Management Information Systems Journals

Tier 1 (Top Quality)
Communications of the ACM
IEEE Transactions on Software Engineering
IEEE Transactions on Systems, Man and
Cybernetics
Information Systems Research
Journal of Management Information Systems
MIS Quarterly

Tier 2 (High Quality)

ACM Transactions
DATABASE
Decision Support Systems
European Journal of Information Systems
Human-Computer Interaction
IEEE Computer
IEEE Software
International Journal of Human-Computer
Studies
International Journal of Accounting
Information Systems
Information and Management
Information Resources Management Journal
Journal of Information Systems
Journal of Software Maintenance
Simulation

Management Journals
Tier 1 (Top Quality)
Academy of Management Journal
Academy of Management Review
Administrative Science Quarterly

Tier 2 (High Quality)

Journal of Applied Psychology
Strategic Management Journal
Journal of International Business Studies
OBHDP
Personnel Psychology
Journal of Management
Journal of International Business Studies
Organization Science
Harvard Business Review
Health Services Research
California Management Review
Journal of Business Communication
Journal of Business Venturing
Entrepreneurship Theory and Practice

90

Marketing Journals
Tier 1 (Top Quality)
Journal of Marketing
Journal of Marketing Research
Journal of Consumer Research
Marketing Science

Tier 2 (High Quality)

Journal of Retailing
Journal of the Academy of Marketing
Science
Journal of Business Research
Journal of Advertising
Journal of Business Logistics
Decision Sciences
Journal of Public Policy and Marketing
Industrial Marketing Management
International Journal of Research in
Marketing
Journal of Consumer Psychology
Journal of Service Research
Journal of Personal Selling and Sales
Management
Marketing Letters

91

Appendix B
SAMPLE CAREER PERFORMANCE REPORT
Month/Year-Month/Year
NAME
Department
Culverhouse College of Commerce
The University of Alabama

Office Address:
Home Address:
NNN Alston Hall
3333 Main Street
Box 87022N
Tuscaloosa, AL 35401
Tuscaloosa, AL 35487-9999
Phone: 205-349-9999
Phone: 205-348-9999
Fax: 205-348-9999
e-mail: jqpublic@cba.ua.edu
[Space is provided above for office address and home address. Both, one, or neither of these can be used. If you
are using either of the two, please leave the label to differentiate between home & office addresses.]

PERSONAL DATA
Faculty Status
Present Rank and Date of Appointment:
Initial Rank and Date of Appointment:
Tenure Status:
Education
[Degree, Concentration/Major, Institution, Year. ]
[List in reverse chronological order - most recent to earliest]
Special Competencies [Languages, Licenses, Certifications, etc.]
FORTRAN, C++, Visual Basic
Passed 3 Actuarial exams, 1986-1990.
Prior Professional Work Experience [Academic, Industrial, etc. - Should include present job title/rank,
institution, location, start date - end date]
Associate Professor of Statistics, The University of Alabama, Tuscaloosa, Alabama, 1999-present.
Assistant Professor of Statistics, The University of Alabama, Tuscaloosa, Alabama, 1995-1999.
Statistical Consultant, Sigma Consulting, Panama City, Florida, 1992-1995.
Assistant Actuary, North Carolina Life, Raleigh, North Carolina, 1986-1990.

92

TEACHING
Teaching Activities
[List in reverse chronological order - most recent to earliest - Course # -- Course title, semester
taught, # of students enrolled]
ST 260 - Statistical Data Analysis, Spring 2000, 210 students
ST 260 - Statistical Data Analysis, Spring 2000, 255 students
ST 260 - Statistical Data Analysis, Fall 1999, 257 students
ST 260 - Statistical Data Analysis, Fall 1999, 223 students
Academic Committee Involvement: [To designate Academic Committee Involvement at another institution, list
the institution in addition to the other requested information.]
Masters Theses Directed:
[Reverse chronological order - most recent to earliest]
[First/Last Name, Major Area of Study, Semester Year Degree Awarded.]
Masters Theses Committee Member:
Lindley Lachby, Applied Statistics, Fall 1999
Doctoral Dissertations Chaired:
Steven Kee, Human Performance, Spring 1999
Doctoral Dissertation Committee Member:
Lee Henslee, Applied Statistics, Spring 2000
Special Teaching Innovations
[Development of workbooks, problem books, simulations, etc.]
Special Teaching Awards [List in reverse chronological order - most recent to earliest]
[Title of award, year received]
RESEARCH
Articles Published in Refereed Journals [List in reverse chronological order - most recent to earliest -- Follow
author order - Last Name First, First Name, Second Author Last Name, First Name (Year), Journal Article
Title, Journal, Volume Number, Page Numbers. Date accepted. (Date accepted should be in boldface font.)
(Author order is required for articles accepted for publication beginning May 2000. It is not required for
articles accepted prior to this date.)]
Papers accepted for publication since application for last promotion
Smith, John Q., Redd, Robert S., and Lee, Lucinda S. (1999), Fuzzy Techniques in the Automotive Industry,
Journal of Quality Control Sciences, 24, 130-145. Accepted: February 17, 1998.
Papers accepted for publication before application for last promotion
Lee, Lucinda S., Smith, John Q., and Redd, Robert S. (1998), Special Cases in Fuzzy Techniques in IndustrySpecific Case Scenarios, Journal of the American Statistical Association, 68, 866-898. Accepted: August 22,
1997.
93

Articles Published in Non-Refereed Journals [List in reverse chronological order - most recent to earliest -Follow author order - Last Name First, First Name, Second Author Last Name, First Name (Year), Journal
Article Title, Journal, Volume Number, Page Numbers. Date accepted. (Date accepted should be in boldface
font.)]
Papers accepted for publication since application for last promotion
Smith, John Q. (2000), The Taming of the Screw: You Can Make a Difference in the Quality of Your Product!
Drill Press, 2, 2-3. Accepted: December 7, 1941.
Papers accepted for publication before application for last promotion
Smith, John Q. (1997), Improving Quality in Your Kitchen: Seven Factors for Success, Florida Restaurant
Review, 15, 2. Accepted: December 25, 1996.
Other Publications [List in reverse chronological order - most recent to earliest -- Follow author order - Last
Name First, First Name, Second Author Last Name, First Name (Year), Journal Article Title, Journal, Volume
Number, Page Numbers.]
National Proceedings
Regional Proceedings
Books Reviews
Abstracts
Publications Reprinted or Translated in Collections or Books
Published Cases
Other
Books, Monographs, or Chapters of Books Published [List in reverse chronological order - most recent to
earliest -- Follow author order - Last Name First, First Name, Second Author Last Name, First Name (Year),
Chapter Title (if chapter only), Book Title, Page Numbers (if chapter only).]
Research in Progress [Include in this section ANY work that has NOT been accepted for publication. This
includes working papers, submitted to, under revision, resubmitted to, etc. If it doesnt have an accepted for
publication date yet, it should be included in this section. Use the same format as in journal article sections.]
Research Grants Received [List in reverse chronological order - most recent to earliest - List Investigators in
Order (Project Director/Principal Investigator first, Second Principal Investigator, etc.) Project Director/Principal
Investigator Last Name First, First Name, Second Investigator Last Name, First Name, Title of Research Grant,
$Amount, Awarding Agency, Contract Number, Period of Grant.]
Smith, John Q., Clinton, W. Jeff, and Dole, E. Liz, Improving Poultry Safety through Quality Control, $145,000,
U.S. Department of Agriculture, No: Q1998-70145, 1998-1999.

94

Research Grant Proposals Not Funded [List in reverse chronological order - most recent to earliest - List
Investigators in Order (Project Director/Principal Investigator first, Second Principal Investigator, etc.) Project
Director/Principal Investigator Last Name First, First Name, Second Investigator Last Name, First Name, Title of
Research Grant, $Amount Requested, Awarding Agency, Date Submitted.]
Awards, Honors or Special Recognition for Research and Scholarship [List in reverse chronological order most recent to earliest - Title of Award, Issuing Body/Agency, Date Awarded.]
Scholarly Contributions to Learned Societies [(other than program appearances)]
Editorships [List in reverse chronological order - most recent to earliest - Journal, Years served as editor.]
Editorial Board Appointments [List in reverse chronological order - most recent to earliest - Journal, Years
served on editorial board.]
Invited Manuscript Reviewing [List in alphabetical order - Journal, Years served as reviewer. Ad hoc reviewer is
acceptable.]
Professional Program Involvement [List in reverse chronological order - most recent to earliest - Title of
presentation, name of organization, date of appearance, location of meeting.]
SERVICE
The University of Alabama Committee Memberships and Other University Service [recruiting, alumni
relations, appearances before legislative committees, public appearances, etc.]
Committees and Task Forces [(list only those committees served on at the university level at the University of
Alabama) - List in reverse chronological order - most recent to earliest -list Committee Title, position (chair,
member, etc.), years served.]
Other University Service [(list service to the university community on the university level at The University of
Alabama) - List in reverse chronological order - most recent to earliest - list Service, position (if applicable),
years performed (specific dates if applicable).]
Culverhouse College of Commerce Committee Memberships and Other College Service [special task forces,
significant involvement in administrative work, involvement with external support groups, presentations to
special constituencies]
Committees and Task Forces [(list only those committees served on at the college level at The University of
Alabama) - List in reverse chronological order - most recent to earliest - list Committee Title, position (chair,
member, etc.), years served.]
Other College Service [(list service to the CCC community on the college level at The University of Alabama) List in reverse chronological order - most recent to earliest - list Service, position (if applicable), years
performed (specific dates if applicable).]

Departmental Committee Memberships and Other Departmental Service [indicate member or chairperson]
95

Committees and Task Forces [(list only those committees served on at the college level at The University of
Alabama) - List in reverse chronological order - most recent to earliest - list Committee Title, position (chair,
member, etc.), years served.]
Other Departmental Service [(list service to the CCC community on the college level at The University of
Alabama) - List in reverse chronological order - most recent to earliest - list Service, position (if applicable),
years performed (specific dates if applicable).]

Significant Service to External Constituencies Involving Your Professional Expertise

Honors, Awards, and Offices Held [List in reverse chronological order - most recent to earliest - list title of
honor/award/office held, awarding body, specific date for honor/award or years served for office held.]
Presentations [List in reverse chronological order - most recent to earliest - list title of presentation, audience
presented to, location of presentation, date of presentation.]
Other External Service [List in reverse chronological order - most recent to earliest - list nature of service, for
whom, dates of service.]
Professional/Executive Education Courses or Specialty Courses Taught [List in reverse chronological order most recent to earliest - list course taught, for whom, location, dates course taught.]
PROFESSIONAL MEMBERSHIPS
Memberships in Professional Organizations [List in alphabetical order - list organization and special type of
membership, if applicable, dates of affiliation.]
Offices Held in Professional Organizations [List in reverse chronological order - most recent to earliest - list
organization, office held, term dates.]
Awards Received from Professional Organizations [List in reverse chronological order - most recent to earliest
- list award, awarding organization, date of award.]
ACADEMIC AND PROFESSIONAL HONORARY ORGANIZATIONS
Membership in Academic and Professional Honorary Organizations [List in alphabetical order - list
organization and special type of membership, if applicable, dates of affiliation.]
Activities in Academic and Professional Honorary Organizations [List in reverse chronological order - most
recent to earliest - list organization, activity/service performed, dates.]

96

SPECIAL RECOGNITIONS AND AWARDS

University, Community, Regional and National Recognitions and Awards [List in reverse chronological order most recent to earliest - list recognition or award, recognizing/awarding organization, date of
recognition/award.]
OTHER NOTEWORTHY INFORMATION NOT COVERED ABOVE
[Anything that does not fit into one of the categories above. Example: Committee membership at another
University.]

97

Appendix C
Culverhouse College of Commerce
APPLICATION FOR GRADUATE FACULTY MEMBERSHIP
FULL MEMBER
Name:___________________________________________
Department:______________________________________
I hereby apply for full membership on the Graduate Faculty of The University of Alabama. I certify that I meet
the requirements for membership as explained below.
A. I hold an earned doctorate in business or a related field.
Granting institution:
Date of degree:

B. I hold the rank of (Assistant, Associate, or Professor) in a full-time (tenured or tenure-track) position.

C. I have a record of support for the graduate program in the following areas:
1. Supervision of graduate student research (list students, degrees completed and dates, and titles of
papers or publications):
2. Active participation on graduate thesis and dissertation committees (list students, degrees completed
and dates):
3. Demonstration of excellence in the teaching of graduate courses (list student evaluation scores or
other evidence):
4. Assistance of students in preparing for the job market and finding employment (list students, dates,
and placement information):

D. I have a strong continuing record of business-related research activity in the form of publications in high
quality peer-reviewed journals and other scholarly activity within the previous five years (list major
publications or attach CV):

98

Appendix C
Culverhouse College of Commerce
APPLICATION FOR GRADUATE FACULTY MEMBERSHIP
ASSOCIATE MEMBER
Name:_______________________________________________
Department: __________________________________________
I hereby apply for associate membership on the Graduate Faculty of The University of Alabama. I certify that I meet the
requirements for membership as explained below.
A.

I hold an earned doctorate in business or a related field.

Granting institution:______________________________
Date of degree:______________________

B.

I hold the rank of (Assistant, Associate, or Professor) in a full-time (tenured or tenure-track) position.

C.

I have a record of support for the graduate program in the following areas:

D.

E.

1.

Supervision of graduate student research (list students, degrees completed and dates, and titles of papers
or publications):

2.

Active participation on graduate thesis and dissertation committees (list students, degrees completed and
dates):

3.

Demonstration of excellence in the teaching of graduate courses (list student evaluation scores or other
evidence):

4.

Assistance of students in preparing for the job market and finding employment (list students, dates, and
placement information):

I have a continuing program of scholarly research leading to publication in Tier 2 (High Quality) peer-reviewed
journals. Evidence must include one or more of the following (list as appropriate):
1.

One or more refereed publications in appropriate journals.

2.

Invited presentations.

3.

Research funding.

4.

Proceedings from scholarly meetings.

5.

Papers presented at academic meetings.

6.

Publicly available research working papers.

7.

Papers presented at faculty research seminars.

8.

Review of papers for business journals.

9.

Professional activities (e.g., chair session for professional meeting, hold editorial position, etc.).

As an alternative to D, I maintain a current set of applied business skills applicable to masters level programs that
qualify me for masters level instruction (provide explanation of skills and how they are maintained).

99

Appendix C
Culverhouse College of Commerce
APPLICATION FOR GRADUATE FACULTY MEMBERSHIP
TEMPORARY MEMBER

Under circumstances where a faculty member does not satisfy the criteria for full or associate
membership, a temporary appointment to the graduate faculty may be made to allow qualified persons to
perform specific duties such as teaching a graduate course or serving on a thesis or dissertation
committee. Appointments are for 1, 2, or 3-year terms. Appointments are renewable. Reasons for
temporary membership may include, but are not limited to, the following:
A.
B.
C.
D.

Candidate possesses the necessary expertise to carry out the assigned responsibilities.
Candidate has not yet obtained the doctorate or related field.
Candidate position is not full-time or tenure-track.
Candidate has lost graduate faculty membership, but must continue to supervise existing graduate
students until degree completion.

Name: _____________________________________
Department: ________________________________
I hereby apply for temporary membership on the Graduate Faculty of The University of Alabama. I am
requesting a temporary appointment for three years to enable me to teach Masters level courses in
(dept)____________________________. I believe that my vast experience in
(area)___________________ throughout my career will enable me to provide an enriching educational
experience for Masters level students.
A. I hold a _____________degree in __________________ from ______________________________,
Date of degree: __________________________
B. I hold the rank of Instructor in a full-time non-tenure track position.
Please attach a current CV to this application.

100

APPENDIX D
ACADEMIC QUALIFICATION FORM
Documentation of Faculty Qualifications
Academic Qualifications (AQ)
Academic Year _______-_________

II. Maintenance of Academic Qualifications (AQ):

I am a _______________________ (participating or support) faculty member assigned to the
______________________department. Under AQ guidelines passed by the College in the Faculty Forum on
March 10, 2010 I maintained my AQ status by meeting the requirements listed in the document.
1. _____ Briefly describe how you meet the AQ standards at the __________________
Undergraduate/Masters or PhD level). Attach your Faculty Performance Report from Digital
Measures with the items described above highlighted. For other intellectual contributions, additional
documentation is attached.

2. _____ Attached is a Faculty Performance Report from Digital Measures that shows that I did not meet
the standards. Attached is documentation of what I have done toward meeting the standards and a
plan to meet them in the future.

__________________________________
Faculty Members Signature

______________________________
Date

__________________________________
Dept. Heads Signature

______________________________
Date

101

Appendix D
PROFESSIONAL QUALIFICATION FORM
Documentation of Faculty Qualifications
Professional Qualification (PQ)
Academic Year _______-________

I. Maintenance of Professional Qualifications for Support Faculty:

I am a ___________________________ (participating or support) faculty member assigned to the
______________________________ department. Under AACSB guidelines, I maintain my professionally
qualified (PQ) status by either:

working full-time with job responsibilities related to my teaching field, OR

compiling a portfolio of professional development activities during the most recent five-year period
that is sufficient to maintain currency in my teaching field.

Please indicate the appropriate response below:

A. _____I am currently working a full-time with job responsibilities related to my teaching field.
Company_________________________________ Title____________________________________
Number of years with Company_______________
B. _____ I am not working full-time in a job related to my teaching field, but have engaged in the
following professional development activities during the most recent five-year period.
{Please provide a list of all professional development activities during the past five years}

Hence, as of the date of this annual review, I continue to be professionally qualified.

__________________________________
Faculty Members Signature

______________________________
Date

__________________________________
Dept. Heads Signature

______________________________
Date
102

Appendix E
THE UNIVERSITY OF ALABAMA Culverhouse College of Commerce
REQUEST FOR APPROVAL TO PAY INTERNAL SUPPLEMENTAL COMPENSATION
Supplemental pay must be approved in ADVANCE
The purpose of this form is to request your approval for payment of supplemental compensation for the individual listed below. The University
policy on supplemental compensation requires that the faculty or staff member obtain prior approval before undertaking activities that provide
supplemental compensation.

Information on the Employee Receiving Supplemental Pay

Employee Name
Employee CWID
Employees Home
Supervisor

Date of Request
Employees Home
Department

Employees Current Status (check one)

Full Time

Part Time

Employees Current Classification (check one)

Faculty

Staff

Employees Current Job Title

Details
Purpose of Supplemental
Compensation

Please provide details of the activity requiring supplemental pay.

For instruction, please list the course #, credit hours and the time taught (ex. MWF 8-9).
For consulting or other supplemental activity, please identify the nature of the work.

Amount of Supplemental
Compensation Requested

Please be sure that the compensation does not exceed UA policy limits.
Full time faculty/instructors may receive up to 7.5% of their AY salary for one 3 hour course
overload. The expectation is that requests for supplemental compensation will be for no more
than one 3 hour course per semester. Please see UA policy for consulting daily rates.

not to exceed UA supplemental policy limits

Time Period

Please detail the period of service for this supplemental pay.

(Ex. Fall semester, 8/16 12/31 or Jan 4-6, 2008)
Be sure these approved dates are on the PA form.

Faculty/Instructor/Lecturer
Teaching Loads

Please detail below the courses that the employee is teaching as part of his/her regular load
during the period that he/she is requesting supplemental compensation.
Please include the course number, credit hours, times taught and estimated enrollment.
If none please state none.

Return completed and approved form to the individual below (please print/type )
Name

Box/Address

Approvals
The University has the responsibility to assure that each faculty or staff member meets assigned duties acceptably before
supplemental compensation is authorized and that compensation is not provided more than once for the same effort. By
signing this form, you are supporting this request. Please sign and forward as indicated below.
Employees Dept. Head (approving the activity over and above the normal workload)

Date

Employees Dean/Director/Division VP

Date

OAA Approval

Date

A copy of this form with all appropriate approvals should be attached to the personnel action form.

103

Appendix E
External Supplemental Compensation Form
THE UNIVERSITY OF ALABAMA-Culverhouse College of Commerce
REQUEST FOR APPROVAL TO PAY

EXTERNAL SUPPLEMENTAL COMPENSATION

Supplemental Compensation must be approved in ADVANCE for each activity

The purpose of this form is to request your approval for payment of EXTERNAL supplemental compensation for the individual listed below.
The University policy on EXTERNAL supplemental compensation requires that the faculty or staff member obtain prior approval before
undertaking activities that provide supplemental compensation .
Information on the Employee Receiving EXTERNAL Supplemental Pay
Employee Name
Employee CWID
Employees Home
Supervisor

Date of Request
Employees Home
Department

Employees Current Status (check one)

Full Time

Part Time

Employees Current Classification (check one)

Faculty

Staff

Employees Current Job Title

Details
Purpose of EXTERNAL
Supplemental Compensation

Please provide details of the activity requiring supplemental pay and the institution or
organization for which you will be working and where the activity will take place.

Time Period Specific days/dates

to be engaged *

Please detail the period of service for this supplemental pay for the upcoming academic year.
Please note if work is to be done only on weekends or holidays.

Faculty/Instructor/Lecturer
Teaching Loads

Please detail below the courses that the employee is teaching as part of his/her regular load
during the period that he/she is requesting EXTERNAL supplemental compensation.
Please include the course number, credit hours, times taught and estimated enrollment.
If none please state none.

Return completed and approved form to the individual below (please print/type )
Name

Box/Address

Approvals
The University has the responsibility to assure that each faculty or staff member meets assigned duties acceptably before
supplemental compensation is authorized. By signing this form, you are supporting this request. Please sign and forward
as indicated below.
Employees Dept Head (approving the activity over and above the normal workload)

Date

Employees Dean/Director/Division VP

Date

OAA Approval

Date

*Activities for EXTERNAL compensation on weekends & holidays are to be reported but not counted in the 39 allowable
days for consulting as per the Faculty Handbook. Approval is not necessary for one-time external compensation activity
if the activity takes less than half a day or if the compensation is no more than $100.

104

Appendix F
Culverhouse College of Commerce
INTERNATIONAL TRAVEL APPROVAL FORM
Policies
Faculty and staff wishing to embark on official University travel in another country must first gain prior written
approval from the Provost. Before using federal contract or grant funds to travel internationally, prior
approval must be obtained from the sponsoring agency. Please see The University of Alabama Travel Policies
for additional details.

International Travel Information (please type or print)

Name of Faculty or Staff Member:___________________________________________
Purpose(s) of International Travel:___________________________________________
________________________________________________________________________
________________________________________________________________________
Dates of planned travel:____________________________________________________
City(s), Country(s) to be visited:_____________________________________________
________________________________________________________________________
Source(s) of funds:_________________________________________________________
Signatures

Applicant

Date

Department Head/Director

Date

Dean

Date

Provost

Date

A copy of this form with all appropriate approvals should be attached to the personnel action form.

105

Appendix G
Culverhouse College of Commerce
COVERAGE APPROVAL FORM
1.

I request approval to be absent from teaching or other assigned responsibilities on:

_________________________________________________________________
Date(s) of Absence
2.

Reason for absence:

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
3.

The absence will result in my not meeting the following regularly scheduled classes
(include all dates and times) and other assigned responsibilities:

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
4.

The following arrangements are planned for covering my classes and other duties:

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
Approved:
_________________________________
Name of Faculty/Staff Member

________________________________
Department Head/Director

_________________________________
Date

________________________________
Date

cc:

Deans Office

106

Revised: 1/22/13

Appendix H
SUMMER EXCELLENCE IN RESEARCH PROGRAM
(SEiRP)
Due Each Year on February 1, 20___
Summer Research Programs I and II provide support for faculty to begin their research program or to initiate
new research streams. However, Program I is limited to assistant professors and newly hired faculty while
Program II is potentially limited in the maximum number of consecutive years it can be awarded to any
individual faculty member. Thus, there is no current program within the College that provides faculty with the
opportunity to be awarded ongoing research support based on high productivity achieved through summer
research activities. Further, there is no program in CCC that actively promotes collaboration of outstanding
faculty researchers and doctoral students on mutually beneficial projects. The Summer Excellence in Research
Program (SEiRP) is intended to accomplish two objectives. First, SEiRP is intended to provide a means by
which productive faculty can obtain ongoing summer funding for research. There is no maximum numbers of
years a faculty member can be awarded SEiRP funding. Second, SEiRP is intended to promote high quality
research collaborations with faculty and CCC doctoral students. In order to be awarded SEiRP funding, the
faculty must agree to engage in a collaborative program that leads to co-authorship with a current doctoral
student.
Requirements
1.

To qualify for the SEiRP a faculty member must have the support of their Department Head/Director.
This support will be indicated by the department committing to fund one-half of the faculty members
proposed project. Each Department will establish their own criteria and review process to assist the
Department Head/Director in prioritizing applications to be supported. The Deans Office will provide
the other half of the funds. Project funding will be limited to $17,500 during the summer.

2.

In addition to securing departmental support, the faculty member must identify a doctoral student to
work with him/her on the project. The Deans Office will provide support for the doctoral student in the
amount of $5,000 for the summer. The faculty member must have the student co-sign the application
when it is submitted and it is fully expected that the student will be a co-author on publications resulting
from the summer research activities.
In addition to the nature of the proposed research, the criteria used in determining awards will rely
heavily on:

3.

a. The faculty members recent research record (i.e., the prior three years)
b. The faculty members previous success in working with doctoral students
c. The students performance in the doctoral program
Again, the purpose of this program is to enhance collaboration between faculty and doctoral students as well
as to enhance faculty members research activities. The other usual requirements for Program I and Program
II will be in effect.
Although the funds will be paid out over the summer, in most circumstances, the research will carry over into
the academic year.
107

Procedures
1.

Proposals must be submitted by February 1, 20____. SEiRP proposals will need to follow the format
detailed on the CCC website.

2.

In accepting the SEiRP grant, the faculty member must agree to the following conditions (these
conditions are identical to the those listed in the Culverhouse College of Commerce Handbook for other
Summer Research Support):
a. To engage in an active, in residence, research program during the summer of the grant. (Exceptions to
the residency requirement must be approved in writing in advance by the Dean.)
faculty initials ______ student initials _______
b. To engage in research full-time to the exclusion of all other income-producing activities (including the
consulting allowed under University policy).
faculty initials ______ student initials _______
c. To remain on the faculty for the academic year following the receipt of a summer research grant. A
faculty member who has received approval for a summer research grant but who accepts a position at
another institution for the following year will have the grant canceled.
faculty initials ______ student initials _______
d. To prepare a paper to be submitted for journal review. A progress report (see point 3a below) will be
due September 1. It is recognized that the paper may not be finished, so the completed portions of
the paper and an outline detailing the remaining work will be sufficient.
faculty initials ______ student initials ______
e. The doctoral student must not be within a year of graduation, and should be expected to matriculate
in the fall semester following the summer research.
faculty initials ______ student initials ______
f. The doctoral student and faculty member should plan to meet and discuss progress on the project on
average twice a week during the summer award period. A listing of the meeting dates must be
submitted as part of the project report on September 1.
faculty initials ______ student initials ______

3.

Final funding decisions will be made by the Deans Office. However, an ad hoc committee of four
endowed chair/professors, one from each department in the College and not eligible for Summer
Research Support, will be appointed by the Deans Office to serve as a review committee. This review
committee will evaluate and provide a rank ordering of all submitted proposals to the Deans Office.
a. The ultimate project deliverable is a manuscript that will be submitted to peer-reviewed journal for
review. A detailed progress report is due September 1. The progress report should include
completed portions of the paper, and a discussion of the steps that will be undertaken to complete
the project. The final report, due May 31, should contain the completed paper, a copy of the
108

submission letter (if applicable), and a list of conference presentations resulting from the paper (if
applicable). Any extensions in the time beyond May 31 necessary for final submission to a journal
must be approved by the Dean.
b. If the faculty member and student have a well-defined research agenda, they may apply for SEiRP
funding in the subsequent summer. To be eligible for funding in the following year the faculty
member and/or student must have the completed paper (or at least a working draft) from the prior
year. In addition, if the manuscript has not been presented at a professional conference in
anticipation of submission or is not already under review at an appropriate journal, the faculty must
have a detailed plan of completion that provides a target date for submission that must be prior to
May 31 of the year following the initial award. In no circumstance will a faculty member be eligible
for third summer funding in SEiRP if this deadline is not met. Documentation must be provided (e.g.,
submission acknowledgement) to be eligible for subsequent funding. Subsequent year funding is for
a project that is separate and distinct from the project that was funded in the prior year. That is,
subsequent year funding should result in a second research paper that is submitted to a peerreviewed journal.
c. Except in unusual circumstances, no continuing year funding will be provided if the student is not a
full participant and co-author on the publication. Any problems with the graduate student should be
discussed with the department chair and Deans Office immediately upon arising and such situations
will need to be documented.
d. The Deans Office will provide travel support for one conference trip for the faculty member and the
doctoral student to present the work resulting from the summers research. Travel funds will be
provided at the time the faculty member and student make the conference trip. Travel must be
domestic.
4.

Proposal Requirements:
a. Five-page maximum for project description which should address all of the relevant criteria for the
program as well as describe the nature and plan for the research.
b. One-page bio for the faculty member including a list of up to five publications related to the
proposal.
c. A one-page bio for the student and a one-page statement from the student describing the students
role in the research project as well as how the project will contribute to their dissertation or general
research plans.

I have read this document and agree to comply with these provisions.
Faculty Signature ________________________

Date_________________________

Student Signature _________________________ Date _________________________

109

Appendix I
Standardized Form Letter for External Review Solicitation for
Promotion to Full Professor
Updated June 2004, March 2005

Dear Dr. Brown:

Thank you for agreeing to review Pat Smiths research record. Dr. Smith is being considered for promotion to
the rank of Professor. Enclosed are a current vita and three recent research papers, one of which is a working
paper.
Please provide a candid appraisal of Dr. Smiths research record. Specifically, we would like you to answer the
following four questions:
Does the research record reflected in Dr. Smiths vita represent a meaningful contribution to
the literature of the field?
Does the research record demonstrate an ability to independently conceptualize and carry
out scholarly research?
Is this research record indicative of a scholar who has had and will continue to have a
positive impact on his/her field of study?
What are the major strengths and weaknesses evident in the papers, including the working
draft, that you have been sent?
Please note that we are not soliciting an opinion about whether Dr. Smith should be promoted. This decision
necessarily involves considerations beyond Dr. Smiths research record. Your letter will be confidential and
available only to those who are directly involved in the review process. The letter will be shared with the
candidate only when required as a result of legal action.
Thank you for your assistance in this evaluation. It is an important element of our promotion review process.
We will need to receive your response no later than (October 1). It will not be necessary to return the
enclosed materials.
Sincerely,
Bob Jones
Department Head

110

Appendix J
Standardized Form Letter for External Review Solicitation for
Promotion to Associate Professor/Tenure
Updated June 2004, March 2005

Dear Dr. Brown:

Thank you for agreeing to review Pat Smiths research record. Dr. Smith is being considered for promotion to
the rank of Associate Professor. Enclosed are a current vita and three recent research papers, one of which is
a working paper.
Please provide a candid appraisal of Dr. Smiths research record. Specifically, we would like you to answer the
following three questions:
Does the research record reflected in Dr. Smiths vita represent a meaningful contribution to
the literature of the field?
Is this research record indicative of a developing scholar who is likely to have a positive impact
on his/her field of study?
What are the major strengths and weaknesses evident in the papers, including the working
draft, that you have been sent?
Please note that we are not soliciting an opinion about whether Dr. Smith should be promoted/tenured. This
decision necessarily involves considerations beyond Dr. Smiths research record. Your letter will be
confidential and available only to those who are directly involved in the review process. The letter will be
shared with the candidate only when required as a result of legal action.
Thank you for your assistance in this evaluation. It is an important element of our promotion (and tenure)
review process. We will need to receive your response no later than (October 1). It will not be necessary to
return the enclosed materials.
Sincerely,

Bob Jones
Department Head

111