Communication #3: Appointments of Faculty, Specialized Faculty, and Academic Professionals (AY2024-25)

Last revised August 2024

Overview

This communication defines academic positions (Section 2), describes the principles of two-level review (Section 3), outlines the steps necessary for receiving approval to create or refill academic positions (Section 4), and, if granted, the subsequent steps required to secure approval to hire the chosen candidates for the approved positions (Section 5). With respect to the latter, this communication explains when prior Provost’s Office approval is required before an offer may be extended to a candidate (Section 5.1) and when that approval is not required (Section 5.2). Additionally, there are specific processes that govern certain types of appointments, and these are identified and set forth in Section 5. Finally, this communication provides information regarding additional academic hiring policies, procedures, and programs (Section 6).

Academic appointments are positions in the following employment categories: tenure system faculty (assistant, associate, and full professors); specialized faculty, including postdoctoral research associates; postdoctoral fellows; academic professionals; and academic hourly employees.

In addition to academic appointments, the campus also has civil service employees and student (undergraduate and graduate) employees. Civil service positions support the mission of the University of Illinois by providing service and expertise in numerous areas of employment including professional, paraprofessional, clerical, technical, services, and crafts/trades. The State Universities Civil Service System (“SUCSS”) rules govern employment of the civil service employment group at the University of Illinois and other Illinois public institutions of higher education. SUCSS sets the minimum education and experience qualifications for all civil service positions. The civil service employment category is not addressed in this communication.

Student employees are exempt from the civil service system. Undergraduate student employment is overseen by the Office of Student Financial Aid and is not addressed in this communication. Graduate student employment (graduate assistants, teaching assistants, research assistants, and graduate hourly employees) is also not addressed in this communication, other than in the context of the discussion of two-level review.

All tenure system faculty and specialized faculty positions are deemed automatically exempt from civil service classifications under the 36e (4) exemption criterion stated in the SUCSS rules. The SUCSS rules mandate, however, that each academic professional position be individually exempted. We describe this exemption process in Section 4.2: Job Description Review Process.

All academic appointments are authorized by the Board of Trustees upon the recommendation of the President; thus, a recommendation for such an appointment must be forwarded from the Provost through the appropriate reporting channel. In most cases, the President entrusts the initial processing of academic appointments to the campus chancellors. On this campus, the Chancellor usually entrusts the Provost to exercise administrative authority over the initial processing of academic appointments. The Board of Trustees, President, and Chancellor retain their statutory responsibilities and authority even when administrative authority is delegated to another administrator as a matter of practice.

Appointments to tenure system faculty positions and key administrative positions require the positive recommendation of the President and direct approval by the Board of Trustees. Board of Trustees approval prior to the beginning date is required for all new tenure system appointments. See the “Appointments Requiring Direct Approval by the Board of Trustees” in the Attachments section of this Communication for the current practice and process for submitting appointments for Board of Trustees approval. The process and procedural requirements set forth in this attachment are subject to change by the Board of Trustees as it exercises its statutory authority over appointments.

Appointments to non-tenure system faculty, most academic professional staff, and hourly academic appointments are approved by the President and reported to the Board of Trustees as informational matters. All cases submitted to the President’s Office for submission to the Board of Trustees (for approval or informational reporting) must be forwarded through the appropriate administrative channel and must carry the endorsement of the appropriate executive officers. This communication identifies the necessary campus approvals and appropriate procedures for each of the various categories of academic appointments. Contact the Office of the Provost or the Office of Illinois Human Resources with any questions related to Board of Trustees approval of appointments.

Definitions of Academic Positions

This section defines the following groups of academic positions: tenure system faculty; specialized faculty, including postdoctoral research associates; postdoctoral fellows; academic professional (“AP”) (including visiting academic professional); and academic hourly. In addition, title modifiers are also described in this section.

Tenure System Faculty

This category includes all tenured and tenure system faculty (assistant professor, associate professor, and professor). These positions require a minimum of a doctorate degree or an appropriate terminal degree for the discipline. Faculty members teach, conduct research, and engage in service.

Specialized Faculty

This category includes all non-tenure system faculty: those holding modified professorial titles such as clinical, research, and teaching professors (assistant, associate, and full); visiting unmodified professorial titles (assistant, associate, and full); lecturer; senior/principal lecturer; instructor; senior/principal instructor; and, clinical, research, and teaching associate. Provost’s Communication #25: Employment Guidelines for Specialized Faculty Holding Non-Tenure System Positions provides guidance regarding the proper use of these specialized faculty titles and campus-level policies. Specialized faculty members with appointments of .51 FTE or greater, with the exception of appointments in the colleges of Law, Medicine, and Veterinary Medicine, teaching associates at University Laboratory High School, and postdoctoral research associates and fellows in any unit, are members of the bargaining unit represented by the Campus Faculty Association, Local 6546, IFT-AFT, AAUP, and their employment is subject to the terms of collective bargaining agreements. Teaching associates at University Laboratory High School are subject to the terms of a collective bargaining agreement with the Uni Faculty Organization.

Postdoctoral Research Associates and Postdoctoral Fellows

Postdoctoral research associates and postdoctoral fellows are individuals who have received a doctoral (or terminal) degree and are engaged in a temporary and defined period of mentored advanced training to enhance the professional skills and research independence needed to pursue his or her chosen career path. They are an important part of making Illinois a vibrant research center.

Appointments for postdoctoral research associates are not subject to the same search requirements as other academic staff; however, faculty are expected to make every effort to recruit and develop a diverse postdoctoral research associate workforce in keeping with the campus’ commitment to diversity.

Postdoctoral research associate appointments are designed to recognize the scholarly activities and professional status of the postdoctoral scholar. Candidates for such positions must have had the doctoral (or terminal) degree conferred within 10 years prior to the employment begin date. Such appointments have a duration of up to one year per appointment. An individual may be reappointed and may be employed as a postdoctoral research associate no longer than five (5) years. After five years, if a unit wishes to continue to employ the individual, the individual must be appointed under a different academic title. Requests to appoint a postdoctoral research associate for less than full-time or beyond five years must be approved by the Office of the Provost, which at times will consult with the Office of the Vice Chancellor for Research and Innovation (“OVCRI”). These requests will be considered on a very limited basis. Postdoctoral research associate appointments can only be made in academic units or research institutes.

Postdoctoral fellows are individuals who have been awarded a postdoctoral fellowship. This appointment may be funded from an external entity. Postdoctoral fellowship awards are not considered wages as the award is not payment for service. As such, individuals who have only postdoctoral fellowship(s) and no employee appointment are not considered university employees and are therefore not eligible for university benefits.

Academic Professional

Academic Professional (“AP”) employees perform specialized administrative, professional, or technical service in accordance with Article IX of the University of Illinois Statutes and are exempted from SUCSS. AP positions are not faculty positions and therefore have titles different from those faculty titles recognized in the University Statutes, Article II, Section 5; Article IX, Sections 3a, 3c, and 4a.

AP positions are individually exempted from SUCSS and require a minimum of a Bachelor’s degree, as well as other position-specific requirements.

Academic Title Modifiers

Certain modifiers can further define the type of appointment within and across each of the academic employment categories. For example, a specialized faculty appointment may be a “clinical,” “research,” or “teaching” professor appointment. Additionally, the level of an appointment (assistant, associate) may be indicated in the title or, in the case of instructors or lecturers, by the “senior” or “principal” modifier. Academic appointments can be further distinguished by other characteristics such as the modifier of the position (e.g., visiting, interim, acting), whether it is an administrative position, or the nature or percentage of appointment (e.g., affiliate appointment, 0% faculty appointment, etc.). For more information about visiting and adjunct appointments, see Section 6.2: Guidelines for Use of Visiting and Adjunct Faculty Status. Provost’s Communication #25: Employment Guidelines for Specialized Faculty Holding Non-tenure System Positions provides further guidance on the use of the visiting, adjunct, and senior modifiers for specialized faculty appointments.

Academic Hourly

Academic hourly employees require a minimum of a Bachelor’s degree. They are appointed on a temporary or intermittent basis and are paid bi-weekly for only the exact number of hours worked. If more than 40 hours are worked in any given calendar week, the employee earns overtime pay. An academic hourly employee may not be a registered graduate student or undergraduate student at the university. An academic hourly employee serves in one of the following general capacities: administrative, clinical, research, or teaching. For detailed information on this type of employment and requirements for offering an appointment, consult Illinois Human Resources.

Principle of Two-Level Review

All academic appointments to permanent positions, whether full-time, part-time, or 0%, including promotions, require prior approval at two administrative levels, including the level at which the appointment is proposed. The Appendix lists the campus units that must obtain approval from the Provost’s Office to satisfy the necessary two-level review.

Applicability and Procedures

Deans of colleges with academic units must exercise prior approval of all permanent appointments, and they must endorse all proposed appointments that are transmitted to the campus for prior approval by the Provost. In such units, the department provides the first-level review and the dean’s office provides the second-level review.

Deans and directors of colleges that do not have academic units and who report to the campus level must receive the Provost’s prior approval for all appointments to permanent positions so that the requirement for two-level review is satisfied.

In all colleges, all permanent academic appointments involving the immediate staff of a dean or director who reports to the Provost require the Provost’s prior approval to satisfy the requirement for two-level reviews.

Academic appointments are also made in the Office of the Chancellor and within the administrative domains of the vice chancellors. Each vice chancellor may provide the second level of review for appointments proposed in administrative subunits. The Chancellor provides the second-level review for appointments of officers reporting to the vice chancellors or within subunits reporting to the Chancellor.

Exclusions

Postdoctoral research associate, postdoctoral fellow, graduate assistant, graduate research assistant, and graduate teaching assistant appointments are exempt from the two-level review requirement.

Clinical, research, and teaching professor (assistant, associate, and full); visiting unmodified professor (assistant, associate, and full); instructor and senior/principal instructor; lecturer and senior/principal lecturer; clinical, research, and teaching associate positions require two-level review for the initial appointment, but not for reappointment at the current title.

Deans of colleges with academic units may delegate responsibility to the executive officers of the units for postdoctoral research associate, postdoctoral fellow, graduate assistant, research assistant, teaching assistant, and visiting appointments of all types.

Deans and directors of colleges without academic units are granted responsibility for the approval of appointments of postdoctoral research associate, postdoctoral fellow, graduate assistant, research assistant, teaching assistant, and visiting appointments of all types.

Process for Second-Level Review by the Provost

Second-level review by the Provost is required for all appointments of faculty or APs reporting to any individual who reports directly to the Provost. Principal examples are:

faculty in colleges without academic units;
associate deans, assistant deans, and other professional members of a dean’s staff;
associate directors, assistant directors, and other professional members of a director’s staff; and
directors of administrative subunits in the Provost’s portfolio.

The Provost acts without consultation unless tenure is involved, normally within 2 to 4 days after papers are received in the Office of the Provost. If tenure is involved, in the normal course, the Provost acts within 5 to 10 working days of receiving the proposed appointment. The “Transmittal for Cases Forwarded for Second-Level Review” in Cornerstone should be used to seek approval at the next administrative level.

Approval Process to Create New or Re-fill Existing Positions

Hiring Plans

Each year, the Provost’s Office requests that unit executive officers prepare hiring plans for the next fiscal year. Hiring plans include creating new or re-filling existing tenure system and specialized faculty positions and creating new academic professional positions.

Hiring plans cannot anticipate all hiring in a coming year because throughout the year employees vacate positions that may need to be filled to meet operational needs. Additionally, at times it may be necessary to create new positions that could not have been anticipated at the time of the creation of the hiring plan. In such circumstances, units must submit the hiring request workflow as set forth in Section 4.3: Hiring Request Workflow below.

Job Description Review Process: Academic Professional Positions Only

The job description form is required for AP positions to determine whether the position is exempt from SUCSS. A job description form is required when requesting a new AP position; when refilling an existing AP position for which the job description was approved more than three years prior; or for a position that has significant revisions to the title, duties, qualifications, or organizational relationship. A job description form is not required for filling a faculty position.

Hiring Request Workflow

Units are required to submit a Hiring Request workflow if seeking to create or fill a faculty position or create a new academic professional position that has not been approved as part of the unit hiring plan. The Hiring Request workflow and process is completed electronically through the JDXpert system. Tuition units and certain centrally-budgeted units use the DMI hiring plan system to submit requests. All necessary approvals must be given before a unit may initiate hiring activity.¹ Note that the approval of the hiring request is in addition to any other approvals required by Provost’s Communications, Illinois Human Resources for the job description, and the Office of Access and Equity for the search process. There are varying levels of approval needed for Hiring Request workflows. Refer to the Attachments to determine the approval required for the Hiring Request workflow needed for specific types of hires. Approval by the Provost’s Office is required for the following:

faculty searches, including faculty administrators such as deans, associate deans, directors, department heads, and so forth;
faculty search waivers, including faculty administrators;
Academic Professional searches; and
Academic Professional search waivers.

Approval for the creation and use of the position is to be granted prior to any recruitment or appointment efforts.

Two-Level Review

Section 3: Principle of Two-Level Review describes the requirement and procedures followed to satisfy the two-level review requirement.

Procedures to Appoint a Chosen Candidate in an Approved Position

Special Note: The requirements governing recruitment of faculty and the content of offer letters is set forth in Provost’s Communication #2: Offering Academic Positions. In particular, there are policies governing the timing of offers made to faculty members, whether tenured or untenured, at other Big Ten Academic Alliance and Association of American Universities institutions as well as to intercampus recruitment within the University of Illinois. Unless letters of offer conform to the requirements in Provost’s Communication #2, the appointments discussed in those letters will not be approved or processed by the university.

Appointments Requiring Prior Approval by the Provost

Before a formal offer to a candidate can be made, the Provost’s explicit approval is required if the proposed appointment involves any of the following elements:

Executive authority in any unit within the Provost’s portfolio (the Provost’s portfolio includes all colleges; schools; academic units; and institutes, centers, and laboratories that report directly or through a college to the Provost’s Office; other academic programs; and administrative units reporting to the Provost) and executive authority in the institutes and centers reporting to the OVCR;
The granting of tenure;
A named chair or professorship;
Full or partial recurring funding from campus;
Waiver of search in instances leading to faculty appointments;
Probationary (i.e., untenured) associate or full professors (“Q” appointees) and any professorial appointments with a special agreement waiving tenure (“W” appointments);
Appointment of a university retiree or State Universities Retirement System (SURS) annuitant in an academic job appointment with an FTE or salary greater than zero.
Faculty with pay who are on loan to another institution for a limited period (excluding paid sabbatical leaves or unpaid leaves of absence);
Change in tenure system faculty affiliation (budgeted joint appointment or transfer of tenure home unit(s)); or
Any other appointments, as needed, to preserve the principle of two-level review (see below) and those appointments in the Provost’s Office administrative domain requiring prior approval by the Board of Trustees (see “Appointments Requiring Direct Approval by the Board of Trustees” in the Attachments section of this Communication).

All cases submitted for review by the Provost must be forwarded through the appropriate administrative channel and must carry the endorsement of the appropriate dean or director.

Separate sections below describe special considerations involved in each of the appointment categories listed above and define the supporting material needed for campus-level review. Some appointments may involve more than one of the categories. For example, a full professor might be recruited from outside the campus for appointment as a department head. In such instances, the supporting material for each relevant category must be furnished for the campus-level review, because the appointment will be considered in each of its aspects.

The need for prior approval is defined not by the listed categories of appointments, but by the preceding list of eleven critical elements. Occasionally, for example, campus funding might be furnished for an assistant professorship, or a waiver of search might be needed in an unusual circumstance. In such cases, the Provost’s approval must be obtained.

Appointments that Do Not Require Prior Provost’s Approval

A unit may create or fill existing academic positions in the following circumstances without Provost’s Office approval (unless the Provost’s approval accomplishes second-level review):

Positions that are funded completely from non-institutional funds, including auxiliary and self-generating funds, in the following categories:
- clinical, research, and teaching professor ranks (without the adjunct modifier);
- AP positions, including those with the visiting modifier; and
- courtesy (0%) specialized faculty appointments for APs.
Appointments (regardless of funding source or title modifier) in the following categories:
- instructors and senior/principal instructors;
- lecturers and senior/principal lecturers;
- teaching, research (including postdoctoral), and clinical associates; and
- visiting professorial ranks.
Courtesy appointments (0% faculty appointments and affiliate appointments) unless Provost’s approval accomplishes second-level review, or the recipient of a 0% faculty appointment is an individual who does not currently hold a tenure system or specialized faculty appointment at Illinois.

Procedures for Executive Officer Appointments

This section refers to permanent executive officers of budgeted units within the portfolio of the Provost and executive officers of institutes and centers reporting to the OVCRI. Interim or acting executive officers are addressed in Section 5.4.

Prior Provost’s Approval Required

Permanent appointments to leadership posts are critical to the health of the campus. For the following appointments, the qualifications of each proposed appointee and the procedures used in the search leading to the nominee must be reviewed by the Provost before a formal offer is issued:

heads and chairs of departments;
directors of schools and institutes organized within colleges;
directors of institutes and centers reporting to the OVCRI;
directors of centers and programs recognized in the campus budget;
directors of administrative offices reporting to the Provost;
all appointments requiring direct approval of the Board of Trustees also require prior approval of the Provost, or in the case of units reporting to the Chancellor, prior approval of the Chancellor or designee.

All unit executive officer appointments must include an administrative increment in order to comply with Board of Trustees policy. (See “Required Prior Approvals for Executive Officer Appointments” in Provost’s Communication #2.)

Certain administrative appointments internal to a budgeted unit do not require the Provost’s review except as required to satisfy the two-level principle; however, appointments not requiring prior approval of the Provost remain subject to guidelines and procedures of the Office for Access & Equity.

Review Process

When prior Provost’s approval is required, no offer can be made to a candidate (internal or external) until the Provost’s approval has been given. When internal appointments are proposed, it may be possible to secure prior approval by telephone or electronic mail, especially if the Provost has been kept abreast of the search. If this route is followed, papers supporting the appointment still must be submitted for approval. For external appointments, no formal offer may be issued until written approval is received.

If tenure is proposed for a nominee from outside the campus, the consultative process described in Section 5.5: Faculty Appointments with Tenure is used.

Normally the Provost’s review will be completed within 1-3 working days from the date papers are received. Note that prior Board of Trustees approval is required for certain executive office appointments (see “Appointments Requiring Direct Approval by the Board of Trustees” in Attachments) and for new appointments to tenure system faculty. Following acceptance of an offer by a candidate, appointments must be submitted to forBOTapproval@illinois.edu at least one month before the Board of Trustees meeting preceding the proposed appointment start date. Hiring units should consult the specific deadlines for processing tenure system faculty appointments. Tenure system faculty appointments may not begin until approved by the Board of Trustees.

Documentation

Refer to “Transmittal for Executive Officer Appointments,” provided in Cornerstone. Note that all Cornerstone transmittal forms referenced in this document are provided for informational purposes in the Attachments section at the end of this document. Those forms should be electronically processed via Cornerstone rather than transmitted via hard copy.

Interim or Acting Executive Officer Appointments

This section refers to temporary executive officers in budgeted units within the responsibility of the Provost and executive officers of institutes and centers reporting to the OVCRI. Permanent executive officers are covered in Section 5.3: Procedures for Executive Officer Appointments.

The University of Illinois strives to recruit and hire the best-qualified faculty, staff, and administrators. We do so by ensuring that our search processes are competitive, ethical, equitable, and open to a diverse range of candidates. 

In certain circumstances, an open position may be filled via an interim appointment, search waiver, or internal-only search. Appropriate steps will be taken to ensure that these mechanisms are used in a manner that is consistent with the university’s values and best interests. Further details can be found in the policies and procedures governing the Recruitment and Hiring Guidelines.

Definitions and General Provisions

Acting vs. Interim. The modifier “acting” applies when the executive post continues to be filled on a permanent basis, yet the permanent appointee is unavailable (e.g., because of extended travel, sabbatical leave, or illness). The modifier “interim” is used when the executive post is vacant on a permanent basis. In other words, an acting officer serves in the stead of a permanent appointee, but an interim officer serves through a period between permanent appointees.

Interim appointments provide important continuity in times of change and must be reviewed and approved by the Provost’s Office. Authority to name “acting” officers is delegated to the deans and directors within the limits of the requirement for two-level review.

Appointment is a fully formal process, involving the processing of an appointment, assignment in the budget, and action by the Board of Trustees. The appointment process is used when the acting position is to be defined for an extended period, typically longer than two months, and there is a need to formalize some budgetary aspect, such as an administrative increment. Appointments require prior approval of the Provost using the documentary basis defined below.

Designation is an informal means for identifying leadership in short-term situations, typically a few days to two months, when there is no need to assign a budgetary increment and when there may not be a full transfer of authority. Executive officers, including deans, reporting directly to the Provost may designate acting officers as necessary for their own positions. Designations require prior approval only if they extend beyond 10 business days. A brief letter specifying the term of designation greater than 10 business days and the reason for it must be submitted for the Provost’s review. Deans and directors are encouraged to follow this same policy with respect to executive officers reporting to them.

Appointments Requiring Prior Approval of the Provost

The Provost must review the qualifications of each proposed appointee and approve the appointment before a formal offer is extended for the following appointments:

interim heads and chairs of departments;
interim directors of schools, institutes, centers, and programs, including those reporting to the OVCRI;
interim directors within administrative offices reporting to the Provost; and
designated acting deans or directors reporting to the Provost whenever the designation will apply beyond 10 business days.

Appointments Requiring Notification to the Provost

The following appointment types require only that the Provost be notified:

formally appointed acting heads and chairs of departments;
formally appointed acting directors of schools, institutes, centers, and programs, including those that report to the of Office of the Vice Chancellor Research and Innovation; and
formally appointed acting directors within administrative offices reporting to the Provost.

Review Process for Appointments Requiring Provost Approval

Normally the Provost’s review will be completed within 1-3 working days from the date that papers are received. Note that prior Board of Trustees approval is required for interim and acting dean appointments. (See “Appointments Requiring Direct Approval by the Board of Trustees” in Attachments.)

A formal offer of interim appointment should not be issued until the Provost’s approval has been obtained; however, the required prior consultation can often be carried out by telephone or electronic mail. Papers supporting the appointment must still be submitted for formal approval.

External Interim and Acting Appointments

In general, interim and acting appointments are made internally. Units should use the “Transmittal for Executive Officer Appointments” in Cornerstone to seek approval of such appointments. In the rare case where a person external to the university is appointed on an interim or acting basis, the documentation should follow the procedure outlined in Section 5.3 for a permanent executive officer appointed from outside the university.

Faculty Appointments with Tenure

Prior Approval by the Provost Required

A decision to grant tenure is among the most lasting and important decisions made by a university. The campus must engage in careful review of the qualifications and record of any person from outside the university who is proposed for a tenured appointment at the associate professor or professor level. Prior approval of the Provost must be obtained before any offer of this kind is made. In these cases, the campus requires evidence justifying tenure that is comparable to the evidence required internally for the granting of tenure. In other words, the expectations of excellence described in Provost’s Communication #9: Promotion and Tenure apply fully to all such appointments.

Review Process

All nominations for appointments to which tenure is attached must be reviewed and approved pursuant to the process set forth in this section. The Provost solicits review and a vote of the Off-Cycle Campus Committee on Promotion and Tenure (“Off-Cycle Committee”), composed of faculty members who currently or previously served on the Campus Committee on Promotion and Tenure. The Off-Cycle Committee shall be constituted and charged annually by the Provost’s Office. When the consultations are complete, the Provost acts on the case and notifies the unit.

Normally the review of a faculty appointment with tenure by the Provost’s Office and Off-Cycle Committee will be completed within 5 to 10 working days after the papers are received in the Office of the Provost. An offer cannot be extended to a candidate until Provost’s Office approval has been given. Once such approval is obtained, a unit may extend an offer to a candidate and must use the appropriate offer template letter attached to Provost’s Communication #2.

Proposed appointments to tenure system faculty positions must be submitted to forBOTapproval@illinois.edu immediately following acceptance of an offer by a candidate, and at least one month before the Board of Trustees meeting preceding the proposed appointment start date. Hiring units should consult the specific deadlines for processing tenure system faculty appointments. Tenure system faculty appointments may not begin until approved by the Board of Trustees.

If concerns arise about whether a proposed appointment should be approved after a recommendation by the Off-Cycle Committee, the Provost shall apprise the college and the unit seeking the appointment and engage in a conversation regarding the concerns. Additionally, the Provost shall consult with the Off-Cycle Committee regarding the concerns. All such consultations and reviews of a proposed appointment shall be driven by and respect our institutional commitment to excellence in hiring, academic freedom, and shared governance.

Ultimately, the University Statutes provide that, “in case a recommendation from a college is not approved by the chancellor/vice president, the dean may present the recommendation to the president, and, if not approved by the president, the dean with the consent of the Board of Trustees may present the recommendation in person before the Board of Trustees in session.” University Statutes, Art. III.3.d.

Documentation

The transmittal form for faculty appointments with tenure is found in Cornerstone and specifies the documentation required for appointments carrying tenure. Provost’s Communication #9 describes the required elements more fully and should be referred to for additional information.

In general, the materials required for review of a new appointment involving the granting of tenure should meet the standards expected for promotion papers that would be used to justify tenure internally. It is not necessary for the papers to be placed in the same form that would be required for an internal review; however, the most important elements must be present, including:

a complete, updated curriculum vitae;
evidence of teaching, including teaching evaluations, if available;
research statement by the candidate;
an assessment of the quality, significance, and impact of the nominee’s research, and service record;
an assessment of the nominee’s effectiveness as a teacher; and
a critical evaluation by appropriate external authorities of the nominee’s standing.

At least five external letters must be obtained. If a unit recommends a tenured appointment on the basis of an open search, some of the letters normally would be obtained upon the candidate’s direct request to the evaluator. It is acceptable to include such letters in the supporting documents even though it would not be in a local promotion case. A majority of the external letters, however, must be those that were sought by the unit without the candidate’s intervention. In other words, the candidate must not be allowed to manage the review entirely.

Any request for appointment with tenure must be transmitted from the units through the appropriate channels and must follow the same rigorous and thorough review process as normally used in the college, school, and department’s annual review of promotion and tenure. The documentation required here should prove useful for the required review at the college level.

Probationary (Untenured) Associate or Full Professors (“Q” Appointees and “W” Agreements)

An initial, untenured appointment to a rank that normally carries tenure can be appropriate when a unit wishes to recruit a person from outside the university who has relatively senior standing in a field but does not yet possess the record of particular achievement expected of a tenured faculty member on this campus. Prior approval by the Provost is required before an offer for such an appointment can be made. See Provost’s Communication #5: Term Professorial Appointments (“Q” and “W”) for a more comprehensive description of and process for making such appointments.

Postdoctoral Research Associates and Postdoctoral Fellows

Faculty identify, select, and mentor postdoctoral research associates and postdoctoral fellows. Throughout their appointments, postdoctoral research associates and postdoctoral fellows work closely with faculty mentors.

It is expected that all newly hired postdoctoral research associates be employed full-time (100%) on a twelve (12) month service basis and paid no less than the minimum salary as communicated by the Provost each year.

The full-time employment requirement may be satisfied by a single 100% postdoctoral research associate appointment or a combination of a postdoctoral research associate appointment and another academic appointment, as long as the combined FTE is 100%.

Employing units have the discretion to pay postdoctoral research associates a salary above the annual minimum salary, provided adequate funding exists and it is in the best interests of the research endeavor.

Postdoctoral fellows are not classified as employees and therefore are not subject to search or employment policy requirements.

Guidelines for 0% Unmodified Faculty Appointments, 0% Specialized Faculty Appointments, and 0% Affiliate Appointments

Appointments for tenure system faculty members budgeted in another academic unit can either be 0% unmodified faculty appointments or affiliate appointments. Similarly, specialized faculty members holding such appointments in an academic unit can be granted either a 0% modified faculty appointments (e.g., 0% research professor) or affiliate appointments by other units.

Academic professionals may hold 0% modified faculty appointments in academic units and may hold affiliate appointments in institutes, centers, and laboratories. Institutes, centers, and laboratories also may use affiliate appointments or 0% modified faculty appointments for associations with others outside the university.

As discussed in more detail below, institutes, centers, and laboratories may distinguish their affiliate appointments between individuals who are designated as “institute faculty” and “institute affiliate,” but “institute faculty” appointments must only be extended to tenure system faculty holding budgeted appointments in another academic unit on campus. Units should have an internal written affiliate policy that delineates the circumstances under which appointments shall be offered. Each of these three different kinds of “courtesy” appointments (0% unmodified faculty appointments, 0% modified faculty appointments, and affiliate appointments) is described more fully below.

Remember that second-level review, as noted in Section 3: Principle of Two-Level Review, remains relevant for each of the appointments below.

0% Faculty Appointments for Tenure System and Specialized Faculty Members Holding Budgeted Appointments in Other Academic Units

Academic units, institutes, centers, and laboratories may wish to extend 0% faculty appointments (modified or unmodified) to tenure system faculty members and specialized faculty members who are budgeted in another academic unit(s). These appointments are commonly referred to as “courtesy” appointments. Units typically confer a 0% time faculty appointment when a faculty member or specialized faculty member has a significant and ongoing relationship to the research, teaching, and/or service of the unit.

Individuals hold the same rank for a 0% time faculty appointment (modified or unmodified) as they hold in their home department. Specifically, tenure system faculty members hold 0% appointments in the appropriate unmodified professorial title (assistant professor, associate professor, or professor) that they hold in their home academic unit(s). Similarly, a 0% faculty appointment for a specialized faculty member shall be in the same modified professor title (e.g., 0% research assistant professor, 0% research associate professor) as held in his or her home academic unit. A unit’s bylaws should specify the rights and responsibilities that are attached to 0% modified and unmodified faculty appointments.

If an individual has Graduate Faculty standing in his/her home department, then Graduate Faculty standing will also carry over to the department granting the 0% faculty appointment, subject to specific policies or limitations established by that unit regarding 0% faculty members’ privileges and responsibilities. If an individual does not have Graduate Faculty standing, then the rights and privileges of the individual relating to the conduct of thesis work will be determined by the unit granting the 0% faculty appointment.

For purposes of promotion, only the faculty member’s or specialized faculty member’s home academic unit(s) will be allowed a formal vote, but directors of institutes, centers, and laboratories may provide input consistent with Provost’s Communication #9 and Provost’s Communication #26: Promotion to Teaching, Research, or Clinical Associate or Full Professor Titles.

Review Process and Approval Requirements

Prior to offering a 0% time faculty appointment (modified or unmodified), the granting unit must notify the individual’s home unit(s). The awarding of a 0% time faculty appointment requires a request by the faculty member, approval of the unit granting the appointment, and second-level review by the appropriate administrative unit. In addition to satisfying these approvals, 0% faculty appointments (modified or unmodified) for individuals who do not currently have appointments with the University of Illinois must be submitted to and approved by the Provost’s Office. The “Transmittal for Provost’s Approval of 0% Faculty Appointments for Individuals Who Do Not Hold a University of Illinois Appointment” in Cornerstone shall be used to obtain Provost’s approval. The “Transmittal for Cases Forwarded for Second-Level Review” in Cornerstone shall be used to obtain second level administrative approval.

When offering a 0% time faculty appointment (modified or unmodified), the unit should specify in writing the expectations associated with the position. Regular appointment channels are to be used when adding a 0% time modified and unmodified faculty appointment to an individual’s appointment. The unit granting the 0% time faculty appointment may terminate the arrangement by not reappointing for a subsequent year. Faculty appointments at 0% time do not entitle the holder to any formal notice of non-reappointment.

Special Note Regarding 0% Unmodified Faculty Appointments for Academic Professionals

Unmodified 0% faculty appointments are reserved for tenure system faculty. Historically, academic units have been able to give 0% time unmodified faculty appointments to APs if approval was given by the Provost’s Office. With the creation of the Teaching Professor track, units are now able to give 0% time specialized faculty appointments across the range of teaching, research, and clinical professor tracks. Therefore, 0% time unmodified professorial appointments will not be approved for APs.

Affiliate Appointments for Tenure System Faculty, Specialized Faculty, or Academic Professionals in Institutes, Centers, and Laboratories

Institutes, centers, and laboratories may offer an affiliate appointment to tenure system faculty members, specialized faculty members, or APs holding appointments in other campus units, as well as to individuals outside the university. Units wishing to offer such affiliate appointments should have a formal written policy setting forth the requirements and expectations of affiliation, including a regular process of reviewing and discontinuing appointments. Units may choose to have different types of affiliate appointments based on the degree of engagement of the individual with the unit. For example, an affiliate appointment may carry the general designation as “institute faculty” or “institute affiliate.” Institute faculty affiliate appointments shall only be given to tenure system faculty members holding an appointment in an academic unit on the Urbana campus. Per the Board of Trustees policy (1978), the affiliate position conveys no voting rights or tenure rights in the affiliated unit.

An affiliate appointment should not carry a percentage of time greater than zero.

A unit may wish to contribute to the salary of the affiliate faculty member by, for example, transferring funds to the faculty member’s home unit for a temporary “buy-out” of service.

For purposes of promotion, only the faculty member’s tenure home academic unit(s) will be allowed a formal vote, but directors of institutes, centers, and laboratories may provide input consistent with Provost’s Communication #9.

Review Process and Approval Requirements

The awarding of an affiliate type appointment requires a request by the individual, prior notification to the individual’s home unit(s), prior approval of the unit offering the affiliate appointment, and second-level review by the appropriate administrative unit. For institutes, centers, and laboratories embedded in colleges, second-level review will most often be the Office of the Dean. For non-embedded institutes, centers, and laboratories, second-level review is by the OVCRI. Units should use the “Transmittal for Cases Forwarded for Second-Level Review” found in Cornerstone to seek second-level administrative approval of affiliate appointments. Units may only make offers of affiliate appointments that are contingent on obtaining these necessary approvals and must obtain these approvals, in addition to the individual’s acceptance, before an appointment is entered into Banner. When offering an affiliate appointment, the unit should specify in writing the expectations associated with the position. Regular appointment channels are to be used when adding an affiliate title to an existing staff member’s appointment. Affiliate appointments must be made on an annual basis pursuant to University Statutes, but units may choose to include in their policy the ability to offer a commitment to annually reappoint individuals to unpaid (i.e., 0%) affiliate appointments up to a maximum of five years. The unit granting the 0% time faculty appointment may terminate the arrangement by not reappointing for a subsequent year. The affiliate appointment does not entitle the holder to any formal notice of non-reappointment.

Special Notes Regarding Academic Unit Affiliate Appointments

Academic units should use either a 0% unmodified faculty appointment title when making appointments to faculty members who hold a tenure system appointment in another academic unit(s) or a 0% modified faculty appointment title when making appointments to specialized faculty members.

The above guidelines that apply to academic unit affiliate appointments also apply to Graduate Faculty standing for academic unit affiliate appointments.

The guidelines regarding buying out an individual’s service from a home unit also apply to non-academic unit affiliate appointments, see above. Academic units should not make affiliate appointments greater than 0% time. If an academic unit wishes to contribute to the salary of a faculty member on an ongoing basis, it should create a budgeted joint appointment subject to Provost’s Communication #23: Appointment and Review of Faculty Members with Budgeted Joint Appointments. For purposes of promotion, only the faculty member’s or specialized faculty member’s home academic unit will be allowed a formal vote, but directors of institutes, centers, and laboratories may provide input consistent with Provost’s Communication #9 and Provost’s Communication #26.

The title “Departmental Affiliate” does not designate faculty rank per se or carry any implication for tenure.

0% Modified Faculty Appointments (i.e., Specialized Faculty Appointments) for Academic Professionals in Academic Units

Occasionally it is appropriate for persons who are fully salaried as APs also to be granted 0% modified faculty appointments (specialized faculty appointments) in academic units. For example, such a specialized faculty appointment may be associated with a position that carries teaching or research responsibilities along with the operational or administrative duties of the AP component.

The critical elements are:

that the individual possesses legitimate qualifications for appointment as a specialized faculty member;
that he or she will make identifiable contributions to the teaching or research program in the academic unit at a level of responsibility consistent with a specialized faculty appointment; and
that it is an academic unit that is bestowing the 0% modified faculty appointment (specialized faculty appointment) to the individual.

If already serving as second-level reviewer, deans or directors reporting to the Provost have authority to approve 0% appointments as teaching, research, or clinical professors (assistant, associate, or full), lecturers, instructors, and teaching associates. The Appendix lists the campus units that must obtain approval from the Provost’s Office to satisfy the necessary two-level review.

If an advertised position description contains a statement that the individual appointed will also hold a 0% specialized faculty title, then the advertisement should also describe what qualifications are needed, or preferred, to justify such a title. When the applicants are screened for the position, then those criteria must be applied to the screening process. A narrative statement concerning actual screening practices should accompany the paperwork forwarded to campus.

If a letter from a department head or dean contains an invitation to accept a 0% specialized faculty appointment, it should describe the implications of that appointment, for example, that the position will not carry eligibility for tenure and that the title applies to assigned responsibilities. The extent of responsibilities should be discussed with a candidate prior to the extension of the offer letter, then should be stated explicitly in the department head or dean’s letter of offer.

Institutes, centers, and laboratories that are not embedded in a college may not grant 0% modified faculty appointments to APs who do not otherwise have a modified faculty appointment (specialized faculty appointment) in an academic unit. Institutes, centers, and laboratories that are not embedded in a college, however, may extend such specialized faculty appointments to individuals who are otherwise employed in such an appointment on the Urbana campus. The rank and title of the 0% modified faculty appointment must be the same as held by the individual in his or her home academic unit.

Other Academic Hiring Policies, Procedures and Programs

Certification of Oral English Proficiency

It is our policy that all faculty members must be orally proficient in English, except those who teach foreign languages in those foreign languages only. This policy applies to all individuals who supply classroom instruction and is designed to assure that instructors are adequately proficient in oral English before they are given instructional responsibilities. It also provides an institutional method for verifying that we are in compliance with State of Illinois Law 1516.

The classification of “non-native English speakers” refers to any individual for whom English is not the native language, regardless of the country of origin (including the United States).

The following procedure must be followed to meet this requirement:

Pre-employment Evaluation: Before hiring, unit executive officers must certify that non-native English speaking instructors (e.g., assistant professor, associate professor, professor; teaching, research, or clinical professor (assistant, associate, or full); instructor; senior/principal instructor; lecturer; senior/principal lecturer; or teaching, research, or clinical associate, whether visiting or not) are orally proficient in English. Oral English proficiency can be determined in a number of ways (e.g., formal interviews, assessment of candidates by colleagues within the academic unit, and/or public presentations).

Certification of oral English proficiency must occur regardless of how the instructional appointment is being made, either through a traditional search or search waiver or as an appointment-in-excess of service for an existing employee. Thus, certification is done electronically via the following JDXpert or Cornerstone, Illinois Human Resources, or Provost’s Office processes: Summary Form, Search Waiver Form, Service-in-Excess, TOP Traditional Search Form, TOP Waiver Form, Dual Career Faculty Waiver Form, or Faculty Excellence Waiver Form.

Continuing Evaluation: Unit executive officers are strongly encouraged to monitor the oral proficiency in English of any non-native English speaking instructor on a continuing basis. They are also encouraged to discuss any problems that may arise regarding this issue with the person providing the instruction. Consultative assistance can be obtained from the Center for Innovation in Teaching and Learning and the Division of English as an International Language.

Guidelines for Use of Visiting and Adjunct Faculty Status

Policy Basis

The use of faculty titles and any modifiers applied to them is governed by the University’s Statutes and the campus guidelines set forth in this communication and in Provost’s Communication #25.

The use of visiting and adjunct as prefixes to faculty ranks excludes eligibility for tenure. Therefore, care must be taken to assure that the person being appointed is a bona fide visitor or adjunct appointee; these titles cannot be used merely as a means of avoiding the making of a tenure system appointment.

“Visiting” Prefix

“Visiting” may be used in the title of an otherwise unmodified professorial or AP appointment when the appointment is likely to have a limited or temporary duration. New programs, programs with an identified budgetary or programmatic end, or new/expiring funding sources are just some examples of situations appropriate for appointments with the visiting designation. Visiting appointments may require the performance of services to the University and may therefore be salaried, but this need not always be the case.

The “visiting” modifier should not be used with modified professorial (i.e., teaching, or clinical professor appointments at any rank), instructor, or lecturer appointments. Under limited appropriate circumstances, the “visiting” modifier may be used with research associate, teaching associate, clinical associate, or research professorial titles. Units must consult with their college human resources office and obtain approval from the Office of the Provost to use the visiting modifier with a research, teaching, or clinical associate appointment.

Visiting specialized faculty appointments (i.e., professorial titles, teaching associates, and research associates) with a .51 FTE or greater (with the exception of appointments in the colleges of Law, Medicine, and Veterinary Medicine, postdoctoral research associates and postdoctoral fellows in any unit, and teaching associates in the University High School) are represented by the Campus Faculty Association, Local 6546, IFT-AFT, AAUP, and are covered by a bargaining agreement between the Board of Trustees and the union. Full-time and regularly employed part-time teaching associates in the University High School are covered separately by a bargaining agreement between the Board of Trustees and the Uni Faculty Organization IEA-NEA.

Visiting AP appointments are covered under a collective bargaining agreement between the Board of Trustees and the Visiting Academic Professionals/AAP-IEA-NEA union. This bargaining agreement applies only to visiting academic professional appointments.

“Adjunct” Prefix

The use of “adjunct” as a prefix to a faculty rank or specialized faculty title indicates that the position is not the individual’s primary employment. “Adjunct” may be used in the title of a faculty or specialized faculty appointment when the individual has less than a .50 FTE (cumulative of all university appointments). The modifier “adjunct” is not used with AP titles. The individual to be appointed should be recognized in his or her field. Units should exercise appropriate review procedures before making an adjunct appointment.

Rehiring University of Illinois and Other State Universities Retirement System Retirees

State law, Board of Trustees policy, and campus guidelines regulate the appointments of employees who have retired from the university or who have retired under SURS. All appointments of SURS annuitants or university retirees must be approved at the campus level through a Retiree Rehire Form prior to work commencing.

Special Recruitments in Support of Institutional Priorities

Faculty Excellence Program

This program is designed to foster the recruitment of exceptional scholars who will enhance our institution’s strategic goals and build on our reputation as a leading public research university. The goal of the program is to attract leading faculty (associate or full professors) in strategic research areas. These scholars should have a record of excellence in research, teaching, and mentoring, and outreach and public engagement. Refer to Provost’s Communication #4 for a more comprehensive explanation of the program.

Dual Career Academic Couples Program

This program is designed to assist with the recruitment of academic couples in order to enhance the ability of the campus to recruit and retain tenure stream faculty members when the appointment or retention of one person is contingent upon employment of another. Refer to Provost’s Communication #8 for a more comprehensive explanation of the program. For assistance with this program, units should contact the Director of Faculty Recruitment in the Provost Office. For additional information about the Dual Career Academic Couples Program, please see Provost Communication #8.

Targets of Opportunity Program

The Targets of Opportunity Program (TOP) is designed to support the recruitment of outstanding faculty members among groups who are underrepresented in units on campus. Refer to Provost’s Communication #7 for a more comprehensive explanation of this program.

Named Faculty Appointments

Provost’s Communication #6 covers named faculty appointments, including chairs, professorships, scholars, and fellows.

Mid-Year Salary Increases

Salary increases ordinarily occur as part of the annual budget cycle, i.e., are effective August 16 at the beginning of the appointment year. Mid-year salary increases for academic employees will not be approved except in limited and well-defined circumstances.

Examples of such circumstances include:

responding to a demonstrable salary inequity within the employing unit when there are compelling reasons to make the adjustment outside the normal process;
countering an immediate written offer to an employee either from outside the university or from another unit; or
recognizing a significant change in an employee’s duties and level of responsibility.

In the latter case, a change in title is not in itself sufficient. There must be a real and clearly noticeable change in the position as of the date of the increase. When a position has changed to a degree that supports a change in title, the “Appointment Change” workflow in JDXpert should be used to seek approval.

Requests for mid-year salary increases should be accompanied by a statement of justification and forwarded through the normal personnel approval channels (unit, college, or director of an independent campus unit) to the Office of the Provost. The “Off Cycle Pay Changes” workflow in JDXpert should be used to seek approval.

Buy-Out of Appointments for Campus-Led Initiatives

Faculty members play a critical leadership role in initiatives outside of their departments. Examples of this service include serving in a senate leadership position or as a Provost Fellow or one of many other campus funded activities requiring a significant commitment of time. Duties such as these require a dedicated effort and limit the faculty member’s ability to continue their teaching duties at the same level as they had prior to this service. Departments should not incur additional costs as a result of the service of their faculty. To encourage a department to release the service of a faculty member for a common good, the campus will reimburse the department for costs incurred during this service. Although the campus will generally not reimburse the department for the percentage of the released time, there might be unusual circumstances where such an arrangement is appropriate.

Occasionally, faculty and administrators in colleges and departmental administrative positions are asked to serve in a campus-wide role for a period of time. As long as they have return rights to their unit, this buy-out policy will also apply to their appointment. To the extent that a backfill of their position is required, the campus will provide funding.

Faculty Serving in Campus-wide Research Leadership Roles in the OVCRI, such as the Director of a Campus-wide Institute

Faculty members play a critical scholarly leadership role when they serve in long-term research administration positions such as Directors of Campus-wide Interdisciplinary Research Institutes or similar senior research leadership roles.

The duties of these roles require dedicated effort over a number of years and limit the faculty member’s ability to continue their teaching and other departmental duties at the same level as they had prior to this service.

Departments should not incur additional costs as a result of this service by their faculty. To encourage a department to release the service of a faculty member for a common good, the campus will reimburse the department for the time and effort that the faculty member spends in the administrative role. This reimbursement will typically take the form of a percentage of salary, corresponding to the percentage of appointment to be released, commensurate with the effort to be devoted to the administrative assignment. The home organization of the faculty member will not change. The faculty member will be appointed 0% in the administrative role, with an accompanying stipend, commensurate with responsibilities.

Under Provost’s FY15 Indirect Cost Recovery Distribution Policy and Special Policy, 45% of the facilities and administration funds (F&A) generated by sponsored research projects for which an institute director serves as principal investigator will be returned to the home college of the institute director and distributed according to college policy. Separate distributions of F&A to the institute will be in accordance with campus policy.

Eligibility of the faculty member for sabbatical is governed by Provost’s Communication #19: Sabbatical Leaves of Absence.

Offering Academic Appointments

The procedures for offering academic appointments are detailed in Provost Communication #2. As a reminder, offers of academic appointments can be made only after all of the required approvals have been documented.

Assistance

For questions about policy, documentation, or the status of a review in progress, contact the Office of the Provost (217-333-6677).

Attachments

Appendix

Units Requiring Provost’s Office Approval to Satisfy Second-Level Review

(Based on the Illinois Organizational Chart)

Administrative units
Appointments of immediate staff of a dean or director of a college
Armed Forces Education
Campus Center for Advising and Academic Services
Campus Honors Program
Center for Innovation in Teaching & Learning (CITL)
College of Law
Colleges and schools without academic units
Committee on Institutional Cooperation (CIC)
eDREAM Institute
Enrollment Management
- Admissions and Records
- Facility Management and Scheduling
- Registrar
- Student Financial Aid
Fire Service Institute
Illinois Informatics Institute
Illinois International
Illinois Online
Illinois Promise
I-STEM/National Science Olympiad
Osher Lifelong Learning Institute (OLLI)
Police Training Institute
Principal’s Scholars Program
School of Information Sciences
School of Labor and Employment Relations
School of Social Work
Technology Services
University High School
University Library