Faculty + Staff Resources

Appointing New Faculty Members

1. Review the relevant administrative regulations.

• The Regular Title Series is covered by AR 2:2-1
• The Extension Title Series is covered by AR 2:3.
• The Clinical Title Series is covered by AR 2:6.
• The Research Title Series is covered by AR 2:5.
• The Special Title Series is covered by AR 2:4.
• The Lecturer Title Series is covered by multiple policies; see Appointing a New Faculty Member in the Lecturer Title Series for more information. Please remember that the number or percentage of Lecturer Title Series faculty is required to be stated in the unit's rules of procedure.
• The Adjunct Title Series is covered by AR 2:8, see Appointing Faculty in the Adjunct Title Series for more information.

2. Locate the original position description. If the position description needs revisions, you are creating a new position, not filling an existing position, therefore see instructions to create a position.
3. Receive concurrence from all faculty members in the academic unit with voting privileges, by email or faculty meeting, that the position description does not need revision and that the need exists to fill the position. This concurrence should be recorded either in meeting minutes or by email.
4. Submit a Faculty Hiring Proposal as described in Creating a New Faculty Position.
5. Once the Dean has given email permission to commence a search to fill the position, an open, competitive search must be held. Review the Faculty Searches section for guidelines on how searches must be conducted.
6. Form a search committee and notify all unit faculty of the composition of the search committee.
7. Work with the Office of Faculty Resources, Planning and Assessment to get Provost level confirmation/approval on funding and search authorization. Once approved, the academic unit posts the position through the Human Resources Integrated Employment System (IES). Be certain to follow established advertising guidelines. HR will assist. Please include Le Anne Herzog, Misty Howard and Brian Lee as a backup search coordinators.
8. Conduct search. Proactively identify a candidate pool or people who could help you spread the word about the open position using professional organizations, conference proceedings, electronic databases of dissertation abstracts and the like. This is an excellent way to use the search committee with the legwork on the identification stage but may leave the contacting/communication to a single person on the committee. Many units will use a phone call or video/phone software communications platform in the screening interview process to shortlist potential candidates prior to requesting permission to invite top candidates.
9. Request permission from the Dean to interview the top candidates. Arrange for the associate deans to interview the candidates. Contact the Office of Faculty Resources, Planning and Assessment at cafe-frpa@uky.edu to schedule these interviews that typically last 45 minutes. It is often easiest to have a phone call with the Office of Faculty Resources, Planning and Assessment to identify a time and place meeting holds on the appropriate calendars.
10. When the interviews are complete and a suitable candidate is identified, the academic unit leader seeks concurrence from all faculty members in the department with voting privileges, by email or by faculty meeting, and then writes a draft offer letter. Be sure to coordinate with other associate deans as needed pertaining to any specific startup considerations and articulate where funding for the start-up is coming from in the offer letter. If there is 25% or more Research DOE, please consult with the college's Research Office about appropriate capacity funding proposal(s) to be submitted within six months of start date. The draft letter is reviewed by Associate Dean Brian Lee for compliance of required university elements and clarity. The academic unit leader requests approval from the Dean to offer. The Office for Faculty Resources, Planning and Assessment will then seek confirming offer letter approval from the Provost Office.
11. The academic unit leader sends the offer letter to the candidate for their acceptance and signature. If the offer letter needs to be modified, please contact Brian Lee to discuss the modifications. Many modifications will be able to be accomplished, but some modifications will require a re-review by the Provost Office.
12. Upon receipt of the signed offer letter, the academic unit collaborates with the new faculty hire to complete applicable pre-employment screening and new hire documentation requirements, then enter the new hire’s information into SAP. Remember, it is best practice to have the new faculty hire complete the I-9 well in advance of their start date. Work with Carol Hanley and/or the International Center as needed/appropriate.
13. Send the following documents to the Office of Faculty Resources, Planning and Assessment at cafe-frpa@uky.edu:

• Signed offer letter
• Career Curriculum Vitae
• Official transcript(s) of highest degree(s). Additional transcripts are required if the candidate’s highest degree is not in the same discipline as the hiring department, or if the candidate has more than one terminal degree.

14. Once the Office of Faculty Resources, Planning and Assessment inputs the information into Faculty Database, OFRPA will generate Notice of Appointment (E02), Teaching Credentials Certification, and Teaching Credentials Justification (if required) forms and will send to the Academic Unit Leader for review and signatures.
15. Please remember to use the established on-boarding process in preparation for the new faculty member and once they start to ensure comprehensive and robust on-boarding. The checklist is found on this website in the New Faculty section. Brian Lee normally likes to welcome the new faculty member during the first week and the Dean normally likes to meet with the new faculty member within two months of the start date.

Appointing a New Faculty Member in the Lecturer Title Series

The Lecturer Title Series is covered by AR 2:9. Additional information about the Lecturer Title Series is available on the following pages:

• Provost's Lecturer Series FAQs
• Martin-Gatton CAFE Guidelines for Promotion to Senior Lecturer
• Provost Policy Statement on Changes to AR 2:9

The following instructions are for appointing a new faculty member to a lecturer title series position that already exists. If a position you wish to fill does not currently exist, you must first complete the steps to create a position.

1. Locate the original approved position description. If the position description needs revision, you are creating a new position, not filling an existing position.
2. Receive concurrence from all faculty members in the department with voting privileges, by email or faculty meeting, that the position description does not need revision and that the need exists to fill the position. This concurrence should be recorded either in meeting minutes or by email.
3. Request permission from the Dean. Draft an email memorandum to the Dean noting faculty concurrence and requesting permission to fill the position. CC the Associate Dean for Faculty Resources, Planning and Assessment on this email. Attach the approved position description.
4. Once the Dean has given email permission to fill the position, an open, competitive search must be held. Review the Faculty Searches section for guidelines on how searches must be conducted.
5. Complete a Request for Hiring Pause Exception form and submit it to Le Anne Herzog at leanne.herzog@uky.edu. Positions that are 100% grant-funded do not require a hiring pause exception.
6. Form a search committee and notify all unit faculty of the composition of the committee.
7. Post the position through the Human Resources Integrated Employment system (IES). Be sure to follow established advertising guidelines. HR will assist.
8. After the top candidates have been identified, arrange for the Dean and Associate Deans to interview the candidates.
9. When the search is complete and a suitable candidate is selected, the Department Chair writes an offer letter to the candidate and seeks concurrence from all faculty members in the department with voting privileges, by email or by faculty meeting. The draft letter is then sent to the dean, the Associate Dean for Faculty Resources, Planning and Assessment, and the appropriate Associate Deans, for review. Review this offer letter template.

• Note: For 9-month lecturers' pay to be correctly distributed, they must have a payroll assignment start date of the first of a month. This may not be the same day as the beginning of the appointment period shown on the E02, which is usually August 15. This is ok.

10. After the Chair has received a signed offer letter, the Department should work with the new hire to fill out the required paperwork from the Office of Human Resources (for instance, the I-9 form) and enter the new hire’s information into IRIS/SAP.
11. Complete the New Faculty Demographic Worksheet.
12. Request the following credentials from the candidate to attach to the New Faculty Demographic Worksheet.

• Original, official transcript of highest degree. Additional transcripts are required if the candidate’s highest degree is not in the same discipline as the hiring department, or if the candidate has more than one terminal degree.
• Career CV
• Any additional information needed for the New Faculty Demographic Worksheet

13. Compile the Appointment Packet and submit it to the Associate Dean for Faculty Resources, Planning and Assessment. The completed appointment packet should include:

• New Faculty Demographic Worksheet
• Dean’s approval of request to fill the position
• Approved position description
• Career CV
• Original, official transcript(s)
• Signed offer letter

Submit the appointment packet to: Martin-Gatton CAFE Office of Faculty Resources, Planning and Assessment, L-104 Ag Science Center North

14. The Office of Faculty Resources, Planning and Assessment will respond with an Academic Appointment Form, a Teaching Credentials Form, and Teaching Credential Justification Form (if SACS requirements have not been met), attached to email. Obtain signatures and return to the Office of Faculty Resources, Planning and Assessment, attached to email.

Electronic signatures are acceptable on all documents. 

Appointing a New Faculty Member in the Adjunct Title Series

Appointing Part-Time Instructors

Part-Time Instructor (PTI) appointments are addressed in the following policies:

• AR 2:1-1, page 4
• Provost Policy Statement: Academic Appointment and Contract Period for Part-Time Faculty Teaching Credit-Bearing Courses
• Provost Policy Statement: Academic Appointment Requirement for Teaching Credit-Bearing Courses
• Provost Policy Statement: SOPs – Instructional Faculty (Part-Time Instructor)

Instructions for New PTI Appointments

1. Receive concurrence from faculty members in the academic unit, by email or faculty meeting, on what responsibilities the PTI will have. This concurrence should be documented either in meeting minutes or by email.
2. Be mindful of SACSCOC Faculty Credentials Guidelines.
3. For PTI not currently employed by the University, Academic Unit HR Administrator creates faculty posting (public or internal/invite only) in IES. Candidate(s) applies for position.
4. Academic Unit Leader composes a formal offer letter and extends offer. OFRPA is available to review the draft offer letter, though we have provided editable template letters below. The pay rate must comply with the College's Part-Time Instructor Rate Schedule. For guidance on appointment start and end dates, please reference Provost Policy Statement: Academic Appointment and Contract Period for Part-Time Faculty Teaching Credit-Bearing Courses.

PTI academic appointments and payroll assignments are managed separately. Academic appointments for PTI may be created on a fiscal year basis (July 1-June 30) regardless of start and end dates on the payroll assignment. The start and end dates on the Notice of Academic Appointment and Assignment (E02) form does not guarantee employment for the full period. For PTI payroll instructions, see Quick Reference Guide on Part-Time Instructors.

• Part-Time Instructor Offer Letter Template for non-UK Employee
• Part-Time Instructor Offer Letter Template for UK Employee

5. For PTI not currently employed by the University, Academic Unit HR Administrator initiates pre-employment screening (PES) in IES.
6. Review and utilize Part-Time Instructor Onboarding Checklist and provide checklist to PTI.
7. Submit the appointment documentation to Martin-Gatton CAFE Office of Faculty Resources, Planning and Assessment at cafe-frpa@uky.edu. For fall instruction, documentation should ideally be sent by May 1. For spring instruction, documentation should be sent ideally by Oct. 1.

Reappointing Previous PTI

Currently, a PTI may have an instruction gap of up to three years between faculty reappointments before requiring a new initial appointment. If an academic unit needs to reappoint a PTI who has been inactive for less than three years, the academic unit should email cafe-frpa@uky.edu with the effective reappointment date so that OFRPA may begin the reappointment process.

Instructional Assignments for Staff

For UK staff whose major job responsibilities (MJR) include teaching credit-bearing UK courses, this instructional responsibility cannot be more than 25% of their total MJRs.

Overload assignments must be in accordance with HR Policy and Procedure #30: Compensation Administration and AR 3:9 Faculty Consulting and Other Overload Employment.

Credentialing Requirements for Teaching Faculty

SACS Faculty Credentials Guidelines

• “Faculty teaching general education courses at the undergraduate level: doctorate or master’s degree in the teaching discipline or master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline).
• Faculty teaching baccalaureate courses: doctorate or master’s degree in the teaching discipline or master’s degree with a concentration in the teaching discipline (minimum of 18 graduate semester hours in the teaching discipline).
• Faculty teaching graduate and post-baccalaureate course work: earned doctorate/terminal degree in the teaching discipline or a related discipline.
• Graduate teaching assistants: master’s in the teaching discipline or 18 graduate semester hours in the teaching discipline, direct supervision by a faculty member experienced in the teaching discipline, regular in-service training, and planned and periodic evaluations.”

Lecturer AR 2:9, page 5, Conditions of Employment

• “Teaching assignments shall be limited to 100-, 200- and 300-level courses. Exceptions to these provisions may be granted by the Provost upon written recommendation of a dean.”

Provost’s Policy on TA Types and Credentials

• University Policy on TAs Teaching Graduate-Level Courses
• Provost’s Policy on the Use of Undergraduate Instructional Assistants

Graduate Student Overloads

Graduate students are not permitted to work more than .50 FTE; therefore, any overload assignment must be approved through the Graduate School. This includes assignments in addition to full-time institutional fellowships. A Graduate Student Overload Form should be submitted to the Graduate School in the event an overload is needed. Remember to check the Personnel Assignment Details in PA40 to determine if other assignments exist for that individual. The Graduate School advises that overloads are not encouraged and that they could slow down the student's progress toward completing their degree. 

Additional Information

UK has two levels of faculty credential approval. The first level occurs at the time of the initial appointment when the faculty member’s credentials are “matched” to the discipline(s) of the hiring academic unit using the federal Classification of Instructional Programs (CIP) codes. At the same time the new faculty member’s academic data are being entered in the Faculty Database (FDB), the new faculty member and the department must present an original, official transcript, a CV, and a teaching credentials form. If the new faculty member’s credentials are not a direct “match,” the department and/or Dean’s Office enters what is called a justification in the FDB. The justification data entry fields include work experience, licensure and certifications, honors and awards, examples of excellence in teaching, professional activities, publications, and additional justifications. These fields are populated using information from the CV.

The second level of what is called credentialing occurs at the course level and also involves CIP codes. If, for example, a faculty member with a Ph.D. in animal sciences is teaching AFE 100, it might be necessary to enter an animal sciences CIP to the AFE course. Currently, this credentialing is being handled for the departments by the Dean’s Office, specifically the Office of Faculty Resources, Planning and Assessment, often with consultation with department chairs.

The FDB also looks at TA credentials and types and the Office of Faculty Resources, Planning and Assessment consults with department chairs as needed regarding “warnings” and “errors.”

One cause of “warnings” and “errors” is having an instructor of record in SLCM who is neither a TA or faculty member in payroll or in the FDB. All instructors of record in SLCM must have an academic appointment either as a TA or a part-time instructor (PTI), adjunct, lecturer, or assistant professor, associate professor, or professor. Post-docs who are teaching a course are given an academic appointment as a PTI. Staff members who are teaching a course are also given an academic appointment as a PTI.

If you have questions, please get in touch with Senior Associate Dean Carmen Agouridis or Assistant Director of Faculty Resources, cafe-frpa@uky.edu. 

Expediting Senior Appointments

• AR 3:5 - Statement for Recruitment and Selection of Faculty

Faculty Search Process Guidelines

The University of Kentucky Martin-Gatton College of Agriculture, Food and Environment is committed to attracting, developing and retaining the best faculty. Our faculty search committees play an essential role in the process of hiring hospitable, competent individuals and as a result have a direct impact on the future success of the college. While vetting candidates is the committee’s primary charge, members of the committee are also selling the opportunity to work in your academic unit and college, so creating an environment of respect and inclusion is imperative. The faculty search committee also has an obligation to be proactive in recruiting a varied candidate pool. We appreciate your commitment to being focused, well-organized, and collaborative. Your time and efforts are greatly valued. The following sections provide best practices to promote efficient and effective searches.

Search Committee Members

Active involvement of every member of the search committee can help you reach a broad base of potential candidates. Make sure that each member of the committee feels involved, valued, and motivated to play a significant role in the search. Search committees themselves should be appropriately diverse. Faculty from other college academic units or other UK colleges should be considered. Students and/or staff may be included as well. At a minimum, staff and students should be provided with opportunities to interact with faculty candidates during the interview process. Extension Title Series faculty committees should include county agents or other Extension personnel.

The First Committee Meeting and Timeline

The first meeting of the search committee should include a discussion with Tim West, Chief of Staff and Associate General Counsel for the college. He will discuss the legal aspects of conducting a faculty search, including a review of Legal Considerations and Best Practices and the Faculty Search Evaluation Tool.

Search committees are expected to actively recruit and encourage applications, not just passively receive them. The committee is expected, with the assistance of HR, to advertise in periodicals or on websites. The committee should also advertise via professional organizations, meetings and discipline-related listservs. The committee should use electronic databases for potentially qualified candidates or review conference proceedings, SciVal/SCOPUS, Academic Analytics, and the like to identify potentially qualified candidates or people that they believe would know potentially qualified candidates. Committees are expected to contact candidates already practicing at other institutions or elsewhere in the field and request that they self-identify or nominate potential candidates. Search committee members are expected to keep records of such contacts and provide them to the committee chair. The committee may have one person handle all of these direct recruiting efforts in order to simplify record keeping and consistent messaging. The search committee should establish a timeline to ensure that guidelines are properly followed.

Position Announcements

All position announcements must be reviewed by college administration and approved in writing by the Dean before being advertised, as well as the Provost's Office. The academic unit leader should identify search committee members when a position announcement is submitted to the Dean for approval. The Office of Faculty Resources, Planning and Assessment will work with the academic unit leader to request and receive the Provost's Office of Faculty Advancement for Initial Search Authorization.

The University's EEO Statement

The University follows both the federal and state Constitutions as well as all applicable federal and state laws on nondiscrimination. The University provides equal opportunities for qualified persons in all aspects of institutional operations, and does not discriminate on the basis of race, color, national origin, ethnic origin, religion, creed, age, physical or mental disability, veteran status, uniformed service, political belief, sex, sexual orientation, gender identity, gender expression, pregnancy, marital status, genetic information, social or economic status or whether the person is a smoker or nonsmoker, as long as the person complies with University regulation concerning smoking.

Statement on Benefits

Employment at UK is subject to fund availability and comes with diverse rewards, focusing on your total well-being and career development, with leadership striving to provide a strong work-life integration. The university generously contributes to employees’ retirement plans, medical coverage, and life insurance. In addition, UK offers optional benefits such as dental and vision insurance, additional retirement plans and much more. Learn more about these benefits.

Advertising and Posting Open Positions

Open positions should be posted on the UK Integrated Employment System (IES) and typically be advertised widely for a minimum of 45 days. Additionally, it is important to document the advertising process in order to stay in compliance with governmental regulations regarding equal opportunity and visa regulations. Please include Le Anne Herzog, Misty Howard and Brian Lee as a backup search coordinators. To make the process move faster, choose Mary Collins as the Employment Consultant in IES. Attach a copy of the Provost Review Process materials and the ID number to also help speed the process along.

All positions should be widely broadcast through discipline-based listservs, journals, professional meetings, and shared with colleagues, etc. Advertisements typically last for a minimum of 45 days and coincide with the IES posting dates of the vacancy.

The academic units may consider writing the position announcement to be "open rank," at Faculty Hiring Proposal Stage rather than limited to a specific rank if they think there is a chance they may want to hire a candidate at a senior rank.

The academic unit should keep a paper or electronic file to record the procedures used in the search, including when and where the position was advertised. Because all Martin-Gatton CAFE faculty positions are now posted through IES, equal opportunity data are captured during that process and application submission source.

Once a position is posted in IES, an HR representative will contact the department to discuss options for advertising the position. HR Employment has arranged for job postings to be automatically added to several major job boards at no cost to the academic unit.

International Candidates

The following additional information applies when advertising or hiring an international candidate:

• International Student and Scholar Services
• Advertising Guidelines for International Candidates
• H-1B Status (fees are the responsibility of the hiring department)
• Permanent Residency/Green Cards (fees are the responsibility of the employee)

Reference Checks

Reference checks should be used to confirm and verify information and to gain insight on the strengths and weaknesses of the candidates. Committees should determine a set of reference questions ahead of time to ensure consistency for all candidates. The guidelines regarding illegal questions apply to conversations with references, just as they do with candidate interviews.

Candidate Interviews

To the greatest extent possible, the search process should be consistent for all candidates interviewed. Search committees may use an evaluation tool worksheet to assist in uniformity in evaluation. All participants in interviews, and especially the search committee and the Academic Unit Leader, should understand no questions should be posed that could even be perceived as discriminatory or exclusive by any candidate. Under federal and state law, it is illegal to ask candidates questions related to the following topics:

• Age
• Year of graduation from high school or college
• Country of origin
• Languages spoken (unless directly related to the requirements of the position)
• Years of residency in Kentucky or the United States
• Disabilities and/or health
• Marriage, sexual orientation, family and/or children
• Political affiliations, elections, elected and appointed public officials
• Race
• Religion
• Ethnicity
• Unions and unionization
• Physical characteristics
• Military service

Selecting Candidates to Interview On Campus

The Academic Unit Leader directly requests authorization and receive approval via email from the Dean to interview applicant(s) while keeping in mind the amount of resources that it takes to conduct on-campus interviews. This request should include the cover letter, career CV, and other submitted materials of the finalists in a single .pdf per finalist. Please use a file naming convention of CAFE_UNIT_TitleSeries_WorkingTitle_Last_First_Name. The HR Integrated Employment System (IES) will notify candidates when they are no longer under consideration when the unit requests the position to be closed.

Interviewing with the Associate Deans

Once the Dean has approved the candidates to interview, the Academic Unit Leader or search committee chair should use the following procedures for scheduling interviews with the Associate Deans.

1. Send the application materials of the candidates the committee wishes to interview to the Office of Faculty Resources, Planning and Assessment. The Office of Faculty Resources, Planning and Assessment will work with the committee chair to coordinate the interview times with the Associate Deans. The actual scheduling is typically most easily accomplished with a call to either Misty Howard or Brian Lee.
2. Except in rare cases, the Dean will not interview faculty candidates. Typically, multiple Associate Deans will meet with each faculty candidate as a group depending on position being considered.
3. Interviews with the Associate Deans are typically scheduled for 45 minutes. The Office of Faculty Resources, Planning and Assessment provides the application to the Associate Deans. It is often easiest to call the Office of Faculty Resources, Planning and Assessment to discuss interview timing, logistics and at least place holds on the appropriate calendars. The office will normally include either or both the department chair and search committee chair as an optional meeting attendee on the calendar invitation though the meeting is for the associate deans. The meetings typically occur in N3 of Agriculture Science Building North, though other locations are possible.
4. Normally after the Office of Faculty Resources, Planning and Assessment has confirmed interview times with the Associate Deans, the department/committee chair should offer those times to the candidates, work within their department to make travel arrangements, and then let the Office of Faculty Resources, Planning and Assessment know which candidate will be scheduled for which interview time slot so candidate application materials can be attached to the calendar invitation.
5. After the interviews, the Office of Faculty Resources, Planning and Assessment will collect evaluations of the candidates from the Associate Deans for the Dean.

Receiving Approval to Offer the Position

The academic unit leader's recommendation to offer a position, and the offer itself, must be approved by the Dean first. Please refer to the college’s resources on writing offer letters. The Office of Faculty Resources, Planning and Assessment will work with the unit to get the Provost's Office of Faculty Advancement approval. In those rare cases where differences between the academic unit's and the college’s choice cannot be resolved, the administration may meet with the search committee or even the faculty as a whole.

Records Retention

All written records of faculty searches are subject to open records requests. To ensure compliance with the state’s records retention schedule the search committee chair/academic unit should create an email folder to serve as a repository for all email correspondence and electronic documents related to the search and keep this folder for five years. The search committee must collect all paper applications, notes, charts or any other written materials used by committee members related to the search and provide them to the academic unit leader. The academic unit leader must keep them for five years. It is considered a good practice to have the materials saved in a secure and digital location such as OneDrive.

• Provost's Information for New Faculty Members
• Recommended Chair Memo Regarding Information for New Faculty (Template)

Faculty Offer Letter Guidelines

The offer letter is a legal contract and should be written with care and precision. All offer letters must be approved by the Dean/Provost Office before they are presented to a candidate. Offer letters should also be reviewed by the Associate Dean for Faculty Resources, Planning and Assessment, who will verify that all items on the check list have been included. Draft offer letters may be useful in the early stages of negotiation with a candidate, but they must be clearly labeled “DRAFT."

The following is a list of elements that should be included in an offer letter. Stick to the required elements in your letter; do not include statements on issues that are non-essential or were not offered or negotiated. The Information for Faculty Candidates should be attached to every offer letter.

1. Offer of Appointment Should Include:

• Rank
• Tenure status: tenured or non-tenured, tenure eligible or non-tenure-eligible
• Title Series: Regular, Extension, Special, Clinical, Research, Lecturer
• State if 9-month or 12-month appointment
• Academic unit of appointment
• Anticipated starting date
• State “Your appointment is subject to formal approval by the university administration and the Board of Trustees.”
• Request for original, official transcripts and a current CV is made.

2. Position Responsibilities and Expectations:

• Refer to the position description in letter, and attach the position description.
• State that Distribution of Effort. "Your DOE is anticipated to be xxx and the percentage of time dedicated to each area is reviewed annually based on performance, department needs, and your goals." Please remember to include Service DOE, as appropriate.
• Refer to additional information on evaluation and promotion and tenure (if appropriate) in the ARs.
• Attach/link to departmental Statement on Evidences and the AR for the title series.
• Refer to Provost's Information for New Faculty Members and the New Faculty On-boarding Checklist and/or include links.
• If a candidate is "all but dissertation" please include this information in the offer letter: "A condition of employment in this position is completion of your dissertation and receipt of the doctoral degree by X date. Once your degree has been earned, you will need to submit updated transcripts to the Office of Faculty Resources, Planning and Assessment." This statement should appear near the beginning of the letter, typically in the first or second paragraph.

3. Salary and Benefits:

• Specify salary in a monthly increment such as “$X monthly salary to total an annual salary of $Y."
• For faculty members beginning a new 9-month appointment in August, the first year’s salary will be divided evenly over 11 months. In subsequent years, it will be divided evenly over 12 months. This is due to the fiscal year beginning on July 1.
• We encourage academic units to consider making the start date for new faculty members the first of a month. This allows for the new employee’s benefits to start the same day as their employment, instead of the employee having to wait until the next first of the month for their benefits to begin.
• The offer letter should include this statement: "Employment at UK is subject to fund availability and comes with diverse rewards, focusing on your total well-being and career development, with leadership striving to provide a strong work-life integration. The university generously contributes to employees’ retirement plans, medical coverage, and life insurance. In addition, UK offers optional benefits such as dental and vision insurance, additional retirement plans and much more. To learn more about these benefits, please visit: https://hr.uky.edu/employment/our-benefits."
• Statement on Vacation for 12-month Faculty Members: Offer letters for full-time, 12-month faculty members should include this statement: "As a 12-month faculty member you receive 22 vacation days each year at the start of each fiscal year (prorated this first year based on your start date)."

4. Support, Funding, Start-up:

• Fully describe any start-up package, including schedule of funding availability and generally who has committed the resources, such as the academic unit or from the college/university level.
• Specify office, lab or other space assignment only if it is specifically negotiated.
• Typically, all 12-month faculty members with 25% or more DOE research assignment maintain an approved and active Experiment Station (Hatch, et al.) project with the initial proposal being submitted within six months of the start date.
• If applicable, describe “anticipated” continuing support: tech or clerical staff, operating expense, etc.

5. Relocation Expenses:

• If relocation allowances are offered, specify amount; refer to the policy.

• In addition to your salary, you will receive $(maximum 17,500 or 10% of salary, whichever is higher) in relocation (e.g., moving) expenses to help offset your expenses moving to the Central Kentucky region. Qualified moving expenses and procedures can be found in UK Business Procedures Policy E-7-8 and as defined by IRS regulations. This can be used in support of your house-hunting process to help offset the cost of re-locating to Kentucky. These expenses may include airfare, hotels or auto rental fees.*  

  Relocation and house-hunting allowances will be reported as taxable wages and subject to applicable income and employment tax withholdings. If you fail to relocate to Central Kentucky as agreed, any sums paid to you by the University for the purpose of relocation shall be refunded to the University.  For questions regarding the allowance or disbursement, please contact (college contact person)."

• At the bottom of your offer letter, include a footnote that states, "Martin-Gatton College of Agriculture, Food and Environment Dean Laura Stephenson approves the relocation allowance as stated in this letter."
• The Associate Dean for Faculty Resources, Planning and Assessment will coordinate getting the Dean's signature and date on the footnote when you send the draft offer letter to the Associate Dean for review.

7. Conditions of Employment:

• State “This employment offer is contingent upon your successful completion of all pre-employment screening requirements and completion of final references. These requirements are comprised of a national background check and/or drug screen. Additional requirements could include health screening measures and/or a motor vehicle record check depending on your job responsibilities. By accepting this offer, you represent and confirm that you are not aware of any threatened, ongoing, or past misconduct proceedings of any kind (including but not limited to research/scientific, financial, harassment, or other allegations) related to you or your activities, and you agree that this offer is contingent upon and subject to this representation, and a failure of this representation will enable the University, at its sole discretion, to revoke the offer made in this letter. When warranted, offers of employment are contingent upon you securing and/or maintaining valid immigration/work authorization status throughout your employment."
• New hires at the university, except for those included in the Centers for Medicare and Medicaid Services mandate, will no longer be required as of February 1, 2023, to disclose proof of vaccination or request an exemption in the pre-employment screening process.

8. Signatures and Acceptance:

• State an expiration date for the offer.
• Indicate that acceptance of offer must be confirmed by returning a signed copy of this letter.
• Include a signature line indicating acceptance at the bottom of the letter.
• Forward hard copy of signed letter to Office of Faculty Resources, Planning and Assessment for the Standard Personnel File (Dean’s Office copies to appropriate Associate Deans). Include a copy with the appointment packet.

Expediting Senior Appointments

In cases where academic units seek to hire outstanding senior-level faculty members, it may be appropriate to expedite the process of appointing the candidate to the rank of Associate Professor or Professor (with or without tenure). Historically, the Provost’s Office has issued guidelines for these cases. OFRPA will work with the academic unit and candidate to develop and assemble a dossier meeting current requirements.

• Minimum Salaries for Research Title Series Faculty
• Expediting Initial Appointments for Senior Faculty

• Non-Academic Unit Leader Appointments Filled by a Faculty Member
• Directors of Graduate Studies
• Graduate Faculty Appointment
• Postdoctoral Scholars

Changing Title Series

If a faculty member is to change title series, a new faculty position has to be approved through the regular channels and advertised in the HR IES system. The faculty member who is changing title series has to apply for the position. The department must have a search committee and follow all standard procedures, as with any other faculty appointment.

• Appointment packets at the rank of assistant professor
• Appointment (E02) form
• Signed offer letter
• CV
• Approved position description
• Other information as identified by the Office of Faculty Resources, Planning and Assessment

Appointment at the rank of associate or full professor is a two-step process

1. Appointment packet
   Recommendation of the Dean
   Recommendation of the college APT Committee
   Recommendation of the department chair
   List of names and ranks of faculty members in the department and written opinion of each faculty member required to be consulted in the department
   CV
   Approved position description
   Other information as identified by the Office of Faculty Resources, Planning and Assessment
2. Appointment documentation
   Appointment form (E02)
   Signed offer letter

This information has been provided by the Office of the Associate Provost for Faculty Advancement, April 2017.  

Academic Unit Leader Appointments

Provost Policy Statement - Guide to Appointment and Reappointment of Educational Unit Administrators

Martin-Gatton CAFE Guidelines for Terms, Appointment and Reappointment of Academic Department Chairs

1. Academic unit leaders only: These policies and guidelines are intended to apply only to chairs of academic departments. Appointment processes for chairs and directors of non-academic departments or units in the Martin-Gatton College of Agriculture, Food and Environment will be consistent with regulations and human resource policies of the University of Kentucky. Non-academic appointments processes may or may not include formal search committees. Participation of, and consultation with, faculty and staff associated with such non-academic units will be in a format determined by the dean or college administrator to whom that chair or director will report.
2. Ongoing evaluation: The Martin-Gatton College of Agriculture, Food and Environment will continue to conduct performance evaluations of academic unit leaders annually. It will include an instrument that allows faculty comment and evaluation of chair performance.
3. Term length is six years: In most University of Kentucky colleges, chairs are appointed for four-year terms. The Martin-Gatton College of Agriculture, Food and Environment has, by university regulation, six-year terms for chairs. The most common justification has been that leadership of outreach/service, and management of complex facilities, funds and programs demand more experience and management skills from our chairs.
4. No absolute limit to number of terms: University regulations indicate that chairs may be reappointed for multiple terms, but suggest that sufficient justification of the academic benefit must be presented to reappoint. Furthermore, university regulations state: “Reappointment beyond the second term may occur under exceptional circumstances when it is deemed to be in the best interests of the University. This practice may vary from discipline to discipline.” The practice in Martin-Gatton CAFE has been to include demands of land-grant and mission-specific program advancement among those “exceptional circumstances.”
5. Reappointment and new appointments:

• Near the end of a current chair’s term the Dean will inform the faculty and schedule a meeting between the faculty and the college deans, in the absence of the current chair, which will include discussion of options for reappointment vs. new appointment, and an internal vs. national search.
• Following the open meeting, the Dean will provide an opportunity for individual comment by faculty and staff of the department, including anonymous comment.
• University regulations require that the Dean appoint a search committee for either reappointments or new appointments. Typically such committees will be chaired by another chair or college administrator. Department faculty will constitute a majority of the committee members, but other faculty or staff may be appointed from outside the department. Some chair search committees in Martin-Gatton CAFE include a stakeholder not employed by the university. Students and staff should be included in the process.
• With the search committee, the Dean will review or revise the position description, and determine a search process appropriate to the circumstances. The search committee will be asked to identify candidates, including the current chair, and invited to comment on their strengths and weaknesses to the Dean. They will not be asked to rank candidates if there is more than one.
• The Dean will negotiate an agreement with the reappointed chair or the new appointment and forward a recommendation to the Provost.

Directors of Undergraduate Studies

To appoint a Director of Undergraduate Studies, please complete the Martin-Gatton CAFE Director of Undergraduate Studies Form. Obtain signatures from the faculty appointee, Academic Unit Leader, and Senior Associate Dean, then submit the form to cafe-frpa@uky.edu.

Endowed Positions

The following steps are followed to fill an endowed position:

1. When an endowed term is nearing expiration, the Office of Faculty Resources, Planning and Assessment sends an inquiry to the Department Chair with the endowment agreement attached.
2. The Chair determines whether or not the position will be refilled, based on available income and the terms of the endowment agreement.
3. The Chair works with the Dean, appropriate Associate Dean(s), and Associate Dean for Faculty Resources, Planning and Assessment on the creation of an appointment committee.
4. The Chair and/or selection committee notifies all departmental faculty about the selection process.
5. The Chair notifies the Dean and the Associate Dean when the appointment committee has reached a decision. The Dean approves the selection.
6. The Associate Dean prepares a Board of Trustees action and forwards the paperwork to the Provost's office for provost and Board of Trustees approval.

Joint Appointments

Joint appointments are covered by AR 2:1-1, page 3 and GR X, page 5.

Please see the Provost Policy Statement - Joint Appointment & Promotion Policies and Procedures.

Steps for appointing a faculty member from another college to a joint (secondary) position in the Martin-Gatton College of Agriculture, Food and Environment:

1. The chair of the Martin-Gatton CAFE department requests a CV and any desired supporting materials from the faculty member being appointed to a secondary position in this college.
2. The Martin-Gatton CAFE department chair prepares a letter of recommendation, including a statement indicating the support of the majority of the consulted faculty (this statement should be an exact vote count, i.e. 9 in favor, 2 against), and sends that, along with the CV and faculty letters, to the Martin-Gatton CAFE Dean via the office of the Associate Dean for Faculty Resources, Planning and Assessment (L-104 Ag North or via email).
3. Once the Martin-Gatton CAFE Dean has approved the secondary appointment, the Dean of the primary college will be notified to generate an EO2 (appointment form).
4. The EO2 will be circulated for signatures by the faculty member, the chairs of both departments, and the deans of both colleges. Once all of the signatures are obtained, the EO2 and supporting materials (CV, chair letter, faculty letters) will be submitted for Provost and Board of Trustees approval.

Steps for appointing a Martin-Gatton College of Agriculture, Food and Environment faculty member to a joint (secondary) position in another college:

1. The department chair outside of Martin-Gatton CAFE requests the Martin-Gatton CAFE faculty member provide a CV and other supporting materials, as needed.
2. The secondary department chair prepares a letter of recommendation, including a statement indicating the support of the majority of the consulted faculty (this statement should be an exact vote count, i.e. 9 in favor, 2 against), and sends that, along with the CV and faculty letters, to their Dean.
3. The dean of the secondary college approves the appointment and notifies the Dean of Martin-Gatton CAFE, cc’ing the Associate Dean for Faculty Resources, Planning and Assessment.
4. The Martin-Gatton CAFE Office of Faculty Resources, Planning and Assessment will generate an EO2 (appointment form) for the appointment.
5. The EO2 will be circulated to the faculty member, the chairs of both departments, and the deans of both colleges for signatures. Once all of the signatures are obtained, the EO2 will be sent, along with all supporting materials (CV, chair’s letter, faculty letters) to the Provost’s Office for Provost and Board of Trustees approval. 

Visiting Scholars

Visiting scholar (sometimes called a visiting scientist) and faculty appointments are covered by AR 5:1 and the Provost Policy Statement- Protocol for Appointing Visiting Scholars.

If an exchange visitor is enrolled in any university, (even as an ABD Ph.D. candidate), follow the instructions for appointing visiting graduate students.

It is important to note the difference between visiting scholars and visiting faculty members. Visiting scholars do research while at UK and do not teach, while visiting faculty are primarily assigned teaching responsibilities.

Visiting scholars have temporary appointments with the University, not to exceed one year. Renewals are only accepted for approval by the Provost in rare instances and must be well justified. Visiting scholars do not typically receive a salary from the University and are eligible for some UK benefits. For a complete list of benefits visiting scholars are eligible for, see AR 5:1.

The domestic visiting scholar appointment process is covered by section A below. The international visiting scholar appointment is a two-step process (A and B below).

A. Complete the following steps to appoint a visiting scholar in Martin-Gatton CAFE:

1. A faculty member may identify a scholar they would like to invite to participate in research at the University of Kentucky as a visiting scholar.
2. Request a complete CV from the candidate.
3. In writing, the sponsoring faculty member should request permission from their academic unit leader to extend an offer to the visiting scholar. This correspondence between the sponsoring faculty member and the academic unit leader should outline dates and expectations set on the proposed visiting scholar. This may be done via email.
4. The sponsoring faculty member should send an offer letter to the visiting scholar outlining dates and expectations of the appointment. This may be done by email.
5. The academic unit leader should complete the Martin-Gatton CAFE Visiting Scholar Appointment Form.
6. Attach the scholar’s CV, a copy of the offer letter, a copy of the correspondence between the sponsoring faculty member, and the Martin-Gatton CAFE Visiting Scholar Appointment Form to an email and send to the Office of Faculty Resources, Planning and Assessment at cafe-frpa@uky.edu.
7. Once the Dean has approved the appointment, the packet will be forwarded to the Provost’s Office for final approval.
8. The Academic Unit HR Administrator inputs the Visiting Scholar action in SAP, so they are able to receive UK benefits available to them and for other automated routines to run successfully. The Martin-Gatton CAFE Visiting Scholar Appointment Form, signed by the Provost, must be attached to SAP workflow.

B. International Visiting Scholars

As soon as an academic unit knows that they want to recruit an international visiting scholar, they should begin working with UK International Scholar and Student Services, and review the steps for inviting J-1 Exchange Visitors and J-1 visas. At a minimum, the start date of a visiting scholar should be 60 days AFTER the university approves the visit; however, it can take several months to process a visa application and consideration should be given for preparation time, delays and extenuating circumstances. Qualifying health coverage is required as well as minimum financial record demonstration depending on the scholar/family involved. The health coverage and financial record demonstration needs to be included in the invitation/offer letter.

Carol Hanley is the Martin-Gatton CAFE Director for International Programs and the iCAT coordinator for all Martin-Gatton CAFE academic units, providing assistance with international visitors and may advise on matters related to their recruitment, visa processing, on-boarding, and other aspects of their visit to UK.

Visiting Students

A student who is enrolled in another university (even an ABD Ph.D. candidate) and will be working or studying with a UK faculty member will generally be considered a visiting student at the University of Kentucky. It has been confirmed with Marthann Sheldon, Office of Graduate Admissions, that the graduate school application for graduate students who are only doing research and not taking classes at UK is no longer required.  The Visiting Student Approval Form of The Graduate School should still be used as support documentation in iCAT as was confirmed by Marc Invergo of the International Center.

Note that the University of Kentucky’s visiting student designation is different from the visiting research scholar designation in a J-1 visa application. It is common for a visitor’s J-1 designation to be “research scholar,” while their University of Kentucky designation is “visiting student.”

For Graduate Students

The following steps should be taken to appoint a visiting graduate student:

1. A UK faculty member must first invite the student to participate in research at the University of Kentucky. A letter of invitation template may be found on the International Center website.
2. The faculty member should request a complete CV from the visiting student.
3. The faculty member should complete the Visiting Student Approval Form, and have it signed by the Department Chair.
4. The faculty member should attach the student’s letter of invitation and CV to the Visiting Student Approval Form and send it by email to the Office of Faculty Resources, Planning and Assessment at cafe-frpa@uky.edu.
5. Associate Dean for Faculty Resources, Planning and Assessment will approve the Visiting Student Approval Form as the Dean’s delegate, and the Office of Faculty Resources, Planning and Assessment will send the approved form back to the faculty member.
6. Once the faculty member has received the signed form, the faculty member should send it on to Suzanne McGinnis in the Graduate School at suzanne.mcginnis@uky.edu.
7. The visiting graduate student must complete UK’s graduate school application, using the application category “visiting student,” and program “invited visiting student” in the online application. If the department or program wishes to cover the cost of the application for the visiting student, they should provide a cost center number to Tim Emrick in the Graduate School prior to the student's final submission of the application.
8. The visiting graduate student will be enrolled in the non-credit-bearing course GS690 by a UK Graduate School representative.
9. If the visiting graduate student is coming from outside the United States, the signed Visiting Student Approval Form should also be uploaded into iCAT when requesting visa status from International Student and Scholar Services (ISSS). ISSS will not process the paperwork for a visa until all steps have been completed. Remember that J-1 and F-1 visas come with different requirements and restrictions. Please see the ISSS website for more details.
10. Add the visiting student's information into SAP. The Visiting Student Approval Form, signed by the Associate Dean, must be attached to the request in the SAP workflow system.

For Undergraduate Students

College Dean level approval is not needed for visiting undergraduates. Visiting undergraduates should enroll as non-degree-seeking students following the procedures.

For international visiting undergraduates, please consult with International Student and Scholar Services for assistance with the appropriate visa paperwork and Carol Hanley for additional assistance with the visiting student process. 

Two- and Four-Year Review Procedures

While evaluation and coaching of tenure-eligible faculty members should be an ongoing process, the importance of timely and thorough Two-Year and Four-Year Progress toward Tenure Reviews cannot be overstated. These reviews are an important part of the progression of tenure-eligible faculty members and attention to them, both by the academic unit leader and the faculty member undergoing review, is essential. These reviews constitute a major assessment of the faculty member’s record of achievement and give tenure-eligible faculty members time before sixth-year dossier preparation to address any areas of deficiency.

When

Chairs conduct these reviews before the end of the second and fourth years of the probationary period of tenure-eligible faculty. Reviews should be completed no later than 30 days before the second and fourth anniversary date of initial appointment, unless the faculty member has been granted a Delay of Probationary Period. For information about these delays, see the UK Office of Faculty Advancement. For example, for faculty members granted a one-year delay, the two-year review occurs 30 days before the end of three years and the four-year review occurs 30 days before the end of five years.

If for any reason (other than a granted delay) the two-year review is not completed 30 days before the two-year anniversary of the initial appointment, the date of the four-year review is not affected. In other words, the four-year review must be conducted 30 days before the four-year anniversary date, regardless of when the two-year review occurred. Late reviews should be avoided.

Who

Two-year and four-year reviews are conducted for regular, extension, special and librarian title series faculty members, that is, all tenure-eligible faculty. Reviews are not required for non-tenure-eligible faculty members: those in the research, clinical, lecturer and adjunct title series or are visiting or temporary. Reviews are not conducted for faculty members who, for whatever reason, have appointments that are not being renewed. Academic unit leaders receive automated emails reminding them of when reviews are due at the 180, 90 and 30 day mark ahead of the end of a faculty member's second or fourth year. Academic unit leaders are ultimately responsible for identifying faculty members for whom a review is due and conducting the reviews in a timely manner.

Procedures

1. With a minimum of 60 days’ notice before the academic unit leader intends to complete the review, the academic unit leader notifies the faculty member in writing about the timeline for the review. The academic unit leader solicits from the faculty member an updated CV in a format agreed upon by the faculty member and the academic unit leader, a narrative statement about their teaching/research/extension activities, and (as appropriate) a teaching portfolio. These materials are to be made available to all tenured faculty members in the unit at the time they are informed that the review is underway and their comments are solicited.
2. For the four-year review, the academic unit leader shall solicit email or written comments from all tenured associates and professors in the department. Assistant professors may be invited to comment, but should not be required to do so. For the two-year review, the academic unit leader shall consult with the faculty, but this may take the form of discussion with an advisory committee or appropriate representatives of the tenured faculty. Please note, email or written comments from senior faculty members and other faculty members invited to comment are not shared directly with the faculty member under review but are "discoverable" should the faculty member being reviewed request the materials.
3. The academic unit leader reviews the comments solicited from faculty members and prepares a review summary. This is normally provided in the form of a letter to the faculty member being reviewed. If the review does not report satisfactory progress or considers a terminal appointment, this draft review summary and the CV are sent to the dean prior to the academic unit leader's presentation of the letter to, and discussion of progress with, the faculty member. If the review reports satisfactory progress, the academic unit leader may discuss the review with the faculty member before the letter is forwarded to the dean.
4. The academic unit leader meets with the faculty member being reviewed and discusses the review summary. After the academic unit leader and faculty member sign the document, the faculty member receives a copy.
5. The academic unit leader sends an email to the Associate Dean for Faculty Resources, Planning and Assessment with the final, signed review summary and the faculty member's CV attached. All other documents regarding the review remain in the departmental file.
6. The signed review statement is placed in the Standard Personnel File in the Dean’s Office, and recorded as completed in the Faculty Database.

Conducting Reviews for Faculty Members Employed Outside Academic Units

UK regulations require that the academic unit leader provides leadership to conduct two-year and four-year reviews, as well as provide the final step at the academic unit level. The academic unit leader is required to collaborate with the administrator of the faculty member’s center or other home. In other words, both are involved in this process and both have a say in the evaluation.

• One option is that the academic unit leader initiates the process and solicits documented input from the director.
• Or, it is possible that the director is responsible for initiating the process, forwarding recommendations to the academic chair, who then forwards a recommendation to the dean. In the latter instance, the academic chair writes an additional letter, which could be very brief if there is concurrence, and both those are forwarded to the dean's level.
• Regarding faculty consultation, for two-year reviews input is solicited by the director of the working unit and may include only faculty from the working unit. For four-year reviews, the academic chair solicits consultation from faculty members at both locations.

Language Choice for Academic Unit Leader's Review Summary

The academic unit leader's review summary must not include explicit prediction of the likely outcome of a future tenure review. Instead, include constructive suggestions for addressing areas of deficiency. Statements such as, "There can be no doubt that you will receive enthusiastic support for promotion from the faculty,” or "You only need one more article to qualify for tenure," could later be construed as misleading. Express concluding or summarizing statements in terms of progress toward tenure or stage of program development, e.g., “Your research productivity after four years is consistent with the expectations of your faculty peers.” Use appropriate qualifiers such as, “In the judgment of the faculty I have consulted…” Never include comments about personality, personal life or individual attributes, e.g., “Some faculty doubt that you have the intellectual capacity or energy to succeed in this research area.” Focus on the act of “collaboration,” or the functions of “service” or “leadership,” not the characteristic of “collegiality.” Evaluate performance as documented in the record.

• 2- and 4-Year Review Chair Memo Template

The following process for creating and filling faculty positions is in effect as of FY2023:

1. The academic unit discusses the need for hiring a new faculty member, including other departments/multidisciplinary programs as appropriate.
2. The academic unit formally prepares proposal, which draws on the list of possible reasons to hire/create a position as well as any additional relevant ideas the unit can present. Appendices may be included for supporting data.
3. The academic unit faculty vote on materials. If multiple proposals from same unit, please provide rank order of preference.
4. The Department Chair/Unit Director/Program Director submits proposal materials to OFRPA via cafe-frpa@uky.edu, by one of four Request Submission Option deadlines. The deadlines are:

5. The faculty Hiring Proposal Review Team evaluates the proposals. The review team is the Dean, Associate Deans of Instruction, Extension, Research, Finance and an academic unit leader with no proposal in the pool (if every unit has a proposal under consideration, this spot is left vacant). The review committee may respond to the request with the following options:

• Recommend as Presented; Recommend with Revisions (work with college leadership to reconcile); Recommend Resubmission; Not Recommended; Recommend Asking Provost for New Position(s)/Filling Positions

6. The academic unit refines technical aspects of the materials in conjunction with Associate Dean for Finance and OFRPA for Provost Office Search Authorization request.
7. OFRPA submits search authorization materials to Provost Office through Workflow (cc: Academic unit leader, Associate Deans for FRPA and Finance).
8. The academic unit completes the SAP Position Number Creation Request Form and submits it to Le Anne Herzog at leanne.herzog@uky.edu. This step is not required for adjunct positions, unless the department wants the adjunct faculty member to appear in SAP.
9. Once the position is approved by the Provost, the department chair will be notified and may begin the open, competitive search. Please review the Faculty Searches section for information regarding the search process. 

• Martin-Gatton CAFE Faculty Council and College Committees
• Martin-Gatton CAFE Rules of Procedure
• UK Faculty Senate
• University Regulations
• UK Academic Committee Assignments
• UK Office for Faculty Advancement

• Faculty Onboarding Checklist
• Provost's Information for New Faculty Members
• Office for Faculty Advancement
• Center for the Enhancement of Learning and Teaching (CELT)
• Welcome to Lexington
• VISITLEX
• Martin-Gatton CAFE Construction Project EarthCams
• Building the Future

• Work-Life and Well-Being Resources
• Insurance and Retirement Benefits
• Faculty Leaves of Absence
• Tips: How to Input Vacation Leave in myUK
• Delegation of myUK Manager Self Service While on Leave

International Travel

Faculty members traveling internationally for professional work should take the following steps to ensure their benefits are in order for their trip.

1. Input a professional travel leave request in MyUK.
2. Consult Human Resources to make necessary changes to health insurance while abroad. You will need a letter showing the travel has been approved before going to Human Resources. For assistance with this, contact the Associate Dean for Faculty Resources, Planning and Assessment.
3. Register with the University’s International Center, so that UK is able to assist in the event of an emergency.

Sabbatical Leave

Because sabbaticals require Board of Trustees’ approval, proposals should be submitted a minimum of six months in advance of the leave start date.

Steps:

1. The faculty member contacts the academic unit leader (AUL) to inform them of sabbatical interest and intent. The faculty member and AUL discuss how the faculty member’s responsibilities will be covered. It is not uncommon for the Associate Dean for Faculty Resources, Planning and Assessment to read a draft proposal and provide feedback early in the process.
2. After preliminary approval by the AUL, the faculty member provides the AUL with a formal written sabbatical request including:
   1. Cover letter outlining the request
   2. Completed and signed Sabbatical Leave Application
3. If the academic unit will be providing travel funding for the sabbatical, this information must be included in the sabbatical proposal and the AUL support letter. Please be sure to follow Reimbursement of Travel Expenses (E-5-1).  The AUL letter should discuss any budget implications for the unit.
4. In accordance with federal regulations, if the faculty member is on federally funded sponsored projects, they should consult with the College Grants Officers (CGOs) when applying for sabbatical to ensure that requirements for reporting time dedicated to federal projects is met. The faculty member should also notify the CGOs when the sabbatical is approved, and when it begins.
5. The AUL completes and sends the Martin-Gatton CAFE Sabbatical Leave Proposal form and signed Sabbatical Leave Application to cafe-frpa@uky.edu.
6. If approved, the Dean will sign and forward materials for Provost approval.
7. Once the proposal is approved by the Board of Trustees, the Office of Faculty Resources, Planning and Assessment notifies the AUL and faculty member, including a request for a report (due 90 days after the end date of the leave) at the conclusion of sabbatical leave.
8. Once notice has been received that the leave is approved, the faculty member should request, through their unit's HR staff person, that a new DOE version be initiated in the Effort Planning System. The DOE should reflect 100% Professional Development while the faculty member is on sabbatical. Questions about amending DOEs may be sent to cafe-frpa@uky.edu.
9. The AUL and business officer should work to ensure that payroll for the sabbatical is properly processed in terms of full-pay vs. half-pay sabbatical, which funds are used for pay during the leave, and the amounts. In the case of a 9-month faculty member, the implications of the leave on the faculty member's paycheck should be verified with the College Business Center through Le Anne Herzog. Once the faculty member's sabbatical has begun, the department business officer should verify that the payroll is accurate during the monthly preliminary payroll check.
10. No more than 90 days after the end date of the sabbatical, the faculty member should prepare a summary statement of their sabbatical outcomes based on their proposal. The report should be no more than 2 pages in 12-point font and include:

• Summary and timeline
• Objectives
• List of achieved outcomes
• List of outcomes in progress
• Brief description of how these outcomes will benefit the department, college and university

​Submit the report attached to an email to cafe-frpa@uky.edu. The faculty member should also share a copy of the report to the AUL.

A Note on Benefits during Sabbatical

Extension faculty members with civil service status should work with Le Anne Herzog to determine how federal regulations might affect benefits. For faculty members not in civil service status, the only affected benefit is retirement contributions, which are reduced to half during a full-year leave with half pay. 

Faculty members enrolled in UK health insurance: Be sure to check with the Benefits Office if the sabbatical will be in a location away from the Lexington service area or if the sabbatical involves being out of the United States for 90 days or longer. 

Additionally, please see the Provost’s memo regarding the effect of sabbatical on vacation benefits.

Impact of Sabbatical on Performance Review

While on sabbatical, faculty members are not exempted from the annual performance review process. Faculty members are expected to provide evidence of their accomplishments through Faculty Success, a narrative statement, and when applicable, a teaching portfolio, the same as if they were not on sabbatical. Additionally, for sabbaticals occurring but not yet completed during the review period, the sabbatical application will be included in the materials submitted for performance review. For sabbaticals that end within the review period, the sabbatical report will be included in the materials submitted for performance review. 

• Canvas Training Materials: Email cafe-frpa@uky.edu if you need access to this course.
• Martin-Gatton CAFE APR Software
• APR Rating Categories
• Sample APR Form
• Appealing APR Decisions to the Provost
• AR 3:10 - Faculty Performance Evaluation and Progress Review
• AR 3:11 - Tenured Faculty Review and Development Policy
• Post-Retirement Performance Evaluation Form
• Provost Annual Memo on Faculty Performance Review
• Provost Policy Statement: Faculty Performance Review Appeals Procedures
• Examples of Research Citations on CVs

• Promotion and Tenure Generalized Timeline
• Provost Summary on Promotion and Tenure Procedures
• Dossier Checklist
• Senior Lecturer Dossier Checklist
• Expedited Dossier Checklist
• AR 3:10 - Teaching Portfolio (pages 4-5)
• Examples of Research Citations on CVs
• Expedited Senior Appointments - Draft Guidelines provided by UK OFA
• Faculty Administrator Appointments - Draft Guidelines provided by UK OFA
• Provost Memo: Appointment, Promotion and Tenure Procedures
• Provost Policy Statement: Inclusion of Unit Statements on Evidences in Dossier
• Provost Policy Statement: Inserting Additional Materials into Dossier
• Provost Policy Statement: Guidelines for Expediting Initial Faculty Appointments at Rank of Associate or Professor
• AR 2:1-1 - Procedures for Faculty Appointment, Reappointment, Promotion and the Granting of Tenure (page 12)
• Provost Policy Statement: Procedure to File an Appeal Concerning Denial of Reappointment, Promotion or Tenure and Terminal Year Review Consideration
• Provost Policy Statement: Senate Advisory Committee Memo on Timeline for Appeals
• Delay of Probationary Period Procedures
• Faculty Tenure Delay Form (TDF)

Distribution of Effort (DOE) guides how a faculty member is to be evaluated in the areas of instruction, research and creative activity, service, administration and professional development. It is related to both annual performance reviews (APR) and promotion and tenure, governed by AR 3:8 - Faculty Workload Policy Statement, and adheres to Martin-Gatton CAFE RoP Attachment E: Teaching Overload.

Effort Planning System (EPS) is the software application used for entry of DOE and approval workflow. EPS is accessed via myUK, located on the Faculty Services or Enterprise Services tabs. Select Effort Planning within the tab for access to the software. Quick reference guides are provided within the Effort Planning link.

Final DOE forms are retained by the Office of Faculty Resources, Planning and Assessment and filed in the faculty standard personnel files as required by AR 2:1-1. Faculty may also access/print their finalized current and historical DOE forms at any time via EPS.

As processes related to faculty evaluation, DOE and EPS are overseen at the college level by the Office of Faculty Resources, Planning and Assessment. Questions should be referred to the Assistant Director for Faculty Resources.

• Martin-Gatton CAFE DOE Guidelines

In recent years, entrepreneurial activities by college faculty members have become more frequent and often more complex. The university's dual objectives: supporting such activities for the public good while also protecting both faculty members and the institution's interests, occasionally come into conflict, or may be perceived as being in conflict. The following resources are available to assist with understanding and properly documenting entrepreneurial activities so as to reduce instances of conflict of interest.

University Policy Statements

• 2024-25 Provost's Annual Memo on Consulting and Employment Outside the University
• AR 3:9 - Faculty Consulting and Other Overload Employment
• AR 7:2 - Financial Conflicts of Interest in Research
• AR 7:9 - Institutional Conflicts of Interest Involving Research
• Cooperative Extension Conflict of Interest Policy
• HR Policy 18: Outside Employment
• Use of Self-Authored Textbooks

Faculty Overload Documentation

Documentation and prior approval of employment outside the university is important to protecting the interests of both faculty members and the institution. Complete this process through MyUK. For assistance, contact the Office for Faculty Advancement and Institutional Effectiveness at 859-323-6589.

• Instructions for Submitting a Faculty Overload Form
• Instructions for Creating Substitutions for Faculty Overloads

Graduate Student Overloads

Graduate students are not permitted to work more than .50 FTE; therefore, any overload assignment must be approved through the Graduate School. This includes assignments in addition to full-time institutional fellowships. A Graduate Student Overload Form should be submitted to the Graduate School in the event an overload is needed. Remember to check the Personnel Assignment Details in PA40 to determine if other assignments exist for that individual. The Graduate School advises that overloads are not encouraged and that they could slow down the student's progress toward completing their degree.

Policy on Serving as Fact Witnesses and Expert Witnesses

Martin-Gatton CAFE staff and faculty members are periodically approached by attorneys requesting assistance in the form of testimony in anticipated or pending litigation. This policy covers these instances.

Office of Sponsored Projects Administration

The Office of Sponsored Projects Administration is responsible for administering the Conflict of Interest Policy (AR 7:2). Their website has additional resources that may be helpful in understanding this policy.

More Resources

• Consulting, Overload and Disclosure in Martin-Gatton CAFE

• Guide to Retirement Planning
• Nearing Retirement
• Phased Retirement
• Phased Retirement vs. Post-Retirement Appointments
• Retiree Information

Faculty Retirements

Non-Civil Service

1. The faculty member should discuss their retirement with a retirement officer in the UK Employee Benefits office.
2. The faculty member should inform their Academic Unit Leader, in writing, of the faculty member’s intent to retire, and the effective date of the retirement. The faculty member should inform the chair of intent to retire at least six months ahead of the retirement date, though it should be noted that a recommendation for retirement form and Board of Trustees action will not be created until the period of preparation for the Board of Trustees meeting closest to the retirement date. It is recommended in most cases for the retirement date to be the last day of the month.
3. The Academic Unit Leader should work with their business officer to review the implications of the retirement date on the employee's pay and the unit's budget. In the case of 9-month faculty members, a retirement date other than June 30 or December 31 may result in a change in the monthly pay amount due to the calculation which defers 9-month pay across 12 months. It is best to check with Le Anne Herzog as soon as possible after receiving notice of the faculty member's intention to retire to ensure that the payroll implications of the retirement are fully accounted for.
4. The Academic Unit Leader forwards the retirement letter to the Associate Dean for Faculty Resources, Planning and Assessment, who shares the letter with the Dean, the Martin-Gatton CAFE Business Office, UK Human Resources and the Provost.
5. The faculty member should consult with the College Grants Officers about procedures for handling any active sponsored projects for which they are responsible.
6. Prior to the Board of Trustees meeting closest to the faculty member’s retirement date, a retirement officer in UK Employee Benefits creates a recommendation for retirement form and sends it to the faculty member’s academic unit. The form must be signed by the Academic Unit Leader and the Associate Dean for Faculty Resources, Planning and Assessment, on behalf of the Dean, before being returned to UK Employee Benefits.
7. The Associate Dean for Faculty Resources, Planning and Assessment creates a Board of Trustees action in the faculty database for the retirement and sends this action to the Provost for approval.
8. The UK Employee Benefits office informs the Provost’s Office of retirements ahead of each Board of Trustees meeting, so that they may be placed on the Board of Trustees’ agenda for review.
9. A few weeks prior to retirement, the unit’s HR Administrator should ensure that leave entry is up to date, verify the faculty member’s forwarding address, and recommend that the last pay stub/W2 be printed for record-keeping.
10. After last accruals hit SAP, the department HR Administrator should enter any applicable leave payouts.
11. Prior to the payroll deadline, the department HR Administrator should review the remuneration statement to ensure everything looks correct.
12. The department should complete an Employee Exit Checklist. The faculty member should start the Lab Closure Checklist, as applicable. Records Retention Policies and Practices need to be followed.
13. ITS has a reference page for individuals entering retirement to help them plan for changes in their IT resources.

Civil Service Faculty Retirements

1. The faculty member should discuss their retirement with Le Anne Herzog in the Martin-Gatton CAFE Business Center.
2. The faculty member should inform their Academic Unit Leader, in writing, of the faculty member’s intent to retire and the effective date of the retirement. The faculty member should inform them of intent to retire at least six months ahead of the retirement date. In most cases, the effective date for a Civil Service retirement should fall on the last day of a month.
3. The Academic Unit Leader forwards the retirement letter to the Associate Dean for Faculty Resources, Planning and Assessment who shares the letter with the Dean, UK Human Resources and the Provost.
4. The faculty member should consult with the College Grants Officers about procedures for handling any active sponsored projects for which they are responsible.
5. The Associate Dean for Faculty Resources, Planning and Assessment creates a Board of Trustees action in the Faculty Database, noting the Civil Service status of the faculty member in the E01 comments box, and forwards this action to the Provost for approval.
6. Approval of the retirement ends at the Provost’s level, and no recommendation for retirement form is created for civil service retirements.
7. A few weeks prior to the retirement date, the department HR Administrator should ensure that leave entry is up to date, verify the faculty member’s forwarding address, and recommend that the last pay stub/W2 be printed for record-keeping.
8. Prior to the last ZPAR deadline, the department HR Administrator will prepare a Separation Sheet, obtain the necessary signatures, and forward it to the Martin-Gatton CAFE Business Office. Please make sure any terminal leave amounts are listed and enter “Federal Retiree” in the comments section of the form.
9. After the last leave accruals hit SAP, the Martin-Gatton CAFE Business Office will enter any applicable leave amounts.
10. Prior to the payroll deadline, the unit HR Administrator should review the remuneration statement and ensure that everything looks correct.
11. The academic unit should complete the Employee Exit Checklist. The faculty member should start the Lab Closure Checklist, as applicable. Records Retention Policies and Practices need to be followed.
12. ITS has a reference page for individuals entering retirement to help them plan for changes in their IT resources.

Faculty Phased Retirement Procedures

Because phased retirements require Board of Trustees’ approval, the formal request should be submitted six months in advance of the start date. See AR 3:2 and HR procedures.

Please note: As per AR 3:2, phased retirement appointments will be granted only when such appointments are in the best interests of the university. A revision to AR 3:2 was approved by the Board of Trustees in May 2016 which states that faculty phased retirement proposals that exceed three years and/or .80 FTE will not be approved.

Further, according to the Provost’s annual memo regarding faculty performance review, “All educational unit administrators who have faculty on phased retirement shall take steps to ensure that those individuals are meeting or exceeding their unit’s performance expectations in their areas of assignment.”

The steps to begin a phased retirement:

1. Faculty member verifies with a retirement officer in the Employee Benefits Office they are eligible for phased retirement. This “service check” can be accomplished by calling 859-257-9519, option 3.
2. Faculty member contacts the academic unit leader (and Unit Director, if appropriate) regarding phased retirement interest and intent. Please note: Civil Service employees are not eligible for phased retirement. They may, however, take a post-retirement assignment. See the Extension Manual for more information about Civil Service employees and phased retirement.
3. Faculty member provides Academic Unit Leader/Unit Director with formal written phased retirement request (cover letter, completed HR form, and an outline of teaching, research and service assignments to be fulfilled during the phased retirement period).
4. Academic Unit Leader and/or Unit Director submits the request for phased retirement to the Associate Dean for Faculty Resources, Planning and Assessment, with a cover letter indicating support. Submit the packet to: Martin-Gatton CAFE Office of Faculty Resources, Planning and Assessment, N3 Agriculture Science Center North or cafe-frpa@uky.edu.
5. If approved by the Dean, the Academic Unit Leader/Unit Director is notified to complete an Academic Appointment Form (E02) that reflects the phased retirement. This form is included with the other documents that go to the Provost and the Board of Trustees.
6. Once the request is approved by the Provost and Board of Trustees, the Dean’s Office contacts the unit. The completed documents reside in the faculty member’s SPF.
7. The faculty member should work with their Academic Unit Leader/Unit Director and payroll officer to ensure the payroll assignment reflects the phased retirement agreement.
8. Before requesting phased retirement, please be sure to check with the HR Retirement officers by contacting retirement@uky.edu.

Faculty Post-Retirement Appointments

Please refer to the following instructions when preparing a faculty post-retirement appointment:

1. The faculty member initiates the process of retirement or is already retired.
2. The Academic Unit Leader initiates a request for a post-retirement appointment by submitting the signed Post-Retirement Appointment Form to agbusinesscenter@uky.edu. Post-retirement appointments may be no more than 12 months in length though there is the opportunity to re-appoint, if needed.
3. UK retirees returning to UK in a post-retirement appointment or in any other UK paid capacity may need to complete an I-9. See information, requirements and contact information.
4. OFRPA sends a Notice of Academic Appointment and Assignment (E02) to the academic unit for signatures. The E02 must be signed by the faculty member, Academic Unit Leader and Associate Dean for Faculty Resources, Planning and Assessment on behalf of the Dean.
5. OFRPA sends both the Post-Retirement Appointment Form and E02 to the Office of Faculty Advancement for Provost and Board of Trustees approvals.

Post-retirement appointments may be renewable after one year following a Faculty Post-Retirement Performance Evaluation.

Fair Labor Standards Act Compliance

On March 8, 2017, Associate Provost G.T. Lineberry and HR Director/Compensation Debbie Carwile met with Martin-Gatton CAFE Academic Unit Leaders to discuss FLSA.

The UK policy on faculty and FLSA is as follows: The only title series on which FLSA has an impact is the Research Title Series. This means that Research Title Series faculty, particularly those on phased retirement, must meet the minimum $47,476 threshold in order to remain salaried. Research Title Series faculty whose phased retirement assignments fall below $47,476 must be paid hourly. The FLSA has no impact on faculty in other title series in post-retirement positions. 

Faculty Emeriti

Faculty members become faculty emeriti upon their retirement as tenured faculty members and Board of Trustees approval regarding the retirement. No action is needed on the part of a retiring faculty member for emeriti status. See AR 2:1-1, p. 3, for additional information, which includes various rights and privileges of emeriti faculty.

The Association of UK Emeriti Faculty is devoted to the special needs of retirees and their spouses. Membership is open to all retired and phase-retirement faculty, their spouses or partners. For more information about the association, visit their website.

Please contact ITS Technology Help Center for specific questions related to software, email and storage resources available. UK ITS has specific requirements for the provisioning for digital data storage as well as some software applications. Please work with your Academic Unit Leader to discuss digital data storage needs as well as software needs. ITS has a form that needs to be completed by an Authorized Requestor (typically Academic Unit Leader or unit Business/HR Staff).

ITS has a reference page for individuals entering retirement to help them plan for changes in their IT resources. These changes are different for faculty emeriti (those who are tenured at the time of their retirement) and other UK retirees.

ITSaboutYou@uky.edu is also available to answer questions.

• Faculty and Staff Honors
• Barnhart Fund for Excellence
• Research and Teaching Fellowships

• Administrative Regulations
• Self-Study Template
• Guiding Questions
• Program Review Schedule

Accredited Programs in Martin-Gatton CAFE

Animal and Food Sciences
Food Science
Accredited by: Institute of Food Technologists
Last Visit/Review: 2019
Next Visit/Review: 2025
Accreditation Cycle: 5 years
Initial Accreditation: 1979
Contact Person: Dr. Surendranath Suman

Biosystems and Agricultural Engineering
Biosystems Engineering
Accredited by: Accreditation Board for Enigneering & Technology (ABET) 
Last Visit/Review: 2022-2023
Next Visit/Review: 2028-2029
Accreditation Cycle: 6 years
Initial Accreditation: 1967 
Contact Person: Dr. Michael Montross, Department Chair

Community and Leadership Development
Career and Technical Education
Accredited by: Educator Professional Standards Board
Last Visit/Review: Fall 2022
Next Visit/Review: TBD
Accreditation Cycle: 7 years
Contact Person: Dr. Wes Harrison, Department Chair

Dietetics and Human Nutrition
Didactic Program in Dietetics
Accredited by: Accreditation Council for Education in Nutrition and Dietetics (ACEND) 
Last Visit/Review: 2024
Next Visit/Review: 2031
Accreditation Cycle: 7 years
Initial Accreditation: 1971
Contact Person: Dr. Julie Plasencia

Coordinated Program in Dietetics
Accredited by: Accreditation Council for Education in Nutrition and Dietetics (ACEND) 
Last Visit/Review: 2024
Next Visit/Review: 2031
Accreditation Cycle: 7 years
Initial Accreditation: 1975
Contact Person: Liz Combs

Family Sciences
Accredited by: Commission on Accreditation for Marriage & Family Therapy Education (Marriage and Family Therapy Program)
Last Visit/Review: 2021-2022
Next Visit/Review: 2028
Accreditation Cycle: 6 years
Initial Accreditation: 1992
Contact Person: Dr. Ron Werner-Wilson, Department Chair

Forestry and Natural Resources
Accredited by: Society of American Foresters (SAF)
Last Visit/Review: 2020
Next Visit/Review: 2031 *11-year cycle adopted in response to delays created by 2020 pandemic
Accreditation Cycle: 10 years*
Initial Accreditation: 1974
Contact Person: Dr. Jeff Stringer, Department Chair

Landscape Architecture
Accredited by: Landscape Architectural Accreditation Board (LAAB)
Last Visit/Review: 2021
Next Visit/Review: 2027
Accreditation Cycle: 6 years
Initial Accreditation: 1978
Contact Person: Ned Crankshaw, Department Chair

SACS Substantive Change Policy

• Substantive Change Process Information: UK Office of Strategic Planning and Institutional Effectiveness
• SACS Definition

One of the things UK has done in recent years to enhance employee engagement and improve overall management and leadership is to gather faculty and staff feedback through the UK@Work Survey. It turns out that these surveys, which began in 2015, meshed well with some college initiatives also undertaken in 2015 through our strategic plan, “Building Our Future on the Land-grant Legacy.”

The UK@Work survey, which was conducted again in 2017, 2019, 2021 and 2023, gives useful information on many measures of job satisfaction and employee engagement across the units, including Extension and other off-campus employees. These surveys are important to our college and university as staff and faculty job satisfaction is critical to our success.

In March 2021, we provided an additional college opportunity for faculty and staff feedback concerning themes of work effectiveness and well-being as compared to the end of 2019, and to identify ideas for helping people.

The UK@Work survey focuses on sustainable engagement; empowerment; communication; working relationships; stress, balance and workload; leadership; working environment and university culture. Data from each year is evaluated and compared to past survey results. Unit-level reports are provided to Martin-Gatton CAFE chairs and unit directors with at least 10 respondents.

The September 2023 survey results show improvements in key areas, clarify some of the challenges experienced by faculty and staff since the prior UK@Work survey in 2021, and mirror much of what was expressed in the internal college well-being survey of March 2021.

The college results showed that the majority of respondents have a sense of accomplishment from their jobs, feel they are treated with respect, understand how work performance is evaluated and believe they are evaluated fairly, feel a sense of community at UK, and believe in the university's mission.

As always, there are opportunities for improvement, and we have some areas to work on. In 2022 and 2023, we focused on helping people in our college community to find productive and healthy ways to reduce stress, and we met with department chairs and unit directors to learn from them about the specific sources of success and challenges faced within the units related to employee engagement. While many of our results are favorable compared to the university overall, we still have more to do.

Several resources are available for faculty and staff, and we will be working to provide additional resources going forward.

Current resources include:

• UK Human Resources Work-Life
• Martin-Gatton CAFE Business Center Employee Resources
• UK Total Compensation Calculator
• Report discrimination, harassment or sexual misconduct
• UK Office of Equal Opportunity

Approximately 57% of Martin-Gatton CAFE faculty and staff responded to the 2023 survey. Thank you to those who participated.

• Martin-Gatton CAFE 2023 UK@Work Survey Results
• Martin-Gatton CAFE 2021 Faculty and Staff Well-being Survey

• Student Learning Outcomes Assessment

• UK Sustainability
• Recycling Initiatives
• Alternative Transportation
• UK STARS Scorecard