Policy on Appointment of Non-Tenure Eligible (NTE) Faculty, Adjunct Faculty, Research Scientists and Postdoctoral Research Associates

PPD-1302

Institutional Goal

VIMS is an internationally recognized marine research and education center with a unique advisory service role within and outside of the state. One of our greatest strengths is a faculty with varying profiles that participates in and fulfills our tripartite mission. One of our challenges is to ensure that there is flexibility in faculty appointments that enhances our responsiveness in addressing the missions of VIMS while at the same time maintains a firm commitment to excellence in our programmatic areas. Thus, it is crucial that future faculty appointments are structured first and foremost to meet the needs of our institutional missions and that we are able to attract outstanding and diverse scholars. All search and selection procedures must follow William & Mary Recruitment and Selection Policy.

Types of Appointments

This document describes policies regarding the following paid appointments: Tenured and Tenure-Eligible (TTE) Faculty, Non-tenure Eligible (NTE) Faculty, Adjunct (part-time) Faculty, Research Scientists and Postdoctoral Research Associates. Policies regarding unpaid Affiliated Scholar appointments are described in PPD-1309.

TTE Faculty. This type of appointment is distinguished by an obligation to participate in the graduate education program at VIMS in addition to research and advisory service. Composition of the tenure-eligible faculty should be determined primarily by 1) curriculum needs, 2) research profiles that allow scholarly achievement in one or more disciplines of strategic importance to VIMS, and 3) advisory service needs of the Commonwealth. Titles for persons who occupy these positions are assistant professor, associate professor, and professor.

NTE Faculty. This type of appointment is made primarily on the basis of expanding the expertise at the PhD level needed to address the tripartite VIMS mission of research, advisory service and education. Individuals holding these appointments must have a level of independence and scholarship equal to that of the tenured and tenure-eligible faculty, and their responsibilities will be determined by their individual profiles. These appointments can be full-time continuing (i.e., hold a presumption of continuation) or in some cases full-time specified-term (i.e., termination on a specified date in the contract). Taking into account individual profiles, all NTE faculty will be evaluated for promotion by the Faculty Status and Tenure Review Committee (FS&TR), following standard evaluation procedures and timelines as outlined for tenured and tenure-eligible faculty in PPD-1308. Titles for persons in such appointments are Assistant Professor, Associate Professor, and Professor. Additional title modifiers may be used as described in the William & Mary Faculty Handbook.

Adjunct Faculty. This type of paid faculty appointment may address short-term needs in education, research, or advisory service. Adjunct faculty do not accrue retirement or other benefits pursuant to regulations of W&M, the Virginia Department of Human Resource Management, and the Virginia Retirement System. Adjunct faculty may participate in faculty governance but may not vote.

Adjunct faculty appointments may be used by faculty with Emeritus status who desire to return to work on a part-time basis to complete or continue research and associated activities, following a bona fide break in service. While general funds may be used to support non-Emeritus adjunct faculty positions, faculty with Emeritus status are typically funded entirely by external funds, indirect cost (IDC), or fixed price variance accounts with concurrence by the Dean and Director. Additional compensation for teaching may be provided with concurrence by the Associate Dean of Academic Studies. The faculty member will notify the Dean and Director prior to retirement regarding the desire to fill an adjunct role, but specifics are negotiated after retirement, following the guidelines of the W&M Faculty Retirement and Return to Work Policy.

Research Scientists. This type of appointment is primarily for PhD-level scientists who support the research and advisory service missions of VIMS, but do not necessarily serve as independent principal investigators, and as such, have expectations that are set by the faculty who supervise them. They may participate in general departmental matters but do not vote. Because these positions are linked to specific programmatic needs, individuals in these positions typically serve as co-principal investigators, but are also encouraged to serve as principal investigators. They are not reviewed by the FS&TR for promotion or retention, as these positions are part of the Professionals and Professional Faculty (PPF) classification. These appointments can be full-time continuing (i.e., hold a presumption of continuation) or full-time specified-term (i.e., termination on a specified date). Titles for these positions include Assistant Research Scientist, Associate Research Scientist and Senior Research Scientist.

Post-Doctoral Research Associates. This type of NTE appointment, which allows the infusion of talented new PhDs into the research environment of VIMS, should be viewed as temporary and in general should not exceed four years. These positions are designed to enable individuals to gain practical experience and training in their field, including opportunities to write grant proposals, learn advanced research methods, and produce scientific publications. They may participate in general department matters but do not vote.

Fundamental Provisions

NTE Faculty (See Attachment A)

All NTE faculty appointments at VIMS must conform to the William & Mary Faculty Handbook under the section entitled ‘Appointment Categories and Contracts and Notices’.
NTE faculty appointments at VIMS must be structured (within the framework specified in the Faculty Handbook) to meet the strategic needs of VIMS.
Regardless of the method by which a candidate is selected, at the request of the Dean and Director, FS&TR will review faculty appointments and recommend an appropriate rank to the Dean and Director.
NTE faculty appointments can reside in departments, centers (e.g., ABC, CCRM, MAP), or federal partnership programs (e.g., Sea Grant, CBNERR), but they must be a member of a department. NTE faculty appointments can be initiated by the head of the unit providing the funding after consultation with and approval by both the proposed Department Chair and the Dean and Director. NTE faculty appointments require approval by the Dean and Director in consultation with the Associate Dean of Research and Advisory Services, Associate Dean of Academic Studies, and Chief Financial Officer, and FS&TR where appropriate.
Typically, all faculty, both TTE and NTE, immediately or eventually fund some portion of their salary through external sources. Those details are the purview of the Dean and Director and will be outlined in the letter of intent.
All NTE faculty are encouraged to participate in the education mission of the institute, assuming they have the necessary approval set forth by the Academic Council and Associate Dean of Academic Studies.
NTE faculty will have voting rights except on matters related to TTE faculty appointments, retention, promotion, and tenure, as described in the VIMS Faculty By- laws.
NTE faculty may apply for advertised tenure-track positions at VIMS and would be treated as any other applicant. If successful, they would enter a tenure-eligible position. Conversion of faculty between tracks (e.g. research faculty to tenure-eligible faculty) without an open national search is not permitted.
The general requisites for annual evaluation and for promotion will be the same for TTE and NTE faculty appointments in that both are tied to measures of performance. Annual evaluations of NTE faculty will be performed by the chair of the department with which they are affiliated in consultation with the center or federal partnership program, if applicable. If the NTE faculty member is the chair of a center or federal partnership program, they may be additionally reviewed by the Dean and Director. Annual review and promotion for all faculty will follow established policies that have been approved by the Faculty Council (see PPD-1308) and appropriate committees at W&M.
In the case of a negative decision on promotion to associate professor, termination of the candidate’s NTE faculty appointment at VIMS will follow the procedures outlined for TTE faculty in the William & Mary Faculty Handbook Section III.C.1. However, NTE faculty who are not promoted to the associate level can move into a Research Scientist role if there is agreement by the department in which the NTE faculty member is affiliated and by the Dean and Director. Appeals are permitted on procedural grounds as described in PPD-1308 and the Faculty Handbook Section III.C.1.d.

Adjunct Faculty

In the case of retired faculty, adjunct contracts will be issued on an annual basis. Three months prior to contract expiration, the adjunct faculty member will submit a progress report of productivity and expenditures to the Dean and Director. The Dean and Director shall determine renewal of the annual contract and continued access to IDC funding if applicable. Non-retired adjunct faculty may be hired with contracts associated with an individual semester.
Adjunct faculty appointments can reside in departments, centers (e.g., ABC, CCRM, MAP), or federal partnership programs (e.g., Sea Grant, CBNERR).
Adjunct faculty can elect to teach classes and mentor students if they receive any necessary approval set forth by the Academic Council and Associate Dean of Academic Studies.

Research Scientists (See Attachment A and B)

All Research Scientist appointments at VIMS must conform to the Professionals and Professional Faculty Handbook. These appointments can be renewed indefinitely subject to the availability of funds, an assessment that a continued appointment is beneficial to VIMS, and satisfactory annual performance reviews of the appointee.
Appointment can be attained by promotion from an existing position within VIMS or as the result of an external search. These positions are usually initiated by a faculty member and require the approval of the Department Chair or center/partnership director, and the Dean and Director. Promotions within the Research Scientist track can occur following a classification/compensation review.
Under special circumstances, Research Scientists can be involved in teaching and mentoring graduate students provided they meet requirements and necessary approval set forth by the Academic Council and Associate Dean of Academic Studies.
Research Scientists may apply for advertised faculty positions at VIMS and would be treated as any other applicant.
Research Scientists will be evaluated annually by their faculty supervisors, following standardized procedures, with review of evaluations by the supervisor’s supervisor.

Postdoctoral Research Associates

Postdoctoral Research Associates work under principal investigators (PIs) on the faculty and are usually supported by PI-initiated grants, contracts, or fellowships whose focus is determined by mentors. Except in extenuating circumstances, positions should last no more than four years. Fellowships available to postdoctoral researchers can provide more flexibility in research objectives compared to grant-supported projects. However, use of department or PI laboratory and other research facilities at VIMS by fellowship recipients requires initial consultation and approval of the postdoctoral mentor and Department Chair. Postdoctoral researchers can be PIs with approval by the postdoctoral mentor, Department Chair or Center/Partnership Director, and the Associate Dean for Research and Advisory Services.
General guidelines for postdoctoral salaries are developed by the Dean and Director, in consultation with the faculty, and communicated to the faculty-at-large and the Office of Sponsored Programs. Postdoctoral Research Associates will be evaluated annually by their faculty mentors, following standardized procedures for faculty, with review of evaluations by the respective Department Chairs.
Under special circumstances and if encouraged by the PI, Postdoctoral Research Associates can be involved in teaching and mentoring students provided they meet the requirements and necessary approval set forth by the Academic Council and Associate Dean of Academic Studies.

Date: June 16, 2008
Reviewed March 16, 2009
Minor revision, July 1, 2009
Revised March 1, 2013
Approved by PPC April 8, 2013
Minor revision, March 2016
Minor revision, July 2017
Minor revision, March 2018
Revision, November 2021

ATTACHMENT A

Comparison of Research Positions
Non-Tenure Eligible (NTE) Faculty vs Research Scientist track

Position Characteristics	NTE Faculty	Research Scientist
Primary role	Maintains an independent research program	Primarily supports research
Tenure-eligible	No	No
BOV appointment approval	Yes	No
National search requirement	Yes (see note re: search waivers)	Yes (if new position) No (but under stringent search waiver process)
Department faculty vote for appointment	*Yes	No
Teaching/mentoring	Typically yes	Typically no (but yes with approval)
Annual contract	Variable, depending on whether specified term	Variable, depending on whether specified term
Renewable position	Typically yes, but may be funding dependent	Funding dependent
FS&TR Evaluation for retention, promotion	Yes	No
Annual evaluation	Yes	Yes
Obligation of programmatic resources/space	Yes	No
Benefits	Yes	Yes
Funding sources	Soft money and general funds	Soft money and general funds
Faculty voting rights	**Yes	No
Independent investigator	Yes	Supporting role
Expected to write proposals with faculty or independently as PI	As PI	Typically as co-PI, but PI status encouraged
Expected to submit manuscripts for publication, prepare presentations, etc.	Yes	Yes, but expectation assigned by PI

*Department Chair and if applicable Center or Federal Partnership Program Director must approve all appointments

**Except on matters related to TTE faculty appointments, retention, promotion and tenure

ATTACHMENT B

Research Scientist Series

Attributes	Assistant	Associate	Senior

Basic Job Elements/Expectations
Outreach involvement (profile dependent)	Minimal participation	Active participation	Independent
Program budget management	Minimal participation	Active participation	Independent
Program management	Minimal participation	Active participation	Independent
Scholarship /Publications	Support	Significant support	Independent

Competencies/ KSAs (Knowledge, Skill, Ability)
External funding process	Knowledge	Ability	Demonstrated/proven
Outreach KSA (profile dependent)	Knowledge	Ability	Demonstrated/proven
Scholarship/ Publications	Knowledge	Ability	Demonstrated/proven

Required Education	Advanced degree	Advanced degree	Advanced degree

Required Experience	0-3 years	3-5 years	More than 5 years

Preferred Qualifications	Terminal degree	Terminal degree	Terminal degree

HIRING PROCESS

Hiring of all TTE faculty, NTE faculty, Research Scientist and Postdoctoral Research Associate appointments at VIMS must conform to the currently accepted W&M hiring policy. Additional details regarding this process that are unique to VIMS are provided below.

Establishment of NTE Faculty Positions

Department Chair (in conjunction with, if applicable, center or federal partnership program director) writes a position description consistent with performance expectations (i.e., profile). The Office of the Dean and Director will serve as a resource for NTE faculty
The Office of the Dean and Director will finalize a position description for NTE faculty in consultation with the appropriate Department Chair, the Associate Dean of Research and Advisory Service and the Associate Dean of Academic Studies. In consultation with the Department Chairs, the Dean and Director will determine the departmental affiliation and whether the position will be continuing or specified term. The Office of the Dean and Director will process all NTE faculty positions through the appropriate position management and recruitment system where they will receive review/approval by the Department Chair (and if applicable, center or federal program director), Chief Financial Officer, Office of the Provost, W&M Human Resources and VIMS OSP and Office of Finance.
Requests for recruitment of NTE faculty from a Research Scientist or postdoctoral research associate position must be initiated by a Department Chair, must be used sparingly, and must rigorously follow the search waiver process noted below. The Office of the Dean and Director will serve as a resource in these

Establishment of Research Scientist or Postdoctoral Research Associate Positions

A faculty member with appropriate available funding may write a position description for a new postdoctoral or Research Scientist position. The search process will follow standard W&M procedures with assistance from the Office of the Dean and Director (postdoctoral research associate positions) and VIMS/W&M HR (Research Scientist positions.)

Search waivers

When faculty are hired, Federal regulations and W&M procedures require that a search be conducted in accordance with W&M’s search and selection procedures. W&M waives this search requirement for NTE faculty, Research Scientists and postdoctoral Research Scientists only in extraordinary circumstances.

In the rare instance when an NTE faculty search is waived, a departmental faculty vote is required and an evaluative letter of departmental support from the Department Chair must be sent to the Dean and Director, along with a CV and three letters of recommendation. The evaluative letter must outline why the candidate is uniquely qualified to serve in the desired position and should also address how this position would change/impact the diversity of the department – specifically regarding expertise as well as racial and gender composition. NTE faculty candidates must then also be reviewed for suitability by the FS&TR, who will also submit a letter to the Dean and Director reporting the results of their review. Waivers and required materials approved by the VIMS Dean and Director, the Department Chair, and the FS&TR will then be forwarded to the Office of the Provost for review, approval and appropriate processing through the official position management and recruitment system.

A search waiver request for a Postdoctoral Research Associate or Research Scientist position does not require departmental and FS&TR review. After the search waiver is approved by the Dean and Director, the required materials will be forwarded to the Vice President for Research and Graduate Professional Studies (Postdoctoral Research Associate) or central HR (Research Scientist positions) for final review and approval.

Search process for NTE faculty

The search process for NTE faculty follows the same search process as for TE faculty.
As described above, any requests for search waivers for NTE faculty appointments must be approved by the Dean and Director and the appropriate Department Chair, in consultation with the FS&TR. Any waivers approved by VIMS will then be forwarded to the Office of the Provost for review, approval and appropriate processing through the official position management and recruitment system.

Search process for Postdoctoral Research Associates and Research Scientists

For Research Scientists and Postdoctoral Research Associates, the search is conducted by the faculty member or team of Co-PIs with extramural funds in hand to fill a specific position in accordance with current W&M policy.
When a Postdoctoral Research Associate position has been accepted, a contract will be created by the Dean and Director’s Office and will be extended to the finalist by the Provost. The contract for a Research Scientist will be created by the Dean and Director’s Office and will be extended by the Department Chair or Center Director.
The department does not vote on the candidates and the FS&TR does not perform a credential review.

last page update: March 11, 2024 by LCS