Faculty Leaves of Absence for Academic and Non-Academic Leave and Absences for Research and Other Scholarly-Related Activities

PPD-1306

Introduction

Faculty may periodically have academic, non-academic, and research-related reasons for being absent from campus for extended periods. This policy and procedure document (PPD) is intended to define the process for providing notification of and requesting approval (as required) for such leave and to ensure that the needs of the Institute are met during the absence.

This PPD only covers the processes associated with notifying and requesting approval from the Dean & Director and Provost as required for each type of leave. This PPD does not describe travel approval policies or human resources policies and procedures that may apply to each type of leave. Associated travel and HR policies and procedures must be followed in addition to notifying and receiving approval from the Dean & Director and Provost as described below.

Eligibility

From the William & Mary Faculty Handbook*:

Section III.D.1.a. Only members of the faculty holding full-time continuing appointments are eligible for the academic, non-academic, and research leaves described below. Such faculty members’ eligibility is not based on the source of the funding for their position, unless the funding source or a contractual obligation of the College precludes the approval of such a leave. In the event of ambiguity, the Provost, on authority delegated by the Bylaws of the Board of Visitors, shall determine a faculty member’s eligibility for a requested benefit.

Types of leave covered in this PPD:

Academic leave: See the William & Mary Faculty Handbook* Section III.D.2 for definitions of this type of leave. Leaves of this type must be at least one semester in duration. Except for Scheduled Semester Research Leave (SSRL)/Faculty Research Assignments, these types of leave require approval by the Provost and Board of Visitors.
Non-academic leave: See the William & Mary faculty handbook* Section III.D.3 for definitions. This type of leave also includes annual leave as defined by W&M’s benefits and leave policy.
Absence for research and other scholarly-related activities: Defined for the purposes of this PPD as research and other scholarly-related activities that take place in a location other than the faculty member’s assigned work location (Gloucester Point or Eastern Shore campus) and do not meet the requirements for Academic Leave as defined in the William & Mary Faculty Handbook* Section III.D.2.
Remote Work Agreements are not covered by this PPD, as they follow a separate approval process governed by University Human Resources.

Commitment to Student Progress

Any type of faculty leave has potential implications for the research and progress of students, including those advised as a committee member. It is critical that, prior to requesting leave, faculty develop plans that will ensure continuity of advising and allow scheduled milestone attainment for their advisees and students on whose committees they serve. It is especially important that faculty leave not delay a student’s ability to defend the thesis, dissertation, or capstone and graduate as planned.

Guidelines and Processes for Approval

1. ACADEMIC LEAVES

A. Faculty Research Assignments (also known as Scheduled Semester Research Leave per the William & Mary Faculty Handbook*)

Faculty Research Assignments can be granted for up to twelve months. For Research Assignments that are six months or less in duration, the faculty member’s current fraction of generally-funded salary and fringe benefits will be provided to support the research assignment. For Research Assignments with durations between six and twelve months, the faculty member’s total general funds support over the full course of their Research Assignment will be limited to the total generally-funded salary and fringe benefits normally provided to that faculty member over six months. In some years, a small amount of general funds may be available to support non-salary costs directly related to the Research Assignment.

Eligibility

All VIMS faculty members (except emeriti) who have completed six consecutive years of full- time service are eligible to apply for Faculty Research Assignments. Faculty members are eligible for subsequent Research Assignments every sixth year from the end of the previous Research Assignment.

A faculty member hired with or without tenure will receive one year of credit for every two years of faculty service since a previous sabbatical or research leave at another institution, up to a maximum of three years of credit. Faculty service is understood to mean full-time, formal appointment at the level of Assistant Professor or above excluding teaching assistantships, postdoctoral fellowships, and similar positions at other institutions before the applicant joined the VIMS faculty.

Approval for Research Assignment Leave will not be granted if a faculty member has an advisee on probation as defined in the SMS Graduate Catalog.

Conditions of Research Assignments

Research Assignments are made on the condition that the recipient will:

Return to active service at VIMS for a minimum of one year following the period of the Research Assignment.
Activities including outside or overload employment during the period of the assignment must be consistent with the Policy on External Paid Employment.
Teaching and service activity for VIMS during the period of the Research Assignment are neither required nor expected.
Acknowledge the support of VIMS in all subsequent publications or other work arising from research conducted during the term of the assignment.
After the completion of a Faculty Research Assignment, the faculty member must submit a Leave Activity Report to their Section Chair and Center Director, if applicable, and the Dean & Director summarizing the results of the research conducted during the assignment. The report is due no later than three months after returning from leave.
Failure to meet any of the conditions listed above may render faculty ineligible for a subsequent Faculty Research Assignment. That decision will rest with the Dean & Director.

Expectations

The proposed project should hold promise of professional faculty development and/or enhancement of institutional reputation. The project must have the potential of leading to a meaningful contribution in its field. Publication should be the ultimate aim of the project. Writing books, preparing existing large data sets for publication, or learning new research methods (with a plan for utilization of the new technology) are acceptable undertakings. Curriculum development and enhancement is also an acceptable endeavor, but a definitive product is expected and prior recommendation by the Academic Council is desirable.

Application

The Office of the Dean & Director will issue a call for Research Assignments in January of each year. It is best to apply at least six months prior to the date of taking leave. A short proposal of the activity, justification, and expected products will be limited to a cover page and two additional pages of text. Supplementary material such as literature cited, invitation letters, figures, tables, etc. can be included as additional pages. The cover page should include:

Name
Title of the project
Proposed duration of assignment with start and end dates
Amount and source of other salary support if duration exceeds six months

The application should state specifically what the faculty member intends to do and be treated as if it were a proposal to a granting agency; it should be concise and include sufficient detail to withstand review; discuss the current status of the project as well as the probable state of completion this Faculty Research Assignment would make possible.

In addition, prior to application submission, it is required that the faculty member have a discussion with the Associate Dean for Academic Affairs regarding plans to cover teaching, student mentoring, and service on student advisory committees, the Associate Dean of Research and Advisory Services regarding the ability to meet advisory services obligations, and the Chief Financial Officer to outline how any expenses associated with the leave period will be handled. Submitted plans should reflect these conversations.

Submit electronic versions of the application, a current Curriculum Vitae (standard W&M format), and a statement of support from the faculty member’s Section Chair and Center Director, if applicable, to the Faculty Council Chair by the date specified in the call for applications.

Criteria and Procedures for Review

The Faculty Council will meet within a month of the closing date to evaluate the applications. Faculty Council members, except the Chair, are eligible to submit applications during the first two years of service. Faculty Council members who submit applications will not review any applications.

Applications will be evaluated on the basis of merit (including the clarity of the proposal) and the applicant’s productivity. It is the responsibility of the applicant to demonstrate that the proposed activity satisfies the following:

Regarding merit: research is considered to consist of discovery, creation, invention, or creative synthesis of new knowledge. Therefore, the proposed project should have potential of leading to a meaningful contribution in its field. Clarity is taken by the Faculty Council to be a mark of good scholarship, therefore the application should state specifically what the applicant intends to do and it should make the project comprehensible to colleagues who are not experts in the applicant’s field.
Regarding productivity: productivity is defined as the publication of the research in peer-reviewed formats (recognized journals and periodicals, monographs, etc.), or its dissemination through the applicant’s active participation in peer-reviewed conferences or other accepted forms of research communication in the applicant’s discipline. In evaluation of the productivity of the applicant, the Faculty Council will take into account: (1) potential for publication or similar types of dissemination appropriate to the discipline; (2) prior research record of the applicant, including the existence of tangible results from previous research support; and (3) grants received or applied for by the applicant in the most recent period prior to the application.

The Faculty Council reserves the option to solicit external review of proposals should it so desire. If the proposal requires approval by the Institutional Animal Care and Use Committee, it should be submitted to that committee prior to submission to the Faculty Council. A proposal to work at another institution will require approval of that institution’s animal use committee. Final approval of the Faculty Council will await approval by the appropriate committee.

The final ranking of applications will be by majority vote of the Faculty Council. Following the evaluation of applications based on these criteria, among proposals of comparable quality, special consideration will be given first to applicants who have not previously received a Faculty Research Assignment, and second to applicants who have not received a Faculty Research Assignment in more than six years. Based on the rankings, the Chair of the Faculty Council will prepare for consideration by the Dean & Director a prioritized list of faculty recommended for Research Assignments. Recommendations by the Faculty Council will be forwarded to the Dean & Director within two weeks of application review. The Dean & Director will report afinal decision to the Faculty Council, and provide rationale for decisions that diverge from recommendations of the Faculty Council. It is the responsibility of the Chair of the Faculty Council to respond to inquiries regarding the disposition of applications. If an application is declined, the Chair of the Faculty Council will provide the applicant with a brief written explanation of the decision. The applicant has the option of meeting with the Faculty Council to discuss the decision.

Late or Out of Cycle Applications

A faculty member provided with a special opportunity to conduct research that cannot wait for a normal review cycle and necessitates a quick decision may file an application for a Research Assignment after the deadline. In addition to the application in usual form, the faculty member must submit a statement (not to exceed two typed pages) that explains the special circumstances that would require granting a Faculty Research Assignment out of cycle. Under these circumstances, the Faculty Council will consider the application.

B. Educational and Other Academic Leaves:

Policies governing these types of leave are stated in the William & Mary Faculty Handbook* Section III.D.2. To request these types of leave, a faculty member must follow the process outlined below:

The faculty member should discuss the leave first with the faculty member’s Section Chair and Center Director, if applicable, then with the Associate Dean for Academic Affairs (ADAA) and the Associate Dean for Research and Advisory Services (ADRAS).
The faculty member shall draft a memo to their Section Chair and Center Director, if applicable, providing a description and justification for the leave and outlining the plan for continuity in advisory, educational, governance, and required research responsibilities, as discussed with the Section Chair and Center Director, if applicable, ADAA, and ADRAS.
The Section Chair and Center Director, if applicable, shall forward this request to the VIMS Dean & Director along with an endorsement (if applicable) of the continuity plan.

The VIMS Dean & Director will forward the request, along with a request for approval/denial, to the Provost who will forward the request, along with a request for approval/denial, to the Board of Visitors.

Note that for Faculty Research Assignments as described in Section A above, final approval of the leave rests with the Dean & Director. For Educational and Other Academic Leaves as described in Section B above, final approval of the leave rests with the Provost and Board of Visitors as outlined in the Faculty Handbook. In both cases, final approval of the continuity plan associated with the absence rests with the Dean & Director.

2. NON-ACADEMIC LEAVE

For full policy details please refer to the William & Mary Faculty Handbook* Section III.D.3. A faculty member requiring non-academic leave for 15 or more consecutive business days (3 weeks) should notify their Section Chair and Center Director, if applicable, Dean & Director, and the Provost and make appropriate arrangements for covering responsibilities during the absence as far in advance as possible, preferably at least one semester, but no less than 30 days in advance of a planned absence. These absences should also be documented in the annual planning letter to the extent possible. Although non-academic leave is honored as allowed/approved per human resources policies, arrangements should be made to cover the faculty member’s research, advisory service, educational, and/or governance responsibilities during the period of absence.

The faculty member should discuss the absence first with the faculty member’s Section Chair and Center Director, if applicable, then with the Associate Dean for Academic Affairs (ADAA) and the Associate Dean for Research and Advisory Services (ADRAS). It is not required for the faculty member to disclose the reason for the leave.
The faculty member shall draft a memo to their Section Chair and Center Director, if applicable, providing notification of the leave and outlining the plan for continuity in advisory, educational, governance, and required research responsibilities, as discussed with the Section Chair and Center Director, if applicable, ADAA, and ADRAS.
The Section Chair and Center Director, if applicable, shall forward this memo to the VIMS Dean & Director along with an endorsement (if applicable) of the continuity plan.
If the Dean & Director approves of the continuity plan, the memo will be forwarded to the Provost.
In addition to the process outlined above, all HR policies and procedures must be followed for non-academic leaves of absence

Approval for non-academic leave is governed and approved by related human resources policies and procedures and does not require Dean & Director approval. Following consultation with the faculty member and the associate deans, final approval of the continuity plan associated with the leave rests with the Dean & Director. Once approved, the continuity plan will be forwarded to the Provost as required.

3. ABSENCES FOR RESEARCH AND OTHER SCHOLARLY-RELATED ACTIVITIES NOT ASSOCIATED WITH ACADEMIC LEAVES DESCRIBED ABOVE:

A faculty member who wishes to conduct research or participate in other scholarly-related activities in a remote location (location other than their assigned work location of the Gloucester Point or Eastern Shore campus) for a period of 20 or more consecutive business days (4 weeks) and/or 40 or more business days within a 6 month period, should notify their Section Chair and Center Director, if applicable, and the Dean & Director and make arrangements for covering responsibilities during the absence as far in advance as possible, preferably at least one semester but no less than 30 days in advance of a planned absence. To the extent possible, planned absences should also be discussed with the faculty member’s Section Chair and Center Director, if applicable, during annual performance review and be documented in the annual planning letter.

This policy should be considered by faculty members when submitting one or more funding proposals that will require work away from the Gloucester Point or Eastern Shore campus for a cumulative period of 20 or more consecutive business days (4 weeks) and/or 40 or more business days within a 6 month period. If one or more proposals will require an absence from campus that meets these criteria, the process outlined below should take place before proposal submission.

The faculty member should discuss the absence first with the faculty member’s Section Chair and Center Director, if applicable, then with the Associate Dean for Academic Affairs (ADAA) and the Associate Dean for Research and Advisory Services (ADRAS). Leaves of Absence cannot delay a student’s ability to meet their degree milestones, and approval for leave may not be granted if students are not making sufficient progress. Arrangements must be made with the ADAA to ensure the faculty member’s responsibilities to their students’ progress are met while away from campus.
The faculty member shall draft a memo to their Section Chair and Center Director, if applicable, requesting approval for the absence and outlining the plan for continuity in advisory, educational, governance, and required research responsibilities, as discussed with the Section Chair and Center Director, if applicable, ADAA, and ADRAS.
The Section Chair and Center Director, if applicable, shall forward this request to the VIMS Dean & Director along with an endorsement (if applicable) of the continuity plan and a recommendation for approval/denial of the request.
Review by the Section Chair and Center Director, if applicable, and Dean & Director will focus on the faculty member’s need to be absent from their assigned work location over an extended period, the potential benefit it will bring to the faculty member and the Institute, and institutional needs in terms of research, education, advisory service, and/or governance responsibilities during the faculty member’s absence.
If approval is granted, policies associated with travel, remote work, and out of state employment must be followed, as applicable.

Note that final approval for absences for research and other scholarly-related activities as described above, and the continuity plan associated with the absences, rests with the Dean & Director. If a faculty member fails to follow the procedure outlined above, and is delinquent on their job responsibilities as documented by their Section Chair and Center Director, future requests for leave associated with research and other scholarly related activities may be denied.

The Role of the Dean & Director

Final decision on Faculty Research Assignments and absences for research and other scholarly-related activities will rest with the Dean & Director. Institutional and programmatic considerations may affect the timing of absences, and the Dean & Director will work with the faculty member to ensure that the timing is mutually acceptable. Non-academic leaves of absence do not require “approval” by the Dean & Director, but the Dean & Director will review and approve the continuity plan made by the faculty, Section Chair and Center Director, if applicable, ADAA, and ADRAS to cover research, educational, advisory, and governance responsibilities during the faculty member’s absence, and the final document will be forwarded to the Provost as required.

Teaching/Research/Advisory/Governance Responsibilities

In the case of contingency plans for Faculty Research Assignments and non-academic family and medical leave, replacements for educational, governance, mandated research, and/or necessary advisory activities will be the responsibility of the Administration and the affected section, not of the faculty member on leave. In some cases aResearch Assignment could be deferred or interrupted because of teaching, research, or advisory duties, but every attempt will be made to provide the necessary support in order to avoid delays or interruption of research leave. Nonetheless, commitments by faculty to advising of graduate students, including commitments associated withmembership on graduate committees, shall be honored by faculty while on research leave.

In the case of contingency plans for absences for research and other scholarly-related activities not associated with a SSRL/Faculty Research Assignment or other academic leave, responsibility for these replacements will be on the faculty member with support and guidance from Administration.

*All references to the W&M Faculty Handbook in this document are based on the version of the handbook dated February 2023.

Date: November 13, 2023 original

last page update: March 11, 2024 by LCS