What is CAPFA?

The Commission on Administrative and Professional Faculty Affairs (CAPFA) is the representative body for administrative and professional faculty, which are grouped into four areas: Academic Support, Extension, General Administration, and Student Affairs. The charge of CAPFA is to study, formulate, and recommend to University Council policies and procedures affecting the employment and working conditions of administrative and professional (A/P) faculty. Areas for consideration include: morale of administrative and professional faculty; procedures for appointing, evaluating, disciplining, recognizing, and promoting administrative and professional faculty; benefits, educational and personal leave, and extra-university professional activity; and matters of equity and diversity that affect the university's professional environment. The commission is also responsible for reviewing grievances advanced to the level of the provost or the associate vice president for human resources and to advise them prior to action.

Who serves on CAPFA?

CAPFA has 9 members who are elected to a three-year term, and represent one of four areas: Academic Support, Extension, General Administration, and Student Affairs. The commission also includes three ex officio members—the assistant provost, the associate vice president for human resources, and the associate director of extension field operations. In addition, there is one academic dean, elected by the Council of Academic Deans; one faculty senator, elected by the Faculty Senate; one staff senator, elected by the Staff Senate; one graduate student representative, elected by the Graduate Student Assembly; and one undergraduate student representative, elected by the Student Government Association.

Do A/P faculty have any other voice in the university governance system?

A/P faculty are also represented on all other university commissions, some of the standing committees, and University Council. Click here for a listing of A/P faculty committees and commissions representatives.

When does CAPFA meet?

CAPFA meets once a month during the academic year, usually in the President's Board Room, 210 Burruss Hall. Here are the meeting dates, times, locations, and minutes.

What are the results of the CAPFA survey conducted in November 2005?

CAPFA conducted a survey of all administrative and professional faculty (A/P) in Fall 2005. Of the 776 A/P faculty members employed fall semester, 357 or 46 percent completed the survey. The CAPFA survey report is a detailed analysis of the data and guides CAPFA's action plan based on areas of concern to A/P faculty. A summary of the survey responses is also available.

Who are the A/P faculty?

The categories of administrative and professional (A/P) faculty were introduced by the state in 1989. Under the higher education restructuring act, level-three institutions were given flexibility to redefine and realign university personnel in the A/P categories. In August 2008, the board of visitors adopted slightly modified titles, definitions, and qualification criteria for these positions to address changes that would better meet the university’s need to recruit and retain a highly trained workforce by converting the higher level classified positions to A/P faculty appointments. The revised titles, definitions, and criteria recognize the professional training and experience required of a wide variety of positions at the university.

Administrative faculty shall now be referred to as Senior Administrators to more accurately reflect the nature of these appointments.

Senior administrators perform work related to the management of the educational and general activities of the institution at least 50 percent or more of their contractual time. Senior administrators typically serve in executive level leadership roles such as vice president, dean, and assistant or associate vice president or dean. The organizational reporting relationship is normally not lower than three levels below the president or the next most senior position(s).

Qualifications Criteria:

• Must have an advanced degree or training and work experience at a level that equates to an advanced degree. A master’s degree would be the typical minimum entry qualification. Many of these positions, particularly academic leadership roles, may require a terminal degree.

• Must regularly exercise discretionary actions.

Professional faculty shall now be referred to as Managers and Professionals to reflect the variety of roles and appointments that are included in this category.

Managers (and directors) typically have responsibility for supervision and evaluation of a significant number of staff and/or professional faculty, and budgetary responsibility for their unit or a substantive program. Incumbents exercise discretion and independent judgment and they must perform managerial or director functions at least 50 percent of their contractual appointment. Managers and directors typically report to a senior administrator and provide leadership and oversight for their unit or a significant program.

Professionals provide direct service to students, other university constituencies, or clients external to the university as part of the university’s missions of learning, discovery, and engagement. They may direct or provide support for academic, administrative, extension, outreach, athletic, or other programs. Professional faculty may also provide vital university functions such as information technology, budget or finance, human resources, public relations, development, and architectural or engineering functions. Incumbents must regularly exercise professional discretion and judgment and are expected to take professional initiative in carrying out their primary roles and assignments. Professionals include, but are not limited to: extension agents, librarians, coaches, physicians, lawyers, engineers, architects, student or academic affairs professionals, development officers, specialists in public relations, human resources, or information technology, and financial specialists.

Qualifications Criteria:

• Must have an advanced degree or training and work experience at a level that equates to an advanced degree. Although a master’s degree would be the typical entry qualification, this category also includes individuals with a bachelor’s degree and professional training or certifications critical to their fields. In some cases, individuals with substantial professional level experience or expertise that equates to the minimum educational qualifications may be considered for appointment.

• Must regularly exercise discretionary actions.

• The work must be intellectual and varied in character, in contrast to positions that carry out more standardized or routine tasks and activities.

Policies related to the appointment, promotion, and continued appointment of non-administrative librarians and of a limited number of extension positions on the continued appointment-track (excluding extension agents) are covered in sections 2.1.2, 2.1.3, 2.9, and related sections in the Faculty Handbook. Professional faculty positions designated as continued appointment-track are not governed by policies outlined in this section.

Do A/P faculty members receive annual evaluations?

The supervisor is responsible for maintaining an up-to-date job description for each administrative and professional faculty member in the unit and for determining acceptable standards of performance. Goals and objectives shall be developed annually in consultation with the faculty member. These should relate closely to the functional title and job description of the position and should become criteria for judging professional performance in the subsequent year. All A/P faculty members should complete an annual faculty report at a time determined by the appropriate administrator, but usually near the end of the academic year, referencing their goals and objectives and citing their successes, shortfalls, and future directions. Additional items to be mentioned are service to the university, creative scholarship, and other professional activities and recognitions during the year. The performance of each administrative and professional faculty member shall be evaluated annually in a discussion with the supervisor and by written response, which may be in conjunction with the annual reappointment letter. The annual faculty report and evaluation become part of the basis for salary adjustments and other personnel matters.

What if an A/P faculty member has a grievance?

For this process, a grievance is defined as a complaint by an administrative or professional faculty member alleging a violation, misinterpretation, or incorrect application of a policy, procedure, or practice of the university directly affecting the grievant. Some examples of valid issues for filing a grievance are:

• improperly or unfairly determined personnel decisions that resulted in unsatisfactory annual performance evaluation, unreasonable merit adjustment or salary level, or excessive teaching load/work assignments;
• substantive violations of promotion and tenure procedures (see appeal process in section 2.8.5 of the Faculty Handbook) or substantive violations of promotion and continued appointment procedures (see appeal process in section 2.9.8 of the Faculty Handbook);
• reprisals;
• substantive error in the application of policy;
• matters relating to academic freedom.

Issues not open to grievance: While most faculty disputes with the university administration may be dealt with by this grievance policy, the following issues may not be made the subject of a grievance:

• determination of policy appropriately promulgated by the university administration or the university governance system;
• those items falling within the jurisdiction of other university policies and procedures (for example, complaints of unlawful discrimination or harassment, or an appeal related to the merits of a promotion and/or tenure decision);
• the contents of personnel policies, procedures, rules, regulations, ordinances, and statutes;

• the routine assignment of university resources (e.g., space, operating funds, parking, etc.);
• normal actions taken, or recommendations made, by administrators or committee members acting in an official capacity in the grievance process;

• termination of appointment by removal for just cause, non-reappointment, or abolition of position, or;

• allegations of misconduct in scholarly activities.

The subject of a grievance will normally not be considered by the grievance committee of the Commission on Administrative and Professional Faculty Affairs while it is simultaneously under review by another committee or panel of the university.

Please see section 3.12 of the Faculty Handbook for specific grievance resolution procedures. Grievance forms are available on the provost's website at www.provost.vt.edu/forms.php.

Informal Dialogue: It should be possible to resolve most faculty concerns or complaints through informal communication among colleagues working together in the academic enterprise. Accordingly, an A/P faculty member who feels he or she has a grievance is encouraged to take it to his or her immediate supervisor in the normal collegial spirit of problem solving rather than as a confrontation between adversaries.

Reconciliation: Seeking assistance from the CAPFA Committee on Reconciliation is another avenue for informal resolution of a grievance or problem. Prior to the initiation of a formal grievance, the faculty member may request the assistance of the CAPFA Committee on Reconciliation in fashioning an equitable solution. Contacting the chair of the CAPFA Committee on Reconciliation is not required in filing a grievance, but it may be useful if the individual feels the issue may be amenable to, but will require time for, negotiation, or if the individual is unsure whether his or her concern is a legitimate issue for a grievance, or if personal relations between the parties involved in the matter have become strained.

For a potential grievance issue to qualify for consideration by the CAPFA Reconciliation Committee, the faculty member must contact the committee chair within 30 calendar days of the date the grievant knew or should have known of the event of action that is the basis for the potential grievance. If the chair of the CAPFA Reconciliation Committee is unable to resolve the matter within 30 calendar days, the chair will send a letter to the faculty member stating such, providing the appropriate form for initiation of a formal grievance if the faculty member should choose to pursue the matter, and documenting that the matter had been brought forward within the prescribed 30-day period. The faculty member shall have five weekdays after receiving the letter to initiate a formal grievance by following the procedures below and providing a copy of the letter from the chair of the CAPFA Reconciliation Committee to the supervisor validating the timeliness of the grievance.

Mediation: Mediation is a voluntary, confidential process through which trained neutral third persons (mediators) assist people to express their concerns and develop solutions to the dispute in a safe and structured environment. Because mediation is voluntary, both parties must agree to participate in order for mediation to occur. Faculty members and supervisors are encouraged to consider using mediation to resolve disputes between them, or to help address a conflict between a faculty member and another member of the Virginia Tech community.

Role of Mediators: Mediators do not make judgments, determine facts, or decide the outcome; instead they facilitate discussion between the participants, who identify the solutions best suited to their situation. No agreement is made unless and until it is acceptable to the individuals.

Requesting Mediation: Mediation is available at any time, without the filing of a grievance. Additionally, mediation may be requested by any party during the grievance process prior to step four. If, after the initiation of a formal grievance, both parties agree to participate in mediation, the grievance will be placed on administrative hold until the mediation process has been completed. If the parties come to a resolution of the dispute through mediation, the parties will be responsible to each other for ensuring that the provisions of the agreement are followed. In the event that the parties are not able to reach a mutual resolution to the dispute through mediation, the grievant may request that the grievance be reactivated and the process will continue.

Mediation differs from faculty reconciliation in that mediators do not engage in fact-finding or in evaluation of decisions. Both mediation and reconciliation, however, are voluntary; no party is required to participate in either process.

To learn more about mediation and other forms of informal conflict resolution processes, contact the conflict resolution program manager in the Office for Equity and Inclusion at 540-231-7500.

 

Questions?

If you have any further questions or concerns, please feel free to contact Dr. Ellen Plummer, Assistant Provost at eplummer@vt.edu or (540) 231-7172.