policy faculty tenure - university of minnesota · 2020. 7. 30. · board of regents policy:...

BoardofRegentsPolicy:FacultyTenurecontainsbothfootnotesandinterpretations.Footnotesarenumberedandareindicatedinthetextwiththeabbreviation[FN#].Footnotesareshownatthebottomofeachpageonwhichfootnotemarkersappearinthetext;theseaddinformationaboutspecifictermsorphrasesintheregulations.Interpretationsarenumberedandareindicatedinthetextwiththeabbreviation[INTERP#].Interpretationsappearattheendoftheregulations;theseareaddedtoclarifyormodifythemeaningofasectionorsubsection.BoardofRegentsPolicy:FacultyTenureCategory:HumanResources

LastAmended:July30,2020Page1of26

BOARDOFREGENTSPOLICY:FacultyTenure

PREAMBLETheBoardofRegentsadoptstheseregulationswiththeconvictionthatawell-definedstatementofrulesisessentialtotheprotectionofacademicfreedomandtothepromotionofexcellenceattheUniversityofMinnesota.Awell-designedpromotionandtenuresystemensuresthatconsiderationsofacademicqualitywillbethebasisforacademicpersonneldecisions,andthusprovidesthefoundationforacademicexcellence.Tenureisthekeystoneforacademicfreedom;itisessentialforsafeguardingtherightoffreeexpressionandforencouragingrisk-takinginquiryatthefrontiersofknowledge.Bothtenureandacademicfreedomarepartofanimplicitsocialcompactwhichrecognizesthattenureservesimportantpublicpurposesandbenefitssociety.ThepeopleofMinnesotaarebestservedwhenfacultyarefreetoteach,conductresearch,andprovideservicewithoutfearofreprisalandtopursuethoseactivitieswithregardforlongtermbenefitstosocietyratherthanshorttermrewards.Inreturn,facultyhavetheresponsibilityoffurtheringtheinstitution'sprogramsofresearch,teaching,andservice,andareaccountablefortheirperformanceoftheseresponsibilities.Additionally,awell-designedtenuresystemattractscapableandhighlyqualifiedindividualsasfacultymembers,strengthensinstitutionalstabilitybyenhancingfacultymembers'institutionalloyalty,andencouragesacademicexcellencebyretainingandrewardingthemostablepeople.Tenureandpromotionimplyselectivityandchoice;theyareawardedforacademicandprofessionalmerit,notforseniority.Thelengthandintensityofthereviewleadingtothegrantoftenureensurestheretentiononlyofwell-qualifiedfacultycommittedtotheUniversity'smission.Theidealattributesofthecollectivefacultyofanyunitarescholarlycreativity,professionalcompetenceandleadership,intellectualdiversity,theabilityanddesiretoteacheffectivelyandthewillingnesstocooperatewithotherunitsinpromotingtheworkandwelfareoftheUniversityasawhole.Theadministrationandfacultyshouldensure,withineachunit,notonlyaproperbalanceamongthese

BoardofRegentsPolicy:FacultyTenureCategory:HumanResources


activitiesbutalsothemaintenanceofeachatthehighestlevel,togetherwithaccountabilityandsuitablerecognitionofindividualachievementandservice.ThetenureregulationsprovideacomprehensivesetofpoliciesdealingwiththerelationshipbetweentheUniversityanditsfaculty.Theregulationsclassifythefacultyastenured,probationaryandterm.Theyprovideforannualperformancereviewsofallfaculty,aswellasespeciallythoroughreviewsbeforethegrantingoftenure,onpromotioninrank,andwhentheperformanceofatenuredfacultymemberisallegedtobesubstandard.TheyprovideforthereassignmentoffacultyincaseofthereorganizationoftheUniversityorchangesinitsscholarlydirection,andfordisciplinewhenafacultymemberfailstomeetprescribedstandardsofconduct.

DEFINITIONSForthepurposesofthispolicy,thetermsdefinedinthissectionhavethemeaningsgiventhem.(a)AcademicUnit.Anacademicunitisadepartmentorsimilarunit.Aschool,collegeordivisionthatisnotfurthersubdividedisalsoanacademicunit.(b)FacultyMember.FacultymembermeanseveryfacultymemberemployedbytheUniversityofMinnesotaSystem.(c)Head.Theheadofanacademicunitistheacademicadministratorimmediatelyresponsibleforit,suchasachair,headordirector.(d)CollegiateUnitorCollege.acollegiateunitorcollegeisamajoracademicentityoftheUniversity.Itmaybeacollege,school,orcampus.(e)Dean.Thedeanofacollegiateunitistheacademicadministratorimmediatelyresponsibleforit,suchasadeanordirectoror(onacampusthatisnotsubdividedintocolleges)avice-chancellor.(f)SeniorAcademicAdministrator.Asenioracademicadministratorisanofficerwhohasfinaladministrativereviewauthorityonacademicpersonneldecisions,andwhoreportsdirectlytothepresidentandregents,suchasavicepresident,chancellor,orprovost.Thepresidentwilldesignateoneormoresenioracademicadministratorsanddefinetheirrespectivejurisdictions.(g)ExecutiveVicePresidentandProvost.Theexecutivevicepresidentandprovostistheofficer(ofwhatevertitle)holdingprimaryresponsibilityforthedevelopmentofUniversity-wideacademicpolicy.ThisofficermayalsoserveassenioracademicadministratorforsomeoralloftheUniversity,ifsodesignatedbythepresident.(h)TenuredFaculty.Tenuredfacultyarethosefacultywhoholdindefinitetenure.

SECTION1.ACADEMICFREEDOM1.1.Principles.EverymemberofthefacultyisentitledtodueprocessandacademicfreedomasestablishedbyacademictraditionandtheconstitutionsandlawsoftheUnitedStatesandthestateofMinnesotaandasamplifiedbyresolutionsoftheBoardofRegents.TheBoardofRegentsherebyreaffirmsitscommitmenttoacademicfreedomandtenureasreflectedinitsresolutionofJanuary28,1938,intheseFacultyTenureregulations,andinitspolicyonAcademicFreedomandResponsibility:

TheRegentsoftheUniversityofMinnesotareaffirmtheprinciplesofacademicfreedomandresponsibility.Thesearerootedinthebeliefthatthemindisennobledbythepursuitof



understandingandthesearchfortruthandthestatewellservedwheninstructionisavailabletoallataninstitutiondedicatedtotheadvancementoflearning.Theseprinciplesarealsorefreshedbytherecollectionthatthereiscommunevinculumomnibusartibus-acommonbondthroughallthearts.Academicfreedomisthefreedom,withoutinstitutionaldisciplineorrestraint,todiscussallrelevantmattersintheclassroom,toexploreallavenuesofscholarship,researchandcreativeexpressionandtospeakorwriteonmattersofpublicconcernaswellasonmattersrelatedtoprofessionaldutiesandthefunctioningoftheUniversity.Academicresponsibilityimpliesthefaithfulperformanceofprofessionaldutiesandobligations,therecognitionofthedemandsofthescholarlyenterprise,andthecandortomakeitclearthat,whenoneisspeakingonmattersofpublicinterest,oneisnotspeakingfortheinstitution.

1.2.ProtectionofFaculty.Denialoffacultyappointmentorreappointmentorremovalorsuspensionfromofficeorcensureorotherpenaltymustnotbebaseduponanybelief,expressionorconductprotectedbylaworbytheprinciplesofacademicfreedom.CasesofallegedviolationofacademicfreedommaybebroughtdirectlytotheJudicialCommitteeinaccordancewithsection15.

SECTION2.APPLICABILITYOFREGULATIONSTOEMPLOYMENTCONTRACTSTheseregulationsgoverntherelationshipbetweentheBoardofRegentsandfacultymembers,exceptasinconsistentwiththeprovisionsofcollectivebargainingagreements.TheseregulationsarepartofthecontractbetweentheBoardofRegentsandfacultymembers.

SECTION3.FACULTYRANKSANDTYPESOFAPPOINTMENTS3.1.InGeneral.Thefacultyranksareprofessor,associateprofessor,assistantprofessor,andinstructor.Facultyappointmentisappropriateonlyifthepersonisengagedinteachingorresearchasdefinedinsubsection7.11.Appointmentsattheseranksareeitherregulartenuredortenure-trackappointmentsortermappointments.Anappointmentmustbedesignatedasaregularoratermappointmentwhenitismade.3.2.RegularAppointments.Aregularappointmenteitheriswithindefinitetenureorisprobationary,leadingtoadecisionconcerningindefinitetenurewithinaspecifiedperiodoftime.Aregularappointmentmaybeheldonlyinanacademicunitofadegree-grantingcollegeorsimilarunit.Aregularappointmentmustbeforatleasttwo-thirdstimeofthefacultymember’scontractyear[i.e.eitheranacademicyearortwelvemonths].Afacultymemberonprobationaryappointmentisentitledtoconsiderationforindefinitetenureinaccordancewithsection7andtotimelynoticeofterminationinaccordancewithsection6.AfacultymemberwithindefinitetenureisentitledtoretainthatpositionuntilretirementinaccordancewithUniversityregulationsoruntiltheappointmentisterminatedpursuanttotheprovisionsofsections10or11.3.3.TermAppointments.Atermappointmentisdate-specific;thatis,theappointmentterminatesattheendofaperiodspecifiedintheappointmentwithoutfurthernoticetotheappointee.Thesenioracademicadministratorforthecampusorareamustgiveeverypersonappointedtoatermfacultypositionastatementinwritingsettingforththeconditionsoftheappointment,includingthefactthatitterminateswithoutfurthernotice.



Nonumberofrenewalsofatermappointmentcreatesarighttofurtherrenewalsortoadecisionconcerningtenure.EveryrenewalofatermappointmentfortheseventhorsucceedingyearmustbereportedtotheTenureCommitteewithajustificationofthereasonsforthecontinuationoftermstatus.3.4.Appropriateusesoftermappointments.Termappointmentsareappropriateandmaybeusedprovidedoneormoreofthefollowingconditionsismet:

(a) theduration,thepercentageoftime,orbothrequirelessthanservicefortwo-thirdstimefortheacademicyear;

(b) theappointmentisdesignatedavisitingappointmentbecausethefacultymemberisfromanothereducationalinstitutionorisaqualifiedprofessionalfromagovernmentorprivateagencyonaleaveofabsencetoacceptatemporaryappointmentatthisUniversity;

(c) theappointmentisdesignatedaclinicalappointmentbecausethefacultymemberisaclinicianinthecommunitywhogivesservicetotheUniversitypart-time;

(d) theappointmentconcernsafacultymemberwhoprincipallyisengagedinandprimarilyissupportedbyclinicalactivitiesorbydiscipline-relatedservice.[FN1]

(e) theappointmentisdesignatedanadjunctappointmentbecausethefacultymember'sprimaryemploymentisoutsidetheUniversityorisinanotherunitoftheUniversity;

(f) theappointmentextendscourtesyfacultyrankwithoutsalary;(g) thepositionissubjecttothejointcontroloftheUniversityandanotherinstitution;(h) thespecificfundingforthepositionissubjecttothediscretionofanotheragency;(i) thefundingforthepositionisforalimitedtime;(j) theappointmentisinaunitorprogramthatisexperimentalorotherwiserestrictedinduration;

and(k) thepersonisenrolledinaUniversityofMinnesotadegreeprogram.Aregularfacultymemberona

probationaryappointmentmaytransfertotermstatusduringenrollmentinsuchaprogramifthefacultymemberandthesenioracademicadministratoragree.Thistransfersuspendstherunningofthemaximumperiodofprobationaryservice,butthefacultymemberretainsotherrightsofregularappointment,includingannualreview,therighttotimelynoticeandaterminalappointmentperiodasprovidedinsection6.

3.5.Administrators'Appointments.Academicadministratorsmayholdregularortermfacultyappointments.Administrativetitlesanddutiesaredistinctandseverablefromsuchindividuals'facultyappointments.Removalfromanadministrativepositiondoesnotimpairanyrightstheindividualholdsasafacultymember.Uponleavinganadministrativeposition,theindividualreturnstofacultystatus,withsalaryandtermofappointmentreducedbytheamountoftheadministrativeaugmentation,ifany.3.6.SpecialContracts.Theseregulationsdonotbarafacultyappointmentpursuanttoaspecialcontractspecifyingtermsorconditionsofemploymentwhicharedifferentfromthoseprescribedintheseregulations.Allotherprovisionsoftheseregulationsapplytosuchappointments.Everyspecialcontractmustbeinwritingandmuststatethatitisaspecialcontractenteredintopursuanttothissubsection.Itmustbesignedbythefacultymemberconcerned,bythedeanofthecollegiateunitinwhichthefacultymemberwillbeemployedandbythesenioracademicadministratorandmustbeauthorizedbytheBoardofRegentsoritsexpresslyauthorizeddelegate.Inaddition,thesenioracademicadministratorwillannuallyreporttotheTenureCommitteethetermsofallspecialcontractsandthereasonsfortheiruse.Aspecialcontractmaybeusedtoreducetheminimumtimeofaregularappointmenttoone-halftimeinordertopermitafacultymembertodevotemoretimetofamilyresponsibilities.Suchacontractmustprovideforthemutualresponsibilitiesofthefacultymemberandtheacademicunit,includingthetypeandpercenttimeoftheappointment,ifany,towhichthefacultymemberisentitledattheexpirationofthe

FN1"Service"meansperformancewithinthefacultymember'sexpertise,otherthanteachingandresearchasdefinedinsubsection7.11.



specialcontract.Inthecaseofaprobationaryfacultymember,thecontractwillregulatethelengthoftheprobationaryperiod,butthetotalprobationaryperiodmaybeextendedbynomorethanatotalofthreeyearspursuanttothissubsectionandsubsection5.5.

SECTION4.TERMSOFFACULTYEMPLOYMENT4.1.WrittenNoticeofAppointment.EachfacultyappointmentorchangeofstatusisspecifiedinawrittennoticeofappointmentissuedbyoronbehalfoftheBoardofRegents.Thenoticemustincludethefollowing:

(a) Whethertheappointmentisregularorterm;(b) Whetheritisfullorpart-timeandthepercentageoftimeinvolved;(c) Ifforafixedterm,itsexpirationdate;(d) Ifregular,whetheritisprobationaryorwithindefinitetenure;(e) Whetheritisonatwelve-month,academicyearorotherspecifiedannualbasis;(f) Therankofappointment;(g) Theacademicunitorunitstowhichtheindividualisbeingappointed;(h) Therecurringsalary;and(i) Additionalsalaryasdescribedinsubsection4.4.

Thenoticeisonlyevidenceoftheappointment;clericalorcomputererrorsinanoticeofappointmentdonotaffectthetermsoftheappointmentunlessthefacultymemberreasonablyrelieduponthemistakeandsufferedaninjusticebecauseofthatreliance.Noticesrequiredbythissectionshouldbedeliveredbeforetheeffectivedateoftheappointmentorchangeofstatus,orassoonthereafterasisadministrativelyfeasible.Aprobationaryappointeemustalsobegivennoticeoftheapplicablemaximumprobationaryperiod.4.2.ActionbytheBoardofRegents.FacultyappointmentsandrenewalsorchangesofstatusbecomeeffectivewhenapprovedbytheBoardofRegentsoritsauthorizeddelegate.4.3.ChangesinTermsofAppointmentOtherthanFacultyCompensation.Exceptforraisesinrankandexceptforactionexpresslyauthorizedbytheseregulations,nochangesof(a)through(g)itemslistedinsubsection4.1maybemadeduringthetermofanappointmentexceptwiththeagreementofthefacultymemberandtheBoardofRegentsoritsauthorizeddelegate.4.4.FacultySalaries.[INTERP1]Eachfacultymembershallreceivearecurringsalary,andmayalsoreceiveanadditionalsalarywhichmaybeforspecialawardsorforactivitiesinadditiontoregularfacultyresponsibilitiessuchasclinicalpractice,administrativeservice,overloadduties,summerschoolteachingandsummerresearchsupportandsimilaractivities.Recurringsalarywillnotbedecreasedexceptbyactionexpresslyauthorizedinthissectionorinsections7a,10,11,or14oftheseregulationsorwiththeagreementofthefacultymember.Ifafacultymember'srecurringsalaryisdecreased,theamountofthedecreaseandthereasonthereforeshallbesetforthinawrittennoticeandprovidedtothefacultymember.Nodecreaseinrecurringsalaryshalloccurinviolationoftheacademicfreedomofthefacultymember.Atthetimeanappointmentismade,theofferandwrittennoticeofappointmentshallseparatelystatetherecurringsalaryandanyadditionalsalary,asdescribedabove,thatthefacultymemberwillreceive.Ineachsubsequentyear,thefacultymembershallbeprovidedwithawrittennoticeseparatelystatinganychangesinrecurringsalaryandanychangesinadditionalsalaryforthefollowingacademicyear.Afacultymember'srecurringsalaryshallconsistoftheinitialrecurringsalaryadjustedbyanysubsequentincreaseordecreaseinrecurringsalaryprovidedforinasubsequentwrittennotice.Increaseswillbepresumedto



beinrecurringsalaryunlessotherwiseidentified.Forafacultymemberemployedwhenthissectiontakeseffect,theinitialrecurringsalarywillbethefacultymember'srecurringsalaryatthetimethissectiontakeseffect,exclusiveofanyadditionalsalarydesignatedasspecialawardsordesignatedasbeingforactivitiesinadditiontoregularfacultyresponsibilitiessuchasclinicalpractice,administrativeservice,overloadduties,summerschoolteaching,summerresearchsupportandsimilaractivities.Afacultymemberwhoserecurringsalaryhasbeendecreasedmaypetitionforreviewofthatactionundersection15oftheseregulations.4.5.ReductionorPostponementofCompensation.IftheUniversityoracollegiateunitisfacedwithfinancialstringencythatdoesnotamounttoafiscalemergency,thepresidentmayproposeatemporaryreductionorpostponementincompensationtobeallocatedtofacultyinaccordancewithamathematicalformulaorsimilardevice.IfapprovedbytheFacultySenateortheappropriatecollegiateassembly,respectively,andtheBoardofRegents,therecurringsalaryofallfacultymembersintheUniversityorinthedesignatedcollegiateunitsshallbereducedtemporarilyinaccordancewiththeformulaordevice.Thereductionmaynotcontinueforlongerthantwoyears,unlessrenewedbythesameprocedure.[INTERP2]

SECTION5.MAXIMUMPERIODOFPROBATIONARYSERVICE5.1.GeneralRule.TogivetheUniversityampleopportunitytodeterminethequalificationsofthosefacultymemberswhomitisconsideringforregularappointmentswithindefinitetenure,themaximumperiodofprobationaryserviceofafacultymemberisnormallysixacademicyears,whetherconsecutiveornot.Thefacultyassemblyofacollegiateunitmayproposetoalterthemaximumprobationaryperiodforallofthatcollege,orforcertainunitswithinit,tonomorethannineyears.Thetenuredfacultyofacollege,bysimplemajorityvotetakenbysecretballot,mayadoptsuchachange,withtheapprovalofthedeanandofthesenioracademicadministrator.Anysuchchangeinthemaximumprobationaryperiodappliestoallprobationaryfacultyhiredinthatcollege(orthoseunits)afterthedecision,butanyincumbentprobationaryfacultymembermaychoosetobeconsideredunderthenewrule.Attheendofthisprobationaryperiod,thefacultymembermusteitherbegivenaregularappointmentwithindefinitetenureoraone-yearterminalappointment.5.2.EarlyDecisionsPermitted.Theseregulationsdonotpreventthegrantingofindefinitetenurepriortotheexpirationofthemaximumperiodofprobationaryserviceanddonotpreventadecisiontoterminateanappointee'sprobationpriortotheendoftheappointee'smaximumprobationaryservice,iftimelynoticeisgiven.5.3.CreditingofAcademicYear.Afacultymemberisconsideredtohaveservedanacademicyearifthefacultymemberservesatleasttwo-thirdstimeduringthefacultymember'scontractyear[i.e.eitheranacademicyearortwelvemonths].Unlessotherwiseagreedinwriting,periodsduringwhichafacultymemberisonasingle-semesterorotherpaidprofessional-developmentleaveorisonleavetoteachorconductresearchatanotheracademicinstitution,countasprobationaryservice.Periodsinwhichthefacultymemberisonsickordisabilityleave,orisonleaveinsomenon-facultycapacity,donotcountasprobationaryservice.Ifafacultymembertransferstoapositionoutsideoftheregularfaculty,thetimespentintheotherpositiondoesnotcountasprobationaryserviceforthepurposeofsection5.



5.4.PriorService.5.41.InThisUniversity.Everyacademicyearduringwhichafacultymemberhaspreviouslyservedatleasttwo-thirdstimeunderaregularappointmentatthisUniversityreducesthemaximumperiodofprobationaryservicebyoneyear.5.42.Elsewhere.Ifafacultymemberhaspreviouslyservedinregularfacultypositions,asdefinedintheseregulations,inoneormoreaccrediteduniversitiesorcolleges,everyacademicyearofsuchservice(notexceedingthree)reducesthemaximumperiodofprobationaryservicebyoneyear.5.43.ExceptionsPermitted.Ifthepriorservicewasinadifferentdiscipline,wasinanacademicunitorinstitutionwithteachingorresearchgoalsnotcomparabletothoseofthepresentappointment,orwastoolongagotoprovidegoodevidenceoftheappointee'scurrentprofessionaldevelopment,theBoardofRegentsoritsexpresslyauthorizeddelegatemaymakeanexceptioninwritingatornearthebeginningoftheprobationaryperiod.5.5.ExtensionofMaximumProbationaryPeriodforNewParentorCaregiver,orforPersonalMedicalReasons.Uponthewrittenrequestofaprobationaryfacultymember,themaximumperiodofthatfacultymember’sprobationaryservicewillbeextendedbyoneyearatatimeforeachrequest:

(a) Ontheoccasionofthebirthofthefacultymember'schildorplacementofanadoptive/fosterchildwiththefacultymember.Sucharequestforextensionwillbegrantedautomaticallyifthefacultymembernotifiestheunithead,dean,andexecutivevicepresidentandprovostinwritingthatthefacultymemberiseligibleforanextensionundersubsection5.5becauseofthebirthoradoption/fosterplacement;or

(b) Ifthefacultymemberisamajorcaregiverforafamilymemberwithanextendedseriousillness,injury,ordebilitatingconditionandtheexecutivevicepresidentandprovostdeterminesthatthecircumstanceshavehadorarelikelytohaveasubstantialnegativeimpactonthefacultymember’sabilitytoworkoveranextendedperiodoftime;

(c) Ifthefacultymemberhasanextendedseriousillness,injury,ordebilitatingcondition,andtheexecutivevicepresidentandprovostdeterminesthatthecircumstanceshavehadorarelikelytohaveasubstantialnegativeimpactonthefacultymember’sabilitytoworkoveranextendedperiodoftime.Ifthefacultymember’sillness,injury,ordebilitatingconditionreducesthefacultymember’sabilitytoworktolessthantwo-thirdstimeduringthefacultymember’scontractyear[i.e.,theacademicyearortwelvemonths],theprobationaryperiodisautomaticallyextendedbyoneyearinaccordancewithsubsection5.3.

“Familymember”meansafacultymember’sspouseordomesticpartner,child,orotherrelative.“Child”includesabiologicalchild,anadoptedorfosterchild,andthechildofaspouseordomesticpartner.Theprobationaryperiodmaybeextendedfornomorethanthreeyearstotal,exceptthattheextensionmaybefornomorethanoneyeartotalfor(1)aninstructorwithaprobationaryappointmentundersubsection6.22or(2)anassociateprofessororprofessorwithathree-yearprobationaryappointmentundersubsection6.21.Thenotificationofbirthoradoption/fosterplacementforprovision(a)andtherequestforextensionforprovisions(b)and(c)inthissubsectionmustbemadeinwritingwithinoneyearoftheeventsgivingrisetotheclaimandnolaterthanJune30precedingtheyearafinaldecisionwouldotherwisebemadeonanappointmentwithindefinitetenureforthatfacultymember.Arequestforanextensionunderprovision(b)or(c)willnotbedeniedwithoutfirstprovidingthefacultymembermakingtherequestwithanopportunitytodiscusstherequestinameetingwithanadministrator



designatedbytheexecutivevicepresidentandprovost.Aclaimthatarequestforanextensionunderprovision(b)or(c)wasimproperlydeniedmaybeconsideredinanysubsequentreviewbytheSenateJudicialCommitteeofaterminationundersubsection7.7.

SECTION6.TENUREANDPROMOTIONFORPROBATIONARYFACULTYMEMBERS6.1.InGeneral.Aregularprobationaryappointeeisacandidateforindefinitetenure.Aprobationaryappointmentcontinuesuntilitissupersededbyanappointmentwithindefinitetenureoruntilterminatedbytimelynoticeorbyresignation.Regularprobationaryappointmentsarenormallymadeattherankofassistantprofessor,butmaybemadeattherankofinstructor,associateprofessor,orprofessor.6.2.RequirementsforNoticeRequirementsofTermination.Exceptasprovidedbelow,aprobationaryappointmentmaybeterminatedattheendofanyacademicyearbygivingthefacultymembernoticeoftermination(intheformprovidedinsection17)notlaterthanMay15oftheprecedingacademicyear.ThenoticemustinformthefacultymemberoftherighttorequestahearingbeforetheJudicialCommitteeandmustadvisethefacultymemberoftheapplicabletimelimitformakingsucharequest.6.21.AssociateProfessorsandProfessorsonProbationaryAppointments.Aninitialprobationaryappointmentattherankofassociateprofessororprofessormayspecifyinwritingthatitisforaminimumperiodofthreeyears.Insuchacase,theprobationaryperiodisthreeyearsandtheappointmentmaynotbeterminatedbeforetheendofthethirdyearexceptasotherwiseprovidedintheseregulations;noticeforsuchaterminationmustbegiventothefacultymembernotlaterthanMay15ofthesecondyearofservice,totakeeffectattheendofthethirdyearofservice.

6.22.InstructorsonProbationaryAppointments.Aninitialprobationaryappointmentattherankofinstructormaybemadeonlyifthecandidatehasnotyetreceivedtheterminaldegreenecessaryforappointmentasanassistantprofessorintheunit.Aprobationaryappointmentattherankofinstructormaybefornomorethantwoyears.Aone-yearappointmentmaybeterminatedattheendofthefirstyearbynoticegivennotlaterthanMarch1ofthatyear.Atwo-yearappointmentmaybeterminatedattheendofthesecondyearbynoticegivennotlaterthanDecember15ofthatyear.Inallotherrespectssuchappointmentsaregovernedbythenoticeprovisionsspecifiedinsubsection6.2.Thedurationoftheappointmentasaninstructorwithprobationarystatuscountstowardtheappointee’smaximumperiodofprobationaryserviceundersubsection5.1.Attheendoftheprobationaryperiodasaninstructor,thefacultymembermustbepromotedtotherankofassistantprofessororreceivenoticeoftermination.6.3.RelationBetweenTenureandPromotions.Onlyregularfacultymembersattheranksofassociateprofessorandprofessormayholdindefinitetenure.[INTERP7]Thegrantingofindefinitetenuretoanassistantprofessoronaprobationaryappointmentmustbeaccompaniedbypromotiontoassociateprofessor.Thepromotionofanassistantprofessoronaprobationaryappointmenttotherankofassociateprofessormustbeaccompaniedbyanappointmentwithindefinitetenure.Thechoicewhethertoawardtenureandtopromoteispresentedasasinglequestionforfacultyvote.Anassociateprofessorwithaprobationaryappointmentmaybegrantedindefinitetenurewithoutapromotioninrank.



Thepromotionofanassociateprofessoronaprobationaryappointmenttotherankofprofessormustbeaccompaniedbyanappointmentwithindefinitetenure.Promotionofaninstructortotherankofassistantprofessorisnotaccompaniedbyanappointmentwithindefinitetenure.6.4.EffectofProceduralErrors.AprobationaryfacultymemberisnotentitledtoanappointmentwithindefinitetenuremerelybecausetheUniversityfailedtogivetimelywrittennoticeofterminationofanappointmentorbecausetheappointmentwasextendedforanyreasonbeyondthemaximumprobationaryperiod.Insuchacase,theUniversitymayinitssolediscretion:

(a) Grantanappointmentwithindefinitetenure;(b) Grantafurtherprobationaryappointment,ifthiswouldnotexceedthemaximumprobationary

period;or(c) Grantaterminalappointmentendingattheendofthefirstfullacademicyearwhichfollowsthe

May15thafterpropernoticeisgiven.

SECTION7.PERSONNELDECISIONSCONCERNINGPROBATIONARYFACULTY7.1.CriteriaforDecisions.7.11.GeneralCriteria.WhattheUniversityofMinnesotaseeksaboveallinitsfacultymembersisintellectualdistinctionandacademicintegrity.Thebasisforawardingindefinitetenuretothecandidatespossessingthesequalitiesisthedeterminationthateachhasestablishedandislikelytocontinuetodevelopadistinguishedrecordofacademicachievementthatisthefoundationforanationalorinternationalreputationorboth[FN2].Thisdeterminationisreachedthroughaqualitativeevaluationofthecandidate'srecordofscholarlyresearchorothercreativework,teaching,andservice[FN3].Therelativeimportanceofthesecriteriamayvaryindifferentacademicunits,buteachofthecriteriamustbeconsideredineverydecision[FN4].Demonstratedscholarlyorothercreativeachievementandteachingeffectivenessmustbegivenprimaryemphasis;servicealonecannotqualifythecandidatefortenure.

FN2"Academicachievement"includesteachingaswellasscholarlyresearchandothercreativework.Thedefinitionandrelativeweightofthefactorsmayvarywiththemissionoftheindividualcampus.FN3Thepersonsresponsibleandtheprocessformakingthisdeterminationaredescribedinsubsections7.3through7.6."Scholarlyresearch"mustincludesignificantpublicationsand,asappropriate,thedevelopmentanddisseminationbyothermeansofnewknowledge,technology,orscientificproceduresresultingininnovativeproducts,practices,andideasofsignificanceandvaluetosociety."Othercreativework"referstoallformsofcreativeproductionacrossawiderangeofdisciplines,including,butnotlimitedto,visualandperformingarts,design,architectureofstructuresandenvironments,writing,media,andothermodesofexpression."Teachingisnotlimitedtoclassroominstruction.Itincludesextensionandoutreacheducation,andotherformsofcommunicatingknowledgetobothregisteredUniversitystudentsandpersonsintheextendedcommunity,aswellassupervising,mentoring,andadvisingstudents."Service"maybeprofessionalorinstitutional.Professionalservice,basedonone'sacademicexpertise,isthatprovidedtotheprofession,totheUniversity,ortothelocal,state,national,orinternationalcommunity.Institutionalservicemaybeadministrative,committee,andrelatedcontributionstoone'sdepartmentorcollege,ortheUniversity.Allfacultymembersareexpectedtoengageinserviceactivities,butonlymodestinstitutionalserviceshouldbeexpectedofprobationaryfaculty.FN4Indefinitetenuremaybegrantedatanytimethecandidatehassatisfiedtherequirements.Aprobationaryappointmentmustbeterminatedwhentheappointeefailstosatisfythecriteriainthelastyearofprobationaryserviceandmaybeterminatedearlieriftheappointeeisnotmakingsatisfactoryprogresswithinthatperiodtowardmeetingthecriteria.



Interdisciplinarywork,publicengagement,internationalactivitiesandinitiatives,attentiontoquestionsofdiversity,technologytransfer,andotherspecialkindsofprofessionalactivitybythecandidateshouldbeconsideredwhenapplicable.Theawardingofindefinitetenurepresupposesthatthecandidate'srecordshowsstrongpromiseofhisorherachievingpromotiontoprofessor.7.12.DepartmentalStatement.[FN5]Eachdepartmentorequivalentacademicunitmusthaveadocumentthatspecifies(1)theindicesandstandardsthatwillbeusedtodeterminewhethercandidatesmeetthethresholdcriteriaofsubsection7.11("GeneralCriteria"fortheawardingofindefinitetenure);(2)theindicesandstandardsthatwillbeusedtodeterminewhethercandidatesmeetthethresholdcriteriaofsubsection9.2("CriteriaforPromotiontoProfessor");and(3)thegoalsandexpectationstobeusedinevaluatingfacultymembers’performanceundersubsection7a(“ReviewofthePerformanceofFacultyMembers”).Thedocumentmustcontainthetextandfootnotesofsubsections7.11and9.2,andmustbeconsistentwiththecriteriagiventherebutmayexceedthem.Eachdepartmentalstatementmustbeapprovedbyafacultyvote(includingbothtenuredandprobationarymembers),thedean,andotherappropriateacademicadministrators,includingtheexecutivevicepresidentandprovost.ThechairorheadofeachacademicunitmustprovideeachprobationaryfacultymemberwithacopyoftheDepartmentalStatementatthebeginningoftheprobationaryservice.[INTERP3]7.2.AnnualReview.Thetenuredfaculty[FN6]ofeachacademicunitannuallyreviewstheprogressofeachprobationaryfacultymembertowardsatisfactionofthecriteriaforreceivingtenure.Theheadoftheunitpreparesawrittensummaryofthatreviewanddiscussesthecandidate'sprogresswiththecandidate,givingacopyofthereporttothecandidate.7.3.FormalActionbytheFaculty.Thetenuredfacultyoftheacademicunitmayrecommendthataprobationaryfacultymemberbegrantedindefinitetenureorthattheappointmentbeterminated.Ifitdoesneither,itispresumedtorecommendarenewaloftheappointment.Inthefinalprobationaryyear,ifthetenuredfacultydoesnotrecommendanappointmentwithindefinitetenure,itmustrecommendterminationoftheappointment.Therecommendationismadebyavoteoftheregularfacultywithindefinitetenureintheunit.Thepresidingofficerisnotdisqualifiedfromvotingmerelybecauseofoffice.7.4.ProceduresforTakingFormalAction.TheacademicunitmustobserveUniversityproceduresestablishedasprovidedinsubsection16.3.Theseprocedureswillprovidethefollowing:

(a) Agoodfaitheffortismadetogatherallrelevantinformationnecessarytothedecision.Theacademicunitshavetheprimaryobligationtoassemblethefile,butthefacultymemberalsohastherighttoaddanymaterialthefacultymemberconsidersrelevant.

(b) Thedecisionismadebyvote,bywrittenunsignedsecretballot,atameetingoftheregularfacultywhohaveindefinitetenureintheacademicunit.Therulesmayprovideforabsenteeballotsbyinformedabsentfacultymembers.

(c) Personswhohaveorhavehadafamilyorsimilarrelationshiptothecandidatedonotparticipateinthedecision.Theproceduresmayestablishmethodsforraisingandrulingonsuchquestionsinadvanceofthedecision.

(d) Actionistobetakenbymajorityvote.Anacademicunitmayadoptauniformlyapplicablerulethatamotiontorecommendtenuremustachieveaspecifiedexceptionalmajorityinordertoconstituteanaffirmativerecommendationofthatunit.Insuchcaseamotionwhichachievesamajority,butnottherequiredexceptionalmajority,mustbesentforwardforreviewbytheappropriatereviewprocessdespitetheabsenceoftheunit'saffirmativerecommendation.

(e) Theunitshallreportthevoteofthefaculty,togetherwiththereasonsfortheactiontaken.Thisstatementofreasonsmusttaketheformofasummaryofbothmajorityandminorityviewswhich

FN5“Departmental”referstoanacademicdepartmentoritsequivalent,suchasdivision,institute,orunit.FN6Asusedinthispolicy,“tenuredfaculty”meansthosemembersofthefacultywhoholdindefinitetenure.



havesubstantialsupportwhichwereexpressedinthecourseofformalconsiderationoftheaction.Allstatementsmustbemadewithoutpersonalattribution.Apreliminarydraftisopentomembersofthefacultyeligibletovotesotheymaycommentandsuggestchanges.Thefinaldraftissenttotheaffectedfacultymemberandisopentothefacultyeligibletovote.

(f) Beforesubmittingaformalrecommendationforanappointmentwithindefinitetenureorforterminationofaprobationaryappointment,theheadoftheacademicunitinformstheappointeeoftherecommendationandgivestheappointeeacopyofthefinalreport.Theappointeemaysubmitanycommentsuponthereporttotheacademicadministratorwhowillreviewthereport,withacopytotheheadoftheacademicunit.

7.5.NondisclosureofGroundsforRecommendationofTermination.Thereasonsforarecommendationtoterminateaprobationaryappointmentmaynotbedisclosed,exceptaspartofthereviewprocess,unlessthefacultymemberrequestssuchdisclosureormakesapublicstatementconcerningthereasonsfortermination.7.6.ReviewofRecommendations.Recommendationsofacademicunitstograntindefinitetenureortoterminateprobationaryappointmentsarereviewedatthecollegiateanduniversitylevels.7.61.Procedures.ThereviewmustbeconductedaccordingtoUniversityprocedures,establishedasprovidedinsubsection16.3.Theseproceduresmustprovideforreviewandrecommendationsbytheheadoftheacademicunit,bythedeanofthecollegiateunit,byfacultycommitteesatthecollegiateorUniversitylevel,and,whenappropriate,byotheracademicadministrators.Thereviewmustbeconductedonthebasisofthestandardsandcriteriaestablishedbysubsections7.11.and7.12.andtheapplicablerulesandprocedures.Therulesmaypermitanadministratortoreferthematterbacktotheunitforreconsideration,butiftheadministratorandtheunitdonotagreeaftersuchreconsideration,boththerecommendationandtheadministrator'scommentsmustbesentforwardforfinaladministrativeaction.Acopyofeachrevieworrecommendationmustbesuppliedtothefacultymember.Thefacultymembermaycommentthereoninwritingtothosewhowillreviewthematterfurther.7.62.ConflictofInterest.Noonemayparticipatebothinaninitialrecommendationbyanacademicunitandinasubsequentreviewofthatrecommendation,exceptthattheheadoftheacademicunitmaymaketheinitialadministrativereview.NoonewhohasparticipatedinarecommendationorreviewmaythereafterserveasamemberoftheJudicialCommitteeinfurtherconsiderationofthatcase.MembersoftheJudicialCommitteemaynotserveoncollegiateorUniversityreviewcommittees.MembersoftheJudicialCommitteemayparticipateininitialrecommendationsbytheirownacademicunits,butaredisqualifiedfromthereafterparticipatinginJudicialCommitteeconsiderationofthosedecisions.7.63.FinalAdministrativeAction.TheUniversitymaynotactcontrarytotherecommendationoftheacademicunitwhichmadetheinitialrecommendationexceptforsubstantivereasonswhichmustbestatedinwritingbythesenioracademicadministratortothefacultymember,tothemembersoftheacademicunitwhichmadetherecommendation,andtothepresident.Thefactthatparticipantsinthereviewprocesshaverecommendedagainsttheunit'sinitialrecommendationisnot,byitself,asubstantivereason.Thesenioracademicadministratortakesthestepsnecessarytomakethenecessaryappointmentortogivenoticeoftermination.7.7.ImproperTerminationofProbationaryAppointments.ApersonholdingaregularprobationaryappointmentwhohasbeengivennoticeofterminationmaypetitiontheJudicialCommitteetoreviewthataction.TheJudicialCommitteewillnotbaseitsrulingonthemeritsofthedecisionitself,butwillreviewallegationsthatthedecisionwasbasedinsignificantdegreeuponanyofthefollowing:



(a) Personalbeliefs,expressionsorconductwhichfallwithinthelibertiesprotectedbylaworbytheprinciplesofacademicfreedomasestablishedbyacademictraditionandtheconstitutionsandlawsoftheUnitedStatesandthestateofMinnesota;

(b) Factorsproscribedbyapplicablefederalorstatelawregardingfairemploymentpractices;(c) Substantialandprejudicialdeviationfromtheproceduresprescribedinsubsections7.4and7.6and

theproceduralrulespromulgatedpursuanttothosesubsections;(d) Failuretoconsiderdataavailableatthetimeofdecisionbearingmateriallyonthefacultymember's

performance;(e) Demonstrablematerialprejudicialmistakesoffactconcerningthefacultymember'sworkor

conduct;(f) Otherimmaterialorimproperfactorscausingsubstantialprejudice;or(g) OtherviolationofUniversitypoliciesorregulations.

Suchproceedingsaregovernedbysection15.

SECTION7a.REVIEWOFFACULTYPERFORMANCE7a.1.GoalsandExpectations.Thefacultyofeachacademicunitmustestablishgoalsandexpectationsforallfacultymembers,includinggoalsandexpectationsregardingteaching,scholarlyproductivity,andcontributionstotheserviceandoutreachfunctionsoftheunit.Thefactorstobeconsideredwillparallelthoseusedbytheunitinthegrantingoftenure,butwilltakeintoaccountthedifferentstagesofprofessionaldevelopmentoffaculty.ThegoalsandexpectationswillbeestablishedinaccordancewithstandardsestablishedbytheUniversitySenate.Theycanprovideforflexibility,sothatsomefacultymemberscancontributemoreheavilytotheaccomplishmentofonemissionoftheunitandotherstotheaccomplishmentofothermissions.Thegoalsandexpectationsshallnotviolatetheindividualfacultymember'sacademicfreedomininstructionorintheselectionoftopicsormethodsforresearch.Theyshallincludereasonableindicesofacceptableperformanceineachoftheareas(e.g.,teachingcontributionsandevaluations,scholarlyproductivity,service,governanceandoutreachactivities).ThedeanreviewsthegoalsandexpectationsofeachunitandmayrequestchangestomeetthestandardsoftheUniversityandofthecollegiateunit.7a.2.AnnualReview.Eachacademicunit,throughitsmeritreviewprocess(establishedinaccordancewiththestandardsadoptedbythesenate),annuallyreviewswitheachfacultymembertheperformanceofthatfacultymemberinlightofthegoalsandexpectationsoftheacademicunitestablishedundersubsection7a.1.Thisreviewisusedforsalaryadjustmentandfacultydevelopment.Thefacultymemberwillbeadvisedoftheevaluationand,ifappropriate,ofanystepsthatshouldbetakentoimproveperformanceandwillbeprovidedassistanceinthateffort.Iftheheadoftheunitandapeermeritreviewcommitteeelectedforannualmeritreviewwithinthatunitbothfindafacultymember'sperformancetobesubstantiallybelowthegoalsandexpectationsadoptedbythatunit,theyshalladvisethefacultymemberinwriting,includingsuggestionsforimprovingperformance,andestablishatimeperiod(ofatleastoneyear)withinwhichimprovementshouldbedemonstrated.7a.3.SpecialPeerReviewinCasesofAllegedSubstandardPerformancebyTenuredFaculty.If,attheendofthetimeperiodforimprovementdescribedinthepreviousparagraph,atenuredfacultymember'sperformancecontinuestobesubstantiallybelowthegoalsandexpectationsoftheunitandtherehasnotbeenasufficientimprovementofperformance,theheadoftheacademicunitandtheelectedpeermeritreviewcommitteemayjointlyrequestthedeantoinitiateaspecialpeerreviewofthatfacultymember.Beforedoingso,thedeanshallindependentlyreviewthefiletodeterminethatspecialpeerreviewiswarranted.(inthecaseofanacademicunitthatisalsoacollegiateunit,therequestshallbemadetoandthereviewconductedbytheresponsiblesenioracademicadministrator.)Thespecialpeerreviewshallbeconductedbyapaneloffivetenuredfacultymembersofequalorhigherrank,selectedtoreviewthatindividual.Thefacultymemberunderreviewshallhavetheoptiontoappointonemember.Theremaining



membersshallbeelectedbysecretballotbythetenuredfacultyoftheunit.Themembersofthespecialreviewpanelneednotbemembersoftheacademicunit.Thespecialreviewpanelshallprovideadequateopportunityforthefacultymembertoparticipateinthereviewprocessandshallconsideralternativemeasuresthatwouldassistthefacultymembertoimproveperformance.Thetenuresubcommitteemayadoptrulesandproceduresregulatingtheconductofsuchreviews.Thespecialreviewpanelshallprepareareportontheteaching,scholarship,service,governance,and(whenappropriate)outreachperformanceofthefacultymember.ItwillalsoidentifyanysupportingserviceoraccommodationthattheUniversityshouldprovidetoenablethefacultymembertoimproveperformance.Dependingonitsfindings,thepanelmayrecommend:

(a) thattheperformanceisadequatetomeetstandardsandthatthereviewbeconcluded;(b) thattheallocationofthefacultymember'sexpectedeffortamongtheteaching,research,service

andgovernancefunctionsoftheunitbealteredinlightofthefacultymember'sstrengthsandinterestssoastomaximizethefacultymember'scontributiontothemissionoftheUniversity;

(c) thatthefacultymemberundertakespecifiedstepstoimproveperformance,subjectonlytofutureregularannualreviewsasprovidedinsubsection7a.2;

(d) thatthefacultymemberundertakespecifiedstepstoimproveperformancesubjecttoasubsequentspecialreviewundersubsection7a.3,tobeconductedataspecifiedfuturetime;

(e) thatthefacultymember'sperformanceissoinadequateastojustifylimitedreductionsofsalary,asprovidedinsubsection7a.4;

(f) thatthefacultymember'sperformanceissoinadequatethatthedeanshouldcommenceformalproceedingsforterminationorinvoluntaryleaveofabsenceasprovidedinsections10and14;or

(g) somecombinationofthesemeasures.Thepanelwillsenditsreporttothedean,theheadoftheacademicunit,andthefacultymember.Within30workdaysofreceivingthereport,thefacultymembermayappealtotheJudicialCommittee,whichshallreviewthereportinamanneranalogoustothereviewoftenuredecisions(seesubsection7.7).7a.4.SalaryReductions.Ifthespecialreviewpanelrecommendsthatthefacultymember'sperformanceissoinadequateastojustifylimitedreductionsofrecurringsalary,theheadoftheacademicunit,withtheapprovalofthedean,mayreducethefacultymember'srecurringpay,subjecttothefollowinglimitations:

(a) theamountofthedecreasewillnotexceed10%ofthefacultymember'srecurringsalaryonthebasisofanyonespecialreview;

(b) recurringsalarymaynotbereducedbymorethan25%fromthehighestlevelofrecurringpayeverheldbythefacultymember;

(c) atleastsixmonths'noticeofthedecreasemustbegiven;(d) anydecreaseinrecurringsalarymayberestoredbytheannualreviewprocessprovidedin

subsection7a.2.Within30workdaysofnoticeofthedecrease,thefacultymembermayappealthisactiontotheJudicialCommittee,whichshallreviewtheactionandtherecommendationleadingtoitinamanneranalogoustothereviewoftenuredecisions(seesubsection7.7).ThisreviewmaynotreconsidermattersalreadydecidedbytheJudicialCommitteeundersubsection7a.3.Anydecreaseinrecurringpaybeyondthelimitsspecifiedinthissubsectioncanonlybeimposedpursuanttosections4.5,10,11,and14.7a.5.PeerReviewOption.Uponapplicationtoitbythedeanandfaculty(ortheelectedfacultyassembly)ofacollegiateunit,theFacultySenatemayadoptasystemofpeerreviewofperformanceoffacultyofthatunitdifferentfromthesystemsetforthinsections7a.1through7a.4ifintheFacultySenate'sjudgmentsoproceedingisintheUniversity'sinterest.



SECTION8.IMPROPERREFUSALOFANEWAPPOINTMENTTOATERMFACULTYMEMBERApersonholdingatermfacultyappointmentwhohasbeenrefusedarenewalofthatappointmentorhasappliedforandbeenrefusedaregularoradifferenttermfacultyappointmentwithinsixmonthsoftheendofthatappointmentmaypetitiontheJudicialCommitteetoreviewtherefusal,butonlyonthegroundthatthedecisionwasbasedinsignificantdegreeupononeormoreofthefollowing:

(a) Personalbeliefs,expressionsorconductwhichfallwithinthelibertiesprotectedbylaworbytheprinciplesofacademicfreedomasestablishedbyacademictraditionandtheconstitutionsandlawsoftheUnitedStatesandthestateofMinnesota;

(b) Factorsproscribedbyapplicablefederalorstatelawregardingfairemploymentpractices;(c) Essentialandsubstantialwrittenmisrepresentationofthenatureoftheoriginalappointment;or(d) OtherviolationofUniversitypoliciesorregulations.

Suchproceedingsaregovernedbysection15.

SECTION9.PERSONNELDECISIONSFORASSOCIATEPROFESSORSANDPROFESSORS9.1.AppointmentofAssociateProfessorsandProfessorswithIndefiniteTenure.Initialappointmentswithindefinitetenuremayonlybemadeattherankofassociateprofessororprofessor.Suchappointmentsmaybemadeonlyafterreceivingtherecommendationoftheregularfacultyholdingindefinitetenureintheacademicunitconcerned.9.2.CriteriaforPromotiontoProfessor.Thebasisforpromotiontotherankofprofessoristhedeterminationthateachcandidatehas(1)demonstratedtheintellectualdistinctionandacademicintegrityexpectedofallfacultymembers,(2)addedsubstantiallytoanalreadydistinguishedrecordofacademicachievement,and(3)establishedthenationalorinternationalreputation(orboth)ordinarilyresultingfromsuchdistinctionandachievement[FN7].Thisdeterminationisreachedthroughaqualitativeevaluationofthecandidate'srecordofscholarlyresearchorothercreativework,teaching,andservice[FN8].Therelativeimportanceofthesecriteriamayvaryindifferentacademicunits,buteachofthecriteriamustbeconsideredineverydecision.Interdisciplinarywork,publicengagement,internationalactivitiesandinitiatives,attentiontoquestionsofdiversity,technologytransfer,andotherspecialkindsofprofessionalactivitybythecandidateshouldbeconsideredwhenapplicable.Buttheprimaryemphasismustbeondemonstratedscholarlyorothercreativeachievementandonteachingeffectiveness,andservicealonecannotqualifythecandidateforpromotion.

SECTION10.UNREQUESTEDLEAVEOFABSENCEFORDISABILITYANDDISCIPLINARYACTION10.1.UnrequestedLeaveofAbsenceforDisability.Afacultymemberwhoisphysicallyormentallyunabletoperformreasonablyassigneddutiesmaybeplacedonunrequestedleaveofabsence.ThefacultymemberisentitledtosickpayanddisabilityinsurancepaymentsinaccordancewithUniversitypolicy.The

FN7“Academicachievement”includesteachingaswellasscholarlyresearchandothercreativework.Thedefinitionandrelativeweightofthefactorsmayvarywiththemissionoftheindividualcampus.Notbeingpromotedtotherankofprofessorwillnotinitselfresultinspecialpost-tenurereviewofatenuredassociateprofessor.FN8Thepersonsresponsibleforthisdeterminationarethefullprofessorsintheunitwhoareeligibletovote.Theoutcomeofthevoteiseitherpromotiontotherankofprofessororcontinuationinrankasanassociateprofessor.Theproceduresforvotingareidenticaltothoseoutlinedinsubsection7.4forthegrantingofindefinitetenure,thenondisclosureofgroundsforthedecision(subsection7.5),andthereviewofrecommendations(subsection7.6).Inaddition,apetitiontotheJudicialCommitteeforreviewofarecommendationofcontinuationinrankasanassociateprofessorfollowstheproceduresspecifiedinsubsection7.7fordecisionsaboutpromotiontoassociateprofessorandconferralofindefinitetenure.Seethedefinitionsof"scholarlyresearch,""othercreativework,""teaching,"and"service"infootnote[3].Agreatercontributionintheareaofinstitutionalserviceisexpectedofcandidatesfortherankofprofessorthanwasexpectedfortheawardoftenure.



facultymemberhasarighttoreturntothefacultyuponterminationofthedisabilityoruponcessationofdisabilitypayments.10.2.DisciplinaryAction.[INTERP4]10.21.TerminationorSuspensionofaFacultyAppointmentBeforeitsExpiration.Afacultyappointmentmaybeterminatedorsuspendedbeforeitsordinaryexpirationonlyforoneormoreofthefollowingcauses:

(a) sustainedrefusalorfailuretoperformreasonablyassigneddutiesadequately;(b) unprofessionalconductwhichseverelyimpairsafacultymember'sfitnessinaprofessional

capacity;(c) egregiousorrepeatedmisuseofthepowersofaprofessionalpositiontosolicitpersonalbenefitsor

favors;(d) sexualharassmentoranyotheregregiousorrepeatedunreasonableconductdestructiveofthe

humanrightsoracademicfreedomofothermembersoftheacademiccommunity;or(e) othergravemisconductmanifestlyinconsistentwithcontinuedfacultyappointment.

10.22.MinorDisciplinaryActions.Minorsanctions,suchasaletterofreprimandinthefacultymember'sfile,orthelike,maybeimposedforsignificantactsofunprofessionalconduct.Forminorsanctions,thedeanmayimposethesanctionafterprovidingthefacultymembernoticeoftheproposed actionandofthereasonthatithasbeenproposedandgivingthefacultymemberanopportunitytorespond.IfthefacultymemberfilesagrievanceundertheUniversitygrievancepolicytochallengeaminordisciplinarymatter,thesanctionshallbeheldinabeyanceuntiltheconclusionoftheproceeding.Thegrievancepanelshallhavejurisdictiontoconsiderallclaimsraisedbythefacultymember,andifthecasegoestoarbitration,thearbitratorshallbeanindividualwithexperienceinacademicmatters.10.3.Procedures.Afacultymembermaybeplacedonunrequestedleaveofabsenceorafacultyappointmentmaybeterminatedorsuspendedforthesethereasonsspecifiedinsubsection10.21onlyinaccordancewiththeproceduressetforthinsection14.10.4.SexualHarassment,SexualAssault,Stalking,andRelationshipViolence.Notwithstandingotherprovisionsintheseregulations,theprocessfordecisionsandappealsregardingdisciplinaryactioninresponsetocomplaintsagainstfacultyforallegedviolationofBoardofRegentsPolicy:SexualHarassment,SexualAssault,Stalking,andRelationshipViolencewillbeconductedunderAdministrativePolicy:SexualHarassment,SexualAssault,Stalking,andRelationshipViolenceandrelatedadministrativeprocedures.Theadministrativepolicywillprovidethattherewillbeafacultymemberonthehearingpanelforanycaseinwhichafacultymemberisaparty.

SECTION11.FISCALEMERGENCY11.1.FacultyRights.TheBoardofRegents,iffacedwiththenecessityofdrasticreductionintheUniversitybudget,hasthepowertosuspendorabolishpositions,orevenentiredepartments,divisions,orotheradministrativeunits.Ifconfrontedwithsuchadversecontingency,theboardwillconsultwithandsecuretheadviceoffacultyrepresentatives,asprovidedinthissection.Facultymembershavetherighttofullaccesstoinformationaboutthesituationandthealternativesbeingconsidered.Ineffectingretrenchmentbecauseoffinancialnecessity,theregentswillmakereductionsinfacultypositionsonlytotheextentthat,intheirjudgment,isnecessaryafterexploringvariousalternativemethodsofachievingsavings.Theregentsfullyintendthatthetenuresystemasawholeandthetenurerightsofeachindividualfacultymemberbeprotectedineveryfeasiblemannerduringperiodsofsuchretrenchment.11.2.GeneralPrinciplesofPriority.Thefollowinggeneralprinciplesofpriorityapplyinanyfinancialcrisis.



(a) first,theUniversitymustfullyutilizeallmeansconsistentwithitscontinuedexistenceasan

institutionofhighacademicqualitytoreduceexpensesortoincreaseincomewhichdonotinvolvetheterminationoffacultypositionsortheimpairmentoffacultyrights.

(b) second,theUniversitymayconsideralternativeswhichinvolveonlythetemporaryreductionorpostponementoffacultycompensationorthereductionoffringebenefits.

(c) onlythereaftermaytheUniversitysuspendorterminatefacultypositionsinaccordancewiththesection.

11.3.FirstStage:AlternativeApproaches.IftherehasbeenaseriousreductionintheUniversity'sincome,thepresidentwillreportthemattertotheSenateConsultativeCommittee.Thepresidentwillidentifythemagnitudeoftheshortfall,themeasureswhichmightbetakentoalleviateit(whichmustnotinvolveimpairmentoffacultyrights),andalternativemeasureswhichhavebeenrejected.Thepresidentwillgivethecommitteefullaccesstoallavailableinformationandwillrespondspecificallytoadditionalproposalssuggestedbythecommittee.Atthisstage,theUniversitywillconsiderreductionsinotherexpenses.Itwillalsoconsiderincreasesintuition,salesofassets,andborrowing.ThesestepswillbeimplementedbythepresidentortheBoardofRegentsasisappropriate.11.4.SecondStage:ReductionOrPostponementOfCompensation.IftheUniversityhasimplementedallofthemeasureswhicharerequiredtobeconsideredinthefirststage,whichareconsistentwithitscontinuedoperationasaninstitutionofhighacademicquality,andtheyareinadequatetomeettheshortfall,thepresidentmay,afterconsultationwiththeFacultyConsultativeCommittee,proposethetemporaryreductionorpostponementoffacultycompensationforapredeterminedperiodnottoexceedoneyear,accordingtoamathematicformulaorsimilardevice.TheFacultyConsultativeCommitteewillreportontheadequacyofthestepstakeninthefirststageandmakeitsrecommendationsontheproposal.IftheFacultySenateapprovestheproposedaction(oranymodificationofit)byanabsolutemajorityofitsmembershiporbyatwo-thirdsvoteofthememberspresentandvoting(aquorumbeingpresent),theBoardofRegentsmaytakethataction(oranylessstringentaction)and,tothatextent,modifythetermsoftheappointmentsofallfacultymembers.TheBoardofRegentsmayrescindtheactionatanytimethereafter.Suchactionmayberepeatedbythesameprocedures.11.5.ThirdStage:FiscalEmergency.IftherehasbeenareductionoftheUniversity'sincomewhichissodrasticastothreatenitssurvival,andthisthreatcannotbealleviatedbythemeasuresspecifiedabove,theBoardofRegentsmaydeclareafiscalemergency.Duringsuchanemergency,theBoardofRegentsmayterminateorsuspendfacultyappointmentsasprovidedinthissection.11.51.PreliminaryProcedures.BeforerecommendingtotheBoardofRegentsthatitdeclareafiscalemergency,thepresidentmustmeetwiththeSenateConsultativeCommitteetoexaminealternativestoandconsequencesofsuchadeclaration.Thepresidentmustprovidethecommitteeaccesstoallavailableinformation.Thepresidentmustprovideawrittenreportidentifyingthedollaramounttobesavedbyreducingfacultypositions.Thisreportmustalsoidentifythedollaramountproposedtobesavedbyanyothermeasurestobetaken,includingthelevelofanyconcurrentreductionsinnon-facultystaffduringtheemergency.TheFacultyConsultativeCommitteewillprepareawrittenreportonthepresident'sproposal,towhichtheSenateConsultativeCommitteemayaddadditionalcomments.TheFacultySenatewillfirstconsiderandactontheproposalandreports.Thereafter,theUniversitySenatemayconsiderthem.Thepresidentmustattendbothsenatemeetingstoexplaintheproposalandtoanswerquestions.Afterreceivingthepresident'srecommendationandtheresolutionsofthesenates,theBoardofRegentsmaydeclareastateoffiscalemergency.BeforeactioncontrarytotherecommendationoftheUniversitySenateissubsequentlytaken,thepresidentmustreportinwritingandinpersonthereasonsforthisactiontotheSenateConsultativeCommittee.TheBoardofRegents'resolutionstatesthemaximumamounttoberealizedfromterminationorsuspensionoffacultyappointments.



11.52.Duration.Afiscalemergencylastsnolongerthan12monthsunlessrenewedbythesameprocedure.AfiscalemergencymayberescindedatanytimebytheBoardofRegents.11.53.AllocationofShortfall.AfterconsultationwiththeFacultyConsultativeCommitteeandtheSenateConsultativeCommittee,thepresidentproposesaninitialallocationoftheshortfalltothevariouscollegiateunits,whichneednotbeprorated.Thecommitteemustobtaintheviewsofthefacultyintheaffectedunitsandmustholdanopenmeetingatwhichanyonemaycommentupontheproposedaction.ItmayalsorequesttheassistanceofotherUniversityorSenatecommitteesinstudyingallorparticularaspectsoftheeducationalpoliciesandprioritiesinvolvedintheaction.Thecollegesandcampusesthenallocatetheshortfalltothevariousacademicunitsaftersimilarconsultationwiththerepresentativebodiesandacademicunitsinthecollegesandsimilaropenmeetings.Theplansmustreflecttheprinciplesandprioritiesestablishedinsubsection11.6.Thecollegesandcampusesreturntheirplanstotheexecutivevicepresidentandprovost,whopreparesacomprehensiveplanfortheUniversity,includingalistofthepersonswhoseappointmentswillbesuspendedorterminated.ThisplanissubmittedtotheUniversitySenateandtheFacultySenatefortheirrecommendation.Therecommendationsofthesenateandtheexecutivevicepresidentandprovost'splanwillbepresentedtothepresidentandtheBoardofRegentsforaction.11.6.PrinciplesGoverningTerminationorSuspension.11.61.GeneralPrinciples.

(a) Savingsachievedthroughresignations,retirements,renegotiationsofcontracts,inloadingorothermeasuresmustbecreditedtotheassignedshortfallbeforeterminatingorsuspendingfacultyappointments.

(b) Agoodfaitheffortshouldbemadetousetemporarysuspensionsorvoluntaryfurloughsratherthanterminations.Inthisthirdstage,theBoardofRegentsmayimposethetemporaryorpermanentreductionoffacultycompensationorthereductionoffringebenefits,inexcessofthoseapprovedinthesecondstage.Suspensionswithoutpayfornomorethanone-thirdoftheannualappointmentinanyyearmaybeorderedinaccordancewithobjectivecriteria,providedthatfacultymembersaregivenatleastsixmonthsnotice.

(c) Terminationsmaynotbeusedincaseofashort-termfinancialcrisis,butonlyifthecircumstancesaresuchthattheshortfallisreasonablyexpectedtocontinueoverasubstantialnumberofyears.

(d) Agoodfaitheffortmustbemadetocoverasmuchoftheshortfallaspossiblebyallowingnon-regularappointmentstolapseandbygivingnoticetoprobationaryfacultyinaccordancewiththetermsoftheirappointments.

(e) Agoodfaitheffortmustbemadetocoverasmuchoftheshortfallaspossiblebytransferringfacultymemberstootherpositionsforwhichtheyarequalifiedorbyofferingthemretrainingforavailablepositions.

(f) Theselectionoffacultymemberswithinanacademicunitforterminationmustbemadeonobjectivecriteria.Itmaynotinvolveacomparativeevaluationoftherelativemeritsofindividualsorarepetitionofthetenure-grantingprocess.

11.62.Priorities.

(a) Unlesstheunitcandemonstratethatessentialfunctionscouldnototherwisebeperformed:1. allnon-regularfacultywithinanacademicunitmustbesuspendedorterminatedbeforeany

regularfacultymaybesuspendedorterminatedinthatunit;and2. allprobationaryfacultywithinanacademicunitmustbesuspendedorterminatedbeforeany

tenuredfacultymaybesuspendedorterminatedinthatunit.



(b) Caremustbetakentoprotecttheemploymentofwomenandminoritiesentitledtoaffirmativeaction.TheexecutivevicepresidentandprovostmustinsurethatfortheUniversityasawholetheplanwhichissubmitteddoesnotreducetheproportionofappointmentswithindefinitetenureheldbywomenorminoritiesentitledtoaffirmativeaction,anddoesnotreducetheproportionofnon-regularappointmentsheldbywomenorminoritiesentitledtoaffirmativeaction.

11.63.NoticeandSeverancePay.Afacultymemberwhoseappointmentistobeterminatedorsuspendedisentitledtoaminimumofonefullacademicyear'snoticeortooneyear'ssalaryasseverancepayinlieuofnotice,unlesstheappointmentswouldotherwiseexpireearlier.11.64.ReemploymentRights.TheUniversitywillnotfillanyfacultypositionforwhichafacultymemberwithindefinitetenurewhohasbeenterminatedisqualifiedforfiveyearsafternoticeoftermination,unlessitfirstoffersthepositiontoeachsuchfacultymemberandgivesareasonabletimeforthefacultymembertoacceptorrejectit.11.7.JudicialCommitteeReport.AfacultymemberwhoseappointmentisterminatedorsuspendedmaymakeawrittenrequestforreviewbytheJudicialCommittee.Thereviewwillbeconductedinaccordancewithsection15.TheJudicialCommitteewillnotreexaminethedeterminationthatafiscalemergencyexists,norwillitreexaminetheeducationalpoliciesandprioritiespursuedunlessitfindsasubstantialfailuretofollowtheproceduresestablishedinthissection.Itwillonlyexaminewhethertheactionwastakeninaccordancewiththeproceduresandstandardssetforthinthissection,whethertheactionwasbasedonaviolationofacademicfreedomorconstitutionalorlegalrights,orwassubstantiallybasedonimmaterialorimproperfactors.Itmayconsolidatecasesinvolvingcommonissuesforasinglehearing.

SECTION12.PROGRAMMATICCHANGE12.1.ProgrammaticChange.TheUniversityandfacultyrecognizethatchangesinacademicprogramsareanessentialpartofthedevelopmentandgrowthoftheinstitution.Thesechangesshouldbebasedonacademicconsiderationsandonlong-termpolicyandplanning,andmaybeundertakenonlyafterconsultationwiththefaculty,includingtheappropriategovernancestructure.12.2.FacultyRightsandDuties.Intheeventthatprogrammaticchangeleadstodiscontinuationofaprograminwhichamemberofthefacultyisemployed,theUniversityrecognizesitsobligationtocontinuetheemploymentofregularfacultyinaccordancewiththetermsoftheiremployment,andtocontinuetheemploymentofnon-regularfacultyforthetermofappointment.Incaseoffiscalemergency,theprovisionsofsection11apply.Regularfacultymemberswhoaresoretainedhavetheresponsibilitytoacceptteachingorotherassignmentsforwhichtheyarequalified,andtoaccepttrainingtoqualifythemforassignmentinotherfields.TheUniversityhastheresponsibilitytoassignsuchfacultymemberstoresponsibilitiesascloselyrelatedtotheiroriginalfieldoftenureasispracticable,toallowthemtimeinwhichtocontinuescholarshipintheiroriginalfieldiftheywish,andtorecognizescholarlycontributionsinthatfieldasvaluableinassessingtheircontributiontotheUniversityforpay,promotionandotherpurposes.Inadditiontothestepsmentionedabove,theUniversityhastherighttoofferinducementstofacultymembersvoluntarilytochangefieldsofstudy,toseekemploymentelsewhere,ortoacceptearlyretirement.12.3.Reassignments.Incasesofprogrammaticchange,anofficerdesignatedbythepresidentwillmakethereassignmentorofferoftraining.Theofficerwillconsultwiththefacultymemberandthereceivingunitandwillseekamutuallysatisfactoryassignment.Ifagreementcannotbereached,theUniversityofficerwillassignnewresponsibilitiesafterconsultationwiththeindividual.



TheUniversitymaygivethefacultymemberotherassignmentsonlyifassignmentstoteachinginthefacultymember'sdisciplinearenotfeasible.Forexample,facultymightbeassigned

• toteachinanotherfieldinwhichtheindividualisqualified• toperformprofessionaloradministrativeduties,includingprofessionalpracticeinafieldinwhich

theindividualisqualified.• totransfereffort,byassignmentinasuitableprofessionalcapacity,atanothereducational

institutionorsimilarentity,whileretainingUniversitytenure,compensation,andbenefits.Afacultymembermustacceptanyreasonablereassignmentorofferofretraining.Followingtheassignment,anydisputeaboutthereasonablenessofreassignmentmaybetakentotheJudicialCommittee,asprovidedinsection15.Thefacultymembershallperformthereassignmentpendingresolutionofthedispute,unlessthepresidentontherecommendationofthechairoftheJudicialCommitteedeterminesthatprovisionalmeasuresareappropriate.12.4.TerminationofAppointment.Afacultymemberwhochoosesnottoacceptareasonablereassignmentorretrainingopportunityshallreceive:

(a) Assistanceinlocatingotheremployment;(b) Aminimumofonefullacademicyear'snoticeoroneyear'ssalaryasseverancepayinlieuofnotice,

unlesstheappointmentwouldotherwiseexpireearlier.(c) ContinuationoftheUniversity'scontributiontohealthbenefitsforoneyearafterthedateofthe

terminationoftheappointment.Inplaceoftheseverancepaymentprovidedbythissection,afacultymembermayselectanotherseveranceprogramforwhichthefacultymemberisotherwiseeligibleatthetimetheappointmentisterminated.

SECTION13.JUDICIALCOMMITTEE13.1.Membership.TheJudicialCommitteeiscomposedofatleastninemembersoftheregularfaculty.ThenumberofmembersandmannerofappointmentisgovernedbytheFacultySenatebylaws.13.2.Procedures.TheJudicialCommitteeappliesandinterpretsthistenurecodeincomplaintsthatcomebeforeit.TheJudicialCommitteehasitsownRulesofProcedureandmayadoptadditionalruleswiththeapprovaloftheTenureCommittee,asprovidedinsection16.3.IneverycasebeforetheJudicialCommitteethesenioracademicadministratormaydesignatetheacademicadministratorwhowillrepresenttheUniversityasrespondent.Ifthecaseinvolvestwoormorecampusesorareas,thepresidentortheexecutivevicepresidentandprovostmaydesignatetherespondent.13.3.DutytoTestify.FacultymembersandadministratorshaveanobligationtoappearbeforetheJudicialCommitteeifaskedtogivetestimonyinmatterspendingbeforeit.13.4.Panels.TheJudicialCommitteemaysitinpanelstohearindividualcases.Incasesundersections10and14,thepanelmustconsistofatleastfivemembers.Inallothercases,thepanelmustconsistofatleastthreemembers.TherulesoftheJudicialCommitteewillestablishtherespectivefunctionsofthecommitteeasawholeandoftheindividualpanels.13.5.LegalOfficer.TheJudicialCommitteeshallhaveitsownlegalofficer,appointedbytheJudicialCommitteewiththeapprovalofthepresident.TheJudicialCommitteealsomay,withtheapprovalofthepresident,appointadeputylegalofficer,orasubstitutelegalofficerforaparticularcase,asnecessary.At



thedirectionofthecommittee,thelegalofficermaypresideathearingsofJudicialCommitteepanelsorregulatetheprocedureinJudicialCommitteecases.Thelegalofficermaybepresentandparticipateinthedeliberationofapanel,butshallhavenovote.

SECTION14.PROCEDURESINCASESOFUNREQUESTEDLEAVEOFABSENCEORTERMINATIONORSUSPENSIONOFAFACULTYAPPOINTMENTFORCAUSE[INTERP5]14.1.PreliminaryProceedings.Onlyadeanoranacademicadministratorspeciallydesignatedbytheexecutivevicepresidentandprovostorbythesenioracademicadministratormayinitiatepreliminaryproceedingsunderthissectionleadingtounrequestedleaveofabsenceortosuspensionorremovalortotemporaryorpermanentreductioninrank.Thedean[FN9]mustfirstattempttodiscussandresolvethematterwiththefacultymemberinvolved.Thedeanmustthensubmitthemattertothetenuredfacultyoftheacademicunitinvolvedfortheirrecommendation.IftheexecutivevicepresidentandprovostandtheFacultySenatehaveexpresslyapprovedthesubmissionofallegationsoftheviolationofaspecifiedpolicytoanotherbodyforpreliminaryrecommendation,inplaceofsubmissiontothetenuredfacultyoftheacademicunit,thedeanmustsubmitthemattertothatbodyforitsrecommendation.Boththedeanandthefacultymembermaysubmittheirviews,inpersonorinwriting,tothebodymakingtherecommendation,butneitherofthemmayparticipateinthedeliberationorvote.Thebodymakingtherecommendationdoessobysecretballotandmakesawrittenreporttothedeanwithin40workdaysofsubmissionoftheissuetoit,indicatingthenumberofvotesforandagainsttheproposedactionandthereasonsarticulated.Acopyofthereportshallbesenttothesenioracademicadministratorandtothefacultymember.14.2.FormalAction.Within40workdaysafterreceivingtherecommendationofthetenuredfacultyorotherbody,thedeanmustdecidewhethertoproceedwithformalaction.Beforetakingformalaction,thedeanmustconsultwiththesenioracademicadministrator.Ifthedeandoesnotproceedwithin40workdays,thechargesaredroppedandthefacultymemberandtheacademicunitaresonotifiedinwriting.Ifthedeandecidestoproceedwithformalaction,thedeanmustgivewrittennoticetothefacultymember.Thenoticemustspecifytheactionproposed,identifythespecificgrounduponwhichithasbeentaken,andsummarizetheevidenceinsupport.ItmustinformthefacultymemberoftherighttorequestahearingbeforetheJudicialCommitteeandadvisethefacultymemberoftheapplicabletimelimitformakingsucharequest.Ifthefacultymemberdoesnotrequestahearingwithin30workdays,thepresidentmaytaketheactionproposedinthedean'snotice,withoutfurtherrighttoahearing.14.3.JudicialCommitteeHearing.ThefacultymembermayrequestahearingbeforetheJudicialCommitteebywrittenrequesttothechairofthecommittee,filedwithin30workdaysofthenotice.TheJudicialCommitteemayextendthe30dayperiodforgoodcause.Thedeanwillberesponsibleforpresentingthecase.Thedeanhastheburdenofprovingthecasefortheproposedactionbyclearandconvincingevidenceandalsohastheburdenofdemonstratingtheappropriatenessoftheproposedaction,ratherthansomelessermeasure.

FN9Throughoutthissectiontheword"dean"meansthedeanofthecollegiateunitorotherequivalentofficeroranacademicadministratorspecificallydesignatedforthispurposebythesenioracademicadministratororbytheexecutivevicepresidentandprovost.



TheJudicialCommitteemakeswrittenfindingsoffact,conclusions,andarecommendationforthedispositionofthecase.Ifthecommitteefindsthatactioniswarranted,itmayrecommendactionthatislessseverethanthatrequestedinthewrittennotice,includingbutnotlimitedto,permanentortemporaryreductioninsalaryorrank.Itmaynotrecommendmoreseveremeasuresthanthoseproposedinthedean'snotice.TheJudicialCommitteesendsitsreporttothepresidentwithcopiestothefacultymember,thedeanandthesenioradministrator.14.4.ActionbythePresident.Thepresidentshallgivethefacultymemberandthedeantheopportunitytosubmitwrittencommentsonthereport.Indeterminingwhatactiontotake,thepresidentmayconsultprivatelywithanyadministrators,includingattorneys,whohavehadnopreviousresponsibilityforthedecisionatissueinthecaseandhavenotparticipatedinthepresentationofthemattertotheJudicialCommittee.ThepresidentmaynotdiscussthecasewithanyadministratorwhowasresponsibleforthedecisionatissueinthecaseorwhoparticipatedinthepresentationofthemattertothesenateJudicialCommittee.Suchadministratorsmaycommunicatewiththepresidentinwriting,butonlyifthefulltextofthecommunicationisgiventothefacultymemberandthefacultymemberisgivenareasonableopportunitytorespondtoit.Thepresidentshallnottakeactionmateriallydifferentfromthatrecommendedbythepanelunless,priortotheaction,thepresidenthasconsultedwiththecommittee.Partiesandtheirrepresentativesshallnotbepresentatanymeetingbetweenthepresidentandthecommitteenorshalltheirconsentberequiredforsuchmeeting.Inaddition,thepresidentmayrequesttheJudicialCommitteetomakefurtherfindingsoffact,toclarifyitsrecommendationortoreconsideritsrecommendation.Thereconsiderationwillbemadebythosewhohaveheardofalloftheevidenceinthecase,butthefullJudicialCommitteemayconsultwiththemonquestionsofgeneralpolicy.Thepresidentmayimposetheactionrecommendedbythecommittee,oranyactionmorefavorabletothefacultymember.Thepresidentmayimposeactionlessfavorabletothefacultymemberonlyforimportantsubstantivereasons,whichmustbestatedinwriting,withspecificdetailedreferencetothereportoftheJudicialCommittee,theevidencepresented,andthepoliciesinvolved.Thepresident'swrittenstatementmustbegiventothepartiesandtotheJudicialCommittee.IftheJudicialCommitteedecidesthatthepresidenthasimposedanactionthatislessfavorabletothefacultymemberthanithadrecommended,itshallinformthefacultybypublicationofthepresident'sactioninthedocketoftheFacultySenate.Ifthefacultymemberwaivesrightstoconfidentiality,thefulltextofthestatementwillbepublished.Otherwiseasummaryofthestatementwillbepublishedwithoutidentificationofthefacultymemberorinformationthatmayindirectlyidentifythefacultymember.14.5.AppealtotheBoardofRegents.IftheactioninvolvesremovaloriftheactioninvolvesasanctionmoreseverethanthatrecommendedbytheJudicialCommittee,thefacultymembermayappealtotheBoardofRegents.IncasesinwhichthepresidentimposesasanctionmoreseverethanthatrecommendedbytheJudicialCommittee,thefacultymemberandthepresidentmaypresenttotheboardevidencewithrespecttoissuesonwhichthepresidentdiffersfromtherecommendationoftheJudicialCommittee.Therequestforahearingmustbemadetothesecretaryoftheboardwithintenworkdaysofthepresident'saction.14.6.TemporarySuspensionDuringProceedings.Thedeanmaytemporarilysuspendafacultymemberduringtheproceedings,butonlyifthereisclearevidencethatthefacultymemberislikelytocauseseriousharmorinjuryorisnotavailableforwork.Thesuspensionwillbewithfullpay,unlessthefacultymemberisnotavailableforwork.Beforeorderingsuchsuspension,thedeanmustpresenttheevidencetoaspecial



paneloftheFacultyConsultativeCommitteeandreceivetheirwrittenreport.Thefacultymembermustbegiventheopportunitytocontestthesuspensionbeforethepanel.Ifnofinaldecisionhasbeenrenderedoneyearafterthecommencementofformalproceedings,thefacultymembershallbetemporarilysuspendedwithoutpay,unlessthepartiesagreeotherwise,orunlessthehearingpaneloftheJudicialCommitteeextendsthetimeperiodbecauseofunduedelaysintheprocedureattributabletotheactionoftheUniversity.Thisprovisionappliesonlyinacaseinwhichthemajorityofthetenuredfacultyoftheacademicunitconcurredintherecommendationtoterminatetheappointment.Ifthefacultymemberisreinstatedorifthepresidentdeterminesthatthetemporarysuspensionwithoutpaywasnotwarranted,thenthepresidentshallordertherepaymentofbackpaytothefacultymemberwithinterestthereonfromthedateitwouldoriginallyhavebeenpaid.Incaseofanysuspensionunderthissection,thefacultymembershallcontinuetoreceivefullmedicalinsuranceanddisabilitybenefitswithoutregardtothesuspension.14.7.ResignationDuringProceedings.AfacultymembermaysubmitawrittennoticeofresignationtothepresidentatanytimeduringJudicialCommitteeproceedingspursuanttothissection.Upontheeffectivedateofsuchresignation,theproceedingswillbediscontinuedunlessthefacultymemberconcurrentlyfilesawrittenrequestwiththeJudicialCommitteethattheybecarriedtocompletion.

SECTION15.APPEALSTOTHEJUDICIALCOMMITTEE[INTERP6]15.1.RighttoReview.Anyfacultymemberwhoclaimsthatthefacultymember’srightsorstatusundertheseregulationshavebeenadverselyaffectedwithoutthefacultymember’sconsentmayseekreviewbeforetheJudicialCommittee.Casesarisingundersections1,4,7,7a,8,10,11or12mustbebroughtdirectlytotheJudicialCommittee.Inthesecases,thatis,theJudicialCommitteehasoriginaljurisdiction.Inothercases,thefacultymembermustexhaustallotheravailableUniversityremediesbeforebringingthecasetotheJudicialCommittee;theJudicialCommitteewillnotproceedwithsuchacaseuntiltheappropriateUniversitybodyhaseitherdecideditorhasrefusedtoconsiderit.Insuchcases,theJudicialCommitteehasappellatejurisdiction.15.2.ProcedureforSecuringReview.AwrittenrequestforreviewmustbefiledwiththechairoftheJudicialCommitteewithin30workdaysofwrittennoticeoftheactionchallenged.Therequestmustspecifytheactioncomplainedofandtheremedialactiontheindividualseeks.Within30workdaysoffiling,thechairoftheJudicialCommitteemustsendcopiesoftherequesttotheheadoftheacademicunitconcernedandtothesenioracademicadministrator.TheJudicialCommittee,however,mayextendthetimeforfilingforreviewforreasonsthatseemcompellingtothecommittee,suchasmentalorphysicalillness,orseriouspersonalorfamilyproblems,ordoubtconcerningwhenfinalactionwastaken.15.3.HearingsBeforetheJudicialCommittee.ThepersonseekingreviewhastheburdenofprovingbythepreponderanceoftheevidencethattheactioncomplainedofwasimproperunlesstheJudicialCommittee,forgoodcause,otherwisedirects.TheJudicialCommitteedoesnotitselfdecidewhetherthefacultymemberisprofessionallyworthyofafacultyposition,butonlydetermineswhethertheactionwasbasedinsignificantdegreeuponanyofthefactorsspecifiedinsubsection7.7orsection8.Incasesinvolvingsections7,8,or11,theJudicialCommitteehearsthemeritsofthecase,asprovidedinthosesections.Inothercases,ifthereisanappropriateUniversitybodytoreviewthematter,theJudicialCommitteewillonlydeterminewhetherthatbodyhasgiventhefacultymemberdueprocessandwhether,



onthebasisofthefactsfoundbythatbody,therehasbeenaviolationoftheseregulationsorofthefacultymember'sacademicfreedom.IfthereisnoappropriateUniversitybodytohearsuchacase,oriftheJudicialCommitteefindsthatthebodywhichheardthecasedidnotprovidedueprocess,theJudicialCommitteemayhearthemeritsormayappointanadhoctribunaltohearthem.15.4.ActionbytheJudicialCommittee.TheJudicialCommitteemakeswrittenfindingsoffact,conclusions,andarecommendationforthedispositionofthecase.IftheJudicialCommitteefindsthattheactioncomplainedofwasimproper,italsospecifiestherespectsinwhichitfindstheactiontohavebeenimproperandrecommendsappropriateremedialaction.Ifitrecommendsreconsideration,itmayspecifythemannerinwhichreconsiderationwillbeundertakentoavoidtheinfluenceofimproperfactors.Ifaprobationaryfacultymemberhasreachedthemaximumprobationaryperiod,thecommitteemayrecommendanon-regularappointmentforanadditionalacademicyeartoprovideforreconsideration.TheJudicialCommitteesendsitsreporttothepresidentwithcopiestothefacultymemberandtheadministratorwhoappearedasrespondent.15.5.ActionbythePresident.Thepresidentmustgivethefacultymemberandtheadministratortheopportunitytosubmitwrittencommentsonthereport.Indeterminingwhatactiontotake,thepresidentmayconsultprivatelywithanyadministrators,includingattorneys,whohavehadnopreviousresponsibilityforthedecisionatissueinthecaseandhavenotparticipatedinthepresentationofthemattertotheJudicialCommittee.ThepresidentmaynotdiscussthecasewithanyadministratorwhowasresponsibleforthedecisionatissueinthecaseorwhoparticipatedinthepresentationofthemattertothesenateJudicialCommittee.Suchadministratorsmaycommunicatewiththepresidentinwriting,butonlyifthefulltextofthecommunicationsisgiventothefacultymemberandthefacultymemberisgivenareasonableopportunitytorespondtoit.Thepresidentshallnottakeactionmateriallydifferentfromthatrecommendedbythepanelunless,priortotheaction,thepresidenthasconsultedwiththecommittee.Thepartiesandtheirrepresentativesshallnotbepresentatanymeetingbetweenthepresidentandthecommitteenorshalltheirconsentberequiredforsuchmeeting.Inaddition,thepresidentmayrequesttheJudicialCommitteetomakefurtherfindingsoffact,toclarifyitsrecommendationortoreconsideritsrecommendation.Thereconsiderationwillbemadebythosewhohaveheardalloftheevidenceinthecase,butthefullJudicialCommitteemayconsultwiththemonquestionsofgeneralpolicy.Thepresidentmayimposetheactionrecommendedbythecommitteeoranyactionmorefavorabletothefacultymember.Thepresidentmayimposeactionlessfavorabletothefacultymemberonlyforimportantsubstantivereasons,whichmustbestatedinwriting,withspecificdetailedreferencetothereportoftheJudicialCommittee,theevidencepresented,andthepoliciesinvolved.Thepresident'swrittenstatementmustbegiventothepartiesandtotheJudicialCommittee.IftheJudicialCommitteedecidesthatthepresidenthasimposedanactionthatislessfavorabletothefacultymemberthanithadrecommended,itshallinformthefacultybypublicationofthepresident'sactioninthedocketoftheFacultySenate.Ifthefacultymemberwaivesrightstoconfidentiality,thefulltextofthestatementwillbepublished.Otherwiseasummaryofthestatementwillbepublishedwithoutidentificationofthefacultymemberorinformationthatmayindirectlyidentifythefacultymember.Thepresident'swrittenstatementmustbegiventothepartiesandtotheJudicialCommittee.



15.6.ActionsRequiringReconsideration.IftheJudicialCommitteerecommendsreconsiderationofanaction,thatreconsiderationwillbeundertakenunderthesupervisionofthesenioracademicadministrator,unlessotherwisespecified.TheJudicialCommitteemayretainprovisionaljurisdictionofthemattertoreviewallegationsthatthereconsiderationitselfwasimproper,andmaymakesupplementaryfindings,conclusions,andrecommendationsinthisregard.15.7.RecommendationsforChangesinUniversityPoliciesandProcedures.AsaresultofJudicialCommitteeproceedings,theJudicialCommittee,theTenureCommitteeortheexecutivevicepresidentandprovostmayinitiatestepstoclarifyorimproveUniversityrulesorpoliciesinvolved.Thechangeswillnotaffecttheoutcomeofthecasebeforethecommittee.

SECTION16.ACADEMICFREEDOMANDTENURECOMMITTEE16.1.Membership.TheAcademicFreedomandTenureCommittee(referredtoelsewhereintheseregulationsastheTenureCommittee)iscomposedofatleastsevenmembersofthefacultyandsuchotherpersonsastheFacultySenatebylawsshallprovide.ThemannerofappointmentisgovernedbytheFacultySenatebylaws.16.2.Interpretations.TheexecutivevicepresidentandprovostandtheTenureCommitteemayproposeformalinterpretationsoftheseregulations,consistentwiththeirterms.SuchinterpretationsmustbereportedtotheFacultySenateandtheBoardofRegents.IfadoptedbytheBoardofRegents,suchinterpretationswillbebindinginallcasessubsequentlyarising.16.3.Procedures.TheexecutivevicepresidentandprovostandtheTenureCommitteemayjointlyadopttheproceduresprovidedbysubsections7.4and7.61,andjointlyapprovetheproceduresproposedbytheJudicialCommitteeundersubsection13.2.SuchproceduresmustbereportedtotheFacultySenateandtheBoardofRegentsbeforetheygointoeffect.16.4.AdditionalFunctions.TheTenureCommitteealsoadvisestheUniversityandmakesrecommendationsconcerningtheinterpretationandamendmentoftheseregulations.

SECTION17.WRITTENNOTICENoticesofterminationofaprobationaryappointment,ofsuspensionorterminationofanappointment,orofplacementonunrequestedleaveofabsencefordisability,mustbesentbyregisteredorcertifiedmailtothelastknownresidenceaddressofthefacultymemberconcernedandalsobycampusmailtothefacultymember'scampusaddress,ifany.Thewrittennoticesatisfiestheapplicabletimerequirementifitispostmarkedatorbeforemidnightoftheapplicabledate.Failuretocomplyfullywiththissectionisimmaterialif,infact,thefacultymemberwasnotprejudicedbysuchfailure.

SECTION18.PUBLICATIONTheseregulations,andtheinterpretationsreferredtoinsection16,willbepublishedandmadeavailabletoallfacultymembers.Everyfacultymemberwhoholdsaregularornon-regularappointment,exceptforcourtesyfacultyappointmentswithoutsalary,mustbegivenacopyofthecurrentregulationsandcopiesofsubsequentamendmentsorpublishedinterpretations.



SECTION19.AMENDMENTTheseregulationsaresubjecttoamendmentbytheBoardofRegents.ProposedamendmentsfromanysourcewillbesubmittedtotheFacultySenateforitsadviceandrecommendationbeforefinalactionbytheBoardofRegents.TheFacultySenatewillsolicittherecommendationsoftheFacultyAffairsCommittee,theJudicialCommittee,andtheTenureCommittee,beforegivingitsadviceandrecommendation.REVISIONHISTORY

Adopted:February9,1945Amended:November22,1963;April10,1964;January13,1967;December8,1972;March13,1981;February8,1985;September13,1991;March12,1993;November10,1994;October10,1995;November7,1996;December13,1996;June13,1997;September12,1997;June9,2000;March9,2001;June8,2007;June10,2011;July30,2020TechnicalCorrection:March31,2016LastComprehensiveReview:May12,2017Supersedes:Regents'PoliciesStatementdatedFebruary8,1974;andAuthoritytoCorrectPoliciesdatedJuly8,1983.INTERPRETATIONSDatedApril12,1985;September8,1988;March12,1993andOctober13,1985;June9,2000;June10,2011.1.InterpretationofSubsection4.4:DefinitionofRecurringSalaries.Itisexpectedthatanysalaryincreasesnormallywillbeaddedtorecurringsalaryifrecurringfundsareavailableforthatpurpose.Subsection4.4doesnotgiveanyspecificfacultymemberalegalentitlementorrighttoanincreaseinrecurringsalary.2.InterpretationofSubsection4.5:FinancialStringency.Financialstringencyinsubsection4.5isunderstoodtomeanfinancialdifficultiesthatareunusualinextentandrequireextraordinaryratherthanordinaryresponses.Section11maybeinvokediftheregentsare“facedwiththenecessityofdrasticreductionintheUniversitybudget,”reductionssoseverethattheymay“threaten[the]survival”oftheUniversity.Itisunderstoodthatthefinancialdifficultythatwouldpermitthepresidenttoproposetemporaryreductionsorpostponementsincompensationundersubsection4.5islessseverethanthe“fiscalemergency”outlinedinsection11,butitisalsounderstoodthat“financialstringency”shouldnotbeinvokedtorespondtoforeseeablefluctuationsintheUniversity’sbudgetandfinances.3.InterpretationofSubsection7.12:ReviewofDepartmentalStatements.June9,2000Thefacultyofanacademicunitareexpectedtoperiodicallyreviewtheircriteriaforawardingindefinitetenureandforpromotioninrankandreflectanynewcriteriainarevisionoftheirsubsection7.12Statement.Thenewcriteriaandsubsection7.12StatementmustbeadoptedinaccordancetheestablishedproceduresoftheUniversity,afterconsultationasrequiredbythoseprocedures.Currentprobationaryfacultyintheunitmayelecttobeevaluatedonthecriteriafortenureandpromotionintheprevioussubsection7.12Statementoronthenewcriteria.Thisoptionisalsoavailabletocurrenttenuredfacultyintheirevaluationforpromotiontothenextlevel.Probationaryortenuredfacultymustmakethisdecisionwithinoneyearofthedateofadministrativeapprovalofthenewcriteria.



4.InterpretationofAmendmenttoSubsection10.2:FacultyAssignments.Facultymembersarefreetochoosetopicsforresearchoroutreachandtodiscussallrelevantmattersintheclassroom,inaccordancewiththeprinciplesofacademicfreedomandresponsibility.Theheadoftheacademicunitwillassignindividualfacultymemberstoteachspecificcoursesinaccordancewiththeacademicworkloadstatementandotherpoliciesadoptedbythefacultyofthatunit.Afacultymembermaychallengeanassignmentbyshowingthatitisunreasonable.Anassignmentisunreasonableif:(a)takenasawhole,itexceedstheworkloadexpectedintheworkloadstatementofthatunit,(b)thefacultymemberlacksthebasicqualificationstoteachthecourse,or(c)theassignmentwasmadeinviolationofthefacultymember’sacademicfreedomorinviolationofanotherspecificuniversitypolicy.Thefacultymembershouldcarryouttheteachingassignmentpendingresolutionofanygrievance,unlesstheresponsiblegrievanceorhearingofficerorpanelindicatesthatprovisionalmeasuresareappropriate.5.InterpretationofAmendmentstoSubsections14.1and14.2:TimelyResponsesinCasesofUnrequestedLeaveofAbsence,Termination,orSuspension.Thetimelinesforresponsesbyeithertheinvolvedfacultymemberoradministratormaybeextendedbyagreementofthepartiestotheproceedingorforextraordinarycircumstances.Anagreementofthepartiestoextendthetimelimitshallbeinwriting,signedbybothpartiesortheirrepresentatives.Ifthepartiesdonotagree,eitherpartymayapplytothechairoftheSenateJudicialCommitteeforanextensionofthetimeinwhichtotakethestepsrequiredinthissection.Ifthefacultymemberhasfailedtoactwithinthetimelimitsprescribedinthesesections,theresponsibleadministratormayrequestthechairoftheSenateJudicialCommitteetosetaspecificdatebywhichthefacultymembermusttakeaction;ifthefacultymemberfailstodoso,thepetitionforreviewwillbedismissedwithoutfurtherproceedingsandtherequesteddisciplinaryaction(oranylessersanction)maybetaken.Iftheresponsibleadministratorhasfailedtoactwithinthetimelimitsprescribedinthesesections,thefacultymembermayrequestthechairoftheSenateJudicialCommitteetosetaspecificdatebywhichtheadministratormusttakeaction;iftheadministratorfailstodoso,theproceedingsshallbedismissedandfurtheractioncanbetakenonlybyreinitiatingtheentireproceedings.6.InterpretationofSection15:JudicialCommitteeReviewofDecisionsonPromotions.AsstatedinthePreamble,thetenureregulations"provideacomprehensivesetofpoliciesdealingwiththerelationshipbetweentheUniversityanditsfaculty,"includingdecisionsregardingpromotionsinrankthatmayormaynotinvolvequestionsoftenure.Whenafacultymember'srequestforpromotionisnotapproved,theJudicialCommitteeshallconductareviewinamanneranalogoustothereviewoftenuredecisions(seesubsection7.7).SuchcasesmaybebroughtdirectlytotheJudicialCommitteewithoutarequirementthatthefacultymemberexhaustallotheravailableUniversityremediesbeforebringingthecasetotheJudicialCommittee.7.InterpretationofSubsection6.3:RelationBetweenTenureandPromotion.Regularfacultywithappointmentsasassistantprofessorswithindefinitetenureatthetimeoftheadoptionofthisinterpretationin2011willcontinuetoholdtheseappointmentsuntiltheyretire,subjecttothereviewprovisionsofsubsection7aandasotherwiseprovidedintheseregulations.

policy faculty tenure - university of minnesota · 2020. 7. 30. · board of regents policy:...

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