SECTION 2. ACADEMIC TENURE
a. In general
Academic tenure refers to the conditions and guarantees that apply to a faculty member's employment. More specifically, it refers to the protection of a faculty member against involuntary suspension or discharge from, or termination of, the faculty member's employment by the University except upon specified grounds and in accordance with specified procedures. Those grounds and procedures are exclusively as provided in Section 3 (suspension and discharge) and Section 6 (termination) hereof.
The purposes intended to be served by according the protections of academic tenure to faculty members are to secure their freedom and to aid this University in attracting and retaining faculty members of the high quality it seeks. While academic tenure may be withheld on any grounds other than those specifically stated to be impermissible under Section 4 hereof, its conferral requires an assessment of institutional needs and resources and evidence of service to the academic community, potential for future contribution, commitment to the welfare of the University, and demonstrated professional competence, including consideration of commitment to effective teaching, research, or public service.
b. In relation to faculty ranks
Academic tenure, as herein defined, pertains exclusively to the employment of members of the faculty by appointment to specified faculty ranks. Such appointments may be for fixed terms of employment, automatically terminable upon their expirations ("fixed term appointment"); or they may be for renewable probationary terms ("probationary term appointment"); or they may be continuous until compulsory retirement or earlier resignation or death ("tenured appointment" or "appointment with permanent tenure").
The faculty ranks to which appointments may be made, and the incidents of academic tenure applicable to each, are as follows:
1. Professor. Either promotion or initial appointment to the rank of professor confers permanent tenure from the effective date of the promotion or appointment.
2. Associate Professor. A promotion at any time to the rank of associate professor confers permanent tenure from the effective date of the promotion.
Initial appointment to the rank of associate professor is ordinarily for a probationary term of five years. With the written approval of the immediate supervisor of the department chairman obtained in advance of the initiation of formal appointment procedures, an initial appointment to the rank of associate professor with permanent tenure may be initiated and made effective upon subsequent approval of the appointment by the regularly prescribed procedures for initiation, review and final approval.
No less than 12 months before the end of a five year probationary term appointment as associate professor, a decision shall be made and communicated in writing to the associate professor as to whether he or she will be reappointed upon expiration of the current term. This decision shall be made and communicated as provided in Section 2.c. hereof. No decision need then be made as to the rank to be had upon reappointment. If a decision is made to reappoint and no promotion has been made prior to expiration of the five year term, the associate professor is thereupon reappointed at the rank of associate professor, with permanent tenure.
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3. Assistant Professor. Initial appointment to the rank of assistant professor is for a probationary term of four years. [See Section 7.a.] No less than 12 months before the end of this term a decision shall be made and communicated in writing to the assistant professor as to whether he or she will be reappointed upon expiration of the current term. The decision shall be made and communicated in the manner provided in Section 2.c. hereof. No decision need then be made as to the rank to be had upon reappointment. If a decision to reappoint is made and no promotion is then made prior to the expiration of the current term, the assistant professor is thereupon reappointed for a second probationary term of three years at the rank of assistant professor.
No less than 12 months before the end of such a second term, a decision shall be made and communicated in writing to the assistant professor as to whether he or she will be reappointed upon expiration of the current term. The decision shall be made and communicated as provided in Section 2.c. hereof. If the decision is to reappoint, the notice thereof shall also inform the faculty member whether reappointment will be at the same rank or with promotion to the rank of associate professor; and a faculty member given notice that reappointment will be at the same rank shall be then informed by his or her chairman whether he or she will be reconsidered for promotion prior to the effective date of the reappointment. If a decision to reappoint is made and no promotion is then made prior to the expiration of the current term, the assistant professor is thereupon reappointed at the rank of assistant professor with permanent tenure. Reappointment at the rank of assistant professor following expiration of the second probationary term should be made only in clearly exceptional circumstances.
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4. Instructor. This rank is appropriate for one appointed to the faculty with the expectation that in normal course he or she will progress to the professional ranks in this or another institution.
Initial appointment to the rank of instructor is for a probationary term of one year. The instructor may be reappointed successively for three further one year terms, a total of four such terms. At least 90 calendar days before the end of the first term, 180 calendar days before the end of the second term, and 12 months before the end of the third term, a decision shall be made and communicated in writing to the instructor as to whether upon expiration of that term he or she will be reappointed at the rank of instructor for another term, promoted to the rank of assistant professor, or not reappointed. At least 12 months before the end of a fourth successive term a decision shall be made and communicated in writing to the instructor as to whether upon expiration of that term he or she will be promoted to the rank of assistant professor, or not reappointed. No reappointment to the rank of instructor may be made after four years' employment at that rank. [See Section 7.b.] The decisions herein required and the communication thereof, shall be made as provided in Section 2.c.
Promotion at any time from the rank of instructor to that of assistant professor constitutes an initial appointment at the latter rank, with the incidents described in Section 2.b.(3) hereof. An appointment or reappointment at the rank of instructor may be made on the specified condition that automatically upon the conferral of a specified academic degree the instructor shall be reappointed at the rank of assistant professor. In such cases the effective date of the appointment at the rank of assistant professor shall be retroactive to the effective date of the current appointment as instructor, or to the July 1st or January 1st immediately preceding the conferral of the specified academic degree, whichever is nearest in point of time. [See Section 7.c.]
5. Fixed-term
faculty ranks: lecturer and equivalents. Appointments may be made to
fixed-term faculty ranks with title designations "Lecturer,"
"Artist in Residence," "Writer in Residence," and any of
the faculty rank designations provided in paragraphs (1) through (4) of this
subsection with the prefix-qualifier "Adjunct," "Clinical,"
or "Research," under the conditions and with the incidents herein
provided. Such an appointment, utilizing any of the foregoing title
designations, is appropriate for one who possesses unusual qualifications for
teaching, research, academic administration, or public service from an academic
base, but for whom none of the professorial ranks nor the instructor rank is
appropriate because of the limited duration of the mission for which appointed,
or because of concern for continued availability of special funding for the
position, or for other valid institutional reasons.
Effective
Initial appointment may be for a fixed term of from one to five years.
Subsequent appointments for fixed terms of one to five years' duration may be made either in direct succession or at intervals. Each is considered an initial appointment. No obligation exists on the part of the University to give any notice in advance of expiration of a current term as to whether appointment will be offered for a succeeding term. But upon request of the faculty member made in writing to the chairman of the department concerned not earlier than 180 calendar days nor later than 90 calendar days before the expiration of a current term, the department chairman shall within 20 calendar days thereafter communicate in writing to the faculty member a decision whether such an offer will be made, and if so, its terms. Failure to communicate a decision constitutes notice that no offer will be made.
The decisions herein required shall be made as provided in Section 2.c. hereof.
c. General provisions
(1) Initiation, review, and approval of
appointments, promotions, and reappointments
Each initial appointment with permanent tenure or for a fixed or probationary term longer than one year, each promotion in rank, and each reappointment of an instructor, assistant professor or associate professor shall be initiated by recommendation of the chairman of the department concerned after consultation with the assembled full professors of that department. [See Section 7.d.] Each such recommendation shall be based upon considerations of the demonstrated professional competence and the potential for future contribution of the faculty member, and of the needs and resources of the institution. Initial appointments to terms not exceeding one year may be initiated by the department chairman acting on his or her own initiative. Each such recommendation shall then be reviewed in accordance with prescribed procedures for the particular action, which procedures shall provide for final approval by a designated authority. Final authority for approving any action which confers permanent tenure is in the President and Board of Governors unless by that Board delegated. Final authority for approving all other actions above enumerated is in the Board of Trustees unless delegated.
(2) Decisions not to reappoint upon expiration of
probationary terms
A decision not to reappoint upon expiration of a probationary term at the rank of instructor, assistant professor or associate professor may be made in the first instance by the chairman of the department after consultation with the assembled full professors of the department; or it may be made, following a recommendation to reappoint by the department chairman, by any other officer of administration charged with reviewing such a recommendation. By whatever officer of administration made, a decision not to reappoint is final except as it may subsequently be reviewed in accordance with the provisions of Sections 4 and 8. ["Officer of administration," as used herein, includes department chairmen.] Permissible and impermissible grounds for making a decision not to reappoint are as provided in Section 4.a. hereof. Each decision not to reappoint shall be communicated for information through the administrative channels prescribed for review of a recommendation to reappoint; and notice thereof shall be communicated in writing to the faculty member by the department chairman within the times prescribed by Sections 2.b.(2), (3), and (4) hereof. [Amended 6/20/80]
(3) Failure to give timely notice
(i) If a decision not to reappoint is timely made but not timely communicated as herein required, a one year terminal appointment commencing on the date of expiration of the current term of appointment shall be offered in writing. This offer shall serve as timely notice of nonreappointment upon expiration of the terminal year appointment.
(ii) If no decision whether to reappoint has been made at the time notice thereof is required, the Chancellor (or his or her delegate) shall, immediately upon discovery of the failure, direct the department chairman concerned to initiate the consultation procedure required to make the decision. The decision shall be made within 60 calendar days after the date of direction. If the decision is to recommend reappointment the department chairman shall forward the recommendation through the channels provided for review of such a recommendation. If the decision is not to reappoint, the department chairman shall forward notice thereof for information through the channels for review and shall forthwith give written notice of nonreappointment to the faculty member. If a recommendation to reappoint is given final approval, it operates with the same effect as would have a decision to reappoint timely made and communicated. If a final decision not to reappoint is made at any level, written notice thereof shall forthwith be given to the faculty member by the department chairman. Such notice operates as an offer of a terminal appointment, commencing at the expiration of the current term of appointment and running for one year or, if the most recent term of appointment has expired, commencing with the giving of the notice and expiring one year from the beginning of the regular semester which next follows the giving of notice.
(4) Timing of permanent tenure actions
No recommendation for a promotion or reappointment which under the provisions hereof will confer permanent tenure may be initiated until the faculty member has been in the active employment of the University for at least 18 months. No such recommendation may be initiated which would have an effective date more than 18 months after its initiation. Except as thus expressly limited,
promotions in rank may be made at any time during a faculty member's employment.
(5) Visiting faculty members
Persons other than regular members of the faculty may be appointed as visiting members of the faculty with rank designations, prefixed by the word "Visiting," appropriate to their status in their regular employment. Such appointments shall be for a term of not more than one year. One successive appointment for a term of not more than one year may be made. Appointments are made in accordance with the procedures for appointment of an instructor. During such terms of appointment the visiting faculty member may not be suspended, discharged or terminated except upon the grounds and by the procedures provided respectively in Sections 3 and 6 hereof.
(6) Terms and conditions of appointments
The terms and conditions of each initial appointment and of each reappointment to the faculty shall be set out in writing. A copy thereof, signed by the Chancellor (or his or her delegate), shall be delivered to the faculty member and a copy shall be retained for the Chancellor. The general terms and conditions of such appointments, including those provided herein, shall either be set out in the document of appointment or incorporated therein by clear reference to specified documents which shall be readily available to the faculty member.
Except as may be otherwise expressly provided in the documents of appointment, all appointments to any faculty rank are on the basis of a full-time employment obligation and confer the full incidents of academic tenure pertinent to the particular appointment. [Amended 2/18/94]
Any special terms and conditions shall be clearly stated in the written appointment. Special terms and conditions added by memorandum of amendment must be approved by signature of the Chancellor (or his or her delegate) and the faculty member, with a copy to be retained by each. Except as herein provided, no special terms or conditions may be included which vary the general terms and conditions stated herein. The responsibility for initiating the inclusion of special terms and conditions in documents of appointment is with the chairman or dean recommending the appointment. [Amended 2/18/94]
(i) Continued availability of
special funding
The appointment, reappointment, or promotion of a faculty member to a position funded in whole or in substantial part from sources other than continuing State budget funds or permanent trust funds shall specify in writing that the continuance of the faculty member's services, whether on tenured, probationary or fixed term appointment, shall be contingent upon the continuing availability of funds from sources other than continuing State budget funds or permanent trust funds. Such contingency shall not be included in a promotion to a higher rank if, before the effective date of the promotion, the faculty member had permanent tenure with no such condition attached to his or her tenure; nor shall such a contingency be attached to the appointment of a faculty member if he or she held permanent tenure in the institution on July 1, 1975, and his or her appointment was not then contingent upon the continuing availability of funds from sources other than continuing State budget funds or permanent trust funds.
Further exceptions to this requirement may be made with respect to faculty members in the Division of Health Affairs in accordance with the following policies and procedures. Each year there shall be established for each School in the Division of Health Affairs a maximum amount of funds from sources other than continuing State budget funds, permanent trust funds, and clinical income (treated for this purpose as though it were income from permanent trust funds) which may be used in compensating faculty members without including contingency clauses in their appointments. This maximum amount shall be established for each School in consultations among the Vice-Chancellor for Health Affairs, the Vice-Chancellor for Business and Finance, and the dean of that School, with the approval of the Chancellor. The dean of each School may recommend that an individual appointment be made without inclusion of a contingency clause notwithstanding it is funded in whole or in part from sources other than continuing State budget funds, permanent trust funds, or clinical income, and though it is not covered by either of the exceptions stated in the preceding paragraph, if the amount of funding from such other sources does not cause the agreed maximum for the School to be exceeded. Approval of such recommendation may be declined on any grounds deemed appropriate by the reviewing officers of administration, but in no event shall it be given if the proposed funding of the appointment would cause the maximum applicable to the School to be exceeded.
(ii) Provisions for less than full-time employment
Special terms for less than full-time employment
with commensurate compensation, or for relief from all employment obligations
for a specified period, may be included in an appointment or reappointment to
any faculty rank, or may be added by written memorandum of amendment during the
term of an appointment. For reasons of health, requirements of childbirth or
child care, or similar compelling circumstances, such terms may, with the
concurrence of the faculty member, include extensions of the period of a
current probationary term of appointment at the rank of assistant professor or
associate professor to coincide with the extent and duration of the relief from
employment obligations, up to a maximum of 12 months. [Amended
(ii) Effective
Special terms for less than full-time employment
with commensurate compensation, or for relief from all employment obligations
for a specified period, may be included in an appointment or reappointment to
any faculty rank, or may be added by written memorandum of amendment during the
term of an appointment. For reasons of health, requirements of childbirth or
child care, or similar compelling circumstances, such terms may, with the
concurrence of the faculty member, include extensions of the period of a
current probationary term of appointment at the rank of assistant professor or
associate professor, and thereby the maximum probationary period, to coincide
with the extent and duration of the relief from employment obligations.
Extensions under this subsection (ii) may be granted in increments not to
exceed 12 months, up to a maximum of 24 months (including any extensions that
may have been granted under subsection (iii), below). [Amended
(iii) Special provisions for extending the maximum
probationary period
For reasons of health, requirements of childbirth
or child care, or similar compelling circumstances, a faculty member holding a
probationary term of appointment at the rank of assistant professor or
associate professor may request that the maximum probationary period be
extended for a period not to exceed 12 months (including any extension that may
have been granted under subsection (ii) above), with no resulting change in
normal employment obligations, in order to provide the faculty member
additional time to demonstrate fully his or her professional qualifications for
reappointment or permanent tenure. [Amended
(iii) Effective
For reasons of health, requirements of childbirth
or child care, or similar compelling circumstances, a faculty member holding a
probationary term of appointment at the rank of assistant professor or
associate professor may request a written memorandum of amendment extending the
term of the current appointment and thereby the maximum probationary period
with no resulting change in normal employment obligations, in order to provide
the faculty member additional time to demonstrate fully his or her professional
qualifications for reappointment or permanent tenure. Extensions under this
subsection (iii) may be granted in increments not to exceed 12 months, up to a
maximum of 24 months (including any extensions that may have been granted under
subsection (ii), above). [Amended
(iv) Extension and special
assignment
Any request pursuant to subsection (ii) or (iii) above must be initiated not later than 24 months before the end of the term to which it is to apply and must be approved by the Chancellor. The total extension granted under subsection (ii) and subsection (iii) above cannot exceed 12 months. A request for extension initiated during the third or fourth year of an initial probationary term at the rank of assistant professor shall be granted only upon the condition that the initial appointment is renewed. [Amended 2/18/94]
The provisions of subsections (ii) and (iii) above do not apply to informal temporary adjustments of the regularly assigned duties of faculty members by the department chairman who is responsible for their direct supervision; nor to the granting by the University of extended leaves of absence with or without compensation. [Amended 2/18/94]
(iv) Effective
If possible under the circumstances, requests
pursuant to subsection (ii) or (iii) above should be initiated not later than
24 months before the end of the term to which it is to apply and must be
initiated before the process for evaluating the faculty member for
reappointment has begun. All such extensions must be approved by the Chancellor
before becoming effective. The total of all extensions granted under subsection
(ii) and subsection (iii) above cannot exceed 24 months. [Amended
The provisions of subsections (ii) and (iii) above
do not apply to informal temporary adjustments of the regularly assigned duties
of faculty members by the department chairman who is responsible for their
direct supervision; nor to the granting by the University of extended
leaves of absence with or without compensation. [Amended
(7) Joint
appointments
A faculty member may at one time hold but one faculty appointment at the rank of professor, associate professor, or assistant professor. [See Section 7.e.] This appointment may be held in a single department, or, by joint appointment, in more than one department.
Joint appointments may be made in which the appointee holds in addition to a professorial rank in one department a fixed-term rank in another department, or different fixed-term ranks in different departments. A joint appointment to the faculties of more than one department may be made in accordance with the provisions of this subsection. When an initial joint appointment is to be made, the regular procedures prescribed herein for initial appointment to the rank proposed shall be followed simultaneously by the departments involved in making a joint recommendation for appointment. The joint recommendation shall designate one of the departments as the unit of base appointment, and shall set forth as special terms and conditions for inclusion in the appointing document: the basis of initial funding of the appointment; the procedures agreed to be followed by the departments in making joint decisions respecting promotion, reappointment, and tenure of the joint appointee; and the procedures to be followed by the chairmen in respect of salary adjustments for the joint appointee. If the joint appointment is approved, thereafter the base department is responsible for processing personnel actions affecting the joint appointee, but in respect of each such action the recommendation put forward shall be one jointly concurred in by the departments concerned as required by their agreed procedures for joint consultation and decision.
An appointment to a single department may be converted into a joint appointment. The department chairmen concerned shall jointly put forward through the regular channels for review of initial appointments a recommendation that the existing appointment be converted into a joint appointment. The joint recommendation shall include the same elements required in respect of a recommendation for initial joint appointment. Upon approval of such a recommendation, the joint appointee retains the single rank with the same incidents of academic tenure already possessed. Thereafter, all personnel actions affecting his or her academic tenure shall be processed as provided in the case of an initial joint appointment.
(8) Post-tenure review
The chair of the department shall conduct period reviews of each tenured faculty member’s performance. Reviews must involve faculty peers, examine all aspects of the faculty member’s academic performance, and be conducted no less often than ever five years. The goal of the review is to enhance faculty performance. Comprehensive reviews conducted for other purposes, such as consideration for promotion, may constitute a review under this Section. On petition of the chairman, the Chancellor or his delegate may grant permission to delay a review if the number of reviews to be conducted by a department during a given year would create a burden that would impair the department’s educational mission, or for other good cause. [Amended 9/29/00]
(9) Resignations
A faculty member shall give prompt written notice of his or her resignation, with its effective date, to the chairman of his or her department.