FACULTY TENURE

Adopted: February 9, 1945

Amended: November 22, 1963; April 10, 1964; January 13, 1967; December 8, 1972; March
13, 1981; February 8, 1985; September 13, 1991; March 12, 1993; November 10, 1994;
October 10, 1995; November 7, 1996; December 13, 1996; June 13, 1997; September 12,
1997; June 9, 2000; March 9, 2001; June 8, 2007; June 10, 2011.
Technical Change: March 31, 2016

PREAMBLE

The Board of Regents adopts these regulations with the conviction that a well-
defined statement of rules is essential to the protection of academic freedom and
to the promotion of excellence at the University of Minnesota. A well-designed
promotion and tenure system ensures that considerations of academic quality
will be the basis for academic personnel decisions, and thus provides the
foundation for academic excellence.

Tenure is the keystone for academic freedom; it is essential for safeguarding the
right of free expression and for encouraging risk-taking inquiry at the frontiers
of knowledge. Both tenure and academic freedom are part of an implicit social
compact which recognizes that tenure serves important public purposes and
benefits society. The people of Minnesota are best served when faculty are free to
teach, conduct research, and provide service without fear of reprisal and to
pursue those activities with regard for long term benefits to society rather than
short term rewards. In return, faculty have the responsibility of furthering the
institution's programs of research, teaching, and service, and are accountable
for their performance of these responsibilities. Additionally, a well-designed
tenure system attracts capable and highly qualified individuals as faculty
members, strengthens institutional stability by enhancing faculty members'
institutional loyalty, and encourages academic excellence by retaining and
rewarding the most able people. Tenure and promotion imply selectivity and
choice; they are awarded for academic and professional merit, not for seniority.
The length and intensity of the review leading to the grant of tenure ensures the
retention only of well-qualified faculty committed to the University's mission.

The ideal attributes of the collective faculty of any unit are scholarly creativity,
professional competence and leadership, intellectual diversity, the ability and
desire to teach effectively and the willingness to cooperate with other units in
promoting the work and welfare of the University as a whole. The administration
and faculty should ensure, within each unit, not only a proper balance among
these activities but also the maintenance of each at the highest level, together
with accountability and suitable recognition of individual achievement and
service.

The Faculty Tenure regulations contain both footnotes and interpretations. Footnotes are
numbered and are indicated in the text with the abbreviation [FN#]. Footnotes are shown
at the bottom of each page on which footnote markers appear in the text; these add
information about specific terms or phrases in the regulations. Interpretations are
numbered and are indicated in the text with the abbreviation [INTERP#]. Interpretations
appear at the end of the regulations; these are added to clarify or modify the meaning of a
section or subsection.
The tenure regulations provide a comprehensive set of policies dealing with the
relationship between the University and its faculty. The regulations classify the
faculty as tenured, probationary and term. They provide for annual performance
reviews of all faculty, as well as especially thorough reviews before the granting
of tenure, on promotion in rank, and when the performance of a tenured faculty
member is alleged to be substandard. They provide for the reassignment of
faculty in case of the reorganization of the University or changes in its scholarly
direction, and for discipline when a faculty member fails to meet prescribed
standards of conduct.

DEFINITIONS

For the purposes of this policy, the terms defined in this section have the
meanings given them.

(a) an "academic unit" is a department or similar unit. A school, college or

division that is not further subdivided is also an academic unit.

(b) “faculty member” means every faculty member employed by the University of
Minnesota System.

(c) the "head" of an academic unit is the academic administrator immediately

responsible for it, such as a chair, head or director.

(d) a "collegiate unit" or "college" is a major academic entity of the University. It

may be a college, school, or campus.

(e) the "dean" of a collegiate unit is the academic administrator immediately

responsible for it, such as a dean or director or (on a campus that is not
subdivided into colleges) a vice-chancellor.

(f) a "senior academic administrator" is an officer who has final administrative

review authority on academic personnel decisions, and who reports directly to
the president and regents, such as a vice president, chancellor, or provost. The
president will designate one or more senior academic administrators and define
their respective jurisdictions.

(g) the "executive vice president and provost" is the officer (of whatever title)
holding primary responsibility for the development of University-wide academic
policy. This officer may also serve as senior academic administrator for some or
all of the University, if so designated by the president.

(h) "tenured faculty" are those faculty who hold indefinite tenure.

FACULTY TENURE

Section 1. Academic Freedom.

1.1 Principles. Every member of the faculty is entitled to due process and
academic freedom as established by academic tradition and the constitutions
and laws of the United States and the state of Minnesota and as amplified by
resolutions of the Board of Regents. The Board of Regents hereby reaffirms its
commitment to academic freedom and tenure as reflected in its resolution of
January 28, 1938, in these Faculty Tenure regulations, and in its policy on
Academic Freedom and Responsibility:

The Regents of the University of Minnesota reaffirm the principles

of academic freedom and responsibility. These are rooted in the
belief that the mind is ennobled by the pursuit of understanding
and the search for truth and the state well served when
instruction is available to all at an institution dedicated to the
advancement of learning. These principles are also refreshed by
the recollection that there is commune vinculum omnibus artibus --
a common bond through all the arts.
Academic freedom is the freedom, without institutional discipline
or restraint, to discuss all relevant matters in the classroom, to
explore all avenues of scholarship, research and creative
expression and to speak or write on matters of public concern as
well as on matters related to professional duties and the
functioning of the University.

Academic responsibility implies the faithful performance of

professional duties and obligations, the recognition of the
demands of the scholarly enterprise, and the candor to make it
clear that, when one is speaking on matters of public interest,
one is not speaking for the institution.

1.2 Protection Of Faculty. Denial of faculty appointment or reappointment or

removal or suspension from office or censure or other penalty must not be based
upon any belief, expression or conduct protected by law or by the principles of
academic freedom. Cases of alleged violation of academic freedom may be
brought directly to the Judicial Committee in accordance with section 15.

Section 2. Applicability Of Regulations To Employment Contracts.

These regulations govern the relationship between the Board of Regents and
faculty members, except as inconsistent with the provisions of collective
bargaining agreements. These regulations are part of the contract between the
Board of Regents and faculty members.

Section 3. Faculty Ranks And Types Of Appointments.

3.1 In General. The faculty ranks are professor, associate professor,

assistant professor, and instructor. Faculty appointment is appropriate only if
the person is engaged in teaching or research as defined in subsection 7.11.
Appointments at these ranks are either regular tenured or tenure-track
appointments or term appointments. An appointment must be designated as a
regular or a term appointment when it is made.

3.2 Regular Appointments. A regular appointment either is with indefinite

tenure or is probationary, leading to a decision concerning indefinite tenure
within a specified period of time. A regular appointment may be held only in an
academic unit of a degree-granting college or similar unit. A regular
appointment must be for at least two-thirds time of the faculty member’s
contract year [i.e. either an academic year or twelve months].
A faculty member on probationary appointment is entitled to consideration for
indefinite tenure in accordance with section 7 and to timely notice of
termination in accordance with section 6.

A faculty member with indefinite tenure is entitled to retain that position until
retirement in accordance with University regulations or until the appointment is
terminated pursuant to the provisions of sections 10 or 11.

3.3 Term Appointments. A term appointment is date-specific; that is, the

appointment terminates at the end of a period specified in the appointment
without further notice to the appointee. The senior academic administrator for
the campus or area must give every person appointed to a term faculty position
a statement in writing setting forth the conditions of the appointment, including
the fact that it terminates without further notice.

No number of renewals of a term appointment creates a right to further renewals

or to a decision concerning tenure. Every renewal of a term appointment for the
seventh or succeeding year must be reported to the Tenure Committee with a
justification of the reasons for the continuation of term status.

3.4 Appropriate uses of term appointments. Term appointments are

appropriate and may be used provided one or more of the following conditions is
met:

(a) the duration, the percentage of time, or both require less than service for two-
thirds time for the academic year;

(b) the appointment is designated a Visiting appointment because the faculty

member is from another educational institution or is a qualified professional
from a government or private agency on a leave of absence to accept a temporary
appointment at this University;

(c) the appointment is designated a clinical appointment because the faculty

member is a clinician in the community who gives service to the University part-
time;

(d) the appointment concerns a faculty member who principally is engaged in

and primarily is supported by clinical activities or by discipline-related service.
[FN1]

(e) the appointment is designated an adjunct appointment because the faculty

member's primary employment is outside the University or is in another unit of
the University;

(f) the appointment extends courtesy faculty rank without salary;

(g) the position is subject to the joint control of the University and another
institution;

(h) the specific funding for the position is subject to the discretion of another
agency;

[FN 1] "Service" means performance within the faculty member's expertise, other than
teaching and research as defined in subsection 7.11.
(i) the funding for the position is for a limited time;

(j) the appointment is in a unit or program that is experimental or otherwise

restricted in duration; and

(k) the person is enrolled in a University of Minnesota degree program. A regular

faculty member on a probationary appointment may transfer to term status
during enrollment in such a program if the faculty member and the senior
academic administrator agree. This transfer suspends the running of the
maximum period of probationary service, but the faculty member retains other
rights of regular appointment, including annual review, the right to timely notice
and a terminal appointment period as provided in section 6.

3.5 Administrators' Appointments. Academic administrators may hold

regular or term faculty appointments. Administrative titles and duties are
distinct and severable from such individuals' faculty appointments. Removal
from an administrative position does not impair any rights the individual holds
as a faculty member. Upon leaving an administrative position, the individual
returns to faculty status, with salary and term of appointment reduced by the
amount of the administrative augmentation, if any.

3.6 Special Contracts. These regulations do not bar a faculty appointment

pursuant to a special contract specifying terms or conditions of employment
which are different from those prescribed in these regulations. All other
provisions of these regulations apply to such appointments. Every special
contract must be in writing and must state that it is a special contract entered
into pursuant to this subsection. It must be signed by the faculty member
concerned, by the dean of the collegiate unit in which the faculty member will be
employed and by the senior academic administrator and must be authorized by
the Board of Regents or its expressly authorized delegate. In addition, the senior
academic administrator will annually report to the Tenure Committee the terms
of all special contracts and the reasons for their use.

A special contract may be used to reduce the minimum time of a regular

appointment to one-half time in order to permit a faculty member to devote more
time to family responsibilities. Such a contract must provide for the mutual
responsibilities of the faculty member and the academic unit, including the type
and percent time of the appointment, if any, to which the faculty member is
entitled at the expiration of the special contract. In the case of a probationary
faculty member, the contract will regulate the length of the probationary period,
but the total probationary period may be extended by no more than a total of
three years pursuant to this subsection and subsection 5.5.

Section 4. Terms Of Faculty Employment.

4.1 Written Notice Of Appointment. Each faculty appointment or change of

status is specified in a written notice of appointment issued by or on behalf of
the Board of Regents. The notice must include the following:

(a) Whether the appointment is regular or term;

(b) Whether it is full or part-time and the percentage of time involved;
(c) If for a fixed term, its expiration date;
(d) If regular, whether it is probationary or with indefinite tenure;
(e) Whether it is on a twelve-month, academic year or other specified annual
basis;
(f) The rank of appointment;
(g) The academic unit or units to which the individual is being appointed;
(h) The recurring salary; and
(i) Additional salary as described in subsection 4.4.

The notice is only evidence of the appointment; clerical or computer errors in a

notice of appointment do not affect the terms of the appointment unless the
faculty member reasonably relied upon the mistake and suffered an injustice
because of that reliance. Notices required by this section should be delivered
before the effective date of the appointment or change of status, or as soon
thereafter as is administratively feasible. A probationary appointee must also be
given notice of the applicable maximum probationary period.

4.2 Action By The Board Of Regents. Faculty appointments and renewals

or changes of status become effective when approved by the Board of Regents or
its authorized delegate.

4.3 Changes In Terms Of Appointment Other Than Faculty

Compensation.
Except for raises in rank and except for action expressly authorized by these
regulations, no changes of (a) through (g) items listed in subsection 4.1 may be
made during the term of an appointment except with the agreement of the
faculty member and the Board of Regents or its authorized delegate.

4.4 Faculty Salaries. [INTERP 1] Each faculty member shall receive a

recurring salary, and may also receive an additional salary which may be for
special awards or for activities in addition to regular faculty responsibilities such
as clinical practice, administrative service, overload duties, summer school
teaching and summer research support and similar activities.

Recurring salary will not be decreased except by action expressly authorized in

this section or in sections 7a, 10, 11, or 14 of these regulations or with the
agreement of the faculty member. If a faculty member's recurring salary is
decreased, the amount of the decrease and the reason therefore shall be set
forth in a written notice and provided to the faculty member. No decrease in
recurring salary shall occur in violation of the academic freedom of the faculty
member.

At the time an appointment is made, the offer and written notice of appointment
shall separately state the recurring salary and any additional salary, as
described above, that the faculty member will receive. In each subsequent year,
the faculty member shall be provided with a written notice separately stating
any changes in recurring salary and any changes in additional salary for the
following academic year. A faculty member's recurring salary shall consist of the
initial recurring salary adjusted by any subsequent increase or decrease in
recurring salary provided for in a subsequent written notice. Increases will be
presumed to be in recurring salary unless otherwise identified. For a faculty
member employed when this section takes effect, the initial recurring salary will
be the faculty member's recurring salary at the time this section takes effect,
exclusive of any additional salary designated as special awards or designated as
being for activities in addition to regular faculty responsibilities such as clinical
practice, administrative service, overload duties, summer school teaching,
summer research support and similar activities.
A faculty member whose recurring salary has been decreased may petition for
review of that action under section 15 of these regulations.

4.5 Reduction Or Postponement Of Compensation. If the University or a

collegiate unit is faced with financial stringency that does not amount to a fiscal
emergency, the president may propose a temporary reduction or postponement
in compensation to be allocated to faculty in accordance with a mathematical
formula or similar device. If approved by the Faculty Senate or the appropriate
collegiate assembly, respectively, and the Board of Regents, the recurring salary
of all faculty members in the University or in the designated collegiate units
shall be reduced temporarily in accordance with the formula or device. The
reduction may not continue for longer than two years, unless renewed by the
same procedure. [INTERP 2]

Section 5. Maximum Period Of Probationary Service.

5.1 General Rule. To give the University ample opportunity to determine the
qualifications of those faculty members whom it is considering for regular
appointments with indefinite tenure, the maximum period of probationary
service of a faculty member is normally six academic years, whether consecutive
or not. The faculty assembly of a collegiate unit may propose to alter the
maximum probationary period for all of that college, or for certain units within
it, to no more than nine years. The tenured faculty of a college, by simple
majority vote taken by secret ballot, may adopt such a change, with the approval
of the dean and of the senior academic administrator. Any such change in the
maximum probationary period applies to all probationary faculty hired in that
college (or those units) after the decision, but any incumbent probationary
faculty member may choose to be considered under the new rule. At the end of
this probationary period, the faculty member must either be given a regular
appointment with indefinite tenure or a one-year terminal appointment.

5.2 Early Decisions Permitted. These regulations do not prevent the

granting of indefinite tenure prior to the expiration of the maximum period of
probationary service and do not prevent a decision to terminate an appointee's
probation prior to the end of the appointee's maximum probationary service, if
timely notice is given.

5.3 Crediting Of Academic Year. A faculty member is considered to have

served an academic year if the faculty member serves at least two-thirds time
during the faculty member's contract year [i.e. either an academic year or twelve
months].

Unless otherwise agreed in writing, periods during which a faculty member is on

a single-semester or other paid professional-development leave or is on leave to
teach or conduct research at another academic institution, count as
probationary service. Periods in which the faculty member is on sick or disability
leave, or is on leave in some non-faculty capacity, do not count as probationary
service.

If a faculty member transfers to a position outside of the regular faculty, the

time spent in the other position does not count as probationary service for the
purpose of section 5.
5.4 Prior Service.

5.41 In This University. Every academic year during which a faculty member
has previously served at least two-thirds time under a regular appointment at
this University reduces the maximum period of probationary service by one year.

5.42 Elsewhere. If a faculty member has previously served in regular faculty

positions, as defined in these regulations, in one or more accredited universities
or colleges, every academic year of such service (not exceeding three) reduces the
maximum period of probationary service by one year.

5.43 Exceptions Permitted. If the prior service was in a different discipline,

was in an academic unit or institution with teaching or research goals not
comparable to those of the present appointment, or was too long ago to provide
good evidence of the appointee's current professional development, the Board of
Regents or its expressly authorized delegate may make an exception in writing at
or near the beginning of the probationary period.

5.5 Extension Of Maximum Probationary Period For New Parent Or

Caregiver, Or For Personal Medical Reasons.

Upon the written request of a probationary faculty member, the maximum

period of that faculty member’s probationary service will be extended by one
year at a time for each request:

(a) On the occasion of the birth of the faculty member's child or placement
of an adoptive/foster child with the faculty member. Such a request for
extension will be granted automatically if the faculty member notifies the unit
head, dean, and executive vice president and provost in writing that the faculty
member is eligible for an extension under subsection 5.5 because of the birth or
adoption/foster placement; or

(b) If the faculty member is a major caregiver for a family member with an
extended serious illness, injury, or debilitating condition and the executive vice
president and provost determines that the circumstances have had or are likely
to have a substantial negative impact on the faculty member’s ability to work
over an extended period of time;

(c) If the faculty member has an extended serious illness, injury, or debilitating
condition, and the executive vice president and provost determines that the
circumstances have had or are likely to have a substantial negative impact on
the faculty member’s ability to work over an extended period of time. If the
faculty member’s illness, injury, or debilitating condition reduces the faculty
member’s ability to work to less than two-thirds time during the faculty
member’s contract year [i.e., the academic year or twelve months], the
probationary period is automatically extended by one year in accordance with
subsection 5.3.

“Family member” means a faculty member’s spouse or domestic partner, child,

or other relative. “Child” includes a biological child, an adopted or foster child,
and the child of a spouse or domestic partner.

The probationary period may be extended for no more than three years total,
except that the extension may be for no more than one year total for (1) an
instructor with a probationary appointment under subsection 6.22 or (2) an
associate professor or professor with a three-year probationary appointment
under subsection 6.21.

The notification of birth or adoption/foster placement for provision (a) and the
request for extension for provisions (b) and (c) in this subsection must be made
in writing within one year of the events giving rise to the claim and no later than
June 30 preceding the year a final decision would otherwise be made on an
appointment with indefinite tenure for that faculty member.

A request for an extension under provision (b) or (c) will not be denied without
first providing the faculty member making the request with an opportunity to
discuss the request in a meeting with an administrator designated by the
executive vice president and provost. A claim that a request for an extension
under provision (b) or (c) was improperly denied may be considered in any
subsequent review by the Senate Judicial Committee of a termination under
subsection 7.7.

Section 6. Tenure And Promotion For Probationary Faculty Members.

6.1 In General. A regular probationary appointee is a candidate for indefinite

tenure. A probationary appointment continues until it is superseded by an
appointment with indefinite tenure or until terminated by timely notice or by
resignation. Regular probationary appointments are normally made at the rank
of assistant professor, but may be made at the rank of instructor, associate
professor, or professor.

6.2 Requirements For Notice Requirements of Termination. Except as

provided below, a probationary appointment may be terminated at the end of
any academic year by giving the faculty member notice of termination (in the
form provided in section 17) not later than May 15 of the preceding academic
year. The notice must inform the faculty member of the right to request a
hearing before the Judicial Committee and must advise the faculty member of
the applicable time limit for making such a request.

6.21 Associate Professors And Professors On Probationary Appointments.

An initial probationary appointment at the rank of associate professor or
professor may specify in writing that it is for a minimum period of three years. In
such a case, the probationary period is three years and the appointment may
not be terminated before the end of the third year except as otherwise provided
in these regulations; notice for such a termination must be given to the faculty
member not later than May 15 of the second year of service, to take effect at the
end of the third year of service.

6.22 Instructors On Probationary Appointments. An initial probationary

appointment at the rank of instructor may be made only if the candidate has not
yet received the terminal degree necessary for appointment as an assistant
professor in the unit.

A probationary appointment at the rank of instructor may be for no more than

two years. A one-year appointment may be terminated at the end of the first year
by notice given not later than March 1 of that year. A two-year appointment may
be terminated at the end of the second year by notice given not later than
December 15 of that year. In all other respects such appointments are governed
by the notice provisions specified in subsection 6.2.
The duration of the appointment as an instructor with probationary status
counts toward the appointee’s maximum period of probationary service under
subsection 5.1. At the end of the probationary period as an instructor, the
faculty member must be promoted to the rank of assistant professor or receive
notice of termination.

6.3 Relation Between Tenure And Promotions.

Only regular faculty members at the ranks of associate professor and professor
may hold indefinite tenure. [INTERP 7]

The granting of indefinite tenure to an assistant professor on a probationary

appointment must be accompanied by promotion to associate professor. The
promotion of an assistant professor on a probationary appointment to the rank
of associate professor must be accompanied by an appointment with indefinite
tenure. The choice whether to award tenure and to promote is presented as a
single question for faculty vote.

An associate professor with a probationary appointment may be granted

indefinite tenure without a promotion in rank.

The promotion of an associate professor on a probationary appointment to the

rank of professor must be accompanied by an appointment with indefinite
tenure.

Promotion of an instructor to the rank of assistant professor is not accompanied

by an appointment with indefinite tenure.

6.4 Effect Of Procedural Errors. A probationary faculty member is not

entitled to an appointment with indefinite tenure merely because the University
failed to give timely written notice of termination of an appointment or because
the appointment was extended for any reason beyond the maximum
probationary period. In such a case, the University may in its sole discretion:

(a) Grant an appointment with indefinite tenure;

(b) Grant a further probationary appointment, if this would not exceed the
maximum probationary period; or
(c) Grant a terminal appointment ending at the end of the first full academic
year which follows the May 15th after proper notice is given.

Section 7. Personnel Decisions Concerning Probationary Faculty.

7.1 Criteria For Decisions.

7.11 General Criteria. What the University of Minnesota seeks above all in its
faculty members is intellectual distinction and academic integrity. The basis for
awarding indefinite tenure to the candidates possessing these qualities is the
determination that each has established and is likely to continue to develop a
distinguished record of academic achievement that is the foundation for a
national or international reputation or both [FN2]. This determination is reached
through a qualitative evaluation of the candidate's record of scholarly research
or other creative work, teaching, and service [FN3].

The relative importance of these criteria may vary in different academic units,
but each of the criteria must be considered in every decision [FN4].
Demonstrated scholarly or other creative achievement and teaching effectiveness
must be given primary emphasis; service alone cannot qualify the candidate for
tenure.

Interdisciplinary work, public engagement, international activities and

initiatives, attention to questions of diversity, technology transfer, and other
special kinds of professional activity by the candidate should be considered
when applicable. The awarding of indefinite tenure presupposes that the
candidate's record shows strong promise of his or her achieving promotion to
professor.

[FN 2] "Academic achievement" includes teaching as well as scholarly research and other
creative work. The definition and relative weight of the factors may vary with the mission
of the individual campus.

[FN 3] The persons responsible and the process for making this determination are
described in subsections 7.3 through 7.6.

"Scholarly research" must include significant publications and, as appropriate, the

development and dissemination by other means of new knowledge, technology, or
scientific procedures resulting in innovative products, practices, and ideas of significance
and value to society.

"Other creative work" refers to all forms of creative production across a wide range of
disciplines, including, but not limited to, visual and performing arts, design, architecture
of structures and environments, writing, media, and other modes of expression.

"Teaching is not limited to classroom instruction. It includes extension and outreach

education, and other forms of communicating knowledge to both registered University
students and persons in the extended community, as well as supervising, mentoring, and
advising students.

"Service" may be professional or institutional. Professional service, based on one's

academic expertise, is that provided to the profession, to the University, or to the local,
state, national, or international community. Institutional service may be administrative,
committee, and related contributions to one's department or college, or the University.
All faculty members are expected to engage in service activities, but only modest
institutional service should be expected of probationary faculty.

[FN 4] Indefinite tenure may be granted at any time the candidate has satisfied the
requirements. A probationary appointment must be terminated when the appointee fails
to satisfy the criteria in the last year of probationary service and may be terminated
earlier if the appointee is not making satisfactory progress within that period toward
meeting the criteria.
7.12 Departmental Statement. [FN5] Each department or equivalent
academic unit must have a document that specifies (1) the indices and
standards that will be used to determine whether candidates meet the threshold
criteria of subsection 7.11 ("General Criteria" for the awarding of indefinite
tenure); (2) the indices and standards that will be used to determine whether
candidates meet the threshold criteria of subsection 9.2 ("Criteria for Promotion
to Professor"); and (3) the goals and expectations to be used in evaluating faculty
members’ performance under subsection 7a (“Review of the Performance of
Faculty Members”). The document must contain the text and footnotes of
subsections 7.11 and 9.2, and must be consistent with the criteria given there
but may exceed them. Each departmental statement must be approved by a
faculty vote (including both tenured and probationary members), the dean, and
other appropriate academic administrators, including the executive vice
president and provost. The chair or head of each academic unit must provide
each probationary faculty member with a copy of the Departmental Statement at
the beginning of the probationary service. [INTERP 3]

7.2 Annual Review. The tenured faculty [FN6] of each academic unit
annually reviews the progress of each probationary faculty member toward
satisfaction of the criteria for receiving tenure. The head of the unit prepares a
written summary of that review and discusses the candidate's progress with the
candidate, giving a copy of the report to the candidate.

7.3 Formal Action By The Faculty. The tenured faculty of the academic
unit may recommend that a probationary faculty member be granted indefinite
tenure or that the appointment be terminated. If it does neither, it is presumed
to recommend a renewal of the appointment. In the final probationary year, if
the tenured faculty does not recommend an appointment with indefinite tenure,
it must recommend termination of the appointment. The recommendation is
made by a vote of the regular faculty with indefinite tenure in the unit. The
presiding officer is not disqualified from voting merely because of office.

7.4 Procedures For Taking Formal Action. The academic unit must
observe University procedures established as provided in subsection 16.3. These
procedures will provide the following:

(a) A good faith effort is made to gather all relevant information necessary to the
decision. The academic units have the primary obligation to assemble the file,
but the faculty member also has the right to add any material the faculty
member considers relevant.

(b) The decision is made by vote, by written unsigned secret ballot, at a meeting
of the regular faculty who have indefinite tenure in the academic unit. The rules
may provide for absentee ballots by informed absent faculty members.

[FN 5] “Departmental” refers to an academic department or its equivalent, such as

division, institute, or unit.

[FN 6] As used in this policy, “tenured faculty” means those members of the faculty who
hold indefinite tenure.
(c) Persons who have or have had a family or similar relationship to the
candidate do not participate in the decision. The procedures may establish
methods for raising and ruling on such questions in advance of the decision.

(d) Action is to be taken by majority vote. An academic unit may adopt a

uniformly applicable rule that a motion to recommend tenure must achieve a
specified exceptional majority in order to constitute an affirmative
recommendation of that unit. In such case a motion which achieves a majority,
but not the required exceptional majority, must be sent forward for review by the
appropriate review process despite the absence of the unit's affirmative
recommendation.

(e) The unit shall report the vote of the faculty, together with the reasons for the
action taken. This statement of reasons must take the form of a summary of
both majority and minority views which have substantial support which were
expressed in the course of formal consideration of the action. All statements
must be made without personal attribution. A preliminary draft is open to
members of the faculty eligible to vote so they may comment and suggest
changes. The final draft is sent to the affected faculty member and is open to the
faculty eligible to vote.

(f) Before submitting a formal recommendation for an appointment with

indefinite tenure or for termination of a probationary appointment, the head of
the academic unit informs the appointee of the recommendation and gives the
appointee a copy of the final report. The appointee may submit any comments
upon the report to the academic administrator who will review the report, with a
copy to the head of the academic unit.

7.5 Nondisclosure Of Grounds For Recommendation Of Termination. The

reasons for a recommendation to terminate a probationary appointment may not
be disclosed, except as part of the review process, unless the faculty member
requests such disclosure or makes a public statement concerning the reasons
for termination.

7.6 Review Of Recommendations. Recommendations of academic units to

grant indefinite tenure or to terminate probationary appointments are reviewed
at the collegiate and university levels.

7.61 Procedures. The review must be conducted according to University

procedures, established as provided in subsection 16.3. These procedures must
provide for review and recommendations by the head of the academic unit, by
the dean of the collegiate unit, by faculty committees at the collegiate or
University level, and, when appropriate, by other academic administrators. The
review must be conducted on the basis of the standards and criteria established
by subsections 7.11 and 7.12 and the applicable rules and procedures. The
rules may permit an administrator to refer the matter back to the unit for
reconsideration, but if the administrator and the unit do not agree after such
reconsideration, both the recommendation and the administrator's comments
must be sent forward for final administrative action. A copy of each review or
recommendation must be supplied to the faculty member. The faculty member
may comment thereon in writing to those who will review the matter further.

7.62 Conflict Of Interest. No one may participate both in an initial

recommendation by an academic unit and in a subsequent review of that
recommendation, except that the head of the academic unit may make the initial
administrative review. No one who has participated in a recommendation or
review may thereafter serve as a member of the Judicial Committee in further
consideration of that case.

Members of the Judicial Committee may not serve on collegiate or University

review committees. Members of the Judicial Committee may participate in initial
recommendations by their own academic units, but are disqualified from
thereafter participating in Judicial Committee consideration of those decisions.

7.63 Final Administrative Action. The University may not act contrary to the
recommendation of the academic unit which made the initial recommendation
except for substantive reasons which must be stated in writing by the senior
academic administrator to the faculty member, to the members of the academic
unit which made the recommendation, and to the president. The fact that
participants in the review process have recommended against the unit's initial
recommendation is not, by itself, a substantive reason.

The senior academic administrator takes the steps necessary to make the
necessary appointment or to give notice of termination.

7.7 Improper Termination Of Probationary Appointments. A person

holding a regular probationary appointment who has been given notice of
termination may petition the Judicial Committee to review that action. The
Judicial Committee will not base its ruling on the merits of the decision itself,
but will review allegations that the decision was based in significant degree upon
any of the following:

(a) Personal beliefs, expressions or conduct which fall within the liberties
protected by law or by the principles of academic freedom as established by
academic tradition and the constitutions and laws of the United States and the
state of Minnesota;

(b) Factors proscribed by applicable federal or state law regarding fair

employment practices;

(c) Substantial and prejudicial deviation from the procedures prescribed in

subsections 7.4 and 7.6 and the procedural rules promulgated pursuant to
those subsections;

(d) Failure to consider data available at the time of decision bearing materially
on the faculty member's performance;

(e) Demonstrable material prejudicial mistakes of fact concerning the faculty

member's work or conduct;

(f) Other immaterial or improper factors causing substantial prejudice; or

(g) Other violation of University policies or regulations.

Such proceedings are governed by section 15.

Section 7a. Review Of Faculty Performance

7a.1. Goals And Expectations. The faculty of each academic unit must
establish goals and expectations for all faculty members, including goals and
expectations regarding teaching, scholarly productivity, and contributions to the
service and outreach functions of the unit. The factors to be considered will
parallel those used by the unit in the granting of tenure, but will take into
account the different stages of professional development of faculty. The goals
and expectations will be established in accordance with standards established
by the University Senate. They can provide for flexibility, so that some faculty
members can contribute more heavily to the accomplishment of one mission of
the unit and others to the accomplishment of other missions. The goals and
expectations shall not violate the individual faculty member's academic freedom
in instruction or in the selection of topics or methods for research. They shall
include reasonable indices of acceptable performance in each of the areas (e.g.,
teaching contributions and evaluations, scholarly productivity, service,
governance and outreach activities). The dean reviews the goals and
expectations of each unit and may request changes to meet the standards of the
University and of the collegiate unit.

7a.2. Annual Review. Each academic unit, through its merit review process
(established in accordance with the standards adopted by the senate), annually
reviews with each faculty member the performance of that faculty member in
light of the goals and expectations of the academic unit established under
subsection 7a.1. This review is used for salary adjustment and faculty
development. The faculty member will be advised of the evaluation and, if
appropriate, of any steps that should be taken to improve performance and will
be provided assistance in that effort. If the head of the unit and a peer merit
review committee elected for annual merit review within that unit both find a
faculty member's performance to be substantially below the goals and
expectations adopted by that unit, they shall advise the faculty member in
writing, including suggestions for improving performance, and establish a time
period (of at least one year) within which improvement should be demonstrated.

7a.3. Special Peer Review In Cases Of Alleged Substandard Performance

By Tenured Faculty. If, at the end of the time period for improvement described
in the previous paragraph, a tenured faculty member's performance continues to
be substantially below the goals and expectations of the unit and there has not
been a sufficient improvement of performance, the head of the academic unit
and the elected peer merit review committee may jointly request the dean to
initiate a special peer review of that faculty member. Before doing so, the dean
shall independently review the file to determine that special peer review is
warranted. (in the case of an academic unit that is also a collegiate unit, the
request shall be made to and the review conducted by the responsible senior
academic administrator.) The special peer review shall be conducted by a panel
of five tenured faculty members of equal or higher rank, selected to review that
individual. The faculty member under review shall have the option to appoint
one member. The remaining members shall be elected by secret ballot by the
tenured faculty of the unit. The members of the special review panel need not be
members of the academic unit. The special review panel shall provide adequate
opportunity for the faculty member to participate in the review process and shall
consider alternative measures that would assist the faculty member to improve
performance. The tenure subcommittee may adopt rules and procedures
regulating the conduct of such reviews. The special review panel shall prepare a
report on the teaching, scholarship, service, governance, and (when appropriate)
outreach performance of the faculty member. It will also identify any supporting
service or accommodation that the University should provide to enable the
faculty member to improve performance. Depending on its findings, the panel
may recommend:
(a) that the performance is adequate to meet standards and that the review be
concluded;

(b) that the allocation of the faculty member's expected effort among the
teaching, research, service and governance functions of the unit be altered in
light of the faculty member's strengths and interests so as to maximize the
faculty member's contribution to the mission of the University;

(c) that the faculty member undertake specified steps to improve performance,
subject only to future regular annual reviews as provided in subsection 7a.2;

(d) that the faculty member undertake specified steps to improve performance
subject to a subsequent special review under subsection 7a.3, to be conducted
at a specified future time;

(e) that the faculty member's performance is so inadequate as to justify limited

reductions of salary, as provided in subsection 7a.4;

(f) that the faculty member's performance is so inadequate that the dean should
commence formal proceedings for termination or involuntary leave of absence as
provided in sections 10 and 14; or

(g) some combination of these measures.

The panel will send its report to the dean, the head of the academic unit, and
the faculty member. Within 30 work days of receiving the report, the faculty
member may appeal to the Judicial Committee, which shall review the report in
a manner analogous to the review of tenure decisions (see subsection 7.7).

7a.4. Salary Reductions. If the special review panel recommends that the
faculty member's performance is so inadequate as to justify limited reductions of
recurring salary, the head of the academic unit, with the approval of the dean,
may reduce the faculty member's recurring pay, subject to the following
limitations:

(a) the amount of the decrease will not exceed 10% of the faculty member's
recurring salary on the basis of any one special review;

(b) recurring salary may not be reduced by more than 25% from the highest level
of recurring pay ever held by the faculty member;

(c) at least six months' notice of the decrease must be given;

(d) any decrease in recurring salary may be restored by the annual review
process provided in subsection 7a.2.

Within 30 work days of notice of the decrease, the faculty member may appeal
this action to the Judicial Committee, which shall review the action and the
recommendation leading to it in a manner analogous to the review of tenure
decisions (see subsection 7.7). This review may not reconsider matters already
decided by the Judicial Committee under subsection 7a.3. Any decrease in
recurring pay beyond the limits specified in this subsection can only be imposed
pursuant to sections 4.5, 10, 11, and 14.
7a.5. Peer Review Option. Upon application to it by the dean and faculty (or
the elected faculty assembly) of a collegiate unit, the Faculty Senate may adopt a
system of peer review of performance of faculty of that unit different from the
system set forth in sections 7a.1 through 7a.4 if in the Faculty Senate's
judgment so proceeding is in the University's interest.

Section 8. Improper Refusal Of A New Appointment To A Term Faculty

Member.

A person holding a term faculty appointment who has been refused a renewal of
that appointment or has applied for and been refused a regular or a different
term faculty appointment within six months of the end of that appointment may
petition the Judicial Committee to review the refusal, but only on the ground
that the decision was based in significant degree upon one or more of the
following:

(a) Personal beliefs, expressions or conduct which fall within the liberties
protected by law or by the principles of academic freedom as established by
academic tradition and the constitutions and laws of the United States and the
state of Minnesota;

(b) Factors proscribed by applicable federal or state law regarding fair

employment practices;

(c) Essential and substantial written misrepresentation of the nature of the

original appointment; or

(d) Other violation of University policies or regulations.

Such proceedings are governed by section 15.

Section 9. Personnel Decisions for Associate Professors and Professors.

9.1 Appointment of Associate Professors and Professors With Indefinite

Tenure. Initial appointments with indefinite tenure may only be made at the
rank of associate professor or professor. Such appointments may be made only
after receiving the recommendation of the regular faculty holding indefinite
tenure in the academic unit concerned.

9.2 Criteria for Promotion to Professor. The basis for promotion to the rank
of professor is the determination that each candidate has (1) demonstrated the
intellectual distinction and academic integrity expected of all faculty members,
(2) added substantially to an already distinguished record of academic
achievement, and (3) established the national or international reputation (or
both) ordinarily resulting from such distinction and achievement [FN 7]. This
determination is reached through a qualitative evaluation of the candidate's

[FN 7] “Academic achievement” includes teaching as well as scholarly research and other
creative work. The definition and relative weight of the factors may vary with the mission
of the individual campus. Not being promoted to the rank of professor will not in itself
result in special post-tenure review of a tenured associate professor.
record of scholarly research or other creative work, teaching, and service [FN 8].
The relative importance of these criteria may vary in different academic units,
but each of the criteria must be considered in every decision. Interdisciplinary
work, public engagement, international activities and initiatives, attention to
questions of diversity, technology transfer, and other special kinds of
professional activity by the candidate should be considered when applicable. But
the primary emphasis must be on demonstrated scholarly or other creative
achievement and on teaching effectiveness, and service alone cannot qualify the
candidate for promotion.

Section 10. Unrequested Leave Of Absence For Disability And Disciplinary

Action

10.1 Unrequested Leave Of Absence For Disability. A faculty member who

is physically or mentally unable to perform reasonably assigned duties may be
placed on unrequested leave of absence. The faculty member is entitled to sick
pay and disability insurance payments in accordance with University policy. The
faculty member has a right to return to the faculty upon termination of the
disability or upon cessation of disability payments.

10.2 Disciplinary Action. [INTERP 4]

10.21. Termination Or Suspension Of A Faculty Appointment Before Its

Expiration. A faculty appointment may be terminated or suspended before its
ordinary expiration only for one or more of the following causes:

(a) sustained refusal or failure to perform reasonably assigned duties

adequately;
(b) unprofessional conduct which severely impairs a faculty member's fitness in
a professional capacity;
(c) egregious or repeated misuse of the powers of a professional position to solicit
personal benefits or favors;
(d) sexual harassment or any other egregious or repeated unreasonable conduct
destructive of the human rights or academic freedom of other members of the
academic community; or
(e) other grave misconduct manifestly inconsistent with continued faculty
appointment.

10.22 Minor Disciplinary Actions. Minor sanctions, such as a letter of

reprimand in the faculty member's file, or the like, may be imposed for
significant acts of unprofessional conduct. For minor sanctions, the dean may
impose the sanction after providing the faculty member notice of the proposed

[FN 8] The persons responsible for this determination are the full professors in the unit
who are eligible to vote. The outcome of the vote is either promotion to the rank of
professor or continuation in rank as an associate professor. The procedures for voting are
identical to those outlined in subsection 7.4 for the granting of indefinite tenure, the
nondisclosure of grounds for the decision (subsection 7.5), and the review of
recommendations (subsection 7.6). In addition, a petition to the Judicial Committee for
review of a recommendation of continuation in rank as an associate professor follows the
procedures specified in subsection 7.7 for decisions about promotion to associate
professor and conferral of indefinite tenure.

See the definitions of "scholarly research," "other creative work," "teaching," and "service"
in footnote [3]. A greater contribution in the area of institutional service is expected of
candidates for the rank of professor than was expected for the award of tenure.
action and of the reason that it has been proposed and giving the faculty
member an opportunity to respond. If the faculty member files a grievance under
the University grievance policy to challenge a minor disciplinary matter, the
sanction shall be held in abeyance until the conclusion of the proceeding. The
grievance panel shall have jurisdiction to consider all claims raised by the
faculty member, and if the case goes to arbitration, the arbitrator shall be an
individual with experience in academic matters.

10.3 Procedures. A faculty member may be placed on unrequested leave of

absence or a faculty appointment may be terminated or suspended for these the
reasons specified in subsection 10.21 only in accordance with the procedures
set forth in section 14.

Section 11. Fiscal Emergency.

11.1 Faculty Rights. The Board of Regents, if faced with the necessity of
drastic reduction in the University budget, has the power to suspend or abolish
positions, or even entire departments, divisions, or other administrative units. If
confronted with such adverse contingency, the board will consult with and
secure the advice of faculty representatives, as provided in this section. Faculty
members have the right to full access to information about the situation and the
alternatives being considered. In effecting retrenchment because of financial
necessity, the regents will make reductions in faculty positions only to the extent
that, in their judgment, is necessary after exploring various alternative methods
of achieving savings. The regents fully intend that the tenure system as a whole
and the tenure rights of each individual faculty member be protected in every
feasible manner during periods of such retrenchment.

11.2 General Principles Of Priority. The following general principles of

priority apply in any financial crisis.

(a) first, the University must fully utilize all means consistent with its continued
existence as an institution of high academic quality to reduce expenses or to
increase income which do not involve the termination of faculty positions or the
impairment of faculty rights.

(b) second, the University may consider alternatives which involve only the
temporary reduction or postponement of faculty compensation or the reduction
of fringe benefits.

(c) only thereafter may the University suspend or terminate faculty positions in
accordance with the section.

11.3 First Stage: Alternative Approaches. If there has been a serious

reduction in the University's income, the president will report the matter to the
Senate Consultative Committee. The president will identify the magnitude of the
shortfall, the measures which might be taken to alleviate it (which must not
involve impairment of faculty rights), and alternative measures which have been
rejected. The president will give the committee full access to all available
information and will respond specifically to additional proposals suggested by
the committee. At this stage, the University will consider reductions in other
expenses. It will also consider increases in tuition, sales of assets, and
borrowing. These steps will be implemented by the president or the Board of
Regents as is appropriate.
11.4 Second Stage: Reduction Or Postponement Of Compensation. If the
University has implemented all of the measures which are required to be
considered in the first stage, which are consistent with its continued operation
as an institution of high academic quality, and they are inadequate to meet the
shortfall, the president may, after consultation with the Faculty Consultative
Committee, propose the temporary reduction or postponement of faculty
compensation for a predetermined period not to exceed one year, according to a
mathematic formula or similar device. The Faculty Consultative Committee will
report on the adequacy of the steps taken in the first stage and make its
recommendations on the proposal. If the Faculty Senate approves the proposed
action (or any modification of it) by an absolute majority of its membership or by
a two-thirds vote of the members present and voting (a quorum being present),
the Board of Regents may take that action (or any less stringent action) and, to
that extent, modify the terms of the appointments of all faculty members. The
Board of Regents may rescind the action at any time thereafter. Such action may
be repeated by the same procedures.

11.5 Third Stage: Fiscal Emergency. If there has been a reduction of the
University's income which is so drastic as to threaten its survival, and this
threat cannot be alleviated by the measures specified above, the Board of
Regents may declare a fiscal emergency. During such an emergency, the Board
of Regents may terminate or suspend faculty appointments as provided in this
section.

11.51 Preliminary Procedures. Before recommending to the Board of Regents

that it declare a fiscal emergency, the president must meet with the Senate
Consultative Committee to examine alternatives to and consequences of such a
declaration. The president must provide the committee access to all available
information. The president must provide a written report identifying the dollar
amount to be saved by reducing faculty positions. This report must also identify
the dollar amount proposed to be saved by any other measures to be taken,
including the level of any concurrent reductions in non-faculty staff during the
emergency. The Faculty Consultative Committee will prepare a written report on
the president's proposal, to which the Senate Consultative Committee may add
additional comments. The Faculty Senate will first consider and act on the
proposal and reports. Thereafter, the University Senate may consider them. The
president must attend both senate meetings to explain the proposal and to
answer questions.

After receiving the president's recommendation and the resolutions of the

senates, the Board of Regents may declare a state of fiscal emergency. Before
action contrary to the recommendation of the University Senate is subsequently
taken, the president must report in writing and in person the reasons for this
action to the Senate Consultative Committee. The Board of Regents' resolution
states the maximum amount to be realized from termination or suspension of
faculty appointments.

11.52 Duration. A fiscal emergency lasts no longer than 12 months unless

renewed by the same procedure. A fiscal emergency may be rescinded at any
time by the Board of Regents.

11.53 Allocation Of Shortfall. After consultation with the Faculty Consultative

Committee and the Senate Consultative Committee, the president proposes an
initial allocation of the shortfall to the various collegiate units, which need not
be prorated. The committee must obtain the views of the faculty in the affected
units and must hold an open meeting at which anyone may comment upon the
proposed action. It may also request the assistance of other University or Senate
committees in studying all or particular aspects of the educational policies and
priorities involved in the action. The colleges and campuses then allocate the
shortfall to the various academic units after similar consultation with the
representative bodies and academic units in the colleges and similar open
meetings. The plans must reflect the principles and priorities established in
subsection 11.6. The colleges and campuses return their plans to the executive
vice president and provost, who prepares a comprehensive plan for the
University, including a list of the persons whose appointments will be
suspended or terminated. This plan is submitted to the University Senate and
the Faculty Senate for their recommendation. The recommendations of the
senate and the executive vice president and provost's plan will be presented to
the president and the Board of Regents for action.

11.6 Principles Governing Termination Or Suspension.

11.61 General Principles.

(a) Savings achieved through resignations, retirements, renegotiations of

contracts, inloading or other measures must be credited to the assigned shortfall
before terminating or suspending faculty appointments.

(b) A good faith effort should be made to use temporary suspensions or

voluntary furloughs rather than terminations. In this third stage, the Board of
Regents may impose the temporary or permanent reduction of faculty
compensation or the reduction of fringe benefits, in excess of those approved in
the second stage. Suspensions without pay for no more than one-third of the
annual appointment in any year may be ordered in accordance with objective
criteria, provided that faculty members are given at least six months notice.

(c) Terminations may not be used in case of a short-term financial crisis, but
only if the circumstances are such that the shortfall is reasonably expected to
continue over a substantial number of years.

(d) A good faith effort must be made to cover as much of the shortfall as possible
by allowing non-regular appointments to lapse and by giving notice to
probationary faculty in accordance with the terms of their appointments.

(e) A good faith effort must be made to cover as much of the shortfall as possible
by transferring faculty members to other positions for which they are qualified
or by offering them retraining for available positions.

(f) The selection of faculty members within an academic unit for termination
must be made on objective criteria. It may not involve a comparative evaluation
of the relative merits of individuals or a repetition of the tenure-granting
process.

11.62 Priorities.

(a) Unless the unit can demonstrate that essential functions could not otherwise
be performed:
1. all non-regular faculty within an academic unit must be suspended or
terminated before any regular faculty may be suspended or terminated in that
unit; and

2. all probationary faculty within an academic unit must be suspended or

terminated before any tenured faculty may be suspended or terminated in that
unit.

(b) Care must be taken to protect the employment of women and minorities
entitled to affirmative action. The executive vice president and provost must
insure that for the University as a whole the plan which is submitted does not
reduce the proportion of appointments with indefinite tenure held by women or
minorities entitled to affirmative action, and does not reduce the proportion of
non-regular appointments held by women or minorities entitled to affirmative
action.

11.63 Notice And Severance Pay. A faculty member whose appointment is to

be terminated or suspended is entitled to a minimum of one full academic year's
notice or to one year's salary as severance pay in lieu of notice, unless the
appointments would otherwise expire earlier.

11.64 Reemployment Rights. The University will not fill any faculty position
for which a faculty member with indefinite tenure who has been terminated is
qualified for five years after notice of termination, unless it first offers the
position to each such faculty member and gives a reasonable time for the faculty
member to accept or reject it.

11.7 Judicial Committee Report. A faculty member whose appointment is

terminated or suspended may make a written request for review by the Judicial
Committee. The review will be conducted in accordance with section 15. The
Judicial Committee will not reexamine the determination that a fiscal emergency
exists, nor will it reexamine the educational policies and priorities pursued
unless it finds a substantial failure to follow the procedures established in this
section. It will only examine whether the action was taken in accordance with
the procedures and standards set forth in this section, whether the action was
based on a violation of academic freedom or constitutional or legal rights, or was
substantially based on immaterial or improper factors. It may consolidate cases
involving common issues for a single hearing.

Section 12. Programmatic Change.

12.1 Programmatic Change. The University and faculty recognize that

changes in academic programs are an essential part of the development and
growth of the institution. These changes should be based on academic
considerations and on long-term policy and planning, and may be undertaken
only after consultation with the faculty, including the appropriate governance
structure.

12.2 Faculty Rights And Duties. In the event that programmatic change
leads to discontinuation of a program in which a member of the faculty is
employed, the University recognizes its obligation to continue the employment of
regular faculty in accordance with the terms of their employment, and to
continue the employment of non-regular faculty for the term of appointment. In
case of fiscal emergency, the provisions of section 11 apply.
Regular faculty members who are so retained have the responsibility to accept
teaching or other assignments for which they are qualified, and to accept
training to qualify them for assignment in other fields. The University has the
responsibility to assign such faculty members to responsibilities as closely
related to their original field of tenure as is practicable, to allow them time in
which to continue scholarship in their original field if they wish, and to
recognize scholarly contributions in that field as valuable in assessing their
contribution to the University for pay, promotion and other purposes.

In addition to the steps mentioned above, the University has the right to offer
inducements to faculty members voluntarily to change fields of study, to seek
employment elsewhere, or to accept early retirement.

12.3 Reassignments. In cases of programmatic change, an officer designated

by the president will make the reassignment or offer of training. The officer will
consult with the faculty member and the receiving unit and will seek a mutually
satisfactory assignment. If agreement cannot be reached, the University officer
will assign new responsibilities after consultation with the individual.

The University may give the faculty member other assignments only if
assignments to teaching in the faculty member's discipline are not feasible. For
example, faculty might be assigned

* to teach in another field in which the individual is qualified

* to perform professional or administrative duties, including professional
practice in a field in which the individual is qualified.
* to transfer effort, by assignment in a suitable professional capacity,
at another educational institution or similar entity, while retaining
University tenure, compensation, and benefits.

A faculty member must accept any reasonable reassignment or offer of

retraining. Following the assignment, any dispute about the reasonableness of
reassignment may be taken to the Judicial Committee, as provided in section
15. The faculty member shall perform the reassignment pending resolution of
the dispute, unless the president on the recommendation of the chair of the
Judicial Committee determines that provisional measures are appropriate.

12.4 Termination Of Appointment. A faculty member who chooses not to

accept a reasonable reassignment or retraining opportunity shall receive:

(a) Assistance in locating other employment;

(b) A minimum of one full academic year's notice or one year's salary as
severance pay in lieu of notice, unless the appointment would otherwise
expire earlier.
(c) Continuation of the University's contribution to health benefits for one year
after the date of the termination of the appointment.

In place of the severance payment provided by this section, a faculty member

may select another severance program for which the faculty member is
otherwise eligible at the time the appointment is terminated.
Section 13. Judicial Committee.

13.1 Membership. The Judicial Committee is composed of at least nine

members of the regular faculty. The number of members and manner of
appointment is governed by the Faculty Senate bylaws.

13.2 Procedures. The Judicial Committee applies and interprets this tenure
code in complaints that come before it. The Judicial Committee has its own
Rules of Procedure and may adopt additional rules with the approval of the
Tenure Committee, as provided in section 16.3.

In every case before the Judicial Committee the senior academic administrator
may designate the academic administrator who will represent the University as
respondent. If the case involves two or more campuses or areas, the president or
the executive vice president and provost may designate the respondent.

13.3 Duty To Testify. Faculty members and administrators have an

obligation to appear before the Judicial Committee if asked to give testimony in
matters pending before it.

13.4 Panels. The Judicial Committee may sit in panels to hear individual
cases. In cases under sections 10 and 14, the panel must consist of at least five
members. In all other cases, the panel must consist of at least three members.
The rules of the Judicial Committee will establish the respective functions of the
committee as a whole and of the individual panels.

13.5 Legal Officer. The Judicial Committee shall have its own legal officer,
appointed by the Judicial Committee with the approval of the president. The
Judicial Committee also may, with the approval of the president, appoint a
deputy legal officer, or a substitute legal officer for a particular case, as
necessary. At the direction of the committee, the legal officer may preside at
hearings of Judicial Committee panels or regulate the procedure in Judicial
Committee cases. The legal officer may be present and participate in the
deliberation of a panel, but shall have no vote.

Section 14. Procedures In Cases Of Unrequested Leave Of Absence Or

Termination Or Suspension Of A Faculty Appointment For Cause. [INTERP
5]

14.1 Preliminary Proceedings. Only a dean or an academic administrator

specially designated by the executive vice president and provost or by the senior
academic administrator may initiate preliminary proceedings under this section
leading to unrequested leave of absence or to suspension or
removal or to temporary or permanent reduction in rank. The dean [FN9] must
first attempt to discuss and resolve the matter with the faculty member involved.

The dean must then submit the matter to the tenured faculty of the academic
unit involved for their recommendation.

[FN 9] Throughout this section the word "dean" means the dean of the collegiate unit or
other equivalent officer or an academic administrator specifically designated for this
purpose by the senior academic administrator or by the executive vice president and
provost.
If the executive vice president and provost and the Faculty Senate have
expressly approved the submission of allegations of the violation of a specified
policy to another body for preliminary recommendation, in place of submission
to the tenured faculty of the academic unit, the dean must submit the matter to
that body for its recommendation.

Both the dean and the faculty member may submit their views, in person or in
writing, to the body making the recommendation, but neither of them may
participate in the deliberation or vote. The body making the recommendation
does so by secret ballot and makes a written report to the dean within 40 work
days of submission of the issue to it, indicating the number of votes for and
against the proposed action and the reasons articulated. A copy of the report
shall be sent to the senior academic administrator and to the faculty member.

14.2 Formal Action. Within 40 work days after receiving the

recommendation of the tenured faculty or other body, the dean must decide
whether to proceed with formal action. Before taking formal action, the dean
must consult with the senior academic administrator. If the dean does not
proceed within 40 work days, the charges are dropped and the faculty member
and the academic unit are so notified in writing. If the dean decides to proceed
with formal action, the dean must give written notice to the faculty member. The
notice must specify the action proposed, identify the specific ground upon which
it has been taken, and summarize the evidence in support. It must inform the
faculty member of the right to request a hearing before the Judicial Committee
and advise the faculty member of the applicable time limit for making such a
request.

If the faculty member does not request a hearing within 30 work days, the
president may take the action proposed in the dean's notice, without further
right to a hearing.

14.3 Judicial Committee Hearing. The faculty member may request a

hearing before the Judicial Committee by written request to the chair of the
committee, filed within 30 work days of the notice. The Judicial Committee may
extend the 30 day period for good cause. The dean will be responsible for
presenting the case. The dean has the burden of proving the case for the
proposed action by clear and convincing evidence and also has the burden of
demonstrating the appropriateness of the proposed action, rather than some
lesser measure.

The Judicial Committee makes written findings of fact, conclusions, and a

recommendation for the disposition of the case. If the committee finds that
action is warranted, it may recommend action that is less severe than that
requested in the written notice, including but not limited to, permanent or
temporary reduction in salary or rank. It may not recommend more severe
measures than those proposed in the dean's notice.

The Judicial Committee sends its report to the president with copies to the
faculty member, the dean and the senior administrator.

14.4 Action By The President. The president shall give the faculty member
and the dean the opportunity to submit written comments on the report. In
determining what action to take, the president may consult privately with any
administrators, including attorneys, who have had no previous responsibility for
the decision at issue in the case and have not participated in the presentation of
the matter to the Judicial Committee. The president may not discuss the case
with any administrator who was responsible for the decision at issue in the case
or who participated in the presentation of the matter to the senate Judicial
Committee. Such administrators may communicate with the president in
writing, but only if the full text of the communication is given to the faculty
member and the faculty member is given a reasonable opportunity to respond to
it.

The president shall not take action materially different from that recommended
by the panel unless, prior to the action, the president has consulted with the
committee. Parties and their representatives shall not be present at any meeting
between the president and the committee nor shall their consent be required for
such meeting.

In addition, the president may request the Judicial Committee to make further
findings of fact, to clarify its recommendation or to reconsider its
recommendation. The reconsideration will be made by those who have heard of
all of the evidence in the case, but the full Judicial Committee may consult with
them on questions of general policy.

The president may impose the action recommended by the committee, or any
action more favorable to the faculty member. The president may impose action
less favorable to the faculty member only for important substantive reasons,
which must be stated in writing, with specific detailed reference to the report of
the Judicial Committee, the evidence presented, and the policies involved. The
president's written statement must be given to the parties and to the Judicial
Committee. If the Judicial Committee decides that the president has imposed an
action that is less favorable to the faculty member than it had recommended, it
shall inform the faculty by publication of the president's action in the docket of
the Faculty Senate. If the faculty member waives rights to confidentiality, the
full text of the statement will be published. Otherwise a summary of the
statement will be published without identification of the faculty member or
information that may indirectly identify the faculty member.

14.5 Appeal To The Board Of Regents. If the action involves removal or if the
action involves a sanction more severe than that recommended by the Judicial
Committee, the faculty member may appeal to the Board of Regents. In cases in
which the president imposes a sanction more severe than that recommended by
the Judicial Committee, the faculty member and the president may present to
the board evidence with respect to issues on which the president differs from the
recommendation of the Judicial Committee. The request for a hearing must be
made to the secretary of the board within ten work days of the president's
action.

14.6 Temporary Suspension During Proceedings. The dean may temporarily

suspend a faculty member during the proceedings, but only if there is clear
evidence that the faculty member is likely to cause serious harm or injury or is
not available for work. The suspension will be with full pay, unless the faculty
member is not available for work. Before ordering such suspension, the dean
must present the evidence to a special panel of the Faculty Consultative
Committee and receive their written report. The faculty member must be given
the opportunity to contest the suspension before the panel.

If no final decision has been rendered one year after the commencement of
formal proceedings, the faculty member shall be temporarily suspended without
pay, unless the parties agree otherwise, or unless the hearing panel of the
Judicial Committee extends the time period because of undue delays in the
procedure attributable to the action of the University. This provision applies only
in a case in which the majority of the tenured faculty of the academic unit
concurred in the recommendation to terminate the appointment. If the faculty
member is reinstated or if the president determines that the temporary
suspension without pay was not warranted, then the president shall order the
repayment of back pay to the faculty member with interest thereon from the
date it would originally have been paid.

In case of any suspension under this section, the faculty member shall continue
to receive full medical insurance and disability benefits without regard to the
suspension.

14.7 Resignation During Proceedings. A faculty member may submit a

written notice of resignation to the president at any time during Judicial
Committee proceedings pursuant to this section. Upon the effective date of such
resignation, the proceedings will be discontinued unless the faculty member
concurrently files a written request with the Judicial Committee that they be
carried to completion.

Section 15. Appeals To The Judicial Committee. [INTERP 6]

15.1 Right To Review. Any faculty member who claims that the faculty
member’s rights or status under these regulations have been adversely affected
without the faculty member’s consent may seek review before the Judicial
Committee. Cases arising under sections 1, 4, 7, 7a, 8, 10, 11 or 12 must be
brought directly to the Judicial Committee. In these cases, that is, the Judicial
Committee has original jurisdiction. In other cases, the faculty member must
exhaust all other available University remedies before bringing the case to the
Judicial Committee; the Judicial Committee will not proceed with such a case
until the appropriate University body has either decided it or has refused to
consider it. In such cases, the Judicial Committee has appellate jurisdiction.

15.2 Procedure For Securing Review. A written request for review must be
filed with the chair of the Judicial Committee within 30 work days of written
notice of the action challenged. The request must specify the action complained
of and the remedial action the individual seeks. Within 30 work days of filing,
the chair of the Judicial Committee must send copies of the request to the head
of the academic unit concerned and to the senior academic administrator.
The Judicial Committee, however, may extend the time for filing for review for
reasons that seem compelling to the committee, such as mental or physical
illness, or serious personal or family problems, or doubt concerning when final
action was taken.

15.3 Hearings Before The Judicial Committee. The person seeking review
has the burden of proving by the preponderance of the evidence that the action
complained of was improper unless the Judicial Committee, for good cause,
otherwise directs.

The Judicial Committee does not itself decide whether the faculty member is
professionally worthy of a faculty position, but only determines whether the
action was based in significant degree upon any of the factors specified in
subsection 7.7 or section 8.
In cases involving sections 7, 8, or 11, the Judicial Committee hears the merits
of the case, as provided in those sections. In other cases, if there is an
appropriate University body to review the matter, the Judicial Committee will
only determine whether that body has given the faculty member due process
and whether, on the basis of the facts found by that body, there has been a
violation of these regulations or of the faculty member's academic freedom. If
there is no appropriate University body to hear such a case, or if the Judicial
Committee finds that the body which heard the case did not provide due
process, the Judicial Committee may hear the merits or may appoint an ad hoc
tribunal to hear them.

15.4 Action By The Judicial Committee. The Judicial Committee makes

written findings of fact, conclusions, and a recommendation for the disposition
of the case.

If the Judicial Committee finds that the action complained of was improper, it
also specifies the respects in which it finds the action to have been improper and
recommends appropriate remedial action.

If it recommends reconsideration, it may specify the manner in which

reconsideration will be undertaken to avoid the influence of improper factors. If
a probationary faculty member has reached the maximum probationary period,
the committee may recommend a non-regular appointment for an additional
academic year to provide for reconsideration.

The Judicial Committee sends its report to the president with copies to the
faculty member and the administrator who appeared as respondent.

15.5 Action By The President. The president must give the faculty member
and the administrator the opportunity to submit written comments on the
report. In determining what action to take, the president may consult privately
with any administrators, including attorneys, who have had no previous
responsibility for the decision at issue in the case and have not participated in
the presentation of the matter to the Judicial Committee. The president may not
discuss the case with any administrator who was responsible for the decision at
issue in the case or who participated in the presentation of the matter to the
senate Judicial Committee. Such administrators may communicate with the
president in writing, but only if the full text of the communications is given to
the faculty member and the faculty member is given a reasonable opportunity to
respond to it.

The president shall not take action materially different from that recommended
by the panel unless, prior to the action, the president has consulted with the
committee. The parties and their representatives shall not be present at any
meeting between the president and the committee nor shall their consent be
required for such meeting.

In addition, the president may request the Judicial Committee to make further
findings of fact, to clarify its recommendation or to reconsider its
recommendation. The reconsideration will be made by those who have heard all
of the evidence in the case, but the full Judicial Committee may consult with
them on questions of general policy.

The president may impose the action recommended by the committee or any
action more favorable to the faculty member. The president may impose action
less favorable to the faculty member only for important substantive reasons,
which must be stated in writing, with specific detailed reference to the report of
the Judicial Committee, the evidence presented, and the policies involved. The
president's written statement must be given to the parties and to the Judicial
Committee. If the Judicial Committee decides that the president has imposed an
action that is less favorable to the faculty member than it had recommended, it
shall inform the faculty by publication of the president's action in the docket of
the Faculty Senate. If the faculty member waives rights to confidentiality, the
full text of the statement will be published. Otherwise a summary of the
statement will be published without identification of the faculty member or
information that may indirectly identify the faculty member. The president's
written statement must be given to the parties and to the Judicial Committee.

15.6 Actions Requiring Reconsideration. If the Judicial Committee

recommends reconsideration of an action, that reconsideration will be
undertaken under the supervision of the senior academic administrator, unless
otherwise specified. The Judicial Committee may retain provisional jurisdiction
of the matter to review allegations that the reconsideration itself was improper,
and may make supplementary findings, conclusions, and recommendations in
this regard.

15.7 Recommendations For Changes In University Policies And

Procedures. As a result of Judicial Committee proceedings, the Judicial
Committee, the Tenure Committee or the executive vice president and provost
may initiate steps to clarify or improve University rules or policies involved. The
changes will not affect the outcome of the case before the committee.

Section 16. Academic Freedom and Tenure Committee.

16.1 Membership. The Academic Freedom and Tenure Committee (referred to

elsewhere in these regulations as the Tenure Committee) is composed of at least
seven members of the faculty and such other persons as the Faculty Senate
bylaws shall provide. The manner of appointment is governed by the Faculty
Senate bylaws.

16.2 Interpretations. The executive vice president and provost and the
Tenure Committee may propose formal interpretations of these regulations,
consistent with their terms. Such interpretations must be reported to the
Faculty Senate and the Board of Regents. If adopted by the Board of Regents,
such interpretations will be binding in all cases subsequently arising.

16.3 Procedures. The executive vice president and provost and the Tenure
Committee may jointly adopt the procedures provided by subsections 7.4 and
7.61, and jointly approve the procedures proposed by the Judicial Committee
under subsection 13.2. Such procedures must be reported to the Faculty Senate
and the Board of Regents before they go into effect.

16.4 Additional Functions. The Tenure Committee also advises the

University and makes recommendations concerning the interpretation and
amendment of these regulations.
Section 17. Written Notice.

Notices of termination of a probationary appointment, of suspension or

termination of an appointment, or of placement on unrequested leave of absence
for disability, must be sent by registered or certified mail to the last known
residence address of the faculty member concerned and also by campus mail to
the faculty member's campus address, if any. The written notice satisfies the
applicable time requirement if it is postmarked at or before midnight of the
applicable date.

Failure to comply fully with this section is immaterial if, in fact, the faculty
member was not prejudiced by such failure.

Section 18. Publication.

These regulations, and the interpretations referred to in section 16, will be

published and made available to all faculty members. Every faculty member who
holds a regular or non-regular appointment, except for courtesy faculty
appointments without salary, must be given a copy of the current regulations
and copies of subsequent amendments or published interpretations.

Section 19. Amendment.

These regulations are subject to amendment by the Board of Regents. Proposed

amendments from any source will be submitted to the Faculty Senate for its
advice and recommendation before final action by the Board of Regents. The
Faculty Senate will solicit the recommendations of the Faculty Affairs
Committee, the Judicial Committee, and the Tenure Committee, before giving its
advice and recommendation.

INTERPRETATIONS
Dated April 12, 1985; September 8, 1988; March 12, 1993 and October 13,
1985; June 9, 2000; June 10, 2011.

1. Interpretation Of Subsection 4.4: Definition Of Recurring Salaries.

It is expected that any salary increases normally will be added to recurring

salary if recurring funds are available for that purpose. Subsection 4.4 does not
give any specific faculty member a legal entitlement or right to an increase in
recurring salary.

2. Interpretation of Subsection 4.5: Financial Stringency.

Financial stringency in subsection 4.5 is understood to mean financial

difficulties that are unusual in extent and require extraordinary rather than
ordinary responses. Section 11 may be invoked if the regents are “faced with the
necessity of drastic reduction in the University budget,” reductions so severe
that they may “threaten [the] survival” of the University. It is understood that
the financial difficulty that would permit the president to propose temporary
reductions or postponements in compensation under subsection 4.5 is less
severe than the “fiscal emergency” outlined in section 11, but it is also
understood that “financial stringency” should not be invoked to respond to
foreseeable fluctuations in the University’s budget and finances.
3. Interpretation of Subsection 7.12: Review of Departmental Statements.

The faculty of an academic unit are expected to periodically review their criteria
for awarding indefinite tenure and for promotion in rank and reflect any new
criteria in a revision of their subsection 7.12 Statement. The new criteria and
subsection 7.12 Statement must be adopted in accordance the established
procedures of the University, after consultation as required by those procedures.
Current probationary faculty in the unit may elect to be evaluated on the criteria
for tenure and promotion in the previous subsection 7.12 Statement or on the
new criteria. This option is also available to current tenured faculty in their
evaluation for promotion to the next level. Probationary or tenured faculty must
make this decision within one year of the date of administrative approval of the
new criteria.

4. Interpretation of Amendment to Subsection 10.2: Faculty Assignments.

Faculty members are free to choose topics for research or outreach and to
discuss all relevant matters in the classroom, in accordance with the principles
of academic freedom and responsibility. The head of the academic unit will
assign individual faculty members to teach specific courses in accordance with
the academic workload statement and other policies adopted by the faculty of
that unit. A faculty member may challenge an assignment by showing that it is
unreasonable. An assignment is unreasonable if: (a) taken as a whole, it
exceeds the workload expected in the workload statement of that unit, (b) the
faculty member lacks the basic qualifications to teach the course, or (c) the
assignment was made in violation of the faculty member’s academic freedom or
in violation of another specific university policy. The faculty member should
carry out the teaching assignment pending resolution of any grievance, unless
the responsible grievance or hearing officer or panel indicates that provisional
measures are appropriate.

5. Interpretation of Amendments to Subsections 14.1 and 14.2: Timely

Responses in Cases of Unrequested Leave of Absence, Termination, or
Suspension.

The timelines for responses by either the involved faculty member or

administrator may be extended by agreement of the parties to the proceeding or
for extraordinary circumstances. An agreement of the parties to extend the time
limit shall be in writing, signed by both parties or their representatives. If the
parties do not agree, either party may apply to the chair of the Senate Judicial
Committee for an extension of the time in which to take the steps required in
this section. If the faculty member has failed to act within the time limits
prescribed in these sections, the responsible administrator may request the
chair of the Senate Judicial Committee to set a specific date by which the faculty
member must take action; if the faculty member fails to do so, the petition for
review will be dismissed without further proceedings and the requested
disciplinary action (or any lesser sanction) may be taken. If the responsible
administrator has failed to act within the time limits prescribed in these
sections, the faculty member may request the chair of the Senate Judicial
Committee to set a specific date by which the administrator must take action; if
the administrator fails to do so, the proceedings shall be dismissed and further
action can be taken only by reinitiating the entire proceedings.
6. Interpretation of Section 15: Judicial Committee Review of Decisions
on Promotions.

As stated in the Preamble, the tenure regulations "provide a comprehensive set

of policies dealing with the relationship between the University and its faculty,"
including decisions regarding promotions in rank that may or may not involve
questions of tenure. When a faculty member's request for promotion is not
approved, the Judicial Committee shall conduct a review in a manner analogous
to the review of tenure decisions (see subsection 7.7). Such cases may be
brought directly to the Judicial Committee without a requirement that the
faculty member exhaust all other available University remedies before bringing
the case to the Judicial Committee.

7. Interpretation of Subsection 6.3: Relation Between Tenure and

Promotion.

Regular faculty with appointments as assistant professors with indefinite tenure

at the time of the adoption of this interpretation in 2011 will continue to hold
these appointments until they retire, subject to the review provisions of
subsection 7a and as otherwise provided in these regulations.