Chapter 310: Academic Tenure Regulations

310.010 Academic Freedom and Economic Security of Academic Staff

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310.010 Academic Freedom and Economic Security of Academic Staff kuscheld Wed, 05/26/2010 - 20:46

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80.

The Board of Curators of the University of è��app believes that academic freedom and the economic security of its academic staff are indispensable to the success of the University of è��app in fulfilling its obligations to its students and to society. The Board, therefore, hereby adopts and approves the following principles, the detailed application of which is implemented by the rules and regulations of the Board; and also adopts the following rules and regulations. (Although these rules and regulations cover in some detail certain aspects of the nature of regular academic staff positions, appointments thereto, and the rights of the holders thereof, these rules and regulations do not purport to cover in the same detail the nature of nonregular academic staff positions, appointments thereto, or the rights of the holders thereof, and do not purport to cover in any way non-academic staff.)

General Principles of Academic Freedom -- The Board hereby reaffirms the principles of academic freedom in teaching and research for teachers and academic investigators (herein referred to as faculty members). These principles are as follows:
1. Institutions of higher education are established and maintained for the common good, which depends upon the free search for truth and its free expression.
2. Academic freedom is essential to these purposes and applies to both teaching and research. Freedom in research is fundamental to the advancement of truth. Academic freedom in its teaching aspect is fundamental to the protection of the rights of the faculty member in teaching and of the student in learning. It carries with it duties correlative with rights. The following sections are indicative of these rights and duties.
  1. Faculty members are entitled to freedom in research and in the publication of the results (qualified insofar as necessary in the case of sponsored research), subject to the adequate performance of their other academic duties.
  2. Faculty members are entitled to freedom in the classroom in discussing their subjects, but have the responsibility not to depart significantly from their respective areas of competence or to divert substantial time to material extraneous to the course.
  3. College or university faculty members are citizens, members of an educational institution, and members of learned professions. When they speak or write as citizens, they are to be free from institutional censorship or discipline, but their special position in the community imposes special obligations. They should anticipate that the public may judge their profession and their institution by their utterances and actions.
    Hence, they should at all times be accurate, exercise appropriate restraint, show respect for the opinions of others, and make every effort to indicate that they do not speak for the institution.
The Principle of Tenure -- Tenure is the right to be free from dismissal without cause. Tenure is indispensable to the success of an institution of higher education in fulfilling its obligations to the common good.

310.015 Procedures for Review of Faculty Performance

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310.015 Procedures for Review of Faculty Performance kuscheld Wed, 05/26/2010 - 20:48

Bd. Min. 1-19-01; Amended 11-29-07; Amended 4-12-13; Amended 4-27-17; Amended 2-6-20.

Non-Tenure Track and Untenured, Tenure Track Faculty. The performance of all non-tenure track and untenured tenure track faculty is to be reviewed annually by the appropriate unit supervisor (e.g., department chair, dean, director, etc.). The performance review should also include the workload distribution for the coming year or multiple years.
1. Written evaluations are expected and must be provided to non-tenure track faculty members. The workload standard for non-tenure track faculty members should be spelled out in detail based on the specific job responsibilities and expectations in the job description (see CRR 310.035).
2. Plans for untenured faculty may include multiple years up to the tenure review (see CRR 310.080.C). A multi-year plan will not be considered as assurance that an appointment will be renewed during the period covered by the plan. Annual evaluations of untenured faculty members during the probationary period must follow the faculty bylaws governing tenure for each campus (CRR 300.010 Faculty Bylaws of the University of è��app-Columbia; CRR 300.020 Faculty Bylaws of the University of è��app-Kansas City; CRR 300.030 Faculty Bylaws of è��app University of Science and Technology; and CRR 300.040 Faculty Bylaws of the University of è��app-St. Louis).
Tenured Faculty Members. Tenured faculty have proven their ability to contribute significantly in their discipline and to work independently and productively in their field. In this document we affirm and strongly defend the importance of tenure at the University of è��app. By fostering creativity and protecting academic freedom, tenure safeguards faculty from unfair dismissal based on arbitrary or discriminatory practices, thus encouraging the constant search for truth that is the hallmark of the University. Under this policy or any other university policy, academic tenure should be revoked only with just cause, and may only be done in accordance with the Collected Rules and Regulations of the University, section 310.020.C.1. However, tenure does not protect faculty from the consequences of not performing satisfactorily their duties to the University. It is in the best interest of the faculty as a whole to ensure that each faculty member contributes fully to the institution throughout that individual's career.
1. Performance Review of Tenured Faculty Not Holding Primarily Administrative or Department Chair Positions
  1. The tenured faculty of each department or unit will develop and publish standards for satisfactory performance which include minimum standards for teaching, research, and service as well as general principles for determining an overall satisfactory performance. They will be reviewed as part of the five-year program review. These standards are intended for use over the five-year time period covered by the post-tenure review (see B.1.c. below).
  2. Every tenured faculty member, except department chairs and those whose positions are primarily administrative (as defined in their appointment letter), will submit a signed annual report describing their activities in research, teaching and service. The annual performance review will cover the performance for the past year. In addition, the chair and faculty member will discuss plans for the coming year in order to establish the workload distribution for the coming year or for multiple years up to the five-year post-tenure review (see CRR 310.080.C). The annual report will be reviewed by the chair or evaluation committee of the unit following normal unit practices. In this document the term chair will be used to mean the appropriate unit director (e.g., chair, unit administrator, area coordinator, etc.). Chairs will be reviewed annually by the dean according to the standards described in B.1.a. Using the unit standards for the annual performance review (described in B.1.a), and taking into consideration the faculty member's workload distribution (described in CRR 310.080.C.), the activities of the faculty member will be rated as satisfactory or unsatisfactory in research, teaching and service, and an overall evaluation of satisfactory or unsatisfactory will be provided. The faculty member will receive this information in a written evaluation. The faculty member will sign the written evaluation to acknowledge its receipt and may provide a written response to the evaluation. A copy of this signed evaluation will be provided to the faculty member by the chair within a month after the faculty member has signed the evaluation.
  3. If a faculty member receives an unsatisfactory evaluation in any category, there must be a face-to-face discussion of the evaluation between the faculty member and the chair to create a plan for achieving satisfactory evaluations. This may involve changing the faculty member's workload distribution (see CRR 310.080.C). One unsatisfactory evaluation in either teaching or research (or any major area of assignment) will result in an overall unsatisfactory evaluation. If the chair or evaluation committee has significant concerns about only one category, but determines that overall the faculty member has met the department standards, then the chair or committee may assign an overall satisfactory with warning and create an improvement plan to address the concern. The improvement plan will specify both the standards that the faculty member will achieve and the support that the department and/or other units will provide to the faculty member. If the unsatisfactory evaluation is in the teaching category, the chair will refer the faculty member to the campus unit responsible for fostering teaching excellence, and the faculty member must work with that unit to improve pedagogical methods. The improvement plan will be attached to the signed annual performance evaluation. If the faculty member disputes an overall unsatisfactory evaluation, the dean will review the evaluation and decide whether to affirm the evaluation or return it to the department chair for revision. In the succeeding annual performance review, failure to meet the standards set out in the plan will result in an overall unsatisfactory evaluation.
  4. At five-year intervals a tenured faculty member will resubmit the annual reports and evaluation statements for the past five years, with a concise summary statement of research, teaching, and service activities for the five-year period, and a current curriculum vitae. The review may be conducted either by the unit chair or by an evaluation committee of the unit, as decided by a vote of the tenured faculty (committee membership is described below in h.1.a.). The first five-year post-tenure review will be conducted five years after the tenure decision or the last formal review of the faculty member for promotion to associate professor or professor. Faculty hired with tenure will be reviewed five years after they are hired.
  5. Based on the five-year report, the chair or evaluation committee will evaluate the faculty member's performance as satisfactory or unsatisfactory. Satisfactory overall performance evaluations for each year will automatically be deemed sufficient for a satisfactory post-tenure review. The five-year evaluation process will be complete with a satisfactory evaluation. The purpose of the five-year post-tenure review is not merely to identify and remedy unsatisfactory performance, but also to identify and reward excellence in teaching, research, and service in accordance with the assigned workload distribution. In consultation with the chair, the Provost and the Dean will provide incentives to faculty who have exhibited such excellence.
  6. If an unsatisfactory overall performance review occurs in one or more years over the five year period, trends in the faculty member's performance will be considered in the final determination of the five-year post-tenure review. If the post-tenure review is deemed unsatisfactory by the chair and the initial review was conducted by the chair, then the chair will send the five-year report to the evaluation committee of the unit. The departmental committee of faculty peers will perform its own full review of the performance of the faculty member over the five-year period and provide an independent assessment of the performance of the faculty member.
  7. The report will be forwarded to the appropriate dean, indicating the decision of the chair and departmental committee. The dean will review the report and provide an assessment of the performance of the faculty member. The five-year evaluation process will be complete if the dean judges the performance of the faculty member to be satisfactory. If a majority of the evaluation committee of the department/unit and the dean consider the performance of the faculty member to be unsatisfactory, a plan for professional development will be written (see B.2. below).
  8. At every level of review, the faculty member will be provided with a copy of any written report that is part of these proceedings and will have the right of appeal of any evaluations, decisions, or recommendations to the next level of the process.
    (1) Committee Membership
    (a) The evaluation committee is typically the one that reviews faculty for tenure and promotion (CRR 320.035.A.1.d.). Only those who are tenured faculty members in the department may participate in the evaluation, except in circumstances described below.
    (b) If there are not enough tenured faculty members within the primary department to comprise a committee of three, a special committee shall be formed in the same way as for a departmental tenure and promotion committee (CRR 320.035.A.1.d.). The committee may include faculty member(s) emeriti from the primary department in accordance with established procedures. In addition, it may include retired faculty from the primary department who are part of an established recognition program according to Collected Rules and Regulations of the University, Section 310.075.B. The retired or emeriti faculty serving on the committee shall not be greater than 50% of the committee membership.
2. Formulation of Development Plan and Assessment of Progress
  1. The development plan will be developed by the faculty member, the department/unit committee, and the chair of the unit. This development plan will have clear and attainable objectives for the faculty member and may include a reallocation of the faculty member's workload distribution in accord with the department workload standards (see CRR 310.080.C.) and a commitment of institutional resources to the plan. This plan will be signed by the faculty member, the chair or unit administrator, and the dean. The development phase will begin when the necessary resources as described in the development plan are provided.
  2. A faculty member who has received an overall unsatisfactory five-year evaluation by the chair, the departmental committee, and the dean may not appeal the process of developing a professional plan. If the faculty member is not satisfied with the plan that has been developed, they may appeal to the next administrative level for help in the formulation of an acceptable development plan.
  3. A faculty member with a plan for professional development will submit an annual progress report to the chair for three successive years after the plan has been initiated. The chair will review the report and provide a written annual evaluation on the progress of the faculty member toward the objectives stated in the development plan. If the chair finds satisfactory progress for any two of the three years, then the process will cease and the faculty member will begin a new five-year cycle.
  4. If the chair does not find satisfactory progress in two of the three years of the development plan, the chair will provide the annual reports and evaluations to the department/unit committee. If the unit committee finds satisfactory progress in two of the three years of the development plan, the process ceases and the faculty member will begin a new five-year cycle.
  5. If both the chair and the unit evaluation committee do not find satisfactory progress in two of the three years of the development plan, the chair will provide annual reports and evaluations to the dean. If the dean finds satisfactory progress in two of the three years of the development plan, the process ceases and the faculty member will begin a new five-year cycle.
  6. If the chair, the department/unit committee and the dean do not find satisfactory progress in two of the three years, then the five-year evaluations plus the three years of progress reports and evaluations by the chair on the development plan will be forwarded to the campus committee on Tenure and Promotion and to the Provost or Vice Chancellor for Academic Affairs. Each will review the reports and will recommend separately to the Chancellor that: 1) an additional two-year development plan be written and implemented in consultation with the faculty member and the originating departmental committee, or 2) the faculty member be considered for dismissal for cause proceedings (see section 3.)
  7. Any faculty member may request participation in a formal development plan (as described in 2.a.) after two or more consecutive unsatisfactory annual evaluations. In addition, chairs will strongly encourage faculty who have had three consecutive unsatisfactory annual evaluations to participate in a development plan.
3. Dismissal for Cause
  1. If it is deemed by the Chancellor that the performance of the faculty member during the periods covered in section 2 constitutes sufficient grounds, dismissal for cause may be initiated and if initiated will proceed in accordance with the procedures for dismissal for cause described in section 310.060.
  2. This procedure for review and development of faculty performance does not substitute for the dismissal for cause procedures stated in section 310.060.
  3. Notwithstanding the provisions of section 310.015 B.2.f. above, this procedure does not impose additional requirements upon the University prior to initiating dismissal for cause procedures as stated in section 310.060.
Tenured Administrators - Department chairs and those whose positions are primarily administrative will continue to be evaluated annually according to their workload distribution. In the event that a department chair or those whose positions are primarily administrative leaves their administrative position to become a full-time active tenured faculty member of a department, the normal annual departmental review process would be used to establish the faculty member's workload distribution and to address any discrepancy between the current abilities of the administrator and expectations concerning performance based on minimum departmental standards for the annual performance review. If there is a discrepancy between current ability and departmental standards, a development plan funded by the administration should be considered for the administrator prior to their returning to the department. Faculty who return to the full-time active faculty after completing service as department chairs or primarily administrative positions will be reviewed five years after leaving their administrative posts.

310.020 Regulations Governing Application of Tenure

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310.020 Regulations Governing Application of Tenure kuscheld Wed, 05/26/2010 - 20:49

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80; Amended Bd. Min. 10-30-87, 6-19-92, 3-18-93, 9-28-01, 2-5-15; Bd. Min. 9-24-20.

The following regulations, under which the Board intends to exercise the powers vested in it, govern the application of the principle of tenure at the University of è��app, but these regulations shall not impair, or be taken to waive, any powers now or hereafter vested in the Board under the Constitution and laws of the State of è��app. At the same time, the Board recognizes that matters relating to faculty status are primarily a faculty responsibility. Recommendations in matters of appointment, reappointment, nonreappointment, promotion, tenure, and dismissal shall be by the appropriate faculty through established procedures, followed by action by administrative officers, with final determination by the appointing authority. For allegations of harassment or discrimination, including sexual harassment, against a faculty member, the procedures are found in Section 600.030: Resolution Process for Resolving Complaints of Sexual Harassment under Title IX, and Section 600.040: Equity Resolution Process for Resolving Complaints of Discrimination and Harassment against a Faculty Member or Student or Student Organization, and when applicable, Section 310.060: Procedures in Case of Dismissal for Cause.

Classes of Academic Staff Appointments -- Academic staff appointments are those in which the principal responsibilities are teaching, research, extension, academic service, or any combination thereof. There shall be only two classes of academic staff appointments, designated as such: regular and nonregular.
1. Regular -- A regular appointment requires full-time service by the holder thereof and must carry full-time pay from the University, except as provided in Section B.2.a. Special exception may be made for licensed physicians on the staff of the Harry S. Truman Veterans Administration Hospital who can be recommended for regular academic appointment in the University of è��app-Columbia School of Medicine by the Dean of said School if endorsed by the Chancellor of the Columbia campus. In so doing the School of Medicine assumes full responsibility for the tenure status of the individual physician. There shall be only three titles of rank for regular appointments, designated as such: Professor, Associate Professor, and Assistant Professor. The holder of a regular appointment either is tenured or, unless notified of nonreappointment or terminal appointment, is considered to be working toward tenure.
2. Nonregular -- All other academic staff appointments are nonregular. Nonregular appointments are either temporary (not to exceed seven years), part-time, or involve duties substantially different from those of faculty members holding regular appointments. The following sections illustrate the class of nonregular appointments.
  1. Temporary appointments involving duties similar to those of regular appointees, such as Visiting Professor. The maximum number of consecutive annual appointments in this category shall be seven (7), unless funds for the position come from a project grant or contract.
  2. Unless explicitly exempted under the above paragraph, all part-time or summer appointments. This category includes appointments such as Adjunct Professor or Clinical Professor and others of like nature, where the holder does not have full-time responsibilities or pay associated with that title. This category also includes certain academic appointments for persons having primary appointments of an administrative nature.
  3. Appointments to positions involving duties substantially different from those of regular appointees, such as academic field staff appointments in Extension; Lecturer, Assistant Instructor, Instructor, Research Assistant, Research Associate, Graduate Research Assistant, Graduate Teaching Assistant, Extension Assistant, Extension Associate, Student Assistant, and others of like nature; coaches of intercollegiate athletics. Titles in this category shall not include Professor, Associate Professor, and Assistant Professor, but may be modifications thereof.
Types of Appointments
1. Within the class of regular appointments, there shall be two types: regular term appointments and continuous appointments. Within the class of nonregular appointments, there shall be one type: nonregular term appointments.
  1. Regular Term Appointments -- Regular term appointments begin at a specified date and terminate at a specified date. Such appointments are usually for a period of one academic year, but may be for a longer or shorter period, except that no single term appointment shall be for a period longer than three years. Regular term appointments are subject to the maximum probationary period described in Section 310.020 C and D. Faculty members on regular term appointments are to be considered as reappointed for the succeeding year unless appropriately notified under Section 310.020 F.
  2. Continuous Appointments -- Continuous appointments are regular appointments that begin at a specified date but have no specified date of termination. Such appointments shall be deemed to exist in a given department or school on a specific campus. Unless a continuous appointment is subsequently acquired in another unit, no faculty member shall lose, by an approved change in duties or administrative unit, a continuous appointment already acquired. No faculty member shall lose a continuous appointment already acquired if granted a leave of absence with subsequent resumption of duties. In circumstances in which the interest of the University may be better served thereby, a continuous appointment already acquired may be changed, upon request of the faculty member, from full-time to part-time status.
  3. Nonregular Term Appointments -- Nonregular term appointments begin at a specified date and terminate at a specified date. Such appointments are usually for a period of one academic year but may be for a longer or shorter period, except that no single term appointment shall be for a period longer than three years. No number of nonregular term appointments shall create any presumption of a right to reappointment on term or continuous basis, subject to the limitations described in Section 310.020 A.2.
2. Administrative Functions -- The administrative functions and titles of administrators shall be distinct and severable from their functions, titles, and status, if any, as appointees to the academic staff. The academic appointments of persons whose primary responsibilities are administrative may be regular or nonregular depending upon the particular circumstances, but the academic appointment must be made through established procedures for such appointments and its terms made explicit prior to the start of the appointment. An initial appointment may be made for both administrative functions and academic staff duties.
Tenure
1. Faculty members on continuous appointments shall have tenure, subject to dismissal only for cause, retirement for age in accordance with Board retirement regulations, or termination because of formal discontinuance of a program or department of instruction. Adequate cause for dismissal shall be related, directly and substantially, to the faculty member's fitness or performance in the professional capacity of teacher or researcher. Cause for dismissal may include but is not limited to the following:
  - Conviction of a felony or other crime involving moral turpitude during the period of employment by the University of è��app which is related, directly and substantially, to the faculty member's academic fitness or performance in the professional capacity of teacher or researcher.
  - Professional incompetence in the performance of academic responsibilities.
  - Intentional and habitual neglect of duty in the performance of academic responsibilities, provided that a written warning and a reasonable opportunity to correct the behavior have been given.
  - Severe research misconduct, academic irresponsibility, or other default of academic integrity in the performance of academic responsibilities.
  - Willful misrepresentation of material matters in applying to the University of è��app for employment which are related, directly and substantially, to the faculty member's fitness or performance in the professional capacity of teacher or researcher.
  - Harassment or discrimination, including sexual harassment, in violation of the University’s Anti-Discrimination Policies, as determined through the procedures in Sections 600.030, 600.040 and 310.060 of the Collected Rules and Regulations.
  - Due consideration shall be given to seniority in terms of academic rank and length of service in the event that certain continuous appointments must be terminated because of financial exigencies. Where termination of an appointment with tenure, or of a nontenured appointment before the end of the specified term, is based upon bona fide financial exigency or discontinuance of a program or department of instruction, faculty members shall be able to have the issues reviewed by the faculty, or by an appropriate faculty committee, with ultimate review of all controverted issues by the Board.
  - Before terminating an appointment for either of these reasons, the University will make every effort to place affected faculty members in other suitable positions. The faculty member whose appointment is terminated under the conditions of financial exigency or discontinuance of a program or department of instruction will be given notice not less than that prescribed in Section 310.020 F.2; and no position within the same administrative unit for which the released faculty member is qualified will be filled by a replacement within a period of three years, unless the released faculty member has been offered reappointment and a reasonable time within which to accept or decline it.
2. Appointees to the academic staff under term appointments, either regular or nonregular, are subject to termination prior to expiration of the stated term only for cause or under extraordinary circumstances because of financial exigencies or discontinuance of a program or department of instruction. Term appointments for Non-Regular and Regular, Untenured faculty may be terminated prior to expiration of the stated term pursuant to Sections 600.030: Resolution Process for Resolving Complaints of Sexual Harassment under Title IX or Section 600.040: Equity Resolution Process for Resolving Complaints of Discrimination and Harassment against a Faculty Member or Student or Student Organization. An appointment with tenure may be terminated pursuant to Section 600.030 or Section 600.040 and Section 310.060: Procedures in Case of Dismissal for Cause.
3. Termination of an appointment with tenure, or of a probationary or special appointment before the end of the period of appointment, for medical reasons, will be based upon clear and convincing medical evidence that the faculty member cannot continue to fulfill the terms and conditions of the appointment. The decision to terminate will be reached only after there has been appropriate consultation and after the faculty member concerned, or someone representing the faculty member, has been informed of the basis of the proposed action and has been afforded an opportunity to present the faculty member's position and to respond to the evidence. If the faculty member so requests, the evidence will be reviewed by the Faculty Committee on Tenure before a final decision is made. (See also University benefit programs--optional long-term disability income protection.)
4. The relieving of any person of administrative functions shall not impair any existing tenure status as an appointee to the academic staff.
The Probationary Period -- The purpose of a probationary period is to allow reasonable time for faculty members to establish their academic performance and for their departments to evaluate performance and potential performance in the long-range future in order to validate recommendations for continuous or terminal appointments. The following rules and guidelines are applicable to determination of the probationary period and creditable previous service of persons with experience prior to the start of a regular appointment at this University.
1. Beginning with appointment to the rank of full-time Assistant Professor or higher rank, the total probationary period of term appointments will not exceed six years (including within this six-year period full-time creditable service in all institutions of higher education), except that if after a term of probationary service of more than three years in one or more institutions, a faculty member is appointed at a campus of the University of è��app, it may be agreed in writing that there shall be a probationary period at that campus not to exceed three years. In no case will the conditions established in this section cause the probationary period at a campus of this University to be longer than prescribed in Section 310.020 E. In all cases the probationary period will be indicated on the appointment form.
  The probationary period will be followed either by continuous appointment or a one-year terminal appointment.
2. In general, credit will be allowed for previous experience on a full-time academic staff appointment at the rank of Assistant Professor or higher at this University or any other institution of higher education. Because some academic appointments at this and other institutions of higher education carry responsibilities substantially different from the prospective appointment at this University, there may be circumstances in which previous service should not be credited as a part of the maximum probationary period. If this is determined to be the case, it must be agreed to prior to this appointment and reflected in the probationary period indicated on the appointment form.
3. If the appointee has had a substantial period of previous service, the decision whether or not to recommend continuous appointment should be made as soon as reasonably feasible. The initial appointment may be a continuous appointment. A regular term appointment of a person who currently holds such an appointment in the same field at this University, or has held one during the preceding year, shall be deemed to be a reappointment, a change in appointment, or a connected appointment, and not a new or initial appointment.
4. In computing service to be credited within the probationary period, the following rules shall apply:
  1. Years of service shall be computed in terms of academic years. Not more than one academic year of credit shall be allowed for services during any consecutive twelve-month period. Service for less than one academic year shall be excluded unless the faculty member and the appointing authority agree in writing to the inclusion at the time of the initial appointment.
  2. Service on any nonregular appointment involving duties substantially different from duties on a regular appointment shall be excluded.
  3. Service while on leave of absence without pay shall be excluded unless the faculty member and the appointing authority agree in writing to the inclusion at the time the leave is granted. Leaves of absence for scholarly purposes of one year or less generally should be included.
  4. In allowing credit for service at this University or at another institution, fractions of an academic year shall be excluded where crediting such fraction would require decisions at times other than the normal period during the academic year when decisions are made as to recommendations or notices, even if such exclusion will have the effect of extending the probationary period beyond the normal maximum.
Regular Term Appointments and Reappointments -- The following provisions apply to initial regular term appointments and reappointments. The provisions apply to persons without previous service and are modified by Section 310.020 D for persons with creditable previous service.
1. Assistant Professor -- Initial regular appointment at the rank of Assistant Professor shall be a term appointment. The maximum period on term appointment shall not exceed seven years. During the appointee's initial term, and during each succeeding term through the sixth year of service, the appropriate Dean or other administrative officer shall, after receiving recommendations from the appropriate faculty bodies, make one of the following recommendations, except that the recommendations 1.a and 1.b shall not be made during the appointee's sixth year of service.
  1. To reappoint as Assistant Professor on a regular term appointment.
  2. In exceptional cases, to promote to Associate Professor on term appointment. If such recommendation is effected, by proper appointment, Section 310.020 E.2 controls thereafter, except that the maximum period on term appointments shall not exceed seven years, and all of the service as an Assistant Professor shall be credited toward the seven-year maximum period.
  3. To promote to Associate Professor on continuous appointment.
  4. To reappoint as Assistant Professor on continuous appointment.
  5. To reappoint as Assistant Professor on a terminal one-year term appointment, expressly stated to be such.
  6. Not to reappoint, provided there has been due notice as stipulated in Section 310.020 F.2.
2. Associate Professor -- Initial regular appointment at the rank of Associate Professor normally shall be a term appointment but in exceptional cases may be a continuous appointment. The maximum period on term appointment shall not exceed five years. During the appointee's initial term, and during each succeeding term through the fourth year of service, the appropriate Dean or other administrative officer shall, after receiving recommendations from the appropriate faculty bodies, make one of the following recommendations, except that recommendation Section 310.020 E.2.a shall not be made during the appointee's fourth year of service:
  1. To reappoint as Associate Professor on a regular term appointment.
  2. To reappoint as Associate Professor on continuous appointment.
  3. To promote to Professor on continuous appointment.
  4. To reappoint as Associate Professor on a terminal one-year appointment, expressly stated to be such.
  5. Not to reappoint, provided there has been due notice as stipulated in Section 310.020 F.
3. Professor -- Initial regular appointment at the rank of Professor normally shall be a term appointment but may be a continuous appointment. The maximum period on term appointment shall not exceed four years. During the appointee's initial term and during each succeeding term through the third year of service, the appropriate Dean or other administrative officer shall, after receiving recommendations from the appropriate faculty bodies, make one of the following recommendations, except that recommendation Section 310.020 E.3.a shall not be made during the appointee's third year of service.
  1. To reappoint as Professor on a regular term appointment.
  2. To reappoint as Professor on continuous appointment.
  3. To reappoint as Professor on a terminal one-year term appointment, expressly stated to be such.
  4. Not to reappoint, provided there has been due notice as stipulated in Section 310.020 F.
4. Erroneous Term Appointments -- Since the granting of tenure should be a deliberate act after considered evaluation of the appointee's past performance and potential performance in the long-range future, a good faith term appointment beyond the maximum permissible period on term appointments prescribed by Sections 310.020 D.1, 310.020 E.1,2, or 3 shall not confer tenure by default nor be considered a terminal appointment. Immediately upon the discovery of such an error the appointee or administrative officer shall notify the appointing authority and request that a determination be made as to the proper appointment.
Nonrenewal of a Regular Term Appointment
1. When an appointee on regular term appointment is not recommended for reappointment, notice to that effect shall be given in writing to such appointee by an appropriate administrative officer in accordance with Section 310.070 by the deadline dates specified in Section 310.020 F.2. A timely terminal appointment expressly stated to be such shall be sufficient notice that the appointee will not be recommended for reappointment at the end of the terminal period.
2. Notice shall be given as follows in the case of fiscal or academic year appointments. For appointments having other starting dates, comparable notice shall be given.
  1. Not later than March 1 of the first year of service at this University, if the appointment expires at the end of the first year. Not later than December 20 of the second year of service at this University, if the appointment expires at the end of second year.
  2. Thirty days prior to the first day of the terminal year of appointment where the terminal year is the third, or subsequent, year of service at this University.
3. At the time of initial appointment, a faculty member should be informed of expectations about performance and of procedures generally involved in decisions affecting renewal and tenure. There should be provision for annual review of the faculty member's performance to be made by the immediate supervisor and communicated in writing, during the probationary period, to the faculty member according to generally accepted criteria with reference to the expectations discussed in the initial conference. During the probationary period, information should be given as to the time when decisions affecting renewal and tenure are ordinarily made, and there should be an opportunity to submit material which will be helpful to an adequate consideration of the faculty member's circumstances. In the event of a recommendation at any level for nonrenewal of a regular appointment or for a terminal appointment, the faculty member shall be informed and, upon request, shall be furnished with an explanation of that decision. The faculty member shall have an opportunity to request a reconsideration of the decision and to appeal the decision to the Chancellor. If the result of that appeal is not satisfactory to the faculty member, the faculty member may file a grievance under the Faculty Grievance Procedures (Section 370.010) in the event it is alleged:
  1. That the decision resulted from inadequate consideration; or,
  2. That the decision was based significantly on consideration violative of academic freedom; or,
  3. That the decision was based significantly on considerations violative of governing policies on equal employment opportunity.
    Notwithstanding any explanation given, the burden shall rest upon the faculty member to prove the allegations contained in the grievance. In the event that the grievance panel finds probable cause of a violation of academic freedom, the matter shall proceed under the provisions of Section 310.060 except that the burden of proof remains with the appellant.
An appointee to the academic staff on regular term appointment shall not subsequently be given a full-time nonregular term appointment to perform substantially the same type of duties in excess of a total period of service of seven years.

310.025 Extension of Probationary Period for Faculty on Regular Term Appointment

kuscheld — Wed, 26 May 2010 21:44:00 +0000

310.025 Extension of Probationary Period for Faculty on Regular Term Appointment kuscheld Wed, 05/26/2010 - 21:44

Executive Order No. 26, 3-18-94; Amended 2-9-17; Amended 4-2-18; Amended 5-31-18.

Faculty members who encounter circumstances which may substantially interrupt their ability to make progress toward tenure may request a one-year extension of the tenure probationary period. Possible reasons for granting an extension of the probationary period include, but are not limited to, pregnancy, serious illness, or care of an invalid or seriously ill spouse, partner, parent, child, or other close dependent. Other reasons may be considered.
Extensions shall be requested by formal written request to the Chancellor. A one-year extension of the tenure probationary period will be granted by the Chancellor upon request if during the probationary period the faculty member takes family and medical leave in excess of six weeks. In all other cases, Chancellors shall have discretion to grant extensions of the tenure probationary period after consultation with the President.
A maximum of two one-year extensions may be granted during the probationary period, except further extensions may be granted as required by law.
Chancellors are encouraged to appoint a faculty committee to review and offer advice on requests for extensions of the probationary period. The Chancellor will submit a report to the President in June of each year which will include a listing of all requests submitted and requests granted during the prior academic year.
Extension of a faculty member's probationary period shall have no adverse effect on the tenure decision. A faculty member who has received an extension shall not be prevented from being considered for tenure at an earlier time during the probationary period.
This guideline does not address faculty leave. A faculty member who receives an extension but is not on leave will continue to perform regular duties.

310.030 Notice of Appointment or Resignation

kuscheld — Wed, 26 May 2010 21:45:26 +0000

310.030 Notice of Appointment or Resignation kuscheld Wed, 05/26/2010 - 21:45

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80.

Appointment Form -- Appointees to the academic staff shall be notified of the official appointment. The appointment form shall include the following information:
1. Whether the appointment is regular or nonregular.
2. Whether the appointment is nine-month or twelve-month.
3. Whether the appointment is a term or continuous appointment. In case of a regular term appointment, the probationary period at the University of è��app and the deadline for a tenure decision shall be stated.
4. Whether the appointment is for a terminal period.
5. The appointment form also shall specifically refer to and incorporate by reference these regulations, a copy of which should be enclosed with the notice of initial appointment.
Notice of Termination of Appointment by the Faculty Member -- A faculty member may resign at the end of an academic year by giving notice in writing at the earliest possible opportunity, but not later than March 15. The faculty member may properly request a waiver of this requirement of notice in case of hardship or in a situation where otherwise substantial professional advancement or other opportunity would be denied.

310.035 Non-Tenure Track Faculty

kuscheld — Wed, 26 May 2010 21:46:00 +0000

310.035 Non-Tenure Track Faculty kuscheld Wed, 05/26/2010 - 21:46

Executive Guideline No. 35, issued 11-16-06; revised 05-21-08, 04-12-10, 6-17-10, 02-04- 11, 7-16-12, 4-29-13, 3-11-19, 5-4-20, 8-18-22.

Academic Appointments
Academic appointments at the University of è��app currently are divided into two main categories: regular and non-regular. Under this executive guideline, regular faculty shall be referred to as “tenured and tenure track” faculty, and this group shall continue to include the traditional faculty of the institution. Except with regard to the definitions listed herein, this guideline is applicable to full-time ranked non-regular faculty and is not designed to address academic appointments of any other type including, but not limited to, full-time unranked, part-time nonregular faculty, and tenured and tenure track faculty.
Non-regular faculty shall be divided into three groups: (1) full-time, ranked, non-regular faculty (non-tenure track (NTT) faculty); (2) full-time, unranked, non-regular faculty; and (3) part-time, non-regular faculty (adjunct faculty) [1].
The requirements distinguishing between a full-time, ranked non-regular faculty member and a full-time, unranked non-regular faculty member shall be made at the campus level. While many of the full-time unranked non- regular titles will not be eliminated, it is implicit in this guideline that the individuals that meet the qualifications for NTT faculty should receive an appropriate NTT faculty title as described in the following section. In most circumstances, non-tenure track faculty members who have primary authority in research, or teaching, or clinical/professional practice, or extension duties should receive title changes appropriate to ranked NTT positions at the time of such reappointments [2].
This guideline applies to all newly-hired NTT faculty members and to those non-regular faculty who are reappointed into NTT faculty positions at the time of such reappointment.
Categories of (Ranked) Non-Tenure Track Faculty Defined
There shall be six main types of full-time, ranked NTT faculty. Each should have primary responsibility in a single area: teaching, or research, or clinical/professional practice, or extension activities, or libraries. The titles should identify the area. Within each area, there shall be three ranks:
1. Research faculty (Research Professor, Associate Research Professor, Assistant Research Professor)
2. Teaching faculty (Teaching Professor, Associate Teaching Professor, Assistant Teaching Professor)
3. Clinical/Professional Practice faculty (Clinical Professor, Associate Clinical Professor, Assistant Clinical Professor or Professional Practice Professor, Associate Professional Practice Professor, Assistant Professional Practice Professor)
4. Extension faculty (Extension Professor, Associate Extension Professor, Assistant Extension Professor; Extension Professional, Associate Extension Professional, Assistant Extension Professional)
5. Librarian faculty (Librarian I/II, Librarian III, Librarian IV; Archivist I/II, Archivist III, Archivist IV) on campuses whose librarian faculty have opted for NTT status as a body, whose faculty council or faculty senate, as appropriate to the individual campus, has formally recognized librarian faculty as having NTT status as a body and whose Chancellor has approved such recognition.
6. Clinical Department faculty [3] (Professor of Clinical Department, Associate Professor of Clinical Department, Assistant Professor of Clinical Department)
Performance of NTT Faculty
Unlike tenured and tenure track faculty, whose performance is evaluated based on their contribution to research, teaching, and service, the performance of NTT faculty should be evaluated on the primary responsibility of the NTT appointment as well as service and professional activities related to that primary responsibility.
There is no prohibition for NTT faculty to be involved in multiple duties related to research, teaching, or service. However, decisions regarding hiring, continuation of employment, and evaluation of NTT faculty performance should relate to the primary purpose of their appointment as defined by category and not be based on all three criteria. Only tenured and tenure track faculty should be hired, evaluated, and promoted based on all three criteria.
Nature of the Initial Appointment
The nature of the initial appointment to a NTT position is important to both the NTT faculty member and the department [4]. Therefore the NTT faculty member’s primary department should be fully engaged in defining the nature of the NTT academic appointments. Since the NTT faculty member is expected to contribute to the department’s core mission, specific job responsibilities and expectations should be explicitly stated in a written job description developed by the department chair in conjunction with an appropriate department committee.
Searches for NTT Faculty Members
Initial searches for NTT faculty should be conducted on a regional or national basis as appropriate with the involvement of a faculty-based search committee. NTT faculty should be selected using a process somewhat similar to one used for tenure track faculty members with interviews/presentations to division faculty, staff and students, and a full review of candidates’ dossiers. Student feedback is particularly important for all NTT teaching faculty. Recommendations for hiring decisions remain under the purview of the department chair, dean or director [5].
NTT Faculty Attributes
Those appointed to a NTT academic position should hold an earned doctoral degree, OR the appropriate terminal degree, OR have appropriate professional experience (i.e., teaching, research, clinical/professional practice, extension or library) as defined by the faculty of the academic unit. Evidence of the successful candidate’s abilities should be demonstrated through the resume, portfolio/dossier, reference letters, and through interviews with unit, department and/or college faculty members. The successful candidates should demonstrate potential for excellence in the primary area of their appointments (e.g., teaching, research, clinical/professional practice, extension or library) as well as in the service and professional aspects related to their disciplines and their positions.
Clearly Defined Expectations for Each Position
Specific qualifications for each rank shall be determined by the department and/or college with approval by the provost. The workload requirements for NTT faculty members should be spelled out in detail in advance. For teaching appointments, there should be clearly articulated teaching assignments and teaching loads including adjustments made for large classes or courses with multiple sections. Research appointments should spell out the specific roles, duties, grant projects and expectations for future funding. Clinical/professional practice, librarian, clinical department faculty appointments should clearly articulate the specific roles, responsibilities and performance expectations for delivering clinical/professional practice, librarian or clinical department faculty services. Extension appointments should describe the specific extension activities and outline relationships with the department.
Contract Length
NTT faculty appointments shall begin at a specified date and terminate at a specified date. Such appointments are usually for a period of one academic year but may be for a longer or shorter period, except no single term appointment shall be for a period longer than three years. Upon promotion to Associate Teaching Professor or Associate Research Professor, it is recommended that NTT faculty receive a two-year appointment except where there are budgetary or performance concerns. Upon promotion to Teaching Professor or Research Professor, it is recommended that NTT faculty receive a three-year appointment except where there are budgetary or performance concerns.
Guidelines for Performance Evaluation
Each academic school, college or unit [6], with approval from the provost, should develop specific guidelines for the evaluation of performance. These guidelines should reflect the mission and needs of the school, college and university and cover only the primary area of the NTT appointment as well as service and professional activities related to that primary responsibility.
All NTT faculty should be reviewed annually by the appropriate unit supervisor. The standards for performance should be based on specific criteria outlined by the academic division in advance. The performance reviews should be a formal, documented process. Annual written evaluations should be provided to all NTT faculty members.
NTT appointees should compile a dossier of their activities, productivity, creativity and professional development to be reviewed on an annual basis. This material could also serve as the foundation for a dossier that could be used during the promotion process.
Reappointments
Reappointments should be based, in part, on the performance expectations communicated at the time of appointment by the chair with the concurrence of the dean [5] and the provost.
Decisions to reappoint NTT faculty should generally be made in advance of the appointment end date. NTT faculty who will not receive a reappointment should be informed in writing at least three months in advance of the appointment end date unless extenuating circumstances exist. Except for Clinical/Professional Practice, Clinical Department Faculty, and NTT faculty whose salaries are funded in whole or in part by grant-dependent sources of revenue, NTT faculty with two to five years of consecutive service with positive annual evaluations will receive six months’ notice of nonrenewal unless extenuating circumstances exist and NTT faculty with more than five consecutive years with positive annual evaluations will receive a minimum of a one-year notice of nonrenewal unless extenuating circumstances exist.
Promotion of NTT Faculty
Specified criteria for promotion and description of the process used for promotion in rank should be spelled out by the school, college or academic unit and approved by the provost in advance. The development of specific criteria and guidelines used to determine standards of excellence for promotion purposes should be the responsibility of the department/unit, subject to approval by a dean or director [5] and the provost.
Evaluation areas should be consistent with the established academic standards for each discipline. The decision to apply for promotion would be one the NTT faculty member could elect or not; annual reviews should be valuable indicators of the applicant’s readiness for promotion. The decision on a promotion application of a NTT academic appointment should not carry automatic rewards (apart from change in title) or penalties from the college, school or academic unit provided, however, that a Librarian I considered for promotion to Librarian II during his or her sixth year of employment as a Librarian I and who is not promoted to Librarian II may be subject to automatic nonrenewal.
Evaluation of the candidate’s application for promotion should focus on the specific area of appointment – teaching, research, clinical/professional practice, extension or library – as well as service and professional activities related to that primary responsibility. In promotion considerations, the total contribution of the faculty member to the mission of the school, college or academic unit over a sustained period of time should be taken into consideration. This includes comprehensive documentation of the position, including a letter of appointment identifying home department or unit and the initial position description, communications detailing changes in position responsibilities, and any other statements regarding expected performance.
Each campus shall adopt a promotion process that involves at least one faculty committee composed of one or more NTT faculty, at the promotable rank or above, and one or more tenured faculty, if such NTT faculty and tenured faculty exist. The committee or committees shall make recommendations to the Chancellor or designee who shall make the final decision.
Academic Freedom
Prior to the stated ending date of their term appointments, NTT faculty members have the same academic protections regarding academic freedom as tenured and tenure track faculty.
Accordingly, adequate cause for dismissal prior to the stated ending date of their term appointments must be related directly and substantially to the faculty member's fitness or performance in the professional capacity as teacher, researcher, clinician, extension, librarian or clinical department faculty. More information can be found in CR&R 310.020 and related sections in the campus bylaws.
Participation in Faculty Governance
NTT faculty members’ role in faculty governance shall be articulated by the individual campus within the limits of the University of è��app Collected Rules and Regulations. The goal is to identify ways for the NTT faculty members to have a voice within their campus and college, school or academic unit and to be involved in faculty governance where appropriate.

[1] The categories of NTT, unranked, non-regular faculty, and part-time, non-regular faculty include different faculty titles associated with each category. Section B of this document lists the faculty titles associated with the NTT group. Titles associated with the unranked, non-regular faculty group include, but are not limited to, instructor, lecturer, senior lecturer and visiting professor. The title of visiting professor shall only be used for those faculty on temporary appointments. Part-time or courtesy appointments shall be considered adjunct appointments and include such titles as adjunct professor, adjunct instructor, etc.
[2] All other non-regular faculty members would receive the title of instructor (or equivalent full-time title), adjunct instructor (or equivalent part-time title), or other non- regular academic appointment titles that are not faculty titles (i.e., post doc, resident, etc.).
[3] Clinical Department faculty are titles limited to the Schools of Medicine at MU and UMKC.
[4] For purposes of this Guideline only, the term "department" shall be interpreted broadly to encompass any of the following: school, college, department, division, unit, center, institute or any other campus approved academic organizational unit for which the campus has approved the assignment of NTT faculty.
[5] On campuses with no schools or colleges and, therefore, no deans, there is no requirement for approval by the dean.
[6] As used in these Guidelines only, on campuses with no schools or colleges, the terms "school" or "college" shall be interpreted to mean the provost or such subordinate academic unit as specified by the provost.

310.040 No Impairment of Rights of Tenure

kuscheld — Wed, 26 May 2010 21:50:18 +0000

310.040 No Impairment of Rights of Tenure kuscheld Wed, 05/26/2010 - 21:50

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80.

For nontenured faculty, either regular or nonregular, employed prior to the adoption of these regulations, nothing contained in these regulations shall alter the present status of their eligibility for reappointments, nor affect any existing agreement regarding their maximum probationary period.
Present members of the academic staff on continuous appointment have acquired tenure.
In the event that on any campus of the University formal proceedings have begun by the written notification to a tenured appointee of a recommendation of dismissal for cause or to a term appointee of a recommendation of dismissal for cause during the term, such proceedings shall continue before the appropriate Committee on Tenure in existence at the time these amended regulations are adopted, but such Committee shall, insofar as practicable, follow the procedures provided for in these amended regulations in any additional proceedings.

310.050 Faculty Committees on Tenure

kuscheld — Wed, 26 May 2010 21:51:20 +0000

310.050 Faculty Committees on Tenure kuscheld Wed, 05/26/2010 - 21:51

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80; Amended Bd. Min. 12-12-86.

University Faculty Committee on Tenure -- There shall be a University Faculty Committee on Tenure. This Committee shall be composed of two members from the regular academic staff of each campus of the University. Each campus faculty, or other body delegated this authority by the Board of Curators, shall, at a meeting during the second semester of each academic year, elect one person to membership on the Committee to service for the following two academic years, and also elect an alternate member who shall serve whenever the regular Committee member is unable to serve.
1. Only Professors on continuous appointment are eligible for membership on the Committee. Persons who devote a substantial portion of their time to administrative duties shall not be eligible for membership on the Committee.
2. The President annually shall appoint from among the elected Committee members a chairman pro tempore, who, if a meeting is necessary, shall call the first Committee meeting, at which time the Committee shall elect from among its members a chairman and a secretary to serve at the pleasure of the Committee. At least one member or alternate from each campus must be present to constitute a quorum.
Campus Faculty Committees on Tenure -- There shall be a Campus Faculty Committee on Tenure on each campus of the University. This Committee shall be composed of members from the regular academic staff.
1. Each campus faculty or other body delegated this authority by the Board of Curators shall by rule establish the number of members of the Committee, the apportionment among divisions within the campus, and the method of selection of the members and alternates, except as otherwise provided herein. The rule shall identify the Committee as the Campus Faculty Committee on Tenure specified in Section 310.050 B in Academic Tenure Regulations. The Chancellor shall notify the President annually on or about the beginning of the fall term that the Committee has been established and is in place.
2. Members shall be elected from the eligible Professors on continuous appointment. If there are no eligible Professors within the electoral unit, then the members shall be elected from the eligible Associate Professors.
3. Persons who devote fifty percent or more of their time to administrative duties shall not be eligible for membership on the Committee.
4. The Chancellor of the campus shall appoint from among the members a chairman pro tempore, who, if a meeting is necessary, shall call the first committee meeting, at which time the Committee shall elect from among its members a chairman and a secretary to serve at the pleasure of the Committee. At least two-thirds of the members, or their alternates, must be present to constitute a quorum.
5. Jurisdiction and Hearings to Determine Facts: The appropriate Faculty Committee on Tenure shall have jurisdiction to hear any case involving the dismissal of a faculty member for cause, as specified in Section 310.060. Such Committee may also be designated by a rule or regulation of the Board of Curators to hear and make recommendations in other cases with such modifications of procedures as may be provided by the rule or regulation in each instance.

310.060 Procedures in Case of Dismissal for Cause

kuscheld — Wed, 26 May 2010 21:52:00 +0000

310.060 Procedures in Case of Dismissal for Cause kuscheld Wed, 05/26/2010 - 21:52

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80, 12-12-86, 10-30-87, 2-5-15; Bd. Min. 9-24-20.

In cases of dismissal of faculty for cause, the burden of demonstrating the existence of an adequate case for dismissal shall rest with the University. A faculty member who has been notified in writing of a proposed action for dismissal may request a preliminary informal conference before an appropriate faculty committee as specified in the Bylaws of the campus faculty. If so requested, the Committee or other body shall promptly inquire into the matter and shall schedule a conference, which the parties shall be entitled to attend, the purpose of which shall be to determine whether an amicable adjustment of the matter can be effected. If no such adjustment can be made, and the notice of proposed action is not withdrawn, the matter shall proceed in accordance with Section 310.060 B.

Faculty Committees on Tenure
1. Each Campus Faculty Committee on Tenure shall hold hearings within the jurisdiction of this regulation involving personnel in the several academic divisions of the campus it represents.
2. In any case where the Campus Committee determines prior to a hearing that the best interests of all concerned would be served better by a hearing by the University Faculty Committee on Tenure, the Campus Committee may transfer the case to the University Committee, in which case the University Committee shall serve in the place and stead of the Campus Committee.
3. In addition to serving in the place and stead of the Campus Committee where a case is transferred, the University Committee shall have original jurisdiction to hold hearings involving personnel holding systemwide, rather than campus, academic staff appointments.
Formal Proceedings
1. Definitions -- In the procedures established under Section 310.060 the following definitions shall apply:
  1. Respondent shall refer to the faculty member against whom charges are filed.
  2. Relator shall refer either to the Chancellor or to such person or persons as may be designated from time to time by the Chancellor, to represent the Chancellor in the formal proceedings against a Respondent. This may be the Dean or other appropriate administrative officer recommending action against a Respondent, or other person specifically designated.
  3. The “Record of the Case in a Section 600.030 or 600.040 Process” includes, when applicable: all Notices to the Parties; investigative report; recordings of Party and witness interviews; exhibits used at a hearing; the hearing record (an audio or audiovisual record of the hearing); any determination of dismissal of all or part of a Complaint or Formal Complaint; the determination on each of the alleged policy violations and sanctions by either the Hearing Panel or decision-maker; and the decision on the appeal, if any, including the request for appeal, any additional evidence submitted for the appeal, and written arguments of the Parties pursuant to Section 600.030: Resolution Process for Resolving Complaints of Sexual Harassment under Title IX, and 600.040: Equity Resolution Process for Resolving Complaints of Discrimination and Harassment against a Faculty Member or Student or Student Organization.
  4. Complainant is defined in Sections 600.030.C.6 and 600.040.C.3 of the Collected Rules and Regulations.
2. Statement of Charges - Request for a Committee Hearing
  1. When dismissal for cause is considered by or recommended to the Chancellor, the Respondent shall be notified in writing by the Relator of the proposed action for dismissal and the reasons therefor, stated with reasonable particularity and called the Charge, and of the right to a hearing by the appropriate Faculty Committee on Tenure together with a membership roster of the Committee. If the Respondent desires a hearing, the Respondent shall give written notice of this request to the Chancellor within thirty consecutive calendar days from the receipt of the formal notice. The Respondent shall also send copies of this request for hearing to the Relator and to the Chairman of the Committee. The Relator shall thereupon file a copy of the Charge with the Chairman of the Committee. Failure by the Respondent to make a timely written request for a hearing shall constitute a waiver of the Respondent's right to a hearing before the Committee.
  2. The Respondent shall file a written Answer to the Charge with the Chairman of the Committee at least three calendar days prior to the date set for hearing before the Committee. Such Answer shall specifically admit or deny the allegations of the reasons contained in the Charge. A failure to answer or to deny an allegation of fact in the Charge may be considered by the Committee as an admission of such fact.
  3. The Relator shall notify the Complainant of the filing of the Charge and the request for hearing.
3. Suspension from Duties -- Pending a final decision by the Committee, the Respondent will be suspended (or assigned to other duties in lieu of suspension) if immediate harm to someone is threatened by continuance or if the Charge was initiated according to a finding and referral under Section 600.040. For allegations contained in the Charge not previously decided pursuant to the process in Sections 600.030 or 600.040, the Chancellor shall consult with an appropriate standing committee of the faculty before suspending the respondent or as soon as possible thereafter and salary will continue during any period of suspension, and an assignment to other duties shall not diminish salary. If the Charge was initiated according to a finding and referral under Section 600.030 or 600.040, Respondent shall be suspended without pay and removed from campus until the Chancellor makes a determination and all appeals have been exhausted under Section 310.060.
4. Hearing by Committee
  1. If the Respondent makes a timely written request for a hearing by the Committee, the Chairman shall notify in writing the Respondent, the Complainant (when applicable) and the Relator of the date, time, and place of hearing before the Committee, which shall be within a reasonable time but not less than ten, or more than thirty, consecutive calendar days after the date of the receipt of the request for hearing. Not less than twenty days shall be allowed between the delivery of the Charge to the Respondent and the beginning of the hearing.
  2. Any request for continuance shall be made by the Respondent, Complainant or Relator in writing to the Chairman, who shall have discretionary authority to continue the hearing within the time limits fixed under Section 310.060 B.4.a upon determining that the request is timely and made for good cause. Any continuance beyond the time limit fixed must be by action of the Committee and approved by the Chancellor.
  3. In accordance with standing University policy in personnel matters, such hearings shall not be open to the public.
  4. Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by the Relator, the Complainant, the Respondent, the Committee, or administrative officers will be avoided until the proceedings have been completed, including final appeal.
5. Conduct of Hearing -- The Chairman shall preside at the hearing, call the hearing to order, call the roll of the Committee in attendance, ascertain the presence or absence of the Respondent, the Complainant (when applicable) and the Relator, read the notice of hearing, read the Charge and Answer, verify the notice of the Charge to the Respondent, report any continuances requested or granted, establish the presence of any advisor or counselor of either party, call to the attention of the Respondent and Respondent's advisor any special or extraordinary procedures to be employed during the hearing, and permit the Respondent to suggest or object to procedures. Formal rules of evidence shall not be required.
  1. Opening Statements
    (1) The Relator shall make opening remarks outlining the general nature of the case. Such remarks shall not be considered as evidence. The Relator may give evidence, but only if called to testify as a witness.
    (2) The Respondent may also make an opening statement to the Committee about the charge, either at this time or at the conclusion of the Relator's presentation, at the Respondent's election. Such remarks shall not be considered as evidence. The Respondent may give evidence, but only if called to testify as a witness.
    (3) The Complainant may make an opening statement to the committee about the allegation(s) in the Charge which were previously decided pursuant to the process in Section 600.030 or 600.040. Such remarks shall not be considered as evidence.
  2. Evidence for Matters Previously Decided in the Section 600.030 or 600.040 Process
    (1) The Record of the Case in the Section 600.030 or 600.040 Process will be the evidence before the Committee and the findings will be adopted by the Committee. There will not be a rehearing of those issues previously decided in the Section 600.030 or 600.040 process and the Relator, the Complainant and the Respondent will not be allowed to present additional evidence or rebuttal evidence regarding those matters.
    (2) Any additional allegation(s) in the Charge which were not within the jurisdiction of and not previously decided in the Section 600.030 or 600.040 Process will follow the process in Section 310.060.
    (3) If the Committee determines that there is good cause to believe that there is new evidence, unavailable during Section 600.030 or 600.040 Process and that could substantially impact the original finding, the Committee may refer the matter back to the applicable process in Section 600.030 or 600.040 for further proceedings. If the original decision maker is available, the matter will be heard by the original decision maker.
  3. Relator's Evidence
    (1) Relator's witnesses are to be called and identified and evidence or written statements or reports introduced as appropriate.
    (2) The Committee may question witnesses or examine evidence at the conclusion of the Relator's presentation. Respondent may question the Relator or witnesses.
  4. Respondent's Evidence
    (1) Respondent's witnesses are to be called and identified and evidence or written statements or reports introduced as appropriate.
    (2) The Committee may question witnesses or examine evidence at the conclusion of Respondent's presentation. Relator may question the Respondent or witnesses.
  5. Rebuttal Evidence -- The Committee shall permit the Relator or the Respondent to offer any matter in rebuttal of the other's presentation.
6. Rights of Committee -- The Faculty Committee on Tenure shall have the right:
  1. To determine the relevancy and admissibility of any evidence offered at the hearing, except that when the allegation(s) in the Charge was previously decided pursuant to the process in Section 600.030 or 600.040, the Record of the Case in the Section 600.030 or 600.040 Process will be the evidence before the Committee and the findings will be adopted by the Committee.
  2. To permit a stipulation of agreed facts by the Relator and the Respondent.
  3. To permit the incorporation in the record by a reference of any document, affidavit or other exhibit produced and desired to be incorporated in the record by the Relator or the Respondent.
  4. To question witnesses or evidence introduced by either the Relator or the Respondent at any time.
  5. To call additional witnesses for allegations contained in the Charge which were not within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
  6. To have access to the Record of the Case in the Section 600.030 or 600.040 Process.
  7. For allegations in the Charge previously decided pursuant to the process in Section 600.030 or 600.040, if the Committee determines that there is good cause to believe that there is new evidence, unavailable during the Section 600.030 or 600.040 Process and that could substantially impact the original finding, the Committee may refer the allegation(s) back to the applicable process in Section 600.030 or 600.040 for further proceedings. If the original decision maker is available, the matter will be heard by the original decision maker.
  8. To dismiss any action or permit informal disposition at any stage of the proceeding if agreed to by Relator, Respondent, and appointing authority.
  9. To permit at any time amendment of the Charge or Answer so as to include matters which may come to the attention of the Committee before final determination of the case, provided however, that in such event the Committee shall grant to the Respondent or the Relator such time as the Committee may determine reasonable under the circumstances to answer or explain such additional matters.
  10. To dismiss any person from the hearing who interferes with or obstructs the hearing or fails to abide by the rulings of the Chairman of the Committee.
  11. To have present a legal advisor to the Committee, who shall be designated by the General Counsel of the Board of Curators.
7. Parties' Rights Upon Hearing
  1. A Relator appearing before a Faculty Committee on Tenure for a hearing pursuant to formal notice of a Charge shall have the right:
    (1) To be present at the hearing, which right may be waived by failure to appear.
    (2) To have present any legal or other advisor or counselor and to consult with such advisor or counselor during the hearing.
    (3) To present evidence by witnesses and by properly identified written statements or reports in support of the Charge for allegations contained in the Charge which were not within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (4) To hear or examine evidence presented by the Respondent for allegations contained in the Charge which were not within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (5) To question witnesses present and testifying for Respondent for allegations contained in the Charge which were not within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (6) To make any statement to the Committee in support of the Charge.
    (7) To be informed in writing of the findings of the Committee and its recommendation on the Charge.
  2. A Respondent appearing before a Faculty Committee on Tenure for a hearing pursuant to formal notice of a Charge shall have the right:
    (1) To be present at the hearing, which right may be waived by failure to appear.
    (2) To have present any legal or other advisor or counselor and to consult with such advisor or counselor during the hearing.
    (3) To present evidence by witnesses and by properly identified written statements or reports for any defense the Respondent desires for allegations contained in the Charge which were not previously within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (4) To hear or examine evidence presented to the Committee for allegations contained in the Charge which were not previously within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (5) To question witnesses present and testifying at the hearing for allegations contained in the Charge which were not previously within the jurisdiction of and not previously decided pursuant to the process in Section 600.030 or 600.040.
    (6) To make any statement to the Committee in mitigation or explanation of the conduct in question.
    (7) To be informed in writing of the findings of the Committee and its recommendation on the Charge.
  3. Complainant may elect to participate in the Section 310.060 process but there is no negative inference if Complainant elects not to participate. If Complainant elects not to participate in the Section 310.060 process, Complainant still has the right to be informed in writing of the findings of the Committee and its recommendation on the Charge, as it relates to the allegation(s) in the Charge previously decided pursuant to the process in Section 600.030 or 600.040. If Complainant elects to participate in the Section 310.060 process, Complainant shall have the right:
    (1) To be present, which may be waived by failure to appear, at the portions of the hearing related to the allegation(s) in the Charge previously decided pursuant to the process in Section 600.030 or 600.040.
    (2) To have present any legal or other advisor or counselor and to consult with such advisor or counselor during the hearing.
    (3) To make an impact statement, either verbally or in writing, to the Committee.
    (4) To be informed in writing of the findings of the Committee and its recommendation on the Charge, as it relates to the allegation(s) in the Charge previously decided pursuant to the process in Section 600.030 or 600.040.
8. Other Procedural Questions
  1. Procedural questions which arise during the hearing and which are not covered by these general rules shall be determined by the Chairman, whose ruling shall be final unless the Chairman shall present the question to the Committee at the request of a member of the Committee, in which event, the ruling of the Committee by majority vote shall be final.
  2. General Rules of Decorum -- The following general rules of decorum shall be adhered to:
    (1) All requests to address the Committee shall be made to the Chairman.
    (2) The Chairman shall rule on all requests and points of order and may consult with the Committee's legal advisor prior to any ruling. The Chairman's ruling shall be final and all participants shall abide thereby unless the Chairman shall present the question to the Committee at the request of a member of the Committee, in which event the ruling of the Committee by majority vote shall be final.
    (3) An advisor or counselor shall be permitted to address the Committee and to question witnesses. An advisor or counselor may request clarification of a procedural matter or may object on the basis of procedure at any time by addressing the Chairman after recognition.
9. Determination by Committee -- The Committee shall then make its findings and determination by majority vote in executive session out of the presence of the Relator and Respondent. Separate findings of fact are to be made as to each count of the Charge, and a recommendation made based upon the findings on all charges. Before recommending dismissal of the Respondent, the Committee shall be convinced by the evidence in the record considered as a whole that one or more counts have been sustained and that such count or counts warrant dismissal.
  1. Official Report of Findings and Determination -- Promptly after the hearing and, in any event, within ten consecutive days after receipt of the record, the Committee shall make its findings of fact and recommendations in writing and transmit them to the Chancellor, to the Relator, to the Complainant (when applicable and as it relates to the allegation(s) in the Charge previously decided pursuant to the process in Section 600.030 or 600.040) and to the Respondent forthwith. If the Committee concludes that adequate cause for dismissal has not been established, and therefore tenure is not involved, but that some discipline or penalty less than dismissal may be appropriate, it may recommend that the Record of the Case be referred to the appropriate campus-level Committee for its recommendation to the Chancellor.
Record of Case -- A taped or stenographic record of the hearing shall be taken and shall be maintained for five (5) years. The notice, exhibits, hearing record, a copy of the Record of the Case in a Section 600.030 or 600.040 Process, when applicable, and the findings and determination of the Committee shall become the "Record of the Case," shall be filed in the Office of the President of the University, and shall be available only for official purposes, and for the purpose of appeal be accessible at reasonable times and places both to the Relator and the Respondent. In the event of an appeal, no new evidence shall be taken in the case, but the appellate authority may remand the matter for further evidence to the Committee. Either party may have any such record of the hearing reduced to writing for the purposes of appeal.
Determination by Chancellor and Right of Appeal
1. The Chancellor shall make a determination in the matter after giving due consideration to the findings and recommendations of the Committee and may remand the matter to the Committee or to the decision maker in the Section 600.030 or 600.040 Process, when applicable, for further proceedings. Upon reaching this determination, the Chancellor shall notify the Respondent, the Complainant (when applicable and as it relates to the allegation(s) in the Charge previously decided pursuant to the process in Section 600.030 or 600.040) and Relator in writing of the determination and disposition. The Respondent, Complainant or Relator shall be entitled to appeal to the President of the University as provided in Section 310.060 D.3. The Complainant’s right to appeal and have access to records related to the appeal in Section 310.060.D are limited to the allegation(s) in the Charge which were previously decided pursuant to the process in Section 600.030 or 600.040. When the allegation(s) in the Charge was previously decided pursuant to Section 600.030 or 600.040 and if the Chancellor determines that adequate cause for termination has not been established, the Chancellor, in consultation with the Provost, shall determine sanctions less than termination for cause. The determination of sanctions less than termination for cause is stayed pending the appeals related to the Chancellor’s decision as to termination and are not part of those appeals.
2. When permitted by these Regulations, the Respondent, Complainant or Relator may appeal a decision of the Chancellor by filing written notice of appeal within seven (7) consecutive calendar days after notice of the decision of the Chancellor with the President. A copy of the Notice of Appeal will simultaneously be given by the appealing party to all other parties. The appealing party may file a written argument confined to the issues and evidence previously submitted and contained in the Record of the Case for consideration by the President. Such memorandum must be filed with the Notice of Appeal, and the President may request a reply to such memorandum by the Respondent, Complainant or Relator. The President shall have the discretionary right to grant extensions of time.
3. The President shall review the full Record of the Case and the appeal documents and may affirm, reverse, remand the case for further proceedings or, upon concluding that adequate cause for termination has not been established, and therefore tenure is not involved, but that some discipline or penalty less than dismissal may be appropriate, may refer the Record of the Case to the appropriate campus final Committee on Faculty Responsibility for its recommendation to the Chancellor and the President shall notify the Respondent, Complainant (when applicable) and the Relator in writing of this decision on the appeal.
  1. The Relator, Complainant or the Respondent may thereafter appeal to The Board of Curators of the University of è��app by filing a written Notice of Appeal with the President of the University and the Secretary of the Board of Curators and giving notice either to the Respondent or the Relator, as appropriate. Such Notice of Appeal must be filed within seven (7) consecutive calendar days of the notification of action by the President. Upon the filing of a Notice of Appeal to the Board, the President shall cause the record of the case, including any written memoranda received during its consideration, to be filed promptly with the Secretary of the Board of Curators.
  2. The appealing party shall have the privilege of filing written argument confined to the issues and evidence previously submitted and considered in the Record of the Case for consideration by the Board of Curators with the Notice of Appeal, and the other parties may file a written reply within seven consecutive calendar days. The President of the University may grant extensions of time for filing written argument. The parties have the right of appearance before a committee of the Board.
4. The Board of Curators shall either sustain the decision of the Hearing Committee or return the proceedings to the Committee with specific objections. The Committee shall then reconsider, taking into account the stated objections and receiving new evidence if necessary. The Board of Curators shall take such final action on the appeal as it deems appropriate after study of the Committee's reconsideration. The Secretary of the Board shall notify the Respondent and the Relator in writing of the decision of the Board.
  Notice -- If the appointment is terminated, a tenured faculty member shall normally receive salary to the end of the contract year in which final determination was made by the Chancellor under these procedures, as set forth in Section 310.060 D.1, except that no salary shall be paid beyond the date of termination if the cause of termination was conviction of a felony or if the cause of termination resulted from a Charge that was initiated pursuant to a finding and referral pursuant to Section 600.030 or 600.040. The Faculty Committee on Tenure may make recommendations if a shorter or longer period is deemed appropriate because of such considerations as the nature and gravity of the conduct which justified dismissal and the length and quality of service of the faculty member. Notice may also be extended by the President if, through no fault of the faculty member, inordinate delays occur in the appeal process.

310.070 Notice

kuscheld — Wed, 26 May 2010 21:57:21 +0000

310.070 Notice kuscheld Wed, 05/26/2010 - 21:57

Bd. Min. 3-17-72, p. 36,281; Revised Bd. Min. 6-27-80, p. 38,132; Amended Bd. Min. 9-12-80.

Any notice required under these Tenure Regulations may be given:
1. By delivering such notice in person.
2. By certified mail addressed to the last address currently on record with the administrative unit within which the appointee is employed. Failure of any appointee to have a current correct address on record with the administrative unit within which the appointee is employed shall not be construed to invalidate such notice. If served by certified mail, and the party is thereafter required to act or initiate some proceeding within a prescribed period after service, three days shall be added to the prescribed period.