Redbook - Chapter Four - Faculty Personnel Policies
Approved by the Board of Trustees 25 June 2001
Effective 1 January 2002
Revised 1 March 2004
Faculty Personnel Policies
Sec. 4.1.1 Types of Appointments
A. Any full-time faculty appointment shall be one of three kinds:
1. Nontenurable (Section 4.1.2)
2. Probationary (Section 4.1.3)
3. Permanent tenure (Section 4.1.4)
B. Part-time appointments
Part-time faculty shall be appointed by contract to teach specified courses or to engage in specified instruction, research or service less than full time for a designated period. No such appointment, continuation, or renewal thereof shall result in acquisition of tenure or implied renewal for subsequent periods. Part-time faculty may qualify for certain benefits as authorized by the university. Part-time faculty may be elected to the Faculty Senate and may be appointed or elected to university or unit committees as specified by contract, university or unit personnel documents. Such service shall be accounted for and recognized in the individual contract. Part-time faculty shall hold rank according to education and experience.
Deans may appoint or reappoint temporary lecturers for each academic term at the convenience of the University on standard contract terms approved by the Provost. Lecturer appointments shall not be eligible for tenure or count toward time for acquisition of tenure, regardless of assignment or seniority. Lecturers may participate in unit governance as permitted by unit bylaws but shall have a special grievance process as provided in the terms of appointment.
Such honorary title may be conferred upon retired faculty if requested by the unit faculty (or, if permitted in unit personnel documents, by department faculty) and dean and approved by the President and Board of Trustees.
D. Other types of faculty appointments are described in Addenda to The Redbook.
Sec. 4.1.2 Nontenurable Full-Time Appointments
A. Temporary Appointments
Temporary appointments to the various academic ranks may be made for specifically limited time periods less than one year or for special purposes. In no case shall a temporary appointment or a renewal thereof result in the acquisition of tenure.
B. Term Appointments
1. Term faculty may be appointed for a contract period not to exceed 3 years. Such appointments shall not be tenurable. No term contract, continuation, or renewal shall result in the acquisition of tenure or imply renewal for subsequent terms.
2. Term faculty appointments may be funded through general funds, restricted funds, or clinical revenues. In each unit, term appointments funded through general funds must number less than 50% of the total number of probationary and tenured appointments in that unit.
3. Unit documents shall specify the maximum term, criteria for appointment, procedures for evaluation and promotion, and governance franchise for non-tenurable faculty.
4. A nontenurable faculty member shall be eligible to apply for and be appointed to a tenurable position. The provost's letter of appointment shall state whether and to what extent the new appointment shall consider time served in non-tenurable status as prior service (Section 4.1.5.D).
Sec. 4.1.3 Probationary Appointments
Probationary appointments shall be appointments of full-time faculty members without tenure other than those described in Section 4.1.2, provided, however, that no probationary appointment to the University shall extend beyond the period when tenure would normally be granted (Section 4.2.2.).
Probationary appointments to the rank of instructor shall be for stipulated terms of one year each.
C. Assistant and Associate Professors
Probationary appointments to the rank of Assistant or Associate Professor shall be for stipulated terms not to exceed two years on the initial appointment, nor three years for appointments made thereafter.
Professors shall be awarded tenure if employed subsequent to the initial probationary appointment.
Sec. 4.1.4 Tenure Appointments
Tenure is the right of certain full-time faculty personnel who hold academic rank to continuous full-time employment without reduction in academic rank until retirement or termination as provided in Section 4.5.3. Tenure is granted in an academic unit (Article 3.1.1) in accordance with the procedures established in Section 4.2.2.H.
Administrative personnel who have acquired tenure are subject to the regulations herein on tenure and the provisions governing termination only in their capacities as faculty members.
C. Tenure Recommendations
Recommendations concerning the award or denial of tenure shall originate in the faculty of the academic unit in which tenure is to be granted.
D. Establishment of Tenure Date
For probationary appointments, the date of mandatory tenure and the number of years of previous full-time service to be counted toward acquisition of tenure shall be stipulated by the Provost and agreed to in writing by the nominee before the appointment is made by the Board of Trustees.
In compliance with the Minimum Guidelines (Section 4.6.3.), each academic unit shall establish and maintain a system of career reviews of all faculty. The kinds of review are: annual (4.2.1); pre-tenure (4.2.2.G), tenure (4.2.2.H); promotion (to associate professor or professor, 4.2.3); and periodic career review (4.2.4).
Sec. 4.2.1 Annual Reviews
A. Administrative officers and appropriate faculty bodies shall protect faculty members from inequities in salary.
B. All term, probationary, and tenured faculty must be reviewed in writing annually. Unit personnel documents shall specify the process of annual review, which shall be consistent with the Redbook and the Minimum Guidelines.
C. Unit personnel documents shall also provide an appeal process for annual reviews. This process shall be outside of the grievance process of Article 4.4.
Sec. 4.2.2 Tenure
A. Time Required
All probationary faculty who have had seven years of service counted as in a tenurable faculty position, if reemployed full time, shall be granted tenure.
B. Leaves of Absence
One year spent on an officially approved leave of absence may be counted toward the seven years of full-time service necessary for tenure. Any leave granted during the probationary period must carry with it a stipulation in writing as to whether the leave counts toward tenure.
C. Extension of Probationary Period
A faculty member who faces extenuating circumstances that do not require a leave of absence but result in a significant reduction in ability to perform normal duties may request an extension of the probationary period for no less than six months and no more than one year. Such extensions must be requested and approved before the end of the fifth year of the probationary period and must have documentation satisfactory to the Provost.
D. Prior Service
Previous full-time service with the rank of instructor or higher or comparable status in institutions of higher learning may be counted toward the acquisition of tenure.
E. Early Tenure
1. Notwithstanding anything in The Redbook to the contrary, tenure may be granted at the time of initial appointment or in less than seven years when such action is warranted.
2. A faculty member may request only one evaluation for early tenure.
3. Evaluation for early tenure, once originated, shall proceed as indicated in Section 4.2.2.H. unless the faculty member under review requests its withdrawal.
F. Criteria for Tenure
Criteria for tenure shall be established in, but not limited to, the following areas:
· Research or creative activity
· Service to the profession, the unit, the University or the community;
· Collaboration with colleagues and students;
· Adherence to professional standards.
G. Pre-Tenure Review
Each probationary faculty member shall be reviewed at the mid-point of his or her probationary period at the University. The review shall be conducted at the same level of rigor and by the same process as in a tenure review within the unit, except that extramural evaluations shall not be required. The results of the review shall be made available to the faculty member. The purpose of the review is to inform the faculty member of the unit's perception of the faculty member's progress in meeting the standards for tenure. In units without subdivisions, the dean shall conduct the review. In units with departments or divisions, the chair or director may conduct the review but it shall not be final until approved by the dean.
H. Evaluation for Tenure
1. Each faculty member eligible for tenure must be evaluated within twelve months after five years of service applied to tenure according to the following procedures. Evaluation for tenure in course, once originated, shall proceed as indicated below unless the faculty member under review resigns from the University or is subject to termination by reason of the discontinuation of a unit, department, or program (4.5.3.A.2). Completion of the probationary period with satisfactory annual performance evaluations and pre-tenure review shall not in and of itself constitute sufficient grounds for tenure.
2. Faculty members on probationary status shall be affected by any amendments to or change in the criteria for tenure subsequent to their appointment. In such evaluations, appropriate consideration must be given to the amount of time remaining in their probationary period when the change becomes effective.
3. In units with subdivisions, evaluation for tenure shall originate in the department or division in which the faculty member has primary appointment. The recommendations of the faculty and/or of its designated representatives, of the department or division, and of the chair or director shall be forwarded to the appropriate unit committee for its recommendation to the dean of the unit, who shall make a recommendation. In units without departments or divisions, the recommendation of the appropriate unit committees shall be forwarded to the dean for a recommendation.
4. A file of all information and documents pertinent to the tenure evaluation shall be compiled with the cooperation of the faculty member. Recommendations and any other material added shall become part of the file. The faculty member may examine any substantive material in the tenure file but shall not be informed of the identity of evaluators. The faculty member may add newly available material evidence for reconsideration by the previous evaluators or rebuttals before the file is forwarded to the Provost. The evidence in this file shall be reviewed according to the procedures specified in the Minimum Guidelines and the unit personnel document.
5. The recommendation of the dean shall be the unit recommendation forwarded to all higher levels of review. When a librarian holding faculty rank in the Law Library is reviewed, a recommendation from the Dean, University Libraries shall be obtained before the case is presented to the Dean of the School of Law. When a candidate is a member of the graduate faculty, the Dean of the Graduate School shall receive the case with the unit recommendation and will form a recommendation to be included in subsequent levels of review. When a candidate is a member of a unit that reports to the Vice President for Health Affairs, the vice president shall review the unit recommendation (and the recommendation of the dean of the Graduate School when appropriate) and form a recommendation to forward with the file for the Provost's consideration.
6. The completed tenure file shall be forwarded to the Provost for a recommendation, after it has been reviewed by the Affirmative Action Office. If there is any disagreement between the view of the Provost and the recommendation of the unit, the Provost shall send a written statement of the reasons for his or her recommendation to the faculty member and to the unit dean, each of whom shall have the opportunity to comment in writing prior to any recommendation to the President. The file containing all comments and recommendations shall be made available to the President.
7. If the recommendation of the Provost, dean, or department chair is negative, the candidate must be notified by certified mail. The candidate may request a hearing before the unit grievance committee except if the original negative decision is by the Provost (or, in cases from the Health Sciences Center, by the Vice President for Health Affairs), then jurisdiction lies with the University Faculty Grievance Committee. This request must be delivered on or before the tenth working day following the action challenged.
8. The Provost will prepare a recommendation for the President's review, and the President shall make the final recommendation concerning tenure for any faculty member whose status is to be acted upon by the Board of Trustees or shall inform the Board concerning the nonrenewal of contract for any faculty member completing the sixth year of service in a probationary appointment.
9. In any case where the initial recommendation to deny tenure is by the President, the candidate shall first be notified of the reason in writing by the President and may appeal for reconsideration before the Board of Trustees takes action. If requested by the candidate on or before the tenth working day following the President's notice, the University Faculty Grievance Committee shall provide a hearing. The report of the committee, which shall summarize the case and make a recommendation for tenure or denial, shall be forwarded to the Board of Trustees, the President, and the candidate together with the record of the hearing. The President and candidate shall have ten working days to submit written response to the Board of Trustees.
10. The Board of Trustees shall take final action to grant tenure after an affirmative recommendation of the President. In addition, in any case where the initial recommendation to deny tenure is by the President, the Trustees shall decide whether to grant tenure after considering the President's original recommendation, the Report of the Faculty Grievance Committee, and the response of the President and the candidate.
11. Evaluation for tenure in course, once originated, shall proceed as indicated above unless the faculty member under review resigns from the University. The President may deny tenure after a recommendation of the Provost if the position is eliminated for financial exigency or bona fide discontinuance or reduction of a department, institute or program of instruction. In the event of a tenure denial for such reasons, the faculty member's place will not be filled by a replacement within a period of three years, unless the dismissed faculty member has been offered reappointment and a reasonable time within which to accept or decline it.
12. Faculty members not recommended for tenure shall be informed by the President within seven days after the decision has been reported to the Board of Trustees.
13. If appeal or grievance procedures delay a final tenure recommendation at the time notice of nonrenewal must be given, the President may give notice of nonrenewal of the appointment but such notice shall not prejudice later award of tenure.
Sec. 4.2.3 Promotion in Rank
Criteria for evaluation for promotion shall be established in, but not limited to, the following areas:
· Research or creative activity
· Service to the profession, the unit, the University or the community;
· Collaboration with colleagues and students;
· Adherence to professional standards.
The details of these criteria and of any additional criteria to be considered in making a recommendation concerning promotion shall be specified in the unit's personnel document.
B. Evaluation for Promotion
Each faculty member shall be reviewed for promotion in rank according to procedures identical to those prescribed in Section 4.2.2.H, subsections 1-6. Then the President shall make a recommendation concerning promotion to be acted upon by the Board of Trustees.
Sec. 4.2.4 Periodic Career Reviews
Each academic unit shall have a Periodic Career Review process specified in the unit personnel document.
A. Faculty with Tenure
1. Faculty members with tenure shall undergo a periodic career review after every fifth year of service. When the review period ends in a sabbatical (or other leave), the periodic career review shall be deferred until the next academic year. A promotion shall replace a periodic career review for the period in which the promotion occurs.
2. Within thirty calendar days of a periodic career review that indicates deficient performance, a faculty member, in consultation with the chair (if any) or dean, shall prepare a career development plan, acceptable to the dean, to remedy the deficiency in one year unless the dean approves a longer period. If the faculty member completes the agreed upon professional development plan, the faculty member shall then have one year to demonstrate satisfactory performance. The dean shall then institute another career review as provided in the unit personnel documents. A faculty member whose performance is judged unsatisfactory in this second review shall be subject to appropriate disciplinary action, which may include proceedings for termination (Article 4.5.).
B. Term faculty
Contract renewal reviews shall be considered periodic career reviews for nontenurable term appointees.
Sec. 4.3.1 Annual Work Plan and Presence at the University
A. Working with the department chair, each faculty member shall present an annual workplan for the approval of the dean. The workplan shall specify the responsibilities of the faculty member for teaching, research, service, other institutional obligations, and other activities or requirements for the faculty member's presence on campus.When circumstances require changes in the workplan, the faculty member and chair shall file an amended plan (including an explanation of the necessary changes) for the dean's approval.
B. Each dean may require the unit faculty to report two weeks before classes begin and to continue in actual attendance until the end of the academic term except when an approved faculty workplan provides otherwise. Temporary absence from residency for faculty members during the period when their contract requires them to be in residence shall be arranged in accordance with regulations of the unit. Each faculty member is responsible for the conduct of assigned courses and is required to meet such classes and make such assignments as will fulfill the intent of the courses.
Sec. 4.3.2 Compensation
Faculty employment contracts shall be as uniform as possible throughout the University.
Each faculty member?s base salary, exclusive of supplemental pay, once established for tenured faculty or during a contract period at the University of Louisville shall not be reduced except in a fiscal emergency or under the most extreme circumstances.
Sec. 4.3.3 Work Outside the University
Full-time faculty of the University may carry out professional work outside the University, with or without pay, usually for not more than the equivalent of one work day a week, averaged throughout the number of weeks of their employment in a given year, provided that such work is previously approved by the dean as appropriate to the faculty member's expertise and the mission of the university and provided that such work does not conflict or interfere with the faculty member's schedule of assignments and responsibilities at the University. As part of the documentation for annual review, full-time faculty shall submit a report of this professional work outside the University under the provisions of this section.
Sec. 4.3.4 Paid Tutoring
Sec. 4.3.5 Sabbatical Leave
The sabbatical leave is recognized as a serious professional responsibility and shall be utilized for activities that will improve the faculty member's contribution to the University's missions. A tenured faculty member who has six contract years of full-time service at the University of Louisville may petition for a sabbatical leave of absence for one-half contract year on full pay or for one contract year on one-half pay. Faculty members on twelve-month appointments may receive six months of leave with full pay or twelve months' leave with one-half pay. No more than one year of leave, as defined in Sections 4.3.6 and 4.3.7, may be counted as years of service toward sabbatical leave. The University shall make every effort to approve all appropriate applications. Sabbatical leave shall be granted only upon the approval of the dean (and the Vice President for Health Affairs, where appropriate), the Provost, and the President. No leave will be granted without the guarantee of at least one year of continued full-time service after return from the sabbatical leave.
Sec. 4.3.6 Leave of Absence Without Pay
A faculty member may request a leave of absence without pay at any time. The dean of the unit, the Provost, and the President must approve such leaves. Disciplinary leaves of absence without pay may be imposed by deans with the approval of the Provost and the President.
Sec. 4.3.7 Leave of Absence With Pay
A faculty member may request a leave of absence with pay at any time. The dean of the unit, the Provost and the President must approve such leaves. Disciplinary leaves of absence with pay may be imposed by deans with the approval of the Provost and the President.
Sec. 4.3.8 Retirement
The Board of Trustees shall make available a retirement annuity plan for full-time faculty members, after a stated minimum period of service in such capacity. Each retirement annuity contract shall be vested in the individual participant. Faculty members will retire under the provisions and conditions set out in the retirement plan adopted by the Board of Trustees.
Article 4.4 Resolution of Disagreements
Sec. 4.5.1. Termination of Appointment by a Faculty Member
A faculty member may terminate an appointment effective at the end of a contract year, provided that notice is given to the dean in writing at the earliest possible opportunity, preferably within thirty days of receiving notification of the terms of the appointment for the coming year. The faculty member may properly request from the dean a waiver of the requirement of notice in the case of hardship.
Sec. 4.5.2 Probationary Academic Appointments
When a decision not to renew an appointment has first been reached, the faculty member involved will be informed of that decision in writing by the dean and, if he/she so requests, will be advised orally of circumstances that contributed to that decision. If the faculty member so requests, the professional, academic, budgetary, management, planning, or other factors given in explanation of the nonrenewal will be confirmed in writing. The faculty member may request a review under provisions of the grievance procedure as stipulated in Article 4.4. Written notice that a probationary appointment is not to be renewed shall be given to a faculty member in advance of the expiration of the appointment, according to the following minimum periods of notice.
A. First Year of Probationary Service
In the first year of probationary service at the University of Louisville, not less than ninety days before the expiration of the contract.
B. Second Year of Service
Not later than six months before the end of the second contract year at the University of Louisville.
C. Service of More Than Two Years
After two or more years of service at the University of Louisville, notice of termination shall be given at least twelve months before the expiration of the appointment.
Sec. 4.5.3 Termination of Academic Employment Before the End of a Specified Term or for Persons with Tenure
1. Termination of an appointment with tenure, or of a special or probationary appointment before the end of the specified term, may be effected by the institution for any of the following causes only if the cause substantially impairs effectiveness as a faculty member:
b. Neglect of or refusal to perform one's duty,
c. Immoral conduct.
2. Termination of an appointment with tenure, or of a special or probationary appointment before the end of the specified term, may be effected by the institution for financial exigency or bona fide discontinuance or reduction of a unit, a department, a program or a service. In such case the affected faculty member shall have the right to have the issues reviewed by the University Faculty Grievance Committee, with ultimate review of all controverted issues by the Board of Trustees after recommendation by the Office of the President. This review will include consideration of the range of course offerings of the institution, the importance of the program to the academic objectives of the unit, faculty status, affirmative action, and the prospects for future funding from all possible sources.
In every case of financial exigency or discontinuance or reduction of a unit, a department, or program of instruction, the faculty member concerned will be given appropriate notice as specified in Section 4.5.2 after recommendation by the President. Before terminating an appointment because of the discontinuance of a department, institute, program or service, every effort will be made to place affected faculty members in other suitable positions. If an appointment is terminated before the end of a period of appointment because of financial exigency, or because of the discontinuance or reduction of a program of instruction, the released faculty member's place will not be filled by a replacement within a period of three years, unless the released faculty member has been offered reappointment and a reasonable period of time within which to accept or decline it.
3. Termination of the services of a tenured faculty member for medical reasons, or of a nontenured faculty member before the end of the period of appointment for such reasons, will be based upon clear and convincing evidence and, if the faculty member so requests, shall be reviewed by the University Faculty Grievance Committee before the President makes a recommendation to the Board of Trustees for final decision.
Such recommendations of the University Faculty Grievance Committee shall be presented with the recommendation of the President to the Board of Trustees.
The procedures for termination of academic employment before the end of a specified term or for persons with tenure are specified in an Appendix to this Article.
Sec. 4.5.4 Action by the Board of Trustees
If dismissal or other penalty is to be recommended by the President, the President will, on request of the faculty member submitted ten (10) calendar days prior to the next regularly scheduled meeting of the Board of Trustees, transmit the record of the case to the Board of Trustees. The Board's review will be based on the record of the hearings and findings of the University Faculty Grievance Committee and it will provide opportunity for argument, oral or written or both, by the faculty member and the University or by their representatives. The Board of Trustees will then exercise its final authority and take appropriate action.
Sec. 4.5.5 Suspensions
Until the final decision upon termination of an appointment has been reached, the faculty member may be suspended or assigned to other duties by the dean of the unit with the approval of the President. Suspension is appropriate only pending a hearing, and if harm to the faculty member or to others is threatened by continuance in the appointment. Salary will continue during the period of suspension.
Article 4.6 Personnel Documents
The Redbook, approved unit documents, and any departmental documents approved as provided in this article shall establish procedures and the only criteria for appointment, tenure, promotion, career reviews and annual reviews.
Sec. 4.6.1 Minimum Guidelines
The Faculty Senate shall adopt Minimum Guidelines for unit policies regarding faculty tenure, promotion, periodic career reviews and salary increases based upon merit. These guidelines shall be approved by the President and Board of Trustees and shall become an Addendum to The Redbook. All unit and departmental personnel requirements shall meet or exceed the standards set forth in the minimum guidelines.
Sec. 4.6.2 Unit Documents
A. Each academic unit shall have a comprehensive academic personnel document, prepared with full participation of the faculty, that shall contain these elements:
1. details of personnel criteria specified in Article 4.2 and any additional criteria to be considered in faculty appointments, tenure, promotions, periodic career reviews, or salary increases;
2. specification of the type of evidence to be considered in determining whether the criteria have been met, together with customary procedures; and
3. any provisions needed to evaluate faculty who serve in specialized roles created to meet the needs of the unit.
B. Units that include temporary, part-time, or other non-tenurable faculty must specify in unit documents the extent of franchise in unit governance and personnel matters, and any special provisions for temporary, part-time, or other non-tenurable faculty access to the grievance process, as well as a policy on their sabbatical or other leave after extended service.
Sec. 4.6.3 Approval of Unit Personnel Documents
The Provost shall submit each proposed unit personnel document to the Faculty Senate for confirmation that it is in accordance with The Redbook and the Minimum Guidelines. It shall then be submitted to the President for review and recommendation to the Board of Trustees for final approval. The Board of Trustees may delegate approval of various parts of the unit personnel documents to the President. A copy of the approved documents shall be filed in the office of the Provost and shall be given to each member of the unit faculty.
Sec. 4.6.4 Departmental personnel documents
Departmental personnel documents that specify additional requirements and procedures for personnel actions may be established within an academic unit according to a process defined in the unit personnel documents or bylaws. Departmental requirements and procedures shall not disrupt due process nor set performance requirements lower than those established in the unit documents. The dean of the unit shall forward a copy of approved departmental documents to the office of the Provost.
Dismissal will be pursuant to the procedures specified below:
I. Recommendations for Dismissal
Dismissal of a faculty member with tenure, or with a special or probationary appointment before the end of the specified term, will be preceded by:
A. Discussions between the faculty member and appropriate administrative officers looking toward a settlement;
B. An informal inquiry by the unit level grievance committee of the unit in which the problem arises. The committee shall attempt to effect a resolution, and shall determine whether dismissal proceedings should be undertaken. The committee's opinion shall be communicated to all parties directly involved. Its opinion shall not be binding upon the dean of the unit, the University Faculty Grievance Committee, or the President;
C. A written recommendation for dismissal, together with a statement of charges framed with reasonable particularity, to be forwarded by the dean to the President and the faculty member. The statement of charges shall notify the faculty member of the right of appeal to the University Faculty Grievance Committee and the right to a hearing before the Board of Trustees according to Chapter 164 of the Kentucky Revised Statutes. In the event the faculty member chooses to have the appeal held before the University Faculty Grievance Committee in accordance with this section, the faculty member shall so notify the chair of said committee and the President of the University and agree in writing that any further appeal or defense within the University made from the decision of the University Faculty Grievance Committee shall be made and conducted on the record made before the University Faculty Grievance Committee with this being in lieu of a de novo hearing. In the event of a subsequent appeal, the faculty member's right to make a defense before the Board by way of oral argument personally or by counsel shall be unimpaired, but the testimony considered by the Board shall consist of the record made before the University Faculty Grievance Committee and transmitted to the Board of Trustees.
II. Hearing before the University Faculty Grievance Committee
A. The University Faculty Grievance Committee shall have exclusive jurisdiction to hear appeals from recommendations for dismissal.
B. If the aggrieved is to have a hearing, it must be requested in writing to the chair of the committee within fifteen working days after receipt of notification that the dismissal is to be recommended. Before the hearing begins either party may request that any member of the committee be disqualified for bias or interest. Requests for disqualification shall be honored if the committee approves except that committee approval shall not be required for the first request by either party for one disqualification.
C. Membership in a faculty from which the appeal originates shall not be automatic grounds for disqualification. In the case of disqualification of a majority of committee members, alternates shall serve where possible; otherwise replacements for the particular hearing involved shall be drawn by lot from the list of those faculty members who have served on the committee in the previous five years.
III. Waiver of Hearing
The faculty member whose dismissal has been recommended may waive a hearing while still retaining the right to respond to the charges by addressing an appeal in writing to the University Faculty Grievance Committee within fifteen working days after receipt of written notification. In such case, the committee will evaluate all the evidence available to it and rest its recommendation upon the evidence in the record.
IV. Rules for the Hearing
a. The University Faculty Grievance Committee, in consultation with the President and the faculty member involved, will exercise its judgment as to whether the hearing should be public or private.
b. During the proceedings, the faculty member will be permitted to have an advisor and counsel of the faculty member's own choosing.
c. The University Faculty Grievance Committee, on request of either party or on its own initiative, may permit a representative of a responsible professional association to attend the proceedings as an observer.
d. A record of hearings shall be kept, which shall include a verbatim recording of testimony.
e. The burden of proof that there is adequate cause for dismissal rests with the University and shall be satisfied only by clear and convincing evidence in the record considered as a whole.
f. The University Faculty Grievance Committee will grant reasonable adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
g. The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence, and the administration of the University will, insofar as it is possible for it to do so, secure the cooperation of such witnesses and make available necessary documents and other evidence within its control.
h. The faculty member and the University will have the right to confront and cross-examine all witnesses. All witnesses shall be sworn. When a witness cannot or will not appear, but the committee determines that the interest of justice requires admission of the witness' statement, the committee will identify the witness, disclose the statement, and if possible, provide for interrogatories.
i. The committee may select a nonmember to preside over a hearing but such a person shall have no vote in the final deliberations.
j. The committee will not be bound by strict rules of evidence, and may admit any evidence of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
k. The committee shall make its findings of fact and decision in executive session based solely on the hearing record.
l. Except for such simple announcements as may be required governing the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or the University will be avoided so far as possible until the proceedings have been completed, including consideration by the Board of Trustees of the University. The President and the faculty member will be notified in writing of the committee's decision.
m. If the committee concludes that the evidence has not established adequate cause for dismissal in the record, it will so report to the Office of the President. If the Office of the President disagrees with the conclusion of the report, the reasons for doing so will be stated in writing to the committee and to the faculty member, and an opportunity for response will be provided before the President submits any recommendation for dismissal to the Board of Trustees. Any response will be presented with the President's recommendation to the Board.
Minimum Guidelines for Faculty Personnel Reviews
SECTION I: PRINCIPLES
A. Only by encouraging the development of a faculty of high quality can a university expect excellence. Appropriate criteria for personnel reviews are essential for the recruitment and retention of quality faculty. Other important factors include criteria for hiring; support from the staff and administration; appropriate standards for admission, retention, and graduation of students; and funds adequate to attract and retain outstanding faculty members and to provide for essential professional development. It should also be clear that unrealistic standards, high or low, for promotion, tenure, and periodic career reviews are counterproductive.
B. This document provide general University-wide guidelines for criteria and procedures for personnel reviews. The Redbook requires units to adopt policy and procedure documents consistent with these guidelines. The Redbook, Sections 2.5.5, 2.5.8 and 4.2 should be considered in the development of unit documents.
C. The faculty of each unit shall develop a mission statement that must be approved by the dean for submission to the provost, who may recommend changes to assure consistency with the university mission statement before the unit statement is approved. Departments shall develop a mission statement and specific goals and objectives, approved by the dean, to assist in the systematic accomplishment of the unit mission. Deans shall hold the chair accountable for assuring that the department achieves its mission and contributes to the accomplishment of the unit mission. The provost shall hold the dean accountable for assuring that the unit achieves its mission and contributes to the accomplishment of the university mission.
D. Annual faculty work plans, as defined in the REDBOOK, Section 4.3.1.A., and a detailed summary of the year's professional effort shall be presented in all personnel reviews under these guidelines. Annual reviews may take into account multi-year performance.
E. All personnel review actions shall follow criteria and procedures consistent with the REDBOOK and stated in a unit personnel document formally adopted by the unit faculty and approved as provided by The Redbook, Section 4.6.3.
F. Annual review shall be mandatory for all faculty members. A performance evaluation shall be communicated annually in writing by the chairperson or dean to each faculty member.
SECTION II: STANDARDS AND CRITERIA
A. Personnel reviews shall be based upon peer evaluation of a documentary record that includes qualitative and quantitative evidence (as described in sections following) of performance.
B. Unit personnel documents shall specify the unit officer(s) or committees(s) responsible for evaluating the record submitted. Evaluations shall be in the form of a written statement that will include discursive analysis of performance as substantiated in the documentary record.
C. The faculty of the units shall specify standards and criteria in teaching, research or creative activity, and service. The unit faculty may weight the relative significance of each area to accomplish the goals and requirements of the unit. The unit faculty shall establish minimum levels of satisfactory performance in each area. Proficiency in all three areas shall normally be required of all faculty members, unless responsibility for some area or areas is excepted in the unit document or specified in writing at the time of the initial appointment, or within ninety days of the effective date of these guidelines. Evaluations must consider only those areas of activity for which the approved annual workplan indicates a faculty member's responsibility.
SECTION III: ANNUAL REVIEWS
A. Annual reviews aim to enhance the quality of the faculty by recognizing and rewarding performance in terms of the department's and the unit's goals and objectives. Annual reviews shall become part of the record to be used in the reviews specified in the preamble to Redbook Article 4.2.
B. Each academic unit shall award salary increases based upon performance as documented in annual reviews. Unit documents establishing the process for awarding such increases shall be consistent with The Redbook and with these Minimum Guidelines.
1. All decisions concerning salary increases shall be made in accordance with criteria and procedures contained in the unit document adopted by the unit faculty. To assure compliance with these Minimum Guidelines, the unit documents shall be reviewed by the provost who, after consulting with the Faculty Senate, shall advise the president on a recommendation to the Board of Trustees concerning the approval of the document.
2. Based on the approved criteria of the unit, only the faculty whose overall performance is judged to be satisfactory or above will receive a salary increase. These increases shall not be across-the-board, and should reflect an award structure that is based on performance. The amount of the increase will be appropriate to the performance and the size of the pool for salary increases in a given year. A recommendation by the dean for a zero salary increase must be submitted for approval of the provost. This recommendation shall include the reasons for the zero salary increase and specific suggestions for improving any performance considered to be unsatisfactory. Simultaneously, a copy of the recommendation shall be given to the faculty member involved.
3. Units, in accordance with criteria and procedures contained in the approved unit document may use up to 5% of the funds allocated to the unit for salary increases for a particular year to award special, one-time payments to faculty members for exceptional effort or achievement beyond that rewarded in the regular salary increase process. In subsequent years these monies shall be carried forward in the unit's salary base for distribution for regular salary increases.
4. The unit document shall specify criteria and procedures by which annual reviews are related to salary decisions made by the dean of the unit. The unit document shall include each of the following provisions:
a. a provision guaranteeing the opportunity of each faculty member to present documentation of performance and effort relative to his or her work plan;
b. a provision for the announcement each year of the date by which such documentation shall be received;
c. a provision for identification of the faculty person(s) or committee(s) that will make decisions, based upon the results of the annual review, concerning salary increases within the unit;
d. a statement of the period of performance to be covered in the review for salary increases (e.g., the preceding year, the preceding three years, the period since the last review) so that units may elect to specify a longer period of review in order to avoid penalizing faculty members in years in which there is little or no money available for salary increases.
e. a provision that faculty members be informed in writing by the chairperson and/or the dean of the performance evaluations, recommendations for improvement if necessary, and recommendations, if any, for salary increases; each faculty member shall be given opportunity to respond to these recommendations and his or her performance evaluation so that timely adjustments may be made before the dean?s final recommendation;
f. a provision for a specific process, outside of the formal grievance procedure, to reconsider the performance evaluation and/or salary decision;
g. a provision that the dean shall report annually to the faculty and to the provost the frequency distribution of the percentage salary increases received by all faculty members in the unit and a description of the evaluation system used to arrive at such salary increases.
h. The unit must preserve the annual reviews. Individual faculty members shall be responsible for maintaining the documentary evidence supporting each annual review through the next tenure, promotion or periodic career review.
5. Unit policies for salary increases may be amended following the same process by which they were adopted.
SECTION IV: TENURE AND PROMOTION REVIEWS
A. Tenure and promotion reviews must be based upon the annual reviews and the documentary evidence compiled therefor but may include additional material as stated in these Guidelines and in approved unit documents. These reviews shall evaluate faculty performance under the distribution of effort indicated in the approved annual work plans (REDBOOK 4.3.1.A).
B. Probationary faculty may receive informal evaluations at any time, and shall receive a formal evaluation no later than the midpoint of the probationary period. The record compiled for pre-tenure review shall be maintained intact as part of the evidence to be considered in tenure review.
C. Promotion reviews shall consider annual reviews and other evidence compiled since the last review for promotion.
D. The unit document must specify standards and procedures for review under the criteria listed in the REDBOOK 4.2.2.F. and 4.2.3.A. and any other criteria established in the unit document and approved under these Minimum Guidelines. It is imperative that the quality as well as the quantity of performance be considered in each area under evaluation.
1. The unit document shall specify the standards, procedures and evidence for evaluation of teaching. Evaluations of teaching may also include aspects of instruction other than classroom performance (e.g., advising, counseling, clinical and practicum supervision, textbook writing, and development of distance learning and instructional technology). The unit document shall provide for consideration of self-evaluation, collegial assessment, and student opinion of teaching effectiveness. Teaching load may be a factor in evaluating teaching effectiveness, but it may not be the primary factor.
2. The unit document shall specify various forms of acceptable research (whether theoretical or applied) and creative activity. They should make provisions for the evaluation of research and creative activityin progress and of those forms of activity that do not result in traditional documentary evidence. All tenure and promotion reviews shall evaluate the research or creative activity in the context of these criteria.
3. The unit document shall specify the various forms of acceptable service activity. Such service is defined as sharing one's expertise with the University, profession, or community, regardless of the method of compensation, if any. All tenure and promotion reviews shall evaluate the service in the context of these criteria.
4. The unit document shall specify standards and procedures for evaluating collaboration with colleagues and students, for adherence to professional standards, and for any additional criteria established by the unit.
5. External evaluation is required for research and creative activity in tenure and promotion review. These evaluations shall be conducted under standards and procedures specified in the unit document under these minimum guidelines:
a. Each unit document must specify the process by which external evaluators shall be solicited. This process shall be designed to certify the professional expertise and objectivity of the evaluators, whose comments regarding the quality of the work under review shall be solicited along with justification of those comments.
b. The person being reviewed shall have the opportunity to respond in writing to extramural evaluations. This response must be included in the review materials prior to consideration of the evaluation by any reviewing person or body. Each unit shall establish appropriate procedures for the accomplishment of these ends.
c. The opinions of extramural evaluators shall be given due weight, but external evaluators' recommendations as to the award of tenure or promotion shall not be solicited nor considered if offered. The unit personnel committee shall provide a written analysis of the validity and significance of the evaluations received.
E. Candidates for promotion to associate professor shall demonstrate proficiency in teaching, research, or creative activity and service as defined in Section II (Standards and Criteria) of this document. Candidates are required to exhibit broad proficiency in all areas, so as to show continuing promise to develop their individual strengths. Units will establish the criteria and standards for teaching, research or creative activity, and service.
F. Candidates for promotion to professor must be evaluated in the areas and by the distribution of effort specified in their approved annual work plans for the period under review.
G. Units may specify additional criteria for promotion to associate or full professor.
H. Each unit shall specify the level of performance required for tenure or promotion, but no unit document approved under these Guidelines shall specify levels of performance below those specified in this document for promotion to associate professor.
SECTION V: PERIODIC CAREER REVIEWS
A. Each unit document shall specify standards and procedures for periodic career review of faculty to promote the continued professional development of the faculty. The evaluation report shall characterize the member's contribution as "satisfactory: meeting unit criteria" or "unsatisfactory: not meeting unit criteria" in teaching, research and service with due regard for the faculty member's annual work plans during the period under review.
B. Faculty members with tenure shall undergo periodic review under the requirements of REDBOOK 4.2.4. This review shall be conducted under the criteria for the faculty member's current rank with due regard for the faculty member's annual work plans during the period under review. The review process shall not extend beyond the unit (or units) of the faculty member's appointment, but the results of such reviews shall be reported annually to the provost.
C. Tenured faculty members evaluated as "satisfactory: meeting unit criteria" in the appropriate area or areas of faculty activity shall begin the next review cycle in the following academic year. Tenured faculty members evaluated as "unsatisfactory: not meeting unit criteria" shall follow the remediation plan defined in REDBOOK 4.2.4.A.2. and detailed in the unit document.
D. Faculty members with non-tenurable appointments may be reappointed for the benefit of the university after a career review under the criteria for appointment to the faculty member's current rank with due regard for the faculty member's annual work plans during the period under review (REDBOOK 4.2.4.B).
E. Because periodic reviews assess performance over a longer period than annual reviews permit, reviewing bodies may recommend a supplementary salary increase to reward demonstrations of professional excellence where evidence of outstanding performance over a long period warrants.
F. All Redbook rights of due process and appeal shall obtain in these reviews.
SECTION VI. SCHEDULE
A. The annual timeline for personnel actions shall observe the requirements for due notice of non-renewal (REDBOOK 4.5.2.). The timeline shall also recognize and accommodate the rights of persons under review to have sufficient time to prepare the materials; the needs of units to solicit extramural reviews, and to receive and evaluate all appropriate evidence; and the interest of the university in maintaining an orderly, clear, and deliberate process for personnel evaluation and action.
B. As early as possible in the year preceding but in no case later than the end of May, the provost shall announce the dates of Board actions on personnel cases for the Board year beginning in September. The provost shall also indicate the latest date by which any case must be submitted to the Office of the University Provost in order to be docketed for action on any one of the Board dates so specified. After the provost's announcement of the annual schedule, each unit shall be responsible for establishing and publishing its schedule of actions to bring cases to readiness in due time for presentation to the provost.
REDBOOK Chapter 4 and Appendices:
Approved by the Faculty Senate Executive Committee, 02/28/01
Approved by the Council of Academic Officers, 03/06/01
Amended and approved by the Faculty Senate Redbook Committee, 03/20/01
Amended and approved by the Faculty Senate, 05/02/01
Approved by the Board of Trustees, 06/25/01
Minimum Guidelines for Faculty Personnel Reviews:
Approved by the Faculty Senate Executive Committee 01/03/01
Approved by the Council of Academic Officers 02/06/01
Amended and approved by the Faculty Senate Redbook Committee 03/20/01
Amended and approved by the Faculty Senate, 05/02/01
Approved by the Board of Trustees, 06/25/01
Revision of Article 4.4 on faculty grievance:
Approved by the Faculty Senate, 12/03/03
Approved by the Board of Trustees, 1/11/04
Posted 25 March 2004