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II. RESPONSIBILITIES AND PRIVILEGES |
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| NOTE: This is the March 1999 edition of the Faculty Handbook. Please be aware that many of the policies have changed or are out of date. A Senate Committee is currently working on an update. Any errors or discrepancies that you may find should be reported to the Office of the Vice President for Academic Affairs and Provost. | |
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RESPONSIBILITIES OF FACULTY AND ADMINISTRATORS |
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Along with academic freedom and tenure, all faculty members recognize certain concomitant responsibilities to their students, their colleagues, to the University, and to the state and broader community.
To students, faculty members have a responsibility for:
- keeping abreast of current developments in their disciplines, continuously updating course content, improving the method of instruction, and regularly evaluating the effectiveness of their instruction;
- maintaining in their classrooms and elsewhere an intellectual and attitudinal environment in which students are stimulated to learn, to ask questions, and to explore alternative approaches to problems;
- respecting students as persons, being concerned about their progress, and being willing to hear their points of view without prejudice;
- informing students at the beginning of each semester of the objectives of each course and organizing the method of instruction and
time allocation so as to meet those objectives;
- informing students as early as possible concerning term paper and other requirements for the course and the basis on which grades
will be determined. Examinations and papers which are used for determining a course grade should be available to students for inspection and discussion. Students' grades should be based on recognized academic standards. Students should also be informed early in the course of the policy concerning attendance;
- holding classes and examinations as scheduled and, in the event of necessary absence, informing the students in advance of changes in schedule and making suitable alternative arrangements;
- being readily available to students for individual conferences relating to course work or other matters of concern and interest to students. Faculty should post a schedule indicating times when they will be available for consultation.
With respect to their colleagues, faculty members are responsible for:
- avoiding conduct which intentionally and substantially obstructs or disrupts teaching or other lawful activities on the University campus;
- respecting the rights of free inquiry and expression of opinion by their colleagues in accordance with the University's statement on academic freedom;
- acknowledging in their publications, the contribution which colleagues have made their research and other endeavors;
- evaluating or commenting fairly and objectively on the work of colleagues when peer evaluation is required for the purposes of promotion, curriculum assessment, and the like.
- With respect to the University, faculty members have a responsibility for:
- participating in the committee work and other channels of self-governance on departmental, college, and University levels;
- observing the regulations of the University which are designed to promote freedom for teaching and research, and participating through orderly means in seeking modification in these regulations when these are considered inappropriate;
- indicating that when they are speaking as a private person they are not speaking for or representing the University.
Faculty members are encouraged to participate in endeavors for improvement of the economic, social, and cultural life to the community, especially when they have an expertise which may make their contribution particularly valuable, and when such a contribution can be made without interfering with their primary obligations for teaching and scholarly endeavor.
Approved: UND Senate, 11-04-71
SEE ALSO: UND Senate Minutes, 11-02-89, pp. 3337-3341 (Guidelines on Misconduct in
Scholarly Activities), UND Faculty Handbook, III - 4.7 (Ethical Conduct)
1.2 ADMINISTRATOR RESPONSIBILITIES
The term "administrator" as used in this statement applies to the following positions at the University of North Dakota: The President, the vice-presidents, the deans, the department chairs and other directors of University programs and functions. The Statement on Faculty Responsibilities, adopted by the University Senate on November 4, 1971, applies equally to those administrators who exercise teaching responsibilities and/or hold faculty rank.
The University administrator has responsibilities in most of the following areas: Financial administration, faculty and personnel administration, administration of the educational program, relationships with students, responsibilities as a teacher, responsibilities with his or her colleagues for the committee work of the University, the promotion of extracurricular activities within the area of his or her concern, and the provision of services to his or her profession and to the public. In order to discharge these responsibilities, two essentials must prevail: The administrator has the responsibility for defining in writing and publishing where appropriate the scope of work and the duties of those who are responsible to him or her. Authority to discharge these duties must be commensurate with the responsibilities assigned.
Each administrator with faculty status continues and maintains (1) his or her responsibilities as a teacher and (2) his or her awareness of the nature of the student body and of the faculty's pedagogic concerns. Each administrator with faculty status should teach or advise as appropriate.
The University administrator should adhere to the following principles of democratic administration:
- Respect for individuals
- Faith in the power of human intelligence to solve problems
- The right of each individual affected by policy formation or alteration to have an equitable part in the determination of that policy
- The right to act through his or her chosen representatives
- The right to equality of opportunity
- The exercise of fairness
- The right of each individual to appeal decisions and actions affecting him or her and the right of the individual to be informed of avenues of appeal
In the exercise of these basic principles, the administrator should nurture an atmosphere of mutual trust and honesty based on good communication.
The administrator also has a unique responsibility to keep abreast of the developments in his or her administrative field and to exercise leadership which encourages innovation and the development of receptivity to new ideas. As a leader the administrator functions within his or her group as its spokesperson, harmonizer, planner, executive, educator, and symbol of its ideals.
Approved: UND Senate, 03-07-91
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OATH FOR TEACHERS |
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Every professor, instructor, or teacher employed by any university or college in this state which is supported in whole or in part by public funds, before entering upon the discharge of those professional duties, shall take the oath of affirmation as follows: "I do solemnly swear (or affirm) that I will support the Constitution of the United States and the Constitution of the state of North Dakota, and that I will faithfully discharge the duties of my position, according to the best of my ability." The oath shall be executed in duplicate and one copy shall be filed with the State Board of Higher Education, and one copy shall be retained by the person signing it.State Board of Higher Education Policy Manual, 06-08-84, Section 610
SEE ALSO: North Dakota Century Code 15-37-01 (Teacher's oath), 15-37-02 (Faculty members of state institutions to take oath)
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APPOINTMENTS |
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3.1 INITIAL APPOINTMENT PROCEDURES
3.1.1 Faculty Recruitment and Appointment Procedure
(Note: The REQUEST TO RECRUIT, REQUEST TO APPOINT, and NOTICE OF APPOINTMENT forms are standard forms in four (4) copy sets. Material submitted per the form itself should be in four (4) copies.)
1. The department initiates and completes a REQUEST TO RECRUIT and forwards the set to the Vice President for Academic Affairs (VPAA) through the appropriate dean, with documents prescribed by the form attached. VPAA forwards documentation to Affirmative Action Officer (AAO).
2. The AAO reviews for affirmative action compliance. When affirmative action compliance has been approved, the complete set is returned to the VPAA.
3. The VPAA reviews the REQUEST TO RECRUIT for appropriate rank, title, salary level, position authorization (including funding and tenure-related status), and proposed advertisement contents. When approved, VPAA files one copy and distributes copies to appropriate offices.
4. Upon receipt of the approved REQUEST TO RECRUIT, the department proceeds to advertise, receive applications, send out applicant control cards, interview, and screen candidates. When a preferred candidate is identified, the department initiates and completes a REQUEST TO APPOINT and forwards the set plus supporting documentation according to the AA/EEO Faculty Appointment Hiring Procedures Checklist to VPAA through the appropriate dean. VPAA forwards documentation to AAO.
5. The AAO reviews for affirmative action compliance. When approved, the complete set is returned to the VPAA.
6. The VPAA reviews the entire file, consulting with the President as necessary. When approved, the VPAA files one set and forwards copies to appropriate offices.
7. Upon receipt of the approved REQUEST TO APPOINT, the department initiates a NOTICE OF APPOINTMENT form and forwards it to the dean with the original and three (3) copies of the approved letter of understanding.
8. The dean signs the NOTICE OF APPOINTMENT form and prepares a contract. All copies of both forms are forwarded to the VPAA along with all copies of the letter of understanding.
(Note: Steps 7 and 8 can be done along with Step 4.)
9. The VPAA reviews, and when approved, forwards the letters of understanding, and the contract to the President along with an ACADEMIC RECORD form.
10. The President reviews and, when approves, (a) signs the contract, (b) mails the contract, ACADEMIC RECORD, and three (3) copies of the letter of understanding to the candidate.
11. When the signed contract, letters of understanding, and ACADEMIC RECORD are returned to the Office of the President; that office retains one copy of the contract and forwards all materials to the VPAA for distribution. The VPAA then forwards the copies of the appointment form, the ACADEMIC RECORD, the signed letter of understanding, and the contract to the appropriate offices.
12. Initial lecturer and call staff appointments start with the REQUEST TO APPOINT. It is forwarded without supporting documentation but annotated "Credentials on file" and accompanied by an appointment form. Renewal lecturer and call staff appointments start with the appointment form. In accordance with the Senate meeting in March 1984, lecturers and non-ranked persons may be reappointed indefinitely. Ranked persons can only be reappointed up to three years.
Ettling, Interim Vice President for Academic Affairs and Provost, 10-31-98
3.1.2 Medical School Faculty Recruitment and Appointment Procedure
(Note: The REQUEST TO RECRUIT, REQUEST TO APPOINT, and NOTICE OF APPOINTMENT are standard forms in four (4) copy sets.)
1. The department initiates and completes the REQUEST TO RECRUIT form and forwards the form along with attachments to the Dean’s Office.
2. The Dean’s Office verifies the proposed rank, title, salary level, position authorization (including funding and tenure-related status) included on the REQUEST TO RECRUIT and reviews the proposed advertisement procedures.
3. The Medical School Dean reviews and forwards all copies to the Affirmative Action Office (AAO) for affirmative action compliance. When approved, AAO files one copy and returns the remaining three (3) copies to the Dean’s Office for distribution.
4. Upon receipt of the approved REQUEST TO RECRUIT, the department proceeds to advertise, receive applications, sends out applicant control cards, screens applicants’ materials, and interviews candidates. When a preferred candidate is identified, the department initiates/completes a REQUEST TO APPOINT form and forwards it along with all supporting documentation to the Dean’s Office
5. The department sends to the Associate Dean for Academic Affairs and Information Services the selected applicant’s supporting documents plus a copy of the request to appoint form. The appropriate CAPQ subcommittee reviews the applicant’s file and forwards its recommendations to the Dean.
(Note: Step 5 can be carried out concurrently with Step 4.)
6. The Medical School Dean verifies that all necessary materials are included in the REQUEST TO APPOINT packet and forwards it to AAO for confirmation of affirmative action compliance. When approved by AAO, the materials are forwarded to the President for review and signature. Following the President’s Office approval, the packet is returned to AAO; one copy of each of the documents is retained by AAO and the remaining copies are returned to the Dean’s Office for distribution to the appropriate offices. The Department then sends the candidate a letter of understanding for signature.
7. Upon receipt of the approved REQUEST TO APPOINT, the department initiates a NOTICE OF APPOINTMENT form and forwards it to the Dean’s Office along with three copies of the signed letter of understanding.
8. The Dean’s Office completes the appropriate items on the appointment form; prepares a contract; and forwards the appointment form, the signed letter of understanding, the Academic Record Form, and the contract to the President.
9. Upon approval, the President signs both the NOTICE OF APPOINTMENT form and the contract, and mails the contract and the academic Record Form to the candidates.
10. Initial lecturer and call staff appointments require completion of the REQUEST TO APPOINT form and the NOTICE OF APPOINTMENT form. The REQUEST TO APPOINT form without supporting documentation but annotates “Credentials on file” and the NOTICE OF APPOINTMENT form are forwarded by the Dean’s Office to the President’s Office for approval and signature. For renewal appointments of lecturers or call staff, only the NOTICE OF APPOINTMENT form is required.
H. David Wilson, School of Medicine and Health Sciences, 10-28-98
3.2 SUMMER TEACHING APPOINTMENT
The Summer Session student enrollment is approximately one-third that of a regular academic semester. However, the composition of the student body differs substantially with a larger proportion of students enrolled in the upper undergraduate and graduate courses. Consideration of this circumstance affects the selection of department offerings and the appointment of faculty. Efforts are made to provide variety in courses from summer to summer, insofar as departmental and University needs permit. The number of the departmental faculty is determined on the basis of cumulative-student loads as well as special factors which apply in individual departmental situations. The basic full-time teaching load is 12 credits. Most departments elect to provide a wider scope of offerings by using partial appointments. The salaries are established on a flat rate for each academic rank and number of credits taught.
Formal appointments are usually issued in April. Appointment for summer is premised on continuing employment in the fall semester, unless the needs of the department and the University indicate exceptions. Faculty having nine-month contracts may be employed for up to three full months' salary providing the employment and/or salary payments do not violate state and/or federal regulations, University regulations, or the sponsoring agency's regulations.
Piper, Director of Summer Sessions, 05-31-98
A courtesy appointment is an academic appointment granted to a person who has been requested by the faculty to participate in the academic or research program of the college or University because of his unique qualifications and capabilities. A courtesy appointment is a non-tenure appointment and involves no remuneration.
In requesting a courtesy appointment, the faculty must show substantial evidence of the academic qualifications of the candidate, and the specific and unique need for the candidate's special qualifications in the college or University program.
State Board of Higher Education Policy Manual, 06-08-84, Section 602.1
Courtesy appointments will not normally last longer than two years. Exceptions to this must be approved by the Vice President for Academic Affairs.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
Institutions may confer emeritus status upon professors who have retired, or who are about to retire, pursuant to institution policies and procedures. Criteria for emeritus status may include, but are not limited to, length of service to the institution, significant contributions to the institution and the State of North Dakota, or particularly distinguished service to an academic discipline. There shall be no salary, rights, or responsibilities that shall accrue to the holder of emeritus status.
State Board of Higher Education Policy Manual, 06-19-98, Section 430.2
3.4.1 UND Nomination Procedure
The Office of the Vice President for Academic Affairs calls for documented nominations from department/college offices for faculty to be considered for emeritus title. A documented nomination means that a paragraph should be included on each person (1) describing why the individual merits this distinction and (2) including dates of initial appointment and retirement. The Board has requested this information. Nominations will be reviewed and accumulated into a single list which will be submitted to the President for approval and transmission to the State Board of Higher Education.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
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PROCEDURES AND GUIDELINES FOR THE EVALUATION OF TENURED AND NONTENURED FACULTY |
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Procedures and guidelines for the evaluation of tenured and nontenured faculty are established to provide the means whereby the performance of individual faculty members and their contributions to the University community may be equitably assessed and documented.The uniqueness of individual faculty members, and the departments of which they are a part, has been acknowledged in the development of these guidelines and procedures; and because of that uniqueness, the main responsibility for implementation of evaluation procedures has been placed in the departments. Review of the departmental procedures by the college and the Council of Deans has been established to provide equity of assessment throughout the University community.
Evaluation instruments are the means whereby information is gathered to provide a basis for evaluation. They do not constitute an evaluation in themselves. "Evaluation" in the terms of these guidelines is the process whereby the information acquired by evaluation instruments, i.e., peer and student evaluation questionnaires, administration and external comments, etc., are analyzed and evaluated to determine the quality of performance by an individual faculty member, as measured against the criteria and objectives set by the department.
Approved: UND Senate, 01-16-75
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PROMOTIONS |
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5.1 ACADEMIC RANKS OF UND FACULTY
To the extent each characteristic is called for by the promotion candidate’s contracts and tenure plans, the ranks in faculty of the University of North Dakota, and the characteristics of each rank are:
PROFESSOR
Recognition for teaching excellence
Recognition for scholarly and/or creative accomplishment
Recognition for leadership within his or her profession
Recognition for demonstrated spirit of concern for societyASSOCIATE PROFESSOR
Marked teaching effectiveness
Scholarly and/or creative accomplishment
Substantial contribution to his or her profession
Demonstrated spirit of concern for societyASSISTANT PROFESSOR
Effective as a teacher
Scholarly and/or creative endeavor
Active in his or her profession
Spirit of concern for societyINSTRUCTOR
Promise as a teacher
Interest in his or her professionApproved: UND Senate, 01-08-70; amended 02-05-98
5.2 CRITERIA FOR PROMOTIONS IN RANK
Promotions in rank are initiated by a written recommendation from the department chairs to the dean of their college or school. This recommendation must include a thorough evaluation of the qualifications of the candidate. This evaluation must take into account, and speak with reference to, the tenure plan or plans under which the candidate has served, specifying the candidate’s duties and goals, identified by the candidate’s contract(s) as required by Board of Higher Education Policy Manual §605.1 Subpart 3 b. (1) and (2). Recommendations are then submitted, along with the dean's evaluation, to the Council of Deans. Prior to a final review, the Council obtains additional evaluations from an ad hoc faculty committee. Recommendations are then forwarded to the President. In accordance with State Board Policy 305.1.3.d, the President will approve or disapprove the recommendation.
Promotions are regarded as recognition of superior intellectual attainment as evidenced both in teaching and in distinctive contributions to one's discipline or profession. A truly effective faculty member will also demonstrate a commitment to society. While individuals will possess these qualities in varying degrees, they will be considered for promotion on the basis of the following criteria as specified to be pertinent to the individual in her or his contract(s) and tenure plan(s) identified in such contract(s):
A. Teaching
Effective teaching is an indispensable criterion for promotion. Evidence of effective teaching need not be restricted to formal classroom or seminar activity, but may include such things as the direction of graduate studies and contributions to curriculum design and implementation. Since there are a number of ways in which a faculty member may be a demonstrably effective teacher, no firm guidelines for judging this qualification are suggested. Rather, it shall be the responsibility of the department chairperson to submit meaningful statements, accompanied by whatever evidence or documentation he or she deems appropriate, concerning the candidate's effectiveness in various types and levels of instruction.
B. Contributions to One's Discipline or Profession
A second indispensable criterion for promotion is evidence of noteworthy contributions to one's discipline or profession in the form of research and creative work and/or outstanding professional competence and activity.
1. Research and creative work: Evidence of scholarship and creative work is found in the candidate's published research or recognized literary or artistic productions. Research publication and other creative accomplishments are to be evaluated, not merely enumerated, and there should be evidence that the candidate is continuously and effectively engaged in creative work of high quality and significance.
2. Professional competence and activity: Contributions to one's field are often in the form of demonstrated distinction in the special competencies characteristic of the profession or discipline. Recommendations based on this criterion should be accompanied by evidence of leadership in the field and progressiveness in the development and implementation of new approaches and techniques for the solution of professional problems.
C. Contributions to Society
Other areas of activity are recognized as crucial to the effective functioning of the University. A faculty member may contribute special knowledge to the benefit of society as a whole, and may serve the University in administrative roles, committee memberships, and the like. It is expected that all faculty members will devote a certain amount of time and effort to these functions.
Approved: UND Senate, 01-08-70; revised 02-05-98
5.3 UND SENATE PROCEDURAL GUIDELINES FOR PROMOTION
The procedures set forth below should not be interpreted so as to diminish the department chairperson's or dean's continuing responsibility to counsel faculty under his or her administrative jurisdiction as to their professional performance and development. It is assumed that that responsibility will have been met in the determination or determinations, annually or as made, regarding the tenure plan for the person under consideration and thus the terms and conditions of employment and continued employment under the annual (or other) contract(s).
A. Initiation of Promotion
1. Recommendations are normally initiated within the department either by the faculty member desiring promotion, a department committee, or the department chairperson. Because of the close and frequent professional association between the initiating committee or the department chairperson and the faculty member, appropriate consideration should be given to the chairperson's recommendation at all stages of the reviewing process. If the recommendation is negative, the faculty member must be informed in writing by the department chairperson of the basis for the recommendation.
2. In addition to the normal procedure described in A.1 above, eligibility for promotion will be reviewed for instructors in their fourth year in rank, assistant professors in their sixth year in rank and associate professors in their seventh year in rank whenever promotion to the next rank has not been recommended earlier. The review is normally initiated in the department as described in A.1 above. A faculty member may, in writing, withdraw a consideration of a promotion at any level of review. The time periods specified above are not intended to indicate the normal or usual time spent in a particular rank prior to promotion. The criteria for evaluation of promotion should be the same regardless of when such a review occurs. For persons hired at mid-year, the half year of service shall count as a full year toward promotion.
B. The Reviewing Process
1. RECOMMENDING AUTHORITIES. Promotions are normally made by the President upon recommendation by the department chairperson, the dean of the college or school involved, and the Vice President for Academic Affairs.
All recommendations from the department chairperson, the dean, and the Vice President for Academic Affairs,
must be in writing, and each must include a statement supporting the recommendation. Both the recommendation and the statement must be made part of the promotion file. After each recommendation is made, the candidate for promotion must be informed of said recommendation and must be given access to the promotion file in order to review the recommendation and respond, if desired, in the form of a written statement, to any material in his or her promotion file.2. GROUPS AND PERSONS ADVISORY TO THE RECOMMENDING AUTHORITIES. The department chairperson must seek the advice of a department committee. The dean of the college or school involved must seek the written advice of deans for whom the candidate for promotion has done considerable work and the written advice of the Dean of the Graduate School when the candidate for promotion is a member of the graduate faculty. The Vice President for Academic Affairs must seek the advice of a University Promotion Committee appointed by the President, and of a committee of four or more deans selected by the deans. Except for the committee of deans, all advisory groups must be composed of faculty. All advisory groups must record votes for and against promotion, and the record of the votes must be made a part of the promotion file. All written advice must be part of the promotion file.
3. Promotion reviews will take place in the Fall semester. When a faculty member is being reviewed for tenure and promotion during the same academic year, recommendations at all levels are to be made simultaneously but on appropriate forms, and care is to be taken that appropriate forms are forwarded to the various advisory bodies. The faculty member being reviewed for promotion and tenure in the same academic year may submit the same supporting materials for both processes.
C. Appeals Procedure
1. SPECIAL REVIEW COMMITTEE
a. If a faculty member alleges, within sixty calendar days of official notification of the President's decision, that the institution's procedural guidelines as described in sections A and B above were violated, the allegations shall be given preliminary consideration by the Special Review Committee, which shall seek to settle the matter by informal methods. If the allegation is unresolved at this stage, the Special Review Committee shall refer the matter to be heard by the Standing Committee on Faculty Rights in accordance with the procedures in section C.2.
b. If a faculty member alleges, within sixty calendar days of official notification of the President's decision, that his or her rights, other than those relating to procedural guidelines as described in sections A and B above, were violated, the allegation shall be heard by the Standing Committee on Faculty Rights in accordance with the procedures in section C.2.
2. STANDING COMMITTEE ON FACULTY RIGHTS
a. The committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties in order to (a) simplify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, and (d) achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.
b. Service of written notice of hearing including specific grounds for the institution's contested action shall be made at least twenty calendar days prior to the hearing. The faculty member may respond in writing up until three working days before the hearing. The faculty member also may waive a personal appearance and request a decision on the basis of the written statement.
c. During the proceedings, the institution shall be entitled to have counsel, and the faculty member will be entitled to have an academic advisor and counsel of his or her own choice and at his or her own expense. In addition, either party or the committee may invite up to two observers each to attend the proceedings.
d. A recording of the hearing or hearings shall be made at the institution's expense and be accessible to both parties. The faculty member shall be provided a copy of the record upon request, without charge. The faculty member may request a written transcript of all or a portion of the record. The faculty member shall be provided a copy of such transcript without charge. The findings of fact and the decision shall be based solely on the hearing record. If the faculty member succeeds in establishing a prima facie case before the committee, it shall be incumbent upon those who made the promotion recommendation to come forward with evidence in support of their decision.
e. The committee may admit any evidence which is of probative value in determining the issues involved. Every reasonable effort shall be made to obtain the most reliable evidence available. The committee shall grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
f. The faculty member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The faculty member and the institution shall have the right to confront and cross-examine all witnesses. Where a witness cannot or will not appear, but the committee determines that the interests of justice require admission of the witness' statement, the committee shall identify the witness, disclose the statements and, if possible, provide for interrogatories.
g. The committee's conclusion as to whether or not grounds to support the institution's action have been established by the evidence in the record shall be reported to the President. The President shall notify the committee and the faculty member of the President's decision, within fifteen calendar days of receiving the report. The faculty member or committee may submit a written response to the President's decision.
Approved: UND Senate, 03-04-82; 03-01-84; 02-05-98 ; revised 5/98.
SEE ALSO: UND Faculty Handbook VII-4.5 (North Dakota Century Code 44-04-19 [Open governmental meetings], 44-04-20 [Notice of public meetings], 44-04-21 [Open voting at public meetings required])
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ACADEMIC FREEDOM |
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A. General Principles: The primary responsibility of the academic community is to provide for the enrichment of intellectual experience. Essential to the realization of this ideal is a free and open academic community which takes no ideological or policy position itself. The responsible academic community welcomes those who do take an ideological or policy position and jealously guards their right to do so. Conflict of ideas cannot occur unless there is opportunity for a variety of viewpoints to be expressed. Toleration of what may be error is an inescapable condition of the meaningful pursuit of truth. The academic community must be hospitable even to closed minds, and it must welcome the conflict of ideas likely to ensue. Academic responsibility to provide opportunity for expression of diverse points of view generates academic freedom.B. Faculty: Faculty members are entitled to full freedom in research and in the publication of results, subject to the adequate performance of their other academic duties. They are also entitled to freedom in lecturing or conducting demonstrations in their subject or field of competence. They are entitled, as any other member of the community in which they live, to establish membership in voluntary groups, to seek or hold public office, to express their opinions as individuals on public questions and to take action in accordance with their views. Cognizant of their responsibilities to their profession and to their institution, faculty accept certain obligations; they should attempt to be accurate, to exercise sound judgment and respect the rights of others to express opinions. They must make clear that their actions, their statements, and their memberships do not necessarily represent the views of the academic community. If there are controls to be exercised over faculty members, they are the controls of personal integrity and the judgment of the colleagues.
C. Students: Students are entitled to be taught by unfettered teachers and to have access to all information pertinent to their subjects of study. They are entitled to as complete freedom as possible in the selection of their curriculum, teachers, and associates. Moreover, they have a right to intellectual disagreement with their instructors and associates and to question them without fear of recrimination or punishment. They also are entitled to seek the publication of their views, to seek membership in voluntary groups, to seek or hold public office, and to take lawful action in accordance with their views. Students also have the responsibility to make clear that their actions, memberships, and statements do not represent the views of the academic community.
D. Guest Speakers, Movies, and Other Programs: A college or university by its very nature cannot pay lip service to the concept of freedom of expression and then deny persons with whom it is in disagreement the opportunity of giving expression to their views. Furthermore, a policy that extends the right of freedom of expression to some persons and denies to the others, places the institution in the position of endorsing the past records and views of those who are given permission to speak. Therefore, a speaker, performer, or program may be presented under the sponsorship of any duly recognized student, faculty, or administrative organization or any individual officer of instruction. It is not necessary that the point of view presented be congenial to the campus, members of the staff or student body individually, or to individual members of the wider community. The speaker must be accorded the courtesy of an uninterrupted presentation. Except for ceremonial occasions, speakers must accept as a condition of their appearance the right of their audience to question or challenge statements made in their address. Questions must be permitted from the floor unless prevented by physical limitations, or the size of the audience. The invitation or scheduling of such a program must represent the desire of the institutional sponsor and not the will of external individuals or organizations. The sponsor must establish full responsibility for the program and should help to establish the concept that the point of view expressed in an address or performance does not necessarily represent the position of the academic community. Such presentations must at all times be consistent with the laws of North Dakota and the United States.
State Board of Higher Education Policy Manual, 05-11-84, Section 401.1
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POLITICAL ACTIVITIES |
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The Board of Higher Education recognizes the importance of, and encourages, participation by individuals in the political, social, and economic affairs of the community, state, and nation. While the Board respects the deep concern of individual faculty members and students about current events and issues, and the committed desire to participate actively in elections, the Board must emphasize the distinction between involvement of an individual and involvement of an institution. The Board affirms its traditional concern of the well-being of the society, at the same time, the institution must remain outside the political arena. Adjustment of the academic calendar in order to free students, faculty, or other employees to engage in political activity is not consistent with the foregoing affirmation.This policy does not bar anyone from active independent participation in political campaigns on behalf of candidates of his or her choice or in the advancement of his or her political beliefs or policy concerns outside the institution. In fact, active participation by all Americans in the political process which is fundamental to the democratic way of life is encouraged.
The Board does not believe it legitimate or wise for a college or university to make political commitments. Further, institutional participation in political activity, however worthy that activity might be in itself, would raise many legal questions.
The fundamental issue is the corporate involvement of an institution and any action that might involve institutional political unanimity which would not represent the views of all members of the academic community.
There is a danger that an institution could evolve toward a kind of political orthodoxy, which in certain circumstances might even inhibit and discourage the expression of other opinions.
Any disruption of the normal processes of education at any institution endangers the very heart of our institutions; namely, freedom of inquiry, freedom of thought, and freedom of expression. Every effort must be made to make it as easy to present opposing viewpoints as it is for someone to express his or her views initially. An institution is not a place where anyone expressing a point of view, however much he or she is in minority, can be either silenced or threatened with language or physical actions. The common standards of courtesy that should characterize the academic community must be respected.
While class attendance may be no longer required in some institutions, every student has a right to expect every class for which he or she is registered to be held according to the university or college class schedule. In event of any class disruption or strike, students who choose to attend class must be able to do so without fear of intimidation or injury. Classes will be held in accordance with the academic calendar, and all members of the faculty are obliged to meet assigned teaching responsibilities.
A university or college must always be a place of learning, a place for discussion, a place to hear differing opinions, a place for dissent, but such dissent must be made in a rational, lawful, and peaceful manner. It must be made with due respect for the rights of others. While the Board protects the rights of all those who choose to dissent in peaceful and lawful ways, it must defend, with all the power at its command, the rights of others when any actions by dissenters are clearly disruptive of the work and program of the university or college.
State Board of Higher Education Policy Manual, 05-11-84, Section 401.2
SEE ALSO: UND Faculty Handbook VII-4.4 (North Dakota Century Code 34-11.1-02 [Political Activities], 34-11.1-03 [Membership in organizations], 34-11.1-04 [Violations for misuse reported by employee], 34-11.1-05 [Prohibited acts], 34-11.1-06 [Penalties or threats prohibited])
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ACADEMIC TENURE |
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8.1 State Board of Higher Education Regulations on Academic Freedom and Tenure, Academic Appointments; and UND Procedures Implementing State Board of Higher Education Policy. (Board Policy is in boldface type; UND implementation procedure is printed in lightface type.)
1. General Principles
a. A college or university is a forum for ideas, and it cannot fulfill its purpose of transmitting, evaluating, and extending knowledge if it requires conformity with any orthodoxy of content and method. Academic freedom and tenure are both important in guaranteeing the existence of such a forum. This policy is intended to enable institutions under the authority of the Board to protect academic freedom. [No implementation required]
b. The purpose of tenure is to assure academic freedom. Academic freedom applies to all scholarly pursuits. Freedom in scholarship is fundamental to the advancement of knowledge and for the protection of the rights of the faculty members and students. It carries with it duties and responsibilities correlative with rights. These duties and rights are set forth in policy 401.1, relating to Academic Freedom, and the 1940 Statement of Principles on Academic Freedom and Tenure (Rev. 1990), adopted by the American Association of University Professors and the Association of American Colleges. These policies apply to all institution faculty unless otherwise indicated. [No implementation required]
c. Tenure is awarded by the Board upon recommendation of the Chancellor, following review and recommendations made pursuant to the procedures established at an institution and a recommendation by the institution's president to the Chancellor. A favorable recommendation means that the applicant meets all of the prerequisites and criteria and the award of tenure is consistent with the sound fiscal management and academic priorities of the institution and the system of education under the control of the Board. Tenure recommendations submitted to the Board shall include a brief summary of the candidate's qualifications and reasons for the recommendation. Tenure is not an entitlement, and the granting of tenure requires an affirmative act by the Board. Tenure is limited to the academic unit or program area in the institution in which tenure is granted and shall not extend to an administrative or coaching position.
The "academic unit" shall be defined as the department, or comparable unit as defined by the dean of the college and the Vice President for Academic Affairs.
In the case of joint appointments, the department in which tenure is granted shall be negotiated between the faculty member being considered for tenure and the Vice President for Academic Affairs, with concurrences of the departments and deans involved. The agreed-upon department shall be stated in the faculty member's contract.
The principles of Academic Freedom also apply to those coaches who are not members of the academic staff.
2. Definitions
a. "Academic Year" means the period, approximately nine months in duration, starting with the beginning of the Fall semester and ending following completion of the Spring semester.
At the University of North Dakota, the academic year normally extends from August 16th of one year to May 15th of the following year, and includes those days.
b. Board: means the North Dakota State Board of Higher Education. [No implementation required]
c. "Faculty" means all members of the academic staff, excluding only coaches and administrators in their capacities as coaches or administrators. [No implementation required]
d. Receipt: Receipt means either actual or constructive receipt. Constructive receipt means the sending party has taken all reasonable steps to ensure that the receiving party has received actual notice. [No implementation required]
3. General Procedures
a. Because of the variety of scope and organizational structure of the institutions under the control of the Board, the faculty governance structure at each institution, in accordance with Section 305.1 of these policies, shall recommend procedural regulations to the president to implement policies 605.1, 605.2, 605.3 and 605.4, including:
The faculty governance structure at the University of North Dakota is the University Senate subject to such limitations or instructions that the University Council may impose.
The procedural regulations implementing this policy at the University of North Dakota are to be made available to all academic personnel through the Faculty Handbook, except that those procedures applying to graduate teaching assistants are specified and made available to them in a special brochure.
(1) procedures for continuing evaluation of both probationary and tenured faculty members,
Every faculty member of probationary or tenured appointment shall be evaluated. Evaluation of probationary appointees shall be conducted early the second semester of their first year, and toward the end of their third semester, so that there will be a reasonable basis for decisions to reappoint in accordance with the schedule in the North Dakota State Board of Higher Education Regulations on Academic Freedom and Tenure; Academic Appointments (section 605.1).
Evaluation of probationary appointees shall also be conducted during the second semester of their third, fourth and fifth year and during the Fall semester of their sixth year. For persons hired at mid-year, the half year of service shall count as a full year toward tenure. Evaluation of tenured faculty shall be conducted at least every three years.
The primary objective of faculty evaluation is to improve the quality of the faculty. Evaluation may therefore be conducted at other times as well if the faculty member or the department chairperson requests it. If the circumstances make it appropriate, evaluation of academic staff not on probationary or tenured appointment may also take place. Each department and each academic division which does not have departments shall develop procedures for faculty evaluation in accordance with the following guidelines.
The procedures for evaluation must be developed and approved by a majority of the faculty in each department. Faculty may delegate the responsibility for evaluation to the department chairperson; a departmental or a college committee; in the case of small departments (up to 4 members), to the dean of the college of which the department is a part; or they may retain that responsibility, but that must be a choice made by the faculty. Provision shall be made in these procedures for the utilization by the department or academic division without departments of student opinion in the evaluation.
Departmental procedures and criteria for evaluation shall be subject to the review and approval of the dean of the college (or other division head) to which the department has been assigned, by a committee elected by the faculty of the college or division, and by the Council of Deans.
The basic criteria for evaluation shall be teaching, research and creative accomplishment, professional competence and activity, and contributions to society; however, the ratio of their importance in the evaluation shall be determined by the terms of the tenure plan(s) under which the subject of the evaluation has served during the period of evaluation, as identified by her or his contract(s) during that period. Provision shall be made for consideration of individual capabilities and assignments by reference to the individual’s tenure plan(s).
The procedures for evaluation shall include (1) a clear statement about the way in which individual faculty members being evaluated are informed of such evaluations, and (2) the timetable for such evaluations.
The procedures for evaluation shall also include a statement about the use, confidentiality and disposition of the evaluating documents, including provision for their review and use by the dean (or division head) and the Vice President for Academic Affairs, or their designated committees, in deliberations on such matters as promotion, retention, tenure, and due process; and the way in which the individual faculty member is informed about the results of the evaluation. Departmental procedures and criteria for evaluation shall determine the minimal contents of an evaluation file and establish the documents and other evaluative material appropriate to that file. The file must go forward together with any recommendation, and all subsequent recommendations must become a part of that file.
Tenure reviews will take place in the Fall semester. When a faculty member is being reviewed for tenure and promotion during the same academic year, recommendations at all levels are to be made simultaneously but on separate forms, and care is to be taken that appropriate forms are forwarded to the appropriate advisory bodies. The faculty member being reviewed for promotion and tenure in the same academic year may submit the same supporting materials for both processes.
Whenever the evaluation is used in deliberations on retention or tenure, the report of the evaluation must include a written statement evaluating progress toward tenure as unsatisfactory, adequate, or excellent, as measured with reference to the individual’s tenure plan(s) in effect during the period of evaluation, and the statement must be placed in the faculty member's personnel file; if the statement reports unsatisfactory progress, the faculty member shall be provided specific written recommendations for improvement.
These procedures may not abridge or nullify the general policies of the University; and employment of the resulting evaluations shall be consistent with the established policy and procedures of the University in such matters as promotion, retention, tenure, and due process.
Faculty shall be informed at the time of their initial appointment of the criteria for evaluation and objectives set by the department. Faculty shall also be informed whenever there is a change made in those criteria and objectives by the department.
All formal appeals of evaluation shall be made in accordance with the same "due process" procedures as provided for in cases on non-renewal of probationary faculty in North Dakota State Board of Higher Education Regulations on Nonrenewal, Termination or Dismissal of Academic Staff (section 605.3).
and (2) criteria and procedures by which faculty members are evaluated and recommended for tenure.
b. The criteria for tenure evaluation and continuing evaluation of probationary and tenured faculty shall include scholarship in teaching, contribution to a discipline or profession through research, other scholarly or professional activities, and service to the institution and society. Institutions may adopt additional criteria. The regulations defining these criteria shall be consistent with the nature and mission of the institution.
The evaluation criteria for granting or denying tenure shall include teaching, research and creative accomplishments, professional competency and activity, commitment to the mission of the department and University, and contributions to society as these criteria are described in the letter of appointment or in amendments to the letter of appointment and in the appointee’s annual or other contract(s) and the tenure plan or plans required to be identified in such contract(s).
i. Institutions shall establish various tenure "plans" appropriate to the diverse missions of individual institutions, designed to encourage emphasis on research, scholarship in teaching (including, for example, utilization of technology in teaching and innovative teaching methods), service (including, for example, technology transfer and economic development) and other areas of emphasis. Institution regulations shall include guidelines for determining weight to be given each of the criteria for tenure evaluation and continuing evaluation. The guidelines shall provide for varying emphases on the enumerated criteria based upon the faculty member's plan, the needs of the institution and the background, abilities and interests of the faculty member.
ii. Tenured and probationary faculty contracts shall identify the faculty member's tenure plan and describe the faculty member's duties and goals. The contracts shall specify the weight to be given the criteria for evaluating performance. The contract provisions shall be reviewed and, when appropriate, revised as a part of the faculty member's periodic evaluations.
a. Eligibility for tenure requires a probationary period of six years of continuous academic service to the institution, during which the faculty member is evaluated at least annually according to an evaluation process designed to foster continuous improvement. The term may be extended beyond six years or the continuous service requirement may be waived in exceptional circumstances. Institutions shall establish procedures for granting extensions or waivers of the continuous service requirement in exceptional circumstances, which must include maternity or parental leave and appropriate accommodations for faculty members with disabilities. Institution procedures may define additional exceptional circumstances including, for example, family emergencies or extended illness.
b. An institution may, subject to procedural requirements stated in this policy and sections 605.2, 605.3, and 605.4,decline to renew the contract of a probationary faculty without cause at any time during the probationary period.
PROCEDURAL GUIDELINES FOR TENURE REVIEW
INITIATION OF THE RECOMMENDATION FOR TENURE
Recommendations for tenure are normally initiated within a department or college by the faculty member or by a department or college committee or by the department chairperson, according to department or college procedures. Normally, faculty on probationary appointments will be recommended in their sixth year, unless they have been granted prior tenure credit or unless they are being considered for early tenure or unless an extension has been granted under exceptional circumstances as permitted or required by SBOHE Policy section 605.1.3.c. as implemented by the UND policy on such extensions. The criteria for the evaluation of tenure should be the same regardless of when such a review occurs.
Under certain circumstances a faculty member may request a one year extension to the probationary period. Such a request is normally based upon one of the following: 1) responsibilities with respect to childbirth or adoption; 2) significant elder or dependent care obligations; 3) disability or chronic illness; 4) circumstances beyond the control of the faculty member that significantly impede progress toward tenure. A request for an extension of the probationary period will be submitted at any time but no later than the end of the academic year prior to the year in which the review for tenure is scheduled to occur.
For requests for extension, the faculty member submits the request to the chair of the department who shall consult with existing departmental governance bodies before recommending approval or disapproval of the request. All requests are further reviewed by the academic dean and (except for the faculty of the School of Medicine and Health Sciences) the Vice President for Academic Affairs who grants or denies the request. For a faculty member in the School of Medicine and Health Sciences, a request forwarded from the department is reviewed by that dean and receives a final review by the President, who grants or denies the request.
In the personnel action review process for a faculty member granted an extension, the standards of the review will not differ from those applied following the normal probationary period.
THE REVIEW PROCESS
Recommending Authorities. Tenure is granted by the Board of Higher Education upon recommendation by the President. Recommending authorities to the President are the Vice President for Academic Affairs, the dean of the faculty member's college or school, and the chairperson of the department in which tenure is to be granted. Because faculty are tenured in the academic unit, and because of the close and frequent professional association between the initiating committee or the chairperson and the faculty member, consideration should be given to the chairperson's recommendation at all stages of the review process.
All recommendations from the department chairperson, the dean, the Vice President for Academic Affairs, and the President must be in writing, and each must include a statement supporting his or her recommendation. The statement must speak with reference to and take into account the tenure plan or plans under which the person being considered for tenure has served, as identified in, to, or with that individual’s contract(s) as required by Board of Higher Education Policy Manual section 605.1 subpart 3 b. (i) and (ii). If the recommendation is negative, the accompanying statement must indicate the basis for the recommendation. Both the recommendation and that statement must be made part of the faculty member's personnel file. After each recommendation is made, the candidate for tenure must be informed of said recommendation and must be given access to the file in order to review the recommendation and respond, if desired, in the form of a written statement, to any material in his or her file.
Advisory Groups. The department chairperson must seek the advice of a department committee. The dean of the college or school involved must seek the advice of a college or school advisory committee. These advisory groups shall be formed according to department or college procedures. The committees must
record roll call votes for and against tenure, and these votes must be made a part of the tenure file. Any negative vote must be accompanied by a written statement providing the basis for the vote. The candidate is to be informed of the committee's recommendation and must be given access to the file in order to review the recommendation and respond, if desired, in the form of a written statement. All written advice must be part of the file which is reviewed for tenure.If a decision is made by the President against recommending that tenure be granted, and if the faculty member alleges that the reasons for the decision were inadequate, the faculty member may appeal by following the procedures outlined in the Board of Higher Education Policies on Hearings and Appeals, section 605.4.
8.1.2 ACADEMIC STAFF APPOINTMENTS
Faculty appointments shall be probationary, tenured or special.1. PROBATIONARY APPOINTMENTS are renewable annually and yield credit toward tenure. Initial probationary appointments must be entirely supported by state appropriated funds. The probationary term is limited to six years of continuous academic service, excluding extensions to the term or exceptions to the continuous service requirement granted in exceptional circumstances.
Under certain circumstances a faculty member may request a one year extension to the probationary period. Such a request is normally based upon one of the following: 1) responsibilities with respect to childbirth or adoption; 2) significant elder or dependent care obligations; 3) disability or chronic illness; 4) circumstances beyond the control of the faculty member that significantly impede progress toward tenure.
A request for an extension of the probationary period will be submitted at any time but no later than the end of the academic year prior to the year in which the review for tenure is scheduled to occur.
For requests for extension, the faculty member submits the request to the chair of the department who shall consult with existing departmental governance bodies before recommending approval or disapproval of the request. All requests are further reviewed by the academic dean and (except for the faculty of the School of Medicine and Health Sciences) the Vice President for Academic Affairs who grants or denies the request. For a faculty member in the School of Medicine and Health Sciences, a request forwarded from the department is reviewed by that dean and receives a final review by the President, who grants or denies the request.
In the personnel action review process for a faculty member granted an extension, the standards of the review will not differ from those applied following the normal probationary period.
i. An individual with previous professional experience may, at the discretion of the institution, be given tenure credit not to exceed three years for this experience, with such credit to be regarded as academic service to the institution for the purpose of these regulations. The faculty member shall be informed in writing of this policy and the institution's decision prior to or at the time of appointment.
The acceptability of professional experience for tenure credit shall be evaluated by the chairperson of the department to which the appointment is being made, and by the dean of the college. The decision to grant tenure credit is subject to the approval of the Vice President for Academic Affairs and the President of the University.
Individuals with previous professional experience at other accredited four-year, degree-granting institutions of higher education may, at the discretion of the University of North Dakota, be given tenure credit for this experience not to exceed three years. Credit will not be given for teaching at an institution when part-time teaching and degree work coincide. Individuals with other types of professional experience may be given tenure credit, not to exceed three years, for this experience.
ii. Time spent on leave of absence or developmental leave may be counted, up to a maximum of two years, as academic service for the purposes of these regulations. The amount shall be determined, and the faculty member informed in writing, including any applicable conditions, prior to authorization of the leave.
No time spent on leave of absence or developmental leave shall count as academic service, except on the request of the faculty member and approval of the chair, dean, and Vice President for Academic Affairs.
2. TENURED APPOINTMENTS recognize a right, subject to Board policy, to continuous academic year employment in an academic unit or program area as defined by an institution and stated on the contract. A faculty member shall qualify to be recommended for a tenured appointment by satisfying the criteria for tenure developed in accordance with subsection 3 of this policy.
i. The following persons are not eligible for tenured appointment:
A. Faculty members with a part-time or temporary appointment. However, faculty members who have been awarded part-time tenure as established by previous Board policy and those who accept a part-time appointment after being awarded tenure in a full-time position shall continue to have such tenure recognized.
B. An institution's president.
ii. The Board may, following review and recommendations made pursuant to the procedures established at an institution award tenure in exceptional circumstances, defined by the institution's procedures, to an institution's chief academic officer or to any other person appointed to the faculty who has not met the eligibility requirement of subdivision 3(c) of this policy, provided that the person, at the time tenure is granted, has:
A. held a tenured appointment at another institution, or
B. been a faculty member at the institution for at least one prior academic year.
iii. The Board may, following review and recommendation made pursuant to the procedures established at an institution award tenure in exceptional circumstances, defined by the institution's procedures, to any person appointed to the faculty who has not met the eligibility requirements of subdivisions 3(b) and 3(c) of this policy, provided that the person has a documented record of outstanding achievement and consistent excellence in a discipline or profession gained through research, scholarly or professional activities, or service.
3. SPECIAL APPOINTMENTS of academic staff do not involve either tenure credit or status. Special appointments are all appointments except tenured or probationary appointments, including:
i. Courtesy adjunct appointments awarded in accordance with Board policy to professional people who contribute to the academic or research program of the institution; [No implementation required]
ii. Visiting appointments for people holding academic rank at another institution of higher education; [No implementation required]
iii. Appointments of retired faculty members on special conditions; [No implementation required]
iv. Initial appointments supported wholly or partially by other than state appropriated funds; [No implementation required]
v. Appointments clearly limited to a brief association with the institution, as defined by the institution;
vi. Terminal appointments given with notice of nonrenewal to faculty members who were previously on probationary appointment. A terminal appointment with notice of nonrenewal must be given to a faculty member no later than the end of the sixth year of probationary appointment if the decision is made to deny tenure. [No implementation required]
vii. Part-time faculty
viii. Lectureship appointments, which shall be for performance of specifically assigned academic duties only, without general faculty responsibilities;
Appointments as lecturers may only be made to persons who have the responsibility to teach less than half time and who do not have the general academic responsibility of faculty members. The appointments are compensated, and are made for one semester or academic year at a time. There are no limits to the number of possible time frames for renewals. Under exceptional circumstances, an appointment as lecturer may be made to teach half time or more but only with the consent of the appointees and approval of a majority of departmental faculty.
ix. Graduate teaching assistant appointments. [No implementation required]x. Post-doctoral fellowships and clinical appointments; and
xi. Other faculty appointments, not probationary or tenured, that are designed to help fulfill the institution’s mission or meet long-term needs. The appointments shall be subject to an agreement describing the faculty member’s duties and goals, criteria and weight assigned each criteria for evaluation. The term of an appointment and agreement, or renewal thereof, may not exceed three years. The faculty member’s performance and achievement of goals shall be evaluated during the final year of an appointment. An appointment may be renewed only if the evaluation demonstrates satisfactory performance.
4. The general terms and conditions of appointment shall be provided the appointee in a written contract. The contract shall state whether the appointment is probationary, tenured or special. The term of a contract, except contracts made pursuant to paragraph 4(c)(xi), shall generally not exceed one year. A multiple year contract must be subject to termination upon discontinuance of the program in which the faculty member is employed, non-appropriation or loss of funds, or other financial exigency.
The terms and conditions of a faculty appointment are specified in a Letter of Appointment, in subsequent contracts, and in the Faculty Handbook.
(1) Contracts are normally issued for one academic year at a time and are to include, at a minimum, specification of whether the appointment is probationary, tenured, or special; in which academic unit tenure or tenure credit is earned; and for faculty who previously earned part-time tenure, the proportion of a full-time position for which they are tenured. Contracts for tenured and probationary faculty shall also identify the appointee’s tenure plan and describe the faculty member’s duties and goals, specifying the weight to be given the criteria for evaluating performance.
(2) In the case of a coach, that portion of a coach’s appointment as an academic staff member shall be stipulated in the contract.
(3) At the University of North Dakota, the academic year normally extends from August 16th of one year to May 15th of the following year, and includes those days.
The institutional process for evaluation of faculty, the criteria and minimum expectations for promotion and for tenure, and provisions concerning required notices, shall be made known to the appointee at the time of appointment. This disclosure may be accomplished by a published description of the process, criteria, and expectations in a faculty handbook or similar document. Such provisions are subject to change according to processes established for adoption or amendment of Board and institutional policies. Institution procedures shall provide for annual evaluation of probationary faculty and evaluation of tenured and other faculty no less than once every three years. The procedures shall include provisions requiring that evaluations are completed in a timely and appropriate fashion and that the institution takes appropriate remedial action in response to unsatisfactory evaluations. Evaluation criteria shall relate to a faculty member’s duties and goals and be appropriately weighted in accordance with the terms of the faculty member’s contract. Evaluations of all teaching faculty must include significant student input.
The institutional process for evaluation of faculty, and the criteria or minimum expectations for promotion and tenure are included in the faculty handbook [II - 8.1.1.3.a.1]. Departmental and academic unit criteria and procedures are available at the departmental or unit office. Faculty appointees can obtain the Faculty Handbook from the Office of the Vice President for Academic Affairs and Provost.
State Board of Higher Education Policy Manual, Section 605.1, 2-18-2000UND Senate, 04-02-98; revised 03-04-99
8.1.3 STANDING COMMITTEE ON FACULTY RIGHTS
1. Each institution shall have a Standing Committee on Faculty Rights consisting of three or five tenured faculty members elected for staggered terms by the faculty governance structure. The Committee shall elect its own presiding officer annually and shall hold formal hearings in accordance with the procedures described in section 605.4 on all matters referred to it under these policies. The Committee shall judge any allegation of bias or conflict of interest. In the event that an individual member is judged by the Committee to be biased or to have a conflict of interest in a specific case, the Committee shall replace the member with a substitute member for that case.
The University of North Dakota Standing Committee on Faculty Rights shall consist of five tenured faculty members to be elected one per year for staggered terms of five years each by the Council.
2. Each institution shall establish procedures for making mediation conducted by an impartial mediator available to assist with resolution of disputes upon agreement of the parties in accordance with Policy 605.3 and institution policies. Institutions shall establish minimum qualifications and a process for selecting mediators. Institutions shall pay all mediation costs.3. Chapter 44-04 of the North Dakota Century Code, relating to open meetings and records, including section 44-04-19.2 concerning confidential or closed meetings, applies to Standing Committees on Faculty Rights. Pursuant to NDCC § 44-04-20, each committee chair shall file in the prsident¹s office the name, address and telephone number of a person who may be contacted to obtain information concerning meetings or to request notice of meetings. Proceedings concerning the appointment or removal, including nonrenewal, of a faculty member may, pursuant to NDCC § 15-10-17, be closed, unless the faculty member requests that the proceedings be open, in which case the proceedings shall be open. Proceedings not concerning the appointment or removal of a faculty member, including proceedings concerning discipline not involving dismissal, shall be open.
State Board of Higher Education Policy Manual, Section 605.2, 2-18-2000
UND Senate, 03-01-84
8.1.4 NONRENEWAL, TERMINATION OR DISMISSAL OF ACADEMIC STAFF
1. A probationary appointment may be terminated, without cause, with notice to the faculty member that the appointment will not be renewed.
a. Notice shall be given:
i. Not later than March 1 of the first academic year of service if the appointment expires at the end of that academic year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination.
ii. Not later than December 15 of the second academic year of service if the appointment expires at the end of that academic year; or, if an initial two-year appointment terminates during an academic year, at least six months in advance of its termination.
iii. At least twelve months before the expiration of an appointment after two or more academic years of service at the institution.
b. A department chair, dean or other person authorized under institution policies to give such notice shall provide written notice of the decision, including a reference to the policy section pursuant to which the action is taken. The faculty member may within ten calendar days after receipt of the notice request a reconsideration by the deciding body or individual. The faculty member may incorporate a request for mediation in the request for reconsideration. The institution shall respond in writing to the faculty member within ten calendar days after receipt of the request.
At the University of North Dakota, the President decides whether a probationary appointment should be renewed, upon recommendations by the department and college where the faculty member is appointed, and by the Vice President for Academic Affairs; and therefore, it should be the Office of the President which shall effect such notice.
2. An institution may terminate a probationary appointment effective at the end of any contract term, with no less than 90 days notice of nonrenewal based upon a determination by the Board that a financial exigency exists which requires such action at an institution or institutions, or upon determination by the institution that such action is necessary because of loss of legislative appropriations, loss of institutional or program enrollment, consolidation of organizational units or program areas or elimination of courses. The notice of nonrenewal shall include a reference to the policy section pursuant to which the action is taken. When a probationary appointment is terminated pursuant to this subsection, the provisions of subsection 1 do not apply.
3. A special appointment terminates at the end of the term stated on the contract and may be renewed at the discretion of the institution. [No implementation required]
4. A faculty member on probationary or special appointment may, within twenty calendar days after receipt of notice of nonrenewal of a probationary appointment or termination of a special appointment or, if the faculty member requests reconsideration or the parties agree to mediation under paragraph b of subsection 1, within twenty days of receipt of the results of the reconsideration or conclusion of mediation, request review of the decision by filing written notice with the deciding body or individual and the chair of the Standing Committee on Faculty Rights. The request for review may be based on allegations that the institution failed to comply with applicable policies or gave the decision inadequate consideration, or that the nonrenewal decision violated (a) academic freedom, (b) rights guaranteed by the United States Constitution, or (c) terms of the employment contract or other written agreement. The allegation must be supported by a specification of the reasons why the decision violated these rights and a summary of the evidence supporting the allegation(s). The institution shall, within twenty calendar days of receipt of the written notice and specifications, provide a written response to the faculty member and the chair of the Standing Committee on Faculty Rights. [No implementation required]
8.1.5 TERMINATION OF APPOINTMENT BY FACULTY MEMBER
1. A faculty member may terminate an appointment effective at the end of the term of the appointment by giving notice in writing at the earliest possible opportunity, but not later than May 15, or one month after receiving notification by the institution of the terms of an appointment for the coming academic year, whichever date occurs later. The faculty governance structure at an institution may recommend procedures permitting a faculty member to request a waiver of this deadline in case of hardship or for other good cause defined by those procedures. An institution may provide that failure without reasonable cause by a faculty member to return a contract by the time set forth in the contract shall constitute a resignation. Any return time so established by the contract shall be reasonable.TERMINATION OF APPOINTMENTS OF TENURED FACULTY
2. An institution may terminate an appointment of a tenured faculty member following a determination by the Board that a financial exigency exists which requires such action at an institution or institutions, or upon determination by the institution that such action is necessary because of loss of legislative appropriations, loss of institutional or program enrollment, consolidation of academic units or program areas, or elimination of courses. In such cases, significant consideration shall be given to length of service and tenure status in the retention of faculty members within the affected academic unit or program area, curriculum requirements, professional achievements, breadth of competence, and equal employment opportunity. A tenured faculty member terminated pursuant to this subsection shall be given written notice of termination, including the reason(s) for the action, at least twelve months prior to the date of termination. Each institution shall establish procedures for implementing this policy. [No implementation required]
a. A tenured faculty member given notice of termination under this section may request that the institution circulate his or her vita to other academic units or program areas within the institution. In addition, the institution shall ensure that fair consideration is given to the faculty member, during the period of the terminal appointment, for vacant academic positions in the employing institution for which the faculty member is qualified. The faculty within any academic unit or program area shall have the major responsibility in determining qualifications for appointment therein. If a tenured faculty member accepts an appointment in a different academic unit or program area, the faculty member shall retain his or her tenure status, subject to approval of the Board.
b. A position terminated under this section shall not be filled by a replacement within two years, unless the released faculty member has been offered appointment with tenure and a reasonable time within which to accept or decline it.
c. The provisions of section 605.4 do not apply when a tenured faculty member is terminated under this subsection. The faculty member may, however, within twenty days of receipt of notice of termination, file a request for review under processes established at the institution for that purpose.
3. In accordance with Section 305.1 of these policies, the faculty governance structure at each institution shall adopt procedures by which faculty participation is solicited before notice of termination is given any tenured faculty member pursuant to subsection 6. Faculty participation shall be solicited concerning:
a. the extent to which there are grounds for termination of tenured appointments
b. Judgments determining where within the overall academic program termination of appointments may occur; and
c. The procedure and criteria for identifying the individuals whose appointments are to be terminated
The three elected faculty members of the University Budget Committee and the three faculty members selected by the University Senate for the Faculty Budget Advisory Committee shall together constitute a standing committee known as the Funding or Enrollment Emergency Committee.
The committee shall meet upon written request by the President. Such a request shall be widely disseminated to the campus and community, including the public media. It shall recite the factual or other information relied upon by the administration in its conclusion that the termination of tenured faculty will be necessary due to the existence of demonstrably bona fide financial exigency, loss of legislative appropriations, loss of institutional or program enrollment, consolidation of academic units or program areas and/or elimination of courses, as well as the administration's tentative conclusions. The committee shall promptly convene and commence such investigations, open discussions, meetings, and other procedures as may enable it within a reasonable time to conclude and report to the University Senate and the President,
a. the extent to which there are grounds for termination of tenured appointments;
b. judgments determining where within the overall academic program termination of appointments may occur; and
c. the procedure and criteria for identifying the individuals whose appointments are to be terminated.
The committee's report shall also be widely disseminated to the campus and community, including the public media. The Executive Committee of the Senate shall promptly meet to consider the report, and shall either put the report on the agenda for the next regular meeting of the Senate or call a special meeting of the Senate to consider the report. If no regular Senate meeting would occur within 30 days of the issuance of the report, or if the President so requests, a special meeting of the Senate must be called. Unless the Senate amends the report of the Committee, or adopts a substitute therefor, within sixty days of the issuance of the report by the Committee, the Committee's report shall become the product of faculty participation as required under section 605.3.7 of the State Board of Higher Education's 1996 Regulations on Nonrenewal, Termination or Dismissal of Academic Staff. In the event the Senate amends the report, or adopts a substitute report, within the sixty days provided for Senate action, the Senate's action shall be the product of faculty participation provided as required under section 605.3.7 of the Board's Regulations.
The Committee and the Senate shall consider significant the length of service and tenure status of faculty members within any affected academic unit (or units) or program area (or areas). Other factors to be considered, and which may be conclusive, include curriculum requirements, professional achievements, breadth of competence, and equal employment opportunity.
4. A faculty member may be dismissed at any time for adequate cause. Adequate cause means: (a) demonstrated incompetence or dishonesty in teaching, research, or other professional activity related to institutional responsibilities, (b) continued or repeated unsatisfactory performance evaluations and failure to respond in a satisfactory manner to a recommended plan for improvement; (c) substantial and manifest neglect of duty, (d) conduct which substantially impairs the individual's fulfillment of his or her institutional responsibilities or the institutional responsibilities of others, (e) a physical or mental inability to perform assigned duties, provided that such action is consistent with laws prohibiting discrimination based upon disability, or (f) significant or continued violations of Board policy or institutional policy, provided that for violations of institutional policy the institution must notify the faculty member in advance in writing that violation would constitute grounds for dismissal, or the institutional policy must have provided specifically for dismissal as a sanction.
a. An authorized institution officer shall give written notice of intent to dismiss at least five calendar days prior to the date a recommendation to dismiss is submitted to the institution's president. The notice shall specify the reasons for the action and state that the faculty member has the right, within those five days or other specified time, to file a written response to the notice. The administrative officer may, in the officer¹s discretion, also schedule a meeting with the faculty member.
b. If no response is received or meeting scheduled, or following consideration of the response or information presented at the meeting, the appropriate administrative officer shall make a recommendation to the institution's president concerning whether there is adequate cause to dismiss the faculty member. The president shall make a decision within twenty days and provide written notice of the decision and reasons for the action to the faculty member. The notice shall state that the decision will be effective upon a date specified in the notice, which may not be less than twenty calendar days after the notice is sent to the faculty member, or, if the faculty member elects to exercise the faculty member's right to request reconsideration or review, upon a final decision by the institution's president following conclusion of those proceedings.
c. A faculty member dismissed pursuant to this subsection may, within twenty days of receipt of the decision of the president, file an appeal and request for a formal hearing before the Standing Committee on Faculty Rights, pursuant to section 605.4.
d. Pending a final decision on dismissal for adequate cause, the faculty member may be suspended by the institution's president, or assigned to other duties in lieu of suspension, if it is reasonably determined that it is in the best interests of the faculty member or the institution to do so. The faculty member's salary and fringe benefits shall continue during a period of suspension. Salary and benefits shall be terminated upon a final decision by the president to dismiss the faculty member following conclusion of proceedings at the institution.
e. A faculty member may request, or the institution may suggest mediation and the parties may agree to mediation at any stage in these proceedings prior to conclusion of the Standing Committee on Faculty Rights hearing. Institutions are encouraged to adopt procedures making mediation available at the earliest feasible stage, including procedures enabling an agreement to mediate before the institution initiates formal proceedings under this policy. Upon agreement to mediate, further proceedings shall be stayed pending conclusion of mediation.
5. If the administration determines that the conduct of a faculty member, although not constituting ground for termination or dismissal, provides reasonable cause for imposition of a sanction,the administration shall inform the faculty member in writing of the sanction and the reasons for the sanction. A sanction means any punishment, detriment, loss of reward, restriction of privileges or other coercive measure imposed as a formal disciplinary measure. The faculty member may request review upon filing with the institution's president and chair of the Standing Committee on Faculty Rights a request for review and specifications of reasons within twenty days of receipt of notice of imposition of a sanction. The institution shall have twenty calendar days following receipt of the request for review to file a response.The Standing Committee on Faculty Rights shall review the matter according to procedures established at the institution for that purpose and issue a written report within twenty calendar days of receipt of the institution¹s response and may make a recommendation to resolve the dispute, stating its reasons. The institution shall make its final decision upon reconsideration and provide written notice of that decision to the faculty member within twenty days of receipt of the report and recommendation of the Standing Committee on Faculty Rights. Upon filing of a request for review pursuant to this subsection, imposition of the sanction shall be suspended pending a final decision of the institution¹s president following conclusion of those proceedings.
State Board of Higher Education Policy Manual, Section 605.3, 2-18-2000
UND Senate, 03-01-84
1. A faculty member may request a hearing with the Standing Committee on Faculty Rights by filing a written notice, accompanied by a specification of the reasons or the grounds upon which the appeal is based, with the Committee chair and the institution's president. The institution shall have twenty calendar days from receipt by its president of the notice and specifications to file a response with the Committee Chair and the faculty member.
2. The Committee Chair, or other member designated by the Committee, may conduct pre-hearing meetings and supervise pre-hearing discovery on behalf of the Committee. The Committee may also appoint, at the expense of the institution according to institution procedures, some other person as a hearing officer with authority to conduct pre-hearing meetings, supervise discovery, advise the Committee or preside over the hearing. The faculty member, the institution and their representatives shall comply with all reasonable directives and requests of the Committee Chair or other member or a hearing officer appointed by the Committee. The institution shall provide necessary clerical support for the committee.
3. The Committee or its designated representative shall hold joint pre-hearing meetings with the parties in order to (a) simplify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, or (d) achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious. The faculty member, the institution and their representatives shall participate in pre-hearing meetings upon request and comply with the directives of the Committee or its representative.
4. The Committee shall serve written notice of hearing on the faculty member and the president or their representatives at least twenty calendar days prior to the hearing.
5. The faculty member and the institution may stipulate to a decision on the basis of the written statements, in which case the Committee shall make its decision on that basis.
6. During the proceedings the institution and the faculty member are entitled to have an administrative or academic advisor and counsel of their own choice and at their own expense. Proceedings concerning the appointment or removal of a faculty member may, pursuant to NDCC section 15-10-17, be closed, unless the faculty member requests that the proceedings be open, in which case the proceedings shall be open. Proceedings not concerning the appointment or removal of a faculty member, including proceedings concerning discipline not involving dismissal, shall be open.
7. A verbatim transcript of the hearing or hearings shall be made at the institution's expense and shall be accessible to both parties. A party shall be provided a copy of the record, or part of the record, upon request, at the institution¹s expense.
8. The findings of fact, conclusions and the decision shall be based solely on the evidence received by the Committee. In cases brought under section 605.3(4), the faculty member has the burden of persuasion to prove, by a preponderance of the evidence, that the action violated the faculty member's rights; in cases appealed pursuant to section 605.3(8) or (9), the burden of proof that grounds for the institution's action exist shall rest with the institution and be satisfied only by clear and convincing evidence in the record considered as a whole.
9. The Committee may admit any evidence which is of probative value in determining the issues or if the interests of justice will best be served by admitting the evidence. Every reasonable effort shall be made to obtain the most reliable evidence available. The Committee shall grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
10. The faculty member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The institution shall cooperate with the Committee in securing witnesses and making available documentary and other evidence. The faculty member and the institution shall have the right to confront and cross-examine all witnesses. Testimony may be taken by deposition, including deposition by telephone, or witnesses may testify by telephone, facsimile, video or other electronic means, as long as such use does not substantially prejudice the rights of any party. Affidavits may be received into evidence upon stipulation of the parties.
11. The Committee's findings of fact, conclusions and recommendations, with supporting reasons, shall be reported, in writing, to the institution's president and the faculty member or the faculty member's representative. If the institution's action was a notice of dismissal and if the Committee concludes that adequate cause for dismissal has been established, but that a lesser penalty would be more appropriate, it may so recommend with supporting reasons. The president shall make a decision and provide written notice of the decision, including findings of fact and reasons or conclusions based on the hearing record, to the Committee and the faculty member within twenty calendar days of receiving the report. The faculty member or Committee may, within ten calendar days of the decision, to which the president may reply. Submission of a written response of a faculty staff member or Committee shall not extend the time for filing an appeal if there is a right to an appeal.
12. The decision of the president is final.
State Board of Higher Education Policy Manual, Section 605.4, 2-19-2000
8.2 UND ADMINISTRATIVE GUIDELINES FOR DEVELOPMENT OF TENURE RECOMMENDATIONS
A. Although decisions to recommend tenure involve some of the criteria which apply to decisions involving salary adjustments and promotions, there are additional considerations which apply to tenure recommendations, such as budgetary concerns, balance within the departments, projected enrollments, retrenchment, etc. The award of salary increases and promotions should not necessarily lead a faculty member to expect tenure will be recommended.
B. In making recommendations in regard to tenure, the departments/colleges may establish their own standards as long as they are in conformity with Board tenure policies, the University Constitution, Senate Bylaws, and recognized University-wide interpretations as recorded in the Faculty Handbook.
C. In order for advanced tenure credit to be awarded for any year of University of North Dakota service funded with non-appropriated money, whether full or part-time, the faculty member must have been evaluated during the service in question in accordance with regular department/college evaluation procedures. When prior tenure credit for previous professional experience is also involved, it will be considered at the same time.
D. When a faculty member begins a tenure eligible appointment midyear, he/she is normally considered for tenure with the group who started at the beginning of that appointment year.
E. Early tenure (after four or five years) will be recommended only in exceptional cases.
F. Under normal circumstances, an administrative officer initially appointed to the University of North Dakota in a nonacademic administrative position will not be given tenure eligible rank or be recommended for tenure as a result of time spent in the administrative position.
If a probationary faculty member at UND moves into a full-time non-academic administrative position, he/she will not continue to accrue credit toward tenure while in that administrative position. A faculty member already tenured will retain tenure.
Any recommendation regarding academic rank for a non-academic administrator will be made by the dean only upon recommendation of the faculty of the college/department*.
G. The tenure eligibility of faculty at UND will be based on two criteria: Source of funding and academic title, i.e., in order for faculty members to be considered tenure eligible, they must (a) be initially (or subsequently) fully funded from State General Fund appropriations assigned to an academic salary budget responsible to the Vice President for Academic Affairs** and (b) carry in an academic department/college a probationary academic title (Instructor, Assistant Professor, Associate Professor, Professor). Failure to satisfy both of these conditions simultaneously eliminates the position from tenure eligibility*.
H. If a probationary or tenured faculty member already employed at UND is appointed to an academic administrative position, rank, or tenure status will not be affected by the appointment. Accrual of additional tenure credit during subsequent administrative service may be granted only when there is regular, formal involvement in the program and the discipline of the department and with concurrence of the department/college concerned.
I. Administrators do not accrue tenure as administrators.
J. If any individual is appointed to an academic administrative position from outside the University, academic rank and/or tenure offered concurrently with or subsequent to such appointment will be determined only after recommendation of the department/college in which the rank is to be given. The criteria for rank and/or tenure for administrator-teachers, especially those relating to scholarly activity and service to students, will be similar to those regularly used in the department/college.
K. A tenure-eligible faculty member cannot be recommended for tenure unless the department/college will have available permanent funding for that person from appropriated funding at the time tenure is to become effective. A department/college cannot shift either a tenured or tenure-eligible faculty member onto non-appropriated money unless there is a recognized plan enabling reassignment of him/her to appropriated funding at the time non-appropriated funds are unavailable or he/she becomes eligible for tenure through years of services to the University.
L. Faculty in temporary positions whose appointments are funded out of State General Fund appropriated monies must be designated in all official contracts and documents as "Temporary," which designation may precede the title or follow the faculty member's name in parentheses. Under normal circumstances, temporary persons so appointed may be eligible for reappointment up to three years.
M. Faculty who are appointed to positions funded all or in part out of non-appropriated ("soft") funding must be designated in all official contracts and documents by modified academic titles#. Under very exceptional circumstances, appointments may be designated by unmodified academic titles as long as it is clearly indicated that the position is non-probationary and renewable only upon the availability of funds. Potentially, such positions are renewable without time limitations, subject to the recommendation of the department and the University as long as the non-appropriated funding is available*.
N. Time spent in a position in which the faculty member's appointment is primarily related to intercollegiate athletics will not earn tenure credit.
O. Normally, only those persons who have what is deemed the usually required terminal degree, or its equivalent for university teaching in their disciplines, will be appointed to regular tenure-eligible positions. When an exception is made, the faculty member will be expected to complete the appropriate degree or credential before being eligible for appointment with tenure.
* This provision, under special circumstances, may have to be modified by the UND School of Medicine, with the approval of the State Board of Higher Education, in order to fit those situations unique to a state-wide, community-based medical school.
** or to the Dean of the School of Medicine
# "Academic titles" means Instructor, Assistant Professor, Associate Professor, or Full Professor.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
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RESIGNATIONS |
When a faculty member returns a signed contract for the ensuing academic year, it is assumed that both parties will adhere to the express and implied conditions of that contract. A faculty member may terminate an appointment effective at the end of the academic year, provided that he or she gives notice in writing at the earliest possible opportunity, but not later than May 15, or one month after receiving notification by the institution of the terms of an appointment for the coming academic year, whichever date occurs later. After discussion with the college dean, the faculty member may properly request a waiver of this request of notice in case of hardship or a situation in which he or she would otherwise be denied substantial professional advancement or other opportunity. However, the University will require assurance that his or her place can be filled and that work at the University for which this faculty member is responsible will not suffer because of his or her withdrawal.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
SEE ALSO: State Board of Higher Education Policy: Academic Freedom and Tenure; Academic Appointments; Nonrenewal, Termination or Dismissal of Academic Staff; Sections 605.1 and 605.3
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