Chapter 320: Employment and Termination

320.010 Equal Employment/Educational Opportunity Policy

kuscheld — Wed, 26 May 2010 22:33:00 +0000

320.010 Equal Employment/Educational Opportunity Policy kuscheld Wed, 05/26/2010 - 22:33

See Section 600.010 Equal Employment/Educational Opportunity.

320.020 President's Authority

kuscheld — Wed, 26 May 2010 22:35:18 +0000

320.020 President's Authority kuscheld Wed, 05/26/2010 - 22:35

Bd. Min. 4-7-67, p. 33,193; Bd. Min. 3-17-72, p. 36,323; Amended 4-22-21.

The President shall have the following specific authority:
1. To make or change academic appointments or salaries within the budget,
2. To accept resignations and discharge faculty,
3. To make or change appointments, change salaries, accept resignations or discharge employees in non-academic positions, including the Crippled Children's Service.
4. Exception -- Any appointment or change of appointment of Vice Presidents, Chancellors or Curators Professors shall be reported to and approved by the Board of Curators before the effective date thereof.
All such appointments shall be made, regardless of the terms named in the appointments, subject to termination at the pleasure of the Board of Curators.
All appointed personnel actions shall be made in writing. Fully executed appointment documents shall be filed with the hiring unit and the System Office of Human Resources prior to the effective date of the appointment. The System Office of Human Resources shall maintain records for all such appointments.
Any appointments so made shall be in accordance with existing policies and scales of pay for the University in effect at the time of such appointment.

320.030 Delegation of Authority

kuscheld — Wed, 26 May 2010 22:36:20 +0000

320.030 Delegation of Authority kuscheld Wed, 05/26/2010 - 22:36

Executive Order No. 6, 12-1-70; revised 3-20-73, 1-3-78, 1-1-80, 3-31-81, 1-1-82, 11-15-82, 10-28-85, 6-26-87, and 8-5-87; Amended Bd. Min. 6-14-91, Revised 3-5-92. Revised 7-31-97; 1-21-98; Revised 5-8-01; Revised 6-9-03; Revised 5-26-06; Revised 1-22-10; Revised 5-4-20.

In accordance with the authority to delegate by the President of the University as established by Board of Curators Regulation Section 20.020 on April 7, 1967, Bd. Min. page 33,193, I herewith delegate the appointing authority for general University employment with all of the powers contained in the Special Delegation of Authority set forth in Section 320.020 to the President by the Board of Curators by its actions on April 7, 1967 (Bd. Min. p. 33,193) and March 17, 1972 (Bd. Min. p. 36,323), as follows:

To the Chancellor of the Campus the Authority:
1. To approve personnel actions pertaining to employment, changes in total compensation, changes in status, and termination for all campus faculty, staff and students, with the exception of:
  1. All such personnel actions for executive-level positions/appointments reporting directly to the Chancellor which are assigned to Occupational Group Code 15.
  2. Other positions as determined by the President, in advance, for discretionary review.
2. To make recommendations for prior approval to the President on all personnel actions pertaining to the above-listed exceptions.
3. All appointments are to be within the available funds in the approved budget and are to be in compliance with University policies regarding individual qualifications and levels of compensation.
To the Vice Presidents for UM System the Authority:
1. To approve personnel actions pertaining to employment, changes in total compensation, changes in status, and termination for all UM System staff and students, with the exception of:
  1. All such personnel actions for executive-level positions/appointments reporting directly to the Vice President which are assigned to Occupational Group Code 15.
  2. Other positions as determined by the President, in advance, for discretionary review.
2. To make recommendations for prior approval to the President on all personnel actions pertaining to the above-listed exceptions.
3. All appointments are to be within the available funds in the approved budget and are to be in compliance with University policies regarding individual qualifications and levels of compensation.
Redelegation of Authority: Authority to approve personnel actions may be redelegated, but it does not relieve responsibility for seeing that correct procedures and policies are followed and that the appointment processes are correctly completed.
1. All redelegation of authority with a clear delineation of the extent of such redelegation must be documented by a letter to the individual to whom the delegation is being made.
2. The individual approving such personnel actions shall use one's own signature or electronic log in and not that of the individual delegating the authority. Redelegations previously filed remain in effect unless changes are submitted or the employee is terminated or transferred to a different position.
Incentive Compensation: All management, faculty and staff incentive compensation programs must be approved by the President or delegate prior to implementation or material revision of said program. Presidential approval shall remain in effect for no more than five (5) years or until the plan is materially revised, whichever comes earlier. (See Executive Guideline #34, Principles for the Establishment and Operation of Incentive Compensation Plans.)
Senior Academic Line Administration: As a general policy, recommendations for the selection of a senior academic line administrator (e.g., provost/vice chancellor, dean, director) shall be made by the Chancellor after consultation with an appropriate committee which will include members of the faculty, school, college, or other unit that will be served by the administrator.
Criteria-Based Salary Reductions for Tenured Faculty: Each chancellor may approve and implement criteria for reducing salaries of faculty members on continuous appointments. Criteria may be established by the chancellor on a university-wide basis, or they may be developed by a college, school, department, or other similar unit for use within that unit and submitted to the chancellor for approval.
1. Criteria must rely on published departmental standards for satisfactory performance or objective and documented indicators of productivity, budget, enrollment or workload needs. Criteria must be developed and applied so that salary reductions will apply on an equitable basis to similarly situated faculty members and will not be used to single out individuals.
2. A faculty member will be notified by the department chair or dean of the amount of any salary reduction, when it will go into effect, and the reason for the reduction based on the established criteria. The faculty member may seek review of the reduction by submitting a written request to the provost within 5 days of being notified. The provost will approve, deny, or modify the salary reduction.
3. The salary reduction may not be more than 25 percent. If it is 10 percent or more, it will be accompanied by a commensurate reduction in FTE if requested by the faculty member.
4. A salary reduction based in whole or in part on performance or productivity criteria will go into effect no earlier than the beginning of the next academic year. A salary reduction based only on criteria concerning budget, enrollment or workload needs can go into effect in the pay period following notice to the faculty member.

320.035 Policy and Procedures for Promotion and Tenure

kuscheld — Wed, 26 May 2010 22:37:00 +0000

320.035 Policy and Procedures for Promotion and Tenure kuscheld Wed, 05/26/2010 - 22:37

Executive Order No. 6A, 6-9-92, Amended 9-2-92. Revised 7-31-97; 08-10-05; 09-27-05; 07-14-08; 4-21-11; 4-12-13; 2-9-17; Amended 9-8-20.

Procedures
1. Initiation of Recommendations
  1. A recommendation to consider a faculty member for promotion in academic rank or award of continuous appointment shall be initiated by the department chairperson or the appropriate departmental or school promotion and tenure committee. If the candidate holds a joint appointment between two departments or schools or colleges, the primary department, school or college (��ϲʹ��, Collected Rules and Regulations 320.080) bears the responsibility for recommendation for promotion in academic rank or award of continuous appointment. However, the non-primary department, school or college may prepare a recommendation which shall be included as part of one file pertaining to promotion or continuous appointment under the direction of the primary department. All recommendations shall be forwarded with supportive documentation including teaching evaluations, evidence of research, scholarly activity, and service.
  2. Consideration for award of continuous appointment and promotion to the rank of associate professor normally occurs after a probationary period not to exceed six years, as described in the Academic Tenure Regulations (��ϲʹ�� Collected Rules and Regulations, 310.020). Candidates who are not recommended for promotion to associate professor should not be recommended for continuous appointment. Conversely, while there may be some cases in which an exceptional record warrants promotion to associate professor prior to the awarding of tenure, it should be kept in mind that to make such a promotion seems almost certainly to hold out the promise of tenure. Normally, recommendations for promotion to associate professor and for tenure are made simultaneously.
  3. The promotion and tenure committees may be appointed, elected, or otherwise designated in accordance with the established department, school, or college procedures as long as the procedures are in compliance with the collected rules and regulations. If other than tenured faculty members are included on the committee, only those who are tenured may participate in making a recommendation for a candidate seeking tenure, except in the case of faculty members emeriti serving on the committee as allowed in Section 320.035.A.1.d.
  4. If other than tenured professors are on the committee to consider a candidate for promotion to professor, only the tenured professors and professors emeriti, as allowed below, may participate in making a recommendation for a candidate seeking promotion to professor. If, in the discretion of the dean, there is not an adequate number of tenured professors within the primary department, a special promotion and tenure committee shall be formed by the addition of tenured professor(s) from a closely related department, and/or tenured professor(s) from a closely related department on the other UM campuses, and/or professor(s) emeriti from the primary department in accordance with established procedures. The emeriti faculty serving on the committee shall have attained the rank of professor with tenure, and the number shall not be greater than 50% of the committee membership. This committee shall serve as the department-level committee and shall then make a recommendation for candidate(s) seeking promotion to professor.
2. Review process
  Below are the levels of review and recommendations on the candidate in the promotion and tenure process. In units having departments/divisions, the first review of recommendation shall be by the departmental/divisional promotion and tenure committee. In absence of departments/divisions, the first review is by the college/school promotion and tenure committee, which shall transmit its recommendations to the dean of the school or college. If the candidate is a department chair then the chair review step in the review process will be removed.
  
  In the process described below, the “independent written evaluation and recommendation” shall mean that the reviewers identified have considered the information in the candidate’s dossier and any additional information solicited as described below and made their own assessment based on that information.
  1. Review by department/division promotion and tenure committee (In absence of departments/divisions, the first review is by the college/school promotion and tenure committee)
    (1) The department/division promotion and tenure committee shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) )The critical question to be addressed during review is the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The department/division promotion and tenure committee shall review the candidate’s dossier. The committee also may solicit additional information pertinent to answering the critical question in A.2.a.1.i above.
    (iii) The department/division promotion and tenure committee shall solicit input on the candidate from all of the members of the department at or above the promotion rank being sought.
    (iv) The department/division promotion and tenure committee shall ensure adherence to the university- wide standards described in section B Policies.
    
    (2) The department/division promotion and tenure committee shall then provide its written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The department/division promotion and tenure committee shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the department/division promotion and tenure committee will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  2. Review by the Department/Division Chair (In absence of departments/divisions, the first review is by the college/school promotion and tenure committee)
    (1) The department chair shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) The critical question to be addressed during review is the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The department chair shall review the candidate’s dossier. The chair also may solicit additional information pertinent to answering the critical question in A.2.b.1.i above.
    (iii) The department chair shall ensure adherence to the university-wide standards described in section B Policies.
    
    (2) The department chair shall then provide the chair’s written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The department chair shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the department chair will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  3. Review by the college/school promotion and tenure committee
    (1) The college/school promotion and tenure committee shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) The critical question to be addressed during review is the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The college/school promotion and tenure committee shall review the candidate’s dossier. The committee also may solicit additional information pertinent to answering the critical question in A.2.c.1.i above.
    (iii) The college/school promotion and tenure committee shall ensure adherence to the university-wide standards described in section B Policies.
    
    (2) The college/school promotion and tenure committee shall then provide its written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The college/school promotion and tenure committee shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the college/school promotion and tenure committee will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  4. Review by the School or College Dean or Director
    (1) The school or college dean shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) The critical question to be addressed during review is the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The school or college dean shall review the candidate’s dossier. The dean also may solicit additional information pertinent to answering the critical question in A.2.d.1.i above.
    (iii) The dean shall ensure adherence to the university- wide standards described in section B Policies.
    
    (2) The school or college dean shall then provide the dean’s written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The school or college dean shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the school or college dean will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  5. Review by the campus promotion and tenure committee
    (1) The campus promotion and tenure committee shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) The critical questions to be addressed during review are the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The campus promotion and tenure committee shall review the candidate’s dossier. It also may solicit additional information pertinent to answering the critical question in A.2.e.1.i above.
    (iii) The campus promotion and tenure committee shall ensure adherence to the university-wide standards described in section B Policies.
    
    (2) The campus promotion and tenure committee shall then provide its written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The campus promotion and tenure committee shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the campus promotion and tenure committee will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  6. Review by Provost
    (1) The provost shall provide an independent written evaluation and recommendation on the candidate.
    
    (i) The critical questions to be addressed during review are the following: Is the candidate qualified to be promoted or to be placed on continuous appointment, according to the criteria outlined in section B Policies.
    (ii) The provost shall review the candidate’s dossier. The provost also may solicit additional information pertinent to answering the critical question in A.2.f.1.i above.
    (iii) The provost shall ensure adherence to the university- wide standards described in section B Policies.
    
    (2) The provost shall then provide the provost’s written recommendation on whether or not the candidate should be promoted, placed on continuous appointment or both. The provost shall provide a copy of that written recommendation to the candidate. The candidate may submit a written response within 14 calendar days. If the recommendation is against promotion, continuous appointment or both, the response may also request reconsideration. In the event of a request for reconsideration, the provost will consider the response of the candidate, issue a written recommendation that addresses the request, and provide a copy to the candidate. The initial written recommendation, any response submitted by the candidate, and any additional written recommendation addressing a request for reconsideration will be forwarded to the next level of review.
  7. Review by the Chancellor
    (1) The chancellor is assisted in the review of recommendations for promotion and tenure by the preceding promotion and tenure committees, department chair, dean and provost. The campus committee reviews all recommendations for promotion and continuous appointment and advises the chancellor on the following matters:
    
    (i) The adequacy of the criteria used at the department, school, and college level; and
    (ii)The qualifications of the individuals recommended
    
    (2) )An annual report of promotion and tenure actions approved by the chancellor shall be submitted by the chancellor to the president.
3. Evaluation and Notification Process
  1. In the promotion and continuous appointment process, the final decisions are made by the chancellor. Recommendations by committees, chairpersons, deans, and the provost, are not binding on the chancellor.
  2. A negative recommendation should be made at the earliest possible time by the first level of review. To insure fair and timely review of all actions, committees, chairpersons, deans, and provosts, shall communicate their recommendations to candidates under consideration and give each candidate a reasonable time to submit written response to the recommendation so that both recommendation and response may be forwarded to the next level of review.
Policies
1. General Philosophy—As one of the nation’s leading teaching and research institutions, the ��ϲʹ�� maintains high standards in recruiting, promoting, and awarding tenure to faculty members. Each unit shall define and publish its promotion and tenure criteria and ensure that faculty are advised on the criteria on a regular basis. The unit standards must meet the broader university-wide standards described in this section. While specific criteria for judging the merits of individual faculty may vary among units, there must be no variation in standards. The University will continue to strengthen its standards in all disciplines. Satisfaction of minimum criteria at the college, school, or department levels is not sufficient to insure promotion or continuous appointment. The University seeks faculty members who are genuinely creative scholars and inspired teachers and who are dedicated to the pursuit of knowledge and its transmission to others. These high standards are to be observed in the recruitment, promotion, and tenuring of faculty members. All persons and committees making recommendations regarding promotion and tenure will consider the candidate’s demonstrated ability to meet these standards.
  Outstanding intellectual qualities as reflected in teaching and scholarly and creative contributions are the primary criteria for recommendation for promotion and tenure. Additional criteria include professionally-oriented, service contributions and service to a faculty member’s department, school, college, and the University. Because the faculty has a special role in the decisions of the University, service to the University and its numerous units is expected of every faculty member; but such service shall not substitute for teaching and scholarship in matters of promotion and tenure.
2. Special Policy Considerations
  1. Sustained Contributions Essential—The essential factors in consideration of candidates for promotion and tenure will be documented merit in the traditional areas of teaching, research, and service and the degree to which contributions are comprehensively substantiated and represent sustained efforts. Candidates for promotion and tenure should demonstrate sustained merit and contributions over an extended period of time. Recommendations for promotion and/or tenure before the sixth year should be rare and restricted to truly exceptional cases. Early recommendations for promotion and/or tenure should not be made primarily on the basis of market conditions which make it appear that a faculty member might accept an offer elsewhere.
  2. The Role of Research and Other Scholarly and Creative Contributions— Productivity in research and other scholarly activities is the most distinguishing characteristic of the faculty of the University, setting it apart from all other public institutions in the state. Research by University faculty not only generates new knowledge but also results in teaching which is up-to-date and intellectually stimulating. The University expects faculty members to be engaged in scholarly or creative contributions appropriate to their disciplines. Recommendations for promotion or tenure involving cases in which such activities are not at the highest level will be approved only in very rare cases where the documented evidence for teaching (including extension) and/or service contributions is exceptionally compelling.
    A recommendation for promotion and/or tenure must include supporting evidence that the individual’s contributions have had an impact on the discipline; that is, the research should have made a significant contribution to knowledge, understanding, wisdom and appreciation that is recognized by professional colleagues. One common method of documenting such impact is through outside evaluations by authorities in the field. The most relevant letters of evaluation usually are written by disinterested experts recognized nationally and internationally for their own achievements. Because they may be biased, letters from former students, departmental colleagues, research collaborators, or former mentors should be used sparingly; when such letters are submitted, an explanation of the personal relationship should be included. Evidence of effective and sustained research and creativity must be presented. Quantity can be a consideration but quality must be the primary one.
    
    Evidence of favorable judgment by peers includes scholarly and creative contributions such as publication in journals where expert evaluation is required for acceptance; favorable review of books, critically-acclaimed and well- reviewed performances and exhibitions, appointments or awards that require evaluation of professional competence; election to office in learned societies; and receipt of fellowships. Frequent citation by other scholars also provides evidence of good research. Good researchers often are invited to serve as editors of journals, members of site visit teams or in other evaluative functions of the scholarly work of their peers. Any evidence of such contributions should be emphasized in promotion and tenure recommendations. Research grants awarded, programs initiated, and other research in progress or research findings submitted for publication all represent activities that are expected of faculty members recommended for promotion and/or tenure. Although faculty committees on promotion and tenure have the first responsibility for evaluating the quality of the work of a candidate for tenure or promotion, it is within the scope of the department chairpersons’, deans’, vice chancellors’/provost’s, and chancellor’s responsibilities to gather confirming evidence of scholarly competence by seeking the comments of other scholars within and outside the University.
  3. The Role of Teaching, including Extension—Teaching includes, besides classroom and laboratory instruction, many activities that require professional expertise and that directly contribute to the academic advancement of students; for example: academic advising, supervision of junior staff, innovative redesign of courses, including courses offered through telecommunications and the Internet; liaison with teachers outside the University, off-campus teaching, and preparation of teaching materials, including textbooks.
    Teaching of all faculty members shall be evaluated annually. Among the most useful kinds of evaluative evidence are testimony of chairpersons and deans, especially when based on student interviews covering several semesters, comments of colleagues who are well acquainted with the teaching performance of the candidate, achievement of students, and the quality of teaching materials prepared by the staff member. Evaluations based on classroom visitations by departmental peers can help to document the teacher’s efforts to reach or maintain a given level of quality.
    
    A significant element in the evaluation of teaching is the overall judgment of students, and each unit, department, school, and college is responsible for obtaining such information on all faculty members, particularly those recommended for promotion. Questionnaires developed at the college or school level in cooperation with the faculty committees on promotion and tenure may be used for this purpose, or a similar procedure can be followed which is designed to reflect comprehensive student judgment concerning teaching qualities. Data from questionnaires should be buttressed by interpretation and comparative data. Simple numerical summaries of evaluations are not sufficient to judge teaching ability. Faculty members whose records consistently reflect poor teaching will normally not be recommended for promotion.
    
    Other indicators may be used to point out good teaching. Good teachers receive public recognition in a variety of ways. Students, both individually and through organizations, seek them out more often. Such teachers make more innovative contributions in courses, sometimes whole curricula. Their students demonstrate achievement in learning. They often serve on more student activity committees and carry heavier advising loads. They are known for their enthusiasm and involvement in the education of students. Evidence which documents such contributions is strongly encouraged.
    
    Extension and continuing education activities represent an extension of the teaching and research functions of the institution. Faculty engaged in this mission will be evaluated by the same criteria applied to other faculty. Outstanding performance in extension leads to special recognition of faculty by groups, individuals, and organizations. These faculty members develop innovative curricula, adapt research findings to everyday needs of citizens, serve on committees and boards, and use innovative ways of enhancing learning by part-time students. They are sought out by others for advice and counsel and are known for their enthusiasm, competence and interest in helping individuals solve problems and learn.
    
    In unusual circumstances, tenure may be recommended for demonstrated excellence in teaching, even in the absence of significant published research. Qualifications for teaching and scholarship are, however, very closely related. The faculty member who does not keep current with developing expertise in the field or who is not constantly searching for new insights cannot be an effective classroom teacher. Graduate as well as undergraduate instruction is a responsibility of the faculty of the University; a continuing interest in, and a capacity for, scholarly and creative contributions by a faculty member is essential to effective instruction for undergraduate as well as graduate students. A faculty member who lacks the qualifications to teach advanced students ordinarily will not be recommended for promotion to senior ranks.
  4. The Role of Service—Opportunities for service contributions abound and can take many forms. Service may occur within a discipline, through national, regional, and state organizations, or in the community at large; it may also occur in an administrative unit, such as the home department, school, or college, or on the campus. However, an uncritical list of such activities provides little support for the recommendations. A case should be made for the impact and quality of the individual’s contributions. There should be evidence that the individual’s efforts and judgment are held in high regard. Evidence of unusual service contributions, however, cannot by itself be sufficient grounds for a recommendation for promotion and/or tenure. It must be supported by significant additional evidence of contributions in teaching and research.
  5. Importance of New Talent—Recruitment and subsequent development of new faculty members are important ways in which an educational institution renews itself. Fresh ideas and new perspectives provide the stimulation on which a university thrives, and every effort should be made to secure them through the recruitment, development, and evaluation processes. Departments which recruit their own graduates for regular faculty positions risk making a commitment which is inimical to the long-range interests of the department and, hence, the University. Such appointments should be discouraged; and in those cases where such appointments have been made, the tenure and promotion documentation should demonstrate clearly that the individual meets the University’s standard criteria.
  6. Promotion to Professor—A person recommended for promotion to the rank of professor should have significant accomplishments, especially in the area of research and scholarly and creative contributions, beyond those justifying the rank of associate professor. Years of service alone do not justify advancement. Rather, sustained contributions during a career to research, scholarly and creative contributions and teaching are necessary. A person to be considered for promotion to professor should be a scholar who has achieved national distinction.
  7. Persons with Special Duties—In some cases, individuals on regular academic appointments have responsibilities substantially different from the usual mix of teaching and research duties (including extension). Campuses should examine such cases and seek where appropriate to change the appointment to nonregular or to administrative, service, and support. Such persons should not normally be considered for continuous academic appointment.
Statement of Nondiscrimination
The ��ϲʹ�� prohibits discrimination on the basis of race, color, national origin, ancestry, religion, sex, pregnancy, sexual orientation, gender identity, gender expression, age, genetic information, disability, protected veteran status, and any other status protected by applicable state or federal law. The University's nondiscrimination policy applies to any phase of its employment process, including decisions regarding tenure and promotion.

320.040 Nepotism

kuscheld — Wed, 26 May 2010 22:40:19 +0000

320.040 Nepotism kuscheld Wed, 05/26/2010 - 22:40

Bd. Min. 2-14-57, p. 10,425; Bd. Min. 6-5-63, p. 22,810, Amended Bd. Min. 7-25-97; Revised 10-1-98, Amended 10-21-11; Amended 7-28-20; Amended 11-16-23.

Relatives of Curators Not to be Employed -- No person who is related by blood or marriage to any current member of the Board of Curators shall be appointed to any position in the university as officer, member of any faculty oremployee during the time such curator is a member of the Board of Curators. Further, no member of the Board of Curators, during the time such curator is a member of the Board of Curators, shall participate in, advocate for or influence in any way the hiring or appointment of any person as an employee at any level of the University or any affiliated entity at any level who is related by blood or marriage to any current member of the Board of Curators within the fourth degree by consanguinity or affinity. No exceptions shall be made to this rule.
Employees Not to Hire or Appoint Relatives -- No employee of the University shall hire or appoint an individual who is related by blood or marriage within the fourth degree by consanguinity or affinity to the employee making the decision to hire or appoint. No exceptions shall be made to this rule.
Restrictions on being Administrative Superior to Relatives—Notwithstanding any other provision of University policy inconsistent herewith and even though the prohibitions found in Section 320.040A and Section 320.040B above have been complied with, no employee of the University shall be the Administrative Superior of an individual who is related by blood or marriage within the fourth degree by consanguinity or affinity to that employee.
No Other Restrictions on Employment of Relatives—Other than the restrictions found in Section 320.040A, Section 320.040B and Section 320.040C above, the University imposes no restrictions on the employment of relatives who have been hired or appointed pursuant to normal University human resources and equal employment opportunity policies.
Definitions -- For the purpose of interpreting and applying the provisions of Section 320.040, the following terms shall have the following meanings:
1. Relatives by Blood or Marriage
  1. Relatives by Blood Within the Fourth Degree -- A person is related by blood (consanguinity) as closely as the fourth degree to the following: children; grandchildren; great-grandchildren; great-great-grandchildren; parents; grandparents; great-grandparents; great-great-grandparents; brothers and sisters; nephews; grand nephews; nieces; grand nieces; uncles; grand uncles; aunts; grand aunts; and first cousins.
  2. Relatives by Marriage With the Fourth Degree -- A person is related by marriage (affinity) as closely as the fourth degree to that person's spouse and to the spouse's following blood relatives: children; grandchildren; great-grandchildren; great-great-grandchildren; parents; grandparents; great-grandparents; great-great-grandparents; brothers and sisters; nephews; grand nephews; nieces; grand nieces; uncles; grand uncles; aunts; grand aunts; and first cousins.
  3. Other Persons Considered as Relatives -- The half-blood shall be considered the same as the whole blood. Stepchildren, stepparents, etc., shall be considered the same as blood relatives of the person or the person's spouse as the case may be. An in loco parentis relationship shall be considered the same as a blood relationship to the person or the person's spouse as the case may be.
2. Employees -- The term "employees" shall include officers, academic staff members, and all other employees of the University.
3. Administrative Superior -- An "Administrative Superior" is any employee of the University who has responsibility for deciding whether to appoint, promote or grant tenure; who has the responsibility for recommending whether to appoint, promote or grant tenure; who has the responsibility for setting or approving the salary or deciding whether to increase the salary of another University employee; or who has the responsibility for recommending the salary, recommending approval of the salary or recommending whether to increase the salary of another University employee. The term Administrative Superior includes faculty and staff members responsible for making recommendations, whether such recommendation is made individually, is made as a member of a committee, or is made collectively with others. The term is not limited to upper levels of University administration, but includes a University employee at any level who has any of the responsibilities described in the first two sentences of Section 320.040E.3.
4. Immediate Supervisor—An “Immediate Supervisor” is an employee’s direct supervisor.
Full Disclosure Required-- In any circumstance in which an individual who is an Administrative Superior becomes aware of being in a position in which performance of regular duties with regard to a University employee would cause this nepotism policy to be violated, such individual has an obligation to fully disclose the circumstances to the individual's Immediate Supervisor and to cooperate with such Immediate Supervisor in being removed from any involvement in those activities prohibited by this policy and which are related to any person who is related by blood or marriage within the fourth degree by consanguinity or affinity to such Administrative Superior.
Consequences of Violations--A violation of this policy, regardless of the manner in which it is brought to the attention of the University, may lead to disciplinary action as appropriate, up to and including termination of employment in the most serious circumstances, following appropriate processes for such discipline.

320.050 Employee Status

kuscheld — Wed, 26 May 2010 22:41:00 +0000

320.050 Employee Status kuscheld Wed, 05/26/2010 - 22:41

Bd. Min. 2-27-76; Amended 9-26-97; Amended Bd. Min. 10-17-03; Amended 4-03-09; Amended 6-14-13; Amended 12-11-14; Amended Bd. Min. 9-26-19.

Academic Staff Appointment: There are two categories of Academic Staff appointments, Regular and Nonregular, as defined by Section 310.020 of the Collected Rules and Regulations (CRR). For the purposes of Section 320.050 of the CRR, the status of Academic Staff appointments is based on the terms of the employment relationship with the University, and both Regular and Nonregular academic staff employees may be either a Fully Benefit Eligible Employee or a Variable Hour Employee as determined by the definitions below:
1. Fully Benefit Eligible Academic Appointment: A University employee with an Academic Staff appointment that is at least 75 percent full time equivalent (FTE) and with indicated appointment duration of at least nine months. Individuals who are simultaneously employed by the University and the Harry S. Truman Veterans Administration Hospital, pursuant to an agreement between said organizations, where the total combined appointments are greater than 75 percent FTE, but the University portion of the appointment is less than 75 percent FTE, are considered Fully Benefit Eligible except for the purpose of participation in a ��ϲʹ�� retirement plan.
2. Variable Hour Employee: A University employee with an Academic Staff appointment that does not meet the definition of Fully Benefit Eligible above or the definition of Regular Employee (Administrative, Service and Support Staff) below, or the definition of Student Employee below.
Administrative, Service and Support Staff: The following provisions defining Regular Employee, Variable Hour Employee, Nonregular Employee and Per Diem Employee are in effect for all Administrative, Service and Support Staff employees, unless specifically exempted by policy.
1. Regular Employee: A University employee with an Administrative, Service and Support Staff appointment that is at least 75 percent FTE with an appointment duration of at least nine months.
2. Variable Hour Employee: An employee that does not have an Academic Staff Appointment that meets the definition of Fully Benefit Eligible Academic Appointment above or the definition of Regular Employee (Administrative, Service and Support Staff) above, or the definition of Student Employee below. A Variable Hour Employee in an Administrative, Service and Support Staff appointment may be either a Nonregular Employee or a Per Diem Employee as defined below.
  1. Nonregular Employee: An employee that has an Administrative, Service and Support Staff appointment that does not qualify for Regular Employee status as defined above.
  2. Per Diem Employee: An employee that has an Administrative, Service and Support Staff appointment that is not a part of an operating unit's regular work schedule and is scheduled to work only on an "as needed" basis. Work may be scheduled prospectively but should be considered as "elected" by the employee. Per Diem employees are provided an hourly rate of pay following approved rate schedule(s).
Subsidiary Employee: The following provisions defining Regular Employee, Variable Hour Employee, Nonregular Employee and Per Diem Employee are in effect for all Subsidiary Employees, unless specifically exempted by policy. A "Subsidiary Employee" means an employee of a "subsidiary entity" (which is defined to mean any organization (whether or not incorporated) which is required to be aggregated with the University pursuant to sections 414(b), (c), and (m) of the Internal Revenue Code and the regulations thereunder).
1. Regular Employee: A Subsidiary Employee with an appointment that is at least 75 percent FTE with an appointment duration of at least nine months.
2. Variable Hour Employee: A Subsidiary Employee that does not meet the definition of Regular Employee (Subsidiary Employee) above. A Variable Hour Employee in a Subsidiary Employee appointment may be either a Nonregular Employee or a Per Diem Employee as defined below.
  1. Nonregular Employee: An employee that has a Subsidiary Employee appointment that does not qualify for Regular Employee status as defined above.
  2. Per Diem Employee: An employee that has a Subsidiary Employee appointment that is not a part of an operating unit's regular work schedule and is scheduled to work only on an "as needed" basis. Work may be scheduled prospectively but should be considered as "elected" by the employee. Per Diem employees are provided an hourly rate of pay following approved rate schedule(s).
Student Employees: A University employee that is enrolled as a student at the ��ϲʹ�� and whose primary association with the University is related to the pursuit of an academic program. Because academic pursuit is the primary purpose of the student role, Student Employees should not be scheduled to work more than an average of 28 hours per week across all concurrent University jobs during the measurement period [1] and should be in a student title as described in HR-204 Student Position Titles.
The President is hereby authorized, subject to approval of the language by the General Counsel, to modify the language of benefit plan documents, as necessary to make them consistent with the above revisions of Section 320.050.

[1] Measurement and Stability Periods are designated by the University in accordance with Section 4980H of the Internal Revenue Code and the regulations thereunder.

320.060 Probationary Period

kuscheld — Wed, 26 May 2010 22:41:00 +0000

320.060 Probationary Period kuscheld Wed, 05/26/2010 - 22:41

Bd. Min. 9-7-79; Amended 7-27-84; Amended 7-26-85; Amended 9-26-97; Amended 7-23-04; Amended 7-28-20.

All new regular administrative service and support employees will serve a probationary period of six months.
1. The probationary period is designed to give the University an opportunity to determine whether the employee is suitable and qualified for the work for which the employee was hired and the decision as to the employee's suitability and qualifications is the sole responsibility of the University.
2. An employee may be terminated at any time during the probationary period.
3. Employees serving in a probationary period are covered by the Grievance Procedure in the processing of grievances involving only issues of prohibited discrimination or application or interpretation of the University's Human Resources policies and procedures. Termination of employment, or disciplinary action during the probationary period is not subject to the grievance procedure.
If the employee's service during the probationary period is deemed unsatisfactory but it is felt that employment should continue in a probationary status rather than being terminated, the recommendation that the employee remain in a probationary status should be forwarded by the supervisor to the department or administrative head.
1. In all such instances, the employee must be counseled regarding the extension of the probationary period prior to the completion of six months service.
2. The employee may not remain in a probationary status for more than nine months.
3. An employee may complete the probationary period or be terminated at any time after the initial six months upon the recommendation of the supervisor and department or administrative head.
Employees who have satisfactorily completed their six-month probationary period, and who are subsequently transferred or promoted to another position must serve a qualifying period of one month in the new position.
1. If, at any time within the qualifying period, it is determined by the University that the employee is not qualified for the position or if the employee does not wish to continue in the new position, the employee will be returned to the previously held position, if available, or a comparable one in the former department, if available, or placed on a six-month leave of absence from the former department to be considered for available positions in the department and campus as they occur. If the employee does not find employment on the campus within the 6-month period, the employee will be terminated.
Employees who receive a leave of absence during the probationary period will have the probationary period extended by the length of leave of absence.

320.065 Performance Management

kuscheld — Wed, 26 May 2010 22:42:00 +0000

320.065 Performance Management kuscheld Wed, 05/26/2010 - 22:42

Bd. Min. 6-11-10; Amended 9-13-13.

A. The purposes of performance appraisals are (1) to provide a fair and equitable basis for evaluating employee performance, (2) to improve communication related to performance, (3) to clarify expectations related to the position description and the University's mission, values and goals, (4) to provide a method to recognize and reward employee performance and improve productivity and performance of the University, (5) to guide professional development by identifying employee training and development needs and (6) to serve as one of the criteria for determining salary increases.

B. Performance appraisals are mandatory for Regular administrative, service and support staff, and highly recommended for Variable Hour administrative, service and support staff. Performance appraisals must be completed on an annual basis. The employee's manager or supervisor should complete the appraisal, discuss the appraisal with the employee and provide an opportunity for feedback.

C. Completed appraisals will be retained by Human Resources. The performance appraisal process and procedures will be determined by campus Human Resources.

320.070 Academic Appointments

kuscheld — Wed, 26 May 2010 22:43:00 +0000

320.070 Academic Appointments kuscheld Wed, 05/26/2010 - 22:43

Bd. Min. 1-9-53, p. 6,185; Bd. Min. 6-7-58, p. 13,059; Bd. Min. 4-10-59, p. 14,760; Bd. Min. 3-29-68, p. 33,724; Amended Bd. Min. 3-26-82; Bd. Min. 1-27-89; Bd Min. 12-7-90; Amended Bd. Min. 10-20-94; Amended Bd. Min. 2-4-05; Amended Bd. Min. 6-17-16; Amended 2-9-17; Amended 7-28-20; Amended 4-22-21.

General Rules
1. Written Acceptance and Filing—Each academic appointee hired into a position of employment shall provide a signed acceptance of the appointment and must satisfactorily complete all screening of background and credentials required by University and unit policies. Fully executed academic appointment documents shall be filed with the hiring unit and the System Office of Human Resources prior to the effective date of the appointment. The System Office of Human Resources shall maintain records for all such appointments and send an annual report to the Secretary of the Board of Curators detailing the appointments for the academic year. The Secretary shall promptly forward the report to the Board.
2. Terms of Service—In all divisions of the four campuses of the University the term of service of faculty members is that period of time constituting the regular, two-semester academic year. However, the term of service of faculty members may be extended with the approval of the chancellor to 12 months annually with four weeks annual leave to be taken at times mutually agreeable to the faculty members and appropriate administrators, either department chairpersons, directors, or deans.
3. Appointment Records—Appointment records shall indicate whether the appointee is to be a member of the academic, non-academic, or clerical and maintenance staff—in case of academic staff, whether regular or non-regular; in case of non-academic staff, whether administrative, professional, or technical; in case of clerical and maintenance, whether clerical or maintenance.
Non-Salaried Medical Faculty—There is authorized the appointment of non-salaried professional members of the faculty of the School of Medicine with the regular academic titles of “Instructor, Assistant Professor, Associate Professor, and Professor” the title to be preceded by the word “clinical,” such appointments to be classified under the Academic Tenure Regulations.
Curators' Distinguished Professorships—That there be a category of academic appointment to be known as the Curators' Distinguished Professorships. Appointment to such positions will be covered by procedures and policies outlined below:
1. General—These are prestigious positions, and only outstanding scholars with established reputations will be considered for appointment. Therefore, it is expected that there will be few such appointments.
2. Selection—Nominations for appointment to the position of Curators' Distinguished Professor will be made by departments or disciplines which will furnish needed information, including opinions of prominent people in the field, to their respective campus administration.
  1. The campus administration will make such additional investigations as are appropriate. If the nominee is found worthy and the chancellor approves the nomination, the chancellor will forward the nomination with the chancellor's approval to the President.
  2. The President may make such investigations as deemed necessary. If the President finds the candidate worthy, the President will recommend the appointment to the Board.
3. Funding—Before the appointment is made, the President shall determine with the Chancellor the initial funding of the appointment. This funding is to include a salary supplement and an appropriate amount of research support.
4. Conditions of Appointment:
  1. Curators' Distinguished Professors should be fully integrated in the department, with such departmental responsibilities as may be determined by the chair and the appointee. However, each Curators' Distinguished Professor is a resource of the entire University and should be expected to contribute to the entire University through such activities as giving lectures on other campuses and engaging in teaching and research across divisional lines.
  2. All candidates selected for a Curators' Distinguished Professor appointment after January, 2005 will be appointed for a period of five years. Each five-year appointment may be renewed at the discretion of the Chancellor. There is no limit to the number of extensions a Curators' Distinguished Professor may be granted.
  3. The duration of the appointment for all Curators' Distinguished Professors appointed prior to January, 2005 is not term limited.
  4. No person shall hold the title Curators' Distinguished Professor while serving also in a full-time administrative position. A person on a Curators' Distinguished Professor appointment asked to assume such a position may, with approval of the Board prior to the administrative appointment, reassume the title of Curators' Distinguished Professor upon expiration of that appointment.
  5. A Curators' Distinguished Professor may, upon recommendation of the President and approval of the Board, be designated Curators' Distinguished Professor Emeritus upon retirement from the University.
Curators' Distinguished Teaching Professorships—That there be a category of academic appointment to be known as the Curators' Distinguished Teaching Professorship. Appointment to this prestigious position will be covered by procedures and policies outlined below.
1. General—These are prestigious positions and only outstanding teachers with established reputations will be considered for appointment. Therefore, it is expected that there will be few such appointments.
2. Selection—Nominations for appointment to the position of Curators' Distinguished Teaching Professor will be made by departments or disciplines which will furnish needed information to their respective campus administration, including opinions of prominent people in the discipline.
  1. The campus administration will make additional investigations as are appropriate. If the nominee is found worthy and the chancellor approves the nomination, the chancellor will forward the nomination with the chancellor's approval to the President.
  2. The President may make such investigations as deemed necessary. If the President finds the candidate worthy, the President will recommend the appointment to the Board.
3. Funding—Before the appointment is made, the President shall determine with the Chancellor the initial funding of the appointment. This funding is to include a salary supplement and an appropriate amount of support.
4. Conditions of Appointment:
  1. A Curators' Distinguished Teaching Professor should be fully integrated in the department, with such departmental responsibilities as may be determined by the chair and the appointee. However, each Curators' Distinguished Teaching Professor is a resource for the entire University through such activities as giving lectures on other campuses, assisting in improving the quality of teaching at the University, and engaging in teaching across divisional lines.
  2. All candidates selected for a Curators' Distinguished Teaching Professor appointment after January, 2005 will be appointed for a period of five years. Each five-year appointment may be renewed at the discretion of the chancellor. There is no limit to the number of extensions a Curators' Distinguished Teaching Professor may be granted.
  3. The duration of the appointment for Curators' Distinguished Teaching Professors appointed prior to January, 2005 is not term limited.
  4. No person shall hold the title, Curators' Distinguished Teaching Professor, while serving also in a full-time administrative position. A person on a Curators' Distinguished Teaching Professor appointment asked to assume such a position may, with approval of the Board prior to the administrative appointment, reassume the title of Curators' Distinguished Teaching Professor upon expiration of that appointment.
  5. A Curators' Distinguished Teaching Professor may, upon recommendation of the President and approval of the Board, be designated Curators' Distinguished Teaching Professor Emeritus upon retirement from the University.
Statement of Nondiscrimination—The ��ϲʹ�� prohibits discrimination on the basis of race, color, national origin, ancestry, religion, sex, pregnancy, sexual orientation, gender identity, gender expression, age, disability, protected veteran status, and any other status protected by applicable state or federal law. The University's nondiscrimination policy applies to any phase of its employment process, including decisions related to academic appointments.

320.080 Joint Appointments and Joint Titles

kuscheld — Wed, 26 May 2010 22:46:40 +0000

320.080 Joint Appointments and Joint Titles kuscheld Wed, 05/26/2010 - 22:46

Executive Guideline No. 9, 10-18-74.

Defined -- Joint appointments or joint titles as used herein shall mean either term or continuous appointments to at least one regular academic staff position as defined in Section 320.070 in more than one academic department, research unit, extension or other administrative unit.
Primary Position and Primary Department -- Any joint appointment or joint title now in existence or hereafter made shall have assigned one staff position as the primary position and the department or unit within which that position is situated shall be deemed to be the primary department or unit as herein defined.
1. Each current joint appointment or joint title shall be assigned a primary position by the administrative officer having direct authority over all departments or units involved in the joint appointment or joint title after receiving the recommendation of the administrative heads of the departments or units involved and shall endorse such assignment on the staff forms for the holder of the joint appointment or joint title.
2. Any new joint appointment or joint title shall be assigned a primary position at the time of such appointment by the appointing authority after receiving the recommendations of the administrative heads of the department or units involved, which shall be endorsed on the appointment or staff form creating such joint appointment or joint title.
Primary Department or Unit's Responsibilities -- The primary department or unit shall be responsible for decisions or recommendations regarding salary, promotion, leaves and other perquisites after receiving the recommendation of the other units involved and shall be responsible for securing agreement among the departments or units involved on the sharing of salary and support funds.
1. Academic Department or Unit -- If the primary department or unit and one or more involved departments or units are academic departments or units, the primary department or unit shall be responsible for decisions regarding recommendations on tenure, sabbatical leaves and other academic perquisites.
2. Non-academic Unit -- If the primary unit be non-academic, each academic department or unit involved shall be responsible for recommending to the primary unit decisions regarding tenure, sabbatical leaves and other academic perquisites, which recommendations shall be transmitted by the primary unit to the appointing authority.
Tenure -- If tenure be recommended for a position by an academic department and granted, the first such department so recommending shall thereafter be responsible for funding for or securing agreement from the appointment authority for funding of such position.