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Article 4 - Tenure

Section 4.1 Eligibility for Tenure
Section 4.2 Criteria for Tenure
Section 4.3 Tenure Guarantees
Section 4.4 Privileges and Responsibilities of Tenure
Section 4.5 The Tenure Track
Section 4.6 Tenure Committees
Section 4.7 Tenure Dossier
Section 4.8 Procedure for the Award of Tenure in the School of Medicine
Section 4.9 Procedure for the Award of Tenure in the Graduate School of Nursing
Section 4.10 Appointment with Tenure
Section 4.11 Appointment with Term Tenure
Section 4.12 Annual Performance Review (APR) of Tenured Faculty
Section 4.13 Reduction in Academic Salary of Tenured Faculty
Section 4.14 Periodic Multi-Year Review (PMYR) of Tenured Faculty
Section 4.15 Termination of Tenured Faculty

This Article describes the policies and procedures for the award of Tenure and the terms and conditions that apply to all Tenured Faculty Members at UMMS.

Section 4.1 Eligibility for Tenure

To be considered for the award of Tenure, individuals must have an appointment in the Tenure Track (Section 4.5), be eligible for Appointment with Tenure (Section 4.9), or be eligible for Appointment with Term Tenure (Section 4.10). Tenure is only awarded to Faculty Members at the rank of Associate Professor or Professor. Tenured Faculty Members may be UMMS-Employed Faculty (Section 5.2), UMMHC-Employed Faculty (Section 5.3) or Faculty Employed by a University-Approved External Foundation or Agency (Section 5.4). Professionally-Salaried UMMS-Employed Faculty (Section 5.2.a.ii) are not eligible to receive the award of Tenure.

Section 4.2 Criteria for Tenure

The award of Tenure is an acknowledgement that a Faculty Member has achieved academic excellence. Tenure is awarded by the University of Massachusetts to individuals who on review of their Tenure Dossier (Section 4.7) are judged to meet each of the following criteria:

a. Convincing evidence of, and potential for continuing “Excellence” in scholarly activity in one or more Areas of Distinction (Section 2.2) and “Excellence” in either Education (Section 2.4) or Academic Service (Section 2.5) with a minimum of “Strength” in the other, such as to demonstrate the possession of qualities appropriate to a member of the Faculty occupying a permanent position; and

b. Compelling assurance of continuing development and achievement leading to considerable further contributions to UMMS, the University of Massachusetts, and the medical/scientific profession.

Section 4.3 Tenure Guarantees

The award of Tenure at UMMS guarantees:

a. Continuing employment as an Academically-Salaried Faculty Member with an “Academic Salary” (as defined below), and subject only to termination by UMMS for “Cause” (Section 4.15) [Employment is guaranteed for a specified time period for individuals appointed with Term Tenure (Section 4.11)];

b. Academic freedom (Section 1.4) within the defined missions of UMMS; and

c. An “Academic Salary”, based on full time employment, defined as follows:

i. For a UMMS-Employed Tenured Faculty Member, Academic Salary is the individual’s annual base salary, which is defined as their total annual salary less any other additional compensation.

ii. For a UMMHC-Employed Tenured Faculty Member, Academic Salary is defined as the average annual base salary of all Tenured UMMS-Employed basic science faculty at the same rank, or the individual’s total annual base salary, whichever is lower.

iii. If an individual is not employed full time, their Academic Salary is pro-rated accordingly.

Section 4.4 Privileges and Responsibilities of Tenure

Because the award of Tenure provides the above guarantees, Tenured Faculty Members have an obligation for continuing high levels of performance in their Academic Activities. Tenured Faculty Members are also expected to provide a portion of their Academic Salary, which portion may be defined in their letter of offer and may be modified by subsequent Annual Performance Reviews (Section 5.5). Sources of funding for this portion of Academic Salary may include, but are not limited to, awards and/or scholarships; grants and/or contracts; individual Research Trust Funds (RTF); individual endowment funds; compensation for administrative, educational or other academic services; and/or Department or Non-Department Unit funds at the discretion of the chair or director.

The performance of Tenured Faculty Members is reviewed annually through the APR (Section 4.12). Unsatisfactory ratings in the APR may result in a reduction of salary (Section 4.13). Tenured Faculty Members also undergo a Periodic Multi-Year Review (Section 4.14) that assesses faculty performance over a longer time. The employment and appointment of a Tenured Faculty Member can only be terminated by UMMS for “Cause” (Section 4.15).

Section 4.5 The Tenure Track

Individuals appointed in the Tenure Track with a Probationary Period conduct Academic Activities and Scholarship (Section 2.3) in one or more Areas of Distinction (Section 2.2), engage in Educational Activities (Section 2.4), and provide Academic Service (Section 2.5) to establish an academic record to be considered for the award of Tenure.

a. Appointment in the Tenure Track. Individuals may be appointed in the Tenure Track in one of two ways:

i. Appointment at Time of Hire.  Individuals are appointed in the Tenure Track at the time of hire though the procedures for appointment (Sections 3.12 and 3.13).

ii. Transfer from the Non-Tenure Track.  Individuals may transfer from the Non-Tenure Track into the Tenure Track in the SOM on recommendation of the chair, following review by the Department Tenure Committee (or equivalent), and approval by the Dean and Provost. Individuals may transfer from the Non-Tenure Track into the Tenure Track in the GSN on recommendation of the Dean, following review by the GSN Tenure Committee, and approval by the Provost.

Individuals are appointed in the Tenure Track at the rank of Assistant Professor, Associate Professor, or Professor, according to the eligibility and criteria for these ranks (Sections 3.6–3.9). Individuals appointed in the Tenure Track must have an academic record that indicates a high likelihood that they will meet the criteria for Tenure by the end of their Probationary Period.

b. Employment Terms and Conditions.  Individuals appointed in the Tenure Track are Academically-Salaried UMMS-Employed Faculty (Section 5.2), UMMHC-Employed Faculty (Section 5.3), or Faculty Employed by a University-Approved External Foundation or Agency (Section 5.4), and are subject to the terms and conditions defined for Employed Faculty (Article 5). Appointment in the Tenure Track does not carry any assurance, explicit or implicit, of promotion or the eventual award of Tenure.

c. Probationary Period.  The Probationary Period is usually eight years from the date of initial appointment in the Tenure Track. The last year of the Probationary Period is the Tenure Decision Year during which a Faculty Member must be reviewed for the award of Tenure. The Tenure Decision Year is designated at the time of appointment in the Tenure Track by written agreement between the Faculty Member and, as applicable, the chair, dean, and Provost. If the length of the Probationary Period is changed (Sections 4.5.d, 4.5.e), a new Tenure Decision Year is designated.

d. Early Tenure. A Faculty Member may be considered for the award of Tenure prior to their designated Tenure Decision Year by written agreement between the Faculty Member and (as applicable) the chair, dean, and Provost. This agreement must designate a new Tenure Decision Year.

e. Extension of the Probationary Period.  A Faculty Member may submit a written request to extend the Probationary Period at any time prior to the start of the Faculty Member’s Tenure Decision Year. In the SOM, the request is submitted to the chair; in the GSN, the request is submitted to the GSN Dean. An extension may be requested in the following circumstances:

i. When the individual is assigned clinical, educational and/or administrative duties that total more than 25% of their time and effort;

ii. When the individual is granted an approved leave with or without pay (Section 5.7 and 5.8);

iii. When the individual temporarily transfers from full-time to part-time employment; or

iv. In other compelling circumstances, as determined in the sole discretion of the Provost.

Extensions are usually requested in increments of 1–2 years but multiple or longer extensions may be requested. The Probationary Period including all extensions must not exceed a total of 12 years.

The chair or GSN Dean reviews the request and, if approved, makes a recommendation to the SOM Dean and Provost (as applicable). If the Provost approves the request, a new Tenure Decision Year is confirmed by written agreement between the Faculty Member and, as applicable, the chair, dean, and Provost. Subject to the terms and conditions listed above, a Faculty Member’s request for an extension must not be unreasonably refused and must not adversely affect the final tenure decision.

f. Transfer into the Non-Tenure Track.  A Faculty Member may submit a written request to transfer from the Tenure Track into the Non-Tenure Track. In the SOM the request is submitted to the chair; in the GSN the request is submitted to the GSN Dean. The chair or GSN Dean reviews the request and, if approved, makes a recommendation to the SOM Dean and Provost (as applicable). If the Provost approves the request, the transfer is made by written agreement between the Faculty Member and, as applicable, the chair, dean, and Provost.

A Faculty Member who has transferred out of the Tenure Track may submit a written request to the chair or GSN Dean to transfer back into the Tenure Track. The chair or GSN Dean reviews the request and, if approved, makes a recommendation to the SOM Dean and Provost (as applicable). If the Provost approves the request, the transfer and designation of the Tenure Decision Year is confirmed by written agreement between the Faculty Member and, as applicable, the chair, dean, and Provost.

g. Promotion.  A Faculty Member may be promoted during the Probationary Period prior to the award of Tenure according to the specific criteria for promotion of Faculty Members in the Tenure Track (Sections 3.8.c and 3.9.c) and procedure for promotion (Sections 3.12 and 3.13). Individuals must be at the rank of Associate Professor or Professor to be considered for the award of Tenure.

h. Mini-Tenure Review. A Faculty Member appointed in the Tenure Track with a Probationary Period must receive a formative evaluation of their progress toward the award of Tenure during the fourth year of their Probationary Period (“Mini-Tenure Review”). This evaluation is not included in the Tenure Dossier and does not affect review of the candidate for the award of Tenure, either positively or adversely.

A Mini-Tenure Review is conducted in the SOM by the chair and Department Tenured Faculty (in the GSN by the Dean and GSN Tenured Faculty), and, if applicable, the director of a Non-Department Unit. If the Department or the GSN has fewer than five Tenured Faculty Members, the chair or GSN Dean, in consultation with the candidate, appoints Tenured Faculty Members from other Departments or Schools so as to provide at least five reviewers.

On notification by the Provost’s designee for faculty affairs, a Faculty Member submits to the chair or GSN Dean a curriculum vitae and any other materials that the Faculty Member believes are relevant to their progress toward meeting the criteria for Tenure (Section 4.2). The chair or GSN Dean, the Tenured Faculty Members, and, as applicable, the director of a Non-Department Unit, review the Faculty Member’s materials, and provide a written evaluation of the Faculty Member’s progress toward meeting the criteria for Tenure and suggestions that might facilitate the award of Tenure. The chair or GSN Dean meets with the Faculty Member to discuss the evaluation. A copy of the evaluation is provided to the Faculty Member and is submitted to the Provost’s designee for faculty affairs.

Section 4.6 Tenure Committees

a. Department Tenure Committee.  Each Department with Faculty appointed in the Tenure Track must establish a Department Tenure Committee to review and evaluate candidates for the award of Tenure and make recommendations to the chair. The Committee members are selected by the chair and approved by a simple majority vote of the Department Faculty. The Committee should consist of at least three Tenured Faculty Members with primary appointments in the Department, preferably at the rank of Professor. Members should serve for three year terms and may serve for multiple terms. If the Department has fewer than three Tenured Faculty Members, the DPAC (Section 3.10.b), with the addition of all Tenured Department Faculty, reviews candidates for the award of Tenure. The chair cannot serve as a voting member of the Committee or participate in its deliberations. Committee decisions are made by a simple majority of the voting members present at a meeting where a quorum is declared (Section 1.7.c).

b. School Tenure Committee.Each School with Faculty appointed in the Tenure Track must establish a School Tenure Committee to review and evaluate candidates for the award of Tenure and make recommendations to the dean and Provost. The membership of the Committee, and its advising and reporting responsibilities are defined in the Bylaws of each School. Operating procedures are defined in the Bylaws of the Committee. Committee decisions are made by a simple majority of the voting members present at a meeting where a quorum is declared (Section 1.7.c). This Committee may also be involved in the Periodic Multi-Year Review of Tenured Faculty (Section 4.14) and Termination of Tenured Faculty (Section 4.15).

Section 4.7 Tenure Dossier.

The Tenure Dossier is the compilation of all materials relevant to the evaluation of a candidate for the award of Tenure. The Tenure Dossier consists of the following components:

a. Materials provided by the candidate:

i. A current curriculum vitae in the UMMS format;

ii. Evidence of effectiveness in educational activities, such as teaching evaluations;

iii. A narrative statement that describes the candidate’s scholarly activities and future goals;

iv. Up to five scholarly works that the candidate feels represent their best scholarship; and

v. Any other materials that the candidate believes are relevant for consideration.

b. Materials added through the procedures for the Award of Tenure (Sections 4.8 and 4.9):

i. Letters of evaluation (Section 4.8.b) and a list of the individuals solicited for letters;

ii. Written recommendation by the Department Tenure Committee (SOM only; Section 4.8.c);

iii. Written recommendation by the chair of the candidate’s primary department (SOM only; Section 4.8.d); and

iv. Written recommendations by others (chairs, the GSN Dean, or directors of Non-Department Units, as applicable; Section 4.8.d).

Such materials, including the identity of letter writers and ad hoc reviewers, are considered confidential, are only used in the review of the candidate for tenure, and must not be communicated to the candidate (Section 1.7.b).

Section 4.8 Procedure for the Award of Tenure in the School of Medicine

This procedure applies to all candidates who are considered for the award of Tenure in the SOM. The review of the candidate's qualifications for tenure is based on relevant activities over the entire course of their academic career.

a. Initiation of Procedure.  At least three months before the start of the candidate’s Tenure Decision Year, the chair requests the candidate to submit the following:

                    i.      Materials to be included in the candidate’s Tenure Dossier (Section 4.7.a): curriculum vitae, evidence of educational effectiveness, narrative statement, scholarly works, and any other relevant materials;

                   ii.      A list of individuals to be considered for solicitation of letters of evaluation (Section 4.8.b); and

                 iii.      A list of individuals (UMMS and non-UMMS) to be considered as ad hoc reviewers (Section 4.8.f.iii). Individuals who write letters of evaluation cannot serve as ad hoc reviewers.

                 iv.      Optional: a list, with a written justification, of individuals, including voting members of the School Tenure Committee, whom the candidate feels may have a real or perceived conflict of interest or bias in the evaluation of the candidate.

b. Letters of Evaluation.Letters of evaluation provide information for the evaluation of a candidate’s contributions, achievements, and academic reputation. The chair selects the individuals to be solicited for letters of evaluation. In selecting these individuals, the chair must take into consideration the lists of individuals provided by the candidate. The chair may add or subtract individuals as they deem appropriate but must include at least two individuals proposed by the candidate. The chair or their designee solicits the letters, which are added to the candidate’s Tenure Dossier. All letters received must be included in the Tenure Dossier, which must also include a list of all individuals solicited for letters of evaluation. Letters of evaluation are categorized as follows:

i. Category 1.  Letters (no defined number) may be from any individual who can attest to the candidate’s qualifications. Such individuals may be UMMS Faculty Members, colleagues at the same or previous institution, or past or present mentors, supervisors or collaborators.

ii. Category 2.  At least five (5) letters must be from individuals who are not UMMS Faculty Members. Such individuals should not have a personal and/or professional relationship with the candidate that suggests a real or perceived conflict of interest or bias in evaluating the candidate. For example, the individual should not be a personal friend or relative, a close colleague at the same or previous institution, or a past or present mentor, supervisor or collaborator (as demonstrated by co-authored papers or joint funding).

iii. Category 3.  Optional: letters (no defined number) attesting to the candidate’s effectiveness in their educational activities may be solicited from students, trainees and/or mentees proposed by the candidate.

c. Department Review.  The Department Tenure Committee reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure (Section 4.2). The recommendation is reached by a simple majority vote of the Committee, conducted by secret ballot of the voting members present. The recommendation, which must include the vote tally and the names of Committee members participating in the vote, is added to the Tenure Dossier.

d. Chair Review.  The chair reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure. The recommendation is added to the Tenure Dossier, which the chair submits to the Provost’s designee for faculty affairs. For a candidate who has a joint or secondary appointment in another Department or in the GSN, or who has a position in a Non-Department Unit, the chair, GSN Dean or director of the Non-Department Unit must either co-sign the chair’s recommendation or provide a separate written recommendation for or against the award of Tenure. The chair must inform the candidate of their recommendation and the recommendation of the Department Tenure Committee prior to submission of the candidate’s Tenure Dossier to the Provost’s designee for faculty affairs. The chair also informs the candidate of subsequent recommendations and decisions.

e. School Tenure Committee Review. The Provost’s designee for faculty affairs determines the completeness of the candidate’s Tenure Dossier and submits the Tenure Dossier to the School Tenure Committee.

i. Conflict of Interest. School Tenure Committee members who have voted in the Department review of the candidate may participate in the Committee review but are not allowed to vote. Individuals who have a real or perceived conflict of interest or bias (Section 1.7.a), as determined by the Chair(s) of the School Tenure Committee, are excused from participation in the review of the candidate.

ii. Preliminary Review. The School Tenure Committee conducts a preliminary review of the candidate’s Tenure Dossier, in order to identify and request any additional information deemed necessary by the Committee. Such requests are managed by the Provost’s designee for faculty affairs.

iii. Selection of Ad Hoc Reviewers.  The School Tenure Committee selects up to three individuals to serve as ad hoc voting members of the Committee in the review of the candidate. The ad hoc members must have an appropriate level of professional accomplishment and expertise in the candidate's field to evaluate the candidate, must hold tenure or its equivalent, and must be able to provide unbiased assessments. At least one ad hoc member must not be a UMMS Faculty Member.

In selecting ad hoc members, the School Tenure Committee must take into consideration individuals whom the candidate has proposed as ad hoc members (Section 4.8.a.iii), as well as those identified as having a real or perceived conflict of interest or bias in the review of the candidate (Section 4.8.a.iv).

For candidates who at the time of their initial hire are considered for Appointment with Tenure (Section 4.10) or Appointment with Term Tenure (Section 4.11), the School Tenure Committee may select up to two Tenured members of the Search Committee for the candidate to serve as ad hoc members of the School Tenure Committee; in which case, the requirement for an external ad hoc School Tenure Committee member is waived.

iv. Formal Review.  The School Tenure Committee, including the ad hoc members, reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure. The recommendation is determined by a simple majority vote of the voting members of the Committee present, conducted by secret ballot. The Committee chair submits the recommendation, which must include the vote tally and the names of Committee members participating in the vote, to the Provost’s designee for faculty affairs, who adds the recommendation to the candidate’s Tenure Dossier.

The Provost’s designee for faculty affairs informs the Department chair of the recommendation of the School Tenure Committee. If the Committee’s recommendation is contrary to the chair’s recommendation, the chair may provide clarification or additional information for the candidate’s Tenure Dossier, which the Provost’s designee for faculty affairs submits to the School Tenure Committee. The Committee reviews the Tenure Dossier with the additional information and submits to the Provost’s designee for faculty affairs a second written recommendation either confirming or altering the original recommendation. The Provost’s designee for faculty affairs informs the chair of the Committee’s recommendation.

f. Dean Review.  The Dean reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure. The recommendation is added to the Tenure Dossier.

If the Dean intends to make a recommendation different from that of the School Tenure Committee, then the Dean must first meet with the School Tenure Committee for consultation to provide an opportunity for full and candid discussion of the divergent recommendations, following which the Dean makes a written recommendation.

If the positions of Dean and Provost are held by the same individual, the Provost’s designee for faculty affairs submits the candidate’s Tenure Dossier to the Chancellor for review (Section 4.7.h). Otherwise, the Provost’s designee for faculty affairs submits the Tenure Dossier to the Provost for review.

g. Provost Review.  The Provost reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure. The recommendation is added to the Tenure Dossier, which the Provost’s designee for faculty affairs submits to the Chancellor.

h. Chancellor Review.  The Chancellor reviews the candidate’s Tenure Dossier and provides a written recommendation for or against the award of Tenure based on the criteria for Tenure. The recommendation is added to the Tenure Dossier and the Provost’s designee for faculty affairs informs the chair of the Chancellor’s recommendation.

If the Chancellor supports the award of Tenure, the Chancellor submits the candidate’s Tenure Dossier to the President of the University of Massachusetts System. If the Chancellor does not support the award of Tenure, the Chancellor informs the Provost, Dean and chair, and notifies the candidate in writing that the award of Tenure has been denied and that their position in the Tenure Track will terminate one year from the date of notification of denial of Tenure.

i. Disposition by President.  The President of the University of Massachusetts System, acting in accordance with the responsibilities defined in Section 1.1, reviews the candidate’s Tenure Dossier and decides whether or not to award Tenure. The decision to award Tenure is made by the President with the concurrence of the Board of Trustees.

Prior to a negative decision that would be contrary to the recommendation of the Chancellor, the President must invite the Chancellor to provide additional information for the Tenure Dossier or to further explain the recommendation. If the President decides not to award Tenure, they inform the Chancellor, who notifies the candidate in writing that the award of Tenure has been denied and that their position in the Tenure Track will terminate one year from the date of notification of denial of Tenure.

j. Withdrawal from Candidacy.  A candidate in the Tenure Track may submit a written request to the chair at any time during their Tenure Decision Year to withdraw their candidacy for the award of Tenure. If the chair approves the request, they notify the candidate in writing that their position in the Tenure Track will terminate one year from the date of withdrawal from candidacy.

k. Transfer into the Non-Tenure Track.  A Faculty Member who has withdrawn from candidacy for Tenure or who has been denied the award of Tenure may request transfer into the Non-Tenure Track (Section 4.5.f) during the one-year period of notice of termination of their position in the Tenure Track. Such transfers are not automatic and require approval of the chair, SOM Dean or GSN Dean (as applicable), and Provost.

Section 4.9 Procedure for the Award of Tenure in the Graduate School of Nursing (GSN)

Faculty Members with primary appointments in the GSN are reviewed for the award of Tenure by the same procedure as described for the School of Medicine (Section 4.8) with the following differences:

a. The GSN Dean and/or their designee performs the actions described for the chair in Section 4.8. There is no department Tenure Committee or chair review.

b. The GSN Dean and/or their designee submits the candidate’s Tenure Dossier to the Provost’s designee for faculty affairs who reviews the Dossier for completeness.

c. The Provost’s designee for faculty affairs submits the candidate’s Tenure Dossier to the GSN Tenure Committee. The Committee makes a written recommendation for or against the award of Tenure based on the criteria for Tenure (Section 4.8.e).

d. The GSN Dean reviews the candidate’s Tenure Dossier and makes a written recommendation for or against the award of Tenure based on the criteria for Tenure (Section 4.8.f). If the Dean intends to make a recommendation different from that of the GSN Tenure Committee, then the Dean must first meet with the GSN Tenure Committee for consultation to provide an opportunity for full and candid discussion of the divergent recommendations, following which the Dean makes their written recommendation.

Subsequent actions are as described for the School of Medicine (Sections 4.8.g–k).

Section 4.10 Appointment with Tenure

a. Eligibility.  Usually, Appointment with Tenure is limited to individuals who hold tenure (or its equivalent) at another institution. Individuals who are not Tenured, including UMMS Faculty in the Non-Tenure Track, may be considered for Appointment with Tenure, subject to the availability of a Tenure position approved by the dean and Provost.

b. Procedure.  Individuals are proposed for Appointment with Tenure on recommendation by the chair or GSN Dean (as applicable) and approval through the procedures for appointment (Sections 3.12 and 3.13) and for the award of Tenure (Sections 4.8 and 4.9). If the individual withdraws their candidacy, they may accept a position in the Non-Tenure Track or in the Tenure Track with a Probationary Period or they may resign their position. If the individual is denied Tenure, they may accept a position in the Non-Tenure Track or they may resign their position.

Section 4.11 Appointment with Term Tenure

a. Guarantees.  Appointment with Term Tenure guarantees:

i. Continuing employment as an Academically-Salaried Faculty Member with an Academic Salary for a defined period, usually seven years, subject only to termination by UMMS for “Cause” (Section 4.15) during that period;

ii. Academic freedom (Section 1.4) within the defined missions of UMMS; and

iii. Academic Salary (Section 4.3.c).

b. Eligibility.  Usually, Appointment with Term Tenure is limited to individuals who hold tenure (or its equivalent) at another institution. Individuals who are not Tenured, including UMMS Faculty in the Non-Tenure Track, may be considered for Appointment with Term Tenure, subject to the availability of a Term Tenure position approved by the dean and Provost. UMMS Faculty Members appointed in the Tenure Track with a Probationary Period are not eligible for Term Tenure.

c. Procedure.  Individuals are proposed for Appointment with Term Tenure on recommendation by the chair or GSN Dean (as applicable) and approval through the procedures for appointment (Sections 3.12 and 3.13) and for the award of Tenure (Sections 4.8 and 4.9). If the individual withdraws their candidacy, they may accept a position in the Non-Tenure Track or in the Tenure Track with a Probationary Period or they may resign their position. If the individual is denied Tenure, they may accept a position in the Non-Tenure Track or they may resign their position.

d. Extension.  A Faculty Member may submit a written request to extend their Appointment with Term Tenure for up to three years. In the SOM, the request is submitted to the chair; in the GSN, the request is submitted to the GSN Dean. The chair or GSN Dean reviews the request and, if approved, makes a recommendation to the SOM Dean and Provost (as applicable). If the Provost approves the request, the appointment is extended by written agreement between the Faculty Member and, as applicable, the chair, dean and Provost.

e. End of Term.  At the expiration of the Term Tenure appointment or if a request for extension of the appointment is not approved by the chair, dean or Provost, the individual’s employment and appointment at UMMS ends, and there is no form, measure or payment of any “notice” to the individual. Prior to termination, the individual may request transfer to the Non-Tenure Track (Section 4.5.f); such transfers are not automatic and require approval of the chair or GSN Dean, and consultation with the SOM Dean and Provost, as applicable.

Section 4.12 Annual Performance Review (APR) of Tenured Faculty

The performance of a Tenured Faculty Member is evaluated annually through the APR (Section 5.5) by the chair, director of a Non-Department Unit or dean (as applicable, Section 3.3). If a Tenured Faculty Member receives a rating of unsatisfactory in their APR, the chair, director, SOM Dean, GSN Dean or Provost (as applicable) may take a more active role in assigning tasks (such as increased administration, teaching and/or clinical activity) such that the Faculty Member could contribute at the expected level.

Section 4.13 Reduction in Academic Salary of Tenured Faculty

This procedure is invoked when a Tenured Faculty Member receives repeated ratings of unsatisfactory in their APR. The procedure must not be used to limit the Faculty Member’s academic freedom (Section 1.4), to constrain the Academic Activities of a Tenured Faculty Member, or to address the fiscal concerns of the Department, UMMS, or University of Massachusetts. The salary of a Tenured Faculty Member can only be reduced under the conditions described below.

a. Reduction in Salary.  If a Tenured Faculty Member receives ratings of unsatisfactory in their APR for any three consecutive years or for any three years in a consecutive four year period, their salary may be reduced in the following year to an amount that is 95% of their current Academic Salary. The chair, GSN Dean or director of a Non-Department Unit (as applicable) provides written notification to the Faculty Member of the amount of the salary reduction and the effective date of the reduction.

If the Faculty Member continues to receive ratings of unsatisfactory in their APR in subsequent consecutive years, their salary may be reduced further in two annual steps to amounts that are 85% and 75%, respectively, of their Academic Salary prior to any reductions. Salaries cannot be reduced below 75% of Academic Salary.

If the Faculty Member disagrees with a salary reduction the matter is brought to the Provost’s designee for faculty affairs for consultation and resolution. If there is continuing disagreement, the Faculty Member may seek resolution as defined in the Rights of Members of the Faculty in Academic Personnel Matters (Section 1.8).

b. Restoration of Salary. If a Faculty Member whose salary has been reduced receives a rating of satisfactory in their APR, their salary is restored to at least the level that existed prior to any reduction. A Faculty Member whose salary is restored is eligible to receive any general (non-merit) salary increases that occurred during the period of salary reduction.

Section 4.14 Periodic Multi-Year Review (PMYR) of Tenured Faculty

The purpose of the PMYR is to evaluate the performance and goals of Tenured Faculty Members over a longer time period than the Annual Performance Review (Section 4.12) and foster the continued professional development and high levels of performance in Academic Activities expected of the Tenured Faculty (Section 4.4). Tenured Faculty Members must be evaluated by a PMYR in the seventh academic year following either the date of award of Tenure, the most recent promotion, or the most recent PMYR.

The procedure described herein applies to the SOM. The same procedure is followed in the GSN with the exception that the actions described herein for the chair and the SOM Dean are performed by the GSN Dean and Provost, respectively.

a. PMYR Procedure. The chair conducts the PMYR for all Tenured Faculty Members with a primary appointment in their Department. If a Faculty Member holds a position in a Non-Department Unit, the chair must seek input from the director of that Unit.

i. The chair requests the Faculty Member to submit a curriculum vitae and a PMYR statement that summarizes their activities during the previous seven years and describes their long term goals (5–7 years) for scholarship, education and service, including any resources required to accomplish these goals.

ii. The chair reviews the Faculty Member’s curriculum vitae, PMYR statement, and their APRs for the previous seven years, and provides a written evaluation of the Faculty Member’s past performance and proposed long term goals. This evaluation may include needs for professional development, new initiatives or changes in direction that will benefit the Faculty Member and UMMS and foster continued high levels of performance in Academic Activities (Section 4.4).

The chair makes a decision to accept or revise the Faculty Member’s PMYR statement as follows:

a)      A decision to accept the PMYR statement is made when the chair determines that no changes in the Faculty Member’s proposed activities and goals are required in order to promote their professional progress and continued high levels of performance in Academic Activities (Section 4.4).

b)      A decision to revise the PMYR statement is made when the chair determines that changes in the Faculty Member’s proposed activities and goals are required in order to promote their professional progress and continued high levels of performance in Academic Activities (Section 4.4).

The evaluation and decision are provided to Faculty Member, who acknowledges receipt by signature and may provide a response.

If the chair decides to accept the PMYR statement, the chair forwards their evaluation and decision to the Dean and the Provost’s designee for faculty affairs, and the review is concluded.

iii. If the chair decides that the PMYR statement requires revision, the chair must meet with the Faculty Member to discuss ways to optimize the Faculty Member’s contributions through a revised PMYR statement. The Faculty Member may present any supplemental documentation of their performance at this meeting. The intent of the revision is to support and encourage the Faculty Member's continued professional development and high levels of performance in Academic Activities (Section 4.4). It must not impinge on the Faculty Member's academic freedom (Section 1.4). Opportunities for professional development may include, but are not limited to, consultation with colleagues to assist in problem areas, a change in department assignments to facilitate improvement in teaching, research or service, or a sabbatical leave.

Following this meeting, the Faculty Member submits a revised PMYR statement to the chair.

iv. The chair reviews the revised PMYR statement and decides whether or not to accept the statement.

If the chair decides to accept the revised PMYR statement, the chair forwards their decision to the Dean and the Provost’s designee for faculty affairs, and the review is concluded.

If the chair decides not to accept the revised PMYR statement, they must state their reasons in writing, and further action must be taken as described below.

b. Further Action. If the chair and Faculty Member cannot reach agreement on the PMYR statement, the chair notifies the Dean and the matter is brought to the Provost’s designee for faculty affairs for consultation and resolution.

i. Following this consultation, if the Faculty Member and chair reach agreement on the PMYR statement, the Dean is notified and the review is concluded.

If agreement is not reached, the Provost’s designee for faculty affairs refers the matter to the School Tenure Committee. The Committee reviews the Faculty Member’s curriculum vitae, PMYR statements, APRs for the previous seven years (with the agreement of the Faculty Member) and evaluations by the chair. The Committee submits a written recommendation to the Provost’s designee whether to accept or modify the revised PMYR statement. The Provost’s designee provides the Committee’s recommendation to the Faculty Member and chair.

ii. If the Faculty Member and the chair mutually accept the recommendation of the Tenure Committee, the Dean is notified and the review is concluded.

If the Faculty Member and chair do not mutually accept the recommendation of the School Tenure Committee, the matter is referred to the Dean. The Dean reviews the Faculty Member’s curriculum vitae, PMYR statements, APRs for the previous seven years, evaluations by the chair, and recommendation by the Tenure Committee. The Dean may consult with the Faculty Member and chair in making a decision. The Dean provides a written statement that defines the goals and expectations for evaluation of the Faculty Member’s performance through subsequent APRs. This statement may include a reallocation of the Faculty Member’s effort but must not impinge on their academic freedom (Section 1.4). The statement is signed by the Faculty Member and chair to acknowledge receipt. The Dean’s decision is final: no further action is taken and the review is concluded.

iii. If the Faculty Member does not agree with the Dean’s decision, the Faculty Member may seek resolution as defined in the Rights of Members of the Faculty in Academic Personnel Matters (Section 1.8).

Section 4.15 Termination of Tenured Faculty

The employment and appointment of a Tenured Faculty Member can only be terminated by UMMS for “Cause” (Section 1.9) by the procedure described herein.

a. General Actions.  With respect to the procedure described herein:

i. Conflict of Interest.  If any individual involved in this procedure has a real or perceived conflict of interest (Section 1.7.a), they must disclose same to the Provost’s designee for faculty affairs. A review must be conducted by the Chancellor or their designee to determine whether there is a conflict and, if a conflict exists, to select a replacement for the individual to serve the functions described herein.

ii. Administrative Leave.  If the Provost determines at any time that the Faculty Member may reasonably pose a threat to the campus community or patient safety, the Provost may place the Faculty Member on Administrative Leave (Section 5.8).

iii. Advisors.  The Faculty Member and Provost may each designate an individual (who may be an attorney) to serve as their “Advisor” to provide advice and support during the process. The Advisors must act only in an advisory capacity. They may accompany the Faculty Member or Provost to any meetings or hearings but must not speak on behalf of the Faculty Member or Provost or otherwise participate in any meetings or hearings.

b. Informal Resolution.  A complaint about the conduct of a Tenured Faculty Member may be brought to the Provost at any time. If the Provost determines that the complaint may constitute grounds for termination for “Cause” (Section 1.9), the Provost provides written notification of the matter to the Faculty Member and, as applicable, the chair, SOM Dean and GSN Dean, and charges the chair or GSN Dean to review the matter, meet with the Faculty member and attempt to seek a resolution. If the Faculty Member holds a position in a Non-Department Unit, the director of that Unit must also be notified by the Provost and must work with the chair or GSN Dean in seeking resolution of the matter. The chair or GSN Dean may request that the Department Tenure Committee or GSN Tenure Committee (as applicable) review the matter and provide a recommendation on resolution. The chair or GSN Dean may also seek guidance from or consult with other Faculty Members and administrators. Depending on the nature of the complaint, other UMMS Departments or offices may be obligated to review the matter and may conduct their own independent investigations.

Within 20 working days following notification by the Provost, the chair or GSN Dean must provide a written report to the Provost and the Faculty Member describing the results of efforts to seek resolution. The chair or GSN Dean must also advise if there is a proposed agreed-upon resolution, or if no resolution was able to be reached. If the Faculty Member holds a position in a Non-Department Unit, the report is also provided to the director of the Unit.

If the positions of SOM Dean and Provost are held by different individuals, the chair first submits the report to the SOM Dean. Within 10 working days of receipt, the Dean must review the report, and if a proposed resolution has been offered, add a statement whether such resolution of the matter is acceptable or not acceptable, and submit the report to the Provost.

c. Provost’s Decision on Informal Resolution.  Within 10 working days after receipt, the Provost must review the report and provide written notification to the Faculty Member and, as applicable, the chair, dean, and director of their decision as described below.

i. If the chair or GSN Dean proposes a resolution of the matter, the Provost decides whether this resolution is acceptable or not acceptable. If the Provost agrees with the proposed resolution, the matter is closed.

ii. If the Provost does not agree with the proposed resolution or if the chair or GSN Dean states that the matter could not be resolved, the Provost charges a designee to conduct an inquiry of the matter.

d. Inquiry.  On receipt of the charge by the Provost, the Provost’s designee conducts an inquiry of the matter, including, but not limited to, the following actions:

i. Conduct a fair and thorough inquiry and consider any and all relevant documentary and testimonial evidence;

ii. Request an interview with the Faculty Member and, if the Faculty Member agrees, interview the Faculty Member;

iii. Request the Provost and the Faculty Member to submit any documentary evidence and the names of any relevant witnesses;

iv. Make a good-faith effort to contact all relevant witnesses and obtain information about the matter; and

v. Compile all documentary and testimonial evidence in a “Case Record”.

Within 45 working days of receipt of the charge from the Provost, the Provost’s designee must complete a written report of the inquiry, which is included in the Case Record, and forward the Case Record to the Provost.

e. Provost’s Decision on the Inquiry.  Within 10 working days after receipt of the Case Record, the Provost must review the Case Record and determine whether or not there are sufficient grounds to support potential termination of the Faculty Member for “Cause”.

If the Provost decides that there are insufficient grounds for such termination, the matter is closed. If the Provost decides that there are sufficient grounds to support such a potential termination, the Provost charges the appropriate School Tenure Committee to convene a Hearing Committee.

The Provost provides written notification of the decision to the Faculty Member and the Provost’s designee for faculty affairs and as applicable, the chair, dean, and director of a Non-Department Unit. The Provost’s written decision is added to the Case Record. The Provost’s designee for faculty affairs provides the Faculty Member with a copy of the Case Record.

f. Selection of the Hearing Committee.  Within 20 working days after receipt of the Provost’s charge, the Hearing Committee must be selected. The Hearing Committee consists of five voting members and two alternate members, selected from the School Tenure Committee and Tenured UMMS Faculty Members as follows.

i. The Chair of the School Tenure Committee contacts the members of the Tenure Committee to determine their availability to serve on the Hearing Committee and whether they may have any real or perceived conflicts of interest (Section 1.7.a). The Chair of the School Tenure Committee may excuse individuals from service for illness, absence during the hearing period, or conflict of interest.

ii. The Chair of the School Tenure Committee selects the five voting members and the two alternate members of the Hearing Committee by random draw from the available members of the School Tenure Committee and provides the list to the Faculty Member and Provost. The Faculty Member and/or the Provost may challenge a selected individual and state the grounds for challenge. The Chair of the School Tenure Committee rules on the challenge based on the standard that the individual must be able to render a fair and impartial recommendation, especially if the individual has prior knowledge of the case and/or a personal, professional or financial relationship (excluding employment with UMMS/UMMHC) with either party (Section 1.7.a). If the Chair agrees with a challenge, the individual is removed from the list and replaced by an individual selected by random draw from the remaining available members of the Tenure Committee. The replacement individual may similarly be challenged by the Faculty Member or Provost.

iii. If there are insufficient members of the School Tenure Committee to form the Hearing Committee, individuals are selected by random draw from UMMS Tenured Faculty, not including chairs, deans, directors of Non-Department Units or other administrators. The process of selection, including the opportunity for challenge, continues until five voting members and two alternate members have been identified.

iv. The Chair of the School Tenure Committee selects by random draw the Chair of the Hearing Committee from the five voting members.

g. Scheduling of the Hearing. Once the Hearing Committee has been selected, the Hearing must be scheduled within 30 working days. The Provost’s designee for faculty affairs must inform the Faculty Member and Provost that they may submit documentary evidence, witness statements or introduce witnesses at the Hearing. If they elect to do so, they must identify and submit such evidence to the Provost’s designee for faculty affairs, no later than 10 working days prior to the date of the Hearing. The Provost’s designee for faculty affairs provides this documentation and information to the other party.

h. Conduct of the Hearing.  The Hearing is conducted as follows:

i. The Chair of the Hearing Committee is in charge of all proceedings of the Hearing. The five voting members and the two alternate members of the Hearing Committee attend all proceedings, but the alternate members are not involved in deliberations or recommendations. If a voting member of the Committee is unable to continue, the Chair of the Committee randomly selects an alternate member to serve.

ii. The two “Parties” in the Hearing are the Faculty Member and the Provost. The Faculty Member may be present at all meetings of the Committee where evidence is received or testimony heard and may be accompanied by their Advisor. The Provost may identify a Designee to represent the Provost at the Hearing; the Designee cannot be an attorney.

iii. The Hearing is closed, except for the following individuals: the Hearing Committee; the Faculty Member and their Advisor; the Provost or their Designee and their Advisor; any designated witnesses; and the individual charged to conduct the inquiry.

iv. All documentation introduced during the Hearing is included in the Case Record. The Hearing Committee is not bound by the rules of legal evidence and may admit any evidence (testimonial or documentary) that it deems to be of value to their deliberations. A recording of the Hearing must be made and a written transcript is included in the Case Record.

v. Members of the Hearing Committee may ask questions of either Party and any witness brought by either Party. The Parties are not allowed to ask questions of the other Party or cross-examine witnesses. The Hearing is conducted as described below.

a)      The Hearing Committee Chair opens the Hearing and describes the sequence and conduct of the proceedings. The Chair may be assisted, procedurally, by the Associate Vice Chancellor for Management or their designee.

b)      The individual charged with conducting the inquiry (Section 4.15.c.ii) presents and summarizes the Case Record.

c)      The Provost or their Designee may present and summarize any additional documentary evidence and testimony by witnesses, subject to the 10 day notification period (Section 4.15.g). The Provost or their Designee may also offer their view of the matter.

d)      The Faculty Member may present and summarize any documentary evidence and testimony by witnesses, subject to the 10 day notification period (Section 4.15.g). The Faculty Member may also offer their view of the matter.

e)      The Provost or their Designee may respond to matters presented by the Faculty Member.

f)       The Faculty Member may respond to matters presented by the Provost or their Designee.

g)      The Parties may present closing statements.

h)      The Hearing Committee Chair adjourns the Hearing.

i. Recommendation by the Hearing Committee.

i. Within 10 working days after the Hearing is adjourned, the Hearing Committee must determine by a majority vote of the Committee whether the alleged conduct of the Faculty Member meets the definition of termination for “Cause” (Section 1.9), supporting the Committee’s recommendation for termination, and, if so, the section(s) of the definition of “Cause” that the Faculty Member allegedly violated. The burden of proof for this determination is “by a mere preponderance of the credible evidence” submitted in the Hearing, also defined as “more probable than not”.

The Hearing Committee provides written notification of their findings and recommendation to the Provost’s designee for faculty affairs, who adds the findings and recommendation to the Case Record.

ii. If the Hearing Committee recommends not to terminate the Faculty Member, the Provost’s designee for faculty affairs provides written notification to the Faculty Member, the chair, dean, Provost and Chancellor. The proceedings are concluded.

iii. If the Hearing Committee recommends to terminate the Faculty Member, the Provost’s designee for faculty affairs provides written notification of the recommendation to the Faculty Member and the Provost. Within 10 working days of receipt of the notification, the Faculty Member may submit a written response to the Provost’s designee for faculty affairs, who adds it to the Case Record and submits the Case Record to the Chancellor.

j. Disposition by the Chancellor.If the Hearing Committee recommends to terminate the Faculty Member, the Chancellor shall review the Case Record and may consult with the Hearing Committee. The Chancellor must then take one of the following actions within 20 working days of the receipt of the Case Record.

i. If the Chancellor does not agree with the recommendation of the Hearing Committee and decides not to terminate the Faculty Member, the Chancellor provides written notification of this decision to the Faculty Member, the chair, dean, Provost, Hearing Committee, and the Provost’s designee for faculty affairs. The proceedings are concluded.

ii. If the Chancellor agrees with the recommendation of the Hearing Committee, the Chancellor makes a recommendation to terminate the Faculty Member, which is added to the Case Record and submitted to the President of the University of Massachusetts System. The Chancellor also provides written notification of their recommendation to the Faculty Member, the chair, dean, Provost, Hearing Committee, and the Provost’s designee for faculty affairs.

k. Disposition by the President.  The President of the University of Massachusetts System, acting in accordance with the responsibilities defined in Section 1.1, reviews the Case Record and decides whether or not to terminate the Tenured Faculty Member. Prior to a decision that would be contrary to the recommendation of the Chancellor, the President must invite the Chancellor to provide additional information or further explain their recommendation. The decision to terminate the Tenured Faculty Member is made by the President with the concurrence of the Board of Trustees. The decision is final.

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