Article 5 - Employed Faculty

Section 5.1 Employment and Appointment
Section 5.2 UMMS-Employed Faculty
Section 5.3 UMMHC-Employed Faculty
Section 5.4 Faculty Employed by a University-Approved External Foundation or Agency
Section 5.5 Annual Performance Review (APR)
Section 5.6 Sabbatical
Section 5.7 Voluntary Leave of Absence Without Pay
Section 5.8 Administrative Leave

This article defines the employment and appointment terms and conditions for Employed Faculty.

Section 5.1 Employment and Appointment

Employed Faculty are individuals who are primarily employed by UMMS, UMMHC, or a University-approved external foundation or agency, and who are appointed to the Faculty of UMMS. As defined in the UMW Governance Document (Doc. T03-035, as amended) and School Bylaws, Employed Faculty Members constitute the Faculty-at-Large of UMMS and the Faculty-at-Large of a School, respectively, for the purpose of voting and other rights.

The Faculty appointment of an Employed Faculty Member is contingent on continued employment by UMMS, UMMHC, or a University-approved external foundation or agency and ends coterminously with the termination of that employment, unless there is a written agreement to continue the appointment.

Section 5.2 UMMS-Employed Faculty

a. Categories of Employment.  UMMS-Employed Faculty are designated in one of two categories:

i. Academically-Salaried Faculty.  Employees of UMMS who are hired into a Faculty position to conduct Academic Activities as a primary and independent responsibility.

ii. Professionally-Salaried Faculty.  Employees of UMMS who are hired into a Faculty position to provide services to support a research, educational or clinical area. This category includes, but is not limited to, research investigators, scientists in core facilities, and individuals hired to provide services under a Department/business unit or institutional contract with an external entity, such as a federal, state or private agency.

b. Terms of Employment

i. Non-Tenured Faculty Members, including individuals appointed in the Tenure Track with a Probationary Period, serve at the pleasure of the University of Massachusetts Board of Trustees, acting by and through the President and/or Chancellor, and are considered “at-will” employees. Tenured Faculty Members have continuing employment subject only to termination for “Cause” by UMMS (Section 4.15).

ii. Terms of employment for UMMS-Employed Faculty are governed by their letter of offer, which may specify the individual’s duties and expectations, employment category, Faculty appointment (including academic rank and track), benefits, and salary; and by the policies in this APP. These employment terms may be modified in accord with policies and procedures in this APP, as may be amended, and also by subsequent written agreement between the individual and UMMS.

Some employment terms and conditions may also be addressed in applicable University of Massachusetts policies and UMMS Office of Human Resources policies.  Any conflict between these policies is resolved in the following order: this APP, applicable University of Massachusetts policies, and applicable UMMS Office of Human Resources policies. Notwithstanding the above, all terms of employment must be in accord with federal, state and local laws.

c. Recruitment.  Individuals are hired into Faculty positions in Departments, Schools or Non-Department Units. Recruitment and hiring of Faculty Members must be conducted according to UMMS procedure on Faculty Recruitment [UMMS Policy 04.05.00 Approved July 10, 2012, as amended].

d. Termination “Not For Cause”.  Employment of a Non-Tenured UMMS-Employed Faculty Member may be terminated “Not For Cause” at any time for any reason that is not unlawful, by the chair, director of a Non-Department Unit, SOM Dean, or GSN Dean (as applicable) following notification of the Provost’s designee for faculty affairs and on prior written notification to the individual with the following notice:

i. Academically-Salaried Faculty:

a)      For those in their first year of employment, at least three months in advance of termination of employment.

b)      For those who have been employed for more than one year but less than two years, at least six months in advance of termination of employment.

c)      For those who have been employed for two years or more, at least twelve months in advance of termination of employment.

ii. Professionally-Salaried Faculty: at least 30 days in advance of termination of employment.

At the discretion of the chair, director or dean, the period of notice for any Faculty Member may be reduced by paying to the Faculty Member in a single payment an amount of money equal to one week's salary for every week by which the notice is foreshortened.

Termination of employment terminates an individual’s Faculty appointment with the exception that such individuals may continue their appointment on recommendation by the chair or GSN Dean and with approval by the SOM Dean (if applicable) and Provost or their designee.

e. Termination for “Cause”.  The employment of a Non-Tenured UMMS-Employed Faculty Member may be terminated effective immediately for “Cause” (Section 1.9) at any time by the chair, director of a Non-Department Unit, SOM Dean, or GSN Dean (as applicable), with review and approval by the SOM Dean (if applicable) and Provost on written notification to the Faculty Member. An individual who is terminated for cause is not entitled to the required notice or payment in lieu thereof. The Faculty appointment ends coterminously with termination of employment. The Faculty Member may seek resolution as defined in the Rights of Members of the Faculty in Academic Personnel Matters (Section 1.8).

The employment and appointment of a Tenured UMMS-Employed Faculty Member may only be terminated for “Cause” by UMMS following the procedure described in this APP (Section 4.15).

f. Resignation.  A Faculty Member may resign their employment at any time by prior written notification to the chair, director of a Non-Department Unit, SOM Dean, or GSN Dean (as applicable) at the earliest possible opportunity but at least 90 days prior to the effective last date of employment.  With the consent of the chair, director or dean, an earlier date may be agreed. Individuals are entitled only to any compensation owed up to the agreed date.

Resignation of employment terminates an individual’s Faculty appointment with the exception that such individuals may continue their appointment on recommendation by the chair or GSN Dean and with approval by the SOM Dean (if applicable) and Provost or their designee.

Section 5.3 UMMHC-Employed Faculty

a. Terms of Employment and Appointment. UMMHC-Employed Faculty are subject to the employment terms and conditions defined in their letter of offer and their employment contract with UMMHC, and by UMMHC policies and procedures. These individuals may also provide services to UMMS. The Faculty appointment of UMMHC-Employed Faculty is governed by the policies in this APP.

If the individual’s employment agreement with UMMHC is terminated for any reason, their Faculty appointment and any services that the individual may be providing to UMMS also end coterminously, unless the individual has a new or continuing written agreement with UMMS or is a Tenured Faculty Member. UMMHC-Employed Tenured Faculty Members transfer employment to UMMS on termination of employment by UMMHC (Section 4.3).

b. Termination of Appointment.  The Faculty appointment of a Non-Tenured UMMHC-Employed Faculty Member may be terminated “Not For Cause” at any time for any reason that is not unlawful, by the chair, SOM Dean, or GSN Dean (as applicable) following notification of the Provost’s designee for faculty affairs and on prior written notification to the individual at least 30 days prior to the date of termination of appointment.

The Faculty appointment of a Non-Tenured UMMHC-Employed Faculty Member may be terminated effective immediately for “Cause” (Section 1.9) at any time by the chair, SOM Dean, or GSN Dean (as applicable), with review and approval by the SOM Dean (if applicable) and Provost on written notification to the Faculty Member. Termination of the Faculty appointment of a Tenured UMMHC-Employed Faculty Member for “Cause” by UMMS must follow the procedure for Termination of Tenured Faculty (Section 4.15).

c. Resignation of Appointment.  A UMMHC-Employed Faculty Member may resign their Faculty appointment at any time by prior written notification to the chair, SOM Dean, or GSN Dean (as applicable) at the earliest possible opportunity but at least 90 days prior to the effective last date of appointment.  With the consent of the chair or dean an earlier date may be agreed.

Section 5.4 Faculty Employed by a University-Approved External Foundation or Agency

Individuals primarily employed by contract with a University-approved external foundation (such as the Howard Hughes Medical Institute) or agency (such as the Veterans Administration) are subject to the employment terms and conditions defined in their contract with the foundation or agency. Their Faculty appointment is governed by the policies in this APP.

If the employment agreement of a Tenured Faculty Member with the foundation or agency is terminated, the individual transfers employment to UMMS and maintains their Faculty appointment (Section 4.3). If the employment agreement of a Non-Tenured Faculty Member with the external foundation or agency is terminated, the individual may transfer employment and may maintain their Faculty appointment with approval by the chair or GSN Dean (as applicable) and with review and approval by the SOM Dean (if applicable) and Provost.

Termination and resignation of the appointment of Faculty Employed by a University-Approved External Foundation or Agency are as described for UMMHC-Employed Faculty (Section 5.3).

Section 5.5 Annual Performance Review (APR)

The performance of all Employed Faculty Members must be evaluated through the APR.

a. APR Procedure. The chair, director of a Non-Department Unit, SOM Dean or GSN Dean (as applicable, Section 3.3) must ensure that the performance of each Employed Faculty Member in their Department, Unit, or School respectively, is evaluated annually through the APR. At the discretion of the chair, director or dean, a Faculty Member may receive additional evaluations during a year.

i. The evaluation of a Faculty Member is conducted by a Primary Evaluator. The chair, director, SOM Dean or GSN Dean (as applicable) serves as the Primary Evaluator or may delegate the evaluation to other Faculty such as a division chief or vice chair.

ii. A Faculty Member submits the following materials to their Primary Evaluator using the form distributed by the Provost’s designee for faculty affairs:  a list of their Academic Activities and accomplishments for the prior year, their assessment of the achievement of their goals for the prior year, and their proposed goals for the next year. These goals may address:

a)      Activities in one or more of the Areas of Distinction (Section 2.2);

b)      Service and leadership activities;

c)      Targets for clinical productivity, grant funding or other metrics, including the portion of salary to be provided by the Faculty Member; and/or

d)      Professional development and professionalism.

iii. The Primary Evaluator reviews the Faculty Member’s materials and provides a written evaluation of the Faculty Member’s performance during the prior year and their proposed goals for the next year. This evaluation should include an assessment of the extent to which the Faculty Member met their goals for the previous year. The review may include an evaluation of the Faculty Member’s progress toward promotion in rank and/or the award of Tenure, as appropriate.

iv. The Primary Evaluator rates the Faculty Member’s performance as satisfactory or unsatisfactory. A rating of unsatisfactory performance must be supported by documentation in the APR and is based on one or more of the following:

a)      Failure to meet previously set goals;

b)      Failure to perform assigned duties or responsibilities;

c)      Repeated failure by the Faculty Member to respond to direction from the supervisor; and/or

d)      Material violations of the employer’s, Department’s and/or other applicable and published policies, procedures, or codes of conduct.

Continued ratings of unsatisfactory may result in actions that include but are not limited to reduction in effort, reduction in salary, and termination of appointment and/or employment (as applicable).

v. Other individuals with supervisory responsibilities (Section 3.3) may provide written evaluations of the performance of a Faculty Member.

vi. The Primary Evaluator meets with the Faculty Member to discuss their performance during the prior year and their goals for the next year. The discussion may include modification of these goals and the Faculty Member may submit modified goals following the meeting. They may also provide a written response to their evaluation. The Faculty Member signs their evaluation to acknowledge receipt.

vii. The chair, director of a Non-Department Unit, SOM Dean or GSN Dean (as applicable) reviews, approves the rating of performance, and submits to the Provost’s designee for faculty affairs.

b. Further Action.  If the chair, director, SOM Dean or GSN Dean and the Faculty Member cannot reach agreement on the Faculty Member’s APR, the matter must be 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).

Section 5.6 Sabbatical

The purpose of the sabbatical is to provide a Faculty Member with an uninterrupted opportunity to pursue scholarly activities, gain new skills and knowledge, and/or enhance their professional development. Faculty Members are expected to commit sufficient effort to complete the activities proposed for the sabbatical.

a. Eligibility.  All Employed Faculty are eligible for a sabbatical, with the exception of UMMS-Employed  Professionally-Salaried Faculty (Section 5.2.a.ii). Eligible individuals must have at least six years of full or part time service as a UMMS Faculty Member, and must not have taken a sabbatical leave in the previous seven years. Requests for sabbatical by Faculty Employed by UMMHC or a University-Approved External Foundation or Agency are subject to approval by UMMHC or the external foundation or agency.

Faculty with part time service are eligible for a sabbatical as follows:

i. Full time Faculty previously on part-time appointments are given prorated credit for part time service (e.g., eight years at 1/2 time plus two years at full-time equals six years) and will be eligible for a sabbatical based on their current full-time salary; or

ii. Part-time Faculty will are eligible for a sabbatical based on part-time salary after six years of part time service.

b. Application

i. The Faculty Member submits a written application for a sabbatical to the chair, director of a Non-Department Unit, SOM Dean or GSN Dean (as applicable). The application must include the following:

a)      A description of the activities proposed for the sabbatical;

b)      An assessment of the importance of these activities to the Faculty Member's career goals and the potential benefits to the Department and the School; and

c)      A description of any scholarships, fellowships, or grants and any other salaried employment or external compensation that the Faculty Member will receive during the sabbatical. Such compensated activities must not conflict with the Faculty Member’s commitment to the activities proposed for the sabbatical.

ii. A Faculty Member may request one of the following options for a sabbatical:

a)      Full salary for 6 months (which includes 2 weeks of vacation);

b)      Half salary for 12 months (which includes 4 weeks of vacation); or

c)      Half salary for two non-consecutive 6-month periods (each including 2 weeks of vacation).

c. Review and Approval

i. The chair, GSN Dean or director reviews the application and, if they approve, submits their recommendation to the Provost or their designee for faculty affairs and, for UMMHC-Employed Faculty, to the CEO of UMMHC or their designee.

ii. The Provost (and, as applicable, the President of UMMMG), makes the decision to approve the sabbatical following considerations that may include, but are not limited to, the proposed activities, the recommendation of the director or dean, any compensation that the applicant will receive during the sabbatical, and the availability of funds to support the sabbatical.

d. Requirement for Return.  Recipients of a sabbatical must return to duty as a UMMS Faculty Member for at least one year of service immediately following the expiration of the leave. A Faculty Member may submit a written request to the Provost or their designee for faculty affairs to postpone the required return for a period no longer than the length of the sabbatical. This request must include the rationale for postponement and an acknowledgment by the Faculty Member that their obligation to return for a full year of service remains in effect. Failure to return obligates the Faculty Member to refund any salary received during sabbatical.

e. The Sabbatical Report.  Each recipient must submit, upon their return, a written report of their activities and the progress achieved on the goals of the sabbatical to the Provost’s designee for faculty affairs and, as applicable, the chair, dean and director. This report must be evaluated in the Faculty Member’s next APR.

Section 5.7 Voluntary Leave of Absence Without Pay

A UMMS-Employed Faculty Member may submit a written request to the chair, director of a Non-Department Unit, SOM Dean or GSN Dean (as applicable) for a leave of absence without pay for up to one year (after exhaustion of accrued vacation and sick hours). Such leaves may be for reasons of health (requiring appropriate medical, health-related documentation), for advanced study and research, or in connection with temporary employment or service which will be of value to the Faculty Member and to UMMS. The chair, director or dean reviews and may approve the request after consultation with the Provost or their designee. The Faculty Member may submit a written request to the chair, director or dean for extension of the leave for a second year. The chair, director or dean reviews the request and, if approved, makes a recommendation to the SOM Dean (if applicable) and Provost. Such requests are subject to approval by the SOM Dean (if applicable) and Provost.

Leaves of absence without pay for UMMHC-Employed Faculty or Faculty Employed by a University-Approved External Foundation or Agency are governed by their employment agreement and/or policies of their employer.

Section 5.8 Administrative Leave

A UMMS-Employed Faculty Member may be placed on an administrative leave of absence with pay by the chair, director of a Non-Department Unit, SOM Dean, or GSN Dean (as applicable), with approval by the SOM Dean (if applicable) and Provost. Such leaves may be for reasons that include, but are not limited to, investigations of the Faculty Member concerning alleged misconduct or if the Faculty Member may reasonably pose a threat to the campus community or patient safety, or for any other good faith reason in the sole discretion of UMMS. Such leaves are at the discretion of UMMS and may be terminated at any time by the chair, director or dean with approval by the SOM Dean (if applicable) and Provost.