Article 10. Procedures for Personnel Actions.
Section 10.1 Terms of Appointments
Section 10.2 Initial Appointment
Section 10.3 Promotions
Section 10.4 Reappointment Without Promotion
Section 10.5 Periodic Multiyear Review of Tenured Faculty
Section 10.6 Dismissal of a Tenured Faculty Member
Section 10.7 Resignation, Non-Reappointment, or Termination of an Academically-salaried Non-Tenured Faculty Member who is employed by the University or by an approved foundation
Section 10.8 Resignation, Non-Reappointment, or Termination of Non-Tenured UMMHC-Salaried Faculty Members
Section 10.9 Resignation, Non-Reappointment, or Termination of Instructors, Lecturers, Affiliates, Professionally salaried and Voluntary Faculty Members
Section 10.10 Termination of employment of Professionally-Salaried Faculty Members
Section 10.1 Terms of Appointments. The terms and conditions of every faculty appointment or reappointment to an academic position shall be governed by the policies contained herein.
- For University-salaried faculty members and for faculty who are salaried through approved foundations such as the Howard Hughes Medical Research Institute, the effective dates of employment and any contingencies shall be spelled out in the University of Massachusetts Medical School Personnel Action form signed by the Department Chair (if any), the Dean, the Chancellor's designee for academic affairs or Chancellor, and by the faculty member, which shall signify his/her understanding and acceptance of said terms and conditions.
- Normally appointments shall be for one year. However, in certain circumstances, multi- year contracts may be utilized, with the approval of the Chancellor's designee for academic affairs, and the Chancellor:
- For faculty conducting research, teaching or service at an exceptionally high level, where retention of the faculty member is desirable to advance the mission of the Medical School and tenure is not available (e.g. the faculty member is not in the tenure track or is not yet eligible for tenure).
- For faculty assigned to design or implement an educational, clinical or research program requiring a multi-year effort, where loss of the faculty member during this period would impede the achievement of the goals of the program, where a multi-year commitment is important for retention and tenure is unavailable (e.g. the faculty member is not in the tenure track or is not yet eligible for tenure).
- For a tenured faculty member who may wish to surrender tenure voluntarily (e.g. preparatory to retirement) if granted a multi-year contract, and where it might be to the long term advantage of the department and the Medical School to free the faculty
- member’s tenure slot.
- For recruitment of a prospective faculty member who is likely to conduct research, teaching or service at an exceptionally high level or who is asked to design and/or implement an educational, clinical or research program requiring a multi-year effort; and for whom a multi-year contract is important for recruitment and tenure is unavailable (e.g. prospective faculty member does not qualify for tenure, or does not desire tenure, or tenure slot is not available in recruiting department or school).
- In other circumstances that would make it mutually beneficial to the faculty member and the Medical School to negotiate a multi-year contract.
- Such contracts, if approved, would be for a maximum of three (3) years for faculty at the rank of Assistant Professor and for a maximum of five (5) years for faculty at the rank of Associate Professor or Professor.
- For UMMHC-salaried faculty members, the effective dates of employment and any contingencies shall be designated in the UMass Memorial Medical Group Contract signed by the Department Chair (if any), the Chancellor's designee for academic affairs or the Chancellor, the Health Care CEO, and by the faculty member, which shall signify his/her understanding and acceptance of said terms and conditions.
- No other term or condition, whether implied or stated, whether to the advantage or disadvantage of the faculty member, shall have binding force.
Section 10.2 Initial Appointment. The procedures for initial appointment to an academic position shall conform to the following:
- Upon identification of a candidate for an initial appointment, the Department Chair (with approval of the Dean in schools with departments) or the Dean (in schools without departments) shall submit the basic file to the Chancellor's designee for academic affairs. This basic file shall include all of the following:
- A letter from the Department Chair or Dean describing the proposed duties of the prospective faculty member and his/her qualifications for the proposed position. This letter shall also describe appropriate consultation with departmental or school (in schools without departments) faculty as prescribed in Section 3.1, and justifications, where applicable on the basis of affirmative action goals (Section 4.2) and program plans (Section 4.3). A separate letter from the departmental Personnel Action Committee (in schools with departments) shall be included for prospective faculty at or above the level of Assistant Professor.
- For personnel actions at the Affiliate, Senior Affiliate, Instructor, Lecturer and Assistant Professor levels, a minimum of 3 letters of recommendation is required. Appointments above these levels, require a minimum of 5 letters in order to permit assessment of the regional or national reputation of the candidates. Of these five (5) letters, at least three (3) should normally be from peers of the candidate who are neither members of the University of Massachusetts Medical School faculty nor former mentors or current collaborators.
- Included with the basic file shall be a completed Faculty Status Report (and Faculty Hiring Report, for academically-salaried faculty members).
- After determining the completeness of the submitted materials, the Chancellor's designee for academic affairs shall submit them to the school's Personnel Action Committee.
- The school's Personnel Action Committee, through Chancellor's designee for academic affairs, shall transmit its recommendation:
- Directly to the Dean, in schools without departments;
- To the school’s Executive Council (in schools with departments), when the recommendation is in agreement with that of the recommending department chair; or
- To the Department Chair (in schools with departments) if the recommendation is in disagreement with that of the recommending Department Chair. In this case the latter shall have the option of requesting the Executive Council to consider the case.
- In schools with departments, the Executive Committee shall have the right to add its own recommendations to that of the Personnel Action Committee.
- The final decision shall be made by the Dean subject to approval by the Chancellor's designee for academic affairs and the Chancellor.
- Following approval of the recommended appointment of an academically-salaried faculty, the Department Chair (or the Dean, in schools without departments), shall:
- Process the University of Massachusetts Medical School Personnel Action form or appropriate U Mass Memorial Health Care contract with its required signatures;
- Explain the terms and conditions of appointment to the faculty member; and
- Obtain the faculty member's signature on the form (or contract, where applicable), in accordance with Section 10.1.
Section 10.3 Promotions. The process for promotions shall conform to the following:
- The faculty member shall be advised by the Department Chair (or the Dean, in schools without departments) as early as reasonably possible (prior to the beginning of the tenure decision year, for those in the tenure track), that a review of his/her contributions will be made for the purposes of a personnel recommendation.
- The faculty member shall submit to the Department Chair (or the Dean, in schools without departments,) any and all materials, for inclusion in the basic file, which the faculty member believes will be essential to an adequate consideration of the case.
- For promotions to any rank and title above the Assistant Professor level, the Department Chair (or the Dean, in schools without departments), shall obtain a total of at least five letters of reference from a list of scholars and professionals which includes, but is not limited to, those suggested by the faculty member; at least 3 of the letters should normally be from peers of the faculty member who are neither members of the University of Massachusetts Medical School faculty, nor former mentors or current collaborators of the faculty member (e.g. “outside” letters).
- The basic file shall contain the items listed in Section 1.5, those in b and c, above, and the following:
- Copies and/or reviews of published works;
- Appropriate evaluations of teaching effectiveness;
- Evaluations of extra-departmental contributions;
- A description of the nature of departmental faculty participation in the recommendation, as required in Section 3.1a, and any recommendations resulting from such participation (in schools with departments);
- Any other material reasonably deemed relevant.
- Acting in accordance with the responsibilities defined in Section 3.1 and the standards and criteria defined in Article 4, the Department Chair (adding his/her letter of recommendation to the Dean in schools with departments) or the Dean (in schools without departments) shall submit the basic file to the Chancellor's designee for academic affairs. At the same time, the Department Chair (in schools with departments) shall send copies of his/her recommendation, as well as any recommendations resulting from departmental faculty participation as described in Section 10.4.d.iv, to the faculty member.
- After determining the completeness of the entire basic file, and consulting with the Dean (in schools with departments), the Chancellor's designee for academic affairs shall submit it to the School's Personnel Action Committee.
- Subsequent steps shall be similar to those described in Section 10.2c-e for initial appointments.
Section 10.4 Reappointment Without Promotion. Reappointments without promotion may be made at any rank within the guidelines contained in this document, and shall require the signature of the faculty member, the Department Chair (in schools with departments), the Dean, and the Chancellor's designee for academic affairs. Reappointment in the Non-Tenure Track with a change in title (but without promotion -- e.g. Clinical Associate Professor of (Dept.) to Associate Professor) shall require the approval of the Departmental Personnel Action Committee (in schools with departments) and the school's Personnel Action Committee.
Section 10.5 Periodic Multiyear Review of Tenured Faculty. In addition to annual performance evaluations required of all faculty members, faculty members who have been awarded tenure must undergo periodic performance reviews at regular intervals. The procedures to be followed (originally described in separate Trustee policy -T00 –045, now superseded in its entirety by this Policy) are as follows.
Preamble: The practice of regular annual reviews of faculty performance is well established at the University of Massachusetts Medical School. The review is based upon an annual faculty report (AFR) and incorporates an administrative review by the Department or Program Chair, the Chancellor's designee for Academic Affairs and the Dean. At the Medical School, Department and Program Chairs serve a unique and long term role in mentoring and fostering continued development of their faculty members. They therefore play the primary role in this annual review. The review serves as the primary basis for the award of merit monies, when they are available, and is intended to be a mandatory yearly review of faculty performance even when merit monies are not available. Because these annual reviews continue without interruption following the award of tenure, the annual faculty report must be a principal ingredient of any process of post-tenure review.
Thorough multi-year reviews of faculty performance are conducted at the time of major personnel actions including promotions through the tenure decision year, the award of tenure and promotion to full professor. Performance of the faculty member is evaluated in the three mandatory categories of teaching, research, and service and is measured against established standards for each personnel action, including the expectation of continued professional development and performance.
A Periodic Multi Year Review (PMYR) of tenured faculty that is distinct from the annual and major personnel action reviews, is intended to serve a number of purposes. First, such a review expands the 12-month time window of the annual reviews into an overview of a faculty member's long term interests, achievements, professional activities and plans. Second, such an evaluation makes possible timely consultation, intervention, and assistance, where indicated, that should stimulate and encourage professional development, new initiatives or changes in direction that will benefit both the faculty member and the institution.
In adopting a PMYR policy, the University and the tenured faculty address the external concern for accountability, while upholding the integrity of tenure and academic freedom.
- Purpose. The primary purpose of the PMYR policy is to foster the continued professional development of the tenured faculty. This is in the best interests of the faculty member and this institution and allows the demand for external accountability to be met. A faculty member who has been awarded tenure has already demonstrated excellent performance. The award of tenure represents a large investment on the part of the University and is made in the expectation that the faculty member will continue to develop professionally and will demonstrate a continued high level of performance. The PMYR process should optimize use of the talents of faculty members, throughout their careers, in furthering their career and in service to the University.
- The present annual faculty report procedure encourages short-term assessment of individual accomplishments. PMYR should foster a longer-term view of an individual's performance and contributions to the University.
- The PMYR must strengthen the faculty member's academic freedom and right to full and free inquiry, as prescribed in the understanding of tenure.
- The PMYR is not a personnel action as defined in the Academic Personnel Policy. In particular, it is not a reaffirmation of tenure.
- The PMYR should follow the pattern established by the annual faculty reports, including both self-assessment and administrative assessment by the Department Chair and Dean, should incorporate prior annual faculty reports and should not involve the creation of additional unnecessary bureaucracy.
- Standards of evaluation in each Department will be fair and consistent with departmental and school practice.
- It is intended that the PMYR policy will recognize that individual interests and abilities of tenured faculty members may change over time, and that tenured faculty members may meet their professional responsibilities to their Department in varied and changing ways.
- Timing of the PMYR Process
- The PMYR is to be conducted every seven years for all tenured faculty members and will be conducted in lieu of that year's annual faculty report. The PMYR will not normally take place less than seven years after a successful tenure review, promotion or previous PMYR and will normally take place two years prior to the next scheduled sabbatical.
- The first formal consideration of an Associate Professor for promotion to Professor may be substituted for the initial PMYR unless such promotion consideration is delayed beyond seven years past the promotion to Associate Professor.
- The year of the PMYR may be altered, upon written agreement between the individual and the Department or Program Chair, in the following circumstances:
- When the faculty member is named to a full-time administrative appointment, the faculty member will have the option of delaying the PMYR for up to three years following the return to normal faculty assignments.
- When the faculty member is granted a leave without pay for a full academic year. A leave of less than one academic year in duration shall not affect the time of the PMYR.
- When the faculty member expresses in writing his or her intention to retire within three years of the time of the scheduled review, the review shall be cancelled. If the intention to retire is rescinded, the faculty member shall undergo PMYR in the next annual cycle or during the annual cycle in which the faculty member had originally been scheduled to undergo PMYR, whichever is later.
- The PMYR may be advanced upon request initiated by the faculty member.
- Review Materials. The faculty member will submit a current curriculum vitae and a brief statement, typically between 1000-2000 and not to exceed 2500 words, that summarizes and assesses
- His/her principal activities during the period since the tenure review, the last promotion review or the last PMYR.
- His/her goals, and approaches to achieving such goals, in the areas of teaching, research, creative and/or scholarly activity and service in the coming years. If the individual's statement calls for a major new initiative or change in the direction of her/his work, the statement may include a request for developmental support needed for that initiative or change in direction.
- Review Process. The Department Chair will review the individual's curriculum vitae, statement, the annual faculty reports for the prior six years, including any supplemental materials that normally accompany annual faculty reports, and all evaluations of the faculty member's teaching performance carried out during the previous six years and the current year. After review of the materials, the Chair will recommend that the statement submitted by the faculty member be either accepted or revised. Academic reviews of chairs will be carried out by the Dean or his/her designee.
- A recommendation to accept the submitted statement will be made when the individual's past performance and future goals, as documented in the materials submitted, indicates that no changes in the faculty member's work or plans are required in order to promote professional progress of the faculty member and continued contribution to the University.
The faculty member will acknowledge, by signature, receipt of any comments or suggestions appended by the Chair, and will have the opportunity to make appropriate responses.
- A recommendation for revision of the submitted statement will be made when review of the individual's past performance and future goals, as documented in the materials submitted, suggests that a significant change in the faculty member's work or goals (substantially different from that proposed by the faculty member) is indicated in order to promote the faculty member's continued professional progress and effective contribution to the University.
- In making either recommendation, the Chair will also recommend whether or not the resources requested for professional development, in the faculty member's statement or revised statement, should be provided. In deciding whether to recommend development support, the Chair would typically consider such factors as:
- Whether the individual's past performance and future goals indicate that she/he is likely to be successful in achieving the goals;
- Whether achievement of these goals requires the requested support;
- The extent to which the individual's goals represents a contribution to goals of the department and the school.
Recommendations for development support will be submitted to the Dean who would consider the award of resources from a fund established for this purpose. The Dean will be aided in this decision by the Chancellor's designee for academic affairs. Competing requests will be evaluated on the basis of merit and need.
- Funding. The Medical School will allocate faculty development funds annually to implement recommendations resulting from individual PMYRs. These may include support for development programs sponsored by the Office of Medical Education or the Department of Faculty Administration and/or support for sabbaticals.
- Further Action.
- If the Chair recommends "statement accepted" and the Dean concurs, then no further action is taken, and the review is concluded.
- If the Chair recommends revision, the Chair will meet with the individual to discuss ways of optimizing the faculty member's proposed professional contribution through a revised statement. The faculty member may present any supplemental documentation of his or her performance at this time. The intent of the revision is to support and encourage the faculty member's continued professional development and contribution to the department. It must in no way impinge on the faculty member's academic freedom. 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, the design of a sabbatical leave which is crafted to address the identified needs, and referral to the Office of Medical Education, if appropriate, for advice on teaching techniques.
- If a revised statement is agreeable to the faculty member, the Chair and the Dean, the review is concluded. If the Chair recommends "statement accepted" but the Dean does not concur with the Chair’s recommendation, comments from the Dean explaining the non-concurrence will be returned to the faculty member and Chair for revision of the statement. In these circumstances, a revised statement will be developed by the faculty member in consultation with the Chair, as described above. If the Dean accepts the revision, the review is concluded.
- If the faculty member and the Chair or the faculty member and the Dean cannot agree on a revised statement, the faculty member can invoke a peer review of the PMYR statement by the tenured faculty of his/her department, if this comprises at least three additional faculty, or by the Tenure Committee. This group will review the revised statement and any further revisions suggested by the Chair or the Dean. They will recommend action on the further revisions to the Chancellor's designee for academic affairs.
- If no agreement is reached, the Dean and Chancellor's designee for academic affairs will draft an appendix to the statement in consultation with the Chair and the faculty member. This appendix will address the issues identified, will include a timetable and criteria for a follow-up review to take place in three years, and will be signed by the faculty member, the Department Chair and the Dean to signify that all parties have received copies. The appendix may include a reallocation of the faculty member's effort, but such reallocation will not diminish the faculty member's entitlement to merit funds nor impinge on his/her academic freedom. Any proposed reallocation of duties must not be designed, intended or used for the purposes of controlling, restricting or redirecting the nature of the faculty member's research or scholarship in his/her field. The revised statement will also indicate what resources or other support will be devoted to achieving the goals outlined in the revised statement.
- During the three-year period after development of a revised statement, the Chair will consult as needed with the faculty member, and will comment in the annual faculty reports on the faculty member's progress toward the goals set forth in the revised statement. The Dean will review these comments and may comment as well. At the end of this three-year period, the Chair and the Dean each will evaluate in writing the extent to which the goals of the revised statement have been achieved. If the parties concur that the goals have been achieved, the recommendation will be that a subsequent PMYR take place in four years, restoring the seven-year cycle. If they do not concur, the Dean may determine that no further efforts at faculty development are warranted and may refer the matter to the Chancellor's designee for academic affairs for disciplinary action or dismissal, consistent with the policies of the Medical School.
- The fact of a faculty member's refusal to accept or to implement the revised statement shall not be a basis for discipline, and no aspect of the PMYR process, including but not limited to informal discussions, written recommendations, or the fact or details of any revised statements generated as part of the process shall be considered as an initial stage in any disciplinary process or be introduced as evidence or otherwise referred to in any later disciplinary procedure. This exclusion does not apply to any document or record originally intended for a use other than the PMYR, e.g. the annual faculty report, nor to any aspect of a faculty member's performance which may have been considered in the PMYR process and may be separately considered in a subsequent disciplinary process. Nothing in this policy changes the "just cause" standard set forth in the Medical School policy under which a tenured faculty member may be considered for dismissal.
- Assessment. The Chancellor's designee for academic affairs will prepare an annual report to the Dean on the PMYR process. This report, which will be reviewed by the Dean to ensure that the PMYR process is being appropriately and consistently carried out across departments. It will include a summary of the number of PMYRs conducted and their results and relevant details about all instances in which a revised plan was developed. This report will also be presented to the Faculty Council. In addition, every three years following implementation of the PMYR policy, the Chancellor's designee for academic affairs will provide an evaluation of implementation of the PMYR to the Faculty Council.
- Implementation. This PMYR policy shall be come effective immediately upon final passage of this Medical School’s policy defining the rights privileges and responsibilities of academic tenure.
Section 10.6 Dismissal of a Tenured Faculty Member. Tenured faculty members can only be dismissed for cause using the process described below. This process was originally approved as a separate trustee policy, "Policy for the Dismissal and removal of Tenure" (T 99-049, now superseded in its entirety by the provisions of this policy).
- Primacy of the faculty.
- The Governance of the Faculty at University of Massachusetts Medical School is established by the Board of Trustees and establishes the primacy of the faculty in matters relating to personnel policy (T95- 22).
- The procedure established below is intended to allow the faculty to assert its primacy role in issues relating to the dismissal and removal of tenure from an individual faculty member.
- It is anticipated that an attempt to dismiss and remove tenure from any faculty member will be a rare event, with this dismissal procedure invoked only in extreme cases.
- Basis for Removal from Tenure and Dismissal.
- Termination of the appointment of a tenured faculty member requires just cause. “Just cause” for a dismissal shall be related, directly and substantially to the fitness of faculty members in their professional capacities as teachers or researchers. Dismissal or threat of dismissal shall not be used to restrain faculty members in the exercise of academic freedom or other rights of American citizens.
- "Just cause” shall be construed to mean:
- Incompetence or dishonesty in teaching and research, OR
- Substantial and consistent neglect of duty, OR
- Egregious misconduct which substantially impairs the individual’s fulfillment of his or her institutional responsibilities.
- The burden of proof that “just cause” exists resides with the institution, and shall be satisfied only by a preponderance of evidence in the record considered as a whole. Those individuals involved in the dismissal process must carefully differentiate the faculty member who blatantly and repeatedly abuses the privilege of tenure from one who is unpopular or having difficulties with fellow faculty members, the chair or the administration.
- Procedures at the Departmental/Programmatic Level.
- Initiation of formal proceedings designed to terminate the appointment of a tenured faculty member shall in all cases originate in the department of primary appointment for the faculty member, and the Chair of the department shall have the power and responsibility to determine whether or not the Chancellor shall be requested to bring formal dismissal charges. Program Directors shall share this responsibility for those faculty members for which they are fiscally responsible.
- Prior to initiation of formal proceedings at any level, every effort should be made to resolve the conflict and/or remedy the deficiencies that underlie the dismissal proceedings. In making these efforts, the target of possible proceedings involved should be fully informed of the nature of the conflict and/or deficiencies and the consequences of failure to reach a resolution of these matters. He/she should also be given all documentation in the possession of any University officials pertinent to the conflict or deficiencies.
- Advice should be sought from and possible action taken by the departmental personnel action committee, the faculty ombudsman and the Vice Chancellors for Faculty Administration, Research and/or Education. Written recommendation(s) from any or all of the above as to possible strategies for resolving the issues shall become part of the basic file for the faculty member in question.
- The Faculty Tenure Committee shall be asked to provide an informal assessment of available evidence of issues and concerns that might eventually lead to formal dismissal proceedings and make recommendations as to possible strategies for resolving the problems. This recommendation shall become part of the basic file for the faculty member in question.
- If attempts at remediation or informal resolution fail, the Department Chair, Program Director, or three or more tenured faculty members of the Department/Program may initiate formal proceedings by proposing a review of the case by the Departmental Personnel Action Committee. The DPAC shall then review the charges and make a written recommendation to the Department Chair and to the Program Director if the faculty member is part of a separate Program. The Chair or, where appropriate, the Program Director, shall then determine whether the process for dismissal shall continue. The opinion of the DPAC shall remain part of the documentation throughout all future steps in the proceedings.
- If either the Chair or the Program Director decides that dismissal proceedings are appropriate, he/she should recommend such action to the Chancellor, providing all documentation in support of this recommendation as well as all records of prior mediation efforts, consultations and findings as required in Section10.6 cii and ciii. As part of this process, the initiating party (e.g. the Chair or the Program Director) shall:
- Notify the faculty member of the intent to seek dismissal at least twenty (20) working days prior to submission of charges to the Chancellor.
- At the time of this notification, provide the faculty member with a written copy of the charges and accompanying documentation to be submitted to the Chancellor.
- Permit the faculty member the opportunity to submit his/her own statement along with the materials to be submitted to the Chancellor.
After satisfying these three conditions, the initiating party (e.g. the Chair or the Program Director) shall provide the Chancellor with the documentation supporting his/her request for dismissal of the faculty member, a copy of all records related to the case, including documentation of prior mediation attempts, consultations and findings as required in Section10.6 cii and ciii above; and, if available, a copy of the faculty member’s rebuttal of these charges as outlined in Section 10.6 c iv c above.
- Procedure at the Chancellor’s Level.
The Chancellor shall review all documentation supplied by the Department and the faculty member. Should the Chancellor decide to go forward with the dismissal process, he/she shall:
- Provide a written copy of his/her decision to the Department Chair/Program Director and to the faculty member in question in a timely manner. This notice should be accompanied by any documentation the Chancellor considered in reaching his/her decision and notice of the existence and contents of any consultations he/she made with anyone inside or outside of the Medical School.
- Name a member of the Administration who will represent him/her with respect to all decisions and actions that must be taken by the Administration in the process of constituting the Hearing Committee as specified in Section 10.6 e- g below.
- Request the Tenure Committee to convene a Hearing Committee so that actions pursuant to Section 10.6ei may be expedited.
- Composition of Faculty Hearing Committee.
Within 30 days after receipt of the Chancellor’s request for the formation of a Hearing Committee, the Chair of the Tenure Committee shall select the membership of this Hearing Committee as follows:
- An initial panel of 15 members shall be drawn by lot from the list of tenured faculty, exclusive of chairs of Departments, Program Directors and Vice Chancellors at the University of Massachusetts Medical School.
- The Chair of the Tenure Committee shall then contact the selected members to ascertain his/her availability for service on the Hearing Committee. The Chair of the Tenure Committee may excuse a selected panel member for illness, absence from the campus during the hearing period or similar reasons. Panel members may also be excused for cause (e.g. for probable bias or conflict of interest) if objections are raised by the administration or by the faculty member in question. Objections or challenges for cause shall be adjudicated by the Chancellor's designee for academic affairs.
- If there are at least five panel members remaining after the challenged members are struck, these individuals shall be empanelled as the hearing committee. If less than five panel members remain, more names will be drawn by lot, one at a time, until five members are chosen.
- Procedures of the Hearing Committee.
- The Committee shall convene within twenty (20) working days of its formation. At its first meeting, the Committee shall select a Chair. A quorum of the Committee shall consist of all five (5) members.
- Consistent with any requirements in this regulation, the Committee, in consultation with those representing the faculty member and the Administration, will decide how the hearing will be conducted, including the kind of evidence that will be admitted, and how it will be presented. It will also establish a tentative maximum time for the hearing phase. This decision will be based upon the kinds of issues and evidence that are likely to be litigated before the Committee as specified in the specific charges communicated by the Department Chair to the Chancellor.
- All communication and documentation produced during the procedures described in Section10.6 c and d shall be made part of the record. However, all evidence cited by the Chancellor in support of dismissal must be introduced in a form which will permit the faculty member to challenge the validity of the evidence. The Committee may call witnesses to present testimony to supplement the written record.
- The faculty member may introduce documentary or other forms of written evidence plus testimony via witnesses. The administration will cooperate with the hearing committee in securing witnesses and making available documentary and other evidence. The faculty member and the administration may cross examine all witnesses brought by the opposing party.
- The Committee shall not be bound by the strict rules of legal evidence, and may admit any evidence which it deems to be of probative value in determining the issues involved. The proceedings of the Committee shall be closed to the public. However, the faculty member may be present at all meetings of the Committee where evidence is received or testimony heard. Moreover every effort will be made to assure that the faculty member and his advisors can be present. He/She may be accompanied by another member of the tenured University of Massachusetts Medical School faculty who may act as an advisor. Neither side may be accompanied by legal counsel.
- A tape recording of the hearing shall be made. If a transcript is mutually desired the cost shall be shared equally. Otherwise, either party requesting a transcript shall bear the cost.
- The findings of fact and the decision of the Hearing Committee shall be based solely on the hearing record.
- Decision and Report from the Hearing Committee.
- Within 20 days from the termination of the Hearing, the Committee shall meet to consider the administration’s charges for dismissal and determine whether the administration has provided a preponderance of evidence attesting to the validity of these charges based upon the record as a whole and established in the Hearing process herein. The determination will be reached by recorded votes of each of the members of the Committee.
- Within 10 days after making its decision, as provided in gi, the Hearing Committee shall send to the Chancellor a comprehensive report explaining the basis of the decision of the majority of the Committee. The report shall consider each of the charges put forward as grounds for dismissal and provide a written assessment as to whether the charge is serious enough to merit dismissal and whether the charge appears to be supported by available evidence. Individual or collective dissenting reports also may be written. Copies of all reports shall be sent simultaneously to the faculty member and the Departmental Chair. Within 3 weeks of the receipt of the report(s), the faculty member and/or the Departmental Chair shall have the right to forward to the Chancellor their comments on any aspect of the Committee’s report(s).
- If the Hearing Committee concludes that just cause for dismissal has not been established by the evidence in the record it shall so report to the Chancellor. Since the Hearing Committee is the only body which has heard all of the evidence, its finding that just cause for dismissal has not been established should carry great weight in the deliberations subsequent decision makers. The degree of conclusiveness to be given to such a finding, however, can vary with the kind of charge involved and the extent to which the committee’s finding is unanimous.
- Disposition of the Case by the Chancellor.
Within 30 days of the receipt of these documents, the Chancellor shall review the report of the Hearing Committee and any responses to the Report by the faculty member or the Departmental Chair.
- If the Hearing Committee Report concludes that the evidence supports dismissal for cause, the Chancellor shall normally forward the request for termination to the President of the University and provide a written notification to the faculty member, the Departmental Chair and the Hearing Committee as to his/her intention in this regard. The President would then provide a final recommendation based on all of the evidence in the file and on the recommendations in the Hearing Committee. If, however, in the unusual case that the Chancellor is disposed to discontinue the procedures, he/she shall state the reasons in writing to the Hearing Committee, to the faculty member and to the Departmental Chair and provide an opportunity for response.
- If the Hearing Committee concluded that just cause for dismissal had not been established, the Chancellor would normally terminate the dismissal proceedings. In the unusual case that the Chancellor is disposed to recommend continuation of the procedures, he/she shall state the reasons in writing to the Hearing Committee, to the faculty member, to the Departmental Chair and, where appropriate to the Program Director. He/she will also provide an opportunity for response(s) from these individuals before forwarding a recommendation for dismissal to the President of the University. The President would be then provide a final recommendation based on all of the evidence in the file, the report from the Hearing Committee and the written recommendation of the Chancellor.
Section 10.7 Resignation, Non-Reappointment, or Termination of an Academically-salaried Non-Tenured Faculty Member who is employed by the University or by an approved foundation.
- A non tenured faculty member, employed by either the university or by an approved foundation such as the Howard Hughes Medical Research Institute, who wishes to resign his/her appointment, shall give notice in writing to the Department Chair (or the Dean, in schools without departments) at the earliest possible opportunity, but no later than sixty (60) days prior to the effective date of resignation.
- Notice of non-reappointment or termination of non-tenured academically-salaried faculty who are employed by either the university or by an approved foundation such as the Howard Hughes Medical Research Institute, including tenure-track faculty still in their tenure probationary period, shall be given in writing to the faculty member by the Department Chair (or the Dean, in schools without departments):
- In an initial one-year appointment, at least three months in advance of termination of the appointment;
- After one year of service, at least six months in advance of termination of the appointment;
- After two years of service, at least twelve months in advance of termination of the appointment.
- Failure to send timely notice of non-reappointment shall entitle the faculty member to an extension of his/her current contract to provide the full notice period otherwise applicable.
Section 10.8 Resignation, Non-Reappointment, or Termination of Non-Tenured UMMHC- Salaried Faculty Members.
- A UMMHC- salaried faculty member, wishing to resign his/her appointment, shall give notice in writing to the Department Chair (or the Dean, in schools without departments) at the earliest possible opportunity, but no later than sixty (60) days prior to the effective date of resignation.
- A written notice of non-reappointment or termination of a non-tenured UMMHC-salaried faculty member shall be provided to the faculty member by the Department Chair using the notice provisions that are detailed in the faculty member's contract. Such notice shall trigger a review of the academic appointment of the faculty member by the Chancellor and his/her designee for Academic Affairs. The outcome of this review shall be dependent upon the factors leading to the non-reappointment/termination decision (e.g. whether or not the termination is 'for cause') and on the feasibility and desirability of a continued academic relationship with this faculty member.
- Dismissal for cause. UMMHC-salaried faculty who are terminated from their employment 'for cause' ( e.g. for reasons related to the unsatisfactory performance of their professional responsibilities) may be terminated immediately from their faculty positions, notwithstanding any contrary policy of the University Board of Trustees. Such termination shall be at the discretion of the Chancellor after consultation with the appropriate Dean and Department Chair (for schools with departments), and, in the case of faculty with medical privileges at UMass Memorial Medical Center, with the Chief Medical Officer, after providing the faculty member with notice and the opportunity to be heard.
- Dismissal for other reasons. For those UMMHC-salaried faculty who are terminated from their employment for reasons other than ‘for cause’ (e.g. due to changes in clinical need and/or due to financial shortfalls), the Chancellor and his/her designee for Faculty Affairs shall consult with the Department Chair and, in the case of faculty with medical privileges at UMass Memorial Medical Center, with the Chief Medical Officer, to determine whether the termination of employment should also lead to a termination of the academic appointment of this faculty member. This decision shall be at the discretion of the Chancellor; those terminated shall be provided with the appropriate notice and the opportunity to be heard.
Section 10.9 Resignation, Non-Reappointment, or Termination of Instructors, Lecturers, Affiliates, Professionally salaried and Voluntary Faculty Members. Appointments of Instructors, Affiliates, Lecturers, Professionally- salaried and Voluntary faculty members may be terminated at any time by the Dean, (upon the recommendation of the Department Chair in schools with departments and, in the case of faculty with medical privileges at UMass Memorial Medical Center, in consultation with the Chief Medical Officer), or at the request of the faculty member, by giving written notice at least 30 days prior to the effective date, notwithstanding any contrary policy of the Board of Trustees.
Section 10.10 Termination of employment of Professionally-Salaried Faculty Members. Professionally-salaried faculty members are subject to the employment rules for employees rather than those defined herein for academically salaried faculty. Thus the notice provisions for termination are dependent on the length of service as defined in current Human Resource policies.