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201.000 Personnel Policies

The content of this page applies to UEA employees on the University of Minnesota, Duluth campus.


201.100 Definitions.

201.110 Academic Year.

"Academic Year" means the period which includes the fall, winter and spring academic quarters or fall and spring semesters during a single fiscal year. 

201.130 Year of Service.

"Year of Service" means employment during a single Academic Year which averages 67% or more of full-time employment during a single Academic Year.

201.200 Rules of Construction.

The following rules shall apply in determining the rights of a Member under Section 201.000. 

201.210 Dual Titles.

If a Member is appointed to a "managerial" or "confidential" administrative position (as defined in Bureau of Mediation Services certification notice, May 22, 1981; and PELRA 179.03 subd. 4(a), (b)), the Member shall not be covered by this Agreement for the duration of the managerial or confidential administrative appointment.

If a Member is appointed to any position other than the above, outside of the Bargaining Unit, the Member shall retain h/her rights under this Agreement provided that faculty duties constitute at least 35% time.

201.220 Tenure Residence.

If a Member with a Regular Appointment is assigned to an academic unit other than a department or a programmatic area or to more than one (1) department or programmatic area then, in either case, one (1) department, programmatic area or other academic unit consistent with 280.110 shall be designated by the Employer as the department or programmatic area where the Member's Indefinite Tenure resides in the case of a Member with Indefinite Tenure, or as the academic unit where the Member's Indefinite Tenure, if granted, shall reside in the case of a Member with a Probationary Appointment.

201.240 Administrators.

If a Member is appointed to an administrative position, the administrative title and duties are distinct and severable from the appointment as a Member. Removal of a Member from an administrative position shall be at the discretion of the Employer.

201.250 Corrections.

The Employer shall have the authority to correct clerical errors which appear in all documents which relate to Section 201.000.

201.260 Computation of Years of Service.

For the purpose of computing the number of Years of Service, as that term is used in Section 201.130, exceptions shall be made for the reasons given in Sections 201.262, 201.264, and 201.266, with a collective maximum of three Years of Service eligible to be excluded. For these purposes, Years of Service need not be consecutive. However, if a period of employment during a single Academic Year does not constitute a Year of Service as defined in Section 201.130, it shall not be aggregated with other such periods of employment to comprise a Year of Service.

201.262 Exception for Leave Without Pay or Working for Another Employer.

Periods of time during which a Member is on an approved leave without pay or is working directly for another employer shall be excluded in computing Years of Service.

201.264 Exception for Parenthood.

At the request of a Member on a Probationary Appointment, one twelve-month period (year) will be excluded from the computation of Years of Service on the occasion of the birth of that Member's child or the adoptive placement of a child with that Member. The request for exclusion of the year must be made in writing within three months of the birth or adoptive placement of the child and no later than June 30 preceding the year a final decision would otherwise be made on an appointment with indefinite tenure for the Member.

201.265 Definition of Domestic Partner.

For the purposes of Section 201.266, "domestic partner" shall be taken to mean a domestic partner of the same sex or of different sex.

201.266 Exception for Medical Reasons.

A Member on a Probationary Appointment may request exclusion of one twelve-month period (year) from the computation of Years of Service for reasons related to the health of the Member or the Member's domestic partner, or the Member's children, or the parents of the Member or the Member's domestic partner. Exclusion of a year by this provision may occur no more than once. A Member wishing to use this provision shall submit a written application to the head of the department in which s/he is employed. The head shall forward the application to the Principal Administrator with a recommendation from the tenured Members of the department. The Principal Administrator shall notify the Member in writing of the Employer's approval or disapproval of the Member's request within thirty calendar days of receiving the Member's request. The Principal Administrator shall also identify to the Member, in writing, the reasons for the disapproval, if disapproved.

201.300 Non-Regular Appointments.

Notwithstanding Section 002.164, the Employer may terminate a Non-Regular Appointment for cause at any time.

201.310 Probationary Appointments.

The maximum length of time which the Employer may employ a Member pursuant to a Probationary Appointment shall be seven Years of Service. For purposes of this Section 201.310, when a Member on a Probationary Appointment with the title of assistant professor is hired and s/he has previously served on a Regular Appointment at another accredited college or university, up to three years of such prior experience may be counted toward the maximum seven Years of Service.

1. Assistant Professor

(a) If a Member who holds a Probationary Appointment with the title of assistant professor does not receive Indefinite Tenure on or before May 15 in h/her sixth Year of Service, h/her appointment shall terminate without further notice at the end of h/her seventh Year of Service.

(b) If such an assistant professor receives written notice of non-reappointment on or before June 15 of h/her first Year of Service, or upon h/her return to work from an approved leave of absence if this return occurs no later than October 1 of h/her second Year of Service, h/her appointment shall terminate without further notice at the end of h/her second Year of Service.

(c) If such an assistant professor receives written notice of non-reappointment on or before May 15th in either h/her second, third, fourth or fifth Year of Service, or upon h/her return to work from an approved leave of absence if this return occurs no later than October 1 of h/her next Year of Service, h/her appointment shall terminate without further notice at the end of h/her Year of Service next following the Year of Service in which notice was given.

2. Instructor

(a) If a Member who began h/her employment as an instructor on a probationary contract does not receive a Tenure Appointment on or before May 15 of h/her sixth Year of Service, h/her appointment shall terminate without further notice at the end of h/her seventh Year of Service.

(b) If such an instructor receives written notice of non-reappointment on or before March 1 of h/her first Year of service, or upon h/her return to work from an approved leave of absence, h/her appointment shall terminate without further notice at the end of h/her first Year of Service.

(c) If such an instructor receives written notice of non-reappointment on or before December 15 of h/her second Year of Service, or upon h/her return to work from an approved leave of absence, h/her appointment shall terminate without further notice at the end of h/her second Year of Service.

(d) If such an instructor receives written notice of non-reappointment on or before May 15 of h/her third, fourth or fifth Year of Service, or upon h/her return to work from an approved leave of absence if this return occurs no later than October 1 of h/her next Year of Service, h/her appointment shall terminate without further notice at the end of h/her next Year of Service following the Year of Service in which notice was given.

3. Notwithstanding this Section 201.310, the Employer may terminate a Probationary Appointment for cause at any time.

4. In the case of appointments by special contract, the special contract shall govern the time periods for notification.
 

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201.400 Procedure for Promotion and Conferral of Indefinite Tenure. 

For this Section 201.400, "Convener" refers to Department Head/Programmatic Area Director if s/he is an Eligible Voting Member as defined in Section 201.420. Otherwise, "Convener" refers to the Eligible Voting Member appointed as chair of the group of Eligible Voting Members or of the ad hoc committee. In instances where "Head" or "Department Head" is used, it refers only to the Department Head. “Day” means a calendar day other than one which has been designated an official holiday at the University of Minnesota.

 

A Member on a Regular Appointment may initiate the consideration of h/her promotion and/or conferral of Indefinite Tenure and a Member on a Non-Regular Appointment may initiate the consideration of h/her promotion by submitting a written request to the Principal Administrator on or before the 30th day of September of the Academic Year in question.

In the case of a Probationary Member who does not initiate the process for promotion or conferral of Indefinite Tenure and who has the title of instructor or assistant professor and is serving h/her sixth year of appointment, the Principal Administrator shall initiate the process and notify the member.

 

201.415 Distribution of Form.

After the Probation, Tenure and Probationary Reappointment Readiness Form has been prepared and at least ten calendar days before the Committee Meeting, the Convener shall distribute a copy of such Form to each faculty Member eligible to vote at the Committee Meeting and shall make the Member's File available for inspection to the "Eligible Voting Members."

201.420 Eligible Voting Members.

In the case of conferring Indefinite Tenure, Eligible Voting Members means those Members who have Indefinite Tenure in the Member's Department. In the case of promoting, Eligible Voting Members means those Members who have Indefinite Tenure in the Members' Department and who are senior in rank to the Member in question. When there are not at least five Eligible Voting Members in a Department, then Eligible Voting Members means those Members appointed by the Principal Administrator as provided in Section 201.425. In either case, Eligible Voting Members does not include those Members who are serving outside of the continental United States, or those Members on disability leave or formal medical leave.

201.425 Ad Hoc Committee.

When there are not at least five department Members eligible to vote on a Departmental recommendation for a Member, the Department Head and the Member shall each submit a list of up to five names of Eligible Voting Members, as defined in 201.420, from other Departments to the Principal Administrator who shall appoint as many Members from the lists as needed to establish an Ad Hoc Departmental Committee with at least five members, including all the Eligible Voting Members of the Department of the Member under consideration. The Principal Administrator shall choose Members from the lists whose experience and professional interests provide, in the Principal Administrator's judgment, an adequate measure of understanding of the Member's work so as to serve on an ad hoc committee for the purpose of making a Departmental recommendation as provided here

201.430 Written Notice and Agenda.

Written notice of and a written agenda for the Committee Meeting shall be distributed to the Eligible Voting Members by the Head at least four calendar days before the Departmental Meeting.

201.435 Simple Majority of Quorum Required.

No Committee recommendation shall be made without a majority vote of a quorum of the Eligible Voting Members. A quorum shall be two thirds of the Eligible Voting Members. If, for any reason, there is not a majority vote or there is not a quorum, the process here shall immediately proceed to the Principal Administrator and shall continue as provided in Sections 201.455 through 201.475.

201.440 Ballots and Tallying Ballots.

Committee votes shall be by written, unsigned ballots. Two of the Eligible Voting Members, designated by but not including the Convener, shall tally the votes.

201.445 Committee and Convener Reports to Principal Administrator.

Within five calendar days after the Committee Meeting, the Convener shall prepare and forward to the Principal Administrator the original ballots contained in a sealed envelope, identifying on the envelope the Member's name and the date the ballots were cast. The Principal Administrator shall retain the original ballots for a period of at least three years. The Convener shall also forward the Member's File to the Principal Administrator. At the same time the Convener forwards the ballots to the Principal Administrator, s/he shall prepare in writing and forward to the Principal Administrator and the Member the following:

  1. A statement of the recommendation, stating:

    1. the number of Eligible Voting Members;
    2. the number of votes cast in favor of the recommendation;
    3. the number of votes cast in opposition to the recommendation; and
    4. the number of Eligible Voting Members present but abstaining.
  2. A statement of the Committee's recommendation identifying the reason(s) therefore.
  3. A statement of any minority recommendation, identifying the reason(s) therefore.
  4. A separate statement of whether the Convener agrees with the majority's recommendation and a statement identifying h/her reason(s) for such agreement or disagreement.
  5. In cases where the Head of the Department/Program or unit in which the Member's tenure or rank would be awarded is not an Eligible Voting Member, the Head will provide an independent evaluation of the Member's teaching and service to the Principal Administrator. The Head who is not an Eligible Voting Member may not review the Member's file, but should base the evaluation on materials in the Member's Academic Record File.

Items (a) through (e) shall become a part of the Member's File.

201.450 Right to Review and Supplement.

For a period of ten calendar days following the Member's receipt of items (a) through (e) as provided in Section 201.445, the Member shall have the right to review them and h/her File and shall have the right to supplement the File with written comments or documents, provided however, such supplemental comments or documents are accompanied by a written statement identifying at whose request such comment or document was prepared, who prepared it and the date of its preparation, all of which becomes part of the File.

201.455 Review and Recommendation by Principal Administrator.

After the time period referred to in Section 201.450 has expired, the Principal Administrator shall review the Member's File. 

 

The Principal Administrator, upon the Member's written request, shall confer with the Member before making h/her recommendation to the Executive Vice Chancellor for Academic Affairs (EVCAA). After h/her review and conference with the Member, if any, the Principal Administrator shall state in writing to the EVCAA whether s/he supports or does not support the award of Indefinite Tenure and/or promotion for the Member and s/he shall state h/her reason(s) therefor. The Principal Administrator's recommendation, including the reason(s) for the recommendation, shall become part of the Member's File.

In case of no majority vote or lack of a quorum under Section 201.435, the Principal Administrator may request a statement from the Convener as to whether s/he supports or does not support the Member's request and the reason(s) for such support or lack of support. If the Head is not a member of the Committee, the Principal Administrator may also request an independent evaluation of the Member's teaching and service by the Head of the Department in which tenure or rank would be awarded. In instances where the Head is not an Eligible Voting Member, s/he may not review the Member's file, but should base the evaluation on materials in the Member's Academic Record File. These statements, if provided, shall become a part of the Member's File and the Member shall have the right to review the statement and to prepare a written response which shall become a part of the Member's File.

 

201.457 Right to Review, Discuss and Respond.

When the Principal Administrator has completed h/her written recommendation, s/he shall notify the Member of h/her recommendation in writing before forwarding the recommendation to the EVCAA. If the recommendation is to disapprove the request, the reason(s) therefor shall be included. The Member shall have a period of ten calendar days from the date s/he is notified of the Principal Administrator's recommendation to meet with the Principal Administrator to discuss and review the recommendation. The Member shall have the right to prepare a written response related to the Principal Administrator's recommendation, and the Member's written response shall be forwarded to the EVCAA as part of the Member's File.

201.458 Review and Recommendation by EVCAA.

After receipt of the Principal Administrator's recommendation and the Member's File, the EVCAA shall review the Member's File and shall state in writing whether s/he agrees or disagrees with the Principal Administrator's recommendation and h/her reason(s) therefor. The EVCAA, upon the Member's written request, shall confer with the Member before making h/her recommendation to the Chancellor. After h/her review and conference with the Member, if any, the EVCAA shall state in writing to the Chancellor whether s/he supports or does not support the award of Indefinite Tenure and/or promotion for the Member and s/he shall state h/her reason(s) therefor. The EVCAA's recommendation, including the reason(s) for the recommendation shall become part of the Member's File.

201.459 Right to Review, Discuss and Respond.

When the EVCAA has completed h/her written recommendation, s/he shall notify the Member of h/her recommendation in writing before forwarding the recommendation to the Chancellor. If the recommendation is to disapprove the request, the reason(s) shall be included. The Member shall have a period of ten calendar days from the date s/he is notified of the EVCAA's recommendation to meet with the EVCAA to discuss and review the recommendation. The Member shall have the right to prepare a written response related to the EVCAA's recommendation, and the Member's written response shall be forwarded to the Chancellor as part of the Member's File.

201.460 Review and Recommendation by Chancellor.

After receipt of the EVCAA's recommendation and the Member's File, the Chancellor shall review the Member's File and shall state in writing whether s/he agrees or disagrees with the EVCAA's recommendation and the reason(s) therefor. The Chancellor shall forward positive promotion and/or tenure recommendations, along with the Member's File, to the Senior Vice President for Academic Affairs for forwarding to the Board of Regents.

201.461 Right of Notice.

The Chancellor shall notify the Member, the Principal Administrator, and the Convener in writing of h/her recommendations within seven calendar days of the decision. If the recommendation is to disapprove the request, the reasons therefor shall be included.

201.463 Right to Meet and Discuss.

If the recommendation of the Chancellor is to disapprove the request, the Member shall have the right to meet and discuss the recommendation with the Chancellor within ten days of receiving the written notice described in Section 201.461.

201.470 Decision by Regents.

The Member's request and the Chancellor's recommendation shall be forwarded by the Senior Vice President for Academic Affairs to the Regents for approval or rejection.

201.475 Notice of Regents' Decision.

Within seven calendar days after the Regents' decision, the Employer shall notify the Member in writing thereof.

201.480 Regents' Decision Final and Binding.

The decision of the Regents whether to promote or to confer Indefinite Tenure shall be final and binding. The decision, the criteria upon which such decision was made, all recommendations leading up to the decision, and the reasons for such recommendations shall not be grievable. The Member may bring a grievance alleging that the procedure for promotion or conferral of Indefinite Tenure described in this Section 201.400 was not followed, except as otherwise provided in this Agreement. If the arbitrator finds that the procedure for promotion or conferral of Indefinite Tenure was not followed, the arbitrator's sole remedy for the grieving Member shall be an order requiring the Employer to reconsider the Member's request in the Academic Year in question or in the following Academic Year and to follow such procedure upon such reconsideration. Any such award shall not have the effect of automatically conferring the Member with Indefinite Tenure. The Employer and the Association recognize that the criteria by which decisions are made to promote or confer Indefinite Tenure and the decisions themselves are not negotiable; however, the Employer and the Association also recognize the Members' need to be informed as to the criteria used by the Employer for decisions to promote or confer Indefinite Tenure. In recognition of the Members' need to be informed, the Employer shall undertake reasonable steps to communicate to the Association the criteria used for promoting and conferring Indefinite Tenure.

201.485 Regents' Decision Necessary.

No change in rank and no conferral of Indefinite Tenure is effective unless approved by vote of the Regents or their designee.

201.600 Initiation of Review of Probationary Members by Head.

201.610 Initiation.

 

When the process as provided in Section 201.400 has not been initiated for the Member in that Academic Year, the annual review of the Probationary Member shall commence. The Member, with the exception of Instructors in their first two Years of Service, shall have until the first day of Spring semester classes to update h/her review materials prior to their review by the tenured Members of the Department. After this the Head shall, following consultation with the tenured Members in the Department, prepare the appraisal form then currently in use by the Employer and shall before February 15 of such year deliver a copy of the appraisal form containing the statement of the Department's appraisal to such Member.

A Member holding the rank of Instructor in h/her first Year of Service shall have until December 1 to update h/her review materials prior to their review by the tenured Members in the Department. A Member holding the rank of Instructor and in h/her second Year of Service shall have until October 1 to update h/her review materials prior to their review by the tenured Members of the Department. After the applicable deadline, the Head shall consult with the tenured Members of the Department and then prepare the appraisal form currently in use by the Employer, containing the statement of the Department's appraisal.

A copy of the completed appraisal form shall be placed in the Member's Academic Record File, in accordance with the provisions of Section 955.000.

 

201.620 Review.

Within seven calendar days after the Member's receipt of the appraisal form, the Member and the Head shall meet and discuss the Member's performance for the previous year. Following this meeting, the Member shall sign the form indicating that s/he has reviewed the form. The Member may attach a written response. The Member's signature on the form does not indicate that s/he agrees with the statements included on the form, only that s/he has reviewed them.

201.700 Review of Tenured Faculty Performance.

Goals and Expectations:

The tenured faculty of each academic unit shall establish goals and expectations for all tenured Members, including teaching, scholarly and creative productivity, and contributions to the service and outreach functions of the program, the collegiate unit, the campus, and the University. The factors to be considered will parallel those used by the program in the granting of tenure (see departmental 7.12 Statements and collegiate unit documents dealing with tenure) but will take into account the different stages of professional development of the faculty. These goals and expectations will be flexible, so that some Members may contribute more heavily to the accomplishment of one mission of the program, collegiate unit, campus or the University, while other Members contribute more to the accomplishment of other missions of these units. The goals and expectations shall not violate the individual Member's Academic Freedom. They shall include reasonable indices of acceptable performance in each of the areas (i.e. teaching contributions, scholarly and creativity productivity, service, governance, and outreach activities.)

Statement of Goals and Expectations and Indices:

The Principal Administrator shall review the goals, expectations, and indices. In particular the Principal Administrator will review these goals, expectations, and indices as they relate to the tools that programs use to assess performance for merit review. The Principal Administrator shall recognize the differences between an annual merit review and the continuing process of individual Member career development. The Principal Administrator may request changes to ensure that the indices are consistent with the goals and expectations of the particular program. When the Principal Administrator and the tenured faculty in the academic unit achieve mutual agreement, the Principal Administrator shall submit recommendations on the indices, goals and expectations to the Executive Vice Chancellor for Academic Affairs (EVCAA).

Commencement of Review of Tenured Faculty Performance:

 

The Members in each academic program undergo an annual merit review for salary adjustment (See 500.200). The review of a tenured Member's performance shall occur in conjunction with the time line for merit review. If the Principal Administrator believes a tenured Member's performance may be substantially below the goals and expectations adopted by the Member's program, as demonstrated by the appropriate indices, for a period of two consecutive years, the Principal Administrator shall advise the Head of the member’s academic unit. Within ten (10) days the Head shall convene the tenured faculty Members of that unit. The tenured Members of the unit shall review the Member’s file submitted for review. Within ten (10) days the tenured faculty shall form, by secret ballot, a recommendation to the Principal Administrator. If the tenured faculty of the academic unit agree by majority ballot that the Member’s performance is significantly below that indicated by the indices, the Principal Administrator shall advise the Member in writing, including suggestions for improving performance. The Principal Administrator shall specify the nature of concern about the Member's performance and detail the changes which must occur to bring the Member's performance back into line with program goals and expectations. A time line for improvement of a least one (1) year shall be specified. Where possible, the Principal Administrator shall provide assistance to the Member in this effort. The Member shall have 10 calendar days following receipt of the letter from the Principal Administrator to respond in writing to the Principal Administrator's recommendation. The Principal Administrator shall respond in writing to any concerns raised by the Member.

At the end of the time line for improvement that is described in the previous paragraph, the Principal Administrator shall reevaluate the tenured Member's performance to determine whether he/she feels that program goals and expectations are being met. If, in the Principal Administrator's opinion, a problem continues to exist, a recommendation from the Member's program shall be solicited. Only tenured Members in the program of rank equal to or greater than that of the Member concerned shall be queried. If at least three such Members are not found, the Head of the Program and the Member shall each suggest three names of Members who would be appropriate and the Principal Administrator shall choose a sufficient number from those lists to yield a total of three. The convener of the Committee shall be the Head if the Head is included in the Committee; if the Head is not included, the Principal Administrator shall appoint a convener from the Committee. The Head shall chair the Committee unless the convener is appointed in which case the Committee shall elect a chair. The Member shall have 30 calendar days to provide the Committee material sufficient for a review of h/her performance over the preceding five years. The Committee shall, in light of the goals and expectations of the program, prepare a report on the teaching, scholarship/creativity, service and outreach of the Member. It also will identify any supporting service or accommodation that the University could provide the Member to improve performance. The Committee may recommend:

a) that the Member's performance is adequate and that the review should end;

b) that the allocation of the Member's expected effort among the teaching, research/creativity, and service/outreach functions of the program be altered for 2 years so as to maximize the faculty member's contribution to the mission of the University;

c) that the time line for improvement be extended with additional specificity for improvement; or

d) the Committee may choose to make no recommendations.

The process described in the following two paragraphs will conclude in no longer than thirty (30) calendar days.

The Committee will send its preliminary recommendation to the Member. The Member will have ten calendar days to respond to the Committee's recommendation and to supplement the response with written comments and/or documents.

The Committee shall forward its final recommendation and any supplementary materials to the Principal Administrator. Upon the Member's written request, the Principal Administrator shall confer with the Member before making h/her decision which shall not be made until at least 10 working days have passed since receipt of the Committee's recommendations.

If this review process results in a modification of a tenured Member's workload assignment by the Principal Administrator, the Member during any stipulated period shall be evaluated for merit adjustment and performance according to criteria that are appropriately modified. These new criteria shall be provided in writing to the Member, the program Head, and the Association. No modification shall exceed by 50% the Student Credit Hour and Contact Hour Limits as specified in 250.222, 250.223, and 250.230.

The Section does not prohibit a Member from agreeing voluntarily to a modification in workload, as specified in 250.400.