1994-95 UNIVERSITY OF MINNESOTA No. 4
FACULTY SENATE MINUTES
MAY 18, 1995
The fourth meeting of the Faculty Senate for 1994-95, was convened in 25
Law Center, Minneapolis campus, on Thursday, May 18, 1995, at 3:56 p.m.
(immediately following the University Senate meeting). Coordinate campuses
were linked by telephone. Checking or signing the roll as present were 117
voting faculty members. President Nils Hasselmo, presided.
I. ADMINISTRATIVE RESPONSE TO FACULTY SENATE ACTIONS
Information
A. Resolution Concerning the Compensation Working Group Report
Approved by: the Faculty Senate April 20, 1995
the Administration - no action required
(acknowledgement received)
the Board of Regents - no action required
(The report was presented to the Administrative
Council, the Executive Council, and the Board
of Regents in March 1995)
II. ELECTION OF VICE CHAIR FOR 1995-96
Action
Professor Roberta Humphreys was elected vice chair of the Faculty Senate
for 1995-96.
III. FACULTY CONSULTATIVE COMMITTEE
Institutional-level Critical Measures and Performance Goals
Action
MOTION:
That the Faculty Senate endorse the following seven "second phase"
critical measures:
- Student Experience
- Post-Graduation Experience
- Scholarship, Research, Artistic Accomplishment
- Overall Satisfaction of Minnesota Citizens
- Faculty and Staff Experience
- Facilities Infrastructure
- Resource Development
and the process whereby specific performance goals will be defined and
redefined in the future.
COMMENT:
The U2000 agenda addresses six areas of activity and concern (research,
graduate and professional education, undergraduate education, access and
outreach, user-friendliness, and diversity). Academic Affairs developed
eighteen "critical measures" that will be used to assess University progress
toward U2000. Information technology and research equipment may become a
nineteenth measure. For each of the "measures," a series of "performance
goals" is being developed by faculty and Academic Administration to guide and
monitor our performance as an institution.
The five first phase critical measures (characteristics of entering
students, graduation rate, underrepresented groups/diversity, sponsored
funding, investment per student) were developed last summer and approved by
the Board of Regents in December 1994.
The second phase measures will be presented to the Board of Regents for
discussion in June and action in July. The measures were developed using a
discussion process involving campuses, colleges and administrative units,
Senate committees, staff committees, student organizations and groups, the
president's minority advisory committees, and others.
The Faculty Consultative Committee has closely monitored the development
of the critical measures. The committee endorses the seven second phase
measures, and supports Academic Administration's proposed request that the
Board of Regents approve the second phase critical measures.
JOHN ADAMS, Chair
Faculty Consultative Committee
DISCUSSION:
Professor John Adams presented the motion to endorse the seven "second
phase" critical measures and the process whereby specific performance goals
will be defined and redefined in the future. Directing senators attention to
the commentary following the motion, he reviewed the background and
development of the measures. He reminded the body that Senate committees have
been actively involved in their development and will continue that involvement
until the completion of the process.
In response to a question concerning the necessity for developing
measures, President Hasselmo responded that over the years the University has
undertaken alot of "measuring" which has been done in a less than systematic
way. Development of the 18 (perhaps 19) critical measures provides a more
systematic method of measuring the University and one that will be more cost
effective for accreditation purposes. It has, in fact, already helped build
credibility with the Legislature.
With no further discussion the motion was approved by a majority of
members present and voting.
APPROVED
IV. FACULTY CONSULTATIVE COMMITTEE
FACULTY AFFAIRS COMMITTEE/TENURE SUBCOMMITTEE
Regulations Concerning Faculty Tenure
Information and Discussion
Proposed Interpretations to the Regulations Concerning Faculty Tenure
I. Interpretation of Sections 3-9: Promotion and Tenure Decisions
Permitted by Provosts and Chancellors during 1995-96
To accommodate current restructuring of the central administration,
final review and related aspects of the promotion and tenure process
may occur at the level of provosts and chancellors during the 1995-96
academic year. Provosts and chancellors will receive consultation
regarding proper procedures from the Dean of the Graduate School.
COMMENT: The Tenure Subcommittee of the Senate Committee on Faculty Affairs
was recently requested by the administration to propose amendments to the
Regulations Concerning Faculty Tenure (Tenure Regulations)to accommodate
current restructuring of central administration. The immediate desire of the
administration is that final recommendations for promotion and tenure occur at
the level of provosts and chancellors, rather than centrally by the senior
vice president for academic affairs (the present procedure). While
considering appropriate amendments to the Tenure Regulations, the Tenure
Subcommittee concluded that changing aspects of the Tenure Regulations
pertaining to promotion and tenure will impact on other aspects of the
Regulations (e.g. fiscal emergencies, termination for cause), which are now
responsibilities of central administration. Reassigning these administrative
responsibilities described in the Tenure Regulations from central
administration to provosts and chancellors could have major effects on the
academic affairs and freedom of faculty. Without appropriate regulations in
place, a lack of system-wide consistency may occur with the undesirable
possibility that future faculty will be employed in one of six different
universities.
In order to allow time for broad consultation with faculty and administrators
and the preparation of carefully considered amendments to the Tenure
Regulations, the Tenure Subcommittee proposes the above Interpretation to the
Regulations. This Interpretation permits promotion and tenure decisions to
occur at the level of the provosts and chancellors for the coming academic
year. During this time the Tenure Subcommittee requests all faculty to
consider the implications for their units or departments of the requested
changes in the Regulations. We welcome your comments and suggestions
regarding the development of necessary new procedures and the revision of
specific sections of the Tenure Regulations.
II. Interpretation of Sections 14 and 15: Working Days
The word "days" is interpreted to imply working days, not calendar
days.
COMMENT: The use of the word "days" in the Tenure Regulations is unclear and
is now defined as working days.
III. Interpretation of Amendments to Sections 14.1 and 14.2: Timely
Responses in Cases of Unrequested Leave of Absence, Termination, or
Suspension
The timelines for responses by either the involved faculty member or
the administrator(s) may be extended by agreement of the parties to the
proceeding or for extraordinary circumstances. An agreement of the
parties to extend the time limit shall be in writing, signed by both
parties or their representatives. If the parties do not agree, either
party may apply to the chair of the Senate Judicial Committee for an
extension of the time in which to take the steps required in this
section. If the faculty member has failed to act within the time limits
prescribed in these sections, the responsible administrator may request
the chair of the Senate Judicial Committee to set a specific date by
which the faculty member must take action; if the faculty member fails
to do so, the petition for review will be dismissed without further
proceedings and the requested disciplinary action (or any lesser
sanction) may be taken. If the responsible administrator has failed to
act within the time limits prescribed in these sections, the faculty
member may request the chair of the Senate Judicial Committee to set a
specific date by which the administrator must take action; if the
administrator fails to do so, the proceedings shall be dismissed and
further action can be taken only by reinitiating the entire
proceedings.
COMMENT: At the Faculty Senate meeting of May 19, 1994, amendments to the
Tenure Regulations providing for a timely response by administrators to
reports of "Preliminary Proceedings" and for sending notices of "Formal
Actions" (Sections 14.1 and 14.2) were approved. The Tenure Regulations
currently provide for a timely response by a faculty member to a formal notice
of actions to be taken by the administration following the report of a
Preliminary Proceeding (Section 14.1). The amendments approved by the Faculty
Senate in May 1994 were not presented to the Regents for formal approval. The
administration considers the time limits to be difficult to follow under
unusual circumstances; for example, when an outside legal counsel for a
faculty member has limited availability or when a faculty member on a 9-month
appointment wishes to suspend the proceedings during the summer.
FOR INFORMATION:
Following are the amendments approved by the Faculty Senate May 19, 1994:
1. To amend Section 14.1 of the "Regulations Concerning Faculty Tenure", as
follows: (additions are in CAPS; deletions are in [brackets])
Section 14.1 Preliminary Proceedings
Only a dean . . . .
. . . .
Both the administrator and the faculty member may submit their views, in
person or in writing, to the body making the recommendation, but neither
of them may participate in the deliberation or vote. The body making the
recommendation makes a written report to the administrator WITHIN 40 DAYS
OF SUBMISSION OF THE ISSUE TO IT, indicating the number of votes for and
against the proposed action and the reasons articulated. [After
considering] WITHIN 15 DAYS AFTER RECEIVING the report, the administrator
makes a written recommendation to the vice president. The recommendation
must include a copy of the report of the panel or of the tenured faculty,
as the case may be. A copy of the report must be sent to the faculty
member.
2. To amend Section 14.2 of the "Regulations Concerning Faculty Tenure", as
follows: (additions are in CAPS; deletions are in [brackets])
Section 14.2 Formal Action
After receiving the administrator's recommendation, and giving the
faculty member an opportunity to comment, the vice president will decide
whether to proceed. If the vice president [decides] DOES not [to]
proceed WITHIN 40 DAYS, the charges are dropped and the faculty member
and the academic unit are so notified in writing. If the vice president
decides to proceed with formal action, the vice president must give
written notice to the faculty member . . . .
If the faculty member does not request a hearing within 30 days, the
President may take the action proposed in the vice president's notice,
without further right to a hearing.
JOHN ADAMS, Chair
Faculty Consultative Committee
DANIEL FEENEY, Chair
Faculty Affairs Committee
MARY DEMPSEY, Chair
Tenure Subcommittee
DISCUSSION:
Professor Mary Dempsey, chair of the Tenure Subcommittee, reviewed the
three interpretations and called senators attention to the commentary sections
which explain their rationale. Interpretations of the Tenure Regulations, she
explained, do not require approval by the Faculty Senate. However, the
committees involved in their development want to be sure they are expressing
the sense of the Faculty Senate before forwarding them to the administration
and Board of Regents and, therefore, they are being brought for information at
this meeting and for action at the special June 8 Faculty Senate meeting.
Professor Dempsey particularly called senators attention to
Interpretation I which allows promotion and tenure decisions to be made at the
provost and chancellor level at least during 1995-96. If the interpretation
is approved on June 8, it is the Tenure Subcommittee's intent during 1995-96
to broadly consult with colleagues before proposing specific amendments to the
Tenure Regulations formalizing the arrangement.
Interpretation II, said Professor Dempsey, clarifies that use of the word
'days' in the Tenure Regulations means 'working days' (Monday through Friday,
excluding University holidays).
Interpretation III was developed in response to the administration's
concern that the May 19, 1994, amendments to Sections 14.1 and 14.2 of the
Tenure Regulations relating to timely responses in cases of unrequested leave
of absence, termination, or suspension that were approved by the Faculty
Senate would be difficult to follow under unusual circumstances. The
Interpretation allows for the extension of the timelines by either the
involved faculty member or the administrator(s) upon agreement of the parties
or for extraordinary circumstances. If approved in June, the original May 19,
1994, amendments will be resubmitted to central administration for
reconsideration with the interpretation attached.
One senator suggested the Tenure Subcommittee might want to consider
preparing an interpretation that would allow the senior vice president for
academic affairs to delegate final responsibility for certain matters to the
chancellors and provosts, and other specific conditions as appropriate. That
would avoid the laborious task of redrafting the entire Code and permit more
flexibility in the correction of problems that may develop.
V. FACULTY CONSULTATIVE COMMITTEE
FACULTY AFFAIRS COMMITTEE
Professional Commitment Policy
Information and Discussion
PROPOSED POLICY ON PROFESSIONAL COMMITMENT - MAY 8, 1995 DRAFT
1 STATEMENT OF GENERAL POLICY
1.1 ACADEMIC EMPLOYEEs'1 principal work allegiance is to the
University, and their primary responsibilities within the University are
teaching and learning, scholarship (including research and artistic
creation), service to the University and to the wider community, and/or
administration in support of these activities. Because of their special
capabilities, ACADEMIC EMPLOYEEs are often sought to provide
professional expertise for activities beyond the responsibilities of
their academic appointment. These EXTRA PROFESSIONAL ACTIVITIES often
complement the ACADEMIC EMPLOYEE's primary University responsibilities
and thus should be encouraged if they can be accommodated within the
TERM OF APPOINTMENT. ACADEMIC EMPLOYEEs may engage in EXTRA
PROFESSIONAL ACTIVITIES within the limitations set forth in this policy
as long as these activities do not interfere with University teaching,
research, outreach, and administrative responsibilities.
1.2 The intent of this policy is to: 1) identify professional
contributions and services rendered by ACADEMIC EMPLOYEEs to the
community; 2) establish mechanisms for assuring the accountability of
the University and its ACADEMIC EMPLOYEEs with respect to EXTRA
PROFESSIONAL and BUSINESS activities; and 3) provide principles to
reconcile, as equitably as possible, conflicts between EXTRA
PROFESSIONAL and BUSINESS demands on ACADEMIC EMPLOYEEs and their varied
University responsibilities. This policy supersedes and replaces all
prior policies on this subject.
2 PROFESSIONAL COMMITMENT
2.1 A full-time ACADEMIC EMPLOYEE devotes primary commitment to
University teaching, research, outreach, and/or administrative
responsibilities, and where applicable to University patient care.
Accordingly, all ACADEMIC EMPLOYEEs should arrange all activities that
are not part of their University responsibilities so as not to interfere
with the primacy of these commitments. ACADEMIC EMPLOYEEs may engage in
EXTRA PROFESSIONAL ACTIVITIES. However, such activities must conform
to the requirements set forth in this policy. Since demands for the
talent and expertise of ACADEMIC EMPLOYEEs may on occasion affect their
responsibilities to the University, guidelines are needed to define
these responsibilities. In general, EXTRA PROFESSIONAL ACTIVITIES may be
pursued in accordance with this policy unless they:
1) interfere with an ACADEMIC EMPLOYEE's ability to carry out his/her
responsibilities to the University;
2) compete inappropriately with the services or missions of the
University; or
3) misuse resources or facilities of the University.
3 ACTIVITIES THAT MAY BE CONSIDERED PART OF AN ACADEMIC EMPLOYEE'S
WORKLOAD
3.1 The activities below (a-f) are considered service when related to
an Academic Employee's University responsibilities and are not
considered against the time limitation for EXTRA PROFESSIONAL ACTIVITIES
(see Section 5); however, they should not be pursued if they interfere
with agreed-upon teaching, research, and outreach activities, or
administrative responsibilities in support of these activities. The
specific effort allocated for these activities should be agreed upon
with the ACADEMIC EMPLOYEE's DEPARTMENT HEAD at least once a year as
part of the workload discussion. Before engaging in new activities that
would deviate substantially from the annual plan, the employee should
discuss the activities with his/her DEPARTMENT HEAD.
a) Serving as editorial officer or having other duties for a learned
journal
b) Serving on panels for academic, governmental, or not-for-profit
entities
c) Serving on a board of directors or advisory committee of a
scholarly or professional organization
d) Serving as an officer of a scholarly or professional organization
e) Attending professional meetings or professional development
programs
f) Giving occasional public presentations or participating in
colloquia
4 LIMITATION ON BUSINESS ACTIVITIES
4.1 ACADEMIC EMPLOYEEs may engage in BUSINESS activities unrelated to
their professional expertise insofar as they do not interfere with the
primacy of their University obligations.
5 TIME LIMITATION FOR EXTRA PROFESSIONAL ACTIVITIES
5.1 EXTRA PROFESSIONAL ACTIVITIES of a full-time ACADEMIC EMPLOYEE
must not exceed an average of one day per seven-day week for the TERM OF
APPOINTMENT. For those with "B" appointments, this amounts to a maximum
of 39 days in the TERM OF APPOINTMENT; for those with "A" appointments,
this amounts to a maximum of 48 days in the 11 months of active service.
A day will be considered approximately 8-10 hours of EXTRA PROFESSIONAL
ACTIVITIES and preparation time regardless of when or where this occurs
during the seven-day week. Preparation time and travel time devoted to
EXTRA PROFESSIONAL ACTIVITIES are counted toward the time limit.
5.2 ACADEMIC EMPLOYEEs (100%) must comply with the time limitations
specified within this policy. The allowable time for EXTRA PROFESSIONAL
ACTIVITIES for ACADEMIC EMPLOYEEs who hold appointments greater than or
equal to 67% time but less than 100% will be proportionately reduced in
accordance with their appointment percentage. ACADEMIC EMPLOYEEs
holding appointments less than 67% time may engage in EXTRA PROFESSIONAL
ACTIVITIES only during their noncontractual time. Reporting
requirements, however, apply to all ACADEMIC EMPLOYEEs with an
appointment of 50% time or more.
6 LIMITATION ON ACTIVITIES THAT MAY COMPETE WITH THE UNIVERSITY
6.1 EXTRA PROFESSIONAL ACTIVITIES often elicit greater visibility and
recognition for the University. However, they may also compete with the
missions of the University. EXTRA PROFESSIONAL ACTIVITIES must not
unduly compete with services or activities that are within the area of
the ACADEMIC EMPLOYEE's field of appointment. Competition is undue if
it draws students, clients, or patients, or substantial resources from
University offerings and facilities, or if the ACADEMIC EMPLOYEE's
connection with the University is exploited for the purposes of the
other institution or BUSINESS.
6.2 All ACADEMIC EMPLOYEEs holding appointments of 50% time or more
and planning to participate in EXTRA PROFESSIONAL or BUSINESS activities
that have the potential to compete with the missions of the University
must obtain written approval before engaging in the activity unless
specified under the terms of their appointment.
7 EXTRA PROFESSIONAL COMMITMENTS THAT DO NOT REQUIRE PRIOR APPROVAL
7.1 External and Internal Consulting
Engaging in external or internal consulting insofar as the
activities comply with Sections 5 and 6.
8 EXTRA PROFESSIONAL OR BUSINESS COMMITMENTS THAT REQUIRE PRIOR APPROVAL
All of the activities listed in this section require prior approval and
are subject to the limitations set forth in Sections 5 and 6.
8.1 Board Memberships
a) Serving as a corporate officer or on a board of directors of
a BUSINESS.
8.2 Competing Business Activities
b) Being employed by or consulting for a BUSINESS related to
his/her professional responsibilities that competes or has
the potential to compete with services provided by the
University that are part of the employee's University
responsibilities.
8.3 Research Activities
c) Applying for, receiving, and conducting any sponsored
research activities for another organization that ordinarily
would be conducted under the auspices of the University.
8.4 Instructional Activities
All instructional activities outside the agreed-upon workload
require prior approval of the DEPARTMENT HEAD. DEPARTMENT HEADs
will determine the amount of EXTRA PROFESSIONAL time to be
calculated for extra teaching, whether external or internal,
credit or non-credit. As a guideline, 8-10 hours of instructional
activities (including preparation, instruction, evaluation, and
consultation) will be considered equivalent to one day of EXTRA
PROFESSIONAL ACTIVITIES (see Section 5); however, the ratio may be
adjusted upon agreement with the DEPARTMENT HEAD.
d) Teaching concurrently for another higher educational
institution during the TERM OF APPOINTMENT.
e) Teaching non-credit courses or performing other non-credit
instructional activities for non-University entities during
the TERM OF APPOINTMENT.
f) Teaching for Continuing Education and Extension for extra
compensation during the TERM OF APPOINTMENT.
g) Performing other teaching or teaching-related activities for
the unit in which an ACADEMIC EMPLOYEE holds an appointment
or for another unit within the University for extra
compensation during the TERM OF APPOINTMENT.
8.5 International Projects Administered by the University
h) Participating in certain University-sponsored international
activities. Such activities may be treated in one of four
ways, based on arrangements between the ACADEMIC EMPLOYEE
and the DEPARTMENT HEAD.
(1) The activity may be inloaded as part of the agreed-upon
workload.
(2) When participation in a University-sponsored
international activity is done as part of the normal work
load but involves special responsibilities, an ACADEMIC
EMPLOYEE may receive a salary augmentation and the time
committed does not affect the time limitations described in
Section 5.1.
(3) When the activity involves special (difficult) work
environments, approval may be sought to have the activity
considered and compensated as an EXTRA PROFESSIONAL ACTIVITY
and subject to the time limitations described in Section
5.1, or
(4) When the activity involves special (difficult) work
environments, it may be compensated with funds deposited
into a departmental account to be used to subsidize the
faculty or academic staff member's travel, research
assistant, or other professional development. ACADEMIC
EMPLOYEEs on nine-month appointments may, as an alternative,
use the compensation available for such an activity to fund
a summer appointment, assuming they intend to work during
summer period.
9 HOLDING PUBLIC OFFICE OR PUBLIC SERVICE POSITIONS
9.1 ACADEMIC EMPLOYEEs share with their fellow citizens the right to
campaign for and to hold public office without their employer's prior
approval. It is desirable, however, that any ACADEMIC EMPLOYEE
contemplating candidacy for elective political office or appointment to
public office where the duties of a campaign or the holding of the office
would interfere with the fulfillment of University responsibilities,
consult in advance with the appropriate collegiate and administrative
units of the University. Consultation should focus on the question of
whether or not temporary suspension of some portion of the ACADEMIC
EMPLOYEE's responsibilities can be accommodated without serious
impairment of the function of the department or unit involved.
9.2 When an ACADEMIC EMPLOYEE is appointed to or elected to public
office, e.g., to the state legislature, requiring absence from University
duties for continuous periods of time of one year or less, it is
anticipated that leave of absence procedures or other appropriate
arrangements such as a special contract or a reduced teaching load with a
commensurate adjustment in salary, for the year or portions thereof, will
be invoked. The ACADEMIC EMPLOYEE must provide to the unit administrator
as much notice as possible to insure that ample time will be provided the
unit to replace or otherwise arrange to meet the absent ACADEMIC
EMPLOYEE's responsibilities. Prior written approval by the Senior
Academic Vice President is required for any full or partial leave of
absence.
9.3 When an ACADEMIC EMPLOYEE is appointed to or elected to public
office requiring continuous full-time service for a specified period of
more than two years, it is expected that a determination will be made by
the Senior Vice President if the leave should be extended.
When an ACADEMIC EMPLOYEE's re-election or reappointment to public office
causes continuous absence to exceed two years, it is expected that a
determination will be made by the Senior Vice President if the leave
should be extended. In the case of appointments for an indeterminate
period of time, full or partial leaves of absence may be negotiated
annually; if requests for leave extend beyond reasonable limits,
resignation may be expected.
9.4 The purpose of this section of the policy is to balance public
service of University ACADEMIC EMPLOYEEs with the University's primary
obligations to maintain its teaching programs and foster research and
creative activity. At the same time, it seeks to encourage public
service, including the holding of public office and, in any case, not to
interfere with ACADEMIC EMPLOYEEs' right freely to participate in the
political process.
10 IMPLEMENTATION - PROFESSIONAL COMMITMENT
Reporting Requirements
Prior Approval
10.1 Prior written approval of the Department Head must be secured
annually for those activities specified as requiring such approval. The
ACADEMIC EMPLOYEE contemplating such activity must initiate the request
for approval. If the ACADEMIC EMPLOYEE seeking approval for an EXTRA
PROFESSIONAL activity is a DEPARTMENT HEAD or other administrator, the
request must be submitted to the ACADEMIC EMPLOYEE's immediate
supervisor.
10.2 The request form for approval must include the following
information: name of ACADEMIC EMPLOYEE; name of entity for which activity
will be performed; type of activity involved; whether it is to be
performed on or off campus; period of time during which such activity is
to be performed; estimated amount and distribution of time, in days or
fractions thereof, to be spent on the activity; whether or not this
activity will be compensated (a "compensated" activity is one for which
honoraria, fees, or other benefits over and above expenses are received;
reimbursement for expenses is not to be construed as compensation); and
signature and date. The DEPARTMENT HEAD may require the ACADEMIC EMPLOYEE
to submit additional information about the activity as it relates to
compliance with this policy. This requirement for additional information
may be appealed to the next level of administrator.
10.3 The request for approval must be submitted to the DEPARTMENT HEAD.
The DEPARTMENT HEAD must respond in writing to the request to participate
in EXTRA PROFESSIONAL or BUSINESS2 activities within 10 working days of
receiving a request. An activity may be limited or denied approval if it
competes with University missions or interferes with workload agreements.
A specific written explanation of any limitation or denial must be
provided to the ACADEMIC EMPLOYEE. An ACADEMIC EMPLOYEE may appeal the
DEPARTMENT HEAD's action to the appropriate dean or vice chancellor for
academic affairs. That administrator's decision may be appealed to the
appropriate provost or chancellor if the ACADEMIC EMPLOYEE believes the
action violates this policy or constitutes an abuse of discretion. The
provost or chancellor will have final authority in this matter.
11 ANNUAL REPORTING
11.1 All ACADEMIC EMPLOYEEs with appointment of 50% time or more must
report to their DEPARTMENT HEAD on an annual basis those activities
(specified in Sections 5 and 6 as requiring such reporting) that occurred
during the previous year.
11.2 Annual reports on appropriate forms must be filed in the ACADEMIC
EMPLOYEE's departmental office, which will keep them for at least five
years. Copies of these annual reports must be forwarded to the dean or
vice chancellor for academic affairs. The DEPARTMENT HEAD must also
include a written statement of denied requests and the reasons therefor.
11.3 The dean or vice chancellor must submit these annual reports and
the statement about denials to the appropriate provost or chancellor and
to the Senior Vice President for Academic Affairs. The dean or vice
chancellor must also include a written statement of the denied requests
and the reasons therefor.
11.4 The Senior Vice President for Academic Affairs will maintain these
records and will make this information public in manners consistent with
University procedures, giving proper attention to rights of privacy of
individual ACADEMIC EMPLOYEEs.
11.5 The Senior Vice President for Academic Affairs will present to the
Board of Regents annually aggregate summaries of EXTRA PROFESSIONAL
ACTIVITY with the certification that all requests have been examined and
conform to Regents' and appropriate administrative policies relating to
EXTRA PROFESSIONAL ACTIVITIES.
12 PROCEDURES FOR MONITORING
12.1 If the University has reason to believe that an ACADEMIC EMPLOYEE
is engaged in BUSINESS or EXTRA PROFESSIONAL ACTIVITIES to such an extent
that it compromises his/her ability to carry out University
responsibilities, appropriate University officials may ask the ACADEMIC
EMPLOYEE to document his/her outside activities and to show that his/her
University duties are being fully met.
12.2 The appropriate provost or chancellor, in cooperation with the
appropriate dean, will periodically review a random sample of individual
and unit reports in order to evaluate the approval and reporting systems,
and will make recommendations regarding the effectiveness of this policy
to the president.
13 COMPLIANCE
13.1 The University expects ACADEMIC EMPLOYEEs to comply fully and
promptly with all the requirements of this policy. Breaches of this
policy include, but are not limited to, failing to secure prior written
approval for those activities that require it, intentionally filing an
incomplete, erroneous, or misleading request for approval or annual
report, failing to obtain DEPARTMENT HEAD's written approval to
participate in service activities as part of the workload, or failing to
provide additional information as required by the approving authority. A
violation of this policy may be the basis for discipline of an ACADEMIC
EMPLOYEE. If sanctions are necessary, they will be imposed in accordance
with the Regulations Concerning Faculty Tenure and the Academic
Professional and Administrative Staff Policies and Procedures. The
potential sanctions may include, but are not limited to, the following:
* Letter of admonition;
* Withdrawing approval for the ACADEMIC EMPLOYEE to participate in
EXTRA PROFESSIONAL and BUSINESS activities;
* Reduction of pay or percentage of appointment;
* Suspension;
* Nonrenewal of appointment;
* Dismissal.
14 APPENDIX A - OPERATING DEFINITIONS
14.1 ACADEMIC EMPLOYEE means any person possessing either a full- time
(any employee holding an appointment of at least 67 percent time) or
part-time academic or staff appointment at the University and includes
all persons with the following class numbers: Academic Administrative
93xx; Faculty 94xx; Minnesota Extension Service 96xx; and Academic
Professionals 97xx.
14.2 BUSINESS means any corporation, partnership, sole proprietorship,
firm, franchise, association, organization, holding company, joint stock
company, receivership, business or real estate trust, or any other
nongovernmental legal entity organized for profit, not-for-profit, or
charitable purposes.
14.3 DEPARTMENT HEAD is used as a generic term for the immediate
administrator, which is normally the department head, department chair,
division head, or director.
14.4 EXTRA PROFESSIONAL ACTIVITY means any internal or external activity
(beyond workload responsibilities), including BUSINESS activities related
to an ACADEMIC EMPLOYEE's appointment, of a nature requiring the special
training, expertise, and/or certification that qualifies the ACADEMIC
EMPLOYEE for the particular University appointment.
For certain ACADEMIC EMPLOYEEs, the distinction between involvement in
community activities as a citizen and involvement in such activities as a
professional is difficult to determine. If community activities are
citizen-related rather than professional activities, they may be exempt
from the prior approval and reporting requirements of this policy.
ACADEMIC EMPLOYEEs holding elected positions must comply with section 9
of this policy.
14.5 TERM OF APPOINTMENT is the contract period for ACADEMIC EMPLOYEEs
during University calendar year (July 1 to June 30). For those with
academic year appointments ("B appointment"), this is a nine-month
appointment (39 weeks with no vacation period). ACADEMIC EMPLOYEEs with
"A" appointments have an eleven-month appointment (48 weeks plus 22
vacation days in a calendar year).ACADEMIC EMPLOYEES and DEPARTMENT
HEADS are encouraged to discuss the appropriateness of the activities
before they are initiated
1 Definitions of terms appearing in capital letters are listed in
Appendix A.
2 For activities that may compete with the mission of the University.
DISCUSSION:
Professor John Adams, Chair of the Faculty Consultative Committee, called
upon Acting Vice President Mark Brenner to open the discussion of the proposed
Policy on Professional Commitment that was prepared by the Academic Integrity
Committee (AIC). The AIC, said Dr. Brenner, has been working on the proposed
policy for the past 15 months and has consulted extensively with appropriate
Senate committees and others. As a result, it has undergone numerous
revisions. The policy, he said, is intended to address public accountability
both to members within the academic community and to outside observers. It
rearticulates the fact that extracurricular activities often complement
academic employees' activities and those should be encouraged provided they
are done within the reasonable limitations as described in the policy. The
proposed policy, he said, is intended to replace the current Conflict of
Interest Policy. Before opening the floor for discussion, Dr. Brenner briefly
reviewed certain components of the document.
Professor Carl Adams recognized the efforts of Dr. Brenner and the
Academic Integrity Committee in dealing with a very difficult issue. He then
remarked on the following alternative policy which he had prepared and
distributed to Faculty Senate members:
POLICY ON ACADEMIC EMPLOYEE'S EXTRA* WORK
BACKGROUND - All academic employees are expected to fully and
professionally meet the obligations of their appointments as addressed
under the Workload, Conflict of Interest, and Academic Freedom and
Responsibility policies of the University. It is recognized that many
extra activities can complement the work an employee performs under their
base appointment and are therefore to be encouraged. The involvement of
professional school faculty with professional practice can stimulate
research, provide access to needed data, and improve instruction. The
ability to relate university research to industry capabilities and needs
can result in very complementary and synergistic work. However,
excessive extra work would by definition have undesirable effects on the
employee and/or the University. The primary concern regarding extra work
is that such activities not detract in any way from the obligation of the
employee to meet the requirements of his/her basic University
appointment. A secondary concern is that extra outside work activities
not result in material harm to the University through inappropriate
support of activities that compete directly with the service provided by
the University. Competition in general is healthy but, in some
circumstances, the University could be put in the position of bearing an
unfair proportion of the costs of individual preparation and development.
In the following sections, the two principal concerns are discussed
further and appropriate limitations are stated, reporting requirements
are specified, and compliance with the limitations is addressed.
---------------------------
* Extra refers to work activities beyond those relative to one's basic
appointment. Work activities are generally related to a job or employment.
They would also include significant activities in pursuit of a particular job,
e.g., campaigning for public office.
EXTRA WORK THAT MAY DETRACT FROM BASIC OBLIGATIONS
GENERAL LIMITATION
As noted in the various University policies (Workload, Conflict of
Interest, and Academic Freedom and Responsibility) covering the
obligations of a basic appointment, the work of academic employees is
primarily professional, integrated (across teaching, research and
outreach), and varied (e.g. clinic services). Such, work cannot be
easily bounded by statements of hourly commitment or even output
measures. Thus, the setting of limits on extra work to prevent excessive
involvement must be somewhat arbitrary. Historical precedent and
experience provide some basis for arbitrary limit. Therefore, unless
specifically withheld, the University extends the privilege of engaging
in extra work to all academic employees. Under this privilege, all
activities beyond those addressed in an individual's workload plan should
be limited to an average of one day per seven-day week for the term of an
individual's appointment. For those with "B" appointments, this amounts
to a maximum of 39 days in the term of appointment; for those with "A"
appointments, this amounts to a maximum of 48 days in the 11 months of
active service. A day will be considered approximately 8-10 hours of
extra activities and preparation time regardless of when or where this
occurs during the seven-day week. Preparation time and travel time
devoted to extra activities are counted toward the time limit.
The allowable time for extra activities obviously should increase as the
level of one's basic appointment decreases. Thus, reduction in
appointment below 100% time down to the 50% level will increase the limit
for extra work in the proportion .05 days (8-10 hours) per percentage
point reduction. Below a 50% appointment there is no specific limit on
extra work. Reporting requirements apply to all academic employees with
an appointment of 50% time or more.
Because previous policies have treated some development and service
activities differently from what is intended in this policy, it is useful
to identify some extraordinary development and service activities that
should be considered part of an academic employee's usual workload and
declare the presumption that all work on such activities will be
addressed as part of the individual's annual workload plan related to
his/her basic appointment. Such activities include:
a) Serving as editorial officer or having other duties for a learned
journal of a scholarly or professional organization.
b) Serving on review panels for academic, governmental, or non-profit
entities.
c) Serving on a board of directors or advisory committee of a
scholarly or professional organization.
d) Serving as an officer of a scholarly or professional organization.
e) Attending professional meetings or professional development
programs.
f) Giving occasional public presentations or participating in
colloquia.
SPECIFIC CASE INVOLVING POLITICAL ACTIVITIES
Involvement in political activities may be seen as a sensitive special
case of the general limitation on extra work. Academic employees share
with their fellow citizens the right to campaign for and to hold public
office and, in any case, not to interfere with any academic employees'
right freely to participate in the political process. However, such
participation may have a similar form and effect as extra work performed
in other venues. If the pursuit of public office and other forms of
extra work exceed in total the allowed limits for extra work, the
academic employee should consult with appropriate collegiate and
administrative units of the University. Consultation should focus on the
questions of whether or not temporary suspension or modification of the
academic employee's appointment and responsibilities is appropriate and
whether such changes can be accommodated without serious impairment of
the functions of the department or unit involved.
When an academic employee is appointed or elected to a public office,
e.g., to the state legislature, requiring extra work beyond the allowable
limits, appropriate arrangements such as a leave of absence, a special
contract, or a reduced teaching load with a commensurate adjustment in
salary must be made. The academic employee must provide the unit
administrator as much notice as possible to ensure that ample time will
be provided the unit to arrange to meet the academic employee's
responsibilities.
If the specified term or period of appointment is longer than two years
or if re-election or reappointment to public office extends beyond two
years, the appropriate official of the University may determine if
resignation is appropriate or if the special arrangements in place can be
renegotiated and possibly renewed annually.
EXTRA OUTSIDE WORK THAT MAY HARM THE UNIVERSITY
All Academic employees are expected to be concerned for the welfare of
the University. In areas where an academic employee engages in extra
work for an entity that provides services in competition with the
University, special care must be given to ensuring that the University is
treated fairly. the University may, for example, have directly or
indirectly borne significant extraordinary costs in development that
should be recovered. While competition is generally healthy; unfair
competition could hurt the University. Such cases are likely to be
highly judgmental but it is the responsibility of the academic employee
to be alert to such circumstances and to consult with an appropriate
supervisor if there is any significant possibility of damage to the
University's interests.
REPORTING
In conjunction with the annual workload plan discussion, each academic
employee must annually file a report of the past period's activities to
include those covered by the related annual workload plan and all
significant extra work activities.
COMPLIANCE
The University expects all academic employees to comply fully and
promptly with the spirit as well as all the specific requirements of this
policy. If upon reviewing the activities of an individual, an
appropriate supervisor questions the compliance of activities with the
policy, he/she will initiate a discussion to clarify the situation.
A violation of this policy may be the basis for discipline of an academic
employee. If sanctions are necessary, they will be imposed in accordance
with the Regulations Concerning Faculty Tenure and Academic Professional
and Administrative Staff Policies and Procedures. The potential
sanctions may include, but are not limited to, the following:
* Letter of admonition;
* Restriction of the privilege to engage in extra work;
* Reduction of pay;
* Suspension;
* Nonrenewal of appointment;
* Dismissal.
The intent of the alternative proposal, said Professor Adams, is to
provide faculty senators an opportunity to look at the issue from a somewhat
different orientation. While it is important to have a commitment to the
University, he said, there is a difference between placing on the faculty what
might be complex policies in an effort to get at issues of accountability and
performance. Professor Adams believes there is more complexity in the AIC
policy than there needs to be. The basic logic flow of his alternative
proposal is: 1) the University has policies that govern the basic work
relationship that should be followed; 2) the University is rightly concerned
about the negative impact that excessive extra work could have on the
performance of academic employees' basic obligations--thus, extra work should
be limited to an average of one day per week; 3) outside work may place the
University in an unfair competition if it does not allow the University to
recover extraordinary development costs or other investments--employees must
be sensitive to this issue and protect the significant interests of the
University; 4) employees must annually report all significant work activities,
both the activities covered by the basic workload agreement and extra work;
and 5) compliance actions result from the review of the annual reports and
subsequent follow up--sanctions are imposed in accordance with the Tenure
Regulations and the Academic Professional and Administrative Staff Policies
and Procedures.
One senator expressed frustration and concern that the Academic Staff
Advisory Committee, which represents nearly 3,000 P&A employees, had not been
consulted about the proposed policy which clearly includes that category of
employees. She strongly encouraged that this be done before the policy is
brought for action.
A suggestion was made that section 3.1 of the AIC's document should
include language that clarifies that items "a-f" are examples of what is
considered service. Dr. Brenner concurred with the suggestion and will modify
the language accordingly.
Another person considered the policy, as presently written, an insult to
the 9-month faculty. The 9-month academic year is a fiction, he said, because
faculty are paid on the basis of the instructional year. It does not mean
that faculty work entirely during their 9-month contract period and not at all
during the other 3 months. In fact, it is a continuum. Academic work is
often done during the 3-month period that the faculty are not paid. In most
instances that is when faculty have the time to do their research and writing.
"If the University is going to restrict a faculty member's outside work during
the 9-month period, it must give him/her credit for his/her inside work during
the 3-month period," concluded the senator.
It is a matter of concern for many faculty, said the Faculty Consultative
Committee chair, to be paid for 39 weeks while often working 52 and feel
restricted at the same time.
Dr. Brenner said it is not the University's intent to place repressive
boundaries on one's time but to find some reasonable ways to create an even
playing field for faculty to participate in extra professional activities yet
not have colleagues be suspect of them. It will be important for academic
employees to have a reasonable working relationship with their administrator
because in practice there are tradeoffs. The AIC believes it is important for
academic employees to be open about their outside professional activities.
The committee is not trying to find ways to put people in corners--it is
trying to define some reasonable ways by which employees can all work
together.
Another senator suggested that the University's mission is so broad that
almost anything faculty do outside of the University could be construed as
competing with the University. "If a faculty member so much as smiles wrong
at his/her department chair or dean, he/she could be turned down for
consulting work," argued the senator. Also of concern to faculty, he said, is
the possibility that if a person is successful in an outside endeavor the
University could choose to duplicate that effort, thus, creating the conflict.
The University should develop an "innovative" document that helps faculty
rather than one that has the potential for hurting faculty, particularly
during a time when the University's compensation levels have not kept abreast
with inflation.
"Why should the University be protected from having competition from a
faculty member as long as the faculty member fulfills his/her workload
responsibilities with the University?" inquired one person.
The problem occurs, responded Dr. Brenner, when the University provides a
service (for a fee) and an individual decides to establish an enterprise
outside the University that provides the same service and then he/she refers
people to the outside service. The individual may well have honed his/her
skills at University expense and now provides the service outside the
University.
Some senators expressed a preference for Professor Adams' document which
does not lead the University into a long list of approved or disapproved
internal activities that will require greater bureaucracy to implement.
A final question that was raised concerned defining consulting in terms
of 1 day out of 7--Does that mean the University owns Saturday and Sunday as
well?
Dr. Brenner again responded to the question by stating that the document
defines a boundary for the number of days a person may use in a given year for
extra professional activities. There is no expectation of what a person must
do on weekends.
In conclusion, Professor John Adams encouraged senators with further
comments to submit them directly to Dr. Brenner.
VI. OLD BUSINESS
NONE
VII. NEW BUSINESS
NONE
VIII. ADJOURNMENT
The meeting was adjourned at 4:45 p.m.
Martha Kvanbeck
Abstractor