Section 6.1

The length of initial appointments to regular academic positions and subsequent reappointments must conform to the following guidelines:

  1. Initial appointments and subsequent reappointments at the rank of Instructor shall be for one year. In no case shall service at this ran exceed three years.
  2. Initial appointments and subsequent reappointments at other ranks may vary in length depending upon the qualifications of the individual and the needs of the department, provided that the review described in Section 6.4 (e) shall be made at the time of a reappointment decision which will carry the candidate through the end of the probationary period.
  3. No probationary appointment shall exceed a term of four years; no reappointment shall exceed a term of three years. (This amendment was approved by the BoT 10/1/86, Doc. T86-076).

Section 6.2

The timing of personnel recommendations, reviews, and decisions for individuals on probationary appointments shall conform to the following guidelines:

  1. A maximum of three years of credit toward tenure may be awarded at the time of initial appointment to individuals who have had an academic appointment at another college or university subsequent to the attainment of the terminal degree or who have had equivalent professional experience.
  2. The probationary period for a full-time faculty member possessing the terminal degree or equivalent professional experience may not exceed six years.
  3. Designation of the tenure decision year for a full-time Instructor, appointed without the terminal degree or equivalent professional experience, shall be made, upon the recommendation of the department personnel committee or equivalent faculty agency, no later than the beginning of the academic year following the award of the terminal degree.
  4. Designation of the tenure decision year shall, in all other cases, be made at the time of initial appointment.
  5. The tenure decision year may be altered, upon written agreement between the individual and the appointing authority, in the following circumstances:
    1. When a non-tenured faculty member is named to either a full-time or part-time administrative position which would restrict opportunity for scholarly and professional activity, the duration of the administrative position, up to a maximum of three years, will not be included in the probationary period, provided there has been prior written agreement between, the faculty member and the appointing authority.
    2. When a non-tenured faculty member is granted a leave without pay, the time spent on leave will not be included in the probationary period, except in unusual circumstances agreed to in writing at the time the leave is approved, and shall not be credited towards eligibility for sabbatical leave.
    3. When a non-tenured faculty member, with the approval of, the Department Chairperson/Head and the Dean, temporarily transfers from full-time to two-thirds status or less, an adjustment of the tenure decision year may be negotiated. No adjustment will be permitted for a temporary transfer to more than two-thirds status.

  6. In any other circumstances, a request by the faculty member for alteration of the tenure decision year shall require:

    1. Recommendations of the department personnel committee and Chairperson/Head.
    2. Review and recommendation by appropriate administrative officials.
    3. Approval by the Chancellor.

    If approved, the re-designated tenure decision year shall be set forth in a written agreement between the individual and the Chancellor.

  7. Consideration of a candidate for an appointment with tenure shall normally be made during the tenure decision year, and only in exceptional circumstances may an award of tenure be considered prior thereto.
  8. If tenure is not granted during the tenure decision year, a terminal appointment for one academic year shall be made, in those cases in which the faculty member does not already hold such appointment.

Section 6.3

The terms and conditions of every appointment to an academic position shall be stated in, or as part of, the Approved Offer and Acceptance Form, signed by the appropriate administrative officials and countersigned by the candidate, which shall signify his or her understanding and acceptance of said terms and conditions. The terms and conditions shall specify the date of first full-time appointment at the University, credit toward the tenure, the expiration of the current appointment in the case of an appointment without tenure, and the tenure decision year in the case of a probationary appointment. No other term or condition, whether implied or stated, whether to the advantage or disadvantage of the candidate, shall have binding force.

The terms and conditions of every reappointment (or any modification thereof) shall be stated in or as part of the Notification, Offer, and Acceptance of Professional staff Reappointment Form signed by the appropriate administrative officials, and countersigned by the candidate, which shall signify his or 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 candidate, shall have binding force.

Section 6.4

The process for recommendations, reviews, and decisions for major personnel actions – reappointments through the tenure decision year, promotion to the ranks of Associate Professor and Professor, and the award of tenure – shall conform to the following guidelines. For appointments, these guidelines shall be applied as indicated.

  1. The faculty member shall be advised by the Department Chairperson/Head as early as possible (in cases of reappointment and tenure, at the beginning of the academic year) that a review of his or her contributions will be made for the purposes of a personnel recommendation.
  2. The faculty member shall submit to the Department Chairperson/Head any and all materials, for inclusion in the basic file, which he or she believes will be essential to an adequate consideration of the case.

  3. For appointments at, or promotions to, the ranks of Associate Professor and Professor and for tenure recommendations, the Department Chairperson/Head shall obtain outside letters of reference from a list of scholars and professionals which includes, but is not limited to, those suggested by the faculty member.

    The confidentiality of such letters shall be governed by appropriate federal and/or state statutes.

  4. The basic file will be studied at all levels where responsibility for recommendation, review or decision has been established. The basic file shall contain the, items in b) and c) and the following:
    1. Vita, bibliography, copies and/or reviews of published works.
    2. Appropriate evaluations of teaching effectiveness, including but not limited to those of students.
    3. Evaluations of extra-departmental contributions.
    4. Recommendations of the department and college or school faculty bodies and of appropriate administrative officials.

  5. At the departmental level, the faculty, acting in accordance with the responsibilities defined in Section 3.1, and the standards and criteria established in Article IV, initiates the personnel action by a recommendation of the departmental personnel committee based on the evidence set forth in the basic file. The Department Chairperson/Head reviews the departmental personnel committee recommendation and a) may endorse it; or b) after consultation, may formulate a contrary recommendation. In considerations of new appointments, reappointments through the tenure decision year, and the award of tenure, these recommendations shall contain written justifications on the basis of the relationships described in Section 4.2. When the recommendation does not accord with departmental long-range plans, reasons for such a departure shall be indicated.

    When the basic file is forwarded from the departmental level to the Dean, the following will have been added:

    1. The recommendation and vote of the department personnel committee (or other agency for the initiation of recommendations).
    2. The recommendation of the Department Chairperson/Head.
    3. If letters of reference are a part of the basic file, a description of the professional standing of their writers.

    A copy of the recommendation of the Department Chairperson/Head shall be sent to the Chairperson of the department personnel committee. Copies of the recommendation of the department personnel committee and of the Chairperson/Head shall be sent to the faculty member.

  6. The faculty committee at the school or college level shall review the basic file as forwarded from the departmental level. The school or college committee shall formulate its recommendation in accordance with the responsibilities defined in Section 3.1 and on the basis of the standards and criteria established in Article IV. Prior to a recommendation that may be contrary to either of the recommendations forwarded from the departmental level, the committee shall consult with the department. A copy of the recommendation of the school or college committee shall be sent to the department and to the faculty member.

    The Dean, acting in accordance with the responsibilities defined in Section 3.3, reviews the recommendation of the school or college committee together with the remainder of the basic file and formulates an additional written recommendation. Prior to a recommendation that may be contrary to either of the recommendations forwarded from the departmental level, the Dean shall invite the department to provide additional information for the basic file or clarification of the recommendation in question. A copy of the Dean’s recommendation shall be sent to the Chairperson of the school or college committee, to the department, and to the faculty member.In consideration of new appointments, reappointments through the tenure decision year, and the award of tenure, the recommendation at the school or college level shall contain written justification on the basis of the relationships described in Section 4.2. When either of these does not accord with school or college long-range plans, reasons for such departure shall be indicated.

    When the basic file is forwarded from the school or col1ege level to the Provost or Chancellor, the following will have been added:

    1. Any additional information provided by the department at the request of the Dean.
    2. The recommendation and vote of the school or college personnel committee.
    3. The recommendation of the Dean.

  7. At the campus level, the Chancellor, or the Provost as his or her designee, acting in accordance with responsibilities defined in Section 3.3, and on the basis of the standards and criteria established in Article IV, reviews the basic file as forwarded from the Dean, and makes a recommendation or decision. Prior to a recommendation or decision that may be contrary to either recommendation prepared at the school or college level, the Chancellor or Provost shall invite the Dean to provide additional information for the basic file or clarification of the recommendation.

    In decisions on new appointments and reappointments through the tenure decision year, the Chancellor shall take into consideration the justifications of the recommendations within the context of campus long-range plans. In recommendations for the award of tenure, the Chancellor’s recommendation shall contain written justification on the basis of the relationships described in Section 4.2. When the recommendation does not accord with the campus long-range plans, reasons for such departure shall be indicated.

    When the basic file is forwarded with a recommendation for tenure, the following will have been added:

    1. Any additional information provided by the Dean at the request of the Chancellor;
    2. The recommendation of the Chancellor.

    A copy of the recommendation of the Chancellor shall be sent to the Dean, to the department, and to the faculty member.

  8. At the university level, the President acting in accordance with responsibilities defined in Section 3.3,and on, the basis of standards and criteria established in Article IV, reviews the basic file as forwarded from the Chancellor, and with the concurrence of the Board of Trustees, makes the tenure decision. Prior to a negative decision that would be contrary to the recommendation of the Chancellor, the President shall invite the Chancellor to provide additional information for the basic file or clarification of the recommendation. The President shall take into consideration the successive justifications of the recommendation within the context of university long-range plans.

Section 6.5

As established in Sections 4.2 and 6.4 (e), in cases of reappointment through the tenure decision year, and the award of tenure, the justification of the recommendation shall be made the context of departmental long-range plans. Reviews of the recommendation at the various levels shall be made in the context of school or college, campus, and University plans. If, after an initial recommendation has been submitted by a department, new information and circumstances affecting program plans on the department, school or college, campus and University level develop, and such circumstances might lead to a reversal of departmental or subsequent recommendation, these shall be communicated to the department and to all intervening reviewers and each level shall have the opportunity to reconsider its recommendation and to comment on the revised plans before action is taken.

Section 6.6

No faculty member or administrative official shall participate directly in any recommendation or decision relating to appointment, reappointment, promotion, tenure, or other condition of employment at the University of any parent, child, spouse, sibling, parent-in-law, sibling-in-law, child-in-law, or stepchild, except under such circumstances as the President of the University may determine as warranting waiver of this prohibition in the best interests of the University.

A faculty member or administrative official should withdraw from participation in any personnel recommendation or decision involving potential conflict of interest.

Section 6.7

Notice of non-reappointment shall be given in writing to the faculty member by the appointing authority:

  1. Not later than March 1 of the first academic year of service, if the appointment expires at the end of that year; or, if an initial one-year appointment terminates during an academic year, at least three months in advance of its termination.
  2. Not later than December 15 of the second academic year of service, if the appointment expires at the end of that year; or, if an initial two-year appointment terminates during an academic year, at least six months in advance of its termination.
  3. Not later than August 15 prior to the year of the last academic appointment, after more than two academic years of service; or, if an appointment terminates during an academic year, at least twelve months in advance of its termination.

Section 6.8

Failure to send timely notice of non-reappointment shall entitle the faculty member to a terminal reappointment of one academic year.

Section 6.9

A faculty member, wishing to terminate his or her appointment effective at the end of the academic year, shall give notice in writing at the earliest possible opportunity, but not later than May 15; or 30 days after receiving notification of the terms of his or her appointment at the University of Massachusetts for the coming year; whichever date occurs later. Waiver of this requirement of notice may be requested by the faculty member and granted by the appointing authority in appropriate circumstances.

Section 6.10

Once a decision has been made by the appointing authority, the candidate may exercise the right of discussion at all administrative levels, beginning on the level where the first adverse recommendation was made. Prior to and at the level of the delegated appointing authority, such discussion may lead to a reconsideration of the recommendation or a change of decision. Beyond the level of the appointing authority, discussion may lead to a request that the appointing authority review the decision. For decisions taken at the level of the President, the right of discussion may be exercised with the President and subsequently with the Chairman of the Faculty and Educational Policy Committee of the Board of Trustees.

It should be noted that current Trustee policy on dismissal and grievance would remain in effect in conjunction with Articles I - VI.