MICHIGAN STATE UNIVERSITY FA.CULTY HANDBOOK The MSU Faculty Handbook is distributed by the Office of the Provost to executive managers, individuals appointed in the tenure system and the librarian continuous appointment system and to all academic departments/schools. Additionally, the Faculty Handbook is accessible on the Internet through the World Wide Web at http://www.msu.edu. Select "Information for Faculty and Staff," then "Faculty Handbook" under the heading "Policies, Procedure, Reports and Documents". (Questions about the Internet should be directed to the Computer Lab at 353-1800.) Office of the Provost September, 1996 Michigan State University Office of the Provost September 1996 Revisions/Additions to the Faculty Handbook Enclosed please find a complete replacement copy of the Faculty Handbook, which includes revisions and additions to the previous version. Major revisions/additions include: 1. 2. 3. Conflict of Interest in Employment (page 22). This statement replaces the Employ ment of Relatives policy. It broadens and clarifies the definition of "relative" and encompasses the faculty role in rendering advice on employment decisions. Adjunct and Clinical Appointments (page 30). Revised to allow appointments for a maximum period of three years. Implementation Practices (page 45). Revised to clarify information required for requests to extend the tenure system probationary appointment period. 4. Statement on University Distinguished Professor (page 103). 5. Statement on Faculty Relationship with Student-Athletes (page 119). 6. 7. Guidelines for Potential Conflicts of Interest Pertaining to Applications for NSF and PHS Research Support (page 134). Revised Interim Procedures Concerning Allegations of Misconduct in Research and Creative Activities (page 150). TABLE OF CONTENTS I. INTRODUCTION 1. 2. 3. 4. Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Disclaimer Services and Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 II. ORGANIZATION 1. 2. 3. Board of Trustees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Administrative/Academic Organization . . . . . . . . . . . . . . . . . . . . . . 6 Academic Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 The Faculty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 . . . . . . . . . . . . . . . . . 7 Student Participation in Academic Governance Academic Senate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Academic Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 III. UNIVERSITY POLICIES Equal Opportunity and Non-Discrimination 1. . . . . . . . . . . . . . . . . . . 10 2. MSU Anti-Discrimination Policy . . . . . . . . . . . . . . . . . . . . . . . . . 11 Procedures of the Anti-Discrimination Judicial Board 3. . . . . . . . . . . . . 14 Handicapper and Veteran Self-Identification . . . . . . . . . . . . . . . . . . 18 4. 5. Policy on Sexual Harassment . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Academic Freedom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 6. Advertising or Endorsement of Commercial Products 7. . . . . . . . . . . . . 21 Borrowing University Equipment . . . . . . . . . . . . . . . . . . . . . . . . . 22 8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 9. Buildings . . . . . . . . . . . . . . . . . . . . . . . 22 10. Conflict of Interest in Employment 11. Drugs and Alcohol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 12. Holidays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Indemnification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 14. Moving Expenses 15. Questionnaires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 16. Risk Management and Quality Assurance . . . . . . . . . . . . . . . . . . . . 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 17. 18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 19. University Travel Smoke-Free Policy Solicitation of Funds IV. ACADEMIC PERSONNEL POLICIES 1. 2. 3. 4. 5. 6. 7. Appointment Basis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Basic Employment Commitment on an Academic Year Basis . . . . . . . . 27 Temporary Appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Summer Session . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Adjunct and Clinical Appointment . . . . . . . . . . . . . . . . . . . . . . . . 30 Emeritus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 . . . . . . . . . . . . . . . . . . . . . . . 33 Faculty Rights and Responsibilities Sept. '96 8. 9. 10. 11. 12. Health Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Identification Cards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Jury Duty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Payroll Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Tenure System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Receipt of Qualifying Degree as a Condition of Appointment in the Tenure System . . . . . . . . . . . . . . . . . . . . . . 41 Granting Tenure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Operating Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 . . . . . . . . . . . . . . . . . . . . . . . . 45 Amendments to the Tenure Rules Implementation Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 . . . . . . . . . . . . . . . . . . . . . . . 46 Principles of Faculty Reassignment Appointment, Reappointment, Tenure and Promotion Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Tenure Action and Promotion . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 College Level Reappointment, Tenure and Promotion Committees . . . . 51 Guidelines for Academic Unit Peer Review Committee Composition and External Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Confidentiality of Letters of Reference for Reappointment, Promotion and Tenure Recommendations Non-Tenured Faculty in the Tenure System Faculty Career Advancement and Professional Development: . . . . . . . . . . . . . . . . . . 53 . . . . . . . . . . . . . . . . . . 54 A Special Affirmative Action Responsibility . . . . . . . . . . . . . . . . 55 Faculty Status: Reserved for Appointments in Primary Academic Units of the University . . . . . . . . . . . . . . . . . . . . . . . 56 Long-Term Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 Policy and Procedure for Implementing Disciplinary Action Where Dismissal is Not Sought 13. 14. 15. Administrative Review 16. 17. . . . . . . . . . . . . . . . . . . . . . . . . 60 Policy and Procedure for Rescission . . . . . . . . . . . . . . . . . . . . . . . 61 Dismissal of Tenured Faculty for Cause . . . . . . . . . . . . . . . . . . . . 61 Librarian Continuous Appointment System . . . . . . . . . . . . . . . . . . . 71 Specialists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 Faculty Grievance Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 Leaves of Absence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Sabbatical . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 Without Pay Optional Leave Without Pay Dates for Academic Year Appointed Faculty and Academic Staff . . . . . . . . . . 89 Continuation of Benefits for Faculty on Leave of Absence No Pay Status to Receive Prestigious Awards, Fellowships and/or Special Assignment Opportunities . . . . . . . . . . . 90 Medical . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Family and Medical Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 Vacation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 Bridging Breaks in Service Credit for Past Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 Retirement Working Retirement Options . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 Resignation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 18. 19. 20. 21. ii Sept. '96 22. 23. 24. 25. Participation in Partisan Political Activities Study at MSU by Faculty Members Course Fee Courtesy Faculty Awards Distinguished Faculty Awards MSU Teacher-Scholar Awards MSU Excellence-In-Teaching Citations for . . . . . . . . . . . . . . . . . 100 . . . . . . . . . . . . . . . . . . . . . . 100 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 . . . . . . . . . . . . . . . . . . . . . . . . . 102 . . . . . . . . . . . . . . . . . . . . . . . . . 102 Graduate Teaching Assistants . . . . . . . . . . . . . . . . . . . . . . . . 103 26. University Distinguished Professor . . . . . . . . . . . . . . . . . . . . . . . 103 27. Administrative Assignment Procedure for Faculty and Student Participation in the Selection of Specified University Level Administrators . . . . . . . . . . . . . . . . . 105 Salary, Appointment, and Faculty Status of Faculty Members Who Assume Administrative Responsibilities . . . . . . . . . . . . . . . 107 . . . . . . . . . . . . . . . . 110 Annual Evaluation of Chairpersons/Directors Extension, Medical Care and Other Faculty/Academic Staff 28. Service Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 29. Outside Work for Pay 30. Medical Service Plan for Colleges of Human Medicine and . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 31. Overload Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Osteopathic Medicine V. INSTRUCTION 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. General Statement Abrogation of Faculty Teaching Responsibility . . . . . . . . . . . . . . . Academic Advisement, Enrollment, Registration, and Counseling . . . . Academic Apparel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Academic Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Code of Teaching Responsibility . . . . . . . . . . . . . . . . . . . . . . . . Faculty Relationships with Student-Athletes . . . . . . . . . . . . . . . . . Supervision of Academic Work by Relatives . . . . . . . . . . . . . . . . . Participation in Commencement . . . . . . . . . . . . . . . . . . . . . . . . Religious Holidays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rights of Students to Receive Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Student Instructional Rating System . . . . . . . . . . . . . . . . . . . . . . . . . . Threats to a Faculty Member . . . . . . . . Composition of a Doctoral Program Guidance Committee 115 115 116 117 117 117 119 120 121 121 121 122 123 124 VI. RESEARCH AND CREATIVE ENDEAVOR 1. 2. 3. 4. 5. 6. 7. 8. General Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 . . . . . . . . . . . . . . . . . 126 Sponsored Research and Creative Endeavor Conflict Situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 Interim Guidelines for Potential Conflicts of Interest in Academic Areas of the University Guidelines for Potential Conflicts of Interest Pertaining to . . . . . . . . . . . . . . . . . . . . . 131 Applications for NSF and PHS Research Support . . . . . . . . . . . . . 134 Facilitation of Research and Creative Efforts . . . . . . . . . . . . . . . . 137 Office of Research Development . . . . . . . . . . . . . . . . . . . . . . . . 137 All-University Research Funding . . . . . . . . . . . . . . . . . . . . . . . . 137 w Sept. '96 Regulatory Guidelines for Research Support for Development of Intellectual Property . . . . . . . . . . . . . . 138 9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 10. MSU Foundation 11. International Travel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 12. Office of Contract and Grant Administration . . . . . . . . . . . . . . . . . 138 . . . . . . . . . . . . . . . . . . . . . . 139 13. . . . . . . . . . . . . 139 14. Use of Radiation, Biological and Chemical Hazards Protection of Human Subjects . . . . . . . . . . . . . . . . . . . . . . . . . . 140 15. 16. Use of Animals in Research, Teaching and Service . . . . . . . . . . . . 142 17. Patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Textbook Publication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 18. 19. Development of Instructional Materials . . . . . . . . . . . . . . . . . . . . 144 20. Interim Procedures Concerning Allegations of Misconduct in Research and Creative Activities . . . . . . . . . . . . . . . . . . . . . . . 150 VII. FACULTY AND ACADEMIC STAFF RETIREMENT. AND BENEFIT PROGRAMS 1. Accidental Death and Dismemberment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Automatic Benefits Optional Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Retirement Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Full-Time Equivalent (FTE) Service Months . . . . . . . . . . . . . . . . . 173 2. Expanded Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 3. Long-Term Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 4. 5. Social Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 4 Travel Accident . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 6. Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . 174 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 8. Workers' Compensation . . . . . . . . . . . . . . . . . . . . 175 9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 10. Dental 11. Employee-Paid Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 12. Health Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 13. Waiver of Health Care Coverage . . . . . . . . . . . . . . . . . . . . . . . . 177 14. Dependent Care Spending Account . . . . . . . . . . . . . . . . . . . . . . 177 15. Benefits for Postdoctoral Fellows . . . . . . . . . . . . . . . . . . . . . . . . 178 16. Health Care Benefits for Visiting Faculty/Scholars . . . . . . . . . . . . . 179 Retirement Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 17. Base Retirement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 Supplemental Retirement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . 181 Other Retirement Information . . . . . . . . . . . . . . . . . . . . . . . . . . 181 Leave of Absence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 With Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Without Pay Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 19. 20. Death 18. VIII. INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 iv Sept. '96 I. INTRODUCTION FOREWORD The Facu'/ty Handbook provides information to help you as a faculty /academic staff member of Michigan State University. You will find most of the policies, regulations and procedures of the University either contained here in their entirety or referenced. Those which are not totally included because of their length or because they are peripheral to the faculty/academic staff mission can be found in other University publications. The following documents are general sources of information that may be of use to faculty and academic staff: 1. 2. 3. 4. 5. 6. 7. 8. 9. The Facu'/ty Handbook contains employment policies for faculty and academic staff. It is available from your department secretary, or Academic Personnel Records, 355-1526. It is also accessible through Gopher by making the following menu selections: "Information for the MSU Community," "Information for Faculty and Staff," "Faculty Handbook." The Byltlws for Academic Governance are available from your department secretary, or the Office of the Secretary for Academic Governance, 355-2337. The Facu'/ty and Staff Directory contains: telephone numbers, administrative and academic organization of MS U, members of the Board of Trustees, members of university committees, campus map, etc. and is available from your department secretary, or from Room 64 Administration Building, 353-0720. The Academic Programs section of the University catalog contains: description of academic programs, mission statement, President's statement, honorary and professional organizations, etc. and is available from your department secretary, or from Room 64 Administration Building, 353-0720. The Board of Trustees Policy Manual contains all policies approved by the Board of Trustees of Michigan State University. It is available from the Office of the Secretary of the Board of Trustees, 353-4647, or in college offices. The Byltlws of the Board of Trustees are available from the Office of the Secretary of the Board of Trustees, 353-4647. Ordinances of Michigan State University are available for viewing at the Department of Public Safety, 355-1830; or at the Reference Desk in the main Library. Sparlan Life, the student handbook and resource guide contains: student legislative and judicial procedure, Academic Freedom for Students at MSU, Graduate Student Rights and Responsibilities, student regulations, etc. and is available from Student Affairs and Services, 355-8286. The Manual of Business Procedures contains information regarding proper University business procedures. It is available from your department secretary. Wherever possible, dates of adoption and sources have been included for University policies and regulations. For policies approved by the Board of Trustees, the original approval date and the date of the most recent amendment is provided. Dates of other actions by the Board on a particular policy may be found in the Board of Trustees' Policy Manual which is available in all college offices or from the Office of the Secretary of the Board of Trustees. The Faculty Handbook will be updated by the addition of supplements or the substitution of revised pages in the future. New pages and supplements for all faculty /academic staff will be delivered through departmental offices. It will be the responsibility of the department chairperson/school director to maintain an updated copy to which faculty /academic staff may refer. 1 Sept. '96 The responsibility for distributing information about changes rests with the Office of the Provost. Questions regarding content should first be addressed to your departmental chairperson or the director of your school. DISCLAIMER The Michigan State University Faculty Handbook contains University policies, procedures, and other information in effect as of the date of issuance (see date at the bottom of each Faculty Handbook page). Any subsequent changes in policies, procedures, or other information are effective as of the date of action or issuance by the appropriate University body even though such changes have not been distributed as revisions or additions to the Michigan State University Faculty Handbook. Revisions of, or additions to, the Faculty Handbook will be issued regularly (usually annually) to deans, chairpersons, and directors and to individual tenure system faculty and others holding appointments in other continuing academic personnel appointment systems to which the Faculty Handbook is applicable. In the interim, every effort will be made to communicate revisions and additions to deans, directors, and chairpersons for communication to faculty and academic staff members. SERVICES AND OPPORTUNITIES Listed below are some of the services and opportunities which are widely used by faculty and academic staff. Service/Opportunity University Office Emergencies Art Benefits Bookstore Chapel Child Care Nursery School Computer Services Credit Union Dining On-Campus Education Faculty Folk Club Gardens Police and Public Safety Kresge Art Museum Benefits Office MSU Bookstore Alumni Memorial Chapel Spartan Village Center Child and Family Care Resources Laboratory Preschool, Family Ecology Computer Laboratory MSU Federal Credit Union International Center Kellogg Center Union Owen Graduate Center Lifelong Education Faculty Folk Club Beal Botanical Garden Hidden Lake Gardens Kellogg Biological Station MSU Horticultural Demonstration Gardens Telephone1 911 or 355-2221 355-7631 353-4434 355-3450 355-3464 353-5154 432-3745 355-1900 353-1800 353-2280 355-4550 432-4000 355-3492 355-5007 355-0138 Phone directory 355-9582 431-2060 353-9445 355-0348 1Telephone numbers are occasionally changed; please verify the number listed in the Faculty Staff Directory 2 Sept. '96 Service/Opportunity University Office Telephone Grievance Health Care Hotel Services Housing On-Campus Housing Off-Campus Library Services Lost and Found Media Services Minority Organizations Museum Music Newspapers Parking-Vehicle, Bicycle Payroll Performing Arts Personal Assistance Planetarium Printing Services Psychological Clinic Public Relations Publishing Services Radio Recreation and Sports Research Services Animal Care Safety Television Transportation University Club Women's Organizations Faculty Grievance Office Clinical Center Kellogg Center University Apartments Student Affairs and Svcs Library Union Building Instructional Media Ctr Office for Affirmative Action Compliance and Monitoring Museum School of Music Fac./Staff News-Bulletin State News Police and Public Safety Vehicle Office Payroll Office Wharton Center Employee Assist. Prgms Abrams Planetarium University Printing Psychological Clinic Public Relations Office MSU Press WKAR AM and FM Radio Athletic Ticket Office Forest Akers Golf Crs Intramural Sports/ Recreative Serv. Union Building Research Development Laboratory Animal Care Service Radiation, Chem., Biological WKAR TV Physical Plant Automotive Services University Club Women's Resource Center 353-8884 353-3000 432-4000 355-9550 355-8303 353-8700 355-3497 353-3918 353-3922 355-2370 353-5340 355-2285 355-3447 355-8440 355-5010 432-2000 355-4506 355-4672 355-6610 355-9564 353-7958 355-9543 355-6540 355-1610 355-1635 355-5250 355-3460 355-0306 353-5064 355-0153 355-2300 353-5280 353-5111 353-1635 3 Sept. '96 MISSION STATEMENT The following statement was approved by the Board of Trustees on June 24-25, 1982. Michigan State University holds a unique position in the state's educational system. As a respected research and teaching university, it is committed to intellectual leadership and to excellence in both developing new knowledge and conveying that knowledge to its students and to the public. And as a pioneer land-grant institution, Michigan State University strives to discover practical uses for theoretical knowledge, and to speed the diffusion of information to residents of the state, the nation, and the world. In fostering both research and its application, this university will continue to be a catalyst for positive intellectual, social, and technological change. Founded in 1855 as an autonomous public institution of higher learning by and for the citizens of Michigan, this institution was in 1863 designated the beneficiary of the Morrill Act endowment. It became one of the earliest land-grant institutions in the United States. Since 1863, Michigan State has evolved into an internationally esteemed university, offering a comprehensive spectrum of programs and attracting gifted professors, staff members, and students. The university seeks excellence in all programs and activities and this challenge for high achievement creates a dynamic atmosphere. At Michigan State University, instruction, research, and public service are integrated to make the institution an innovative, responsive public resource. As the only land-grant institution in the state, Michigan State University is committed to providing equal educational opportunity to all qualified applicants; to extending knowledge to all people in the state; to melding professional and technical instruction with quality liberal education; to expanding knowledge as an end in itself as well as on behalf of society; to emphasizing the applications of information; and to contributing to the understanding and the solution of significant societal problems. Michigan State University's adherence to academic freedom and open scholarly inquiry supports these essential academic functions. The university's land-grant and service mission first originated in the areas of agriculture and the mechanic arts. While these emphases remain essential to the purpose of Michigan State, the land-grant commitment now encompasses fields such as health, human relations, business, communication, education, and government, and extends to urban and international settings. The evolution of this mission reflects the increasing complexity and cultural diversity of society, the world's greater interdependence, changes in both state and national economy, and the explosive growth of knowledge, technology, and communications. Just as the focus on agriculture and the mechanic arts was appropriate when Michigan State University was founded, the wide range of instructional, research, and public service commitments that now characterize this university is essential today. By 1964, the instruction, research, and public service activities at Michigan State University had achieved the high level of excellence necessary for membership in the Association of American Universities (AAU). Innovation and leadership in these three crucial areas and in the extension of knowledge to the state, the nation, and the world, are the hallmarks of this university. An excellent and diverse faculty insures the superior quality of academic programs, and contributes to the expansion of knowledge and its application in the public interest. Research and scholarship help preserve and enrich cultural and creative traditions, as well as contribute to the formulation of new knowledge. Graduate programs draw upon and support faculty research, extend the benefits of research, and educate students for professional careers. The established national and international reputation of the university is based upon the quality and distinctiveness of the research and scholarly activity of its faculty and students. 4 Sept. '96 Research and public service are mutually enriching activities for both faculty and students, and contribute significantly to the high quality of both undergraduate and graduate instructional programs. Through research, faculty members enhance the scope and effectiveness of their teaching. Through public service, faculty validate past research findings and identify the need for new research and for modifications of curricula. Participating with faculty in research and service projects provides students with unique learning opportunities, and consequently improves the quality of both graduate and undergraduate education. At the undergraduate level, the university offers strong, comprehensive programs in the liberal arts and sciences and in major professional areas which include a significant general education component. Michigan State University provides opportunities for students of varying interests, abilities, backgrounds, and expectations. Underlying all educational programs is the belief that an educated person is one who becomes an effective and productive citizen. Such a person contributes to society intellectually, through analytical abilities and in the insightful use of knowledge; economically, through productive application of skills; socially, through an understanding and appreciation of the world and for individual and group beliefs and traditions; ethically, through sensitivity and faithfulness to examined values; and politically, through the use of reason in affairs of state. Mindful of such purposes, Michigan State University is committed to graduating educated men and women with diverse backgrounds who are active learners, ready to assume the responsibilities of leadership wherever opportunities arise. Michigan State University fulfills the fundamental purposes of all major institutions of higher education: to seek, to teach, and to preserve knowledge. As a land-grant institution, this university meets these objectives in all its formal and informal educational programs, in basic and applied research, and in public service. As an AAU institution, this university meets these commitments through its instructional and research programs. Through the excellence of its academic programs, the strength of its support services, and the range of its student activities, the university provides opportunities for the fullest possible development of the potential of each student and each citizen served, and enhances the quality of life and the economic viability of Michigan. Education of its citizens is the state's best investment in its future. Michigan State University has honored, and will continue to honor, this public trust. 5 Sept. '96 II. ORGANIZATION BOARD OF TRUSTEES The Constitution of the State of Michigan provides that the Board of Trustees shall have general supervision and direction of the University. The eight members are elected from the state at large for a term of eight years, two being elected each even-numbered year. The president of the University is appointed by the Board and by constitutional provision is the presiding officer of the Board. Generally, the Board meets monthly, except as otherwise provided by the Board. As provided by Michigan law, the Board establishes an annual calendar for its regular meetings; meetings are open Items requiring Board action are due in the to the public except for limited closed sessions. President's or Provost's office about three weeks before each Board meeting. In addition to the president the following University officers are present at Board meetings: Provost, Vice President for Finance and Operations and Treasurer, Vice President for Research and Graduate Studies, Vice President for Student Affairs and Services, Vice President for University Development, Vice President for Governmental Affairs, General Counsel and Vice President for Legal Affairs, Vice President for University Relations, Vice President for University Projects, and Secretary of the Board. Five faculty members and four students selected by their respective constituencies also attend Board meetings. ADMINISTRATIVE/ACADEMIC ORGANIZATION The Organization of Michigan State University is updated annually and included in the Faculty and Staff Directory. (See the Foreword, for source of Directory.) ACADEMIC GOVERNANCE Preamble The Constitution of the State of Michigan confers on the Board of Trustees the responsibility to develop a free and distinguished university and to promote the welfare of mankind through teaching, research and public service. The Board of Trustees exercises final authority and responsibility for University governance within the bounds fixed by the State Constitution. In exercising its responsibility the Board delegates to the president, and through that person to the faculty, appropriate authority and jurisdiction over matters for which they are accountable to the Board. In other cases, for example, appointment, reappointment or promotion which involve the award of tenure, the Board does not delegate but instead looks to the faculty for recommendations. The specific powers delegated to the faculty are detailed in the Bylaws of the Board of Trustees. The Board also has declared its intention to give due consideration to the opinions of students on matters directly related to their interest when they are expressed in a responsible manner. It is important to specify the manner and process by which the faculty and students develop and communicate their views to the President and the Board. The Bylaws for Academic Governance are designed to provide an effective system for the participation of faculty and students in the development of policy on academic matters. 1 1Bylawsfor Academic Governance, Michigan State University, June 1993, Section 1.3. 6 Sept. '96 The Faculty The faculty of the University is defined in the Bylaws of Academic Governance as follows: The "regular faculty" of Michigan State University shall consist of all persons appointed under the rules of tenure and holding the rank of professor, associate professor, assistant professor, or instructor, and persons appointed as librarians. In addition, the principal administrative officer of each major educational and research unit of the University shall be a member of the "regular faculty". The "temporary faculty" of Michigan State University shall consist of all persons holding the rank of professor, associate professor, assistant professor, or instructor, but not appointed under the rules of tenure. 1 The faculty of the University is organized into units--most commonly departments but also schools, institutes, etc. Each department and unit is attached organizationally to at least one college; however, organizational attachment of units to two or more colleges is very common at MSU. The faculty of each college and unit has jurisdiction over its own internal academic affairs within University policy. Each college has an elective Advisory Council and each unit has an advisory committee. "Regular" faculty members holding appointments with the academic rank of professor, associate professor, assistant professor, or instructor constitute the voting faculty on internal matters in both the college and the department, and voting rights may be extended by unit bylaws to include temporary faculty, honorary faculty, specialists, lecturers, research associates, assistant instructors or adjunct faculty. Non-college faculty also participate in the governance system with a similar set of rights and responsibilities. Student Participation in Academic Governance The Bylaws of the Faculty, 1968 provided for both undergraduate and graduate student participation in the Academic Council and certain faculty standing committees. In September, 1978, the Board of Trustees approved the Bylaws for Academic Governance, 1978, to replace the Bylaws of the Faculty, 1968 and the Bylaws for Academic Governance, 1975. The 1978 Bylaws provided for student participation in academic governance and this involvement continues in the current By laws. Each department, school, center, and institute that has academic responsibilities or whose work concerns either undergraduate or graduate students, and all colleges are charged to develop patterns for the significant involvement of its students in the decision making processes by which policy is formed. Each group is also required to define the extent of its student constituency. The students of such a constituency are responsible for selecting, according to patterns of their own choice, their representatives in the councils and committees to which they are party. Academic Senate The voting membership of the Academic Senate is composed of the regular faculty except for the president and the provost. Honorary faculty (visiting professors and emeriti professors) are members with voice but without vote. The Academic Senate acts on revisions to the Bylaws for Academic Governance, issues raised by the Academic Council, issues raised by the faculty, or other 1Bylawsfor Academic Governance, Michigan State University, June 1993, Sections 1.1.1.1. and 1.1.1.2. 7 Sept. '96 significantly important educational issues the Senate itself wishes to consider. The Academic Senate also serves as a forum for dissemination of ideas and information between the faculty and the administration. The Academic Senate meets by call of the president or by call of the faculty members of the Steering Committee. The agenda for Senate meetings is prepared by the Steering Committee in consultation with the president and the provost. 1 Additionally, a convocation of University faculty is held each winter term on a date announced annually, to receive from the president a message on the state of the University. Academic Council The Academic Council is composed of the Faculty Council, the Appointed Council, designated members of the Associated Students of Michigan State University (ASMSU), designated members of the Council of Graduate Students (COGS), designated members of the Academic Council standing committees, the Steering Committee, the president, the provost, and designated ex-officio members. Ex-officio members are the Associate Provost, Vice President for Student Affairs and Services, the Vice President for Research and Graduate Studies, the Assistant Provost for Undergraduate Education and Academic Services, the Assistant Provost for Student Academic Support Services and Racial, Ethnic and Multicultural Issues, the Assistant Provost and Assistant Vice President for Academic Human Resources, the Vice Provost for Computing and Technology, the Assistant Provost for Graduate Education, the Vice Provost for University Outreach, the Vice Provost for Agriculture and Natural Resources, the Vice Provost for Human Health Programs, the Faculty Grievance Official, and the Ombudsman. There are four sub-groups in the Academic Council. The Faculty Council is composed of the faculty representatives from the colleges, faculty representatives from the non-college faculty, the faculty members of the Steering Committee, faculty chairpersons of Academic Council standing committees, the president and the provost. The Appointed Council is composed of all deans of academic programs, the directors of the Honors College and Library, the director of the National Superconducting Cyclotron Laboratory, the president and the provost. The Associated Students of Michigan State University and the Council of Graduate Students are composed of student, faculty and administrative representatives according to their respective constitutions. 1 The functions of the Academic Council are to consider and act upon all matters brought before the group by the Steering Committee, the president, and the provost, and to provide a forum for the dissemination of information and exchange of views regarding University policy. Consultation upon matters related to the general welfare of the University is provided by the Academic Council. The president, or in the president's absence, the provost, presides at meetings of the Academic Council. The Secretary for Academic Governance is the secretary of the Academic Council. The Academic Council must meet at least once each month during the academic year and more often at the call of the president or Steering Committee. · The agenda is prepared by the Steering Committee, in consultation with the president or the provost. Before each regularly scheduled meeting of the Academic Senate or the Academic Council, the Steering Committee holds a public meeting open to any member of the faculty or student body at which suggestions for agenda items are heard, thereby 1The Secretary for Academic Governance is secretary to the Academic Senate, the Academic Council, the Faculty Council and the Academic Assembly of ASMSU. The Office of the Secretary provides staff support to the Academic Council and its committees, supervises elections to the Academic Council and its committees, and provides assistance to colleges and departments in the preparation and interpretation of unit bylaws for academic governance. The Office of the Secretary is located in Room 308 Olds Hall (355-2337). 8 Sept. '96 providing the vehicle through which individual faculty members, students or faculty-student groups and other organizations may initiate action. The Steering Committee announces this meeting in the State News and the MSU News-Bulletin. Most of the issues debated by the Academic Council are considered by its various standing committees: The University Committees on Academic Environment, Academic Governance, Academic Policy, Curriculum, Faculty Affairs, Faculty Tenure, Student Affairs and the University Graduate Council. For information about composition, procedures and functions of the various standing committees see Section 4 of the Bylaws for Academic Governance. Faculty and student members of the standing committees of the Academic Council are selected in accordance with the procedures specified in the Bylaws for Academic Governance. Bylaws are an integral component of the governance system adopted in each academic unit. These documents describe faculty consultation and advisement in the units and normally describe reappointment, tenure and promotion procedures. 9 Sept. '96 III. UNIVERSITY POLICIES EQUAL OPPORTUNITY AND NON-DISCRIMINATION Michigan State University is committed to the principles of equal opportunity, non-discrimination and affirmative action. University programs, activities and facilities are available to all without regard to race, color, gender, religion, national origin, political persuasion, sexual orientation, marital status, handicap, height, weight, veteran status or age. The University is an Affirmative Action, Equal Opportunity Employer. In carrying out this commitment, the University is guided by the policies adopted by the Board of Trustees and by applicable federal and state laws and regulations. Among these are: • • • • • • • • • • • • • Executive Orders 11246 and 11375 prohibiting discrimination on the basis of race, color, religion, national origin or gender by institutions with federal contracts of over $10,000. Title IX of the Higher Education Amendments of 1972 prohibiting discrimination against students and employees on the basis of gender. Titles VI and VII of the Civil Rights Act of 1964 (as amended) prohibiting discrimination in the provision of services and employment on the basis of race, color, religion, national origin or gender. Age Discrimination Act of 1975 prohibiting discrimination on the basis of age in programs or activities receiving federal financial assistance. Age Discrimination in Employment Act of 1967 prohibiting discrimination in employment on the basis of age. . Equal Pay Act of 1963 (as amended) prohibiting discrimination in salaries on the basis of gender. Titles VII and VIII of the Public Health Service Act prohibiting discrimination in the admission of students in health personnel training programs on the basis of gender. Sections 503 and 504 of the Rehabilitation Act of 1973 prohibiting discrimination on the basis of handicap in any program or activity receiving federal financial assistance and requiring affirmative action in the employment of the handicapped. Section 402 of the Vietnam Era Veterans Readjustment Act of 1974 requiring affirmative action in the employment of disabled and Vietnam-era veterans. Retirement Equity Act of 1984 providing greater pension equity for women and for all workers, their spouses and dependents. Elliott-Larson (Michigan) Civil Rights Act of 1976 prohibiting discriminatory practices, policies and customs. Michigan Handicappers' Civil Rights Act of 1976 prohibiting discriminatory practices, policies, and customs. Americans with Disabilities Act of 1990 prohibiting discrimination against individuals with disabilities. The Board of Trustees has directed the establishment of the Anti-Discrimination Judicial Board (ADJB) to serve as its internal mechanism for the receipt, consideration, and resolution of complaints of alleged acts of discrimination as defined in the all-University policy entitled "MSU Anti Discrimination Policy." Individuals who believe their rights have been abridged or that they have been discriminated against in violation of any applicable law or regulation may contact the Anti Discrimination Judicial Board Office, telephone 353-3929, for information about the ADJB procedure. 10 Sept. '96 The responsibility for overall coordination, monitoring and information dissemination about the University's program of equal opportunity, non-discrimination and affirmative action is assigned to the Office for Affirmative Action Compliance and Monitoring, telephone 353-3922. MSU ANTI-DISCRIMINATION POLICY The following policy was approved by the Board of Trustees on April 9, 1993. Article I. Purpose Michigan State University's scholarly community-building efforts occur within the context of general societal expectations, as embodied in the law. The University, consistent with its policies and governing law, promotes institutional diversity and pluralism through mechanisms such as affirmative action, within an over-arching strategy promoting equitable access to opportunity. The University's commitment to non-discrimination is the foundation for such efforts. This policy states expectations for institutional and individual conduct. It applies to all University community members, including faculty, staff, students, registered student organizations, student governing bodies, and the University's administrative units, and to the University 's contractors in the execution of their University contracts or engagements 1 , with respect to the following: 1. 2. 3. 4. All educational, employment, cultural, and social activities occurring on the University campus; University-sponsored programs occurring off-campus, including but not limited to cooperative extension, intercollegiate athletics, lifelong education, and any regularly scheduled classes; University housing; and Programs and activities sponsored by student governing bodies, including their constituent groups, and by registered student organizations. Article II. Prohibited Discrimination Unlawful acts of discrimination or harassment are prohibited. In addition, the University community holds itself to certain standards of conduct more stringent than those mandated by law. Thus, even if not illegal, acts are prohibited under this policy if they: 1. Discriminate against any University community member(s) through inappropriate limitation2 of employment opportunity3 , access to University residential facilities, or participation in educational, athletic, social, cultural, or other University activities on the basis of age, color, gender, handicapper status, height, marital status, national origin, political persuasion, race, religion, sexual orientation, veteran status, or weight4 ; or 1This policy does not apply to the conduct of a contractor's internal affairs, nor does it apply to the conduct of contractual engagements to which the University is not a party. 2Limitations are inappropriate if they are not directly related to a legitimate University purpose. 3For purpose of this policy, "employment opportunity" is defined as job access and placement, retention, promotion, professional development, and salary. 4University ordinances, written regulations and policies, and published ADJB decisions approved by the President, provide guidance on the harassing acts prohibited by Section 2 and the discriminatory acts prohibited by Section 2. 11 Sept. '96 2. Harass any University community member(s) on the basis of age, color, gender, handicapper status, height, marital status, national origin, political persuasion, race, religion, sexual orientation, veteran status, or weight. These prohibitions are not intended to abridge University community members' rights of free expression or other civil rights . Article III. Mediation and Adjudication Mediation of claims and disputes, through consultation provided by offices serving the University, is encouraged1 • Complaints under this policy may be submitted for non-disciplinary adjudication according to the provisions of the "Procedures of the Anti-Discrimination Judicial Board." Upon its review, the ADJB may recommend that appropriate disciplinary proceedings be initiated, if such has not already occurred. Disciplinary proceedings are governed by the documents listed in Appendix A. Excepting the President and the General Counsel, any University community member may be named in a complaint. 1Consultation with one or more of the following may be useful: • the chairperson, director, or dean of the relevant unit, • supervisory support personnel, • the Women's Resource Center • the Ombudsman, • the Office of Minority Student Affairs, • Student Life or Residence Halls Staff, • Sexual Assault Crisis & Safety Education, • faculty or staff academic advisors, • the MSU Counseling Center, and • the Faculty Grievance Official 12 Sept. '96 APPENDIX A The contracts, policy documents, and procedures listed below provide avenues for the consideration of disciplinary complaints or actions against the various members of the Michigan State University community. Academic Freedom for Students at Michigan State University Bylaws of the Medical Staff, Colleges of Human and Osteopathic Medicine: Michigan State University MSU Extension Service Continuing Employment Policy and Dismissal Hearing Procedure Dismissal of Tenured Faculty for Cause Faculty Grievance Procedure General Grievance Procedure for Non-Unionized Employees Graduate Student Rights and Responsibilities Librarian Personnel Handbook of Policies, Procedures, and Practices: Michigan State University Medical Student Rights and Responsibilities Michigan State University collective bargaining agreements Personnel Policies and Procedures Manual 13 Sept. '96 PROCEDURES OF THE ANTI-DISCRIMINATION JUDICIAL BOARD The following procedure was approved by the Board of Trustees on April 9, 1993 Article I. Composition and Selection of the Anti-Discrimination Judicial Board 1. The Anti-Discrimination Judicial Board (ADJB) shall consist of at least fourteen individuals serving staggered terms, and shall include at least each of the following: two minority persons 1 , five women, five men, and one handicapper. Membership shall comprise: a. Three junior-status, undergraduate students selected by ASMSU. Each student shall serve for a term of two years. b. One graduate student, to serve for a term of two years, selected by the Council of Graduate Students. c. Four members selected by the University Committee on Academic Governance from the tenure system faculty and continuing appointment system specialists. Each such member shall serve for a term of three years. d. Four individuals, to serve for terms of three years, selected by the Vice President for Finance and Operations from a slate comprised of two nominees from each recognized bargaining unit and two nominees from the non-unionized support employees. e. Two individuals, to serve for terms of two years, appointed by the President. All selectors shall strive to ensure membership diversity, being cognizant of the factors listed in Article II of the MSU Anti-Discrimination Policy. Additional Presidential appointments shall be made if necessary in any given year to ensure the minimum diversity of membership mandated above. When and if necessary, such appointees shall serve for two years. No member of the ADJB shall serve more than two consecutive terms. All selecting groups and University officers are expected to give due consideration to the necessity for a diverse total membership. 2. Terms on the ADJB shall begin on August 15th. Thereafter, the ADJB shall select one of its members to serve as chairperson for the entire year. Vacancies during terms shall be filled in accord with these procedures. The chairperson shall appoint members of hearing panels, as provided herein. 3. The position of "ADJB Coordinator" shall be established, reporting to the President of Michigan State University. The ADJB Coordinator shall ensure the provision of appropriate staff support services for the ADJB and generally facilitate the efficient operation of the group. In addition, at all hearings and appeals, the ADJB Coordinator shall: • • • preside without vote to ensure consistency and equity in procedure; provide the legal advice needed by the ADJB; and draft majority and minority opinions for finalization and approval by the ADJB, at the request of the group's members. Procedural rulings made by the ADJB Coordinator while presiding over hearings and appeals may be appealed in writing to the President, upon completion of the ADJB proceedings. 1"Minority" is defined by the Federal Inter-agency Committee on Education as one who is a member of one of the following groups: a. American Indian or Alaskan Native; b. Asian or Pacific Islander; c. Black (African-American); and d. Hispanic. 14 Sept. '96 Article II. Jurisdiction 1. The ADJB shall have jurisdiction only over those complaints filed by and pertaining to members of the University community which allege discrimination as defined in the all-University policy entitled "MSU Anti-Discrimination Policy". 2. A complaint filed with the ADJB must be filed within thirty (30) calendar days of the alleged discrimination. Either the ADJB Coordinator or the full ADJB by majority vote may waive the 30-day time limit for good cause shown. A complaint must simply, concisely and directly specify the time, place, and nature of the alleged discrimination, as well as the individual(s), group, or entity alleged to be responsible for the discrimination. The complaint must also contain a short and plain statement of the remedy sought. 3. The ADJB shall not proceed to consider any claim: (a) for which another procedure for final and binding adjudication is provided within the University by contract, unless both contracting parties agree to submit the matter to the ADJB or (b) which, based on the same set of facts, has been submitted for adjudication under the rules of another University procedure. However, when a complaint has been adjudicated under another University procedure, the ADJB may review such findings upon the written request of the complainant, to assure itself that any non-disciplinary matters relating to prohibited discrimination were satisfactorily addressed. If, in its judgment, such non-disciplinary matters were not adequately addressed, it may accept the complaint for further consideration on the basis of the non-disciplinary charges of discrimination only. 4. The ADJB shall have no jurisdiction respecting disciplinary charges against individuals, and no disciplinary sanctions shall be imposed through the procedures set forth herein. Alternative disciplinary channels exist for the consideration of such charges against any member of the University community. (See Appendix A.) On the basis of its non-disciplinary proceedings, the ADJB may recommend that separate, de novo disciplinary proceedings be initiated by relevant administrators for alleged violations of the "MSU Anti-Discrimination Policy" when such actions were known, or reasonably should have been known, to be prohibited by that policy. 5. The ADJB shall address all jurisdictional questions by a majority vote of the full Board. Immediate presidential review of jurisdictional decisions may be requested under Article IV by either party to a dispute. Article III. Procedures 1. Initial Filing of a Complaint a. When an individual files a complaint with the ADJB, the ADJB Coordinator shall refer the matter in writing to the chairperson of the ADJB, who shall appoint five voting members of a Hearing Panel to be convened and presided over by the ADJB Coordinator. The ADJB Coordinator shall provide a copy of the complaint to the party or parties against whom it is made. b. A contested matter shall be heard without undue delay. The hearing and its record shall be closed unless both parties consent to an open hearing. The ADJB Coordinator shall give the parties reasonable notice of the hearing, which notice shall include: i. A statement of the date, hour, place and nature of the hearing; (a hearing shall not be continued or adjourned except for good cause and in the discretion of the ADJB Coordinator); ii. A copy of this policy and the general rules of conduct for hearings. 15 Sept. '96 c. The complainant is required to establish the basis for and produce evidence in support of the complaint. Complainants assume the burden of proof, which must be met by a preponderance of the evidence1 . d. After the complainant presents his/her case, the respondent shall present his/her case. Respondent may elect to forego answering a complaint. e. Parties may be accompanied by an advisor of their choice, who may provide private counsel to the party during a hearing but shall have no official voice in the proceeding. Advisors must be members of the faculty, staff, or student body of the University. Each party shall be responsible for the presentation of his/her own case. Each party shall have the opportunity to present witnesses, and to question witnesses presented by the other. f. The Hearing Panel shall render a decision in writing, without undue delay, and the ADJB Coordinator shall transmit copies of it promptly to the ADJB chairperson and the parties. The Panel's decision shall address all major questions raised. The recommended relief, if any, shall be tailored to remedy charges which have been substantiated. The decision shall state the name(s) of the prevailing party/ies and the party lies against whom any complaints have been substantiated. The Panel shall carefully and clearly state its factual findings and the reasoning supporting its decision. 2. Appellate Procedures a. A party may appeal the decision of the Hearing Panel to the full ADJB by filing a written request with a short, written statement in support of the party's position on appeal with the ADJB Coordinator. The appeal shall be filed with 14 calendar days of receipt of the Panel's decision, and a copy shall be provided to the opposing party. The opposing party shall have 14 calendar days from receipt of the request in which to submit a written statement in support of its position on appeal. b. Appeals shall be based on the record established at the initial hearing and shall be limited to the following two issues: (i) whether the evidence previously presented provides a reasonable basis for the resulting findings and recommended remedies (if any), and (ii) whether specified procedural errors were so substantial as to effectively deny the appealing party fundamental fairness. c. The ADJB chairperson shall provide written notice to both parties of the scheduled hearing date. d. With the exception of the ADJB Coordinator, members of the initial Hearing Panel shall not participate in the appellate hearing or deliberations. An appellate quorum shall be necessary to hear any appeal and shall consist of a majority of those ADJB members who did not serve on the original Hearing Panel. 11.e., that which is more convincing, more credible, and of greater weight than contrary evidence. 16 Sept. '96 e. Parties may be accompanied by an advisor of their choice, who may provide private counsel to the party during an appeal but shall have no voice in the proceeding. Advisors must be members of the faculty, staff, or student body of the University. Each party shall be responsible for the presentation of his/her own appeal. f. The ADJB shall give each party the opportunity to present an oral argument, based on the record established at the initial hearing, in support of his/her position on appeal. g. The hearing shall be closed unless both parties consent to an open hearing. h. The ADJB's review on appeal shall be limited to the record established at the initial hearing, the Hearing Panel's decision, the written statements submitted by the parties, and the parties' oral arguments. Findings of fact by the Hearing Panel may not be overturned unless clearly erroneous. i. The ADJB shall render a decision without undue delay. The ADJB may affirm or reverse the Hearing Panel's decision in whole or in part and/or remand it to the original Hearing Panel for reconsideration. Recommended relief, if any, shall be tailored to remedy those charges which have been substantiated. Article IV. Final Resolution 1. Decisions issued by the ADJB (including those of jurisdiction) and unappealed decisions of its Hearing Panels shall be forwarded to the President by the ADJB Coordinator in the form of a recommendation, without undue delay. 2. Within 30 calendar days, the President shall either concur with the decision and direct appropriate action to implement it, or for stated cause, shall overrule or modify the decision. When the President overrules or modifies a decision, he/she shall provide written reasons to the ADJB and to the parties. Article V. The ADJB'S Advisory Function The ADJB shall meet with the ADJB Coordinator regularly (at least once annually and no more than monthly at the discretion of the Board) to review and consider any policies or practices brought to its attention, which may have contributed to allegations of unlawful discrimination or harassment. The ADJB may meet with University administrators to obtain information regarding relevant policies and practices. Upon discussion and review, the ADJB may make such advisory operational recommendations to the President as it deems appropriate. Article VI. Other Provisions 1. Time Limits With the exception of the thirty-day filing deadline in Section II of Article II, all time limits set forth above shall be suspended during regularly scheduled vacations or semester breaks in the University's academic year. Summer semesters shall similarly be excluded from consideration when calculating time limits applicable to complaints brought by students not then enrolled. 17 Sept. '96 2. Regular Reports The ADJB Coordinator shall make annual reports to the President, who shall share them with the Board of Trustees and University community. 3. Assistance with Complaints Individuals considering filing complaints with the ADJB may obtain advice and procedural assistance through the ADJB Coordinator and, as appropriate, the bodies listed in footnote #4 of Article III of the MSU Anti-Discrimination Policy. HANDICAPPER AND VETERAN SELF-IDENTIFICATION Each year, faculty and academic staff who have not identified their veteran and/or handicapper status are requested to complete a survey which requests this information. Participation in the survey is voluntary. In addition, every three years all faculty and academic staff are surveyed to allow each individual to update the information related to their veteran and/or handicapper status. Under state and federal laws, qualified individuals with a handicap have the right to request and receive reasonable accommodation. The surveys are conducted by the Office of Academic Personnel Records. The data is used to evaluate MSU's efforts in providing equal access, promotional and equal employment opportunity to individuals in these groups. POLICY ON SEXUAL HARASSMENT The following policy was issued by the Office of the President on September 1, 1992. Sexual harassment is reprehensible and will not be tolerated at Michigan State University. Such behavior subverts the mission of the University and threatens the careers, educational experience and well-being of students, faculty and staff. The University prohibits sexually harassing behavior, including that made unlawful by Title VII of the Civil Rights Act of 1964, Title IX of the Educational Amendments of 1972 and the Elliott-Larsen Civil Rights Act. University policy and the law also prohibit retaliation against persons who report sexual harassment. Confidentiality To the extent permitted by law, the confidentiality of each party involved in a sexual harassment investigation, complaint or charge will be observed, provided it does not interfere with the University's ability to investigate the allegations or take corrective action. Prohibited Acts No member of the University community shall engage in sexual harassment. Persons who engage in sexual harassment are subject to disciplinary action, including dismissal for employees and/or suspension for students. Sexual harassment is defined as unwelcome advances, requests for sexual favors or other behavior of a sexual nature when: 18 Sept. '96 1. Submission to such conduct is made explicitly or implicitly a term or condition of an individual's employment or status in a course, program or activity; 2. Submission to or rejection of such conduct is used as a basis for a decision affecting an individual's employment or participation in a course, program or activity; or 3. Such conduct has the purpose or effect of unreasonably interfering with an individual's work or performance in a course, program or activity, or creating an intimidating, hostile or offensive environment in which one engages in employment, a course, a program or an activity. Examples of Sexual Harassment Sexual harassment encompasses any unwanted sexual attention. Examples of behavior encompassed by the above definition include, but are not limited to: 1. Physical assault; 2. Threats or insinuations which cause the victim to believe that sexual submission or rejection will affect his/her reputation, education, employment, advancement or any conditions which concern the victim's standing at the University; 3. Direct propositions of a sexual nature; 4. Subtle pressure for sexual activity, an element of which may be conduct such as unwelcome sexual leering; 5. Conduct (not legitimately related to the subject matter of the work, course, program or activity in which one is involved) intending to or having the effect of discomforting and/or humiliating a reasonable person at whom the conduct is directed. This may include, but is not limited to, comments of a sexual nature or sexually explicit statements, questions, jokes or anecdotes, and unnecessary touching, patting, hugging or brushing against a person's body. Depending upon the circumstances, any of the above types of conduct may be sexual harassment and subject to disciplinary action, even if that conduct only occurs once. Seeking Assistance or Filing a Complaint Students, faculty and staff who believe they are the victims of sexual harassment may seek information and assistance from the following areas: the Ombudsman • the chairperson, director or dean of the relevant unit • supervisory support personnel • the Women's Resource Center • • Student Life or Residence Halls staff • the MS U Counseling Center • • faculty or staff academic advisors the Faculty Grievance Official • the Anti-Discrimination Judicial Board Coordinator • the Office of Student Employment • the Sexual Assault Crisis & Safety Education Program at the MSU Counseling Center 19 Sept. '96 If the student, faculty member or staff member wishes to file a complaint,s/he may take the following action(s): If the alleged harasser is a faculty or staff member, the affected individual(s) may make a written complaint to that employee's unit administrator. If the alleged harasser is the unit administrator, the affected individual(s) may make a written complaint to the unit administrator's superior or another unit administrator within the department. If the alleged harasser is a student, the affected individual may file a complaint with the Office of Judicial Programs. A student, faculty or staff member also may elect to file a written complaint with the Anti Discrimination Judicial Board, for non-disciplinary relief, or with another appropriate dispute resolution body. The filing of such a complaint does not prevent the University administration from taking independent disciplinary action. Awareness Members of the university community are responsible for knowing and understanding the University's policy prohibiting sexual harassment. Suggested information sources for faculty, staff and students follow: Students who do not understand the policy should contact the Office of the Vice President for Student Affairs. Faculty and staff who do not understand the policy should contact their unit administrators. Unit administrators who need assistance in understanding, interpreting or applying the policy should contact Human Resources or the Assistant Provost for Academic Human Resources, whichever is appropriate. ACADEMIC FREEDOM Michigan State University adheres to the principles of academic freedom with correlative responsibilities as stated by the American Association of University Professors, the Association of American Colleges and other organizations: 1. 2. 3. The teacher1 is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution. The teacher is entitled to freedom in the classroom in discussing his or her subject, but should be careful not to introduce into teaching controversial matter which has no relation to the subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment. The college or university teacher is a citizen, a member of a learned profession, and an officer of an educational institution. When speaking or writing as a citizen, the teacher should be free from institutional censorship or discipline, but this special position in the community imposes special obligations. As a person of learning and an educational officer, the teacher should remember that the public may judge one's profession and institution by one's utterances. Hence, the teacher should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that he or she is not an institutional spokesperson.2 1The word "teacher" as used in this document is understood to include the investigator who is attached to an academic institution without teaching duties. 2 " Academic Freedom and Tenure -- 1940 Statement of Principles and Interpretive Comments," AAUP Bulletin, Summer 1974, pp. 269-272. 20 Sept. '96 ADVERTISING OR ENDORSEMENT OF COMMERCIAL PRODUCTS The following policy was approved by the Board of Trustees on March 15, 1974 with the following resolution. RESOLVED that the "Policy Governing Advertising or Endorsement of Commercial Products" is approved effective March 15, 1974, with the understanding that this policy is not designed to prohibit the publication of research results on trade and proprietary products where these products may be identified only by their trade or proprietary name. As a publicly supported institution of higher education engaged in scholarship, research and the dissemination of information, Michigan State University's objectivity must be zealously protected. All units and individuals acting in the name of the University have a responsibility and obligation to protect the integrity of the name of Michigan State University in all their official activities. In keeping with this responsibility, it is the policy of Michigan State University that no official publication, statement or activity carried out in the name of the University, or that of any individual acting in an official University capacity, shall directly or by implication constitute endorsement of any commercial product, method or device. Advertising of commercial products or services, or the use of the name of a commercial enterprise, may be permitted under conditions as herein stated in this policy: Official University Activities 1. Acknowledgement by the University, at its discretion, of commercial donors who provide substantial resources which make possible structures, facilities or programs . 2. Acknowledgement of gifts and grants where such recognition is limited to information necessary to identify the donor and the activity supported. Semi-Official University Activities 1. Programs, printed tickets or other media used in conjunction with sports and fine arts events sponsored by the University which may be attended by the public on a complimentary or fee basis, when the revenue from such advertising assists in supporting the events. 2. Conference programs whose cost is underwritten by a commercial donor, provided that acknowledgement of the donor's contribution is limited to a modest statement of identification. Unofficial Activities 1. Publications for which students, employees or their organizations are responsible, but which are not issued in the name of, or are supported by, Michigan State University. General Rules 1. It is expected that those responsible for any activity which meets the above criteria will exercise reasonable judgment and taste in the acceptance of advertising, and that products accepted for advertising shall not be recognized as health hazards. 2. The Office of the Secretary of the Board of Trustees shall be responsible for the conduct of the above policy, and requests for interpretations of, or exceptions from, the policy shall be referred to that office. 3. The above policy replaces the policy statement on "Endorsement of Commercial Products " approved by the Board of Trustees on May 25, 1956. 4. University Ordinance 30.00 relating to "Selling and Advertising," Article 6 of the Academic Freedom Report on "Student and University Publications" and University broadcast policies remain in effect. 21 Sept. '96 BORROWING UNIVERSITY EQUIPMENT University equipment is used only for University activities. Personal use or use for private gain is forbidden. University equipment must not be loaned to non-campus organizations except, under special circumstances, to departments of the state or federal government. University policy stipulates that equipment cannot be taken off-campus. Any exception to this policy can only be made with the approval of the department chairperson, director, or administrative head prior to written approval of the Secretary of the Board of Trustees. The department is responsible for loss of or damage to the item. BUILDINGS The closing time for most buildings other than residence halls is 10:00 p.m., Monday through Friday. There are exceptions for more frequently used buildings. Building hours are posted on the doors of most University buildings. University employees may work in their offices or laboratories beyond closing hours if they have authorized building keys and/or room keys to the areas occupied. University facilities may not be used by outside groups unless sponsored by Lifelong Education or authorized by the Secretary of the Board of Trustees, telephone 353-4647. CONFLICT OF INTEREST IN EMPLOYMENT The following policy was approved by the Board of Trustees on December 8, 1995 as a replacement for the Employment of Relatives policy. Standards for hiring, promotion, reappointment, evaluation, working conditions, responsibilities, salary and termination for all employees at Michigan State University are based on ability, qualifications for the position, and performance. Relationship (meaning connection between persons, hereinafter referred to as "relatives," by blood, marriage, adoption, domestic partnership, or other personal relationship in which objectivity might be impaired) to another individual employed by the University shall not constitute a bar to hiring, promotion or reappointment; provided, however, that no employee shall be under the direct supervision or control of a "relative." Employment of "relatives" in the same unit or department or under the same supervisor is authorized only with the prior written approval of the head of the unit or department and the Office of the Provost or the Office of Human Resource Services, as appropriate. In addition, "relatives" should not participate in roles which have the potential for influencing employment decisions, e.g., peer review. General Principles: 1. To avoid possible conflicts of interest, any dean, director, chairperson/supervisor or participant in peer or administrative review procedures who is a "relative" of an employee or job applicant must not participate either formally or informally in decisions (including rendering advice on decisions) on personnel matters affecting the "relative," including, but not limited to, decisions to hire, retain, promote or determine the salary. 2. In cases where a chairperson/supervisor has primary responsibility for evaluation or for assignment of duties (e.g., a department chairperson's supervision of faculty in the department), no employee may supervise a "relative." An appropriate individual must be designated by a higher level of administrator (e.g., dean, director, provost, vice president, president) to perform the functions of chairperson/supervisor in decisions to hire, retain, promote, assign duties or set the salary of the individual "related" to the chairperson/supervisor. 22 Sept. '96 3. Within the limitations set forth above, individuals "related" to other MSU employees have all general rights extended to employees in comparable positions. For example, a faculty member has the right to serve on a departmental peer review committee even though a "relative" will be considered by the committee; the faculty member, however, would not participate in the review of the "relative." 4. Supervision and evaluation procedures, even when altered, should ensure comparable treatment of employees. 5. In circumstances which have the potential for the conflicts of interest referenced in item #1, above, individuals have the responsibility for disclosing that a conflict of interest may exist to the department chairperson, school director, dean or other relevant administrator or supervisor; the specifics of the potential conflict do not have to be provided. Decisions about individual cases should be made on the basis of these principles. In cases where the application of a principle is disputed, the administrator/supervisor at the next level may be asked to assist in resolution. The Office of the Provost/Office of the Vice President for Finance and Operations has final approval regarding application of the general principles to particular cases. DRUGS AND ALCOHOL The following policy was approved by the Board of Trustees on October 12, 1990. Consistent with state and federal law, Michigan State University will maintain a workplace free from the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance. 1 The unlawful manufacture, distribution, dispensation, possession or use of controlled substances, illicit drugs and alcohol are prohibited on any property under the control of and governed by the Board of Trustees of Michigan State University, and at any site where work is performed by individuals on behalf of Michigan State University. Pursuant to applicable University procedures governing employee discipline, any employee involved in the unlawful use, sale, manufacturing, dispensing or possession of controlled substances, illicit drugs and alcohol on University premises or work sites, or working under the influence of such substances, will be subject to disciplinary action up to and including dismissal and referral for prosecution. The employee must notify the University of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) calendar days after such conviction. Failure to provide such notice will subject the employee to discipline up to and including dismissal pursuant to applicable University procedures governing employee discipline. The employee shall notify his/her immediate supervisor, who will report the incident to the Office of Human Resources, Academic Human Resources or Student Employment Office. Michigan State University supports and sponsors programs aimed at the prevention of substance abuse by University employees. The Employee Assistance Program provides preventative programs 1Five schedules of controlled substances are defined in the comprehensive Drug Abuse Prevention and Control Act of 1970, 21. U.S.C. 812. 23 Sept. '96 and counseling for employees experiencing substance-dependency problems. Assistance is available on a voluntary basis. Leaves of absence to obtain treatment may be obtained under the medical leave provision of the appropriate labor contract or policy. HOLIDAYS The University observes six legal holidays by closing offices and dismissing classes. They are: New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving and Christmas Day. In addition, the Friday following Thanksgiving Day, and as stipulated by the University based on the calendar, the working days preceding or following Christmas Day and New Year's Day are granted as holidays. INDEMNIFICATION The following policy was approved by the Board of Trustees on March 15, 1974 and revised on September 2, 1983. Michigan State University will support its trustees, officers, faculty, and staff when acting in the performance of assigned duties on behalf of the University. This policy also applies to students while engaged in approved academic programs and volunteers who are performing services for the University with prior written approval of the appropriate University official. The University will defend, save harmless, and indemnify such persons against any suit or proceeding, wherever brought, premised upon the fact that he or she is or was a member of the Board or an officer, employee, student, or volunteer of the University. The indemnity extends to expenses including attorney fees, judgments, fines, and amounts paid in settlement, actually and reasonably incurred, and with respect to any criminal action or proceeding where such person had no reasonable cause to believe that his or her conduct was unlawful. As a condition of indemnification, the trustee, official, employee, student, or volunteer is required to cooperate fully on a continuous basis with the University Attorney and the Office of Insurance and Risk Management. MOVING EXPENSES Rules regarding moving expenses are covered in detail in the Manual of Business Procedures, available in deans and departmental offices. Reimbursement for actual moving expenses is not an entitlement; it is an option to be agreed upon between the unit administrator(s) and the prospective faculty/staff member. Eligibility is extended to faculty (at the rank of instructor and above), academic, professional and executive management staff who are either new or reassigned and are moving from outside a radius of fifty (50) miles to the MSU work location. QUESTIONNAIRES In order in insure consistency in the reporting of data to state and federal agencies and to other colleges and universities, it is requested that all questionnaires requiring data for the entire University be referred to the Office of Planning and Budgets (OPB). This office will consider whether the data are readily available and whether they should be released to the inquiring agent. Data requests or questionnaires relating primarily to a sub-unit of the University may be filled out by that sub-unit, but any items which require all-University data should be cleared with OPB. Although the office is not always in possession of the necessary data, referral to the appropriate office or person can be made, or in cases where justifiable, arrangements may be made to collect the data. 24 Sept. '96 RISK MANAGEMENT AND QUALITY ASSURANCE The following policy was approved by the Board of Trustees on July 27, 1979 and revised on December 3, 1982. General The University shall establish a risk management program which includes a systematic and continuous identification of loss exposures, the analysis of these exposures in terms of frequency and severity probabilities, the application of sound risk control procedures and the financing of risk consistent with University financial resources . Each person, regardless of official or unofficial status, who assumes or is assigned responsibility for the work or activities of others is administratively responsible for their safety during such work or activities . Investigation of accidents involving employees or students during work, class, or sponsored activities is the responsibility of the person whose job it is to supervise the person injured. Patient Care The University shall minimize the conditions which may produce an actual or alleged deficiency in patient care, with the purpose of achieving high standards of patient care and lowest practicable loss levels. The President is empowered to establish rules, regulations and procedures necessary to implement an effective quality assurance and risk management program. Supervision of the general and patient care risk management system will be the administrative responsibility of the Office of Insurance and Risk Management. SMOKE-FREE POLICY This policy was approved by the Board of Trustees on July 16, 1993. The compelling scientific findings, as summarized by the United States Surgeon General (1986)1 and the Environmental Protection Agency (19892, 19923 ), indicate that the simple separation of buildings into "smoking" and "nonsmoking" sections does not eliminate the unequivocal health risks that result from Environmental Tobacco Smoke (ETS). In light of these findings, Michigan State University is committed to eliminating harmful exposures to environmental tobacco smoke unwanted by students, faculty, staff and visitors, and adopts the following SMOKE-FREE policy. 1. Smoking will not be permitted in any closed space, regardless of location, except specifically designated private residential space and hotel rooms. Smoking will not be permitted near exits and entrances of buildings , except at a reasonable distance or unless otherwise designated. 1Health Consequences of Involuntary Smoking: A Report of the United States Surgeon General (December, 1986). DHHS (CDC) 87-8398. 2Indoor Air Facts, No. 5: Environmental Tobacco Smoke (June 1989). United States Environmental Protection Agency, Office of Air and Radiation (ANR-445). 3Respiratory Health Effects of Passive Smoking: Lung Cancer and Other Disorders (December 1992). United States Environmental Protection Agency, Office of Air and Radiation, EPA/600/6- 90/0067. 25 Sept. '96 2. Cigarettes and other tobacco products will not be sold on university grounds. 3. This smoke-free policy applies to all Michigan State University facilities and vehicles, owned or leased. Smoking cessation programs provided by Healthy U and Olin Health Center are available to assist persons who wish to quit smoking. Questions, problems and complaints regarding this policy should be handled through existing departmental administrative channels and administrative procedures, including the Housing Options Committee. Persons found to have violated this policy will be subject to disciplinary action in the same manner and magnitude as violations of other University policies. The success of this policy will depend on the thoughtfulness, consideration, and cooperation of smokers and nonsmokers. All employees share in the responsibility for adhering to and enforcing this policy. SOLICITATION OF FUNDS Canvassing, peddling, or soliciting are forbidden on the grounds and in the buildings of the University . Collections among faculty and other staff members are approved by the University only for the MSU Community Charitable/United Way Campaign and campaigns originating from the Office of the Vice President for University Development (Development Fund, Ralph Young Fund, etc.) Members of the faculty /academic staff should refrain from taking orders for or selling any kind of tickets or merchandise, or soliciting funds for any purpose without written approval from the Office of the Secretary of the Board of Trustees. UNIVERSITY TRAVEL Rules regarding travel are covered in detail in the Manual of Business Procedures, available in deans and departmental offices. In broad terms, travel at University expense may be authorized for the promotion of teaching, scholarship, research and public service. Topics in the Manual of Business Procedures include domestic travel, local travel, foreign travel, travel advance, reimbursement chart, etc. 26 Sept. '96 IV. ACADEMIC PERSONNEL POLICIES APPOINTMENT BASIS The following policy was approved by the Board of Trustees on February 17, 1944 and amended on July 26, 1991. All academic personnel are appointed on either an academic year (A Y) or annual year (AN) basis. An academic year appointment covers a full twelve month period with a nine-month assignment of duties and responsibilities, including related departmental meetings before registration in the fall and commencement and grade-reporting in the spring. The assignment period will normally be from August 16 through May 15 of the following calendar year. The two-week period preceding classes will be an orientation/planning time. An annual appointment is for a full-year assignment of duties and responsibilities including periods of annual leave and paid holidays. In either case, salary is paid on the last working day of each month. ACADEMIC PERSONNEL SYSTEM APPOINTMENTS: BASIC EMPLOYMENT COMMITMENT ON AN ACADEMIC YEAR BASIS The following policy applies exclusively to individuals appointed or changed to AN basis on or after January 1, 1982. All appointments, including those on an annual year (AN) basis, in the tenure system, the academic specialist continuing appointment system, and the librarian continuous appointment system, at Michigan State University involve the University making a continuing basic employment commitment to academic year (A Y) appointments only. This policy is to ensure that any individual employment commitment to an annual appointment (AN) basis is justified by current unit missions, programmatic needs, and the related responsibilities of individual faculty and academic staff members. If unit missions and programmatic needs change, the annual appointment basis may no longer be appropriate and, consequently, the individual would then change to academic year basis, which is the basic employment commitment for the academic personnel systems designated above. Subject to prior agreement between the Provost and relevant dean(s) or separately reporting director(s), there may be exceptions to this policy for specific colleges, departments, other units, and individuals. These exceptions will be approved by the Provost prior to appointment via the regular Justification for such exceptions will be reviewed procedure authorizing academic positions. periodically based on the missions and programmatic requirements of colleges, departments, other units, and the specific responsibilities of individuals. In some cases, because of unit requirements, a faculty or academic staff member may serve his/her entire career at Michigan State University on an annual appointment basis. In other cases, an individual may be shifted from an A Y to AN or an AN to A Y appointment basis recurrently in recognition of periodic changes in unit missions and programmatic requirements. Some units may staff year-round mission and programmatic responsibilities (either part-time or full-time) by appointing individuals to summer session teaching, research, and service appointments on a repetitive basis rather than appointing a faculty or academic staff member on an AN basis. The provision of these assignment options requires Office of the Provost approval and are to be subjected to periodic reviews. 27 Sept. '96 Individuals who are recruited into administrative positions at Michigan State University, and who are appointed also in the tenure system, academic specialist continuing appointment system, librarian continuous appointment system, e.g., deans, chairpersons, directors and coordinators, will be appointed with a continuing employment commitment to an academic year appointment only. However, annual appointment basis may be provided in recognition of administrative responsibilities and, in addition, there may be an administrative salary increment related to the administrative role. When such administrative responsibilities cease, these faculty and academic staff members will revert to the basic academic year appointment basis unless an AN appointment is specified by unit missions and programmatic requirements (see paragraph two, above) and any administrative increment in salary will cease. (For more information relating to faculty members with administrative duties, see policy entitled "Salary, Appointment, and Faculty Status of Faculty Members Who Assume Administrative Responsibilities.") Commitment to an AN appointment basis, if approved by the Provost, may be without a specific ending date, for a specified period, subject to renewal or on a "rolling" basis, e.g., initially for a 3- or 4- or 5-year period, with automatic annual renewal for additional 3- or 4- or 5-year periods unless notice is provided otherwise. Such commitments must be approved by the appropriate chairperson(s), director(s), and dean(s) and the Provost and must be communicated in writing to the faculty or academic staff member prior to initial appointment on an AN basis. In accordance with normal procedures, shifts from an AN to AY appointment will normally occur only on August 16. In view of the fact that changes in unit missions, programmatic needs and individual responsibilities may, on occasion, result in shifts from an annual to an academic year appointment basis, all individuals appointed on an annual basis will be informed on the occasion of annual salary increases of the applicable salary for both an annual and academic year appointment basis. The A Y salary is determined by deducting the administrative increment, if any, from the annual salary and computing an amount equal to 9/11 of the residual annual salary. Deans and separately reporting directors have the responsibility to ensure that unit administrators communicate this information to faculty and academic staff members. Such an arrangement will provide affected individuals a clear understanding of their salary status in the event of a shift from AN to A Y appointments and/or a shift from an administrative assignment. All letters of offer should indicate the University's basic employment commitment to appointments in the tenure system, academic specialist continuing appointment system, and librarian continuous appointment system is on an academic year basis only. If prior agreement is reached with the Provost and an annual appointment basis is appropriate, each individual should be informed (1) that his/her initial appointment basis is justified by specific unit missions and programmatic responsibilities and the faculty or academic staff member's related duties, and (2) that if unit mission and programmatic needs and the faculty or academic staff member's responsibilities change, then the annual appointment would change to an academic year basis which is the basic employment commitment to individuals appointed in the designated academic personnel system. TEMPORARY APPOINTMENT Visiting and temporary faculty members are appointed outside the tenure system on an academic year or annual basis with nine- or twelve-month duty assignments or for shorter periods. The Office of the Provost will endorse appointment recommendations to appoint individuals on a temporary basis (with ending date) with the rank of instructor, assistant professor, associate professor, and professor only in instances in which the primary recommending unit is an academic department (a department in a college or colleges) and/or a school and/or a college. (Faculty Status: Reserved for Appointments in Primary Academic Units of the University, effective January 11, 1980.) The titles 28 Sept. '96 of specialist, research associate, librarian, lecturer, and assistant instructor may be used for temporary academic staff appointments of one year or less. Individuals appointed with the title of postdoctoral fellow or research associate must have a doctoral degree (Ph.D., Ed.D., M.D., D.O., D.V.M.) or its equivalent. A copy of the individual's diploma or transcript or a letter indicating receipt of the degree from the Dean of the Graduate School or other appropriate University official must be submitted with the initial appointment as a postdoctoral fellow or research associate. All temporary appointments have a specific termination date. The University has no obligation to provide reappointment or extension of a temporary appointment beyond the ending date. If reappointment is made, negotiation of the conditions of reappointment must originate with the basic administrative unit (department, school, institute, residential college, or other comparable academic unit.) SUMMER SESSION The following policy was approved by the Board of Trustees on July 26, 1991. Faculty members appointed on an academic year basis may be assigned teaching, research or public service duties for the summer term in addition to fall and spring terms. Summer instructional appointments will normally be limited to the equivalent of one regular summer session. Faculty members may also elect to pursue additional teaching, research or service assignments up to a total maximum effort not to exceed 3/9 of the previous academic year appointment. Regular summer instructional appointments for a summer session, either Summer A or Summer B, will be compensated at the rate of 2/9 (22.2 % ) of the previous year's salary, with a maximum earning level of 3/9 of the previous academic year's salary. (No benefit premiums or base retirement contributions are made on this pay.) Faculty members appointed on an academic year basis may perform summer duties involving teaching, research and public service in exchange for one of the other semesters providing: 1. 2. 3. 4. 5. 6. The summer teaching is done before the term off. The teaching and academic advising program of the department is not disadvantaged. A Memorandum of Understanding is completed and signed in advance by the faculty member, chairperson, dean, and Provost. Requests to exchange summer term duties for an assignment during the regular academic year must be agreed reasonably in advance of the summer term in which exchange duties are to commence. Exchange duties may involve teaching, research, and public service responsibilities. Exchange duties may involve a period of one year or longer periods subject to a memorandum signed in advance by the faculty member, chairperson, dean, and Provost. Such agreements must have an ending date, but additional arrangements providing for exchange duties may be renegotiated subject to approval of the relevant parties. Faculty members serving on the Academic Council or on standing committees of the Academic Council are expected to be available fall and spring terms unless specific alternative arrangements have been approved. 29 Sept. '96 ADJUNCT AND CLINICAL APPOINTMENTS The following statement was issued by the Office of the Provost in 1975 and was revised on July 1, 1996. These are appointments of persons whose primary responsibility and income is outside the unit in which the appointment is made. Primary responsibility or source of income may be in another unit of the university or may be outside the university. The appointments are usually without salary and for a maximum period of three years. Reappointment is at the discretion of the administrative unit. Successive reappointments do not confer tenure or other continuing employment status. Adjunct and clinical appointments may be made at any level from instructor to professor and also are applicable to other titles such as librarian, specialist, lecturer, etc. Persons holding such appointments are expected to have the educational background and/or experience required for the rank, and they must be interested in providing some degree of service to the unit even though they are not available for a regular appointment. Appointments are usually made on an "adjunct" basis unless the appointee holds a professional medical degree, in which case a "clinical" appointment is used. The number of adjunct and/or clinical positions in each college will be recommended by the dean and established by the Provost. Permission to use the "clinical" title for individuals who do not hold a medical degree may be requested of the Provost by units if this title is more appropriate than the "adjunct" title in terms of the functions performed. The proposal to use the "clinical" titles rather than the "adjunct" titles must be made through regular administrative channels prior to any offers to individual appointees. Certain benefits and activities are extended to individuals appointed as adjunct or clinical faculty members. Most of these privileges require an MSU Identification Card. Further information and assistance can be obtained from the appointing department. 1. Areas in which the adjunct or clinical appointment carries faculty status: Library privileges 1 Privilege of attending departmental, college and university faculty meetings Use of intramural facilities and Forest Akers Golf Courses1 Purchase of athletic tickets at faculty rates 1 • • • • • MSU Identification Card • Eligibility for travel accident coverage when authorized to travel on University business Eligibility for faculty membership in University Club Parking privileges (may purchase standard permit or, for limited use, may purchase guest permit)1 Professional liability insurance coverage while acting for the University in accordance with the requirements of University policy (see 5, below, applicable to clinical faculty in the Colleges of Human Medicine and Osteopathic Medicine.) These appointments are "covered" by Unemployment Compensation; because little or no remuneration is involved, it is very unlikely that adjunct or clinical appointees would become eligible for compensation benefits. • • • • 1MSU Identification Card required. 30 Sept. '96 2. Areas in which the adjunct or clinical appointment does not carry faculty status: • • • • Any insurance benefit or program offered by the University other than those listed under (1) above Tenure Voting in University elections Election to University committees 3. Arrangements which are to be made on an individual basis at the unit level: • • • • • • • • • • Amount of time to be spent in the unit Service on unit committees Service on graduate committees Voting at the unit level Office space to be provided by the unit Laboratory facilities to be provided Secretarial help or graduate assistant help to be provided Authority to teach, do research, or advise students for the unit Authority to publish as a member of the unit Authority to propose, receive and implement research grants 4. Emeritus status for adjunct or clinical appointments • Individuals who meet the following criteria may be recommended for emeritus status: a. Be 62 years of age and have served as a clinical/adjunct faculty member for fifteen years, or b. Have served as a clinical/adjunct faculty member for twenty-five years at any age Based on an appropriate record of contribution as a clinical/adjunct faculty member, an individual may be recommended for emeritus status by the appropriate chairperson/director and dean to the Office of the Provost for final approval. The emeritus status is appended to the highest clinical/adjunct rank achieved by the faculty member, e.g. , associate adjunct professor emeritus. Emeritus clinical/adjunct faculty are not designated as official retirees of Michigan State University. Adjunct or clinical faculty appointments with an emeritus designation are limited to the following privileges: • • • • • • Library privileges Privilege of attending departmental, college, and University faculty meetings Use of intramural facilities and Forest Akers Golf Courses Purchase of athletic tickets at faculty rates Eligibility for faculty membership in University Club Parking privileges (may continue to purchase standard permit or guest permits) 5. Malpractice insurance coverage in teaching CHM and COM students1 The general principle of such coverage is that the University will participate with the physician and his/her own attorney and malpractice insurance carrier in the defense of a legal suit and be 1Memorandum distributed to clinical faculty in the Colleges of Human and Osteopathic Medicine from Deans W. Donald Weston and Myron S. Magen on October 31, 1983. 31 Sept. '96 responsible for the payment of any award that should be made against the physician, if all the following conditions are met: 1. 2. 3. The lawsuit is premised upon the negligence of an MSU student, including MSU residents and fellows, and the liability of the physician is derived from the student's negligence, i.e., is vicarious or secondary; The student's participation involved a level of delegated responsibility which could be reasonably expected of medical students at a similar level of training and experience at the time of his/her assignment; The negligence occurred during the course of an MSU-sponsored educational program in which the physician and/or patient was participating. Such coverage is extended to all physicians involved in teaching MSU students and trainees in an approved experience, not only those who are members of the on-campus clinical faculty. The University is generally not responsible for such coverage for residents or fellows who are supported by individual hospitals or a hospital-medical school educational corporation, nor does coverage extend to instances where an MSU student, resident or fellow is "moonlighting." Professional liability coverage is provided by these organizations. As is the case with all such coverage, it is important that every incident involving an MSU student, resident, or fellow that may potentially develop into a malpractice suit be brought to the attention of the University as soon as possible and that the University be notified within 5 days after the physician is notified that a suit has been initiated. Notification should be sent to the Office of the Dean, in writing, including all details that are known at the time. It is essential that physicians cooperate fully with the University Office of Legal Affairs and Office of Risk Management. The contribution that clinical faculty make to teaching programs is highly valued. MSU is committed to provide medical liability coverage for participation in such educational activities and will continue to assure such protection. The appropriate dean should be contacted for questions or additional information. EMERITUS The following policy was approved by the Board of Trustees on May 18, 1950 and revised on April 5, 1991. Members of the faculty, academic staff and administrative staff who leave the University with official retirement status are granted certain privileges and the "emeritus" title. For faculty members with the rank of professor, associate professor or assistant professor, the "emeritus" designation is appended to the rank held at the time ofretirement, e.g., professor emeritus. For academic staff the title would be librarian emeritus, etc. For administrators whose administrative appointment requires approval by the Board of Trustees and for all executive managers, the emeritus designation, upon approval by the Provost and the President, is appended only to the most senior administrative title held at Michigan State University, which may be held at or prior to the time of retirement, e.g., dean emeritus. The emeritus designation is not normally awarded for administrative titles held on an "acting" basis. Faculty with the emeritus designation are entitled to attend Academic Senate meetings with voice but without vote; to march in academic processions such as commencement; to receive the MSU News Bulletin; to avail themselves of the libraries; to receive, on application, a faculty vehicle permit; to represent the University, on appointment, at academic ceremonies of other institutions; and, in general, to take part in the social and ceremonial functions of the University. 32 Sept. '96 FACULTY RIGHTS AND RESPONSIBILITIES The following policy was approved by the Board of Trustees on July 27, 1984. The Bylaws of the Michigan State University Board of Trustees state that "the Constitution (of the State of Michigan) confers upon the Board of Trustees the freedom, power, and responsibility to develop a free and distinguished university and to promote the welfare of mankind through teaching, research, and public service. "1 3 2 , , As the primary functions of an academic community, learning, teaching, scholarship, and public service must be characterized by a fundamental commitment to academic freedom and maintained through reasoned discourse, intellectual honesty, mutual respect and openness to constructive criticism and change. Faculty members, as central to this community, serve as scholars pursuing the search for knowledge and its free expression, as teachers instructing students, and as professionals and citizens contributing special knowledge and skills through public service and community participation. In the performance of all these functions faculty members are held accountable to the University, in accordance with established policies and procedures, by the Board of Trustees which, as an elected body, is responsible to the people of the State of Michigan. 4 In order to carry out the mission of the University, faculty members, as members of both the academic and the broader public community, have the right to a clear statement of academic freedom, tenure, and other fundamental faculty rights and responsibilities. The purpose of this document is to acknowledge these fundamental rights and responsibilities. 5 1The terms, "faculty" or "faculty members," as used in this document, apply to individuals appointed in the tenure system with the rank of instructor through professor. (However, as applicable in the context of assigned duties and responsibilities, the provisions of this policy apply to all faculty and academic staff). 2Bylaws of the Board of Trustees, as amended January 24-25, 1980, Preamble, page 1. 3 "The Board of Trustees, the administration, and the faculty carry out their respective responsibilities not as isolated entities, but as major and primary constituents of the total University organization and structure which remain mutually independent and must be supportive of each other's purposes, functions, and obligations. It is within this context that the rights and responsibilities of the faculty are to be construed" (Bylaws of the Board of Trustees, as amended January 24-25, 1980, Article 7, page 7.) 4 "The Board of Trustees, elected by the voters of the State and responsible to all the people of Michigan, exercises the final authority in the government of the University, within the limits fixed by the State Constitution. In exercising its responsibility, the Board delegates to the President of the University and through the President to the faculty, appropriate authority and jurisdiction over matters for which they are held accountable by the Board. These matters include educational policy and the development of a strong and efficient organization with which to accomplish the objectives of the University." (Bylaws of the Board of Trustees, as amended January 24-25, 1980, Preamble, page 1.) 5Some faculty rights and responsibilities referred to in this document are stated elsewhere (see Appendix A). 33 Sept. '96 Academic Freedom and Responsibility Michigan State University endorses academic freedom and responsibility as essential to attainment of the University's goal of the unfettered search for knowledge and its free exposition. Academic freedom and responsibility are fundamental characteristics of the University environment and are always closely interwoven and at times indistinguishable. Academic freedom and responsibility are the twin guardians of the integrity and quality of universities. The University looks to its faculty members to exercise their rights responsibly and to meet their obligations fully as professionals. Faculty acceptance of their responsibilities to students, colleagues, the scholarly community, and the public explains in great part why society historically has accepted the concept of academic freedom and has afforded its protection through the institution of academic tenure. For faculty members , the principal elements of academic freedom include: 1. 2. 3. 4. 5. 6. The right, as teachers, to discuss in the classroom any material which has a significant relationship to the subject matter as defined in the approved course description; The right to determine course content, grading, and classroom procedures in the courses they teach; The right to conduct research and to engage in creative endeavors; The right to publish or present research findings and creative works ; The right to engage in public service activities; and The right to seek changes in institutional policy through established University procedures and by lawful and peaceful means. Academic freedom carries with it responsibilities. For faculty members, the principal elements include: 1. 2. 3. 4. 5. 6. The responsibility to carry out assigned teaching, research , and public service duties in a professional manner and in keeping with University policy; The responsibility, as teachers, to refrain from introducing matters which are not consistent with their teaching duties and professional competence and which have no significant bearing on the subject matter of the course as approved under University procedures; The responsibility to pursue excellence and intellectual honesty in teaching, research, and other creative endeavors and in public service activities; and in publishing or presenting research findings and creative works; The responsibility to encourage students and colleagues to engage in free discussion and inquiry; and to evaluate student and colleague performance on a scholarly basis; The responsibility to work in a collegial manner with appropriate individuals and bodies to encourage the free search for knowledge; its free exposition, and the University's continuing quest for excellence; and The responsibility to differentiate carefully their official activities as faculty members from their personal activities as citizens and, when the situation warrants, to make it clear that, when speaking as private citizens, they do not speak for the University. The above list provides a summary outline of the principal elements of academic freedom and responsibility. More detailed and explicit definitional statements applicable to specific faculty rights and responsibilities are set forth below under the following headings: Academic Tenure, Academic Governance, Teaching, Research and Creative Activity, Public Service, Relations with Colleagues, Relation to the University and the Community, and Resolution of Conflicts. 34 Sept. '96 Academic Tenure The faculty have a right to expect that the University's tenure system is characterized by high integrity and a responsibility to participate in the operation of the tenure system seriously and in good faith. All decisions involving tenure system recommendations shall be made in conformity to the University-approved policies and procedures that govern the tenure system. Academic Governance The faculty have a right and responsibility to participate in the establishment and functioning of a governance system at the department or school, college, and University levels in accordance with Michigan State University Bylaws for Academic Governance to ensure academic freedom and the promotion of the goals of the institution. The University looks to the faculty for recommendations on various academic personnel matters including faculty appointments, reappointments, promotions, the award of tenure, and salary increase guidelines; on the development of new academic programs and the modifications or discontinuance of existing programs, on academic curricula and standards; on definition of University mission and goals; on policies governing research and creative endeavors; on the formulation of annual budget requests and allocations; and on the selection and review of specified administrative officials, as well as other issues that concern the general welfare of the University, including student affairs and the academic environment. Through the academic governance system, the University accords a central role to faculty peer review in the departments or schools, colleges, and the University. Faculty have a responsibility to participate in peer review procedures to ensure personnel recommendations which promote excellence. In accordance with established departmental or school, college, and University policies, faculty members have the right to be informed of the standards, criteria, procedures and other conditions which affect all aspects of their appointment in the tenure system, to be evaluated in a fair, objective manner, and to receive timely notice regarding their future appointment status at Michigan State University. Teaching Because the faculty's role in the educational process is primary and central, the faculty member, as teacher, has the responsibility to make every effort to be accurate, objective, and effective. In the classroom, the teacher shall address topics and present materials consistent with the teaching assignments as defined in the approved course objectives. The teacher has the responsibility to encourage the pursuit of learning by students by manifesting the best academic standards of the discipline or profession. To accord students respect as individuals, the teacher shall seek to establish a relationship of mutual trust and to establish an appropriate role as an intellectual guide, counselor and mentor, both in and out of the classroom. If problems arise in the relationship between teacher and student, whether on personal matters or on instructional materials or methods, both teacher and student shall attempt to resolve them in informal, direct discussions as between well-intentioned, reasonable persons. The teacher has the responsibility not to exploit students for private advantage; the teacher also should avoid any form of discrimination or harassment, with the understanding that racism, sexism, and other forms of bias preclude the establishment of an effective learning environment. The teacher has the responsibility to foster and require honest academic conduct. The teacher has authority and responsibility for grades and shall assure that the evaluation and assessment of 35 Sept. '96 academic performance reflect each student's true achievement by good faith application of criteria appropriate to the field of study and the course The teacher shall further protect academic freedom for faculty and students by acknowledging the contributions of students to professional work of faculty members and by assuring that each student is free to voice opinions openly and to exchange ideas free from retaliation. Teachers have the responsibility to observe the University, college and department/school policies regarding such matters as the statement of course objectives, examination policy, office hours, course evaluations, and other provisions of The Michigan State University Code of Teaching Responsibility. Research and Creative Activity To fulfill the University's mission of advancing and disseminating knowledge for the improvement of the welfare of the public, faculty members have a responsibility to conduct research and engage in creative activity in their area(s) of appointment and professional competence. Recognition of professional competence and definition of area(s) of appointment occur in the basic academic units (departments, schools, non-departmentally organized colleges) through procedures in which established systems of peer review play a central role. As scholars, faculty members have the right and responsibility to create, seek, and state knowledge freely and openly and to strive for scholarly excellence. The scholar has the right and responsibility to exercise critical self-discipline and judgment in generating, using, extending, and transmitting knowledge, to adhere to the highest standard of intellectual honesty, and to oversee and evaluate the research and creative efforts of students and subordinates. Faculty shall conduct all research and creative activity in a manner consistent with accepted scholarly standards and in conformity with legal, professional, and University codes, policies, and regulations governing research and creative endeavors. Public Service As the land-grant university of the State of Michigan, Michigan State University is committed to public service as an integral aspect of its mission; this entails a commitment to the creation, dissemination, and application of knowledge. Public service involves the application of the faculty member's professional training and competence to issues and problems of significance to constituencies and it is related to academic program objectives of the unit(s) in which the faculty member is appointed. Faculty members engaging in public service activities enjoy the same rights and have the same responsibilities which were previously stated as pertaining to them as teachers and scholars. Faculty members, in accordance with University policy and regulations, can serve as valuable resources and provide valuable services by working with government, industry, public organizations, and others off-campus. Faculty members have the right to engage in a limited amount of outside work for pay in accordance with University policy and regulations. Relation with Colleagues As colleagues, faculty members have rights and responsibilities that derive from common membership in a community of scholars. Faculty have the responsibility to respect and right to defend the free inquiry of associates and, in the exchange of ideas and criticism, the responsibility to respect the views and rights of others. Faculty members shall acknowledge the contributions of colleagues to their own work. In the evaluation of the professional performance of a colleague, the faculty member shall provide an honest and objective appraisal in accordance with established 36 Sept. '96 department/school, college, and University criteria. The faculty member shall foster collaboration with and support of colleagues. Acts of racism or sexism, including harassment and other forms of bias and discrimination, violate University policies, and are unacceptable. Relation to the University and the Community As members of Michigan State University, the faculty have a primary responsibility to strive for academic excellence in instruction, research, and public service. When the situation warrants, faculty members acting or speaking as citizens have a responsibility to make clear that these actions and utterances are entirely their own and not those of the University or any component of the University. Faculty members have the responsibility not to abuse their standing within the University for personal or private gain nor use University employees, facilities, equipment, supplies, or other property for personal or private business. As a member of the wider community, the faculty member has the rights and obligations of any citizen. In exercising these rights, the faculty member speaks only as an individual, either as a professional scholar with a field of special competence or as a private citizen. Faculty members should be mindful that membership in the academic community inevitably involves identification and association with the University and that the University often is judged by the actions, performance, attitudes and expressions of its faculty members. Faculty members normally do not face a conflict between the exercise of their rights as a citizen and their responsibilities as a faculty member. If citizenship activities interfere with faculty responsibilities, faculty members should request a leave of absence, resign from their appointment, or limit those activities to ensure a complete discharge of faculty responsibilities. Resolution of Conflicts The University is committed to respect the rights of the faculty. Faculty members who believe that their rights have been violated have the right to seek redress through the University's established procedures for the hearing and resolution of complaints. Faculty members have the obligation to meet their responsibilities as defined in this document and in those cited in Appendix A to help the University maintain academic excellence and realize its goals. Faculty members accused of failing to meet these responsibilities have a right to be informed of the accusations and accorded timely access to University procedures to determine whether or not the accusations are valid and any sanctions justified. Amendment Procedures Amendments to this document may be initiated by any individual member of the faculty and shall be submitted to the Office of the Provost and the University Committee on Faculty Affairs for consideration and action in accordance with Section 4. 7 .3 of the Bylaws for Academic Governance. 37 Sept. '96 APPENDIX A Michigan State University Policy Documents Generally Applicable to Faculty Rights and Responsibilities: By laws of the Board of Trustees Board of Trustees Policy Manual By laws for Academic Governance The University Catalog Academic Programs Description of Courses Graduate Study Sponsored University Programs for Research and Education Academic Freedom for Students Bulletin (Schedule of Courses) Faculty Handbook Faculty and Staff Benefits Graduate Student Rights and Responsibilities Ordinances Student Handbook Traffic Regulations Travel Regulations Manual of Business Procedures Faculty Group Practice, Colleges of Human and Osteopathic Medicine Medical Student Rights and Responsibilities By laws of the College or Colleges Bylaws of the Department(s) or School(s) Policy Documents Specifically Applicable to the Statement on Faculty Rights and Responsibilities: Abrogation of Faculty Responsibility (Faculty Handbook) Academic Advisement, Enrollment, Registration and Counseling (Faculty Handbook) Academic Freedom (Faculty Handbook) Academic Freedom for Students (especially Article 2) Academic Programs: Michigan State University Anti-Discrimination: Policy and Procedures Appointment, Reappointment, Tenure, and Promotion Recommendations (Faculty Handbook) Bylaws for Academic Governance Bylaws of The Board of Trustees (especially the Preamble and Article 7) Code of Teaching Responsibility (Faculty Handbook, Academic Programs) Development of Instructional Materials (Faculty Handbook) Dismissal of Tenured Faculty for Cause (Faculty Handbook) Equal Opportunity and Non-Discrimination (Faculty Handbook) Faculty Grievance Procedure (Faculty Handbook) Faculty Group Practice, Michigan State University Final Examination Policy (Schedule of Courses) Freedom of Expression (Board of Trustees Policy Manual) Integrity of Scholarships and Grades (Academic Programs, General Information, General Procedures and Regulations) 38 Sept. '96 Interim Guidelines for Potential Conflicts of Interest in Academic Areas of the University Medical Service Plan for Colleges of Human Medicine and Osteopathic Medicine (Faculty Handbook) Mission Statement, Michigan State University Non-Tenured Faculty in the Tenure System (Faculty Handbook) Ordinance on Examinations (Ordinance #18.00, Michigan State University) Outside Work for Pay (Faculty Handbook) Overload Pay (Faculty Handbook) Patents (Faculty Handbook) On Preventing Conflicts of Interests in Government-Sponsored Research at Universities (Faculty Handbook) Protection of Human Subjects (Faculty Handbook) Regulatory Guidelines for Research (Faculty Handbook) Rights of Students to Receive Instruction (Faculty Handbook) Sponsored Research and Creative Endeavor (Faculty Handbook) Sponsored University Programs for Research and Education Student Instructional Rating System (Faculty Handbook) Student Records (Academic Programs, General Information section) Tenure of Appointment at Michigan State University (Faculty Handbook) Use of Animals in Research, Teaching and Service (Faculty Handbook) 39 Sept. '96 HEALTH ASSESSMENT Employment health assessments are only required where legally mandated, where work assignments will necessitate contact with potentially hazardous substances or will be physically intensive, or as otherwise determined necessary on an administrative basis. The assessment is conducted at the Michigan State University Health Center on campus. IDENTIFICATION CARDS All members of the faculty and academic staff are encouraged to obtain identification cards. Similar identification cards can be issued to spouses upon request. The identification cards are useful for campus privileges. It is inappropriate to alter, falsify or misuse an MSU I.D. card. To obtain an ID card, the faculty/academic staff member and spouse should secure authorization cards from the faculty/academic staff member's administrative unit. These should be presented at the ID Card Office, 110 Administration Building. JURY DUTY The University recognizes the civic responsibility of faculty/academic staff members to serve jury duty and makes provision for them to perform such duty without loss of pay. The University will compensate the faculty/academic staff member called to jury duty for the difference between the pay received from the court and the normal take-home pay. The faculty/academic staff member's benefits will continue. The faculty/academic staff member must notify his/her department chairperson/school director of the call to jury duty as soon as it is received and must provide proof of the jury duty pay to the payroll department. The faculty /academic staff member is expected to report for regular University duty when temporarily excused from attendance at court. Full cooperation is expected between the faculty /academic staff member, unit administrator and department(s) involved to insure minimal disruption in the instructional and service responsibilities of the unit. PAYROLL PROCEDURES The following items must be furnished to the Payroll Division of the Office of the Controller before a new faculty /academic staff member can be put on the University payroll. 1. SOCIAL SECURITY NUMBER. Social security numbers must be verified by the Payroll Office, 350 Administration Building, prior to the first pay date. Verification may be completed by presenting the social security card to the Payroll Office or by sending a photocopy to that office. Note: Foreign nationals are required to obtain and furnish Social Security numbers to be used for payroll identification numbers, even though some (those who present F or J visas) may be exempt from provisions of the Social Security Act. 2. EMPLOYEE WITHHOLDING ALLOWANCE CERTIFICATE (FORM W-4). The W-4 form authorizes the University to recognize the appropriate exemptions when calculating withholding taxes. New faculty /academic staff members should at the same time complete the appropriate forms in the Benefits office to participate in such programs as employee-paid life, health care coverage, accidental death and dismemberment, and base and supplemental retirement benefits. All benefit programs are described briefly in the Faculty I Academic Staff Benefit and Retirement Programs section of this handbook. Additional information is available from the Benefits office, 140 Nisbet Building. 40 Sept. '96 THE TENURE SYSTEM The following policy was approved by the Board of Trustees on May 15, 1952 and amended on June 11, 1993. The Board of Trustees in approving this statement of tenure policy does so in good faith with the intent to comply fully with it. It must, however, reserve the right to deviate from these terms if conditions beyond its control, such as abrupt declines in enrollment, drastic loss of income or conditions that result in the drastic curtailment or abandonment of programs or activities, make it necessary to do so. Preamble: The purpose of tenure is to assure the University staff academic freedom and security and to protect the best interests of the University. Tenure shall not be considered to protect any person from the loss of his/her position as a result of misconduct which constitutes cause for dismissal as specified in the Dismissal of Tenured Faculty for Cause policy. RECEIPT OF QUALIFYING DEGREE AS A CONDITION OF APPOINTMENT IN THE TENURE SYSTEM The following statement was issued by the Office of the Provost with an effective date of September 1, 1980. Attainment of the appropriate terminal qualifying degree (Ph.D. or other) will be required as a condition of appointment in the tenure system (ranked faculty, instructor through professor) at Michigan State University. This policy is consistent with Michigan State University's ongoing quest to improve its status and quality as a major land-grant, AAU University. 1 As such, MSU is an institution which expects that its faculty make significant and ongoing contributions to scholarship in their respective disciplines. This policy on qualifying degrees advances MSU's attainment of its mission because the receipt of the appropriate terminal qualifying degree is a necessary prerequisite for faculty to make such scholarly achievements. Unit criteria for reappointment, promotion, and tenure must stress the importance of such scholarly achievements. Continuing involvement in scholarly work and research insures the continuing ability to provide highly competent instruction and service which are general requirements of MSU faculty. The Ph.D. and several other terminal qualifying degrees (Ed.D.; D. Ed.; D.A.; D.B.A.; Doctor of Journalism; J.D.; M.D.; D.O.; M.S.W.; M.F.A.; D.S.W.; D.M.A.; and D.V.M.), as appropriate 1In addition, this policy is supported by other considerations. Other quality institutions do not allow appointments in the tenure system without the appropriate terminal qualifying degree and there is no general shortage of faculty candidates with appropriate terminal qualifying degrees to be considered as prospective faculty at Michigan State University. Finally, the University Committee on Faculty Tenure annually receives and acts on a number of requests that tenure system probationary appointments be extended to permit the completion of the necessary terminal qualifying degree. The existence of such requests indicates that such individuals typically have spent the bulk of their probationary appointment period in completing the requirements for the Ph.D. and, therefore, have not been able to devote time towards scholarly contributions beyond the dissertation stage. 41 Sept. '96 to specific academic units, are designated appropriate qualifying degrees applicable under this policy. The application of the policy will operate on this assumption unless colleges and separately reporting units identify other degrees that should be accorded "qualifying degree status." Justification will be required in support of each such recommendation, and an agreement that they should be recognized as "appropriate qualifying degree" must be reached with the Office of the Provost. This policy will not affect the status of individuals currently appointed in the tenure system who have not as yet completed the appropriate qualifying degree. However, the continued expectation for such individuals is that the receipt of such a degree is a necessary but not sufficient condition for the awarding of tenure. The earliest possible completion of the degree is expected. Individuals currently completing the requirements for the appropriate qualifying degree may be employed at Michigan State University on a temporary basis (appointment with an ending date) and, with a prior agreement with the Office of the Provost, may be shifted to a tenure system position after the qualifying degree has been completed. It is strongly recommended that such individuals be employed on a temporary basis no longer than two years. Individuals to whom offers for tenure system appointments are made before the appropriate terminal qualifying degree is completed should be informed that a temporary appointment as an instructor will be required if the terminal qualifying degree is not received by a specified date prior to the effective date of appointment. On proof of receipt of the degree and with agreement of the Office of the Provost, the individual's status can be changed to that of an assistant professor in the tenure system. For all appointments in the tenure system, proof of receipt of the terminal qualifying degree is to be provided by The Graduate School or other appropriate university office at the institution where the degree has been earned. Such documentation must accompany the appointment form when submitted to the Office of Planning and Budgets. Exceptions to this policy can be made because of truly exceptional and unique qualifications, market considerations, for affirmative action, or other appropriate reasons, but only with the prior written approval of the Office of the Provost. GRANTING TENURE A faculty member with the rank of professor in the tenure system is granted tenure (appointment for an indefinite period without a terminal date) from the date of appointment at that rank. An associate professor who has not served previously at Michigan State University usually is appointed in the tenure system for a probationary period of four years. In some cases, upon the recommendation of the unit administrator(s), dean(s), and with the prior approval of the Provost and President, the probationary period may vary in length from two to five years. If an associate professor is reappointed, tenure is granted. Individuals appointed at the rank of associate professor without tenure have the option of requesting reappointment at any point prior to the conclusion of the stipulated probationary appointment period. A negative decision on such a request shall not preclude consideration for reappointment at the time specified upon appointment. In unusual cases, on recommendation of the unit administrator(s) and dean(s) and with the prior approval of the Provost and the President, a faculty member initially appointed at the rank of associate professor may be granted tenure from the date of appointment. 42 Sept. '96 An assistant professor who has not served previously at Michigan State University is appointed initially in the tenure system for a probationary period of four years and may be reappointed for an additional probationary period of three years. If an assistant professor is appointed beyond the two probationary periods, tenure is granted. If at any time during these two probationary periods an assistant professor is promoted to the rank of associate professor, tenure is granted. An instructor is appointed in the tenure system for one three-year probationary period. Appointments at the rank of instructor in the tenure system are exceptions to University policy and are provided only in special circumstances (see policy on Receipt of Terminal Qualifying Degree as a Condition of Appointment in the Tenure System, Faculty Handbook). If not promoted to the rank of assistant professor at the conclusion of the one three-year probationary period, the individual is ineligible for an additional reappointment unless a special extension is approved (see below). If during the one three-year probationary appointment period as an instructor, promotion to the rank of assistant professor is approved, the appointment period as an assistant professor will be for: 1. 2. 3. three years after service as an instructor for one year; two years after service as an instructor for two years; or one year after service as an instructor for three years. If reappointed at the assistant professor rank, the appointment will be on a probationary basis for three years. If an assistant professor is reappointed after this three-year period, tenure is granted. Extensions in the probationary appointment periods for all faculty appointed in the tenure system require approval of the University Committee on Faculty Tenure, the Chairperson/Director, the Dean, and the Provost (or designee). 1 Extensions in probationary appointment periods are not interpretations of or deviations from the rules of tenure under section 4.8.5. of the Bylaws for Academic Governance. Recommendations for tenure system faculty appointments, reappointments, extensions of probationary periods, promotion and tenure originate in the primary academic unit (department, school or non-departmentally organized college) and are reviewed successively by the Dean, the Provost and are approved by the President. Actions involving the award of tenure are approved by the President, who makes the final recommendation to the Board of Trustees for action. When tenure is granted, it is effective upon the first day of the month after the date of approval by the Board of Trustees. Appointments to the ranks of professor, associate professor, assistant professor, and instructor normally are made under the provisions of the Michigan State University tenure system. 1. The terms and conditions of employment shall be provided in writing to the faculty member at the time of initial appointment. These terms should include: 1 Information on extensions of probationary appointments should ongmate in the primary academic unit; such information may also be obtained from the chairperson of the University Committee on Faculty Tenure, the department chairperson, the school director, the dean, or the Office of the Provost. See section on Implementation Practices. 43 Sept. '96 a. b. c. The time period covered by the appointment Salary provision The general expectations in regard to the professional responsibilities of the person being appointed. d. Conditions other than the appointee's performance of his/her responsibilities that would make a further appointment inadvisable. 2. The chairperson of the unit recommending the appointment shall deliver in writing to the non-tenured faculty member at the time of appointment a copy of the by laws of the unit which specifies that administrative unit's procedures for action on the status of non-tenured faculty. (See section on Non-Tenured Faculty in the Tenure System.) OPERATING PRINCIPLES OF THE TENURE SYSTEM 1. 2. 3. 4. 5. 6. Appointment periods for tenure purposes are calculated from August 16 of the calendar year in which the appointment is effective. A faculty member granted a leave of absence will have the appointment period extended appropriately. Faculty members serving abroad with one of Michigan State University's projects are treated for tenure action as if they were serving the University on campus except that: a. A faculty member without tenure whose initial appointment to Michigan State University is to an overseas assignment of six months or more will have the appointment period under the tenure system extended by a period equal to the duration of the overseas assignment. b. Any other faculty member without tenure who serves abroad on a Michigan State University project may have the appointment period under the tenure system extended similarly only with the concurrence in writing of the faculty member involved and the department chairperson, the dean, the provost, and the president. Such agreement must be reached prior to departure for the overseas assignment. A faculty member who is not to be recommended for reappointment by the department chairperson and dean must be so notified in writing by the department chairperson by December 15 preceding the expiration of the appointment. Copies of the notification are to be sent to the dean and provost. Upon written request of the faculty member, the administrative unit making the decision shall transmit in writing the reasons for not recommending further appointment. If a faculty member who was recommended by the department chairperson and dean is not reappointed, and/or if proper notification, as stated in 4., is not given, an extension of one year is automatic, and the faculty member shall consider this arrangement as official notification of separation from the University at the end of the one-year extension. A faculty member may not be transferred out of the tenure system during or immediately after an appointment under the tenure system, except as approved by the University Committee on Faculty Tenure upon written petition of both the faculty member and the department. Subsequent appointment in the tenure system requires approval of the University Committee on Faculty Tenure. 44 Sept. '96 7. 8. Foreign nationals (those holding non-immigrant status) may be appointed within the tenure system; however, they are not to be given indefinite appointment with tenure unless they have acquired permanent resident status. Questions about the interpretation of the tenure regulations, or about the solution of tenure problems arising from situations not specifically covered in these regulations, are referred to the University Committee on Faculty Tenure. The Committee after thorough study submits its recommendations to the president, the provost or other appropriate administrative officer or body. In every case, final decision rests with the Board of Trustees. AMENDMENTS TO THE TENURE RULES Amendments to these tenure rules shall require the approval of the faculty and the Board of Trustees. IMPLEMENTATION PRACTICES The following statement was endorsed by the University Committee on Faculty Tenure; it was issued by the Office of the Provost on June 1, 1990 and revised on April 24, 1996. For leaves of absence without pay, it is the long-standing practice to automatically extend the probationary appointment by one year for leaves that are six to twelve months; the probationary appointment is not extended for leaves three months or less; extension of the probationary appointment is handled by mutual agreement for leaves between three and six months. Unpaid leaves may be granted up to a maximum of two years. Upon request, a faculty member on an approved maternity leave is granted an automatic one-year extension of the probationary appointment. Automatic extensions of the probationary appointment are limited to two one-year extensions. For the purpose of reviewing the cases brought before it, the University Committee on Faculty Tenure (UCFT) considers evidence bearing on the question of whether the circumstances in these cases justify exceptions to the standard procedures governing the tenure system. UCFT's role is not to revisit the substantive issues adjudicated at the departmental or unit level, but to determine whether, given the circumstances of each case, the proposed determinations are consistent with the general interest of preserving the integrity of the tenure system. A justification shall be provided explaining why the appropriate action, e.g., reappointment for a second probationary appointment period or reappointment/promotion which awards tenure, cannot be made at this time and an indication of what is expected to be achieved at the end of the requested extension. It is the responsibility of the unit submitting the extension request to address these issues. Extension of the probationary appointment may be requested from the University Committee on Faculty Tenure through the normal process for leaves of absence or for reasons related to childbirth, adoption, care of an ill and/or disabled child, spouse, or parent or personal illness or to receive prestigious awards, fellowships, and/or special assignment opportunities. Extension of the probationary appointment period may also be requested from the University Committee on Faculty Tenure through the normal process by faculty with temporarily reduced appointments for reasons related but not limited to childbirth, adoption, care of an ill or disabled child, spouse, or parent or personal illness, or to receive prestigious awards, fellowships and/or special assignment opportunities. 45 Sept. '96 The procedure for requesting a one-year extension of the probationary tenure system appointment includes the following: • • • • A memorandum to the Assistant Provost and Assistant Vice President for Academic Human Resources providing information and a rationale for the request. The request for extension must be endorsed and signed by the faculty member, department chairperson/school director and dean. A memorandum from the department/school peer review committee which indicates that the request for an extension has been brought to their attention with an opportunity for advice to be rendered as appropriate. It is not necessary that the department/school peer review committee approve the extension request. Endorsement of the request by the Office of the Provost. Approval of the request by the University Committee on Faculty Tenure. PRINCIPLES OF FACULTY REASSIGNMENT This statement was approved by the University Committee on Faculty Tenure on April 27, 1994. The intention of this document is to provide procedural guidance to the Provost if it becomes necessary to consider the dissolution or curtailment of a department, college or other academic unit in which tenured faculty members are primarily assigned. It is taken as a given that tenure at Michigan State University resides in the University and tenured faculty have "tenure in the university. " Principle One: Faculty rights under the tenure system shall be preserved in reassignments. These rights include the entitlement of faculty to engage in teaching, research, service and full participation in governance in accordance with the custom of the receiving unit. Reassignment would require appointment in an academic unit rather than a dean's office, institute or non-academic unit. However, reassignment to a dean's office, institute or non-academic unit may occur, generally, by mutual agreement and under conditions amicable to the reassignee. The reassignee shall have a level of professional responsibility similar to that borne by faculty members already in the receiving unit. Ordinarily there is a variation in duties across faculty within a unit, and reassigned faculty are expected to fall within the existing range. Rank, salary and benefits of the reassigned faculty shall be fully maintained. Principle Two: The Provost must in all cases of reassignment negotiate in good faith with the faculty member and the potential receiving unit to seek arrangements which are amicable and beneficial to all. The Provost and the administrators of the outgoing department/school or college shall assist faculty members in identifying potential receiving department/schools or colleges in the University. Throughout the process of reassignment, faculty rights under the tenure system shall be preserved. Principle Three: Every potential receiving unit shall evaluate each potentially reassigned faculty the applicable procedures used for appointment member for appointment according recommendations set forth in University policies and procedures. The Provost shall review documentation that demonstrates that the receiving unit has implemented the principle of faculty participation through consultation, evaluation, and final recommendation. to 46 Sept. '96 Principle Four: In evaluating affected tenured faculty members for assignment to a receiving academic unit, both the Provost and the administrators of the former and potential receiving units shall make a good faith effort to negotiate the reassignment. Administrators in the potential receiving units shall urge their faculty to consider especially carefully the broader social good that derives from having tenure in the university in cases in which reassignment results from dissolution or curtailment of a department or school. Principle Five: The Provost shall receive in writing any compromise in assignment, responsibilities or duties agreed to by the faculty member and receiving unit(s). Principle Six: If the assignment to a unit by the Provost entails duties which compromise Principle One, above, the Provost must seek to assure that it is with the full, voluntary consent of the reassignee and the receiving unit. (For example it would be appropriate to reassign a tenured faculty member to a non-college unit if the assignee and the unit agree. A reassignee may also be reassigned into two or more units if both the reassignee and the units agree). Principle Seven: Should previous attempts at good faith negotiations yield no resolution, the Provost may impose a 30 day deadline for mutual, voluntary agreement on a reassignment. If units and faculty members are unable, after the 30-day period, to achieve a resolution regarding appointments, assignments, salary, rank, responsibilities, or duties, the Provost shall impose a solution. Principle Eight: While nothing shall preclude shifts between units based on voluntary agreement between all relevant parties, the Provost and the University have no special responsibility to reassign faculty who desire a unit change for reasons other than the dissolution or curtailment of their academic unit. APPOINTMENT, REAPPOINTMENT, TENURE, AND PROMOTION RECOMMENDATIONS The following statement is sent annually by the Office of the Provost to deans, directors, and chairpersons on the occasion of reappointment, promotion, and tenure decision recommendations. It is reviewed annually and advice is requested from the University Committee on Faculty Affairs and the University Committee on Faculty Tenure. Any changes will be sent to deans, directors, and chairpersons to incorporate into departmental and unit copies of the Faculty Handbook and for distribution to the faculty. Michigan State University is a research-intensive, land-grant University of international scope. MSU is a member of the Association of American Universities (AAU), members of which are recognized worldwide for the quality and breadth of their scholarship and research and graduate-professional education programs. MSU is one of only 17 universities that are designated as both land-grant and AAU. The Guiding Principles, issued in 1994, provide a framework for a practical vision for MSU. The University is dedicated to educating tomorrow's leaders and scholars through our undergraduate, graduate, graduate-professional and lifelong education programs. MSU, through its faculty, must create knowledge and find new and innovative ways to extend its applications to serve Michigan, the nation, and the international community. Faculty at this research-intensive land-grant university must infuse cutting edge scholarship into the full range of our teaching programs. At MSU, faculty are expected to be both active scholars and student focused, demonstrating substantial ability to promote learning through our on-campus and off-campus education and research programs. Within this context, scholarship is demonstrated in both our education and research programs. The essence of scholarship is the thoughtful discovery, transmission, and application of knowledge that is based in 47 Sept. '96 the ideas and methods of recognized disciplines, professions, and interdisciplinary fields. What qualifies an activity as scholarship is that it be deeply informed by the most recent knowledge in the field, that the knowledge is skillfully interpreted and deployed, and that the activity is carried out with intelligent openness to new information, debate, and criticism. 1 MSU must improve continuously. To do so requires that academic personnel decisions must result in a progressively stronger faculty. This process begins with vigorous, effective recruitment and selection of new faculty, followed by systematic encouragement and facilitation of the professional growth of these faculty members, followed by the application of demanding standards and the use of rigorous evaluation procedures when reappointment, tenure, and promotion recommendations are made. Our policies, procedures, criteria, and decisions on recruitment, reappointment, award of tenure, promotions and salary changes must be guided by the goal of enhancing academic excellence at MSU. The reputation and prominence of MSU for many years to come will be determined in large measure by these decisions. Initially a review of the mission and goals of the University, college, and unit and their related personnel needs, fiscal constraints and any other relevant factors must occur to determine if the applicable position(s) is (are) to be retained within the unit and the University. If it (they) will, then recommendations for appointment, reappointment, promotion and tenure are initiated following rigorous evaluation at the unit level, including peer review. Recommendations for promotion of individuals with tenure should also be initiated following rigorous evaluation at the unit level, including peer review. All involved in these deliberations must apply high standards of performance consistent with appropriate expectations of faculty at leading research-intensive land-grant universities, that is faculty must be both active scholars and student focused. Chairpersons and directors make the unit level recommendations. Unit level recommendations are subject to review and approval or disapproval at the college and University levels. Recommendations are to be based on explicit unit criteria and quality evaluations that are consistent with college and University policies and goals. As provided in the 1978 Bylaws for Academic Governance, the faculty, operating in the advisory mode, is to provide advice to the chairperson/director as described in unit bylaws. Each department, school, and comparable unit is required to have procedures and criteria that are clearly formulated and relevant to the evaluation of the performance of faculty members (see Statement on Non-Tenured Faculty in the Tenure System, Faculty Handbook). The 1978 Bylaws for Academic Governance includes the following statement that is of fundamental importance . . . . The chairperson or director has a special obligation to build a department or school strong in scholarship, teaching capacity, and public service. (2.1.2.1.) The chairperson or director makes judgments taking into consideration peer evaluations, including their quality, and other supporting data and information. The chairperson or director is responsible as an individual for the recommendations made. Unit criteria for appointment, reappointment, tenure, promotion, and salary changes must serve the objective of improving academic strength and quality, taking account of the mission and goals of the department, school, college, and University, including the Guiding Principles. 1MSU Guiding Principles, February 1994; Outreach at MSU: Extending Knowledge to Serve Society, October 1993. 48 Sept. '96 Assessment of faculty performance should recognize the importance of both teaching and research and their extension beyond the borders of the campus as part of the outreach dimension. Assessment should take into account the quality of outcomes as well as their quantity, and also acknowledge the creativity of faculty effort and its impact on students, others the University serves, and on the field(s) in which the faculty member works. In many cases, individual scholarly activities are the ways in which faculty demonstrate excellence. Collaborative scholarly efforts, cross-disciplinary activities and the integration of scholarship in the creation, application and dissemination of knowledge also should be recognized as relevant dimensions of faculty performance. Deans review independently each recommendation for appointment, reappointment, promotion, and tenure and approve or disapprove them, taking into account unit, college, and University criteria and other factors such as quality, progress, resources, program needs, percent of tenured faculty in the unit, and any other relevant University policies and goals (see below). The Office of the Provost will review each recommendation for reappointment, the awarding of tenure and promotion and in each case will focus primarily on the evidence of the effectiveness of the individual in the performance of academic duties. Within this context, faculty must demonstrate substantive and sustainable achievement in both teaching and research and the infusion of this scholarship in outreach programs. In addition, as applicable, the following elements, which relate to individual performance or institutional contextual factors, all of which relate to quality, will be considered: Those factors which relate most closely to individual performance include, but are not limited to: • • • • In each case, solid evidence of consistent and persistent professional improvement and effectiveness at MSU sufficient to serve as a basis for predicting continued professional achievement and growth for the remainder of the individual's academic career. Evidence of actual and/or potential external competition for employment in the Committee on Institutional Cooperation (CIC) 1 Universities or institutions of at least comparable quality. The history of salary increases awarded the individual relative to others in the unit. Evidence of having met the standards of the college and department/school for recommendation of appointment, reappointment, award of tenure, and promotion. Those factors which relate most closely to institutional contextual factors include, but are not limited to: • • Standards of the college and department/school for recommendation of appointment, reappointment, award of tenure, and promotion. Progress of the unit toward achieving and maintaining diversity and recognition of diversity in the unit's definition of quality. The standards for progress are to be found in activities required by the University's Affirmative Action Plan, as referred to in the Manual of Planning and Hiring Procedures for Academic Personnel, by the statement on "Faculty Career Advancement and Professional Development: A Special Affirmative Action Responsibility" found in the Faculty Handbook, and by unit participation in diversity activities supported by departments/schools and colleges. 1University of Chicago; University of Illinois; Indiana University; University of Iowa; University of Michigan; Michigan State University; University of Minnesota; Northwestern University; Ohio State University; Pennsylvania State University; Purdue University; University of Wisconsin Madison. 49 Sept. '96 • • • Fiscal constraints. The extent to which program commitments require the continuation of faculty (relevant primarily for decisions on reappointments and awards of tenure). The Guiding Principles and advancement of the shared University agenda, including scholarship across the mission. Each dean or director is to assure that unit administrators in his or her college make clear, in a timely fashion, to the concerned faculty the procedures and criteria that will be used in making tenure system reappointment and promotion recommendations. Forms for "Recommendation for Reappointment, Promotion or Tenure Action" outline many of the activities that are relevant to decisions on promotion, tenure and reappointment. As stated above, "academic administrators have the special obligation to build academic units strong in scholarship, teaching capacity, and public service". To discharge this responsibility, academic administrators must apply rigorous standards The achievement and in making reappointment, tenure, and promotion recommendations. performance level required must be competitive with faculties of leading research-intensive, land-grant universities of international scope. 1. Reappointment with award of tenure: Each tenure recommendation should be based on a clear record of sustained, outstanding achievements in education and scholarship across the mission consistent with performance levels expected at leading research-intensive, land-grant Universities of international scope. a. b. For the assistant professor who has established such a record, the tenure recommendation is effective upon reappointment after two cumulated probationary appointments in the tenure system. For the faculty member appointed initially as associate professor on a probationary basis in the tenure system who has established such a record, the tenure recommendation is effective upon reappointment after one probationary appointment period. 2. A recommendation for promotion from assistant professor to associate professor in the tenure system should be based on several years of sustained, outstanding achievements in education and scholarship across the mission, consistent with performance levels expected at leading research-intensive, land-grant Universities of international scope. A recommendation for promotion from associate professor to professor in the tenure system should be based on several years of sustained, outstanding achievements in education and scholarship across the mission, consistent with performance levels expected at leading research-intensive, land-grant Universities of international scope. For promotion to the ranks of associate professor and professor, the reasons for a reasonably long period of time in rank prior to promotion are: a. b. To provide a firm basis in actual performance for predicting long-term, high quality professional achievement, and To provide a firm basis in actual performance under Michigan State University standards to permit endorsement of the individual as an expert of national stature. 50 Sept. '96 Bearing in mind the University's continuing objective to improve its faculty, the unit and college must refrain from doubtful recommendations of reappointment, tenure, or promotion. The dean is to evaluate carefully each recommendation to ensure that it is well grounded and fully justified. TENURE ACTION AND PROMOTION Recommendations for actions under the tenure system and for promotions in rank are made in the department according to unit, college and university bylaws, policies and procedures. Recommendations which do not involve the award of tenure are reviewed successively by the dean, the provost and the president, who makes the final decision. Recommendations which involve the award of tenure are reviewed successively by the dean, the provost, and the president, who makes the final recommendation to the Board of Trustees for action. Since extensive information is needed to make an adequate evaluation of the performance of each faculty member to be recommended for reappointment, tenure, or promotion, a comprehensive form has been developed which provides space for reporting activities such as instruction--undergraduate, and graduate; academic advising; research--creative and scholarly; public service--extension and/or continuing education; international program assignments; committee and administrative services; and other evidence of merit. The expectations for each individual are dependent on the individual's particular assignment and the missions of the unit. Sample copies of the form are available in the Office of Academic Personnel Records, 312 Administration Building, telephone 355-1526. COLLEGE-LEVEL REAPPOINTMENT, TENURE AND PROMOTION COMMITTEES The following statement was issued by the Qjfice of the Provost on November 8, 1982. The colleges of Michigan State University may establish peer review committees to review department/school reappointment, promotion and tenure recommendations. Several of the colleges have established such college, in addition to department/school, peer review committees for the purpose of providing advice to the dean in these personnel matters. Approaches used by various colleges, including committee composition, are variable. In the event that a college-level peer review committee is established in a particular college, the Dean of the college shall provide faculty members with information concerning the composition, role and functions of the college-level reappointment, promotion and tenure committee. At a minimum the following information must be provided: (a) the composition of the committee, including methods of selection and the names of specific individuals involved and their University roles, i.e., administrators or regular faculty; (b) the standards and criteria used by the committee in reviewing department/school recommendations; (c) the procedures used by the committee in rendering advice to the Dean, i.e., a ranking or rating procedure or a more qualitative assessment of unit recommendations; and (d) the information or materials made available to the committee to conduct the reviews. The Dean also is encouraged to provide information on any other matters deemed relevant relating to the role and function of the college-level review, reappointment, promotion and tenure committee. 51 Sept. ' 96 GUIDELINES FOR ACADEMIC UNIT PEER REVIEW COMMITTEE COMPOSITION AND EXTERNAL EVALUATIONS The following statement was issued by the Office of the Provost on December 2, 1987 and revised on May 5, 1993. University Policy Each academic unit (department, school, non-departmentally organized college) is charged to establish procedures so that its faculty can provide advice to the academic administrator regarding recommendations for various academic personnel actions, e.g., merit salary increases, appointments, reappointments, promotion, and tenure. Advisory procedures in matters of appointment, reappointment and promotion and tenure must involve peer review usually reflected in the work of faculty committees which may vary in size and composition, although in some cases faculty advice is sought individually. For merit salary increases, peer review advice also is required, but procedures may range from faculty advice to the chairperson or director on standards and criteria to specific commentary on individual faculty by an elected peer review committee. In all cases the academic unit administrator at a minimum is required to obtain the advice of the unit faculty on merit salary standards, criteria and procedures. For example, Section 2.1.2.1., of the Michigan State University Bylaws for Academic Governance, states that a department chairperson or school director "is responsible for the educational, research, and service programs, budgetary matters, physical facilities, and personnel matters in his or her jurisdiction, taking into account the advisory procedures of the unit. " The policy statement on non-tenured faculty in the tenure system also states that the bylaws of each basic administrative unit: "shall provide for a designated group to make recommendations with respect to reappointment, tenure, or promotion" (Michigan State University Faculty Handbook). Guidelines for Peer Review Committee Composition These guidelines have been developed in consultation with and the concurrence of the Council of Deans, the University Committee on Faculty Affairs, and the University Committee on Faculty Tenure (for the latter on tenure matters only). The members of the Council of Deans agree to seek implementation of the guidelines set forth below within the specific bylaws or other procedures established for the applicable peer review process in academic units within their area of responsibility: 1. 2. Eligibility for membership on academic unit peer review committees should be limited to individuals appointed in the tenure system at Michigan State University and/or at peer higher educational institutions. Eligibility for membership in academic unit peer review committees, to the fullest extent possible and particularly for personnel actions involving the award of tenure, should be limited to individuals holding tenured faculty appointments at Michigan State University and/or at peer higher education institutions. 3. Women and minority faculty members should participate in academic unit peer review committee processes for all academic personnel actions referenced above. Specific procedures for involvement should be developed as consistent with University procedures, college/academic unit bylaws and practice and may include, but are not limited to, the following possible arrangements: 52 Sept. '96 a. Regular peer review committee membership. b. c. Service as a consultant to the peer review committee (with or without vote). Participation in the pool of individuals from both within and outside Michigan State University identified by the academic unit, in accordance with regular procedures, to evaluate the candidate's record. Service as a member of or a consultant to (with or without vote) a college-level peer review committee (if such a body exists). Participation in the pool of individuals from both within and outside of Michigan State University identified by the college-level peer review committee and/or dean to evaluate the candidate's record. d. e. External Evaluations: A Recommendation It is noted that many departments, schools and colleges at Michigan State University have academic personnel action (normally promotion and tenure) recommendation procedures which include an evaluation role (external assessment letters) for tenure system faculty appointed in other academic units in the applicable college and/or Michigan State University or who may hold faculty or other applicable appointments in other universities or institutions. It is not intended to stipulate that such external evaluation procedures must be incorporated in all academic unit peer review procedures but, rather, to encourage academic units to consider a possible adoption of these procedures to ensure that individuals recommended have an achievement and performance level which is comparable with faculties of peer institutions. CONFIDENTIALITY OF LETTERS OF REFERENCE FOR REAPPOINTMENT, PROMOTION AND TENURE RECOMMENDATIONS The following statement was issued by the Office of the Provost on December 2, 1991. University policy on confidentiality of letters of reference is that all letters soliciting evaluation relative to reappointment, promotion, and tenure recommendations must include the unit's statement on confidentiality. Any deviation from the following statement must be less restrictive and must be reviewed by the Provost's Office. "Your letter of evaluation, as part of an official review file, will be held in confidence and will not be disclosed to the faculty member under consideration or to the public except as required by law or University policy. In all such instances, the information made available will be provided in a form that seeks to protect the identity, privacy, and confidentiality of evaluators." In instances in which individual colleges, departments and schools wish to deviate from the referenced policy, the expectation of the Office of the Provost is that such policy deviations, which can only be less restrictive, would be developed in consultation with duly constituted faculty advisory groups as required by Section 2 of the Bylaws for Academic Governance. In addition, it is expected that such college, department, or school policies will be available to be reviewed by the Office of the Provost in advance of their distribution, both within the academic unit or to external reviewers. In this way there will be an opportunity to ensure the conformance of the unit's policy with this University policy and the law. 53 Sept. '96 NON-TENURED FACULTY IN THE TENURE SYSTEM The following policy was approved by the Board of Trustees on April 17, 1970. Recommendations for actions affecting the appointment, reappointment or promotion of faculty members under the tenure system must be in accord with the provisions of the tenure system. At the level of the basic administrative unit, judgments on non-tenured faculty with respect to professional competence (including teaching ability), academic potential, and the needs of the department are made by the responsible administrator after consultation with the tenured faculty and/or other duly constituted group specified in the bylaws of that basic administrative unit. Recommendations for reappointment or promotion which do not involve the award of tenure are reviewed and must be approved successively by the dean, the provost and the president, who makes the final decision. Recommendations for reappointment or promotion which involve the award of tenure are reviewed and must be approved successively by the dean, the provost, and the president, who makes the final recommendation to the Board of Trustees for action. Each basic administrative unit shall base its judgments on criteria and procedures that are clearly formulated, objective and relevant. These criteria and procedures shall be known to all members of the basic administrative unit. If appropriate, the responsible administrator may supplement information required for these judgments by consulting with representative non-tenured faculty, students and/or qualified individuals outside the basic administrative unit. Review procedures shall be described in its by laws and shall include a means by which the faculty member is evaluated and informed annually of his/her progress. These bylaws shall provide for a designated group to make recommendations with respect to reappointment, tenure, or promotion. Procedures shall also exist by which the faculty member may confer with this sub-group before a decision is made in his/her case. Decision not to reappoint a non-tenured faculty member does not necessarily imply that the faculty member has failed to meet the standards of the University with respect to academic competence and/or professional integrity. This decision may be contingent, wholly or in part, upon the availability of salary funds and/or departmental needs. The decision not to reappoint a non-tenured faculty member does not require action by the Board of Trustees. In the case of a non-tenured faculty member within the tenure system, notification is required as set forth in the section entitled Operating Principles of the Tenure System, above. Such decision is made at the level of the basic administrative unit. Upon written request of the faculty member, the administrator of the basic administrative unit making the decision shall transmit in writing the reasons for the decision. If a non-tenured faculty member believes that the decision not to reappoint has been made in a manner which is at variance with the established evaluation procedures, he/she may, following efforts to reconcile the differences at the level of the basic administrative unit and the Dean of his/her college, initiate an appeal in accordance with the Faculty Grievance Procedure. When reason arises to consider dismissal of a non-tenured faculty member before the expiration of his/her term of appointment, the procedures to be followed shall be identical with those established for the dismissal of a tenured faculty member. 54 Sept. '96 FACULTY CAREER ADVANCEMENT AND PROFESSIONAL DEVELOPMENT: A SPECIAL AFFIRMATIVE ACTION RESPONSIBILITY The following statement was issued by the Office of the Provost on October 5, 1982 and revised on August 1, 1996. University policy requires that each non-tenured faculty member in the tenure system be "evaluated and informed annually of his/her progress" (see statement on Non-Tenured Faculty in the Tenure System, Faculty Handbook). Such annual reviews are to provide opportunities for two-way communication regarding academic unit performance expectations and, if necessary, to provide suggestions and reasonable assistance for improving performance. Faculty career advancement and professional development are to be encouraged. Under the University's affirmative action policy, unit academic administrators have a special responsibility to encourage the career advancement and professional development of all women and racial minority faculty members appointed in the tenure system, especially non-tenured faculty. A supportive environment should be created in each academic unit to maximize the opportunity for success of these individuals in meeting both their career goals and the unit's performance standards for merit salary increases, reappointment, promotion and tenure. An important aspect of this environment is regular and supportive interaction with colleagues in the unit and in related fields in other units. Efforts of women and racial minority faculty members to overcome barriers related to gender and/or race can divert attention from the achievement of basic career goals and diminish the quality of professional experience. several equal Council of Deans' memo #D/93/81-82, dated May 19, 1982, opportunity/affirmative action topics to be addressed in the annual evaluation of chairpersons and directors. Included in this list is the requirement that department and school administrators give special attention to and encourage the professional development of their units' women/racial minority faculty members. Special attention is drawn to the importance of the role of annual performance reviews and/or special meetings with women and racial minority faculty to evaluate progress, to encourage professional development, and to ensure two-way communication. Among other things, performance reviews and/or special meetings are: lists 1. 2. 3. To encourage opportunities as appropriate for membership in informal and formal research groups, teaching, research, and service program activities, assignment of graduate students and research assistants, committee assignments, and other critical activities in the unit. To discuss professional objectives and their relationship to the individual's distribution of effort among assigned duties. To discuss any issues and concerns that may be perceived as barriers to effective performance and full participation in the unit Deans should ensure that unit administrators conduct annual performance reviews of each non-tenured faculty member appointed in the tenure system and that, among the topics addressed, those stated above, as appropriate, are included in these reviews. If college or unit practice is to require written annual evaluations, the dean should receive a copy of the evaluation sent to each faculty member. The dean should conduct in-depth reviews with each chairperson or director of the annual performance evaluations of each non-tenured faculty member appointed in the tenure system to identify issues and to implement appropriate steps to assist the faculty member in achieving success in the unit. 55 Sept. '96 In addition to the chairpersons and directors, deans also are encouraged to schedule individual meetings at least annually with all racial minority and women--if underrepresented--tenure system faculty members appointed in their colleges. Issues identified in these meetings should be discussed with the applicable chairperson/director so that each individual can have full opportunity to develop professionally and make progress toward meeting unit standards. Documentation of the occurrence of annual performance reviews of non-tenured faculty in the tenure system by unit administrators must be submitted by each dean to the Office of the Provost along with the reappointment, promotion and tenure recommendation list. The details of each performance review will be discussed in the meetings with each dean by the Assistant Provost/ Assistant Vice President for Academic Human Resources and the Assistant Vice President for Research Services. FACULTY STATUS: RESERVED FOR APPOINTMENTS IN PRIMARY ACADEMIC UNITS OF THE UNIVERSITY This policy was issued by the Office of the Provost with an effective date of January 11, 1980. The academic quality of MSU and the integrity of the tenure system are determined fundamentally by decisions for appointment to faculty ranks. These objectives are served best by limiting appointments to faculty status to the primary academic units of the University, i.e., academic departments, schools and colleges. The Office of the Provost will endorse appointment recommendations to appoint individuals on a temporary basis (with ending date) with the rank of instructor, assistant professor, associate professor, and professor only in instances in which the primary recommending unit is an academic department (a department in a college or colleges) and/or a school and/or a college. All appointments in the tenure system, except those subject to the stipulations indicated below, must be recommended by an academic department, or a school in a college, or a residential or other non-departmentally organized college as the primary academic unit, or by such units jointly. Tenure System Appointments: Primary Academic Units and Other Types Of Units When a primary academic unit, i.e., a department, school, and/or residential or other non-departmentally organized college, joins with any other type of unit in the University to recommend appointment of an individual in the tenure system, the primary academic unit commits to accept the individual as a regular faculty member. The academic unit should make this commitment only after direct involvement in the recruitment of the individual and specification of the unit's role in evaluations for salary increases, reappointment, tenure, promotion, and leave In all cases, except as designated below, responsibility and final decision for recommendations. salary increases, promotion, reappointment, tenure and leave eligibility rests with the designated primary academic unit. 1 This commitment means that the individual will serve as a regular faculty member in the academic unit if there is a determination at any future date by the Provost after consultation with the appropriate vice president, as applicable, that the best interests of the University 1Such understandings, together with the other required information, should be included in or attached to Michigan State University's Multiple Appointment Memorandum. In instances where the other type of unit provides more than 50 percent salary support, any one of these personnel actions may be designated as the responsibility of this unit. However, such arrangements (a) require the concurrence of the academic unit, (b) should be specified in the Multiple Appointment Memorandum, ( c) may be changed at the initiative of the academic unit after consultation with the faculty member, and (d) do not affect the individual's status as a regular faculty member in the academic unit. 56 Sept. '96 will be served by discontinuation of the assignment of the individual in the non-academic unit(s). A faculty member may also initiate a request to return to the academic unit. Notice of one year to the Provost from the faculty member will usually be sufficient time to reassign the individual to the sponsoring primary academic unit, residential or other non-departmentally organized college. i.e., department, school, or The reassignment of an individual to a department, school, or residential or other non-departmentally organized college will not constitute an addition to the authorized FTE count except as may be necessary during a transition period. Transition periods will be extended only as necessary by the Provost's assessment of the resources available. As soon as the Provost determines that resources are available, the individual will be included in the academic unit's regular FTE count. Thus, before this type of commitment is made, overall department, school, or college priorities must be considered carefully, including both short-term and long-term plans. The number of such commitments should be limited. Any individual with a multiple appointment of this type holds status in the tenure system as a i.e., department, school, or residential or other member of the primary academic unit, non-departmentally organized college; and the academic unit is obligated to honor this status fully if and when called upon to do so by the Provost or the faculty member. Consequently, departments, schools, and colleges must be centrally involved in the ways specified above in recommendations on appointment, salary increases, reappointment, tenure, promotion and leaves. Tenure System Appointments: Between Primary Academic Units The policy stated in the previous paragraphs does not apply to recommendations for joint appointments between primary academic units, i.e., departments, schools, and residential or other non-departmentally organized colleges. Recommendations for joint appointments between primary academic units for new or currently appointed faculty should include the MSU Multiple Appointment Memorandum which identifies the primary unit with responsibility and final decision for salary increases, promotion, reappointment, tenure and leave eligibility. As specified by the Multiple Appointment Memorandum, all units, including the primary unit, participate in discussions and reach agreement about the initial appointment recommendation and have the opportunity to provide an evaluation of the faculty member concerning salary increases, promotion, reappointment, tenure and leave eligibility, although the primary unit has the final responsibility for such actions. Although, with the agreement of the relevant chairpersons (directors), deans, and the Provost, such assignments may be changed, multiple appointment assignments are viewed as stable and ongoing unless made for a specific period as recorded on the academic personnel form at the time the joint appointment is approved. Unlike joint appointments between primary academic units and other types of units, the individual faculty member does not have the option of unilaterally electing to cease performing specified duties in any of the primary academic units party to the original (or amended) joint (multiple) appointment agreement. At the conclusion of joint appointments between primary academic units for specified time periods, the individual faculty member's assignment reverts to the unit(s) specified in the original or amended Multiple Appointment Memorandum. 57 Sept. '96 LONG TERM DISABILITY: AN INTERPRETATION OF THE TENURE RULES The following policy was approved by the University Committee on Faculty Tenure on May 19, 1975. Minor rewording was approved by UCFT on April 26, May 24 and June 7, 1976. A. Policy 1. 2. 3. 4. 5. 6. 7. A faculty member with tenure may be removed from his or her position on the basis of physical or mental incapacity to carry out the responsibilities for which he or she was appointed. Such incapacity must be established on competent medical advice. Competent medical advice is understood to mean opinion formed by a competent medical authority after careful consultation with: a. b. The administrators of all units to which the faculty member is regularly assigned, and Such other consultants as may be reasonably required. In each of the academic units to which the faculty member is assigned, administrators shall be advised by the faculty advisory group or by faculty members professionally acquainted with the demands of the faculty member's academic position. Removal from an individual's position on the basis of physical or mental incapacity It may not be used arbitrarily as a resort for should be demonstrably bona fide. by-passing the procedures governing dismissal of a tenured faculty member. If long-term incapacity is established, the faculty member shall be placed on long-term disability status . The University shall hold the tenured position "open" for two years from the date of establishing the long-term disability, filling it, if necessary, with interim appointments . At any time during the two-year period the faculty member may, by formal request, seek to be reinstated on the basis of competent medical advice. The University shall respond promptly to such a request. If, at the expiration of two years , the individual has not been reinstated, the position need no longer be held "open" for him or her. If within the two-year period, the disabled individual is not capable of resuming the duties of the tenured position, but is capable of assuming another full-time tenured position commensurate with his or her education, training and experience, every reasonable effort shall be made to place him or her in such a position. It is understood and stipulated that such an appointment shall yield a customary and reasonable productivity to both the individual and the University. Conditions of employment should conform to those normal in the area. If, after the expiration of the two-year period, the individual should request to return to service, and competent medical advice indicates that he or she is capable of resuming full-time faculty status, the University shall give preference to the re-employment of the individual when a vacancy occurs in the area of his or her professional competence; however, the individual has no prior claim to the vacancy . 58 Sept. '96 8. 9. If, either within or beyond the two-year period, the disabled individual is not capable of assuming a full-time tenured faculty position but is capable of other employment within the University, the University shall, in keeping with University policies including its policy on the employment of handicappers, exert every reasonable effort to find a suitable alternative position. Conditions of employment should conform to those normal in the area. If the faculty member is reinstated in a tenured faculty position, he or she shall have full rights of tenure. If the person is reinstated in a faculty position he or she shall perform the duties of teaching, research and service with full guarantee of academic freedom. 10. The academic freedom of a disabled faculty member is in no way compromised by disability status. B. Procedure The following procedure was approved by the University Committee on Faculty Tenure on April 26, 1976. 1. 2. A faculty member may request disability status for reasons of health, physical or mental incapacity. The procedure for granting medical leave is specified in the Faculty Handbook. Disability status is granted when the faculty member qualifies for compensation under the terms of the long-term disability program of the University. A chairperson, director of a school, or other unit administrator may recommend that a faculty member be placed on disability status for sufficient reasons, i.e., inadequate performance and a recommendation by the medical officer of the University that the health of the faculty member justifies placement on disability status. a. b. If the performance of a tenured faculty member deteriorates significantly, the unit administrator will discuss the matter with the faculty member and may inquire regarding the possible reasons, including the health of the faculty member. The unit administrator may require a comprehensive medical assessment of the individual if health might be a primary cause of inadequate performance of reasonably assigned duties. This assessment may be by a physician selected by the faculty member and acceptable to the medical officer of the University. The latter advises the unit administrator on the health status of the faculty member. If the unit administrator requires a medical assessment of the individual faculty member or recommends disability status, the faculty member must be informed in writing and must be informed at the same time that the faculty grievance procedure is applicable. The dean(s) may approve or disapprove the unit recommendation. If approved, the dean(s) shall forward the recommendation to the Provost for consideration and action. c. If at any point in this process the faculty member elects to seek disability status, the routine procedure outlined in paragraph B-1, above, applies. 3. If seeking reinstatement under provision A-5, the faculty member should address the request to the unit administrator, e.g., the department chairperson. Reinstatement 59 Sept. '96 4. 5. under this provision requires approval by the medical officer of the University, the appropriate administrative endorsements, and approval by the Provost. If a faculty member on disability status requests an assignment under provision A-6 or A-7 above, that individual must address a request for such assignment to the Provost in writing. Assignment under these provisions requires approval by the medical officer of the University, the appropriate administrative endorsements and, if appropriate, approval by the Provost. If a faculty member on disability status requests assignment under provision A-8, above, that individual shall address the request in writing to the Provost or appropriate Vice President depending on the position sought. Assignment under this provision requires approval by the medical officer of the University, the appropriate administrative endorsements and, if appropriate, approval by the Provost. POLICY AND PROCEDURE FOR IMPLEMENTING DISCIPLINARY ACTION WHERE DISMISSAL IS NOT SOUGHT The following policy was approved by the Board of Trustees on June 11, 1993. A faculty member may be disciplined for cause including but not limited to (1) intellectual dishonesty; (2) acts of discrimination, including harassment, prohibited by law or University policy; (3) acts of moral turpitude; (4) theft or misuse of University property; (5) incompetence; (6) refusal to perform reasonable assigned duties; (7) use of professional authority to exploit others; (8) violation of University policy substantially related to performance of faculty responsibilities; and (9) violation of law(s) substantially related to the fitness of faculty members to engage in teaching, research, service/outreach and/or administration. Discipline or the threat of discipline may not be used to restrain faculty members in their exercise of academic freedom. Where disciplinary action short of dismissal for cause is sought, the unit administrator, after consultation with the Dean or separately reporting Director and the Provost, shall provide the faculty member with written notice of the cause for disciplinary action and an opportunity to respond prior to the imposition of any disciplinary action. After receiving the response, the unit administrator shall make a decision regarding the disciplinary action and notify the faculty member in writing. The faculty member may challenge the imposition of any disciplinary action by the unit administrator by filing a grievance under provisions of the Faculty Grievance Procedure. The processing of such grievance shall be expedited. No disciplinary action, except temporary reassignment of duties or temporary suspension with pay, shall be implemented during the pendency of the grievance. Disciplinary action may include but is not limited to reprimand, suspension with or without pay, reassignment of duties, foregoing salary increase and/or benefit improvements, and mandatory counseling and/or monitoring of behavior and performance. Suspension without pay may not exceed six months. All proceedings and records with regard to disciplinary action shall be confidential insofar as the law permits. 60 Sept. '96 POLICY AND PROCEDURE FOR RESCISSION The following policy was approved by the Board of Trustees on June 11, 1993. The University may rescind a tenure system faculty member's appointment for any material misrepresentation made in the course of seeking a University appointment. In such cases, the faculty member shall be advised, in writing, of the grounds for rescission and shall be provided an opportunity to confer with the Provost in advance of any rescission action. If the Provost decides to recommend rescission of the faculty member's appointment, the faculty member shall be so notified in writing. The faculty member may grieve the decision by filing a grievance with the Faculty Grievance Official within thirty calendar days ofreceipt of the Provost's written notification. If no grievance is filed, the Provost shall forward the rescission recommendation to the President for action by the Board of Trustees. If a grievance is filed it will be heard by a University Hearing Panel pursuant to the procedures in Section 4.2 of the Faculty Grievance Procedure except that the Hearing Panel shall forward its recommendation directly to the President. The University Hearing Panel shall include three members of the UCFT. Upon receipt of the recommendation of the Hearing Panel, the President shall act on recommendation and either (1) retain the faculty member or (2) forward the matter to the Board of Trustees for action. DISMISSAL OF TENURED FACULTY FOR CAUSE1 The following policy was approved by the Board of Trustees on March 16, 1967 and revised on June 11, 1993. The University is a community of scholars dedicated to the advancement of knowledge. Among the functions of a University is the establishment of a proper intellectual integrity among the faculty, between the faculty and the students, and between the faculty and the national and international academic community. This intellectual integrity is fostered by the creation of an environment of personal interaction and mutual trust whereby its members are mindful of their responsibilities to maintain standards of competence, and a proper attitude of objectivity, industry and cooperation with their associates within and without the University community. However, if the community is to be sustained it is necessary for it to take action when commonly held standards of conduct are violated. Thus disciplinary action up to and including dismissal may be undertaken for cause, with dismissal being reserved for the most serious of cases. Dismissal or the threat of dismissal may not be used to restrain faculty members in their exercise of academic freedom. A tenured faculty member may be dismissed for cause including but not limited to (1) intellectual dishonesty; (2) acts of discrimination, including harassment, prohibited by law or University policy; (3) acts of moral turpitude; (4) theft or misuse of University property; (5) incompetence; (6) refusal to perform reasonable assigned duties; (7) use of professional authority to exploit others; (8) violation of University policy substantially related to performance of faculty responsibilities, and (9) conviction of violation(s) of law(s) which are substantially related to the fitness of faculty members to engage in teaching, research, service/outreach and/or administration. 1These procedures also apply to the dismissal of non-tenured faculty in the tenure system prior to the expiration of the term of appointment. The policy on non-tenured faculty was approved by the Board of Trustees on April 17, 1970. 61 Sept. ' 96 If dismissal proceedings are initiated against a tenured faculty member and result in a finding of cause, dismissal or disciplinary action less than dismissal may be recommended and imposed. Disciplinary action less than dismissal may include but is not limited to reprimand, suspension with or without pay, reassignment of duties, denial of salary increase and/or benefit improvements, and mandatory counseling and/or monitoring of behavior and performance. Cause shall be determined by a hearing committee according to the procedures set forth in Section IV and Appendix II. The Procedure for Dismissal of Tenured Faculty for Cause does not apply with respect to: (1) a tenure system faculty member's material misrepresentation, made to the University in obtaining employment, or (2) cases where disciplinary action other than dismissal is sought. In such cases, the Procedure for Rescission or the Procedure for Disciplinary Action Where Dismissal Is Not Sought shall be followed. I. Informal Resolution/Preliminary Conference Stage When reason arises to consider dismissal of a tenured faculty member, as a result of matters brought forward by the dean or separately reporting director of the applicable college or other administrative unit, the Provost shall request the Dismissal for Cause Review Officer (appointed pursuant to the procedures set forth in Appendix IV) to review the matter and provide a recommendation as to whether dismissal for cause proceedings should be initiated and, if so, whether the faculty member should be relieved from any or all duties during the proceedings. The Review Officer shall review the reasons for considering dismissal and the evidence in support of such dismissal with the dean or separately reporting director (referred to hereinafter, as relevant, as the charging party or unit administrator bringing the charges), and shall talk with the affected faculty member and the relevant chairperson, director or other immediate supervisor prior to providing a recommendation to the Provost. The Review Officer in considering whether dismissal for cause should be brought should review what steps have been taken to achieve informal resolution, whether, in cases involving a pattern of conduct, the faculty member had any warning that the conduct might lead to dismissal and whether any measures might be taken to resolve the matter short of instituting dismissal for cause proceedings. The recommendation should be forwarded to the Provost within thirty days unless an extension of time is approved by the Provost. The recommendation of the Review Officer is advisory to the Provost and shall not be available to either party in any dismissal action which may be instituted. The Provost shall review the report and recommendation of the Review Officer, as necessary, having discussions with the Review Officer. If the Provost determines that the matter is of sufficient seriousness to warrant the initiation of dismissal for cause proceedings, he/she shall arrange a personal conference or conferences with the affected faculty member. The difficulty may be resolved by mutual consent at this point, including by resignation. Additional informal resolution efforts also may be relevant. No formal charges shall be filed until after the faculty member has been informed in person by the Provost that such charges are to be filed (which may occur at the first personal conference). In cases in which the faculty member is not in the United States or is otherwise not available for a personal meeting, the require ment of this section will be met by a telephone discussion and/or correspondence with a reasonable opportunity to respond. The review process is intended to be a collegial process which may lead to informal resolution. Accordingly, the process will proceed without counsel for either of the parties being present. The faculty member may elect to forgo meeting with either the Review Officer or the Provost. 62 Sept. '96 II. Initiation of Formal Proceedings a. b. c. d. Following conclusion of the informal resolution/ preliminary conference stage and only after a determination by the Provost that the matter is serious enough to be addressed under the dismissal procedure, the charging party shall initiate formal charges. The Provost shall notify the President before proceedings are initiated that charges against the faculty member will be filed by the charging party. The faculty member may be relieved from any or all academic duties during the proceedings at the discretion of the President if recommended by the Provost as based on consideration of advice on this matter provided by the Dismissal for Cause Review Officer. Such relief of duties shall be without loss of compensation. Formal proceedings shall be deemed initiated when the charging party files with the President and with the Chairperson of the University Committee on Faculty Tenure (UCFT) a written statement of explicit charges against the affected faculty member. The statement shall contain: 1) The nature of the charges; 2) the names of the witnesses, insofar as known, who will testify in support of the specific allegations; 3) the nature of the testimony likely to be presented by each of these witnesses. The Chairperson of the University Committee on Faculty Tenure shall promptly give notice by registered mail to the affected faculty member stating the explicit charge against him or her. The written notice to the faculty member shall contain: 1) the nature of the charges; 2) the names of the witnesses, insofar as known, who will testify in support of the specific allegations; 3) the nature of the testimony likely to be presented by each of these witnesses. III. Meetings between the Chairperson of the UCFf and Parties As soon as practicable following the filing of formal charges, the Chairperson of the UCFT shall meet with the parties and counsel to the Hearing Committee, if one is provided (see Appendix I). The Chairperson may arrange more than one meeting. The Chairperson of the UCFT shall serve as presiding officer in these meetings whose purposes include: a. b. c. The empaneling of a hearing committee which shall be composed of five tenure system faculty members selected according to the procedures set forth in Appendix I. Exchange of documents and witness lists between the parties. Stipulations by the parties on any relevant matters of fact. Any stipulation shall be reduced to writing and signed by both parties and the UCFT Chairperson. The Chairperson of the UCFT shall rule on the acceptability of any proposed revisions in the charges that might be offered or requested. A confidential record of these meetings shall be kept, similar to the record kept of the Hearing Committee selection meetings, and it will also become a part of the permanent record of the hearing. The Chairperson of the Hearing Committee may request that the Chairperson of the UCFT consult with the Hearing Committee concerning the subjects of these meetings, and additional such meetings may be called at the discretion of the Chairperson of the Hearing Committee and at any time while the hearing continues, to be presided over by the Chairperson of the UCFT. 63 Sept. '96 IV. The Hearing a. b. c. d. e. f. g. h. Service on the Hearing Committee shall be a high priority University responsibility for the duration of the hearing. The University administration shall assure that administrators of affected units take all reasonable measures to reduce the Hearing Committee members' other responsibilities. The Secretary for Academic Governance shall make available to the Chairperson of the Hearing Committee secretarial and clerical assistance as required. A full stenographic record shall be made of the hearing. If any party requests additional copies of the record or requests the receipt of a copy of the record in advance of the normal course of its processing, the additional costs of such record shall be paid by the requesting party. The Chairperson of the Hearing Committee shall request the presence of any witness or the delivery of any University document germane to the hearing. In fulfilling these requests, the appropriate administrative officers will cooperate. The Chairperson of the Hearing Committee shall schedule the hearing within a reasonable time after the affected faculty member receives notifications of the charges against him or her, due consideration being given to the fact that the faculty member needs a reasonable length of time for the preparation of a defense. The hearing shall be closed except that the Hearing Committee may decide that hearing sessions are to be open if this is requested by the affected faculty member. The Committee shall hear the views of both parties on the question and shall determine in deliberative session whether the sessions are to be open or closed. The Chairperson of the Hearing Committee may, however, in the interest of orderly and equitable proceedings, rule that a given session or portion of a session be closed. The Chairperson of the Hearing Committee shall be in full charge of the Hearing which shall be conducted according to the procedures stipulated in Appendix II. Except as provided below, only those members who have been present at all sessions in which evidence has been presented or arguments have been heard shall have the right to vote. An exception to this attendance requirement shall be made by the Chairperson of the Hearing Committee for a member who has missed, for good cause, no more than one session and who has certified to the satisfaction of the Chairperson that he/she has read the official transcript thereof. Exception to the attendance requirement may also be made by unanimous consent of the parties to the hearing. The charging party (or his/her representative) and his/her advisor or legal counsel (if any) shall be present at all sessions of the Hearing Committee in which evidence is presented or arguments are heard, and may 1) present evidence, 2) call, examine and cross-examine witnesses, and 3) examine all documentary evidence received by the Hearing Committee. The burden of proof shall rest with the person who makes the charges. The affected faculty member and his/her advisor or legal counsel (if any) have the right to be present at all sessions of the Hearing Committee when evidence is presented or arguments are heard, and may 1) present evidence, 2) call, examine and cross-examine witnesses, and 3) examine all documentary evidence received by the If the affected faculty member and his/her advisor or legal Hearing Committee. 64 Sept. '96 counsel choose not to exercise the right to be present, the Chairperson at his/her discretion may conduct hearing sessions in the absence of the affected faculty member. V. Processing the Record and Rendering Judgement a. Within 30 University working days following receipt of the final arguments, the Hearing Committee shall submit a written report which shall contain findings of fact and recommendations to the parties and current UCFT. If additional time should be needed, the Chairperson of the Hearing Committee shall make the request for an extension of time to the Chairperson of the University Committee on Faculty Tenure. The Hearing Committee shall make a specific finding as to whether cause has been established and, if established, shall recommend either dismissal, or other disciplinary action(s). If cause is not established the matter is closed and the faculty member shall be retained without conditions. A written report which recommends dismissal of a tenured faculty member for cause shall state that the charges made against the affected member have been proven by clear and convincing evidence. Any member of the Hearing Committee or any group of members may file a minority report which shall become a part of the Hearing Committee report. The Chairperson of the Hearing Committee shall certify that the majority report was subscribed to by a majority of the Hearing Committee and all members of the Hearing Committee shall sign the report attesting that they have read the report and that the majority report, and minority report (if submitted), constitute the findings and recommendations of the Hearing Committee. b. Either party may appeal the decision of the Hearing Committee to the current UCFT, excluding the Chairperson of the UCFT and members of the UCFT who served on the Hearing Committee. The remaining members shall constitute an appellate body and shall select a chairperson by majority vote. Grounds for appeal are limited to whether there was a prejudicial violation of the procedures in the hearing process. The appeal and all arguments in support thereof must be in writing and must specify the basis for relief and the relief requested. 1. A party wishing to appeal must submit to the UCFT a notice of intent to appeal within five days after receipt of the report. Days here and in the sequel refer to University working days. 2. The appeal and all arguments in support must be sent to the UCFT and the opposing party no later than 15 days after the report is received by the parties. 3. The opposing parties may submit a written response to the appeal. The response must be sent to the UCFT and the party who initiated the appeal no later than 15 days after receipt of the appeal. The UCFT may request both parties to present oral argument and/or respond to questions by UCFT members regarding the substance of the appeal. The UCFT may impose reasonable limits on the time allotted for oral arguments. If there is an appeal, within 10 days of receiving all arguments and by a simple majority vote, the UCFT shall deny the appeal or grant the appeal and direct appropriate remedy. The outcome of a UCFT appeals decision shall become part of the record. c. d. 65 Sept. '96 e. After appeals, if any, are concluded, the Hearing Committee's final report and recommendations shall become the report of the UCFT and shall be sent to the President, the Provost, the affected faculty member and the unit administrator bringing the charges. The Chairperson of the UCFT shall file in the Office of the Provost 1) the UCFT Report, 2) a complete file of the case, and 3) transcripts of the hearings. The complete record of the hearing shall be held for review in the Provost's Office and shall be available to the President, the Provost, the Board of Trustees, the affected faculty member and the unit administrator bringing the charges, for their review, in a place designated by the Provost. A correct copy of the complete transcripts of the hearings shall be sent to the affected faculty member. f. If the UCFT report finds cause, the following procedures apply in this sequence: 1. The Provost, the affected faculty member and the unit administrator bringing the charges may, within ten working days after receiving the notification stipulated in section V, paragraph E, review the record and file written comments with the Chairperson of the Hearing Committee, the Chairperson of the UCFT and the President. 2. The President, within a reasonable time, will review the case and report in writing his/her preliminary response, accompanied by supporting rationale, to tbe Chairperson of the Hearing Committee, the Chairperson of the UCFT, the Provost, the unit administrator bringing the charges and the affected faculty member. 3. The affected faculty member, the Provost, the unit administrator bringing the charges, or the Hearing Committee, through its Chairperson, may, within ten days after receiving the President's preliminary response in writing, submit to the President written comments with respect to that response. 4. After consideration of the President's preliminary response, if the President and the Hearing Committee concur that there is no cause for dismissal or other discipline, the matter shall terminate at this point. 5. If either the President or the Hearing Committee recommends dismissal or disciplinary action, the Hearing Committee report, the recommendations of the President, and any written comments on the President's recommendation by the Hearing Committee, through its Chairperson, or by the Provost, the unit administrator bringing the charges, or the affected faculty member, shall be submitted by the President to the Board of Trustees for action. The complete record of the case shall be made available to the Board of Trustees. 66 Sept. '96 VI. Confidentiality All proceedings and records with regard to dismissal or disciplinary action shall be confidential insofar as the law permits. Appendix I Procedure for Empaneling a Hearing Committee 1. 2. 3. 4. 5. 6. 7. The Hearing Committee shall consist of five tenure system faculty members selected (except as noted in 10, below) from UCFT members whose terms include the date of the filing of formal charges. The expiration of a member's term on the UCFT shall not affect continued service on a Hearing Committee. The Chairperson of the UCFT shall serve as presiding officer for the selection of the Hearing Committee and is not eligible to serve on the Hearing Committee. In the event that the affected faculty member is from the same College as the Chairperson of the UCFT, the most recently serving past UCFT Chairperson who is available shall serve. In the presence of at least two members of the UCFT, the Chairperson of the UCFT shall conduct a random drawing of the names of all eligible members of the UCFT (excluding the UCFT Chairperson), placing the names on a roster in order of drawing. This shall be the order in which members will be selected for service on the Hearing Committee. The ordered roster shall be circulated promptly to the parties and to the members of UCFT. (Parties and counsel may, if they choose, attend the meeting at which the roster is drawn.) No sooner than two weeks after the circulation of the ordered roster (described in 3, above) the UCFT shall meet in the presence of the parties to select the Hearing Committee. All eligible members on the roster (described in 3, above) are expected to attend. The Chairperson of the UCFT shall preside over this meeting. Any potential Hearing Committee member may request in writing of the UCFT Chairperson that he/she be excused for appropriate reason. Requests to be excused shall be the first order of business during the meeting referenced in paragraph 5. The UCFT Chairperson shall, if necessary, question members requesting an excuse and then decide whether to grant the excuse. The Chairperson of the UCFT shall question each potential Hearing Committee member as to the extent of his/her personal or professional relationships with either party, and whether there is any reason he/she would be unable to hear the case fairly and impartially and render a fair and impartial decision. Additional questions may be submitted to the Chairperson by the parties. Any UCFT members not excused shall have the opportunity to suggest further (The Chairperson may disallow any questions to be asked by the UCFT Chairperson. questions on grounds of lack of relevance). Each party shall have an unlimited number of challenges for cause. The Chairperson of the UCFT shall preside over the challenge process. If a party challenges a member of the Hearing Committee roster for cause, the party shall state the grounds for the challenge. The standard to be followed by the Chairperson in ruling on for cause challenges is, whether in light of the challenged person's knowledge of the case, personal or professional relationships with a party, and statements made during the selection and challenge process, the committee 67 Sept. '96 8. 9. 10. 11. 12. member is able to fairly and impartially hear the case and render a fair and impartial decision. The challenge for cause shall be ruled on by the Chairperson of the UCFT. Each party shall have one peremptory challenge. Peremptory challenges shall follow challenges for cause. If a member is removed from the Hearing Committee under provisions 6-9, above, the next name on the ordered roster (i.e., described before in paragraph 3) will be advanced to keep the Hearing Committee at five. All such replacements are subject to the provisions of 6-9, above. Should the roster of candidates for membership on the Hearing Committee be reduced to less than five, the panel of candidates shall be replenished by adding available former members of the UCFT in order of most recent service on the UCFT. (All available former members who served during the previous academic year will provide the first supplement, then those who served two years previously, and so on.) Should replenishment of the panel be necessary, the Chairperson of the UCFT shall identify supplementary candidates in a number sufficient, in the judgment of the Chairperson, to fill the Hearing Committee. Ordering and selection of Hearing Committee members from the supplementary panel shall proceed in the manner outlined above. The Hearing Committee shall be composed of the first five UCFT members remaining on the ordered rosters. If, prior to the hearing of evidence, any Hearing Committee member is unable to continue service on the Committee, the UCFT shall select a replacement using the procedures outlined above. If, due to attrition, the Hearing Committee membership is reduced to four after hearing evidence has begun, the hearing process shall continue. Further attrition shall result in cancellation of further hearings and reinitiation of the process. 13. Two records shall be kept of any meetings to select the Hearing Committee: (i) A brief set of minutes stating that the UCFT faculty members met to select a Hearing Committee. The names of the parties shall be omitted. These are to be the public minutes on file with the Secretary for Academic Governance. (ii) A detailed, confidential record of the Hearing Committee selection process shall include names of all participants and their relations to the case. This is to be given only to the parties and the Hearing Committee to be part of their records. After the selection of the Hearing Committee, the Hearing Committee shall elect its Chairperson from its membership by majority vote. From this point, the Hearing Committee shall be in charge of all subsequent stages in the hearing process (except as provided in III, below) until the Hearing Committee has forwarded its report and recommendations. If either side is represented by legal counsel, the University shall provide legal counsel for the UCFT and/or the Hearing Committee, upon request of the respective Committee Chairperson. 68 Sept. '96 Appendix II Procedure for the Hearing 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. The Chairperson of the Hearing Committee shall be in full charge of the hearing. Hearing sessions may be scheduled, at the discretion of the Chairperson, on any weekday, weekends during the hours from 8:00 a.m. to 10:00 p.m., or, by unanimous consent of the parties and panel members, on University holidays. All discussions and votes by the UCFT and the Hearing Committee shall be in executive session; the Hearing Committee's counsel, if any, may be present. The Chairperson of the Hearing Committee shall read the specification of charges against the faculty member. The Chairperson of the Hearing Committee shall request the faculty member's plea. The Provost (or his/her representative) and the unit administrator bringing the charges (or his/her legal counsel) shall present testimony to support the charges. The affected faculty member and his/her advisor or legal counsel have the right to cross-examine all witnesses. The Hearing Committee should normally withhold questions until both of the above processes are completed. The affected faculty member or his/her advisor or legal counsel shall present testimony to refute the charges. The Provost (or a representative) and the unit administrator or his/her legal counsel have the right to cross-examine witnesses. The Hearing Committee should normally withhold questions until both of the above processes are completed. After the case of the faculty member, the charging party may present rebuttal evidence. Rebuttal evidence shall be limited to new matters brought forth in the faculty member's case. Surrebuttal evidence (limited to evidence rebutting the charging party's rebuttal evidence) shall be allowed. The Provost (or his/her representative) and the unit administrator or his/her legal counsel shall present closing arguments. The affected faculty member or his/her advisor or legal counsel shall present closing arguments. 11. The Hearing Committee shall deliberate to determine its recommendations. Appendix III Outcome of Appeal In the event of an appeal which the UCFT upholds, the UCFT is not bound to grant the requested relief. In no event may the UCFT amend the findings of fact or the recommendations of the Hearing Committee and submit these amendments in the report specified in V.e. Some examples of UCFT responses available are: 1. None. Although an error has occurred, it has not been sufficiently damaging to the appealing party's ability to present its case fully as to warrant remedy. 69 Sept. '96 2. 3. Return the case to the Hearing Committee for additional hearings and/or possible amendment. An error has occurred which can and should be corrected by the original Hearing Committee. Dissolve the original Hearing Committee and constitute a new one to entirely rehear the case. An error has occurred which has tainted the hearings to an extent that correction by the original Hearing Committee is impossible. Appendix IV Procedures for Selecting Dismissal for Cause Review Officer 1. 2. A panel of ten tenured faculty members shall be established from which one person shall be selected by the President of the University to serve as a reviewer to advise the Provost whenever there is cause to consider the dismissal of a tenured faculty member for cause. The reviewer may not be from the same college as the faculty member against whom charges may be filed. The panel shall be composed of tenured faculty members selected by the President in consultation with the Chairpersons of the UCFT and University Committee on Faculty Affairs. Faculty selected should be drawn preferably from those who a) have experience in chairing grievance panels, standing or ad hoc committees, b) have training or experience in grievances, arbitration, and/or mediation, or c) have legal training. 3. The panel shall serve at the pleasure of the President, with vacancies filled in accordance with the procedure stated above. 70 Sept. '96 LIBRARIAN CONTINUOUS APPOINTMENT SYSTEM The following policy was approved by the Board of Trustees on June 25, 1977 and revised on June 12, 1987. The Provost of Michigan State University, in recognition of the essential contributions of librarians to academic programs, appoints, upon recommendation of the Director of Libraries, librarians at those professional levels (Librarian I-IV) which do not involve an immediate award of continuous appointment status. The president approves, upon recommendation of the Director of Libraries and the Provost, appointments of librarians at the professional level (Librarian IV) which confers immediate continuous appointment status to those librarians who exhibit strong evidence of the capacity for sustained professional growth. Continuous appointment, as used in this statement, assures a librarian that she/he will not be dismissed due to capricious action by the Library administration nor will dismissal be used as a restraint on a librarian's exercise of academic freedom. Continuous appointment does not guarantee employment if positions are not funded, if there are gross violations of University or Library policies, if the librarian refuses to perform reasonable assigned duties or fails to fulfill contractual obligations, or if the librarian no longer renders satisfactory performance in his or her professional capacity at the University. Dismissal of librarians on continuous appointment will use procedures consistent with the principles for dismissal of tenured faculty, which assure due process, as approved by the Board of Trustees. Dismissal of librarians not on continuous appointment, but prior to the expiration of the current term of appointment, shall use those procedures established for dismissal of librarians on continuous appointment. An individual appointed as Librarian I or Librarian II is appointed for a probationary period of three to four years that expires on the fourth June 30 following the date of the appointment. This appointment may be followed by an additional three-year period. After this six- to seven-year period, if the librarian is reappointed, continuous appointment will be granted. If at any time during the initial probationary period the individual is approved for promotion, the changed appointment will be for a three- to four-year period that expires on the fourth June 30 following the date of the change. If reappointed upon the conclusion of this period, continuous If promoted during the second probationary period, continuous appointment will be awarded. appointment will be awarded. A Librarian III who has not served previously at Michigan State University is appointed to a probationary period that expires on the fourth June 30 following the date of the appointment. If the librarian is reappointed or approved for a change of position to the rank of Librarian IV, continuous appointment will be granted. A Librarian IV may, on recommendation of the Director of Libraries, be granted continuous appointment from the date of the original appointment at that rank. If a probationary appointment is made it shall be for a period of three to four years that expires on the fourth June 30 following the date of appointment. If reappointed upon conclusion of this period, continuous appointment will be awarded. Procedures for the implementation of this policy are available in the Office of the Library. 71 Sept. '96 Evaluation All librarians are evaluated annually for the purposes of improving performance and service to the Library and the University , for continuing appointment status, and for compensation. The evaluation is made by the immediate supervisor, including consultation with the evaluated librarian. The Library department administrators, in consultation with the supervisors and peer review committees, make personnel recommendations to the Director on such matters as salaries, hiring procedures, and continuous appointment. The Director, based upon advice received and considering the total personnel needs of the Library, will make a final recommendation to the Provost on personnel matters. The evaluative and consultative processes are detailed in the Librarian Personnel Handbook. Operating Principles The operating principles for continuous appointment of librarians are included in the Library Bylaws. SPECIALISTS The following policy was approved by the Board of Trustees on June 12, 1992. The Provost of Michigan State University, in recognition of the essential contributions of specialists recommendation of the appropriate department to academic programs, appoints, upon chairperson/school director and dean/separately reporting director, individuals at the rank of Academic Specialist or Senior Academic Specialist. Appointments may be made in any academic unit that reports to the Provost or to the Vice President for Research and Graduate Studies. The principal responsibilities of the academic specialist fall into one or more of three functional areas: academic advising/teaching/curriculum development, research and service/outreach. Academic specialists may be appointed on a temporary, probationary or continuing basis, full-time or part-time, with either an academic year (nine-month) or annual (twelve-month) duty assignment. Continuing appointment status assures that the academic specialist will not be dismissed due to capricious action by the University nor will dismissal be used as a restraint of academic freedom or other civil rights. Continuing appointment status does not guarantee employment if positions are not funded, if gross misconduct occurs, if the academic specialist refuses to perform reasonable assigned duties or fails to fulfill contractual obligations, or if the academic specialist is no longer able to perform satisfactorily in his or her professional capacity at the University. Continuing and Probationary Appointments An academic specialist who has not served previously at Michigan State University is appointed initially for a probationary period of three years and may be reappointed for an additional probationary period of three years. If an academic specialist is appointed beyond the two probationary periods, continuing appointment status is granted. If at any time during these two probationary periods an academic specialist is promoted to the rank of senior academic specialist, continuing appointment status is granted. A senior academic specialist who has not served previously at Michigan State University is normally appointed for a probationary period of two to four years. In unusual cases, upon recommendation 72 Sept. '96 of the unit administrator(s) and dean(s) and with the prior approval of the Provost, an academic specialist initially appointed at the rank of senior academic specialist may be granted continuing Individuals appointed at the rank of senior appointment status from the date of appointment. academic specialist without continuing appointment status have the option of requesting reappointment at any time prior to the conclusion of the stipulated probationary appointment period. A negative decision on such a request shall not preclude consideration for reappointment at the time specified upon appointment. Evaluation All academic specialists shall be evaluated by the appropriate unit administrator before the end of the applicable annual duty period for those on probationary or temporary appointment and at appropriate intervals for those with continuing appointment status. A unit review committee will be established to advise the unit administrator about the reappointment, award of continuing appointment status, or promotion of the academic specialist with a probationary or continuing appointmenL Procedures and operating principles for the implementation of the Academic Specialist Appointment System are available in written form in th~ Office of the Provost and academic unit offices. ADMINISTRATIVE REVIEW The following statement was issued by the Office of the Provost on April 24, 1991 and revised on November 23, 1994. Faculty and academic staff members covered by the Faculty Grievance Procedure (see FGP Section 1.1) have the opportunity to have personnel concerns reviewed at their request by MSU's academic administrators. The administrative review procedure is an informal process providing such an avenue for faculty /academic staff to request an independent assessment from their department chairperson/school director, dean, and Office of the Provost on such personnel matters as salary status, reappointment, promotion and tenure. This procedure is not intended to supersede informal discussion between the faculty /academic staff member and the department chairperson/school director in resolving these issues. The administrative review process may involve consideration and possible redress of substantive issues (changes in salary, promotion and tenure status, etc.) at department, school and dean levels. The Office of the Provost considers matters of process only, i.e., whether appropriate or applicable procedures have been followed, etc. (Possible redress available is to direct an additional substantive review in the department, school, or college.) Utilization of the administrative review procedure does not preclude a faculty /academic staff member from pursuing a grievance filed on a timely basis regarding the same matter under the Faculty Grievance Procedure. If a grievance is filed, it will be held in abeyance pending completion of the administrative review. However, the administrative review process could not be invoked in cases where a complaint is filed with the Anti-Discrimination Judicial Board or a court. Requests for an administrative review should be handled in a timely manner. The administrative review process is initiated by a letter of request from the faculty /academic staff member to the dean of the applicable college; an information copy is also sent to the Assistant Provost and Assistant Vice President for Academic Human Resources. This letter should be accompanied by materials in support of request. The dean transmits these materials to the relevant department chairperson/school director for review in accordance with usual unit standards, criteria and procedures. On conclusion of this review, which should be based on usual peer review advisory procedures, a written response should be sent by the department chairperson/school director to the 73 Sept. '96 faculty /academic staff member. If the faculty /academic staff member is not satisfied with this response, an appeal can be made to the dean for an additional review of the record, which should include an assessment of the original record, the unit's response and rationale, and any commentary the faculty/academic staff member wishes to provide with respect to the unit's response. On matters of substance, the dean's determination is final. However, if the faculty/academic staff member is not satisfied with the dean's response and the concerns address procedural matters, a request for additional review can be made to the Office of the Provost (Assistant Provost and Assistant Vice President for Academic Human Resources). In such cases, the Office of the Provost will review all materials and documents initially provided as well as responses from the unit and the college and any commentary from the faculty /academic staff member regarding the review in the unit and college. The Office of the Provost then makes a final determination on procedural matters based on its review of the procedural record. As noted above, final responses by either the Office of the Dean or the Office of the Provost do not preclude pursuing a grievance under the Faculty Grievance Procedure. FACULTY GRIEVANCE PROCEDURE An Interim Faculty Grievance Procedure was approved by the Academic Council, May 9, 1972 and by the Board of Trustees, May 19, 1972. A revised Faculty Grievance Procedure was approved by the Academic Council on March 5, 1991 and by the Board of Trustees on April 5, 1991 and revised on June 9, 1995. 1. Definitions and Exclusions 1.1 Any Michigan State University faculty member with the rank of professor, associate professor, assistant professor, lecturer, instructor, assistant instructor, research associate, specialist, or librarian may initiate a grievance procedure alleging violation of existing policies or established practices by an administrator, by filing a complaint with the FOO pursuant to the procedures set forth in this document. 1.2 The provisions of this document shall not preempt or replace the functions of the Anti-Discrimination Judicial Board (ADJB) or of the University Committee on Faculty Tenure (UCFT) except to provide procedures for the appeal of administrative decisions not to reappoint non-tenured faculty in the tenure system. 1. 3 The provisions of this document do not prohibit administrative review of any grievance prior to or during the pendency of a grievance. Any grievance under administrative review shall be held in abeyance until the review is completed or terminated at the request of grievant. 1.4 A grievant must promptly notify the FOO if an external procedure is initiated by him/her concurrently with a grievance. As a general rule, except in those instances in which the law or legal rulings prohibit the University from truncating internal proceedings, a grievant may not concurrently pursue a claim under the Faculty Grievance Procedure while pursuing the same matter before a court or other external body. Requests for exemptions from this prohibition must be submitted in writing, with a supporting rationale, to the FOO, who shall decide such matters on their merit. Appeals from the FOO's decision shall be adjudicated according to the procedures established in Articles 3.1.6, 3.1.7, and 3.1.8. 1.4.1 In the absence of an exemption from the prohibition in Article 1.4, a grievance filed under the FGP shall be held in abeyance by the FOO pending the termination of the external proceedings. 74 Sept. '96 2. Grievance Structure 2.1 The University Committee on Faculty Affairs (UCFA) 2.1.1 The UCFA shall serve as a University grievance advisory committee. 2.1.2 The UCFA shall recommend to the President, pursuant to procedures set forth in the Appendix to this document, one person who shall be appointed as the Faculty Grievance Official (FGO) upon approval of the Board of Trustees. 2.1.3 The UCFA shall periodically review the performance of the FGO according to the procedures set forth in the Appendix to this document. 2.2 The Faculty Grievance Official (FG0) 1 2.2.1 The FGO shall receive and make every reasonable effort to resolve grievances and assure that all hearings are conducted in accordance with the procedures prescribed in this document. 2.2.2 The FGO shall administer the grievance procedures as set forth in this document and shall advise the parties about appropriate procedures to follow. 2.2.3 The FGO shall have broad investigative authority and shall have ready access to all administrative officials and faculty and to all relevant information and records except those required to be kept confidential by statute and/or judicial decision. Information and records available to the FGO shall be made availa\Jle to a grievant, in a form that proteets the privacy and confidentiality of third parties if, in the FGO's judgment, the grievant has need of them for resolution of the grievance. 2.2.4 The FGO shall respect the confidentiality of information and records and the privacy of all parties whose interests are affected by a grievance. 2.2.5 The FGO shall exercise only those powers delegated to him/her. 2.2.6 The FGO shall not serve as advocate for any party on any grievance and may participate in a grievance proceeding only in his/her official capacity. 2.2. 7 The FGO shall provide, upon request, assistance in the promulgation of procedural guidelines by departments, units and colleges. 2.2.8 The FGO may recommend to the UCFA changes in existing faculty grievance procedures. 2.2.9 The FGO shall report once a term to the UCFA and once each year to the Academic Council, and shall sit as an ex officio member of the Academic Council. · 1See Appendix for appointment, reappointment and evaluation of the Faculty Grievance Official. 75 Sept. '96 2.2.10 The FGO shall forward to the Chairperson of the UCFA, for distribution to the members of the committee, a copy of any decision of the President which overrules, in whole or in part, the findings and recommendations of an appeals hearing panel. The UCFA shall maintain the confidentiality of such documents. 2.2.11 The FGO shall maintain records of all grievances, formal proceedings, findings and recommendations, and decisions. 3. Initiation of Grievances and Hearing Procedures 3 .1 Initiation of Grievances 3 .1.1 A grievance may be initiated and processed at the department/unit, college or University level according to the procedures set forth in this document. 3.1.2 A faculty member who feels aggrieved may without delay discuss the matter in a personal conference with the FGO. The FGO shall determine if the grievance falls under the jurisdiction of the Faculty Grievance Procedure, the UCFT or the ADJB. 3.1.3 In order to establish and retain access to the formal hearing mechanisms at any level (department/unit, college, or University), a faculty member must submit a written grievance statement to the FGO within 30 days of his/her first knowledge of the alleged violation. 1 3.1.4 The grievance statement shall set forth the alleged violation of existing policy or established practices, a concise statement of the facts relevant to the grievance, the name of any administrator(s) whose action is at issue, the approximate date on which the alleged action took place, and the redress sought. 3 .1.5 Within 10 days of receipt of the grievance, the FGO shall forward a copy to the respondent(s) named, and inform the parties in writing of decisions that he/she has made with respect to all of the following: 3 .1.5 .1 Whether the grievant has standing under the Faculty Grievance Procedure. 3.1.5.2 Whether the grievance has been filed in a timely fashion. 3.1.5.3 Whether the grievance identifies the appropriate respondent(s). 3.1.5.4 Whether the grievance adequately identifies the existing policies and/or established practices alleged to have been violated, misapplied, or misinterpreted. 3 .1.5 .5 Whether the grievance contains a reasonably adequate statement of the facts relevant to the complaint. 3.1.5.6 Whether the redress being sought conforms to existing policy and procedures in the appropriate unit of the University. 1For good cause shown, any time limits specified in this document may be waived or extended by the FGO or upon mutual agreement of the parties. References to days in this document are to calendar days. 76 Sept. '96 3.1.6 All parties shall have the right to appeal the FOO's decisions on any matter under 1.4 and 3.1.5 by filing a written statement accompanied by supporting rationale with the FOO within 10 days of the issuance of such decisions. 3 .1. 7 In the event of an appeal, the FOO shall submit the statement of his/her decisions, together with any appeals from the parties, to a three-person standing panel drawn by UCFA from the membership of the University Appeals Board. The standing panel, whose members shall serve two-year terms on a staggered basis, shall deliberate and submit to the FOO written decisions on the issue(s) under appeal within 10 days of its convening by the FOO. Membership on this panel will recuse its members from any additional service as members of the University Appeals Board. 3 .1. 8 The FOO shall forward a copy of the decisions to the parties within 7 days of their receipt from the standing panel. 3.2 Informal Resolution 3.2.1 The FOO shall investigate the grievance and make every reasonable effort to resolve it informally. The FOO may recommend dropping the grievance as lacking in merit or for other just cause. Such a recommendation, however, shall not be binding on the grievant. 3.2.2 Within 40 days of the filing of the grievance statement, the parties and the FOO shall attempt to resolve the grievance informally. If the FOO determines that the grievance cannot be resolved, notice shall be provided to the parties. If the faculty member wishes to pursue the grievance, a written request for a formal hearing must be submitted to the FOO within 30 days of such notice. Failure to submit such a request will constitute a waiver of the faculty member's right to pursue the grievance. 3.2.3 The FOO shall determine after consultation with both parties the appropriate hearing level (i.e. department/unit, college, or University) and shall notify the administrator at the appropriate level of the written request for hearing. 3.3 Formal Hearing Procedures: Department, College or other Academic Unit 3.3.1 Each department, college, or other academic unit, subject to the approval of the UCFA, shall establish a grievance procedure that assures fair treatment for individuals and that accords with the guidelines contained in this Article and Article 6. A model procedure is available from the FOO. 3.3.2 Upon receipt of notice from the FOO that a hearing has been requested, a formal hearing shall be conducted in accordance with prescribed unit policies within 14 days of establishment of the hearing panel. The FOO shall be involved in the establishment of all hearing panels and shall be present at all hearings to ensure compliance with the procedures set forth in this document. 3.3.3 Whenever a hearing panel loses thirty percent or more of its members, the hearing shall be terminated and a new panel selected. 77 Sept. ' 96 3.3.4 Hearing panels shall forward their findings and recommendations in writing within 14 days of the completion of the hearing to the FGO, who shall forward them to the grievant, respondent, and the administrator who is the respondent's immediate supervisor. 3.3.5 The administrator at the appropriate level shall provide written notification of his/her decision to the grievant, the respondent, respondent's immediate supervisor, and the FGO within 14 days of receipt of the hearing panel's findings and recommendations. Failure to provide written notification shall result in automatic appeal. 4. University Level Hearings 4.1 University Hearing Board and Hearing Panels 4.1.1 A University Hearing Board shall be established from which hearing panels shall be selected. · 4.1.2 Each college shall select four (4) tenured faculty members and one (1) non-tenured tenure system faculty member to serve as members of the University Hearing Board. Each college with 75 but no more than 199 tenure system faculty members additionally shall select four (4) tenured faculty members and one (1) non-tenured tenure system faculty member. Each college with 200 or more tenure system faculty members additionally shall select six (6) tenured faculty members and three non-tenured tenure system faculty members. The non-college faculty shall select six University Hearing Board members from the tenured faculty and librarians with continuous appointment status. Tenured faculty and librarians shall serve three-year terms and non-tenured faculty shall serve two-year terms. Service shall be limited to two consecutive terms. Annually the Secretary for Academic Governance, in consultation with the colleges and non-college faculty, shall encourage the selection of a diverse group of faculty for service on the University Hearing Board and shall ensure the selection of the appropriate number of University Hearing Board members. 4.1.3 A University hearing panel shall consist of 5 members of the Hearing Board who are selected by the FGO by lot. A Hearing Board member shall serve on no more than one University hearing panel per year. 4.1.4 Each hearing panel shall have a presiding officer selected by the FGO from a list established by the UCF A. The presiding officer shall not be a voting member and shall apply the rules of procedure consistent with the guidelines stated in Article 4.2 and Article 6. 4.1.5 The FGO shall notify each party of the names of the five members of the hearing panel and within 10 days either party may challenge any member for cause. In addition, each party shall have two peremptory challenges. Cause shall be determined by the Presiding Officer. Challenged members of the panel shall be replaced pursuant to the procedures stated in 4.1.3. 78 Sept. '96 4 .1. 6 If a hearing panel loses two or more of its members during the course of a hearing, the hearing shall be terminated, and a new panel selected. 4.2 University Hearing Panel Procedures 4.2.1 The FGO shall convene the hearing panel and shall be present during all formal proceedings. 4.2.2 The hearing shall begin within 14 days of the establishment of the panel and shall be conducted expeditiously in accordance with the procedures of this Article and Article 6. 4.2.3 When a University hearing panel sustains the allegation(s) made in a grievance, it shall recommend appropriate redress consistent with existing policies, procedures, or practices in the appropriate unit of the University. Its findings and recommendations shall be presented to the FGO within 14 days of the completion of the hearing. 4.2.4 Upon receipt of the panel's findings and recommendations, the FGO shall forward them to the Provost and the parties. 4.2.5 The Provost shall provide written notification of his/her decision to the parties and to the FGO within 14 days of receipt of the hearing panel's findings and recommendations. Failure to provide written notification shall result in automatic appeal to the University appeals panel. 5. Appeals 5.1 Initiation of and Conduct of Appeals Hearings 5 .1.1 The decision of any administrator (department/unit, college or university) may be appealed by either party. If the original hearing was by a department/unit hearing panel, the appeal shall be to college hearing panel. If the original hearing was by a college hearing panel or University hearing panel, the appeal shall be to the University Appeals Board. Notwithstanding the above, grievances concerning non reappointment of non-tenured faculty members, if appealed, are taken to the University Appeals Board. 5.1.2 An appeal must be filed with the FGO within 14 days of receipt of the decision of the appropriate administrator. Failure to appeal within the prescribed time shall be deemed acceptance of the decision. 5.1.3 Appeals to the college level shall be conducted in accordance with procedures adopted by the college. Findings and recommendations of the college hearing panels shall be forwarded to the FGO within 14 days of the completion of the hearing. The FGO shall forward the findings and recommendations to the President who shall render a decision pursuant to Article 5.3.7 and 5.3.8. 5 .1. 4 Appeals to the University Appeals Board shall be conducted in accordance with the procedures set forth in Section 5.2. 79 Sept. '96 5 .1.5 Once an appeal is filed, the decision of the administrator in response to the findings and recommendations of the initial hearing panel shall be suspended until a final decision is rendered . 5 .2 University Appeals Board and Appeals Panels 5.2.1 A University Appeals Board shall be established from which appeals panels shall be selected. 5.2.2 Each college shall select two tenured faculty members and one non-tenured faculty member to serve on the University Appeals Board. The non-college faculty shall select four members from the tenured faculty and librarians with continuous appointment status. Tenured faculty and librarians shall serve three-year terms and non-tenured faculty shall serve two-year terms. 5.2.3 Appeals panels shall consist of five members selected by the FOO by lot from members of the University Appeals Board, except that for grievances concerning non-reappointment in the tenure system, panels shall consist of five members (three tenured and two non-tenured) appointed as follows: a) three faculty members selected by the UCFT from its membership b) two faculty members selected at random by the FOO from the members of the University Appeals Board. 5.2.4 A presiding officer for each appeals panel shall be selected by the FOO from a list established by the UCFA. The presiding officer shall not be a voting member and shall apply the rules of procedure consistent with the guidelines stated in Article 6. 5.2.5 The FOO shall notify each party of the names of the five members of the appeals panel and within 10 days either party may challenge any member for cause. In addition each party shall have two peremptory challenges. Cause shall be determined by the presiding officer. Challenged members of the panel shall be replaced pursuant to the selection process stated in 5.2.3. 5.2.6 If an appeals panel loses two or more of its members during the course of a hearing, the hearing shall be terminated and a new panel selected. 5.3 University Appeals Panel Procedures 5.3.1 The FOO shall convene an appeals panel within 14 days of the establishment of the panel and shall be present during all formal proceedings. Written notice of the time and place of the hearing and any documents deemed relevant by the FOO shall be provided to each party 72 hours before the hearing. 5.3.2 Appeals shall be conducted expeditiously. 5.3.3 Appeals shall be decided upon the record of the original proceeding and upon argument of the parties presented to the Appeals panel. 80 Sept. ' 96 5. 3 .4 Appeals must allege either that there has been a prejudicial violation of the procedures established for the conduct of the initial hearing, and/or that the decision of the administrator is not consistent with the preponderance of the evidence presented at the initial hearing. 5.3.5 University appeals panels may recommend affirmation, reversal or modification of decisions of the appropriate level administrator. 5.3.6 The findings and recommendation of an appeals panel shall be forwarded to the FOO within 14 days of the completion of the hearing. The FOO shall forward the findings and recommendations to the President and to the parties. 5.3.7 For stated cause the President of the University may return the findings and recommendations to the appropriate hearing panel or appeals panel once for reconsideration. 5.3.8 Within 30 days, the President shall either concur with the finding(s) and recommendation(s) of the appeals panel and direct appropriate implementation or overrule the findings and/or recommendations. When a recommendation is overruled, in whole or in part, written reasons shall be given by the President to the parties, the appropriate appeals body, the FOO and the Chairperson of the UCFA. 6. Guidelines for the Conduct of Department/Unit, College and University Level Hearings 6.1 Department/unit, college and University level hearings shall be conducted in accordance with the following guidelines: 6.1.1 Records shall be maintained throughout the informal and formal phases of each grievance by the parties and records of all formal proceedings shall be promptly filed with the FOO upon completion of such proceedings. 6.1.2 All hearings shall be recorded. A party may request and obtain a copy of the recording from the FOO. 6.1.3 Hearing panels shall serve throughout an entire proceeding. 6.1.4 A hearing panel shall take necessary precautions to avoid any conflict of interest on the part of its members. 6.1.5 The membership of hearing panels shall not be selected by administrative appointment. 6.1.6 Formal hearings shall be closed unless the parties agree otherwise. 6.1.7 The privacy of confidential records used in the hearing shall be respected. 6.1.8 Hearings shall be conducted in good faith and are to be completed within 30 calendar days unless the FOO determines that an extension of time is necessary. 81 Sept. '96 6.1.9 All parties may present their cases in person and may call witnesses on their behalf. A party may elect not to appear, in which event the hearing will be held in his or her absence. Absence of a party shall not be prejudicial to the case. 6.1.10 All parties are entitled to counsel of their choice. Counsel must be identified to the FGO who shall inform the parties and the hearing panel at least 48 hours prior to the time set for hearing. 6.1.11 Any party or counsel shall be entitled to ask pertinent questions of a hearing panel or any witness. 6.1.12 A hearing panel shall decide whether the preponderance of the evidence does or does not support the allegations made by the grievant. 6.1.13 Upon commencement of any hearing, hearing panels shall resolve any procedural or jurisdictional issues raised by the parties, except those falling under Article 1.4, after providing each party the opportunity t