Handbook for Faculty and Other Unclassified Staff – 1986

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Personnel Policies and Procedures

1. Administrators
   1. Selection, Appointment, Tenure and Review of Chairpersons, Deans, Directors and Vice Chancellors
2. Faculty
   1. Basis of Appointment
   2. Faculty Ranks
   3. Special Professorships
   4. Procedures and Criteria for Appointment of Named and University Distinguished Professors
   5. Promotions
   6. Guidelines and Criteria for Tenure and Promotion
   7. Procedures for Recommendations for Promotion, Award of Tenure, Notice of Non-Reappointment
   8. Academic Freedom
   9. Tenure
   10. Probationary Period
   11. Notice of Non-reappointment
   12. Appeals
   13. Procedures for Cases Involving Dismissal, Violation of Academic Freedom and Violation of Procedures and Criteria for Appointment, Reappointment, Promotion, Non-Reappointment
   14. Faculty Code of Conduct
   15. Faculty and Academic Staff Report Forms
   16. Legal Protection Afforded Faculty and Unclassified Staff
   17. Resignations
   18. Retirement Eligibility
3. Unclassified Academic Staff
   1. Personnel Policies and Procedures, Unclassified Academic Staff
4. Unclassified Professional Staff
   1. Personnel Policies and Procedures, Unclassified Professional Staff

Appointments to administrative positions in the University are made in accordance with the procedures outlined in the official policy on selection, appointment, tenure and review of chairpersons, deans, directors, and vice chancellors. This document is published in full below.

Selection, Appointment, Tenure and Review of Chairpersons, Deans, Directors and Vice Chancellors (Approved January 1976)

1. Introduction
   1. State law places the responsibility for the administration of the University in the Chancellor, who is the chief executive officer of the institution, and who is enjoined to act in accordance with policies established by the Board of Regents. Legally, therefore, chairpersons, deans, vice chancellors and other administrative officers are accountable to the Chancellor and serve at his pleasure. In turn, the Chancellor has designated the Executive Vice Chancellor as the principal administrative and academic officer of the Lawrence campus. Academically and operationally it is clear that all administrative officers within a university must also be responsive to faculty and to students, and in some instances also to a professional constituency.
   2. The selection and conditions of service of administrative officers within the University must reflect these twofold relationships. The present policy statement has been prepared in full recognition that there are wide differences among the schools and, within schools, among departments. The intent of this document is to provide guidelines, not prescriptions.
   3. Although it is not specifically mentioned in each section of this document, it is assumed that each selection process will be consistent with the University affirmative action guidelines, and will avoid any conflict of interest: a search committee for a position should not include a candidate for that position.
2. Selection and Appointment of Chairpersons
   1. Whenever, by resignation or other circumstances, a vacancy has been created or will be created in the chair of any department, the dean of the school concerned shall communicate this fact to the Vice Chancellor for Academic Affairs who in turn shall inform the Vice Chancellor for Research, Graduate Studies and Public Service.
   2. The dean shall then convene the voting members of the department (including students insofar as students are voting members of the department) to review the procedures to be followed. This shall include consideration of steps required to assemble a search committee.
   3. The department will either elect faculty members to serve on the search committee or it will entrust the responsibility to an existing elective group within the department. In either case, provision shall be made for the inclusion of student members on the search committee. Whenever possible, student representation should be approximately 20%.
   4. The dean of the school, in consultation with the Vice Chancellor for Academic Affairs and the Vice Chancellor for Research, Graduate Studies and Public Service, shall name two additional members who shall be from related areas.
   5. The committee shall be convened for its initial meeting by the dean of the school. At this first meeting the dean shall review the procedures to be followed and provide the committee with such information as it may require for the discharge of its functions. The Vice Chancellors for Academic Affairs and Research, Graduate Studies and Public Service shall be invited to this meeting and provide the committee with appropriate suggestions. The committee shall elect a chairperson from among its own members whose responsibilities shall include close and continuous liaison with the dean of the school. It shall be the dean's responsibility, with the advice and consent of the Vice Chancellor for Academic Affairs, to decide whether or not it is appropriate to search for candidates from outside the University, as well as from among the faculty already here.
   6. If it is decided to seek prospects from other universities (or, generally, from locations other than this university), the most promising shall, if responsive to an overture from the University, be invited for a campus visit. This visit shall include opportunities to confer with chairpersons of related areas, in addition to faculty members, students, and the dean of the school involved. All candidates should be scheduled for conferences with the Vice Chancellor for Academic Affairs and the Vice Chancellor for Research, Graduate Studies and Public Service. Candidates from within the University shall be provided comparable opportunities for reviews and conferences.
   7. The committee shall present its recommendations first to the department. More than one name shall be presented for consideration.
   8. It shall be for the voting members of the department to make the final recommendations from the committee's list. Generally, the department will be expected to recommend more than one candidate. The department may rank the candidates if it chooses. The department's choices will be communicated to the dean of the school who, after consultation with the Vice Chancellors for Academic Affairs and Research, Graduate Studies and Public Service, shall make the appointment for a specified term not to exceed five years. Normally, the department's wishes shall be respected in making the appointment.
   9. Public announcement of the appointment shall be made by University Relations on instructions from the Vice Chancellor for Academic Affairs.
3. Selection and Appointment of Deans
   1. Whenever, by resignation or other circumstances, a vacancy has been created in the deanship of one of the schools (or the College of Liberal Arts and Sciences), the Vice Chancellor for Academic Affairs shall confer with the faculty-elected standing committees in the school (College) to review the procedures to be followed in selecting the new dean. If no such committees exist, the Vice Chancellor shall confer with an appropriately representative faculty-chosen group of the faculty. The review committee shall consider with the Vice Chancellor for Academic Affairs the steps required to form a search committee.
   2. The Vice Chancellor for Academic Affairs will invite the faculty to submit names of faculty members proposed for membership on the search committee. The faculty members of the search committee shall be chosen by the Vice Chancellor for Academic Affairs with the advice and consent of the review committee in such a manner as to insure that the expressed preferences of the faculty are respected, as well as such range of major interests as may exist within the school. Wherever appropriate, persons representing related interests, such as members of a professional constituency, may also be included in this committee.
   3. The selection of student members of the search committee shall be accomplished by making use of duly elected student advisory or representative groups in the school. If no such groups exist, selection of student members of the search committee shall be accomplished by whatever method seems most likely to produce most effective representation. If there are significant numbers of graduate students in the school, the student membership of the search committee should reflect this fact. Whenever possible, student representation should be about 20%.
   4. The Vice Chancellor for Academic Affairs, or a person designated by the Vice Chancellor, will serve as a (non-voting) ex officio member of the search committee. The Vice Chancellor for Research, Graduate Studies, and Public Service, or a person designated by the Vice Chancellor, shall serve as a (non-voting) ex officio member of all search committees for the deanships of schools offering degrees in the Graduate School.
   5. The committee shall elect its own chairperson and take such steps as will expeditiously produce a list of possible candidates. This shall always include an invitation to the faculty to nominate likely prospects but the committee should not limit its canvass to such nominations.
   6. The committee will have to decide early, with the advice and consent of the Vice Chancellor for Academic Affairs, whether or not it is appropriate to search for candidates from outside the University, as well as from the faculty already here. If it is decided to seek prospects from other universities (or, generally, from locations other than this university), the most promising shall, if responsive to an overture from the University, be invited for a campus visit. This visit shall include, if at all feasible, opportunities to confer with the deans of the other schools on campus, in addition to faculty members, students, and the dean of the school involved. Candidates for deanships must have an opportunity to meet and visit with the Vice Chancellor for Academic Affairs, the Vice Chancellor for Research, Graduate Studies and Public Service, the Executive Vice Chancellor and, whenever possible, the Chancellor. Candidates from within the University shall be provided comparable opportunities for reviews and conferences.
   7. The search committee shall make its recommendation to the Vice Chancellor for Academic Affairs. At least three and normally not more than four candidates shall be presented, ranked if possible.
   8. The appointment shall be made by the Vice Chancellor for Academic Affairs after consultation with the Vice Chancellor for Research, Graduate Studies and Public Service in the case of schools in graduate areas, and with the approval of the Executive Vice Chancellor and the Chancellor. It would be appropriate for the Vice Chancellor for Academic Affairs to make a brief report to the search committee on his or her choice. The appointment will be reviewed not more than five years after the date of initial appointment. Continuing appointment will be contingent upon the results of the review.
   9. No announcement of the appointment shall be made until the Chancellor has communicated the decision to the Board of Regents. Public announcement of the appointment should be made by University Relations on instructions from the Vice Chancellor for Academic Affairs.
4. Selection and Appointment of Vice Chancellors
   1. The selection and appointment of vice chancellors is the responsibility of the Executive Vice Chancellor and the Chancellor. When a vacancy exists, the Executive Vice Chancellor should assemble a search committee, seeking nominations and suggestions from The Academic Council, the Council of Directors of University Divisions, the University Council, the Senate Executive Committee, the Executive Administrative Group, and, where appropriate, representatives of Student Affairs and Business Affairs. Membership on the search committee will include representatives of the administrative group which reports to the vice chancellor position to be filled, faculty members, students (whenever possible, approximately 20%), and, where appropriate, analogous groups in business and student affairs. The committee shall elect a chairperson from among its members.
   2. Procedures analogous to those for the selection and appointment of deans should be followed. As in the case of deans, appointments should be reviewed after not more than five years.
   3. No public announcement shall be made until the Chancellor has communicated the decision to the Board of Regents.
   4. Public announcement of the appointment should be made by University Relations on instructions from the Executive Vice Chancellor.
5. Acting Chairpersons, Deans, and Vice Chancellors
   1. If the exigencies of the situation require the designation of a person to serve as chairperson, dean, or vice chancellor in an acting capacity, an appropriately representative group of the faculty of the department, school or unit shall be consulted before such a designation is made. It would be assumed that the designee is acceptable to faculty members with whom he or she will be dealing. Acting chairpersons shall be named by the dean of the school, with the consent of the Vice Chancellor for Academic Affairs, who shall consult the Vice Chancellor for Research, Graduate Studies, and Public Service when appropriate; acting deans of schools shall be named by the Vice Chancellor for Academic Affairs with the consent of the Executive Vice Chancellor and Chancellor; acting Vice Chancellors shall be named by the Executive Vice Chancellor with the consent of the Chancellor.
6. Associate and Assistant Chairpersons, Deans, and Vice Chancellors
   1. The designation of persons to serve as associate or assistant chairpersons, deans, or vice chancellors is regarded as a matter of administrative determination, since these administrators serve primarily at the pleasure of the chairperson, dean, or vice chancellor. It would be assumed, however, that the designee is acceptable to those with whom he or she will be dealing. Approval of the dean of the school concerned shall be obtained for the designation of associate or assistant chairpersons; approval of the Vice Chancellor for Academic Affairs shall be obtained for the designation of associate or assistant deans, and in the case of associate or assistant deans with designated responsibilities for graduate studies in the school concerned, consultation with the Vice Chancellor for Research, Graduate Studies and Public Service shall precede such approval; approval of the Executive Vice Chancellor shall be obtained for the designation of associate or assistant vice chancellors. In selecting persons to receive Associate and Assistant designations, it is assumed that appropriate Affirmative Action procedures will be followed.
7. Provision for Periodic Review
   1. Appointments of chairpersons, deans, and vice chancellors shall be reviewed comprehensively within a period not to exceed five years. Such review shall be required before a decision is made to continue the appointment. Chairpersons, deans, and vice chancellors who have served for more than five years prior to the official approval of this document shall be reviewed as soon as possible, and within five years of their appointment if they have served for less than five years. The Vice Chancellor for Academic Affairs shall maintain a list of all chairpersons and deans, with the scheduled date of review. The Executive Vice Chancellor shall maintain a list of the vice chancellors with their scheduled review dates.
      1. Review of Chairpersons
         1. Review procedures for chairpersons shall be established by a committee appointed by the dean of each school, said Review Procedures Committee to consist of faculty from all ranks above the rank of instructor and representative of each division within that school, and including a proportionate number of undergraduate and graduate students. Reviews of chairpersons shall be conducted by committees appointed by the dean of each school and composed of faculty, staff, and students drawn from the department and from the school or University at large at the discretion of the dean.
         2. The reports of the review committees shall be based on, but not necessarily limited to, information solicited from students, staff, and faculty in the department, other chairpersons in the school, and, where appropriate, the professional constituency of the department. The Review Committee will take particular care to learn the will of the department whose chairperson is being reviewed, and whether it wishes him or her to continue in office. Due care will be taken that communications to or interviews with the committee by members of the department. will be held in strictest confidence. Normally the wishes of the majority of the department will be respected by the review committee, unless the other findings of the review are significantly at variance with the department's wishes. The appointment will be reviewed not more than five years after the date of the initial appointment. Continuing appointment will be contingent upon the results of the review.
         3. The review committee shall submit its report to the dean, who will forward a copy, with his or her recommendations appended, to the Vice Chancellor for Academic Affairs, and, where graduate programs exist, to the Vice Chancellor for Research, Graduate Studies and Public Service. A copy of this report shall be conveyed to the department and to the Review Procedures Committee at the same time.
         4. In addition to the periodic reviews described above, each chairperson shall be reviewed whenever a two-thirds majority of the faculty of a department shall indicate its desire for a review of its chairperson, or whenever in the judgment of the dean, and with the concurrence of the Vice Chancellor for Academic Affairs, such a review is called for.
      2. Review of Deans
         1. The review of deans shall be the responsibility of the vice chancellor to whom they report, who shall consult with The Academic Council, the Senate Executive Committee, and, in schools with graduate programs, the Vice Chancellor for Research, Graduate Studies and Public Service to establish procedures. The review committee shall be appointed by the vice chancellor to whom the dean reports, and shall normally elect its own chairperson. Generally, the committee will be composed of faculty members of the dean's school, faculty members from related areas, appropriate administrative officials, and students.
         2. The report of the review committee shall be based on, but not necessarily limited to, information solicited from faculty, students, and chairpersons in the school, peers on the Academic Council, central administration, and, where appropriate, representatives of the professional constituency. The review committee shall submit its report to the appropriate vice chancellor, who will forward a copy with his or her recommendation to the Executive Vice Chancellor and the Chancellor. The appointment will be reviewed not more than five years after the date of the initial appointment. Continuing appointment will be contingent upon the results of the review.
         3. In addition to the periodic reviews described above, each dean shall be reviewed whenever a two-thirds majority of the faculty of his or her school or unit shall indicate its desire for a review of its dean, or whenever in the judgment of the vice chancellor and with the concurrence of the Executive Vice Chancellor such a review is called for.
      3. Review of Vice Chancellors
         1. The review of vice chancellors shall be the responsibility of the Executive Vice Chancellor, who shall develop procedures in consultation with The Academic Council, the Council of Directors of University Divisions, the Senate Executive Committee, the executive administrative group, and, in the case of Business Affairs and Student Affairs, with groups comparable to The Academic Council and the Council of Directors of University Divisions. Membership on the review committee shall consist of representatives of the groups mentioned above and the Student Senate. The committee shall be appointed by the Executive Vice Chancellor and normally shall elect its own chairperson. The committee shall report its findings to the Executive Vice Chancellor and the Chancellor.
         2. In addition to the periodic reviews described above, each vice chancellor shall be reviewed whenever a two-thirds majority of the members of the unit indicate their desire for a review, or whenever in the judgment of the Executive Vice Chancellor and the Chancellor such a review is called for.
      4. Review of Assistant and Associate Chairpersons, Deans, and Vice Chancellors
         1. Assistant and associate chairpersons, deans, and vice chancellors serve primarily at the pleasure of the chairperson, dean, or vice chancellor. It is assumed, however, that the designee is acceptable to faculty members and others with whom he or she is dealing. Because of the inextricable relationship between the administration of the primary executive and his or her associates, review of the administration of a unit should include the review of these associates. When such positions exist, the review report should include a section related specifically to the assessment of the associates' performance and effectiveness.
8. Review of Assistant and Associate Chairpersons, Deans, and Vice Chancellors
   1. Assistant and associate chairpersons, deans, and vice chancellors serve primarily at the pleasure of the chairperson, dean, or vice chancellor. It is assumed, however, that the designee is acceptable to faculty members and others with whom he or she is dealing. Because of the inextricable relationship between the administration of the primary executive and his or her associates, review of the administration of a unit should include the review of these associates. When such positions exist, the review report should include a section related specifically to the assessment of the associates' performance and effectiveness.

a. Basis of Appointment

The University of Kansas, as a member of the Association of American Universities, adheres scrupulously to the policy formulated by that group of universities that no offer of employment as a faculty member shall be extended to a faculty member of another AAU institution after May 1 unless it concerns the second academic year to come.

A recommendation for appointment originates in the administrative unit in which the appointment is to be made. The academic rank and tenure status of the appointee shall be subjected to peer review procedures established by the unit. The appointment offer is made by the Vice Chancellor for Academic Affairs based upon the recommendation of the originating unit and all intermediate recommendations required by University procedures.

The majority of faculty appointments on the Lawrence campus are made for the academic year of approximately nine months. Faculty members may also participate in instructional pursuits during the summer. Some appointments are made for a twelve-month period coinciding with the fiscal year.

Tenured appointments will be renewed annually unless the faculty member is dismissed through proper actions and procedures. A probationary appointment will be renewed unless timely notice is given. Term appointments will be renewed only if a new offer of appointment is made and accepted.

b. Faculty Ranks

The principal titles granted by the University to academic faculty are those normally bestowed by institutions of higher education: professor, associate professor, assistant professor, and instructor. The title lecturer is sometimes given to those performing usual classroom duties but who are employed at a less-than-full-time rate or for a short term by the University. The title acting assistant professor is given to academic employees who are expected to receive a terminal degree soon after joining the faculty. If the degree is not completed within three years, the appointment for the fourth year will be terminal. Extension of the three-year limitation can be approved only upon the recommendation of the University Committee on Promotions and Tenure. For those individuals who join the faculty of the University for a short period of time with the intent of returning to a position at another academic institution, the prefix "visiting" will be added to the title.

Two other prefixes may be employed in conjunction with the basic academic titles. These titles are "adjunct" for those contributing to the University's instructional efforts without remuneration from the University and "courtesy" for those who serve the particular academic unit without remuneration but who are otherwise employed by the University. These titles are approved for no more than one academic year at a time. A request for reappointment each year, if justified, must be initiated by the appropriate chairperson and/or dean before action by the Vice Chancellor for Academic Affairs. These appointments carry no salary and no credit towards academic tenure.

Librarians also hold faculty status at the University and are appointed at the following ranks: Librarian I, Librarian II, and Librarian III. These ranks are equivalent to the faculty rank of Instructor, Assistant Professor, and Associate Professor, respectively.

c. Special Professorships

The University has special professorships which it bestows upon faculty members particularly distinguished in their respective fields. Appointments to these positions are made by the Vice Chancellor for Academic Affairs upon the recommendation of an advisory committee and with the approval of the Executive Vice Chancellor and the Chancellor. Nominations for special professorships normally originate in the department or school concerned. The special professorships include Regents Professorships, funded in part from special appropriations made by the Legislature to the Board of Regents; Endowed Professorships, each funded in part by a donor, or donors, and usually identified by the name of the donor or of a person the donor wished to honor; and University Professorships, funded entirely by the University.

d. Procedures and Criteria for Appointment of Named and University Distinguished Professors (Approved June 1976)

Procedures
Nominations will normally be initiated at the departmental level by an individual or group in the appropriate discipline or by an interdisciplinary group. The nomination and supporting materials should be forwarded through the departmental chairperson and/or dean for comments and recommendations at each level. Each department and/or school may, at its option, designate an advisory committee to review and comment on such nominations. A self-nomination may be submitted at the departmental level or directly to the University Committee on Named and University Professorships in care of the Office of Academic Affairs. Such nominations will be sent to the department and/or school for review and comment.

It is the responsibility of the individual or group preparing the nomination to provide complete information and supporting materials. This information should include a list of persons from outside the University who have been asked to provide evaluations and all letters received from such persons.

Criteria

1. The major criteria for selection of Named and University Distinguished Professors are:
   1. Nominees must be truly distinguished as scholars in appropriate fields. Although this criterion is highly dependent on the breadth of the area, a nominee should generally rank among the most distinguished scholars in the field in this country and shall usually possess an international reputation.
   2. Nominees should have proven records of interest and concern with the growth and success of their institutions, colleagues, and students.
   3. Nominees should demonstrate some breadth of interest in activities in other fields and departments related to their own, and in participation in University affairs generally.
   4. Nominees must expect to identify themselves with the community and the State, and their appointment should serve the needs of the community and State in special ways perhaps not generally accomplished with regular professional appointments.
   5. Nominees may be selected from the current University faculty or from other institutions, agencies, organizations, or careers. In the former instance, it is particularly important that the same high standards be adhered to for selection as in the latter, and appointment must not be made merely as a reward for long service, however devoted.
   6. For chairs restricted to a school, department or program, nominees must meet the same general standards set for all Named and University Professorships, and in addition those set by the school, department or program as appropriate to the field.
   7. All nominees should be considered without regard to race, creed, color, national origin, or sex.
2. Examples of items to be considered in preparing nominations for Named and University Distinguished Professorships:
   It is expected that nominees will be truly distinguished in most of the following criteria. If a nominee does not have a record of excellence in a specific activity or measure, such an activity or measure must be deemed not essential to full performance in the Named or University Professorship.
   1. Past Honors and Awards
      • University Level -- teaching
      • University Level -- scholarship
      • Community
      • State
      • National
      • International
      • Professional Organizations (highest level of membership and recognition)
      • Governmental Organizations
      • Private Organizations
   2. Invited Presentations -- Number Each
      • University Level
      • Community and State Level
      • National
      • International (number of different countries)
      • How prestigious are the invitations? (Ex: International Congresses)
   3. Publications
      • Breadth of topics (number of distinct areas, Ex: starts an area, lets others fill in details)
      • Journals' prestige
      • Books' prestige
      • Number and numbers of pages
      • Types of publications (research, teaching, popular, etc.)
      • Number of different articles reprinted in other (secondary) books
      • Number of books and articles reprinted in foreign languages Number of articles that started a particular movement (key articles to which others refer in the history of the movement)
      • Reprint demand
      • Author index check of top ten books in field
      • Has any article or book held the distinction of being a "classic" in the field at some time?
   4. Colleague Support
      • Within the Department
      • Within the School
      • Within the University
      • At other universities or learned associations regardless of country (how prestigious are those writing letters of support?)
      • Support by those in close association
      • Support by those who know the "name" only in this country and other countries; by those who hold different orientations; who are interdisciplinary or multitheoretical
   5. Current and Future Activity and Scholarly Significance
      • Record to present date on quantity and quality of scholarly production
      • Number of new scholarly pursuits that have been successful
      • Current movement toward a new area or new perspectives
      • Ability to communicate to other disciplines (evidence that other disciplines have reviewed nominee's work)
   6. Teaching Ability
      • Student support - current and past
      • Number of graduate students (responsible for) during professional career
      • Basic concern for students shown through quality of lectures, availability, psychological support, contact outside classroom
      • Could nominee teach in other departments or schools? (Has breadth and expertise in many academic areas)
      • Past students' professional success, type of appointments in prestigious universities or institutions
   7. Establishment of a Research or Learned "Center" for Scholarly Pursuit
      • Pacemaker in setting intellectual climate; a catalyst for fruitful lines of inquiry; generates unique ideas
      • Presence in a setting has attracted others
      • Number of grants from outside the University (as the principal investigator)
      • Size of grants
      • History of grant success across professional career
      • Number of scholars from U.S. and other countries who arrange travel itineraries to meet with nominee
   8. Consultantships
      • Type of organizations (Ex: Advisory Boards)
      • Nature of task (Ex: site visitor, committee reviewer)
      • Number during professional career
      • Does presence (name on organization roster) lend credibility to organization?
   9. Editorial Experience
      • Positions (Ex: editor, reviewer)
      • Books
      • Journals
      • How prestigious?
      • Tolerance toward different positions in others' writings
      • Objective and dedicated to serious review
   10. Demand for Teaching and Research from Other Scholarly Institutions
       • Number of academic institutions who seek nominee's services on: permanent basis; visiting professor basis
       • Prestige of these institutions

e. Promotions

Promotion to assistant professor, associate professor, or professor is made on the basis of meritorious performance. The performance areas considered are teaching, research, and service. The University at all times seeks to attract, retain, and reward the faculty member who consistently performs effectively as a teacher-scholar or a teacher-artist. Research is understood to include critical evaluation and artistic creation and performance, as well as the discovery and interpretation of facts. In addition, the University seeks to recognize service which faculty members may contribute to the University, the community, the state, or the nation. Academic promotion is an important means of acknowledging such performance and such service. It is awarded for achievement, not for mere length of service or as an incentive to greater effort.

Recommendations for promotion are made by the University Committee on Promotions and Tenure to the Executive Vice Chancellor for consideration and forwarding to the Chancellor. This committee is composed of nine members who are nominated for membership by the Faculty Executive Committee to the Chancellor for three-year, overlapping terms; in addition one member of SenEx and the Vice Chancellor for Research, Graduate Studies and Public Service serve as ex officio members. The Vice Chancellor for Academic Affairs is ex officio chairperson and votes only in case of a tie.

Nominations for promotion normally originate with the department, or with the school if the school does not have departmental organization. Procedures for recommendations for promotion, award of tenure, and notice of non-reappointment are detailed in the Rules and Regulations of the Faculty Senate, Art. VI.

f. Guidelines and Criteria for Tenure and Promotion (Approved June 1973, Revised 1974, 1982, and 1986)

The University of Kansas was established by the citizens of the State of Kansas to provide a distinguished institution of higher learning for its people. Over the years, the University has established a reputation for excellence in teaching, in scholarship, and in service to the people of the State of Kansas and the United States. This excellence is based in part upon a continual stream of exceptional students who have won an enviable record of accomplishment in earning awards for scholastic achievement. Ultimately, however, the excellence and reputation of the University depend directly upon the quality of its faculty.

The awarding of tenure to a faculty member is the most critical point in the process of selection and reward for achievement that maintains and improves the quality of the faculty. The review of candidates for tenured appointment, beginning at the departmental level and moving through channels to the University level, must at all levels be careful, deliberate, and searching if the standard of excellence to which we aspire is to be attained. The same considerations apply to recommendations for promotion in rank, especially those which normally lead to a tenured appointment.

The criteria for tenure and promotion traditionally have been and continue to be teaching, research, and service. The award of tenure must take into account any prior service credited but will be based largely on evidence of achievement since joining the faculty. Promotion to a new rank must be based principally upon evidence of achievement since the last promotion, or, for a person's first promotion, since the initial appointment to the faculty.

Teaching is a prime responsibility of the University. For promotion to a higher professorial rank evidence of effective teaching must be furnished. This evidence may take several forms. Student evaluations are required and peer evaluations are highly desirable. Departments, or schools where departments do not exist, should provide a standard set of procedures to evaluate teaching to ensure an equitable and substantive review process. Individuals in the same field should be evaluated by the same means. However, no specific format or instrument is prescribed at the University level. Academic advising is a part of the teaching responsibility of each faculty member. Good teaching requires continual application and effort. The teacher must keep abreast of new developments in his or her field and related fields, and must maintain credentials as a scholar so that he or she is part of the creative process by which the frontiers of knowledge are continually being expanded. The teacher should be enthusiastic about the particular discipline and should be able to communicate this enthusiasm to the students, thus stimulating both the teacher and the students to greater achievement. The University prides itself on having exceptional teachers whose merit and service to the University earn them a well-deserved place of honor and respect in our institution. But this criterion alone, to the exclusion of consideration of the other criteria, does not serve as a basis for promotion or tenure.

Research and scholarship have several purposes for the teacher. They help maintain the competence of the teacher in the discipline. They are a service to the profession and to society. A teacher's accomplishments and contributions as a scholar bring vital recognition to the University, as well as to the individual. The University exists to create, preserve, and transmit knowledge. The creative process--scholarly productivity--is an integral and indispensable part of the University as an educational institution. As has already been noted, promotion in professorial rank is a testimony and recognition of professional competency and productivity. The standards for measuring scholarly and creative productivity cannot be applied uniformly throughout the University. In many areas, the evidence for competence is research conducted by the teacher, the results of which are submitted for professional evaluation, review, and criticism to peers through recognized media. In those areas, publication in refereed journals and in books is the most significant measure of scholarly productivity. Publication in in-house media and non-refereed journals is also valued but does not carry as much weight. Competitive awards and grants from agencies of national standing are another useful index of an individual's success in obtaining recognition for research. Scholarly production can also take the form of preparation of published reports, studies, and other material for governmental agencies and non-governmental organizations concerned with the operation, evaluation, or improvement of the discipline. Participation in symposia, conferences and professional meetings is another outlet for publicizing and testing the results of one's research. The presentation of papers often lacks the formal review procedure and critical response provided by publications, and in those cases such activity is not sufficient in itself as evidence of scholarly productivity.

In the creative and performing arts, peer review and recognition through exhibitions, concerts, prizes, and awards set a similar kind of standard to the kind of recognition another faculty member will achieve through publication in a prestigious national or international journal. Members of professional or practitioner-oriented disciplines share scholarly obligations with the rest of the faculty. However, in cases where administrative or clinical responsibilities involve a disproportionate amount of the candidate's time, the required extent of written scholarship may be modified. Some measure of scholarly productivity may also be demonstrated by patents in the area of professional competence and documented results of professional consulting or advice in the practice of the profession being taught, but these activities are insufficient of themselves.

In terms of research, award of tenure, promotion to assistant professor, or promotion to associate professor should be based on sufficient evidence of scholarly productivity to document a successfully developing career. For promotion to full professor, evidence must be conclusive that this objective has been realized; consequently, the record of scholarly and creative productivity should be substantially greater than that expected at the lower ranks. Continuing productivity after the completion of the dissertation, from the time of one's formal entry into a professional academic career, is expected. As in the case of service and teaching, excellence in research alone is not sufficient to ensure promotion.

Service is of several kinds. Intramural service is expected of every faculty member. It is part of being a good citizen and participating member in the community--in this instance the academic community. Professionally related extramural activities in professional organizations and in public bodies are an important means of bringing prestige to the University. Such service is to be encouraged and recognized. It adds to the professional competence of the individual, provides contact with a larger circle of peers, and in turn makes possible greater visibility for the University. "Outreach" activities are not necessarily restricted to service but may contribute to any of the areas of faculty endeavor. As with teaching and scholarship, service must be evaluated as to quality as well as quantity, with respect to its contribution to the University and the better performance of its mission.

One other form of service must be singled out. Promotion up through the professorial ranks is a recognition of professional achievement. Administration is an essential part of our well-being and, therefore, administrative service is another kind of contribution a faculty member may make to the University. Administrators, however, must meet the standards of academic excellence. Neither service nor administrative duties alone may serve as the basis for promotion.

While there are no firm rules with regard to the time to be spent in one grade before promotion to the next higher rank, the normal expectations in most fields are:

• from first appointment as instructor to the rank of assistant professor, two to six years;
• from first appointment as assistant professor to advancement to the rank of associate professor, five to six years:
• from first appointment as associate professor to advancement to the rank of (full) professor, five to six years.
• (the same time intervals apply to equivalent ranks among librarians and in the unclassified academic staff.)

Promotion at the end of the above time periods will be determined in accordance with the published guidelines and criteria. A recommendation for promotion earlier than customary must include evidence of truly exceptional merit. The word exceptional is not suggested lightly because it is presumed that a promotion at the end of a normal term of service in rank is based upon meeting the criteria in more than just a satisfactory manner, but rather by some common standard of excellence. It is conceivable that an individual with a satisfactory record in one of the enumerated criteria but without a complimentary record in the other criteria will remain in grade longer than the norm, if not indefinitely.

The criteria are expected to be defined in such a way that their fulfillment gives the higher ranks dignity and stature and will identify promotion as an acknowledgment of professional accomplishment in one's discipline. The added prestige and recognition that promotion and tenured status based upon such standards confers on an individual is highly beneficial, indeed essential to the morale and lustre of our faculty and University. Promotion and tenure are never automatic for a faculty member. They must be earned.

g. Procedures for Recommendations for Promotion, Award of Tenure, Notice of Non-Reappointment -- Rules and Regulations of the Faculty Senate.

ARTICLE VI

Section 1. Promotion

6.1.1

In the fall of each year, a committee or committees within each department (or school where a school has no departmental organization) shall review the qualifications and performance of all members of its faculty below the rank of full professor, excepting only those joined or promoted that year, with a view toward possible advancement in academic rank. The committees, and their procedures, shall be established in accordance with the decision-making procedures of the department on file with the Secretary of the Faculty Senate. All members of the faculty subject to review shall be informed that the review is to be undertaken and shall be advised that they are entitled to submit materials to substantiate their qualifications. The decision concerning the faculty member which results from the review shall be officially communicated to the faculty member in a personal interview. The decision, and the reasons for that decision, shall also be officially communicated in writing if requested by the faculty member. Each department shall make known to its faculty the criteria for evaluation (which need not be identical in all departments), including its policy, if any, concerning relative weights to be assigned to each criterion.

6.1.2

If the appropriate committee determines that a recommendation for promotion is in order, the forms supplied by the Office of Academic Affairs shall be used to frame the recommendation, with appropriate supporting materials. A notification will go to all members of the faculty early each fall advising of dates by which such recommendations must reach the Office of Academic Affairs.

6.1.3

The same notice will also indicate a date by which recommendations for promotion prepared by an individual faculty member are to reach the Office of Academic Affairs. An individual faculty member shall always be entitled to recommend himself or herself, or others, for promotion, outside the regular departmental review procedure. Such recommendations will be referred back to the appropriate department committee or committees established in 6.1.1 above, for evaluation and comment. Regardless of the nature of the evaluation and comment, such recommendations, together with the evaluation and comment, shall then be forwarded as provided below for recommendations arising from the regular departmental review procedures. A faculty member recommended for promotion under this subsection shall be entitled to the same evaluation communication by personal interview and, if requested, in writing specified in 6.1.1 above.

6.1.4

In schools having departmental structure, departmental recommendations for promotion shall be forwarded to the appropriate committee(s) of the school. The chairperson of the department shall individually indicate, and forward with each recommendation, his or her concurrence or non-concurrence, together with such comments as he or she may wish to add. School committee(s), and their procedures, shall be established in accordance with the decision-making procedures of the school on file with the Secretary of the Faculty Senate.

6.1.5

If the determination of the school committee differs from the recommendation of the department, the school committee shall check back with the department committee and invite additional written documentation or comment before making a final decision on the case. If the school committee recommends promotion, the recommendation shall be forwarded to the Office of Academic Affairs for consideration by the University Committee on Promotions and Tenure (hereinafter called the "UCPT"). If there is a negative determination by the school committee, the faculty member shall be promptly informed in writing that the faculty member's promotion file will be forwarded to the UCPT for consideration only if he or she specifically so requests. All recommendations reaching the UCPT shall indicate the concurrence or non-concurrence of the Dean, together with such comments as the Dean may wish to add.

6.1.6

The UCPT shall request the Dean of any school with one or more candidates for promotion or tenure to present in person the criteria used in arriving at that schools recommendations.

6.1.7

The addition of material to the file by the faculty member involved or by others, at any time prior to or during review by the UCPT, shall always be permissible. Material to be added to the UCPT file must also be submitted to the department and/or school committee to allow for possible review and comment to the UCPT. The UCPT may invite the school and/or department committee to review or comment upon the additional material before making a final decision on the case.

6.1.8

Access to the UCPT file by the individual faculty member involved or by others shall be in accordance with Article VII of these Rules.

6.1.9

If the determination of the UCPT differs from the recommendation of the school committee, the UCPT shall check back with the school committee and invite additional written documentation or comment before making a final decision on the case.

6.1.10

The UCPT is a committee of twelve chaired by the Vice Chancellor for Academic Affairs, who votes only in the case of ties. The Vice Chancellor for Research, Graduate Studies and Public Service is an ex officio member, and the Faculty Senate Executive Committee names one of its members to serve for one year. The remaining nine committee members are members of the faculty who serve overlapping three-year terms. Each year the Faculty Senate Executive Committee, by virtue of delegation from the Chancellor, shall prepare a list of nominees whose number shall not exceed twice the number of vacancies. The Chancellor shall select the new committee members from this list. The UCPT shall be broadly representative of the University faculty by both distribution and rotation of its membership.

6.1.10.1

Members of the UCPT shall not serve simultaneously on a Promotion or Tenure Committee of a School or College except when the Faculty of the School or College serves as a committee of the whole. All Assistant, Associate or full Vice Chancellors, other than those specified in 6.1.10, and all Assistant, Associate and full Deans shall be ineligible for membership. Any member of the Committee who is appointed to any position of Dean or Vice-Chancellor shall, with the exceptions noted above, relinquish such membership.

6.1.11

The UCPT acts in an advisory capacity to the Chancellor, who makes recommendations to the Board of Regents. The Chancellor's recommendations are not made public until they have been approved by the Board of Regents. Official notifications are made to those affected by the Vice Chancellor for Academic Affairs. In cases of denial of promotion, the reasons for denial shall also be officially communicated to the faculty member and done so officially in writing upon request from that faculty member.

6.1.12

The Board of Regents normally acts on promotions once a year, and all promotions become effective with the faculty member's next regular appointment (i.e,, academic or fiscal year).

Section 2. Tenure.

6.2.1

The University of Kansas subscribes to the 1940 A.A.U.P. statement on Academic Freedom and Tenure or such amendment or revision by the A.A.U.P. as may be adopted by the Kansas Board of Regents.

6.2.2

Normally, recommendations for promotion to the rank of Associate Professor, if the faculty member is not already tenured, will be considered also as recommendations for the award of tenure. However, individual units, in appropriate cases, may present recommendations for promotion to the rank of Associate Professor without an accompanying recommendation for award of continuous tenure.

6.2.3

Prior to the beginning of the spring semester each year, the Office of Academic Affairs will distribute to the deans of schools a list of faculty members whose tenure status must be reviewed before the end of the current academic year.

6.2.4

Such review, as well as otherwise prompted review for the granting of tenure, shall be conducted in conformity with such portions of the internal procedures for promotion set out in Section 1 of this article as may readily be applied to any such review.

Section 3. Notice of Non-Reappointment.

6.3.1

Notice of non-reappointment may be given to a faculty member at any time prior to the mandatory date for a tenure decision. The Board of Regents has adopted the A.A.U.P. statement of 1964 that stipulates the timing of such notices:

6.3.1.1

Not later than March 1 of the first year of service, if the appointment expires at the end of that academic year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination.

6.3.1.2

Not later than December 15 of the second year of service, if the appointment expires at the end of that academic year; or, if the appointment for a second year of service terminates during an academic year, at least six months in advance of its termination.

6.3.1.3

At least 12 months before the expiration of an appointment after two or more years of service in the University. This places the notification deadline on the last day of the academic year for faculty members on nine-month appointments, and the last day of the fiscal year for those on 12-month appointments.

6.3.2

Normally non-reappointment decisions originate in the departmental committee specified in 6.1.1 above. If a departmental committee decides to recommend non-reappointment, written notice shall be sent by the departmental chairperson (or the dean) to the faculty member on or before the date on which that recommendation is forwarded to the next review level.

6.3.3

The normal procedure for forwarding recommendations for non-reappointment shall be from the chairperson of the department to the dean of the school to the Vice Chancellor for Academic Affairs. At each level the appropriate administrator shall indicate his concurrence or non-concurrence.

6.3.4

The decision to issue a notice of non-reappointment will in no case be made without consultation with the dean and/or department chairperson. The legally effective notice of non-reappointment will be issued over the signature of the Vice Chancellor for Academic Affairs and shall be sent no later than the appropriate deadline date listed under 6.3.1, 6.3.1.1, 6.3.1.2, or 6.3.1.3 above. The notice shall include a statement that the reasons for the decision will be made available in writing if the faculty member requests it.

6.3.5

Because a faculty member not on tenure is considered to be serving a probationary period, non-reappointment may be justified, in addition to reasons related to the faculty member's performance as a teacher, scholar, and member of the University community, by criteria based upon departmental or school plans for future faculty development, by budgetary considerations, or by a departmental or school decision that its needs should be filled with a different individual. (See the A.A.U.P.'s 1968 Recommended Institutional Regulations on Academic Freedom and Tenure.)

h. Academic Freedom

The University of Kansas has a long tradition of dedication to the principles of academic freedom and has sought to implement these principles as they are embodied in the 1940 "Statement of Principles on Academic Freedom and Tenure" of the American Association of University Professors and the American Association of Colleges. The University's position on academic freedom is therefore fully reflected by the following paragraphs from the AAUP statement:

The following regulation on academic freedom and campus disruption was adopted by the Board of Regents on June 19, 1970:

i. Tenure

The tenure regulations approved by the Board of Regents in 1947 and amended in 1980, 1981, 1982 are based on the 1940 Statement of the American Association of University Professors and are as follows:

1. After the expiration of a probationary period, teachers or investigators should have permanent or continuous tenure, and their services should be terminated only for adequate cause, except in the case of retirement for age, program or unit discontinuance or under extraordinary circumstances because of financial exigency.
2. In the interpretation of the principles contained in Section A of this resolution, the following is approved by the Board:
   1. The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and teacher before the appointment is consummated.
   2. Beginning with appointment to the rank of full-time instructor or a higher rank, the probationary period should not exceed seven years, including within this period full-time service in all institutions of higher education; but subject to the proviso that when, after a term of probationary service of more than three years in one or more institutions, a teacher is called to another institution it may be agreed in writing that his new appointment is for a probationary period of not more than four years, even though thereby the person's total probationary period in the academic profession is extended beyond the normal maximum of seven years; except when the interests of both parties may best be served by mutual agreement at the time of initial employment, institutions may agree to allow for more than four years of probationary service at the employing institution provided the probationary period at that institution does not exceed seven years. Notices should be given at least one year prior to the expiration of the probationary period, if the teacher is not to be continued in service after the expiration of that period. (Editorial note: The last sentence has been modified by the Regents' later acceptance of the AAUP's Standards of Notice of Non- Reappointment.)
   3. During the probationary period a teacher should have the academic freedom that all other members of the faculty have.
   4. Termination for cause of a continuous appointment or the dismissal for cause of a teacher previous to the expiration of a term appointment, should, if possible, be considered by a faculty committee which will make recommendations to the administration. In all cases where the facts are in dispute, the accused teacher should be informed in writing of the charges against him before the hearing and should have the opportunity to be heard in his own defense by all bodies that pass judgment upon his case. He should be permitted to have with him an advisor of his own choosing who may act as counsel. There should be a full stenographic record of the hearing available to the parties concerned. In the hearing of charges of incompetence, the testimony should include that of teachers and other scholars, either from his own or from other institutions. Teachers on continuous appointment who are dismissed for reasons not involving moral turpitude should receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution.
   5. Termination of a continuous appointment because of financial exigency should be demonstrably bona fide.

To the main statement, quoted from the 1940 Statement, the Regents appended the following provisions:

3. Within this general policy, each school may make such operating regulations as it deems necessary, subject to the approval of the Board of Regents.
4. Lists of individuals recommended by the chief executive officer for tenure at a Regents institution shall be submitted by the chief executive officer of the Regents institution to the Board of Regents for consideration and action at its April meeting. Any tenure recommendation approved by the Board of Regents shall be limited to tenure for the recommended individual at the institution consistent with the tenure policies of that institution.

With such approval of the Regents, the University adopted several local tenure rules, which have since been abolished. Only one local tenure rule is presently in force. On May 21, 1976, the Board of Regents approved a regulation for application at the University of Kansas. This regulation was amended by the Board on February 21, 1981. The current regulation is as follows:

If, for any reason, the seven-year probationary period of an untenured employee will terminate on any date other than the last day of an academic year, the University and the untenured employee may agree in writing to extend that probationary period for a time not to exceed six calendar months beyond the date on which the employee's probationary period would be completed; and subject to the additional proviso that the teacher and the University of Kansas may agree in exceptional circumstances to discount or forego such full-time service that has been performed under significantly different responsibilities or in a significantly different institutional setting. The amount of prior service to be discounted will be negotiated between the candidate and the Vice Chancellor for Academic Affairs, and agreed in writing at the time of initial appointment to the University, provided the probationary period at the University of Kansas does not exceed seven years.

Procedures and policies on tenure are set forth in the Rules and Regulations of the Faculty Senate Art. VI; Sec. 2.

Part-time service to the University in teaching, research, and administration does not count toward tenure.

j. Probationary Period

In its approach to the probationary period and to the award of continuous tenure, the University seeks to adhere to the policies enunciated by the AAUP. The national office of the organization, in its Advisory Letter No. 13 AAUP Bulletin, Spring 1964) thus explained its understanding of the probationary period:

k. Notice of Non-reappointment

Prior to the time that a faculty member attains continuous tenure, termination may be effected by administrative action, provided timely notice is given. The AAUP's 1964 Standards for Notice of Non-reappointment have been adopted by the Regents. A notice of non-reappointment will be sent by the Vice-Chancellor for Academic Affairs:

These statements shall apply even during periods of declared financial exigency, unless impossible, in which case notice shall be provided as feasible.

Procedures for notice of non-reappointment are set forth in the Rules and Regulations of the Faculty Senate, Art. VI, Sec. 3.

l. Appeals

The Faculty Senate Committee on Tenure and Related Problems functions as a hearing board in cases alleging violations of academic freedom, tenure rights, and failures to observe established procedures in promotions or non- reappointment, (See Rules and Regulations of the Faculty Senate, Art. VI, Sec. 4.) Faculty members who feel that their rights have been violated in any of these areas may seek redress in accordance with the Procedures for Cases Involving Dismissal, Violation of Academic Freedom and Violation of Procedures and Criteria for Appointment, Reappointment, Promotion, or Non-Reappointment.

m. Procedures for Cases Involving Dismissal, Violation of Academic Freedom and Violation of Procedures and Criteria for Appointment, Reappointment, Promotion or Non-Reappointment (Approved 1973, Revised 1979)

Part I: Introduction

The University of Kansas has strong traditions supporting academic freedom and tenure and affirming a collegial method of making decisions that affect a faculty member's career.

The Board of Regents, by a Minute of 18 April 1947, adopted without reservation the 1940 "Statement of Principles on Academic Freedom and Tenure" of the American Association of University Professors. Appropriate extracts are quoted in the Handbook for Faculty and Other Unclassified Staff. The University has adopted "Guidelines and Criteria for Tenure and Promotion" and "Procedures for Recommendation for Promotion, Award of Tenure, Notice of Non-Reappointment"; both of these documents are also printed in the Handbook for Faculty and Other Unclassified Staff. Additionally, the "Procedures" just mentioned include provisions that each school or department shall file with the Secretary of the Faculty Senate a statement of its own procedures for considering promotions and shall make known to its own faculty the criteria for evaluation. All these documents taken together describe the general operation of one phase or another of the procedures described below (though some of the operations must be carefully qualified, as will be seen). The procedures attempt to facilitate a just application of the principles and policies.

The procedures are divided into two stages, mediation and formal hearings; the mediation procedures must be exhausted before hearing procedures can begin. When either mediation or formal hearings are invoked, such proceedings shall go forward in as expeditious a fashion as possible commensurate with fairness to all parties. Parties to any dispute are expected to make a serious effort to resolve their differences through mediation and avert the need for further proceedings. The mediation procedures are described in Part II. The procedures for formal hearings before the Committee on Tenure and Related Problems are treated in Parts III and IV, with a division according to the type of case and the consequent placement of burden of proof.

The procedures that are available and the provisions that govern them can be summarized as follows:

1. Non-reappointment of a non-tenured faculty member at the end of his or her term of appointment.
   1. If a violation of academic freedom is alleged, the case can go to mediation (Part IV); in formal hearings the burden of proof is on the faculty member.
   2. If a violation of procedures is alleged, the case can go to mediation (Part II) and if necessary to formal hearings (Part IV); in formal hearings the burden of proof is again on the faculty member.
   3. If inadequate consideration in terms of the established criteria is alleged, the case can go to mediation (Part II). The Committee on Mediation may, if it sees fit, seek reconsideration by appropriate bodies of the decision not to reappoint, but it may not substitute its judgment on the merits of the case. There is no provision for formal hearings.
2. Dismissal or termination of appointment of a non-tenured faculty member prior to the end of his or her term of appointment; dismissal or termination of a tenured faculty member. These cases can go to mediation (Part II) and to formal hearings (Part III); the Chancellor is the charging party and the burden of proof is on him or her. If a faculty member alleges that he or she was dismissed in violation of academic freedom, the provisions of Part III shall apply.
3. Violation of academic freedom that does not involve dismissal of a tenured faculty member or of a non-tenured faculty member during his/her term of appointment. The case can go to mediation (Part II) and if necessary to formal hearing (Part IV); in formal hearings the burden of proof is on the faculty member.

As a final clarification, it should be noted that the University Senate Code (Article XV, Section 3) gives the Committee on Tenure and Related Problems "original jurisdiction" within the University "over any claim...by a member of the faculty that an administrative action constitutes (i) a violation of the tenure rights of a tenured member of the faculty; (ii) a termination without proper cause of the services of a non-tenured member of the faculty prior to the end of the term of his/her appointment; (iii) a violation of established University procedures for the appointment, promotion or reappointment of a tenured or non-tenured faculty member or the non-reappointment of a non-tenured member of the faculty; (iv) a violation of the academic freedom of a tenured or non-tenured member of the faculty; (v) a censure, suspension or dismissal pursuant to Article VI of the Faculty Code of Conduct without proper cause; or (vi) the placing of a faculty member on administratively determined Leave Without Pay pursuant to Article IV of the Faculty Code of Conduct without proper cause." For dismissals resulting from a formal declaration of a state of Financial Exigency, the procedures set forth in Article VII of the "Rules and Regulations of the University Senate" apply and in cases of conflict take precedence over the procedures described below.

Part II: Mediation Procedures

For the mediation phase the chairperson of the Judicial Board shall, upon request of the chairperson of the Committee on Tenure and Related Problems, establish a mediation panel as provided for in the University Senate Rules and Regulations 5.3.3, 6.6.1.3, and 6.6.1.4. Such mediation panel shall proceed as provided for in the University Senate Rules and Regulations 6.6.1.4, except that its report shall be rendered to the chairperson of the Committee on Tenure and Related Problems. The mediation phase may neither be waived nor omitted.

Part III: Hearing Procedures for Cases of the Dismissal of Tenured Faculty and of Dismissal Prior to the Expiration of Term Appointments

Section 1.

As a condition precedent to the institution of hearing proceedings before the Committee on Tenure and Related Problems (hereafter referred to as the Committee), the mediation procedures set forth in Part II shall first be exhausted. The faculty member shall notify the Chancellor within two weeks after the termination of mediation procedures of his or her desire to insist upon the formal hearing before the Committee.

Section 2.

After such notification, the Chancellor shall dispatch to the faculty member and the chairperson of the Committee identical copies of a formal communication containing the following:

1. A statement of the Charge or Charges relied upon (i.e., incompetence or moral turpitude), set forth in plain and descriptive English, and
2. A detailed summary of the evidence upon which the Charges are based, and 3. A first list of witnesses to be called (the names of other witnesses to be communicated when they become known), and
3. A copy of the pertinent Kansas statutes and University regulations that govern the faculty member's procedural and substantive rights, specifically including but not being limited to relevant (a) statutes, (b) by-laws and rulings of the Kansas State Board of Regents, (c) faculty legislation, including (d) statements concerning the proper composition, procedures and powers of the Committee, and
4. A statement that the Committee shall conduct a hearing on the Charges, and
5. A statement that the time and place of the hearing shall be set by the Committee, and shall be communicated to the faculty member, and shall be such as shall allow the faculty member adequate opportunity to prepare his/her defense, normally not less than five weeks or more than eight weeks from notification of the hearing date, and
6. A formal invitation to the faculty member to attend the hearing accompanied by academic advisers and legal counselors of his/her choice.

Section 3

Separate copies of the Statement of Charges shall be sent to the American Association of University Professors and to any other appropriate professional organizations. If the faculty member has no objections, formal invitations to send an observer to the hearing shall be issued by the Committee to the AAUP and any other appropriate professional organization.

Section 4.

Not less than two weeks before the date set for the hearing, the faculty member shall submit to the Chancellor and to the Committee his/her written Answer to the Charges, or he/she shall state to the Chancellor and to the Committee that he/she does not desire a hearing to be held.

Section 5.

Prior to the hearing a copy of the Answer shall be sent to each of any professional organizations that have been sent copies of the Statement of Charges, or each of them shall be informed that the faculty member does not desire a hearing to be held.

Section 6.

If any evidence is tendered during the hearing to which objection is made on the ground that it is not within the issues raised by either the Statement of Charges or the Answer, the Committee may allow either the Statement or the Answer to be amended, and shall do so freely, especially when the presentation of the substantive issues will thereby be facilitated. Whenever an amendment has been allowed at the instance of one party, and the other party so requests, the Committee shall grant the objecting party a reasonable time within which to prepare his/her case on the new issue or issues that have been raised and to meet the evidence tendered.

Section 7.

If a faculty member fails to answer the Chancellor's Statement of Charges, or it he/she states that he/she does not desire a hearing to be held, the Committee shall consider whether the alleged grounds constitute adequate cause for his/her dismissal, and the Committee may, in its discretion, (a) request the Chancellor to present proof of the Charges and (0) independently investigate their truth. Ultimately, the Committee shall forward a statement of its decision on each of the Charges, and on the case as a whole, to the Chancellor and to the faculty member, and shall place at least one copy in the University Archives as a public document.

Section 8.

The Committee's decision on the cases of Section 7 above shall be final and binding, and the case shall be deemed closed, unless either the Chancellor or the faculty member seeks to appeal to the Board of Regents.

Section 9.

If the faculty member submits an Answer to the Statement of Charges as contemplated in Section 4, then the following procedures shall apply.

1. The Chancellor or the faculty member may by written request to the chairperson of the Committee ask, at least one week before the date set for the hearing, that one or more named members of the Committee be disqualified because they are biased or prejudiced or have a personal interest in the case or its outcome. After providing an opportunity to appear and be heard, the Committee shall determine whether cause for the requested action has been shown, and this determination shall be made at least three days prior to the start of the hearing. If cause is found, the regular members of the Committee who have been challenged shall be replaced by other members of the Faculty Senate chosen by the Faculty Senate Executive Committee. If cause is not found, but the challenging party disagrees with the Committee's decisions, he or she can appeal to the Faculty Senate Executive Committee for a review of the decision. The appeal must be made within 24 hours of the decision. The Faculty Senate Executive Committee must respond within one week of the appeal, either by affirming the decision of the Committee on Tenure and Related Problems or by reversing it and providing a substitute member (or members) acceptable to both parties. In the event an appeal is made, the Committee on Tenure and Related Problems shall reschedule the hearing for a date no later than two weeks from the original hearing date.
2. The faculty member may, at least one day before the hearing is scheduled to begin, indicate to the chairperson of the Committee his/her desire that the hearing shall be (a) public or (b) private, and the chairperson shall grant the request. However, if the faculty member fails to indicate his or her preference, the hearing shall be private. Material introduced into evidence in a private hearing shall be designated as confidential, if either the Chancellor or the faculty member so requests in writing.
3. The Chancellor, the faculty member, and their respective academic advisers and legal counselors all shall have the right to be present at the hearing at all times, as shall any observer sent by a professional organization in response to a formal invitation.
4. The hearing shall proceed in the following order: The submission of (a) evidence by the Chancellor in support of the Statement of Charges; (b) evidence by the faculty member in support of his Answer; (c) rebuttal evidence by the Chancellor; (4) rebuttal evidence by the faculty member; and (e) closing arguments. However, in rare cases, if the Committee believes that a clearer or more efficient way of exploring the issues can be achieved by varying this normal order of proceeding, it may so order with the agreement of all parties to the charges.
5. The testimony of witnesses and other evidence shall be received by the Committee; however, except where hearsay evidence is resorted to in accordance with Section 9.6, any testimony on which the opposing party is not afforded a reasonable opportunity for cross-examination shall be stricken from the record of the hearing. The rules of evidence applicable in courts of law shall not be binding at the hearing, but may be consulted by the Committee in its discretion. Both parties, their representatives, and the Committee shall have the right to summon and to question all witnesses, and to present other evidence relevant to the issues of the hearing. The University shall render all reasonable assistance to the faculty member, and to his/her advisers and lawyers, to obtain information and to require the presence of witnesses and the production of evidence relevant to the issues of the hearing. If the faculty member requests access to information not otherwise disclosed by the administration, reasonably describing the kind of information desired, the administration will make it available to him or her if it is not privileged.
6. In the event the faculty member, through no fault of his/her own, is unable to obtain information or the presence of witnesses or the production of evidence within the University of Kansas community relevant to the issues of the hearing that he or she considers indispensable to the proof of his or her case, the Committee shall make every reasonable effort to assist the faculty member in obtaining such information, presence of witnesses or production of evidence. If the Committee's efforts are to no avail, it may take into account the faculty member's statement as hearsay evidence of what such testimony or evidence would have been if it had been available.
7. The Committee, in its discretion, may exclude a witness from the hearing room except while he or she is testifying.
8. If professional incompetence has been charged, the following procedures shall be followed, unless the Committee determines that extraordinary circumstances in an individual case require deviation therefrom in whole or in part: There shall be admitted as evidence, in addition to individual testimony, a formal report on the work of the faculty member by his or her colleagues in his or her department and in cognate departments of the University; and if the faculty member so requests, there shall be admitted as evidence a report by a committee of fellow specialists from other institutions, selected by agreement between the faculty member and his/her departmental colleagues; and if the Charges include incompetence in the classroom, testimony from students who have been taught by the faculty member may be received, as may testimony from colleagues who have visited the faculty member's classes (this, in addition to the formal report alluded to above) and from the faculty member himself or herself. Any judgment by the Committee on the point of professional incompetence must be restricted to, and based upon, evidence delimited above, and cannot properly rest upon any other considerations. When extraordinary circumstances exist, the Committee shall set forth in writing its reasons for failing to follow normal procedures.
9. In its discretion, the Committee may proceed independently to secure the presentation of evidence at the hearing, and it may direct the parties, or either of them, to produce evidence on specific issues that it deems significant.
10. The principle of confrontation and full examination of the evidence shall prevail throughout the hearing.
11. The burden of proving the charges shall rest on the Chancellor and the burden of proving a Charge must be sustained by clear and convincing evidence in the record considered as a whole.
12. A verbatim record of the proceedings shall be made. The record may be made by a recording device or by a stenographic reporter, in the sole discretion of the Committee. A full transcript of the proceedings shall be furnished the Committee and the parties. In the event the record is made by a recording device, it shall be sufficient if the Committee and the parties are furnished the original recording or duplicates thereof in lieu of a written transcript. The cost of making the record and the transcriptions shall be borne by the University.
13. The Committee shall not be bound by the formal procedure of the law courts, including the rules related to the admissibility of evidence.
14. In its discretion, the Committee may adjourn the hearing from time to time in order to permit the parties to obtain further evidence.
15. The Committee may request written briefs from the parties, and shall accept them if they are offered.

Section 10.

The Committee shall defer its decision until the verbatim record of the hearing has become available, except in a case where the Committee believes that it can render a just decision in the absence of a verbatim record. In all cases, the Committee shall render its decision in the full light of the requirement that the burden of proof of the charges rests upon the party bringing them.

Section 11.

All the decisions of the Committee shall be based solely upon the record of the hearing.

Section 12.

The Committee shall make specific findings of fact to support its conclusions on each of the alleged grounds for dismissal. A copy of the Committee's opinion, setting forth its disposition of each issue in the case together with the reasons by which it justifies its conclusions, shall be made available to each of the parties, and to any observer who was sent to the hearing by a professional organization in response to a formal invitation to do so, at the time when the Committee announces its decision in the case, and at least one copy shall be filed at that time in the University Archives as a public document.

Section 13.

The Committee's decision on the cases of Section 12 above shall be final and binding, and the case shall be deemed closed, unless either the Chancellor or the faculty member seeks to appeal to the Board of Regents. The decision as well as findings of fact shall be transmitted to the parties and to the Faculty Senate Executive Committee for appropriate implementation.

Part IV: Hearing Procedures for Cases of Infringement of Academic Freedom and of Violation of Established University Procedure Relating to Appointment, Promotion or Reappointment of a Faculty Member

Section 1:

If a faculty member (hereinafter complainant) believes his or her academic freedom has been substantially infringed (excluding cases of infringement of academic freedom resulting in dismissal which are covered by Part III of these procedures), or if a faculty member believes he or she has been the victim of a violation of established University procedures for the appointment, promotion or reappointment of a tenured or non-tenured faculty member, or the non-reappointment of a non-tenured faculty member, he or she may seek redress in accordance with the following procedures:

Section 2:

The complainant shall prepare a written complaint alleging the facts he or she believes constitute the infringement or violation. A signed copy of the complaint shall be sent to the Chancellor, to the person or persons complained against (hereinafter respondents), and to the chairperson of the Committee on Tenure and Related Problems.

Section 3:

The mediation phase shall be as provided for in Part II, above.

Section 4:

If the matter is not concluded by an amicable settlement, the complainant may then request a formal hearing by sending a copy of the complaint to the Chairperson of the Committee on Tenure and Related Problems, and notifying the Chancellor and the respondent(s) of the request for a formal hearing.

Section 5:

The complaint must be signed by the complainant, and must allege facts which, if proved, would constitute an infringement or violation described in Section 1 above. If the complaint does not allege facts that state a claim of infringement or violation, the complaint shall be dismissed.

Section 6.

If the Committee finds that the complaint states a claim of infringement or violation, it shall set a time and a place for a formal hearing. Normally the time will not be less than five nor more than eight weeks from the time the Chairperson of the Committee on Tenure and Related Problems received the complaint.

Section 7.

Not less than two weeks before the date set for a hearing the respondent will submit to the Committee and to the complainant a written answer to the complaint.

Section 8:

If no answer is filed, the Committee shall consider whether the alleged grounds constitute an infringement of academic freedom or a violation of established University procedure relating to appointment, promotion or reappointment; and the Committee may in its discretion, (a) request the complainant to present proof of the allegations, or (b) independently investigate their truth. Ultimately, the Committee shall forward a statement of its decision, including its recommendation for appropriate action, to the parties, to the Faculty Senate Executive Committee and to the Chancellor for appropriate implementation. The Committee shall place at least one copy in the University Archives as a public document. The Committee's decision on the merits of the case shall be final and binding.

Section 9:

If an answer is filed, the Committee will proceed to a hearing in accordance with the procedures set out in Part III, Sections 5, 6, 9 (1, 2, 3, 4, 5, 7, 9, 10, 12, 13, 14, 15), 10, 11, and 12, with such alterations in those sections as may be necessary to reflect the facts that the complainant faculty member and not the Chancellor is the charging party and that the issues may relate to infringements or violations not involving dismissal. The complainant shall have the burden of proof to establish by a preponderance of the evidence the elements of a claim of infringement of academic freedom or procedural violations associated with appointment, promotion or reappointment. If the complainant claims violation of procedures with respect to the non-reappointment of a non-tenured faculty member, the elements of the complaint must be established by clear and convincing evidence.

Section 10:

If the Committee finds that the rights of the complainant have been substantially infringed or violated, a statement of its decision, including its recommendation for appropriate action, shall be transmitted to the parties, to the Faculty Senate Executive Committee and to the Chancellor for appropriate implementation. The Committee's decision on the merits of the case shall be final and binding.

n. Faculty Code of Conduct (Adopted by the Faculty Senate, April 22, 1971, and revised by the Faculty Council, January 22, 1981.)

Article 1. Title.
This code shall be known as the Code of Faculty Rights, Responsibilities, and Conduct. Nothing in this document shall contravene the Senate Code and the Rules and Regulations of the University Senate, the Faculty Senate. or duly published Board of Regents Regulations on Conduct.

Article II. Definitions.
When used in this Code:

1. The term "University" means the University of Kansas and, collectively, those responsible for its control and operation.
2. The term "student" includes all persons taking courses at the institution, both full-time and part-time, pursuing undergraduate, graduate or extension studies.
3. The term "faculty member" includes all persons specified in Article IV, Section 1, of the Senate Code as it may be amended from time to time, other professional members of the library staff, instructors, research personnel of rank comparable to those above enumerated, and any person hired by the University to conduct classroom activities. Determination of a person's status as a "faculty member" or a "student" in a particular situation shall be determined by the surrounding facts.
4. All other terms have their conventional meaning unless the text dictates otherwise.

Article III. Faculty Rights.
The following enumeration of rights shall not be construed to deny or disparage others retained by faculty members as members of the University community or as citizens of the community at large:

1. Freedom of inquiry, expression and assembly are guaranteed to all faculty members.
2. The right of faculty members to be secure in their persons, offices, papers and effects against unlawful searches and seizures is guaranteed.
3. Faculty members shall be exempt from disciplinary action except for conduct proscribed in Article V.
4. No disciplinary sanctions listed in Article VI may be imposed upon a faculty member without notice of the charges against him or her and the opportunity for a hearing before the Judicial Board or before the Faculty Senate Committee on Tenure and Related Problems. The Judicial Board shall have jurisdiction if the recommended sanction is a "Warning" or "restitution." The Faculty Senate Committee on Tenure and Related Problems shall have jurisdiction in all other cases. At any such hearing, the faculty member shall have all. rights afforded under the University Senate Code and Regulations to a party before the Judicial Board.
5. Faculty members, groups and organizations may invite and hear any persons of their own choosing subject only to the requirements for use of University facilities.
6. Faculty members shall have the right to participate in the determination of school, department and University policies as stated in Article I, Section 1, of the Rules and Regulations of the Faculty Senate.
7. Subject to reasonable conditions imposed to regulate the timeliness of requests, to determine the appropriateness of the space and time of use requested, and to insure proper maintenance, University facilities shall be made available for assignment to faculty members, individually or in groups, even though not formally organized; preference may be given to programs designed for audiences consisting of members of the University community.
8. Faculty members, groups or organizations may distribute written material on campus without prior approval. The person or persons responsible for such material must be clearly indicated. The use of campus mail for political purposes is not permitted. Its use for solicitation requires prior approval by the Office of the Chancellor.

Article IV. Faculty Responsibilities.
Of the many responsibilities of faculty members, the following are enumerated because of their importance of the maintenance of appropriate faculty-student relations:

1. Protection Against Improper Disclosure. Information about student views, beliefs, and political associations which professors acquire in the course of their work as instructors, advisers and counselors should be considered confidential. Protection against improper disclosure is a serious professional obligation. Judgments of ability and character may be provided under appropriate circumstances, normally with the knowledge or consent of the student.¹
2. Faculty members shall accord respect to the essentially confidential relationship between the University and its students by preserving to the maximum extent possible the privacy of all records relating to students.
3. A member of the faculty is expected to meet classes at the regularly scheduled hour and to carry out his or her other academic responsibilities. If a faculty member considers it necessary, for sound academic reasons, to move a class to another time, advance notice must be given to the class and arrangements must be made to assure that the change does not work undue hardship on any member of the class. If prevented from meeting classes or carrying out other academic responsibilities, a faculty member must, if physically able to do so, make satisfactory advance arrangements and communicate, preferably in writing, the nature of these arrangements to his or her chairperson (or dean, if the school in question is not organized departmentally). Such arrangements are subject to the approval of the appropriate chairperson or dean. Each department or school must define what arrangements are considered "satisfactory" in that unit, and appropriately publicize its definition. Failure to comply with the procedures outlined in this paragraph may result in the placement of the faculty member on administratively determined Leave Without Pay by the Vice Chancellor for Academic Affairs. When such Leave Without Pay is imposed, the Vice Chancellor shall notify the faculty member of the action and provide the reasons therefore. In addition, the notice shall advise the faculty member that the Leave Without Pay shall cease, and the faculty member shall resume pay status, upon the faculty member's notification to the Vice Chancellor that the faculty member has resumed his or her attendance or academic responsibilities or otherwise made satisfactory arrangements, which resumption or satisfactory arrangements shall be confirmed by the chairperson or dean. Finally, the notice shall advise the faculty member that if he or she believes the Leave Without Pay to have been improperly imposed, review may be sought by requesting a hearing before the Faculty Senate Committee on Tenure and Related Problems pursuant to Article XV, Section 3, item (vi) of the Senate Code.

Article V. Proscribed Conduct.
Such conduct falls into the following categories:

1. Willful failure of a faculty member to carry out his academic responsibilities.
2. Violation of lawful published University regulations.
3. Behavior in the discharge of his duties which violates commonly accepted standards of professional ethics.²
4. Knowingly furnishing false information to the University, or forging, altering, or misusing University documents or instruments of identification with intent to defraud.
5. Committing an act which involves such moral turpitude as to render the faculty member unfit for his position. As used in this section, conduct involving moral turpitude means intentional conduct, prohibited by law, which is gravely injurious to another person or to society and which constitutes a substantial deviation from the accepted standards of duty owed by a person to other persons and society.
6. If another University tribunal or body exists which might properly entertain a claim or charge of conduct proscribed in Article V, the processes of that body or tribunal normally must first be exhausted before the jurisdiction of the Judicial Board can be invoked. However, in extraordinary circumstances the Judicial Board may exercise original jurisdiction notwithstanding failure to exhaust remedies available in other University tribunals. Whether such extraordinary circumstances exist as warrant the exercise of original jurisdiction by the Judicial Board shall be determined by such Board.

Article VI. Sanctions.
One or more of the following sanctions, listed in order of increasing severity, may be imposed for proscribed conduct by a faculty member:

1. Warning. Notice in writing that continuation or repetition of conduct found wrongful, within a period of time stated in the warning, may be cause for more severe disciplinary action.
2. Restitution. Reimbursement for damage to or misappropriation of property. This may take the form of appropriate service or other compensation.
3. Recommendation of Censure. Recommendation to the Chancellor that a faculty member be formally reprimanded.
4. Recommendation of Suspension. Recommendation to the Chancellor that a faculty member be excluded from teaching and other specified privileges or activities for a definite period not in excess of two years.
5. Recommendation of Dismissal. Recommendation to the Chancellor that a faculty member be dismissed from the University staff for an indefinite period.

Submitted by the Faculty Senate Committee on Faculty Rights, Privileges, and Responsibilities.

• Eugene Fox
• James Hilesheim
• Harold Rosson
• Fount Smothers, Jr.
• John Tollefson
• Paul Wilson
• George Worth
• Marston McCluggage, Chairman

1. The professor, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognizes the special responsibilities placed upon him. His primary responsibility to his subject is to seek and to state the truth as he sees it. To this end he devotes his energies to developing and improving his scholarly competence. He accepts the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. He practices intellectual honesty. Although he may follow subsidiary interests, these interests must never seriously hamper or compromise his freedom of inquiry.
2. As a teacher, the professor encourages the free pursuit of learning in his students. He holds before them the best scholarly standards of his discipline. He demonstrates respect for the student as an individual, and adheres to his proper role as intellectual guide and counselor. He makes every reasonable effort to foster honest academic conduct and to assure that his evaluation of students reflects their true merit. He respects the confidential nature of the relationship between professor and student. He avoids any exploitation of students for his private advantage and acknowledges significant assistance from them. He protects their academic freedom.
3. As a colleague, the professor has obligations that derive from common membership in the community of scholars. He respects and defends the free inquiry of his associates. In the exchange of criticism and ideas he shows due respect for the opinions of others. He acknowledges his academic debts and strives to be objective in his professional judgment of colleagues. He accepts his share of faculty responsibilities for the governance of his institution.
4. As a member of his institution, the professor seeks above all to be an effective teacher and scholar. Although he observes the stated regulations of the institution, provided they do not contravene academic freedom, he maintains his right to criticize and seek revision. He determines the amount and character of the work he does outside his institution with due regard to his paramount responsibilities within it. When considering the interruption or termination of his service, he recognizes the effect of his decision upon the program of the institution and gives due notice of his intentions.
5. As a member of his community, the professor has the rights and obligations of any citizen. He measures the urgency of these obligations in the light of his responsibilities to his subject, to his students, to his profession, and to his institution. When he speaks or acts as a private person he avoids creating the impression that he speaks or acts for his college or university. As a citizen engaged in a profession that depends upon freedom for its health and integrity, the professor has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

o. Faculty and Academic Staff Report Forms

Copies of a standard Faculty and Academic Staff Annual Report form are available in the Office of Academic Affairs. This form is used by some schools and departments for gathering information to be considered during the annual evaluation of faculty and staff members for the purpose of making recommendations for merit salary increases. This form may also be used to place on record professional accomplishments, publications, single-occasion consulting activities, teaching experiences, and other achievements related to employment with the University of Kansas.

p. Legal Protection Afforded Faculty and Unclassified Staff

The following statement concerning legal protection afforded faculty and unclassified staff was approved by the Chancellor on May 8, 1985.

The Office of the General Counsel is responsible for all legal matters of the University of Kansas. In carrying out that responsibility, the General Counsel and other members of the staff are involved in such functions as preparing legal documents, reviewing and recommending approval of University contracts and agreements, representing the University in legal actions, and providing legal advice to those who administer the affairs of the University. For the purposes of prosecuting or defending actions involving the University, the University General Counsel serves as Special Assistant Attorney General by appointment of the Attorney General of the State of Kansas.

One of the important functions of the Office of the General Counsel is to provide counsel, assistance, and information to University employees about the policies and procedures of the University, the Board of Regents, and the state. The General Counsel is generally available to provide such information relative to legal matters that arise out of the employee's conduct of his/her duties.

Individuals sued for actions arising out of the scope of their employment with the University may request representation by the Attorney General under the terms of the Kansas Tort Claims Act (Kansas Statutes Annotated (cited as K.S.A.) 75-6101 et seq.). This act provides that individuals sued for alleged acts or omissions arising out of the scope of their employment with the University may upon appropriate request be provided with legal representation by the Office of the Attorney General of Kansas or as delegated by the Attorney General, by the Office of the General Counsel of the University or by other counsel employed by the University for that purpose.

The Tort Claims Act specifies that, upon request of an employee of the state to the Office of the Attorney General within fifteen days after service of process upon the employee, the employee shall be provided with legal defense of any civil action or proceeding against such employee in his or her official or individual capacity on account of an act or omission in the scope of his or her employment by the state. Legal defense may be refused the employee of the state if it is determined that:

1. The act or omission was not within the scope of such employee's employment.
2. Such employee acted or failed to act because of actual fraud or malice.
3. The defense of the action or proceeding would create a conflict of interest between the governmental entity, in this case the University, and the employee.
4. The request for legal defense was not made in writing to the Office of the Attorney General within fifteen days after service of process upon the employee in the action.

However, because the General Counsel is appointed by the Chancellor, the Counsel's ultimate responsibility is to represent that office and those individuals to whom the Chancellor has delegated responsibility. In determining whether the General Counsel will provide legal advice or representation, the Counsel will represent those individuals in the highest position of authority. The General Counsel will provide advice and counsel to University employees so long as the issues do not involve conflicts with those higher in the administrative or executive hierarchy of the University. If the individual seeking the services of the University Counsel ultimately finds himself or herself in an adversary position with someone higher in the University hierarchy, the General Counsel will represent those individuals in the higher position of authority.

The procedures for an employee to follow if a civil suit is brought against the employee for acts or omissions arising from employment with the University are:

1. The employee shall submit a written request to the University General Counsel and, after conferring with the University General Counsel, to the State Attorney General asking that legal representation be provided. The request must be made within 15 days after service of process in an action.
2. Should the University and the Attorney General decline to provide legal defense of an action, an employee may petition a court of competent jurisdiction to compel performance of that duty.
3. If the court does not issue a writ compelling performance, the employee still may retain his or her own counsel to defend the action. If it is determined that the acts or omissions were within the scope of employment, and no actual fraud or malice on the part of the employee was involved, the employee is entitled to recover reasonable attorney's fees, costs, and expenses from the State.

q. Resignations

The University of Kansas shares the views expressed in the Statement on Recruitment and Resignation of Faculty Members endorsed by the American Association of University Professors in April, 1961. This statement includes the following sections on resignations:

Resignations from the faculty should always be submitted in writing to the department chairperson (or, where no departmental organization exists, the dean of the school). Such letters will be forwarded through the dean of the school to the Vice Chancellor for Academic Affairs, who will acknowledge the resignation on behalf of the University. For purposes of the orderly transaction of business, a resignation should normally identify the faculty member's future location.

Unless an earlier date is specified, the effective date of a faculty member's resignation shall be the termination date of the faculty member's appointment current as of the date of submission of the resignation. If a resigning faculty member holds research grants or contracts from outside agencies, the Office of Research Support and Grants Administration should be consulted in order that proper arrangements may be made for the liquidation or transfer of the grant and the disposition of any equipment secured under the grant or contract.

r. Retirement Eligibility

Members of the faculty who are approaching retirement age may, if they choose, make arrangements for a reduction in the level of their appointments. Faculty who wish to choose such an option should make prior arrangements with their departmental chairperson and/or dean and should receive final approval from the Vice Chancellor for Academic Affairs and/or the Vice Chancellor for Research, Graduate Studies and Public Service where appropriate. Possible arrangements include one-semester teaching appointments, reduction to half-time service throughout the academic year, full-time service for the fall semester only with payment at the half-time rate to be made over the entire academic year, or other arrangements as may be individually negotiated. Since prior service KPERS benefits are based on the highest twenty quarters of salary, the basis for these calculations will probably be the last twenty quarters of full time employment. There is no provision for calculating a full time rate from a part time salary rate. Normally, the University will continue to provide office/laboratory space for faculty who make such arrangements. It is the University's intention to provide, when possible, office/laboratory space for faculty who have retired fully and who wish to continue their professional activities. If reduction of appointment is chosen by a tenured faculty member, the employee is assured of continued employment at the partial level as if regular tenure rules applied. However, return to full-time status would again be subject to negotiation between the individual unit and the University.

Individuals who have reached the age of 60 and who wish to retire prior to the mandatory retirement age are, of course, able to do so as a matter of individual choice.

State law provides for mandatory retirement at the age of 70. Retirement for faculty members teaching for academic credit becomes effective no later than the August 1 on which the faculty member is 70 years of age. Other members of the staff will retire no later than the first of the month following the attainment of age 70. A faculty member may request retirement at any time after age 60 (See Retirement Plans). At the time of retirement, the Chancellor will recommend to the Board of Regents that the faculty member be awarded emeritus status.

The Board of Regents has approved a voluntary reduced service (phased retirement) plan for tenured members of the faculty who are age 60 through 65. This plan provides health insurance premiums, death and disability insurance premiums and retirement contributions made by the University based on the full time rate of pay. Details involving application for the phased retirement plan can be provided by the Office of Academic Affairs.

Unclassified academic staff members of the University are those unclassified employees whose education, degrees, and experience are equivalent to those of the faculty. Academic staff members engage in research, public service, and teaching, and are employed in units of the University which support the academic mission of the institution.

In February of 1977, the Chancellor approved a statement of personnel policies and procedures for unclassified academic staff members. This statement includes policies on appointment, promotion, sabbatical leave, termination and other personnel matters. Upon the recommendation of the Chancellor, the Kansas Board of Regents authorized the University to include in the group eligible for sabbatical leave those individuals identified as academic staff members (See section on Leaves).

a. Personnel Policies and Procedures, Unclassified Academic Staff (Approved February 1977)

Unclassified Academic Staff members of the University are those unclassified employees whose education, degrees, and experience are equivalent to those of the Academic Faculty. Academic Staff members engage in research, public service and teaching, and are employed in units of the University which support the academic mission of the institution.

Initial Employment

Unclassified Academic Staff members shall be selected and appointed in accordance with prevailing policies for teaching faculty members, including appropriate search, interview, and review.

The terms and conditions of each initial appointment must be stated in writing, approved by the Executive Vice Chancellor or his designated representative, and communicated to the prospective appointee before the appointment is consummated.

Titles

The titles for Unclassified Academic Staff are comparative to those used for Academic Faculty. These titles facilitate common application of University regulations and policies concerning eligibility for employment, and procedures for recruitment, retention, promotion, and job security.

The titles:

• Senior Scientist
• Associate Curator
• Assistant Specialist
• Junior Physician

Each director of an appropriate budgetary unit shall recommend to the appropriate vice chancellor a rank for each of the current staff members. Recommendations shall be documented with relevant supporting data. Final approval of the recommended rank shall be given by the Chancellor and Executive Vice Chancellor.

Promotion

Promotion of an Unclassified Academic Staff member shall be made on the basis of meritorious performance. The University at all times should seek to attract, retain, and reward the Academic Staff member who consistently performs effectively. Promotion is an important means of acknowledging such performance and such service. It should be awarded for achievement rather than for mere length of service or as an incentive to greater effort.

The criteria for promotion traditionally have been, and continue to be, research, service, and teaching, with the emphasis being placed upon the first two for Unclassified Academic Staff (Faculty-Equivalent). Promotion to a new rank must be based principally upon evidence of achievement since the last promotion. Similarly, the first promotion must be based on achievement since the initial appointment to the unclassified staff. The relative importance of the three basic performance areas (research, service, and teaching) shall be determined by the deliberating bodies. They will take into account the varying service, programmatic, and instructional missions of the several units so that the importance assigned reflects the best interests of both the unit in question and the University as a whole.

Recommendations for promotion shall be made to the Executive Vice Chancellor by the University Committee on Promotions and Tenure, and the Executive Vice Chancellor shall transmit these recommendations with his recommendation to the Chancellor. Nominations for promotion normally shall originate within the appropriate budgetary unit. In the fall of each year a committee or committees within each unit shall review the qualifications and performance of all Unclassified Academic Staff members below senior rank to determine whether they should be recommended for advancement in rank. If the appropriate committee determines that a recommendation for promotion is in order, it shall forward a recommendation to the director of the unit. The director of the unit shall forward with each recommendation his or her concurrence or nonconcurrence, together with such comments as he or she may wish to add. These materials shall be transmitted to the appropriate vice chancellor, who shall forward them with his or her recommendation and the appropriate supporting materials to the University Committee on Promotions and Tenure.

Unclassified Academic Staff members may nominate colleagues or themselves for promotion by sending relevant documents directly to the appropriate vice chancellor having responsibility for the unit. Such nominations shall be referred to the director of that unit for comment and recommendation, and shall be treated by the University Committee on Promotions and Tenure in exactly the same manner as nominations originating from within the unit. Normal University procedures approved for the University Committee on Promotions and Tenure shall apply to these nominations. When the University Committee on Promotions and Tenure is considering the promotion of Unclassified Academic Staff, the Vice Chancellor for Research, Graduate Studies and Public Service shall serve as chairperson of the committee (voting only in case of ties), and the Vice Chancellor for Academic Affairs shall serve as an ex officio member of the committee.

Whenever the Promotions Committee tentatively decides on a recommendation counter to that of the unit director or committee or of an individual nominator or self-nominee, the Promotions Committee shall first so inform the unit director, committee, nominator, or self-nominee, and afford an opportunity for the discussion of the nomination, documentation, and decision.

The Promotion Committee acts in an advisory capacity to the Executive Vice Chancellor and to the Chancellor, who makes recommendations to the Board of Regents. The Chancellor's recommendations are not made public until they have been approved by the Board of Regents. Official notifications are made by the appropriate vice chancellor to those affected by the decision. The Board of Regents normally acts on promotions once a year, and all promotions become effective with the staff member's next regular appointment (i.e., fiscal year). Normally, Unclassified Academic Staff members will hold the appropriate rank specified under the previous section which is most nearly equivalent in academic preparation or experience of the member to the rank of instructor, assistant professor, associate professor, or professor. Persons who have not completed the requirements for the formal degree or attained equivalent experience may be appointed at the rank of Junior Staff if the appropriate vice chancellor determines that such degree or experience will be attained in the near future. A person with a permanent position at another institution who accepts a temporary position at the University of Kansas while on leave from his or her place of permanent employment will have the prefix "Visiting" added to his or her title while at the University of Kansas. A person whose appointment is temporary because he or she has not yet completed all the requirements for the appropriate qualifying degree will have the prefix "Acting" placed before his or her title.

Termination

Unless previous notice of non-reappointment has been given, all full-time appointments to Unclassified Academic Staff line positions paid from state-appropriated funds will be automatically renewed. Upon recommendation of the director of the appropriate unit, notice of non-reappointment shall be sent to the holder of such appointment over the signature of the Executive Vice Chancellor, or his designated representative (e.g., one of the vice chancellors) at least three months in advance of the termination of the first year of appointment; at least six months in advance of the termination date of the second year of appointment; and thereafter at least one year in advance of the termination date of the appointment. It is recognized that the positions of some Unclassified Academic Staff members may be funded from externally supported grants and contracts, and that termination of such support provides a bona fide cause for termination of appointment without the usual notice.

A probationary period of six years will apply to the Junior and Assistant Staff ranks unless Staff members achieve Associate Staff rank within the six-year period. Appointment to a seventh year of consecutive full-time service will normally mean that the probationary period has been completed satisfactorily. Initial appointment at the Senior or Associate Staff rank may carry full job security, or, at the joint discretion of the appropriate director and the Chancellor or his designee, be awarded on a three-year probationary status. The legally effective notice of non-reappointment will be issued over the signature of the Executive Vice Chancellor or the appropriate vice chancellor as his designated representative. The notice shall include a statement that the reasons for the decision will be made available if the Unclassified Academic Staff member requests them. After the expiration of the appropriate probationary period, an appointment will be terminated only for adequate cause, including budgetary constraints. In the event of a termination because of discontinuance or reorientation of a program, or termination at any time due to budgetary constraints, the appropriate budgetary unit will assist the affected Staff members in seeking transfer to other budgetary units of the University of Kansas, other state agencies, or obtaining other employment.

In the event of termination or dismissal for cause after the probationary period, the employee will have the right to be informed in writing of the reasons for the action taken. A staff member who asserts that a decision to give notice of non-reappointment has been produced by conditions that constitute a violation of established procedures of the University or the unit, and who has not succeeded in obtaining a favorable reassessment of that position through the channels through which the original decision was made, is entitled to appeal. The Faculty Senate Committee on Tenure and Related Problems has exclusive jurisdiction over such an appeal. When hearing appeals from Unclassified Academic Staff members, the committee or subcommittee handling the complaint will be augmented to include at least two members of the Unclassified Academic Staff. The procedures adopted by the Committee on Tenure and Related Problems appear in the Handbook for Faculty and Other Unclassified Staff.

Sabbatical Leave

Sabbatical leaves are authorized for members of the Unclassified Academic Staff under the terms of the policy of the University with regard to sabbatical leaves and governed by regulations of the Board of Regents. The responsibility of evaluating all sabbatical leave applications has been assigned to the University Committee on Sabbatical Leaves. Leave may be granted, in strictly meritorious cases, to staff members who have served continuously for six years or longer. Leave may be granted for either eleven months at half pay, or five months at full pay; in the former case, the member receives full pay for the twelfth month of the basic appointment. Applications for leave should be submitted on forms available from the Office of Academic Affairs, together with appropriate supporting materials and a statement setting forth the objectives of the leave. These may include the pursuit of advanced study or the obtaining of appropriate industrial or professional experience. Applications should receive the endorsement of the director of the unit and the appropriate vice chancellor. A staff member may submit an application without the endorsement of the director. Such applications will be referred to the appropriate unit and vice chancellor for comment and then will be treated in the same manner by the committee as other sabbatical leave applications taking the normal route. Finally, they require, of course, the approval of the Chancellor prior to submission to the Board of Regents.

The staff member who takes a leave shall sign an agreement to return for at least two full years following leave. If the staff member fails to return or remain in service for the time specified, a proportion of the salary shall be refunded equivalent to the time which the staff member failed to serve in accordance with the agreement. The total number of persons who may be granted sabbatical leave in a given academic year is governed by the Board of Regents. If the number of applications of equal merit found to meet the necessary criteria for sabbatical leave exceeds the number of sabbaticals available, then the determination of those to receive the limited number of places available will be made by the Chancellor based upon the recommendations of the Sabbatical Leave Committee.

These sabbatical leave policies are not applicable to persons supported by externally funded grants and contracts.

Leave Without Pay

A staff member who desires to obtain leave-of-absence without pay may be granted such leave when it is considered to be in the best interest of the University of Kansas. Leave without pay shall be granted for no more than one year at a time, and no more than two consecutive leaves without pay shall be granted.

Vacations

Unclassified Academic Staff members who hold twelve-month appointments shall be entitled to vacation leave in accordance with the policies established by the Board of Regents. Persons holding nine-month appointments are not eligible for vacation leave with pay.

In January of 1979, the Chancellor approved the following statement of personnel policies and procedures for unclassified professional staff members. This statement includes policies on appointment, promotion, leaves, termination and other personnel matters.

a. Personnel Policies and Procedures, Unclassified Professional Staff (Approved January 1, 1979)

Unclassified Professional Staff members of the University are those unclassified, nonstudent employees who are not identified as faculty, residents or academic staff members. These staff members engage in administration, education, counseling, advising, research, and student and public service in support of the missions of the institution.

Initial Employment

Unclassified Professional Staff members shall be selected and appointed in accordance with prevailing policies within the University and the particular department, school, division, or unit; such policies shall include those on appropriate search, interview, and review.

The terms and conditions of each initial appointment must be stated in writing, approved by the appropriate vice chancellor or University director, or his/her designated representative, and communicated to the prospective appointee for written acceptance before the appointment is consummated.

Titles

Titles for Unclassified Professional Staff members reflect the responsibilities and qualifications of the positions and individuals covered under this policy. These titles are selected and approved by the appropriate vice chancellor or University director from those titles available to and approved for use of the University. If the staff member also holds a regular faculty or unclassified academic staff appointment, faculty or unclassified academic staff policies and procedures will apply.

Evaluation The value of regular review and evaluation of the performance and achievements of Unclassified Professional Staff members is recognized. These staff members should expect periodic, regular, and systematic evaluation in accordance with the guidelines and procedures established by the various units of the University.

Professional Development

The importance of professional development for Unclassified Professional Staff members is recognized. Activities which may enhance such development may include conferences, workshops, and professional meetings. Under appropriate circumstances "released time" may be approved for such professional pursuits.

Promotion

Promotion of an Unclassified Professional Staff member must be approved by the appropriate vice chancellor or University director or his/her designated representative. In some areas of the University, promotion may be effected by advancement in title (e.g., from Assistant Director to Associate Director) or by advancement to a different title or position (e.g., from Research Assistant to Assistant to the Vice Chancellor). Promotion shall be made on the basis of meritorious performance.

The University shall at all times seek to attract, retain, and reward the staff member who consistently performs effectively. Promotion, and the usual accompanying salary increase, is an important means of acknowledging such performance. It should be awarded for achievement rather than for mere length of service or as an incentive to greater effort.

Reappointment, Notice of Non-Reappointment, Termination

Unless a limited term of appointment has been stated or previous notice of non-reappointment has been given, all appointments to Unclassified Professional Staff positions will be automatically renewed.

Upon recommendation of the dean or director of the appropriate school or division, notice of non-reappointment will be sent to the holder of such appointment over the signature of the appropriate vice chancellor or University director, or a designated representative. Individuals with three years or more of continuous service should receive notice of non-reappointment at least three months in advance of the expiration date of the annual appointment. Such individuals may be reassigned to other duties during those three months. It is recognized that the positions of some Unclassified Professional Staff members may be funded from externally supported grants and contracts, and that termination of such support provides a bona fide cause for termination of appointment without the usual notice.

For seriously inadequate performance or for other good cause, the employee may be immediately terminated. In such case, the employee will have the right to be informed in writing of the reason for action taken.

In the event of termination because of a discontinuance or reorientation of a program, or termination at any time due to budgetary constraints, the appropriate budgetary unit will assist the affected staff member in seeking transfer to other budgetary units of the University of Kansas, or to other State agencies, or in seeking other employment. If a state of financial exigency impends, no Unclassified Professional Staff member should be terminated solely to create a position for a tenured faculty member.

A staff member who asserts that a decision to give notice of termination, non-reappointment, or dismissal constitutes a violation of established procedures of the University or of the unit, and who has not succeeded in obtaining a favorable reassessment of that decision through the administrative channels through which the original decision was made, is entitled to appeal. Such appeal should be filed with the Judicial Board in accordance with the policies and procedures set forth in Article XIV of the University of Kansas Senate Code and Article V of the University Senate Rules and Regulations.

Resignations

Resignations should always be submitted in writing to the chairperson, dean, or director. Such letters will be forwarded to the appropriate vice chancellor or University director, or designated representative, who wall acknowledge the resignation on behalf of the University. Unless an earlier date is requested and approved, the effective date of the resignation shall be the expiration date of the current appointment. If an earlier date is specified, the date should be established at a time that will not cause a significant interruption of the ongoing work of the department, school, or division. The resignation should be submitted three months in advance of the requested termination date. For purposes of orderly transaction of business, a resignation should normally identify the staff member's future location.

Leaves

Released Time Under appropriate circumstances, upon the recommendation of the dean/director and the appropriate vice chancellor or University director, the Chancellor may authorize released time with pay from regularly assigned responsibilities. Such released time may be granted, in strictly meritorious cases, to an Unclassified Professional Staff member when the project or activity to be undertaken by the individual is considered to be appropriate to the individual's area of competence and in the best interest of the individual and the University. Under appropriate circumstances, professional development travel funds may be made available.

Leave Without Pay A staff member who applies for a leave-of-absence without pay may be granted such leave when it is considered to be in the best interest of the individual and the University. A leave may be granted for purposes such as extended illness, childbearing or rearing, or educational/professional advancement. A written application with the endorsement of the appropriate chairperson and/or dean or director should be submitted to the appropriate vice chancellor or University director, preferably at least 30 days before action by the Board of Regents is expected. Board of Regents' policy states that leave without pay shall be granted for no more than one year at a time and normally no more than two consecutive leaves without pay shall be granted.

Sick Leave All unclassified staff forced to be absent from their duties because of illness or disability are eligible to receive sick leave pay at a rate equal to their usual salary. Sick leave time is accumulated at the rate of one day per month on the payroll. In addition, all such employees on the payroll or on leave status for the academic year 1974-75 are credited with retroactive sick leave equaling ten days for each year of prior service at Regents' institutions, less any compensated days when the employees were absent from duties because of illness or disability.

The official sick leave policy approved by the Board of Regents for the State of Kansas Board of Regents' institutions applies to Unclassified Professional Staff.

Vacation Leave Unclassified Professional Staff members shall be entitled to vacation leave in accordance with the policies established by the Board of Regents. Persons holding nine-month appointments are not eligible for vacation leave with pay.

Retirement

State law provides for mandatory retirement at the age of 70.

Other Areas

Unclassified Professional Staff members are afforded the same benefits as provided for all other unclassified staff, such as group and hospitalization insurance, retirement plans, group life and disability insurance, workmen's compensation, unemployment compensation, retirement benefits, military leave and other privileges and general perquisites. These programs are explained in the Handbook for Faculty and Other Unclassified Staff.

1. Adopted by the 54th Annual Meeting of AAUP, April 26, 1968.
   Also endorsed by:
   • U.S. National Student Association
   • Association of American Colleges
   • National Association of Women Deans and Counselors
   • American Association for Higher Education
   • Jesuit Education Association
   • American College Personnel Association
   • National Catholic Education Association
   • Commission on Student Personnel, American
   • Association of Junior Colleges
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2. The 52nd Annual Meeting of the AAUP endorsed the following statements attempting to delineate professional ethics. Many professional organizations have also adopted codes of ethics by which unethical conduct could be judged.
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