Chapter Five: Faculty Personnel Policies and Procedures

§4-05.01 - General Personnel Procedures

Obligation of Faculty. The obligation of faculty members to participate in making recommendations regarding faculty status of colleagues is a serious responsibility which constitutes an essential element in the operation of the University. All eligible faculty members have a responsibility to participate in meetings of the Professional School, Faculty or Department Personnel Committees for the purposes of reappointment, tenure, promotion and emeritus status.
Eligible Faculty. The definition of faculty members eligible to participate in each type of personnel recommendation is set forth in §4-02.08 (emeritus status); §4-05.03(c) (reappointment); §4-05.04(f) (tenure) and §4-05.05(c) (promotion). For eligibility of faculty members with special status on personnel committees see §4-01.04; for those holding joint appointments as administrators see §4-01.05(d) and (e); for those approaching retirement see §4-05.09(a) and (b).
Quorum. A quorum for meetings of personnel committees regarding reappointment, tenure, and promotion of faculty is eighty per cent (80%) of the eligible faculty of the unit, but no fewer than five persons. In calculating that percentage, faculty on leave of absence or faculty fellowship, Interdisciplinary Committee representatives and administrators holding faculty status in the unit (if not otherwise disqualified) are included, only if their participation in the meeting is in accordance with a modality that has been approved for that Personnel Committee (fully in-person, fully remote, or fully discretionary, where a "fully in-person" meeting is one requiring all participants to be physically present together (in-person), a "fully remote" meeting is one requiring all participants to participate remotely, and a “fully discretionary” meeting is one in which each member of the Personnel Committee is given the discretion to determine their own modality for participating (either in-person or remote)). [See §4-01.05(d)(3)]. In calculating the required number of persons, all fractions shall be disregarded.
Minimum Size of Committees. The minimum number of members composing a personnel committee shall be five. If there are fewer than five eligible faculty members in the unit to constitute the committee, the following procedure shall be followed:
1. If there are three or four eligible faculty members they shall nominate to the Dean two eligible faculty members from cognate areas for each vacancy. "Cognate area" is defined as the same (or a closely related) academic discipline as that of the faculty member under consideration.
2. If there are fewer than three eligible faculty, the Executive Committee of the Faculty Senate, after consultation with the Chairperson and the eligible faculty of the unit, Faculty Senators from the School or unit, and faculty from cognate areas shall nominate to the Dean for each vacancy two eligible faculty members from cognate areas.
3. The Dean shall appoint from among the nominees sufficient faculty members to constitute a personnel committee of five members.
Calendar. Unless otherwise specified in these statutes, the dates applicable to personnel procedures shall be listed in the Personnel Procedural Calendar (Appendix 3c to these Statutes). The Calendar shall be reviewed jointly each Spring by the Administration and the Faculty Senate. In the absence of agreement for change of dates, those specified in the last revision of the Calendar shall continue to apply.
Interdisciplinary Programs. In consultation with members of the executive committee of appropriate rank, the director asks for assessments and evaluations of the relevant areas of the applicant's participation in the program, including teaching and service, and contribution to the specific field represented in the program. The director is responsible for preparing the program report which can be in the form of a letter placed in the applicant's personnel dossier or a report to be read by the program representative at the personnel meeting. In either case, the report is reviewed by members of the executive committee of appropriate rank before it is presented to the departmental personnel committee.
Conduct of Personnel Committee Meetings. The Personnel Committee shall be provided with all relevant material concerning the qualifications of the candidate, including the candidate's education, experience at Fordham and other institutions, evaluation of teaching, research and publications, and University, professional and public service. The Dean has the option of offering material to the Committee. The Personnel Committee may utilize a sub-committee to gather and present such material, and secure such information as the Personnel Committee may require. Appropriate steps shall be taken to secure the opinion of students concerning the candidate's teaching effectiveness. Committee members shall review and discuss the materials concerning candidates. Votes shall be cast by secret ballot at the same meeting. To achieve an affirmative personnel recommendation, a majority of those participating and eligible must vote in favor of the candidate, an abstention having the effect of a negative vote. The presiding officer of the Committee shall transmit the results of the vote and a written summary of the discussion to the Dean. Members of the Committee shall be provided with a reasonable opportunity to read and to comment upon the summary before it is transmitted to the Dean.
1. The presiding officer of the Committee shall be the Chairperson of the Department unless such person is ineligible or the School is not so organized, in which event the Dean shall convene the Committee, which shall elect its own presiding officer.
2. The Chairperson of a Department shall not be eligible to be a member of a Committee which is considering the Chairperson for a personnel recommendation.
3. Except as provided in §4-05.01(g)(2), the Chairperson of a Department shall be a member ex officio, but without vote, in a Personnel Committee which is considering candidates for a status which the Chairperson does not possess. In such cases a chairperson shall not be counted in computing the minimum of five members needed for some committees or the 80% quorum.
4. Administrators who possess the appropriate rank or tenure status who are faculty members in a School, Division or Department may vote as members of Personnel Committee provided they have no further role in making the personnel decision.
5. The Interdisciplinary Program representative at the personnel committee meeting enjoys full participation, voice and vote, in the deliberations and decision. As with other members of the personnel committee, the program representative at the meeting is responsible for justifying the program's vote in writing on the appropriate form to the Dean of the Arts and Sciences faculty.
6. Individual members of the Committee shall complete and transmit a recommendation regarding the candidate directly to the Dean of Faculty or Dean, using the form "Recommendation by a Faculty Member for a Faculty Reappointment (or Promotion, or Tenure, or an Initial Faculty Appointment)". On the form each member shall indicate how he/she voted and why.
Action by the Administration
1. The Dean's recommendation, together with those of the Committee and its individual members, shall be transmitted to the Vice President for Academic Affairs.
2. If the Vice President for Academic Affairs does not concur with the recommendation of the Personnel Committee, an explanation of the reasons therefore shall be given to the Committee at a meeting thereof, after which the Committee may reconsider its recommendation. In any event, the recommendation of the Vice President for Academic Affairs shall be transmitted to the President of the University [see §4-05.04(g)(2)(A)].
3. The final decision shall be made by the President of the University in cases involving reappointment [see §4-05.03(d)(4)], promotion [see §4-05.05(d)(3)], and emeritus status [see §4-02.08].
4. In cases involving tenure, the final decision shall be made by the President of the University with the concurrence of the Board of Trustees, except that if the President does not agree with the negative recommendation of the Personnel Committee tenure may be granted only if the Tenure and Reappointment Appeals Committee, or the Faculty Senate so recommend [see §4-05.04(g)(2)(A)].
5. The faculty member shall be notified in writing of the final decision by the President of the University or the Vice President for Academic Affairs or his designee no later than the date specified in the Personnel Procedural Calendar.
6. Upon request, a written statement of the reasons for the recommendation of the Personnel Committee shall be given to an adversely affected faculty member. In cases where a decision is made upon the basis of a recommendation by an appeals or review committee, or an administrator, a similar written statement of the reasons therefore shall be given to the adversely affected faculty member upon request.
Procedures for Informing Candidates for Contract Renewal, Tenure and Promotion. The Academic Vice President's Office will send to a candidate for reappointment, tenure or promotion the reports by the Chair and the Dean (s) revised only to protect confidentiality. These reports from the Academic Vice President's office will accompany the letter concerning decisions regarding reappointment, tenure or promotion, at the time indicated in the Personnel Procedural Calendar.
Confidentiality. The provisions of §4-07.41 concerning confidentiality apply to all faculty members and administrators involved in the making of personnel recommendations and decisions.
Reconsiderations. Whenever reconsideration of a faculty committee decision is to occur, the committee shall consist of the eligible faculty in the unit together with available members of the original committee, all of whom shall be considered "eligible faculty" - for the purposes of determining a quorum. The provisions of §4-05.01(d), which treat the size of personnel committees, shall apply.

§4-05.02 - Appointment

Authority for Appointment. All appointments to the Faculty and Instructional Staff are made by the President of the University acting through the Vice President for Academic Affairs, except that Teaching Fellows and Graduate Assistants are appointed by the respective Deans.
Period of Appointment. Faculty members are appointed for one or more years, each consisting of a twelve-month period commencing on September 1 (or such earlier date as may be specified in the academic calendar of a particular School). The period of service for each yearly appointment is the academic year of nine months (or its equivalent as specified in the academic calendar of a particular School). In exceptional cases, appointments may be made for a period of less than one year. Appendix 3a discusses normal periods of appointment to non-tenured faculty and instructional staff positions.
Terms of Appointment
1. Except in the case of appointment as visiting faculty (limited to a brief association with the University), and Clinical Staff, all full-time appointments to the Faculty shall be either probationary appointments or appointments with tenure. [See §4-02 for ranks of faculty and instructional staff].
2. The terms and conditions, in writing, of every appointment to the faculty and instructional staff, including a copy of these statutes, shall be transmitted to the appointee by the Vice President for Academic Affairs. Any subsequent modification of the terms of the agreement shall be in writing executed by both the appointee and the Vice President for Academic Affairs.
Procedure in Initial Faculty Appointments
1. All personnel searches must be conducted in accordance with the University's Equal Employment/Affirmative Action policies contained in Appendix 3b.
2. Schools and Departments may establish their own procedures for faculty consultation concerning initial faculty appointments, subject to the provisions of these Statutes.
3. The Chairperson of a Department, or the Dean of a School not so organized, shall initiate the process for authorization and recruitment of prospective faculty members.
4. In the spring, Interdisciplinary Program Directors forward to the Dean of the Arts and Sciences Faculty the program's desiderata and justifications for authorizations, with copies to the Department Chairs affected by the request and to the appropriate deans.
5. The Deans consult with the Department Chairs and the Program Directors to arrive at a determination of hiring priorities.
6. The Vice President for Academic Affairs establishes the official authorizations based on the needs of the Departments and Programs as well as budgetary constraints. The official notification of action will include a statement regarding participation of programs and the procedure regarding hiring.
7. Once a position has been authorized, the Director of the Program concerned by the position will appoint one representative to sit on the personnel committee of the Department which has been authorized to hire in this particular area. The Program representative will be a full voting member of the committee. Only one program will have a representative on the hiring committee. If more than one program has a legitimate interest in the hiring procedure, the decision as to which program will be presented shall be made by the office of the Dean of the Arts and Sciences Faculty.
8. Candidates for appointment to the faculty shall be interviewed by the Department Chairperson, or the search committee Chairperson, who shall be a member of the faculty, at least three faculty members of the unit, at least one of whom shall be tenured, and the Dean(s). In schools not organized by department, the Chairperson of the Search Committee, who shall be a member of the faculty, and at least three faculty members of the unit, at least one of whom shall be tenured, shall interview the candidates. In the case of appointments to the ranks of Associate Professor and higher, two of the interviewing faculty members shall possess the rank of Associate Professor or higher. All other faculty members of the School or Department shall be afforded reasonable opportunity to review the application submitted by the candidate, and when practicable, the opportunity to meet the candidate. The interviewing faculty, the Chairperson, and others who wish to do so, shall submit their recommendations concerning appointment to the Dean. When a position that will serve both Department and Interdisciplinary Program needs has been authorized, the Director or one member of the Interdisciplinary committee in the discipline of the authorized position will serve as a member of the Department's Search Committee.
9. The Dean's recommendation concerning the appointment shall be transmitted to the Vice President for Academic Affairs, together with the faculty recommendations. The Vice President for Academic Affairs shall submit a recommendation to the President of the University. With the approval of the President, the Vice President for Academic Affairs shall negotiate a contract of appointment with the candidate.
10. Except in rare cases, and for compelling reasons, no faculty appointment shall be made over the expressed objection of the faculty of the School or Department.
Probationary Appointments
1. A probationary appointment is intended to provide sufficient time to demonstrate the faculty member's ability and give colleagues the opportunity to observe and evaluate the appointee's performance. Probationary appointments may be made for one year or other negotiated period, and are renewable. Appendix 3a discusses normal periods of appointment to non-tenured faculty and instructional staff positions. The total period of full-time service prior to the acquisition of tenure shall not exceed seven years, including all previous full-time service with the rank of Instructor or higher at institutions of higher learning. Individuals hired at the rank of Professor without tenure may serve a probationary period of one to six years to be determined at the initial contract. For other ranks the minimum probationary period shall be four years at Fordham University. Thus the total full-time service to the profession thereby might exceed seven years [see Appendix 1, the AAUP 1940 Statement of Principles]. In exceptional circumstances the probationary period may be altered as provided in §4-05.04(c)(2)and §4-05.10(f), which treats the relationship between leaves of absence and the probationary period. In the calculation of the period of service at Fordham or another institution, periods of less than a full academic year shall not be included. Probationary periods shall terminate at the end of an academic year.
2. The Chairperson of a Department, or the Dean or designee in Schools not so organized, shall review progress with each probationary faculty member annually.
Summer Session Appointments
1. Faculty members shall be given priority in appointments for the Summer Session.
2. Faculty members interested in teaching in Summer Session shall inform their Chairperson and the appropriate Dean by the date indicated in the Personnel Procedural Calendar.
3. Each faculty member with a contract to teach in the Summer Session will be paid as provided in the contract. The terms of the contracts shall be in accordance with policies established by the University Administration and the Faculty Salary and Benefits Committee.
Temporary Appointments
1. Temporary appointments of faculty shall be made for a period not to exceed one year.
2. A faculty member serving in a temporary appointment is not eligible for renewal but may be considered for appointment to a new probationary or tenured appointment, in accordance with the procedure followed for new appointments. See §4-05.02(d).
3. Service in a temporary appointment shall not be considered part of the probationary period. But see §4-05.04(c).
Terminal Appointments
1. A faculty member on a probationary appointment who receives notice of non-reappointment shall be considered to be on a terminal appointment after the date of notice.
2. Faculty members on a terminal appointment are not eligible for consideration for reappointment or tenure, for participation in selection of chairpersons, and serving on personnel committees.
3. Faculty members on terminal appointments are entitled to utilize the appeals and reconsideration process.

§4-05.03 - Reappointment

Reappointment Generally. Probationary faculty members shall be considered for reappointment prior to the expiration of their contracts.
Norms for Reappointment
1. The decision to reappoint a faculty member shall be based upon the qualifications of the faculty member and the needs of the University.
  1. The qualifications of the faculty member include educational background, performance as a teacher, research and publication, contribution to the work of the School or Department and University, professional and public service. The weight given to each of these factors may vary in the several Schools and Departments. Both past achievement and promise of future contributions shall be considered.
  2. The needs of the University include the particular fields and specializations required by the School or Department, its present and future curricular and research activity, the distribution of the present faculty in terms of rank, tenure and field of specialization; and projected student enrollment.
Composition of the Personnel Committee for Reappointment
The School or Department Personnel Committee shall consist of all tenured faculty in the unit. In addition it includes an untenured Chairperson [see §4-05.01(g)]; administrators tenured in the unit [see §4-05.01(g)]; and additional faculty required to make up the minimum number of five members pursuant to §4-05.01(d). When a faculty member who also serves on a degree-granting Interdisciplinary Committee is presenting an application for reappointment, he/she may request representation by one representative of that interdisciplinary program at the personnel meeting. The Faculty member's formal request is made to the Dean of the Arts and Sciences Faculty on an application form specifically designed for the procedure. The office of the Dean of the Arts and Sciences Faculty forwards a copy of the faculty member's application to the director of the interdisciplinary committee concerned. In consultation with the executive committee, the director nominates, when possible, two members of the program of appropriate rank and familiarity with the applicant's credentials to participate in the personnel committee meeting and returns the information to the office of the Dean of the Arts and Sciences Faculty. The Dean of the Arts and Sciences Faculty, or his designated officer, chooses one of the director's nominees and notifies the director and the department chair of his/her actions.
Procedure for Reappointment
1. At the time indicated in the Personnel Procedural Calendar, the Personnel Committee of School or Department shall review the qualifications of probationary faculty members who have applied for reappointment.
2. Procedures for reappointment shall follow those set forth in §4-05.01, unless otherwise specifically provided in this section.
3. The primary evaluation is made by the tenured faculty of the School or Department whose recommendation shall be accorded the greatest weight and ordinarily shall be determinative of the decision to reappoint.
4. Reappointments to the faculty are made by the President of the University acting through the Vice President for Academic Affairs.
5. Non-faculty members of the instructional staff are reappointed by the Vice President for Academic Affairs.
Notice of Reappointment or Non-Renewal of Contract
1. Written notice of a probationary appointment shall be given to the faculty member by the Vice President for Academic Affairs.
  1. A faculty member in the first year of service shall be notified by March 1.
  2. A faculty member in the second year of service shall be notified by December 15.
  3. A faculty member who has served more than two years shall be informed by May 15.
  4. Where a contract expires during the academic year, the above periods for giving notice shall be observed.
  5. A faculty member whose situation is not provided for in subparagraphs (1) through (3) above shall be notified at least three months prior to the end of the existing contract.
2. The Personnel Procedural Calendar [see Appendix 3c] shall contain the applicable dates.
3. At the time of each contract renewal, the Vice President for Academic Affairs shall advise the faculty member of the projected date of the tenure decision.
Grievance Relating to Reappointment
1. A faculty member who has been denied reappointment may request an informal conference with the Vice President for Academic Affairs, who shall disclose the reasons for the decision, [see §4-05.01(g)(6)]. Following the informal conference, the Vice President for Academic Affairs or his designee shall supply upon request of the faculty member the reasons for the decision in writing.
2. A faculty member who has been denied reappointment may petition the Tenure and Reappointment Appeals Committee to review the case pursuant to §4-07.02.

§4-05.04 - Tenure

Definition. Tenure is a guarantee of continuous appointment until a faculty member retires. The appointment of a tenured faculty member shall be terminated only pursuant to §4-07.13(c) or §4-05.06(b).
Grant of Tenure. The right to grant tenure resides with the Board of Trustees [see §4-05.04(g)(2)(B)].
Tenure Policy
1. Fordham University has adopted the 1940 Statement of Principles of Academic Freedom and Tenure of the American Association of University Professors and the Association of American Colleges, except as modified in (2) below [see §4-04.02].
2. Faculty members being considered for probationary appointment may negotiate with the Vice President for Academic Affairs the extent to which prior full-time teaching experience shall be counted toward tenure at Fordham, which period shall not exceed three years. The length of the probationary period shall be specified in the contract at the time of initial appointment and may not subsequently be changed except as provided in §4-05.10(f), which treats leaves of absence and the probationary period. The maximum full-time service at Fordham in a probationary status shall not exceed seven years.
Norms for Granting Tenure
1. Tenure is granted only to faculty members holding the ranks specified in §4-02.01.
2. The decision to grant tenure shall be based upon the qualifications of the faculty member and the needs of the University.
  1. The qualifications of the faculty member include educational background, performance as a teacher, research and publication, contribution to the work of the School, Division or Department and University, professional and public service. The weight given to each of these factors may vary in the several Schools, Divisions and Departments. Both past achievement and promise of future contributions shall be considered.
  2. The needs of the University include the present and future curricular and research activity in the particular fields and specializations required by the School, Division or Department, the distribution of the present faculty in terms of rank, tenure and field of specialization, and projected student enrollment.
Faculty Role in Recommending Tenure. The primary evaluation of the application for tenure is made by the tenured faculty of the applicant's School or Department. Their recommendations shall be accorded the greatest weight in the decision which is made by the University (see §4-01.02). No appointment conferring tenure shall be made without the positive recommendation of the tenured faculty of the unit, or the Tenure and Reappointment Appeals Committee, or the Faculty Senate, except as provided in §4-05.04(l).
Composition of the Personnel Committee for Tenure. The School or Department Personnel Committee for tenure shall consist of all tenured members of the unit. In addition, it includes an untenured Chairperson [see §4-05.01(g)], administrators tenured in the unit [see §4-05.01(g)] and additional faculty required to make up the minimum number of five members pursuant to §4-05.01(d). When a faculty member who also serves on a degree-granting Interdisciplinary Committee is presenting an application for tenure, he/she may request representation by one representative of that interdisciplinary program at the personnel meeting. The faculty member's formal request is made to the Dean of the Arts and Sciences Faculty on an application form specifically designed for the procedure. The office of the Dean of the Arts and Sciences Faculty forwards a copy of the faculty member's application to the director of the interdisciplinary committee concerned. In consultation with the executive committee, the director nominates, when possible, two members of the program of appropriate rank and familiarity with the applicant's credentials to participate in the personnel committee meeting and returns the information to the office of the Dean of the Arts and Sciences Faculty. The Dean of the Arts and Sciences Faculty, or his designated officer, chooses one of the director's nominees and notifies the director and the department chair of his/her actions.
Procedure for Deciding Tenure
1. The candidate shall apply for tenure on or before the date specified therefore in the Personnel Procedural Calendar.
2. The procedure for tenure shall follow the procedures set forth in §4-05.01 unless otherwise specifically provided.
  1. If the President of the University desires to confer tenure upon a faculty member who has not received a positive recommendation from the Personnel Committee of the School or Department, or from the Tenure and Reappointment Appeals Committee, the President shall refer the matter to the Faculty Senate. No appointment conferring tenure shall be made without a favorable recommendation of the Personnel Committee, the Tenure and Reappointment Appeals Committee or the Faculty Senate.
  2. Pursuant to authority granted by the Board of Trustees, the President of the University shall grant tenure as provided and shall so notify the faculty member.
  3. The faculty member shall be notified by the Vice President for Academic Affairs of a decision not to confer tenure no later than the date specified in the Personnel Procedural Calendar.
Early Application for Tenure. The University may grant tenure to a faculty member who has completed less than the usual probationary period, when the candidate has fulfilled in an exceptional way the norms enumerated in §4-05.04(d). An application for early tenure shall be accepted only when the Dean of the School, after consultation with the Chairperson and the Vice President for Academic Affairs, grants permission. Denial of early tenure shall not prejudice application for tenure in a subsequent year.
Notification Concerning Tenure. Prior to the end of the penultimate year of the probationary period, notice shall be mailed to the faculty member pursuant to Appendix 3c [Personnel Procedural Calendar] advising whether tenure will be granted [see §4-05.02(e)].
Effective Date of Tenure. Grants of tenure are effective on the first day of September following notification thereof.
Denial of Tenure
1. A faculty member who has been denied tenure may request an informal conference with the Vice President for Academic Affairs, who shall disclose the reasons for the decision. Following the informal conference the Vice President for Academic Affairs shall supply upon request of the faculty member the reasons for the decision in writing [see §4-05.02(e)].
2. A faculty member who has been denied tenure may appeal the decision to the Tenure and Reappointment Appeals Committee. The petition shall indicate the respects in which it is alleged that the matter did not receive proper consideration on procedural or substantive grounds. The procedures of the Committee are set forth in §4-07.02 and §4-07.03.
Tenure at the Time of Hire: Persons being appointed from outside the University (including certain academic administrators) may receive a tenured faculty appointment at the time of hire. Initial appointment may be made at any rank for which a candidate is qualified. The Personnel Committee of the applicant’s proposed home department/area/school, as in all tenure decisions (§4-05.04(e)) undertakes the primary evaluation of the applicant for tenure. That personnel committee should apply the same standards to all applicants for tenure but may choose to adopt expedited procedures in the tenure process for a scholar with an established reputation who has been tenured at another institution, such as making its decision on the basis of the candidate’s application dossier. The applicant will receive a tenured offer on Fordham’s faculty as a result of this expedited process if and only if the Personnel Committee of the proposed home department/area/school positively recommends tenure, and then the dean, the Provost, and the President of the University judge such an appointment to be warranted. The University Tenure Review Committee, subsequent to the recommendations of the Deans and the Provost, shall review any positive tenure recommendations by Departmental or Professional School Faculty (with the exception of the Law School) as specified in §4-06.09c, and shall make its recommendations to the President of the University.

§4-05.05 - Promotion

Norms for Promotion. The norms for promotion and qualifications for each rank are described in Chapter 4-02. Although each of the qualifications must be included in the evaluation of a particular candidate for promotion, the weight given to each may vary in the several Schools, Divisions and Departments. Length of service in a particular rank and adequate performance of regular duties do not in themselves constitute sufficient grounds for promotion. The greatest weight is given to evaluations of a candidate by faculty colleagues [see §4-01.02].
Eligibility for Promotion
1. Eligible faculty are those who meet the qualifications for the desired rank and who make application for promotion, subject to the restriction in paragraph (2).
2. An untenured faculty member is not eligible for promotion to the ranks of Professor and Associate Professor in the year immediately preceding the year in which a tenure decision is to be made. A promotion application may be filed in the year in which tenure is to be decided, but shall not be acted upon until after the tenure decision is announced.
3. A faculty member appointed as Instructor who completes the terminal degree may be promoted to Assistant Professor by the President of the University, without formal application process, effective immediately upon receipt by the Vice President for Academic Affairs of official notification that all requirements for the degree have been completed.
Composition of Personnel Committee for Promotion. The School or Department Personnel Committee shall consist of all tenured members of the unit who hold the rank (or higher rank) for which the candidate is applying. In addition it includes the Chairperson regardless of rank [see §4-05.01(g)], administrators tenured in the unit [see §4-05.01(g), and additional faculty required to make up the minimum number of five pursuant to §4-05.01(d). In Schools organized by Departments the Dean shall appoint two additional faculty members from a School or Department other than that of the candidate, except where the application of §4-05.01(d) has resulted in the appointment of such members. When a faculty member who also serves on a degree-granting Interdisciplinary Committee is presenting an application for promotion, he/she may request that at least one of the two personnel committee members from outside the department shall be from the interdisciplinary program. The applicant will submit a list of names from the program to the program director who will propose, when possible, two nominees to serve as one of the outside members of the departmental committee to the chair of the personnel committee and to the Dean of the Arts and Sciences Faculty. The chair of the personnel committee communicates his/her recommendations for the other outside member of the personnel committee to the office of the Dean of the Arts and Sciences Faculty. The Dean of the Arts and Sciences Faculty, or his designated officer, chooses one of the director's nominees and one of the chair's nominees to serve as outside members of the personnel committee and notifies the director and the department chair of his/her actions. When additional faculty members from outside the unit are appointed, they are computed in establishing the minimum number of five at the 80% quorum.
Procedure for Promotion
1. The candidate shall apply on or before the date specified in the Personnel Procedural Calendar.
2. The procedure for promotion shall follow those of §4-05.01 unless otherwise specifically provided.
3. The decision to promote a faculty member shall be made by the President of the University, who shall notify the applicant of the decision.
4. With the exception of promotions to Assistant Professor, promotions become effective at the beginning of the academic year following notification.
Grievance Relating to Promotion
1. A faculty member who has been denied promotion may request an informal conference with the Vice President for Academic Affairs, who shall disclose the reasons for the decision. Following the informal conference, the Vice President for Academic Affairs shall supply upon request of the faculty member the reasons for the decision in writing.
2. A faculty member who has been denied promotion may petition the Faculty Hearing Committee pursuant to the provisions of §4-07.21.

§4-05.06 - Procedure for the Appointment of University Professor
For University Professor, the President of the University will consult with a faculty committee of five senior faculty members from appropriate disciplines to be chosen by the President in consultation with the Faculty Senate.

If the nominee should seek an appointment in a faculty of a particular school or department, the following procedures will be used. Supporting materials for nominees already appointed to the University will include recommendations from departmental chairs (where the nominee is a member of a department) or personnel committees, dean(s), and at least two external referees. Supporting materials for nominees being newly appointed to the university will include recommendations from members of personnel committees with the rank of full professor, departmental chairs (where the nominee will be appointed to a department) or search committees, dean(s), and at least two external referees. After reviewing the complete nominations, the committee will make recommendations to the Academic Vice President to be forwarded to the President of the University for the nomination of University Professor(s) to the Board of Trustees.

§4-05.07 - Procedure for the Appointment of Distinguished Professor
Nominations for the title of Distinguished Professor may only be made by academic units. The nomination process is initiated by a two-thirds vote of all Full Professors from the academic unit recommending appointment of one of its members to the rank as defined in §4-02.04, above. (For units in which there are fewer than five Full Professors, the procedures in §4-05.01.4 will be followed.) The academic unit's recommendation will consist of the vote, a report, and supporting materials that include evaluation of at least four external letters of recommendation. The recommendation shall be submitted to the dean of the faculty of the nominee's academic unit by December 1. The dean shall review the vote, the report, and supporting materials, and make his or her recommendation regarding the nomination to the Provost.

Following nomination by the academic unit and recommendation by the relevant dean and the Provost, the President of the University will appoint a committee composed of individuals with the rank of Full Professor from a slate recommended by the Faculty Senate. The Senate's slate shall not include any faculty from the nominee's academic unit. This ad hoc committee appointed by the President shall review the recommendations of the academic unit, the dean, and the Provost, along with all supporting materials, to establish whether the nominee "is a person of preeminence in the relevant field who has demonstrated exceptional achievement deserving of special recognition" as set forth in §4-02.04. The ad hoc committee appointed by the President may solicit additional supporting material at its discretion. The review process shall be completed within six months of the academic unit's recommendation. Only a nominee who receives a favorable recommendation by the majority of the members of the ad hoc committee appointed by the President will be sent by the Provost for recommendation to the President of the University for appointment to the rank of Distinguished Professor by the Board of Trustees. Decisions relating to the nominations for or appointment to Distinguished Professors are not subject to grievance before the Hearing Committee, but irregularities in the nomination or appointment process may be appealed to the Faculty Senate's Executive Committee by the academic unit's nomination committee.

§4-05.08 - Termination of Appointment

Termination by Faculty Member. A faculty member may terminate an appointment effective at the end of the academic year, which for this purpose is deemed to be August 31. Notice should be given to the Chairperson, Dean and Vice President for Academic Affairs at the earliest opportunity.
Termination by University
1. In General. The University shall terminate a tenured appointment, or a probationary appointment before the end of the stated term, only pursuant to the provisions of §4-07.13, or as stated in paragraphs (2) or (3) herein.
2. Termination Due to Financial Exigency or Discontinuance of a Program of Instruction
  
  (i) instructional staff other than those specified in (ii) and (iii) below.
  (ii) untenured faculty.
  (iii) tenured faculty.
  
  Termination shall occur in inverse order of seniority within each category, and within each tenuring unit, based on date of appointment. Exception to the above order of termination may be granted in individual cases where it is essential for the maintenance of the integrity of academic programs, upon the recommendation of the Dean and/or the Chairperson and the University Tenure Review Committee. Such exceptions shall be granted only in rare cases and for compelling reasons.
  1. Before formally determining the existence of financial exigency in the University or a School thereof, which may require the termination of appointment of any tenured faculty member, or any member of the faculty in probationary status before the end of the stated term of appointment, consultation shall be had with the Faculty Senate in executive session.
  2. Before deciding to discontinue any program of instruction which may require the termination of appointment of any tenured faculty, or any member of the faculty in probationary status before the end of the stated term of appointment, the President of the University or designee shall consult with the relevant School Council, or if there is none, with the Faculty Senate.
  3. Before the termination of appointment of any member of the tenured faculty, or any member of the faculty in probationary status before the end of the stated term of appointment, for reasons of financial exigency or discontinuance of a program of instruction, the President of the University shall consult with and receive the recommendations of the Faculty Senate.
  4. The Board of Trustees shall ultimately determine the existence of financial exigency or the need to terminate a program of instruction.
  5. Before terminating faculty appointments due to financial exigency or discontinuance of a program of instruction, the University shall make every effort to place affected faculty in other suitable positions.
  6. The order of termination shall be:
  7. In every case of termination of faculty due to financial exigency or discontinuance of a program of instruction, the faculty member shall be given notice as soon as possible, and never less than twelve months notice, or in lieu thereof, severance pay for one academic year.
  8. If a tenured appointment is terminated for financial exigency or discontinuance of a program of instruction, the faculty member's position shall not be filled within a period of two years, unless the faculty member has been offered reappointment and a reasonable time within which to accept.
  9. The Faculty Hearing Committee shall have jurisdiction to entertain appeals by individual faculty members who claim to be aggrieved by violation of the provisions of this section.
Disability. The University may terminate the appointment of a faculty member in the exceptional circumstance wherein a prolonged disability which clearly prevents the adequate performance of duties has been found to exist by the Faculty Hearing Committee, to which the matter has been referred by the President of the University.

§4-05.09 - Retirement

The normal retirement age for all faculty members of the University is 65. A faculty member may, however, continue full-time employment. Faculty members retain tenure until actual retirement.
Prior to retirement, a tenured faculty member may irrevocably elect to continue upon a less than full-time basis, with the approval of the Vice President for Academic Affairs. In such case, the faculty member retains tenure and voting rights only if the appointment is on at least a half-time basis.

§4-05.10 - Leaves of Absence

With Pay. Leaves of absence with pay may be granted for the following purposes:
1. Faculty Fellowship
  1. Purpose. Academic Year Faculty Fellowships and Summer Faculty Fellowships are awarded to tenured faculty and non-tenured tenure track faculty to carry out study and research required for academic development. In order to encourage those who can make a balanced and long-range contribution to the University, awards are made on the basis of demonstrated research competence of the applicant, the value of the project submitted and its potential contribution to the University and to the professional development of the faculty member. Fellowships awarded to non-tenured tenure track faculty members are expressions of encouragement on the part of the University for the faculty member to pursue the scholarly study proposed, but in no way indicate assurance of reappointment, the granting of tenure, or long-term need for the faculty position.
  2. Duration. Faculty Fellowships will be granted for one or two terms of the regular academic year. Summer Fellowships will be granted for two summer months.
  3. Stipend. The stipend for a Faculty Fellowship shall be the equivalent of half salary for two terms or full salary for one term of the regular academic year. Stipends for summer awards will be $5000. Faculty who receive Summer Fellowships are not eligible to teach in Summer Session. The recipient of a Faculty Fellowship shall not be disqualified from salary increases or other benefits to which the recipient would otherwise be entitled.
  4. Eligibility. Faculty Fellowships for a semester or for the academic year are granted to tenured faculty and non-tenured tenure track faculty. A non-tenured tenure track faculty member is eligible to apply for an Academic Year Faculty Fellowship after his/her first reappointment. The grant of an Academic Year Faculty Fellowship is contingent upon the faculty member's being granted a second reappointment. All tenured and tenure track faculty are eligible for Summer Fellowships, but non-tenured tenure track faculty especially are encouraged to apply. To be eligible for the Summer Fellowship non-tenured tenure track applicants should have already received the terminal degree, and have been subject to at least one contract renewal which has resulted in the issuing of a two-year contract beyond the initial contract period. In no case will a non-tenured tenure track faculty member be eligible to hold a Summer Fellowship that begins before the start of the second summer of affiliation with the University. Recipients of Summer Fellowships become eligible to hold another Fellowship (either Summer or Semester/Academic Year) when that Fellowship begins two years after the expiration of the Summer Fellowship. Retroactive to Fall 2011 or the semester in which the last Fellowship was taken, whichever is more recent for a given faculty member, the opportunity to hold an Academic Year Faculty Fellowship accrues over time. Faculty members earn one Faculty Fellowship credit per semester; they earn the right to submit one Faculty Fellowship Application once they have accrued seven credits. If a faculty member takes a semester fellowship at full pay, seven credits are removed from the faculty member's "Faculty Fellowship Bank." If a faculty member takes two semesters at half pay, seven credits are removed from the faculty member's "Faculty Fellowship Bank." If a faculty member takes two semesters at full pay, fourteen credits are removed from the faculty member's "Faculty Fellowship Bank". Unused credits may be used for future Faculty Fellowship Application. Faculty with a sufficient number of credits may apply for partial or full funding of a second consecutive semester on Fellowship. Faculty cannot take Faculty Fellowships for more than two consecutive semesters.
  5. Procedure. Applications for Faculty Fellowships (procured from the Office of the Vice President for Academic Affairs) are evaluated by the Chairperson and by the Dean, and transmitted, along with the evaluations, to the Associate Vice President for Academic Affairs, who after consultation with an Advisory Committee on Faculty Fellowships appointed by the Vice President, shall transmit to the President of the University the names of those applicants who are recommended by the Vice President to be recipients of Fellowships. Academic Year Faculty Fellowships for tenured faculty and Academic Year Faculty Fellowships for non-tenured tenure track faculty will be evaluated independently. The President of the University shall notify the successful applicants. The dates for filing and notification are set forth in the Personnel Procedural Calendar (Appendix 3c).
  6. Report. At the conclusion of the Fellowship period, the faculty member shall submit a report to the Chairperson, Dean and Vice President for Academic Affairs.
  7. Additional Support. Faculty members are encouraged to apply for grants and fellowships from government agencies and academic societies to supplement their Faculty Fellowships.
2. Sick Leave. See Appendix 4.
3. Pregnancy-Related Disability Leave
  1. A faculty member who is pregnant shall inform their Chairperson or Dean of the expected date of birth in sufficient time to allow for academic planning, but no later than 4 weeks prior to the start of the semester.
  2. In accordance with New York State (NYS) Disability Law, a faculty member shall be granted leave for a period during which they are unable to perform their regular duties by reason of pregnancy [see Appendix 4].
  3. If a faculty member desires to have a period of family leave beyond the period specified in Appendix 4, A-14, they may choose to apply for Academic Workload Relief (See Appendix 4, A-16) simultaneously with NY Paid Family Leave under the terms of that law.
  4. Faculty members shall apply for Pregnancy-Related Disability Leave through the Office of Human Resources, after notifying the Chairperson or Dean of the need for such leave. The Office of Human Resources will determine whether to grant the leave, in accordance with NYS Disability Law.
4. Other, when deemed to be in the interest of the University.
Without Pay. Leaves of absence without pay may be granted for the following purpose, for one-year periods, which may be renewed in exceptional circumstances:
1. Study and research
2. Reasons of health
3. Other, when deemed to be in the interest of the University.
Family-Related Leave. Faculty members (tenured or untenured) may apply for a family-related leave in order to care for family members or other dependent persons.
1. Such a leave may be full time without pay but including benefits, or part time with pay proportional to teaching and faculty responsibilities.
2. Family-related leaves are limited to two years in any six year period, whether the leaves are full or part time.
Considerations. In granting leaves, the University takes into account the effect which the absence of the faculty member will have on the program of the School, Department or Division to which the faculty member is appointed, and the amount of money available. The University shall endeavor to enable faculty members to take advantage of special grants and opportunities for which a leave of absence is appropriate.
Application. Faculty members shall apply for leaves of absence through their Chairpersons and Deans pursuant to the Personnel Procedural Calendar (Appendix 3c). Leaves of absence are approved by the vice President for Academic Affairs, except as provided in subdivision (a) above.
Probationary Faculty. Time spent by an untenured faculty member on leave of absence is included in the probationary period prior to tenure unless otherwise stipulated in writing by the Vice President for Academic Affairs at the time the leave is granted, after consultation with the appropriate School or Department.
Vote. Faculty members on leaves of absence may vote in School, Division or Department meetings during the period of leave only if they are present in person. In such cases they are counted in determining the presence of a quorum.
Fringe Benefits. Fringe benefits applicable to faculty members on leave are set forth in Appendix 4.