Chapter 04.04 - Faculty

REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.04 - Faculty

P04.04.010. Academic Freedom.

Nothing contained in regents’ policy or university regulation will be construed to limit or abridge any person's right to free speech or to infringe the academic freedom of any member of the university community.

(06-20-97)

P04.04.020. Construction.

This chapter and university regulation shall govern the university system and the institutions therein, regulating the matters contained herein as authorized by law. Nothing contained in this chapter shall be construed to restrict the power of the board to periodically alter, amend, revise, or repeal the provisions hereof in whole or in part from time to time.

(07-01-89)

P04.04.022 . Application.

This chapter and the university regulation promulgated under it shall apply to the university system and are designed and intended for use with appropriate policies and procedures developed for each university and community college. These policies and procedures may differ from each other in their provisions, but no provision may be contrary to or inconsistent with regents’ policy, including Chapter 04.04, or university regulation.

(09-19-14)

P04.04.030. Definitions.

In this chapter, unless otherwise specified or the context requires otherwise, 

1. "academic ranks" means the ranks held by persons having the title of professor, associate professor, and assistant professor; which titles denote academic rank exclusively; the title of instructor may also be a title of academic rank at the discretion of the policies and procedures approved for each university; subject to the provisions of E. of this section; 
2. "faculty" means those persons who have accepted and hold appointment to academic rank or special academic rank; 
3. "non-tenure track position" means a position that does not provide a faculty member any rights to consideration for appointment to tenure; 
4. "policies and procedures approved for each university" means those policies and procedures designed by each university for its own use; 
5. "special academic ranks" means those ranks held by persons having a title or a qualification to a title specified in this paragraph; these titles denote special academic rank exclusively: 
   1. “adjunct” means a person employed to teach one or more courses up to 15 credit hours per year, or other academic assignment at less than 50 percent of a full-time appointment; 
   2. “affiliate” means a person in voluntary faculty service, not employed by the university; 
   3. “clinical” means a person in a special category reserved for practitioners in the health care delivery professions; 
   4. “instructional” means a person employed to teach and perform other faculty functions as assigned; 
   5. “instructor” means a faculty member employed to teach and perform other faculty functions as assigned;
   6. “lecturer” is a person employed to teach full- or part-time; 
   7. “research” means a person in a position supported primarily by grant funding; 
   8. “visiting” means a person employed to perform the faculty functions expected of academic rank for a specific period; 
   9. “collaborating” means a faculty member employed by one unit of the university in voluntary faculty service with another unit; 
   10. “joint” means a faculty member employed by two or more units of the university. 
6. "tenure" means the status of holding a faculty appointment on a continuing basis following evaluation and award according to the terms of P04.04.040.B; 
7. "tenure track position" means a position that may lead to consideration for appointment to tenure as described in the policies and procedures approved for each university; a tenure track position will require the performance of faculty function at least 50% of fulltime; for exceptional cases, and when in the judgment of the chancellor the best interests of the university will be served, a faculty member may be appointed to a tenure track position at less than 100% but more than 50% of a full-time appointment; 
8. “university" means any one of the three universities within the University of Alaska.

Cross-reference: For other definitions applicable to this chapter, see P04.04.040.

(09-19-14)

P04.04.040. Appointment Categories.

The following categories of appointment shall be used to fully specify the type of appointment and associated rights:

1. . Type of Position 
   1. Tenure track position. Faculty appointed to tenure track positions either hold tenure or may become eligible for consideration for appointment to tenure under the conditions stated in P04.04.045. Time spent in these positions shall be counted towards the maximum time by which a tenure track appointee must be considered for tenure for continuation of employment. Faculty appointed to tenure track positions shall have titles of academic rank. 
   2. Non-tenure track position. Faculty appointed to non-tenure track positions have no rights to consideration for appointment to tenure, nor does time spent in these positions count toward tenure, except as otherwise agreed to in writing between a faculty member and the hiring authority at the time of hire into a tenure track position. Faculty appointed to these positions shall have titles of special academic rank. 
2. Tenure Status
   
   A faculty member appointed to a tenure track position may receive tenure only under the conditions of P04.04.045 and 04.04.050. 
3. Faculty rank and title. 
   1. Academic rank. Titles of academic rank shall be the same throughout the university system with the exception of the use of the title "instructor" as set out in C.3. below. Titles designating academic rank exclusively are: assistant professor, associate professor, and professor. 
   2. Special academic rank. Titles of special academic rank shall be the same throughout the university system with the exception of the use of the title "instructor" as set out in C.3. below. Titles designating special academic rank exclusively are: lecturer and titles of academic rank preceded by the terms adjunct, affiliate, visiting, instructional, research, or clinical. 
   3. Instructor. The title "instructor" is to be used for those faculty employed to teach and perform other faculty functions as assigned. A university may, in accordance with the policies and procedures approved for that university, use the title of instructor as a title of academic rank or special academic rank, but not both. 
4. Continuing and fixed term appointments 
   1. 1. Continuing appointment. A continuing appointment is one that is expected to continue unless a faculty member is terminated in accordance with P04.04.047. Continuing appointments shall be given with appointment to academic rank and tenure track positions, with or without tenure. A continuing appointment may be appropriate for an appointment to special academic rank. Continuing appointments may be made for up to three years in duration. Appointment may be renewed subject to limitations imposed by P04.04.045. 
      2. Fixed term appointment. A fixed term appointment is one that is expected to expire at the end of a specified period of up to three years unless renewed or terminated early in accordance with P04.04.047. Such appointments may not be made for periods longer than three years, but may be renewed. Fixed term appointments may be given to a faculty member appointed to special academic rank. 
      3. Terminal appointment. A terminal appointment is a non-tenure track fixed term appointment used when a decision has been made to terminate a faculty member at the end of the next appointment. 
5. Appointments of distinction for faculty. 
   1. Distinguished Professors. Tenured appointment as distinguished professor may be made by the president, subject to a process of review and recommendation established by the chancellor of the MAU in which the faculty member holds tenure. 
   2. Distinguished Visiting Professors. Appointment as distinguished visiting professor shall be made by the chancellor, following consideration of recommendations of the faculty. Such appointment shall be reported to the president and shall be a non-tenure track appointment for a period of time not to exceed three years. These appointments are renewable indefinitely. 
   3. Professor Emeritus or Emerita. Appointment as professor emeritus or emerita is an honor conferred by the chancellor, following consideration of recommendations by the faculty, upon an outstanding retiree of the university as described in Policy and Regulation 04.04.070 – Emeritus Status.

(09-19-14)

P04.04.041. Appointment Year and Appointment Obligation.

1. Unless the terms of appointment otherwise provide, the normal appointment year shall be from July 1 to June 30 or a portion thereof, regardless of payroll mode. The duration of appointment obligation may be for a full year or less as follows: 
   1. Fiscal year obligation. An obligation of service for the full fiscal year, i.e., twelve months;
   2. Academic year obligation. An obligation of service for the academic year as set by each university or community college; 
   3. Institutional year obligation. An obligation of service for any period less than a full year, other than the academic year. 
2. Academic year and institutional year faculty may be required to serve at dates necessitated by a unit's operating requirements.

(04-15-04)

P04.04.042. Faculty Obligation.

1. Faculty obligation may include teaching, research or other scholarly and creative activity, public service, university service and other duties and responsibilities required of a faculty member during the appointment year, and shall be consistent with academic rank and professional or disciplinary field. 
2. A faculty member shall not engage in outside activities that interfere with or are inconsistent with the performance of faculty obligation or are determined to run counter to the provisions of the AS 39.52 (Alaska Executive Branch Ethics Act) or P04.10.030 or R04.10.030 governing conflict of interest.

(04-15-04)

P04.04.043. Method of Appointment.

All appointments shall be made by the chancellor or the chancellor’s designee in accordance with this chapter, university regulation and procedures approved for each university.

(04-15-04)

P04.04.045. Tenure.

1. Tenure is established to assure the academic community an environment that will nurture academic freedom by providing employment security. 
2. The responsibilities rights and privileges of tenure are: 
   1. Performance: A tenured faculty member has a responsibility to maintain high standards of professional performance and conduct. 
   2. Appointment: An appointment with tenure shall be an appointment to academic rank which shall not be affected by changes in such rank and shall be continued until resignation, retirement, or termination. The award of tenure guarantees continuing appointment for at least nine months per year. Any change in fraction of full-time appointment as a tenured faculty member must be by mutual consent of the university and the faculty member. The award of tenure does not exempt a faculty member from changes in policies and procedures approved for each university. 
   3. Locus of tenure: Faculty are tenured within an academic unit or units of a university of the University of Alaska system. 
3. Tenure is not received automatically. It is awarded only following careful consideration of an applicant faculty member in accordance with the methods described in this chapter and the policies and procedures approved for each university. Following consideration of the recommendations of the faculty, the chancellor may grant tenure to faculty who are qualified.
4. Eligibility for consideration for award of tenure:
   1. Criteria. Tenure may be awarded to faculty appointed to a tenure track position and any academic rank. Tenure is not awarded to faculty members holding special academic rank. 
   2. Conditions. A faculty member may request an evaluation for award of tenure during any year of service. However, a faculty member must be reviewed for tenure in accordance with the following: 
      1. Initial appointment to full or associate professor. An initial appointment to the rank of professor may be made with or without tenure. However, faculty receiving such appointments without tenure must be reviewed for tenure no later than the second consecutive year of service. Appointments to full professor may continue beyond the third year only with tenure. Initial appointment to the rank of associate professor also may be made with or without tenure. Likewise, faculty receiving such appointments without tenure must be reviewed for tenure no later than the fourth consecutive year of service. Appointments to associate professor may continue beyond the fifth year only with tenure. 
      2. Promotion to associate professor. Non-tenured faculty undergoing review for promotion to associate professor must also be reviewed for tenure. Promotion to associate professor cannot be made without prior or simultaneous award of tenure. 
      3. Review of assistant professor. All non-tenured faculty appointed at the rank of assistant professor must be reviewed for tenure no later than the seventh consecutive year of service in this rank. Service in this rank or in a combination of this rank and a tenure track appointment as instructor may continue beyond the eighth year only with tenure. 
      4. Review of instructor. Faculty with the title of instructor may be reviewed for tenure only if the title is one of academic rank according to policies and procedures of an individual university. In this case faculty must be reviewed for tenure no later than the seventh consecutive year of service in this rank. Service in this rank may continue beyond the eighth year only with tenure if the title is one of academic rank. 
   3. Years of Service 
      1. Toward mandatory review. In computing total consecutive years of service for determining the time of mandatory tenure review, periods of leave at full salary and sabbatical leave will be included. Periods of leave of absence at partial or no salary shall not be included unless requested by the faculty member and approved at the time the leave is granted. However, regardless of inclusion in the computation of total years, leave of absence shall not be deemed an interruption of otherwise consecutive service. Years of service preceding a break in consecutive years of university employment may be counted only upon agreement between the faculty member and the university at the time of re-employment. 
      2. Partial year of service. A partial year of service which includes at least one semester of full-time faculty service, as in a mid-year appointment, will be included as a full year of service in computing the time of mandatory tenure review only if this year has been included in determining eligibility for any sabbatical leave. 
5. Failure to receive tenure. A faculty member must stand for tenure in the mandatory review year as defined in D.2 of this section. If tenure is not awarded, the faculty member shall be offered a terminal appointment for one additional year of service. A faculty member may stand for tenure prior to the mandatory year of review. In so doing, the candidate may withdraw at any step in the process prior to review by the chancellor. If the decision of the chancellor is to deny tenure, the faculty member shall be offered a terminal appointment. 
6. A faculty member who is offered tenure by a university pursuant to this policy but who declines to accept it may continue to be employed in a manner to be determined by the chancellor of each university.

(04-15-04)

P04.04.047. Termination of Faculty Appointment.

1.  Termination is the severance of the employment relationship of a faculty member which is based on a decision to discontinue an existing employment relationship. Faculty may be terminated under any of the conditions set out in this section. 
2. Non-retention. Non-retention follows a decision not to continue the employment of a non-tenured faculty member in a tenure track position or of a faculty member holding special academic rank and a continuing appointment. The chancellor or the chancellor’s designee will notify the faculty member of this decision in writing not less than: 
   1. three months prior to the end of an appointment expiring at the end of a faculty member's first year of uninterrupted service within the university system, but not later than March 1 for appointments ending in May, June, July or August; 
   2. six months prior to the end of an appointment expiring after the completion of one, but not more than two, years of service within the university system, but not later than December 15 for appointments ending in May, June, July or August; 
   3. twelve months prior to the expiration of an appointment after two or more years of uninterrupted service within the university system. 
3. Failure to receive tenure. Following a decision not to award tenure in the mandatory year for tenure review, the faculty member will receive notice at least twelve months prior to the end of the academic or fiscal year of final service. 
4. Retirement. Retirement eligibility is determined by the Teachers Retirement System, the Public Employees Retirement System of the State of Alaska, or the University of Alaska Optional Retirement Plan. Faculty planning to retire shall notify their supervisor as soon as possible prior to the anticipated retirement date. 
5. Resignation. A faculty member intending to resign from employment with the university system shall file with the appointing authority a written resignation stating the effective date. A faculty member is expected to provide notice adequate to allow for his or her orderly replacement. 
6. Discontinuance of program. When a decision is made to discontinue a program following program review as specified in R10.06.010, a good faith effort must be made to place tenured faculty in another program where appropriate. The chancellor or the chancellor's designee will notify each faculty member of the decision to terminate employment in writing not less than: 
   1. Three months prior to the end of the academic or fiscal year of a faculty member's first year of uninterrupted service within the university system, but not later than March 1 for appointments ending in May, June, July or August. 
   2. Six months prior to the end of the academic or fiscal year after the completion by a faculty member of one, but not more than two, years of service within the university system, but not later than December 15 for appointments ending in May, June, July or August. 
   3. Twelve months prior to the end of the academic or fiscal year after two or more years of uninterrupted service within the university system. 
   4. Should the program be reactivated within two years, a tenured faculty member shall be invited to return to the program faculty. The faculty member must notify the university of the decision to decline or accept within 30 days of receipt of this invitation. 
   5. Notwithstanding the foregoing, faculty on term contracts, including regular term faculty and adjuncts, may be terminated pursuant to the terms of their appointment letter or this provision, but in no event will any required notice exceed the duration of the project, grant, contract or specific end date in the appointment letter. 
7. Reduction in program. When a decision is made to reduce a program following program review under R10.06.010 a good faith effort must be made to retain tenured faculty in preference to non-tenured faculty, or to place tenured faculty in another program where appropriate. The chancellor or chancellor's designee will notify each faculty member of the decision to terminate employment in writing not less than: 
   1. Three months prior to the end of the academic or fiscal year of a faculty member's first year of uninterrupted service within the university system, but not later than March 1 for appointments ending in May, June, July or August. 
   2. Six months prior to the end of the academic or fiscal year after the completion by a faculty member of one, but not more than two, years of service within the university system, but not later than December 15 for appointments ending in May, June, July or August. 
   3. Twelve months prior to the end of the academic or fiscal year after two or more years of uninterrupted service within the university system. 
   4. Should the program be expanded within two years, tenured faculty members shall be invited to return to the program faculty. The faculty member must notify the university of the decision to decline or accept within 30 days of receipt of this invitation. 
   5. Notwithstanding the foregoing, faculty on term contracts, including regular term faculty and adjuncts, may be terminated pursuant to the terms of their appointment letter or this provision, but in no event will any required notice exceed the duration of the project, grant, contract or specific end date in the appointment letter. 
8. Financial exigency. Following a declaration of financial exigency under P04.09 and related university regulation, faculty members are entitled to a minimum of 60 calendar days notice in advance of the cessation of their employment. Notwithstanding the foregoing, faculty on term contracts, including regular term faculty and adjuncts, may be terminated pursuant to the terms of their appointment letter or this provision, but in no event will any required notice exceed the duration of the project, grant, contract or specific end date in the appointment letter. 
9. Cause. Faculty may be dismissed immediately for cause. In this section, “cause” means some substantial shortcoming that renders continuance in employment detrimental to appropriate discipline and efficiency of service including incompetency, neglect of duty, unprofessional conduct, or other conduct that interferes substantially with the continued performance of duties. “Cause” may also include physical or mental incapacity, subject to the requirements of applicable state and federal law.

(09-19-14)

P04.04.050. Evaluation of Faculty.

1. It is the policy of the university to evaluate faculty on a schedule to be set as appropriate for and by each university according to regents’ policy and procedure. Such evaluation shall be the responsibility of the chancellor or the chancellor’s designee. 
2. The purpose of evaluation pursuant to this chapter shall be the appraisal of: 
   1. the extent to which the faculty member has met the professional obligation;
   2. the extent to which the faculty member's professional growth and development has proceeded; 
   3. the prospects for the faculty member's continued professional growth and development; and
   4. the identification of changes, if any, in emphasis required for such growth. 
3. Written documentation of the evaluation shall be made available to the faculty member concerned. These evaluations shall play a major part in determining if the faculty member will receive renewal of employment or be promoted or tenured. 
4. In conducting evaluations pursuant to this chapter, faculty and administrative evaluators may consider, but shall not be limited to, the criteria set out in 1.-7. of this subsection as appropriate to the faculty member's professional obligation. In addition, units may elaborate in writing on these or other criteria that take into account the distinctive nature of the discipline or special university assignment. Criteria may include: 
   1. mastery of subject matter, demonstrated by such things as advanced degrees, licenses, certifications, awards, honors and reputation in the subject matter field; 
   2. effectiveness in teaching, demonstrated by such things as: evaluation by peers; reaction of students as determined by surveys and classroom and laboratory observations; development of improved teaching materials and processes; development of new courses; advising of students; assessments of student achievement; and participation in necessary and routine duties that support classroom performance; 
   3. scholarly and creative activity, which is activity beyond the development of curriculum demonstrated by such things as: success in developing and carrying out significant applied and basic research; work in contributing to the arts; publication in advancing knowledge; and reputation among colleagues and peers both within and without the university; 
   4. effectiveness of public service, demonstrated by such things as: professionally related and publicly recognized service to constituencies external to the university, including public and private sector groups, governmental agencies, elementary and secondary schools, boards, commissions, committees, public interest groups, community groups, businesses, and urban and rural residents; successful design and implementation of technology-transfer programs to external constituencies; application of directed research to the needs of constituencies; recognition, awards, and honors from constituent groups; and reputation among peer deliverers of public service; 
   5. effectiveness of university service, demonstrated by such things as: work on university committees and task forces; participation in faculty governance; colleague assistance; administrative work; and work with students beyond formal teacher-student relationships; 
   6. professional development, demonstrated by such things as: research and other scholarly and creative activity; continuing education or other activities to keep abreast of current developments in the faculty member's fields; and ability to successfully handle increased responsibility in the faculty member's professional obligation; 
   7. total contribution to the university, demonstrated by overall contribution to the mission of the university system and of the individual unit.

(12-11-90)

P04.04.052. Evaluation of Faculty for Tenure.

1. Evaluation of non-tenured faculty for tenure shall be in accordance with this chapter and the policies and procedures approved for each university. The chancellor may award tenure to such faculty as are, in the chancellor’s opinion, qualified and for whom tenure would be consistent with institutional need and mission. The chancellor shall give consideration to the recommendations of faculty and other appropriate sources. 
2. Faculty holding academic rank shall be eligible for evaluation for tenure in accordance with P04.04.045 and 04.04.050. 
3. Policies and procedures approved for each university shall delineate the exclusive process by which the applicant may seek reconsideration of a decision not to award tenure. The process shall allow the applicant to appeal to the president only in those instances in which the chancellor’s action is inconsistent with the recommendations of the reconsideration review body appropriate for each university.

(07-01-89)

P04.04.054. Evaluation of Faculty for Renewal of Appointment.

1. Evaluation of non-tenured faculty for renewal of appointment shall occur at regular intervals in accordance with this chapter and the policies and procedures approved for each university. The chancellor or the chancellor’s designee may reappoint such faculty as are, in the chancellor’s or designee's opinion, qualified and for whom reappointment would be consistent with institutional need and mission. The chancellor or designee shall give consideration to the recommendations of faculty and other appropriate sources as well as to the operating requirements of the university. 
2. All non-tenured faculty holding academic rank or special academic rank are eligible for evaluation for reappointment and must be evaluated in accordance with the terms and conditions of their appointment and with the provisions of P04.04.050 and the policies and procedures approved for each university. 
3. Policies and procedures approved for each university shall delineate the exclusive process by which a faculty member denied reappointment may seek reconsideration of the decision.

(07-01-89)

P04.04.056. Evaluation of Faculty for Promotion.

1. Evaluation of faculty for promotion shall be in accordance with this chapter and the policies and procedures approved for each university. Following the recommendations of the faculty, the chancellor may promote faculty for whom promotion would be consistent with institutional need and mission. 
2. Faculty are eligible to request consideration for promotion to the next highest rank in accordance with P04.04.050 and the policies and procedures approved for each university. 
3. Policies and procedures approved by the chancellor for each university shall delineate the exclusive process by which the applicant may seek reconsideration of a decision not to promote. The process shall allow the applicant to appeal to the president only for decisions regarding promotion to full professor and only in those instances in which the chancellor’s action is inconsistent with the recommendations of the reconsideration review body appropriate for each institution.

(09-19-14)

P04.04.060. Sabbatical Leave.

1. Sabbatical leaves for professional development may be made available to faculty with academic rank who meet the requirements set forth in this section. The objective of sabbatical leave is to increase the faculty member's value to the university and thereby improve and enrich its programs. 
2. Sabbatical leaves shall be granted for study, formal education, research and other scholarly and creative activity, or other experience of professional value and may include associated travel. 
3. Faculty holding academic rank who will have completed at least five consecutive years of service within the university system shall be eligible for consideration to take sabbatical leave during the sixth or subsequent year of service. Applicants who will have completed at least five consecutive years of service within the university system from the date of return from any previous sabbatical leave shall be eligible to be granted another sabbatical leave to be taken during the sixth or subsequent year. In computing consecutive years of service for the purpose of this section, periods of vacation leave and periods of sick leave with salary shall be included. A partial year of service which includes at least one semester of full-time faculty service may be included as a full year of service for the purposes of eligibility for sabbatical leave if also counted as time towards mandatory tenure review. The faculty member must apply for such inclusion in writing. Periods of leaves of absences, other than vacation and sick leave with salary, and periods of part-time service shall not be included but shall not be deemed an interruption of otherwise consecutive service. 
4. Sabbatical leaves may be granted for one academic year or an equivalent period at rates not to exceed six months salary or for one semester or an equivalent period at rates not to exceed one semester's salary. Faculty may, with the prior approval of the chancellor, accept fellowships, grants-in-aid, or earned income to assist in accomplishing the purposes of their sabbatical leaves. In such cases, the chancellor may adjust the sabbatical leave salaries to reflect such income provided that total earnings for the leave period are not less than full salary had the recipient not been on leave. A faculty member on a terminal appointment loses any rights to a sabbatical leave. 
5. Applications for sabbatical leaves shall be submitted to the chancellor through channels and procedures contained in approved policies and procedures. Each application shall include a statement outlining the program to be followed while on sabbatical leave and indicating any prospective income from outside of the university system. 
6. The recipient is obligated to return to the university for further service of at least one appointment period. Failure of the recipient to fulfill this obligation will require the full and immediate repayment of salary and benefits received from the university while on leave, except in extenuating circumstances acceptable to the chancellor. 
7. A written report detailing the professional activities and accomplishments for which the leave was granted and specifying the sources and amounts of additional funds secured for this period shall be submitted by the recipient to the chancellor within three months after returning from leave. 
8. Consistent with provisions of D. of this section, the chancellor may approve such sabbatical leave as the chancellor deems appropriate. A record of such leaves shall be reported to the president annually. 
9. Vacation and sick leave credits shall not be accrued or used during sabbatical leave.

(06-08-90)

P04.04.062. Time Off in Lieu of Annual Leave.

Faculty will receive time off rather than annual leave.

(06-20-97)

P04.04.070. Emeritus Status.

Emeritus status is an honor conferred by the chancellor, president, or Board of Regents upon the outstanding employees of the university upon retirement or separation and is not an automatic recognition of services rendered. The perquisites of emeritus status will be as provided by university regulation.

(06-03-22)

---