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Princeton University
Office of the Dean of the Faculty

Rules and Procedures of the Faculty of Princeton University and Other Provisions of Concern to the Faculty

Last printed June 1994; Last updated October 2012

CHAPTER IV: THE FACULTY

A. Appointment and Advancement of Professors

1. All proposals for appointment or advancement in salary of Professors shall be made in writing by the Chair of the department concerned and sent to the Dean of the Faculty for transmission to the President. Appointment of Professors shall normally be made only after formal consultation (a formal vote taken at a meeting) with the Professors and the tenured Associate Professors having full or joint appointments in the department. Proposals for advancement in salary of Professors shall be made by the Chair of the department. In cases of joint appointment, action is taken in each of the departments involved.

These proposals shall be presented by the President to the Faculty Advisory Committee on Appointments and Advancements. After consultation with this Committee, the President recommends to the Board of Trustees such action as he or she may deem proper.

2. Professors are appointed without express limitation as to term (i.e., having continuing tenure). Proved abilities as an outstanding scholar and teacher with the capacity to make important contributions to the department shall be essential qualifications for appointment as professor; qualifications for making other contributions to the welfare of the University shall also be taken into account.

3 . In recommending a Professor for advancement in salary, the quality of scholarship and teaching shall be primary considerations and service to the University community an important consideration.

B. Appointment and Advancement of Associate Professors

1. All proposals for appointment, reappointment, or advancement in rank or salary of Associate Professors shall be made in writing by the Chair of the department concerned and sent to the Dean of the Faculty for transmission to the President. They shall normally be made only after formal consultation (a formal vote taken at a meeting) with those Professors having full or joint appointments in the department. Associate Professors shall also be consulted with regard to the appointment of Associate Professors. In cases of joint appointment, action is taken in each of the departments involved.

These proposals shall be presented by the President to the Faculty Advisory Committee on Appointments and Advancements. After consultation with this Committee, the President recommends to the Board of Trustees such action as he or she may deem proper.

2. The first appointment to the Faculty in the rank of Associate Professor may be for a term of up to three years. The service of the appointee shall then terminate unless he or she is reappointed. Departments shall recommend action in such cases not later than December first of the final year of the appointment. In an exceptional case, the appointee may be reappointed for one year only; otherwise reappointment is without express limitation as to term (i.e., with continuing tenure).

Departments may recommend that the initial appointment of an Associate Professor be without express limitation as to term (i.e., with continuing tenure). Associate Professors who are promoted to that rank hold appointment without express limitation as to term (i.e., with continuing tenure).

3. Proved abilities as a scholar and teacher shall be essential qualifications for recommendation of appointment as Associate Professor; qualifications for making other contributions to the welfare of the University shall also be taken into account in making any such recommendation.

4. In judging and recommending any Associate Professor for advancement in rank or salary, or for reappointment, departments shall make the quality of scholarship and teaching primary considerations and service to the University community an important consideration.

C. Appointment and Advancement of Assistant Professors

1. All proposals for appointment, reappointment, or advancement in rank or salary of Assistant Professors shall be made in writing by the Chair of the department concerned and sent to the Dean of the Faculty for transmission to the President. They shall normally be made only after formal consultation (a formal vote taken at a meeting) with the Professors and Associate Professors having full or joint appointment in the department.

2. All proposals concerned with the reappointment or advancement in rank or salary of Assistant Professors shall be presented by the President to the Faculty Advisory Committee on Appointments and Advancements. After consultation with this Committee, the President recommends to the Board of Trustees such action as he or she may deem proper.

3. The normal initial appointment of an Assistant Professor is for a three-year term.

An Assistant Professor may be recommended for reappointment for a second three-year term. He or she shall be notified not later than December first of the third year of his or her initial appointment whether or not the department recommends reappointment for a second three-year term. The Chair of the department shall submit to the Dean of the Faculty the department's recommendation, and the material on which it is based, for consideration by the Faculty Advisory Committee on Appointments and Advancements. Whatever the recommendation, the material submitted to the Dean of the Faculty shall include a written report evaluating the Assistant Professor's performance and promise according to the criteria in paragraph IO below and stating, in full, the grounds for the department's recommendation.

If the department's recommendation is to reappoint, the Committee shall advise the President regarding the recommendation. If the department's recommendation is not to reappoint, the Committee may either (a) let the department's negative recommendation stand or (b) suggest that the department reconsider its recommendation in the light of any comments the Committee may offer. The department shall report to the Dean of the Faculty the results of such reconsideration.

4. Normally an Assistant Professor shall not be appointed in that rank for more than a total of six years. If the Assistant Professor is reappointed for a second three-year term, he or she shall be notified, not later than November fifteenth of the sixth year of appointment, of the department's intention to recommend or not to recommend promotion to Associate Professor.

The Chair of the department shall submit to the Dean of the Faculty the department's recommendation with respect to promotion, and the material on which it is based, for consideration by the Faculty Advisory Committee on Appointments and Advancements. Whatever the recommendation, the material submitted to the Dean of the Faculty shall include a written report evaluating the Assistant Professor's work and potential according to the criteria in IO below and stating, in full, the grounds for the department's recommendation Candidates for promotion and advancement to tenure shall be invited to submit a written evaluation to the department concerning scholarship, teaching, and service to the University and a list of referees. This submission is entirely voluntary; failure to submit may in no way count against the candidate It shall be considered in the department's own evaluation of the candidate and shall be forwarded along with the department's recommendation to the Faculty Advisory Committee on Appointments and Advancements. A department that solicits letters from outside referees for use by the department itself shall take care to consult some referees suggested by the candidate. All letters received by the department shall be forwarded to the Committee on Appointments and Advancements.

If the department's recommendation is to promote, the Committee shall advise the President directly regarding the recommendation. If the department's recommendation is not to promote, the Committee may either (a) let the department's negative recommendation stand or (b) suggest that the department reconsider its recommendation in light of any comments the Committee may offer. The department shall report to the Dean of the Faculty the results of such reconsideration.

When the Faculty Advisory Committee on Appointments and Advancements rejects a departmental recommendation for reappointment or advancement, the Dean of the Faculty shall invite the candidate to a discussion of the case.

5. Only under the following exceptional circumstances and on no more than one occasion may a department recommend an Assistant Professor for an additional appointment of up to three years beyond the normal total of six years: (a) where the type of scholarship in which the Assistant Professor is engaged requires an unusually long period of time to make an adequate scholarly reputation or (b) where for other extraordinary reasons an Assistant Professor has not had adequate opportunity to demonstrate his or her ability and potential as a teacher-scholar. Such an appointment shall not, however, in itself be construed as creating a presumption of eventual attainment of tenure.

6. An Assistant Professor who becomes the parent of a child by birth or adoption will automatically be granted a one-year extension of term by the Dean of the Faculty, upon notification by the assistant professor's department.  The Assistant Professor's service may be extended by one year for each child, including twins and other multiple births or adoptions. Extensions are available to (1) all Assistant Professors in the first term, before the final year of that term; (2) Assistant Professors in the final year of the first term who have been reappointed to a second term; and (3) Assistant Professors in the second term, before the final year of that term.  Notifications of such extensions should be made by the Assistant Professor's department in writing to the Dean of the Faculty as soon as possible after the childbirth and/or adoption, but in no case later than September fifteenth of the year in which a recommendation on the Assistant Professor's reappointment or promotion to tenure must be made. Extensions on grounds of childbirth and/or adoption do not preclude an additional appointment according to the provisions of 5 above.

7. If promotion to Associate Professor does not occur, the sixth year of appointment as Assistant Professor shall normally be considered terminal, unless additional appointment as Assistant Professor occurs as provided in 5 or 6 above, in which case the final year of additional appointment shall be considered terminal. One additional terminal year reappointment may be made. It should be based upon specific agreement in writing with the Faculty member for whom recommendation is made that such further appointment has no implications concerning promotion to tenure at Princeton.

8. In judging and recommending Assistant Professors for further appointment, departments, without being bound by any rule of equivalence, shall take into account prior service at other academic institutions. Assistant Professors may request that a departmental decision on promotion to Associate Professor be made earlier than the sixth year in the rank. If the promotion is denied, the Assistant Professor must be reviewed again at the end of the regular appointment as in 4 above.

9. Appointment to a Bicentennial Preceptorship is for a three-year term which replaces the remainder of the term of appointment as an Assistant Professor. An Assistant Professor, who is appointed as a Bicentennial Preceptor during the first three-year term, may later be appointed for a one-year or two-year term as Assistant Professor to complete six years in the rank, with possible appointment thereafter as provided in 5 and 6 above. No appointment to a Bicentennial Preceptorship shall be made which would come into effect later than the beginning of the fifth year of an Assistant Professorship.

Appointment to a University Preceptorship is held concurrently with appointment as Assistant Professor, normally for a three-year term. However, a Preceptorship expires at the completion of the regular term as Assistant Professor or any extension of that term.

10. In judging and recommending Assistant Professors for advancement in rank or salary, or for further appointment, departments shall make the quality of scholarship and teaching primary considerations and service to the University community an important consideration.

11. Chairs of departments arc required to have annual reviews with Assistant Professors. Each such review is an important occasion in the career of the nontenured faculty member, and the Chair should therefore prepare for the review by consulting with colleagues familiar with the teaching and research of the Faculty member. The Chair should, at the review, explain fully, frankly, and tactfully the department's view concerning the Faculty member's progress and prospects. If the Chair believes that departmental priorities or situations are, or are becoming, adverse to the prospects of a particular faculty member, that information should be conveyed and its implications assessed.

The third-year review of Assistant Professors should be especially frank and thorough. The Chair should appoint a subcommittee consisting of one or more tenured members of the department qualified to review the scholarly work and teaching of the candidate for reappointment. The subcommittee should report formally to the tenured members of the department. The candidate should be informed of useful criticism.

D. Appointment and Advancement of Senior Lecturers

1. The designation of Senior Lecturer is accorded to individuals with a record of significant professional accomplishment and experience who participate in instructional programs on a full-time basis and for whom appointment in one of the three professorial ranks or as Instructor is judged to be inappropriate. The rank of Senior Lecturer shall ordinarily be limited to one individual in each department, with the exceptions of departments in which more than one language is taught, or where curricular needs can be shown to mandate more than one person at that rank, or in the creative arts programs where more than one art is represented. The initial appointment of a Senior Lecturer shall normally be for a three-year period; subsequent appointments are typically for three- or five-year periods.

2. All proposals for appointment, reappointment or advancement in salary of Senior Lecturers shall be made in writing by the Chair of the department concerned and sent to the Dean of the Faculty for transmission to the President. They shall normally be made only after formal consultation (a formal vote taken at a meeting) with the tenured members having full or joint appointment in the department or program.

3. All proposals concerned with the promotion of Lecturers to the rank of Senior Lecturer, or with an initial appointment of five-year period, or with the reappointment or advancement in salary of Senior Lecturers shall be presented by the President to the Faculty Advisory Committee on Appointments and Advancements. After consultation with this committee, the President recommends to the Board of Trustees such action as she or he may deem proper.

4. In the third year that a faculty member is on an initial three-year appointment in the rank of Senior Lecturer, the department shall review the appropriateness of extending the appointment for what is typically either a three- or a five-year period and shall notify the candidate not later than December first whether or not the department recommends reappointment for a second term. In the third year that a faculty member is on a second three-year appointment or in the fifth year that a faculty member is on a five-year appointment in the rank of Senior Lecturer, the Senior Lecturer shall be notified in writing, not later than December first, of the department's intention (a) to recommend extending the appointment for a five-year period, or (b) that the next year will be the terminal year.

5. A Senior Lecturer who becomes the parent of a child by birth or adoption will automatically be granted a one-year extension of term by the Dean of the Faculty, upon notification by the Senior Lecturer’s department. The Senior Lecturer’s service may be extended by one year for each child, including twins and other multiple births or adoptions. Extensions are available to (1) all Senior Lecturers in a three- or five-year term, before the final year of that term; and (2) Senior Lecturers in the final year of a three- or five-year term who have been reappointed to another term.  Notifications of such extensions should be made by the Senior Lecturer’s department in writing to the Dean of the Faculty as soon as possible after the childbirth and/or adoption, but in no case later than September fifteenth of the year in which a recommendation on the Senior Lecturer’s reappointment must be made.

E. Appointment and Advancement of Lecturers

1. The designation of Lecturer is accorded to individuals participating in instructional programs of the University on either a part-time or a full-time basis for whom appointment in one of the three professorial ranks or as Instructor or Senior Lecturer is inappropriate. Appointment as a Lecturer is normally for one year at a time but, to accommodate curricular needs or certain projects, appointments can be up to three years.  All lecturer appointments are subject to annual or term renewals.  Unless a lecturer is notified in writing by the Dean of the Faculty (not the department chair or program director) that his or her appointment has been renewed, the appointment will terminate on the end date of the current appointment.

2. All proposals for appointment, reappointment, or advancement in salary of Lecturers shall be made in writing by the Chair of the department or Director of the program concerned and sent to the Dean of the Faculty for transmission to the President. Proposals for appointment, reappointment or advancement in salary of full time Lecturers shall normally be made only after formal consultation (a formal vote taken at a meeting) with the tenured members having full or joint appointment in the department. Proposals for appointment, reappointment, or advancement in salary of part-time Lecturers may be made by the Chair or Director without formal consultation with the department.

3. In their sixth year of service teaching more than .40 FTE or 40% duty-time, Lecturers shall be notified in writing either (a) that further appointments as Lecturer shall be for equal to or less than .40 FTE or 40% duty-time, or (b) that the seventh year shall be the terminal year of employment, or (c) that they are being recommended to the Faculty Advisory Committee on Appointments and Advancements for promotion to Senior Lecturer.  Exceptions to the seven-year limit may be made if the department or program can demonstrate to the satisfaction of the Dean of the Faculty (1) that the appointment meets an indispensable academic purpose and (2) that the lecturer meets the highest standards of excellence in this role.

Appointment as Lecturer to teach at a duty-time equal or less than .40 FTE or 40% in an academic year may be renewed on the recommendation of the department and with the approval of the Dean of the Faculty.

4. On recommendation of a department, members of the Professional Staffs who are assigned teaching duties may, during the academic year in which such assignments are made, be designated by the additional title of "Lecturer." This title may be modified, upon recommendation of the department concerned and with the approval of the Dean of the Faculty, by the additional designation "with the rank of Professor" or "with the rank of Associate Professor," as appropriate. During the period of such additional designation, the individual shall be entitled to the voting privileges of the regular Faculty in meetings of the full University Faculty.

5. Lecturers on Continuing Appointment on July 1, 1991 shall retain their title and their appointment without term. No new appointments shall be made with that rank and title.

F. Appointment and Advancement of Instructors

1. All proposals for appointment, reappointment or advancement in rank or salary of Instructors shall be made in writing by the Chair of the department concerned and sent to the Dean of the Faculty for transmission to the President. Proposals for appointment, reappointment or advancement in rank or salary of full-time Instructors shall normally made only after formal consultation (a formal vote taken at a meeting) with the tenured members having full or joint appointment in the department. Those proposals concerned with part-time Instructors may be made by the Chair without formal consultation with the department.

2. Instructors are appointed for a period of one year. An Instructor in the third year of appointment shall be notified before March fifteenth of the department's intention to recommend promotion to Assistant Professor at that time, or within one year subject to specific conditions. Otherwise an appointment for a fourth year as an Instructor shall be considered terminal.

3. In recommending Instructors for further appointment, departments, without being bound by any rule of equivalence, shall take into account prior service at other academic institutions.

4. In recommending an Instructor for advancement in rank or salary, or for further appointment, departments shall make the quality of scholarship and teaching primary considerations and service to the University community an important consideration.

G. General Information

1. The Dean of the Faculty shall seek to ascertain in a systematic way the views of nontenured faculty members on the range and balance of the academic specialties in their departments and on the manner in which decisions on appointments are made in their departments.

The Dean of the Faculty shall also review periodically the practices of all departments with regard to matters important to the quality of life of nontenured Faculty. The results of this review should be communicated to the President and the Faculty. This review should pay particular attention among other issues to:

  • the fairness with which teaching assignments are distributed, taking into account the professional development of the faculty;
  • the manner in which departments select candidates for nominations to Preceptorships;
  • the possible overloading of non-tenured faculty with advising and committee responsibilities; and
  • the extent to which non-tenured faculty are involved formally and informally in determining policies for the department as a whole.
2. The Dean of the Faculty shall produce and make available to all members of the Faculty a written account of the procedures that govern the work of the Faculty Advisory Committee on Appointments and Advancements. This account shall describe the character of the information that the Committee receives from departments and the ways in which the Committee may solicit additional information.

3. Each year departmental Chairs shall invite interested students and student departmental committees to express their views on the range, balance, and quality of instruction in their departments and on other matters relevant to the reappointment and advancement of Faculty members, and shall advise the students and committees that they may forward to the Dean of the Faculty for transmission to the President (and where appropriate to the Faculty Advisory Committee on Appointments and Advancements) comments regarding the quality of teaching by individual members of the Faculty.

H. Affirmative Action

1. One member in each department shall be charged with responsibility for stressing and safeguarding the University's commitment to affirmative action, in at least the following two respects.

a. He or she should keep informed on availability data concerning women and minorities in fields in which appointments are to be made. If the proportion of applicants from these groups is significantly less than the data would lead one to expect, the possible reasons should be explored with colleagues, Chairs, and the Dean of the Faculty with an eye to improving recruiting procedures.

b. He or she should review files of women and minority applicants rejected at the various stages of the appointment procedure, to determine whether any might merit further consideration.

2. The Dean of the Faculty shall ask the departments to report on the measures they have taken to widen their contacts and the manner in which candidates for appointment come to the attention of the department.

3. The Dean of the Faculty shall seek to ascertain whether perceptions of prejudice or bias affected the decisions of those who turn down offers from Princeton.

4. The tenure flow to individual departments shall to be administered with sufficient flexibility to take account of the importance to the University of broadening the Faculty to include more women and minority group members. In special situations, an effort may be made to provide additional positions to departments able to identify and attract distinguished women and minority group members.

I. Compensation and Service Arrangements

1. ARRANGEMENTS FOR PAYMENT OF SALARY

Faculty salaries are paid at the end of each of the ten months from September through June for duties performed during the nine-month academic year, and for the time before academic duties begin in September and after they cease in June.

Arrangements may be made with area banks, or with the Princeton University Employees Federal Credit Union, for monies to be set aside from the employee's academic year salary to cover the summer months when not paid. Arrangements may be made through the Treasurer's Office for the automatic deposit of salary payments in one of the banks in the area approved by Princeton University for direct deposit.

Any payroll-related questions, including those regarding earnings, deductions, tax withholding, direct deposit, and payment schedules, should be addressed to the Payroll Section, Treasurer's Office, New South Building.

2. SUMMER EMPLOYMENT

For those Faculty receiving summer salaries, salaries are paid at a rate of one-ninth of the academic year salary per month. Such appointments do not normally exceed two months' duration and ordinarily include payments from sponsored research funding. University policy does permit the payment of summer salaries for up to 2.5 months, provided that any salary beyond two months is derived from outside sources. Requests for summer salary beyond two months must include a statement that no vacation will be taken during this time. Summer salary payments are made at the end of July and at the end of August. Summer employment must be authorized each year, in advance, through procedures established by the Dean of the Faculty.

3. RELATION OF COMPENSATION TO DUTY ASSIGNMENT

It is the long-established policy of the University that the academic year salary includes compensation for all duty performed during the academic year, whether in teaching, research, or administration. Changes in duty assignment do not, therefore, alter a faculty member's salary. Exceptions to this policy are made only for participation as an Underclass Academic Adviser, service as Chair of an academic department or program, or in other special cases, such as participation in lecture or conference programs not part of the regular University curriculum, authorized by the Dean of the Faculty.

J. Leaves of Absence

1. ABSENCE DURING TERM TIME

An individual member of the Faculty wishing to be absent from the campus for an interval of three or more consecutive days, excluding weekends, during term time (the weeks of classes and the reading and examination periods) shall request permission to do so from the Chair of the department well in advance, and shall make certain that arrangements to meet the Faculty member's teaching and other academic responsibilities have the Chair's approval. The Chair shall refer any unusual requests to the Dean of the Faculty for approval. The Chair shall report all such absences to the Dean of the Faculty at the end of each academic year.

2. LEAVES FOR SCHOLARSHIP

The leave program of the University is designed to assure that Faculty members may be relieved periodically from normal teaching and other University duties in order to pursue scholarship. Leaves are recommended by the Chair of the department on the basis of a Faculty member's proposed program of scholarship, while taking into account the teaching needs of the department. The leave program does not guarantee that each Faculty member receives a specified number of leaves during a given number of years. It is intended rather to provide flexibility in planning both for the individual Faculty member's scholarly pursuits and for the instructional program of the department. At least five semesters must elapse between nonconsecutive leaves of any kind for any one member of the Faculty.

3. QUOTA LEAVES

Leaves with pay for scholarship are administered on the basis of an allocation determined by the number of tenured Faculty in the department rather that on a stated period of service. Quota leaves may be with full pay for one semester or half pay for two semesters in the same academic year. External funds may be used to provide the other half salary so long as these funds do not entail obligations which alter the purpose of the leave.

4. ONE-IN-SIX LEAVES FOR ASSISTANT PROFESSORS IN THE HUMANITIES OR SOCIAL SCIENCES

It is University policy that an Assistant Professor in the humanities or social sciences is granted one semester's leave with full pay or its equivalent during the first three-year appointment.

5. LEAVES FOR BICENTENNIAL PRECEPTORS

A Bicentennial Preceptor is granted one academic year's leave with full pay during the term as Bicentennial Preceptor in addition to the one-in-six leave granted to Assistant Professors in the humanities and social sciences.

6. LEAVES FOR UNIVERSITY PRECEPTORS

A University Preceptor is granted one semester's leave with pay during the term as University Preceptor in addition to the one-in-six leave granted to Assistant Professors in the humanities and social sciences.

7. LEAVES WITHOUT PAY
(INCLUDING LEAVES FOR PERSONAL REASONS)


Leaves without pay may be recommended by the Chair of the department on the basis of a Faculty member's needs, provided that the department's teaching and other functions can be met. In addition to those for scholarship, leaves without pay may be granted for such purposes as the temporary assumption of an important government post, a temporary honorific professorial or administrative appointment, or for personal reasons, including child rearing. Leaves without pay are not, however, granted for regular teaching at another institution.

Normally leaves without pay are granted for no more than one year. Under certain circumstances an extension of one year is permitted, but at the end of that time the University normally requires that the Faculty member either return or resign. In all such cases the Dean of the Faculty shall be consulted at the outset of negotiations with an outside party. All leaves without pay must be approved by the Dean of the Faculty.

8. OUTSIDE ACTIVITIES DURING LEAVES OF ABSENCE

During a leave of absence with full pay, a Faculty member is subject to the same provisions governing outside professional activities that apply when he or she is on regular duty. Normally, a Faculty member on leave with pay shall not teach part-time or full-time at another institution; a request for exception to this rule must be explained fully in the application form for a leave and shall be taken into account at the time the leave application is reviewed.

A Faculty member who applies for a leave of absence with half pay for a whole year, or a leave of absence for a term or year without pay, shall outline the activities to be engaged in during the proposed leave and state whether any professional activities, including teaching, are to be performed during that period.

After a leave of absence, with or without pay, is approved, any significant change in the amount or nature of professional activities to be performed during that leave must be approved by the Dean of the Faculty before any commitment is made with respect to such change.

All of the rules set forth in this and the next section apply during the time that a Faculty member is on leave with full pay. When a Faculty member is on leave of absence with partial pay or no pay, the second and third paragraphs of this section and 4, 5, 6, 8, and 9 of section K. apply.

K. Outside Professional Activities

The following considerations and rules apply to Faculty on full-time appointment. When a Faculty member is on part-time appointment, University obligations, outside activities, and leave of absence arrangements shall be approved by the Dean of the Faculty.

1. A Faculty member on full-time appointment has a primary obligation to the University, and outside professional activities, whether gainful or not, shall not be allowed to interfere with teaching, scholarly research, and other duties in the department or the University.

2. During a calendar year (vacation periods excepted), a Faculty member on full-time appointment shall devote an average of no more than one working day a calendar week to outside professional activity during the academic year and portions of the summer for which salary is drawn through the University. The duty terms for part-time service shall be specified clearly at the time of hiring.

3. The term "outside" refers to professional activities not directly associated with the fulfillment of a Faculty member's teaching, research, and administrative commitments to the University. Such activities generally bring into play the academic expertise of the Faculty member and often bring professional benefits to the Faculty member and the University. They may or may not involve compensation. Before undertaking such activities, faculty members should satisfy themselves that the activities contribute:

a. to teaching and scholarship at Princeton,

b. to communicating and applying special knowledge outside the University, and/or

c. to furthering the common good.

4. In outside professional activities, whether compensated or not, a Faculty member shall not:

a. violate the University's patent policy;

b. permit an outside agent to have a preferred position with respect to information emanating from University activities.

5. In outside professional activities, a Faculty member shall not commit University materials, facilities, students, or personnel for the gain or benefit of an outside enterprise. However, limited use may be made of materials, facilities, and secretarial assistance for service to professional societies in the Faculty member's discipline and in connection with nonpartisan public service. The Chair of the department and the Dean of the Faculty shall be kept informed of such activities. Questions arising out of special circumstances shall be reviewed by the Dean of the Faculty.

6. In outside professional activities, a Faculty member shall take care not to affect adversely either the Faculty member's own independence or the integrity of the University. For example, a Faculty member may not accept a regular and continuing position with significant responsibility for the management of an outside enterprise. Also, a Faculty member may not become a regular and continuing employee of any outside organization, either part-time or full-time, or accept any outside position that would tend to create conflicts of interest with the position in the University.

7. A full-time Faculty member may not teach part-time or full-time on a continuing basis in another institution or hold a regular teaching post or assignment on a continuing basis on the Faculty of another institution. Teaching under the Faculty Exchange Program at Rutgers or at the Princeton Theological Seminary, which involves no overall increase in teaching load or salary income, is an exception to this rule. Acceptance by a Faculty member of a temporary teaching appointment to give a course at an academic institution in the region is subject to approval by the Dean of the Faculty, in line with the policy that Princeton stands ready to assist a neighboring institution which is unable temporarily to fill a regular vacancy or which has a short-term vacancy for such reasons as sickness or leave of absence.

8. A faculty member who provides by way of a restrictive and specific license extensive course materials in electronic form to any other educational institutions or to businesses aiming to profit from enrollment in their courses may be thereby involved in teaching elsewhere. (One indication of this potential conflict of commitment is that (a) the course materials are available to the public only in connection with a course offered by the educational institutions or businesses who hold the license, and (b) the materials constitute a substantial part of the content of a course at such institutions or businesses.) A faculty member who uses electronic media to engage in ongoing educational interaction with students enrolled in a course offered at another institution or through a business aiming to profit from enrollment in its academic courses, where that interaction represents a substantial part of the content of the course, shall be deemed to be teaching elsewhere. Moreover, even in the absence of ongoing educational interaction, a faculty member shall be deemed to be teaching elsewhere if the faculty member allows himself or herself to be listed as a teacher of a substantial part of a course, electronic or otherwise, offered for credit at another institution or at a business. Uncertainties about the application of these principles should be raised with the Dean of the Faculty and with the Faculty Advisory Committee on Policy. The Dean of the Faculty will report periodically to the Board of Trustees on the ongoing implementation of these policies, and the policies themselves shall be reviewed after a period of about three years.

9. A Faculty member shall inform the departmental Chair annually, in writing, of all outside professional activities as part of the regular report on scholarly and other activities. A Faculty member shall also consult with the Chair whenever considering significant new outside professional activities. The Chair shall consult with the Dean of the Faculty concerning any exceptions to these rules and forward for consideration any special circumstances that may arise.

10. Only the Dean of the Faculty may approve exceptions to, or exemptions from, these rules concerning outside professional activities.

L. Retirement

As of July 1, 1994, retirement of tenured Faculty at age 70 is no longer mandatory. Retirement from the University is a voluntary termination. A Faculty member who wishes to discuss retirement should consult with the Chair of the department and with the Dean of the Faculty.

M. Separation as a Result of Disability

A member of the Faculty unable to perform the normal duties because of a disability may be terminated at the option of the University, if a reasonable accommodation will not allow that person to perform the essential functions of the position he or she holds, or if the University is unable to transfer that person into another position for which he or she is qualified.

N. Suspension and Dismissal

1. GROUNDS FOR INVOLUNTARY SUSPENSION, DISMISSAL, OR OTHER DISCIPLINARY ACTION FOR CAUSE:
Adopted by resolution of the Board of Trustees, 2 June 2014, amending policies recorded in Trustee minutes of 9 June 1975 and 25 February2000.

Without either limiting or abrogating any of the powers, duties, and privileges granted by the Charter to the Board of Trustees, the Board of Trustees wishes to reaffirm its long-standing policy of upholding academic freedom and security of academic tenure, and to declare that: A member of the Faculty may be suspended, dismissed, or be subjected to reduction of salary or other workplace restrictions for cause only on the basis of (a) substantial and manifest incompetence, (b) substantial and manifest neglect of duty, or (c) substantial and material misrepresentations in dealings with University officials, including during the appointment process, (d) conduct which is shown to violate the University rules and procedures applicable to a member of the Faculty, or (e) conduct which is shown to substantially  impair the individual's performance of the full range of his or her responsibilities as a member of the Faculty. In the case of (c) an appointment to the Faculty may be rescinded.

Actions taken on these grounds are subject to the procedural rules and safeguards established by the Board of Trustees and stated in paragraphs 2(a), 2(b), and 3 below. It is also the intention of the Board in these matters that a range of penalties be made available so that the nature of the penalty may be commensurate with the nature of the offense.

The Dean of the Faculty, in consultation with the President, may place a member of the Faculty on leave and relieve the Faculty member of teaching, advising and other responsibilities pending a review relating to the Faculty member’s conduct.Placement on leave is not a disciplinary action against a member of the Faculty.  The terms of the leave will be based on the circumstances of the particular situation.

2. PROCEDURES FOR SUSPENSION AND DISMISSAL

a. Suspension: Adopted by resolution of the Board of Trustees, 2 June 2014, amending policies recorded in Trustee minutes of 19 April 1951.

Without limiting or abrogating any of the powers, duties, and privileges granted by the Charter to the Board of Trustees, and without restricting the right of suspension in the first instance residing in the President, the Board of Trustees declares that it is its intention, in case of suspension of a member of the Faculty by the President, to proceed as follows:

Should the Dean of the Faculty determine it is necessary to review the conduct of a Faculty member under this section, the Dean will schedule an initial meeting with the Faculty member to apprise the Faculty member of the circumstances and to offer the Faculty member the opportunity to be heard and to provide additional information.  If, at the conclusion of the Dean of the Faculty’s review, s/he is considering recommending to the President that the Faculty member be suspended, prior to submitting such written recommendation the Dean of the Faculty will again meet with the Faculty member to provide the Faculty member an opportunity to be heard.  After receiving the recommendation from the Dean of the Faculty, the President will request a meeting with the Faculty member.  Following that meeting (or if the Faculty member declines the meeting), if the President accepts the recommendation of the Dean of the Faculty, the Faculty member shall receive a written statement from the President giving the reasons for the proposed suspension.  Upon receiving the statement of reasons, the Faculty member shall be entitled, if the Faculty member requests it within a reasonably prompt time, to a hearing before the Committee on Conference and Faculty Appeal (CCFA), at which time the Faculty member shall have the right to appear and be heard. The CCFA, after considering the case, shall report its opinion, with a statement of the reasons, to the President. If the President decides to continue with the suspension, the President shall report that decision, with a statement of reasons, to a committee of the Board appointed to consider the proposed suspension, with a copy of the statement of reasons provided to the CCFA. Before final action is taken by the Board, the committee of the Board shall meet with the CCFA to discuss the report, at which meeting the Faculty member shall have a right to appear and be heard.

If the Faculty member does not request a hearing before the CCFA, a committee of the Board will be appointed to consider the proposed suspension and submit it to the Board for final action.

b. Dismissal: Adopted by resolution of the Board of Trustees, 2 June 2014, amending policies recorded in Trustee minutes of 15 June 1918.

Without either limiting or abrogating any of the powers, duties, or privileges granted by the Charter to the Board of Trustees, or intending to make any change in the policy which it has followed for many years of upholding the security of academic tenure, the Board of Trustees hereby declares that it is its intention, in case a proposal is brought before it to dismiss from the University a Professor, Associate Professor, or Assistant Professor, to proceed as follows:
 

Should the Dean of the Faculty determine it is necessary to review the conduct of a Faculty member under this section, the Dean will schedule an initial meeting with the Faculty member to apprise the Faculty member of the circumstances and to offer the Faculty member the opportunity to be heard and to provide additional information.  If, at the conclusion of the Dean of the Faculty’s review, s/he is considering recommending to the President that the Faculty member be dismissed, prior to submitting such written recommendation the Dean of the Faculty will again meet with the Faculty member to provide the Faculty member an opportunity to be heard. After receiving the recommendation from the Dean of the Faculty, the President will request a meeting with the Faculty member.  Following that meeting (or if the Faculty member declines the meeting), if the President accepts the recommendation of the Dean of the Faculty, the Faculty member shall receive a written statement from the President giving the reasons for the proposed dismissal.  Upon receiving the statement of reasons, the Faculty member shall be entitled, if the Faculty member requests it within a reasonably prompt time, to a hearing before the Committee on Conference and Faculty Appeal (CCFA), at which time the Faculty member shall have the right to appear and be heard.The CCFA, after considering the case, shall report its opinion, with a statement of the reasons, to the President. If the President decides to continue with the dismissal, the President shall report that decision to a committee of the Board appointed to consider the proposed dismissal, with a copy of the statement of reasons provided to the CCFA. Before final action is taken by the Board, a committee of the Board shall meet with the CCFA to discuss the report, at which meeting the Faculty member shall have a right to appear and be heard.

 

If the Faculty member does not request a hearing before the CCFA, a committee of the Board will be appointed to consider the proposed dismissal and submit it to the Board for final action.



c. Suspension and Dismissal involving Non-professorial Faculty Ranks

Suspension and dismissal involving all non-professorial Faculty ranks are subject to the same procedural rules and safeguards as described in Sections 2.a and 2.b above.
 

3. ACADEMIC STATUS AND PRIVILEGES:
Minutes of the Board of Trustees, 15 June 1959

Without limiting or abrogating any of the powers, duties, and privileges granted by the Charter to the Board of Trustees, and without restricting the powers delegated to the President regarding academic appointments, but recognizing the desire of the Faculty that the Committee on Conference and Faculty Appeal should extend its role to conduct hearings not only on cases of dismissal and suspension (as provided for by the Minutes of the Board of Trustees of 15 June 1918, and 19 April 1951) but also on cases of possible unfair treatment in relation to the appointment, reappointment, or academic duties or privileges of academic personnel, the Board of Trustees declares its approval of the charge and procedures in respect to these matters which were voted for the Committee on Conference and Faculty Appeal by the Faculty in its meeting of 4 May 1959.

The Board of Trustees further declares that, when requested by the Committee on Conference and Faculty Appeal and so determined by the Board, a subcommittee of the Board shall meet with the Committee on questions of possible unfair practice relative to academic status and privileges to discuss the Committee's opinion, shall give the aggrieved person an opportunity to appear and be heard at such a meeting, and shall report its opinion to the Board.