Part 1: Faculty Policies and Procedures

(from SECTION III of Governance Manual)

1.1 Faculty Membership Defined

The faculty of the College consists of the teaching faculty (each of whom holds a faculty rank and whose primary responsibility is classroom teaching), the President, the Provost and Senior Vice President for Academic Affairs, emerita/us faculty, professional librarians, and those College administrators who, though their primary responsibilities to the College are other than teaching, have been appointed to the faculty by the President.

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1.2 Responsibilities of the Faculty

1.2.1 Responsibilities of the Teaching Faculty

1.2.1.1 General Responsibility

The teaching faculty as a whole has primary responsibility for such fundamental areas as admission, curriculum, subject matter and methods of instruction, research, selection of new faculty members, faculty status and related matters, and those aspects of student life which relate to the educational process. On these matters the power of review or final decision, lodged in the Board of Trustees and delegated by it to the President, is exercised adversely only in exceptional circumstances, and for reasons communicated to the teaching faculty in writing. Thereafter, the teaching faculty has the right of further consideration and transmittal of its views to the President or, through the President, to the Board of Trustees.

1.2.1.2. SPECIFIC RESPONSIBILITIES

1.2.1.2.1. TEACHING

Faculty are expected to demonstrate in their teaching a command of the subject matter, an ability to communicate, and a capacity to stimulate students. Faculty are also expected to be well organized in their presentation, to be well prepared for classes, to be available to students, to be interested in the development of students, to be fair in evaluation of students, and to be professional in relations with students. Further, faculty are expected to develop as teachers; development is evidenced by such factors as the introduction of new interests, ideas, or techniques in existing courses; the development of new courses; or movement into new subject areas.

1.2.1.2.2. SCHOLARLY ACTIVITIES

Beyond the responsibility of maintaining a superior level of instruction, the teaching faculty are expected to cultivate and to improve their scholarly competence. This may be demonstrated by: published research, artistic production, distinguished performance, activity in professional societies, and other scholarly inquiries as deemed appropriate by the departments and the Committee on Rank and Tenure.

1.2.1.2.3. SERVICE

In addition to responsibilities as teachers and scholars, the teaching faculty participates with the Board of Trustees and the President in determination of long-range plans for the College; selection of the President and other chief academic officers; improvements in the academic curriculum; major changes in the size and composition of the student body; decisions regarding buildings and facilities to be used in the educational work of the College; allocation of finances among competing demands; formulation of policies and procedures relative to salary and ancillary benefits of the teaching faculty; and recommendation of structures and procedures for faculty participation in College governance through membership in the Faculty Assembly and on College councils and committees. As members of the community teaching faculty have the obligations of all citizens. They measure the urgency of these public responsibilities in the light of responsibilities to the students, to their disciplines, and to the College.

1.2.2. RESPONSIBILITIES OF THE PROFESSIONAL LIBRARIANS

1.2.2.1. GENERAL RESPONSIBILITY

The professional librarians as a whole have primary responsibility in the College for such fundamental areas contributing to the educational and research mission of the College: library service, reference service, collection development, bibliographic organization, and control. Professional librarians do not have classroom instructional responsibilities; however, they do have equivalent professional responsibilities commensurate with their role in the library. As members of the faculty, professional librarians have all the privileges and responsibilities of the faculty with the exception of academic rank.

1.2.2.2. SPECIFIC RESPONSIBILITIES

1.2.2.2.1 LIBRARIANSHIP

Professional services in the library include administration, collection building, patron service, and bibliographic organization.

1.2.2.2.2. SCHOLARLY ACTIVITIES

Professional librarians are expected to demonstrate a thorough understanding of and appreciation for scholarship manifested in and through bibliographic research, internal studies of the library, preparation of catalogues and indexes, participation in workshops and professional meetings, and publications.

1.2.2.2.3. SERVICE

Professional librarians are expected to participate in appropriate professional and scholarly organizations, to participate in College governance through membership in the Faculty Assembly and on College councils and committees. As members of the community, professional librarians have the obligations of all citizens. They measure the urgency of these public responsibilities in the light of responsibilities to the students, to the faculty, to the profession, and to the College.

1.2.3. RESPONSIBILITIES OF ADMINISTRATORS WHO ARE MEMBERS OF THE FACULTY

1.2.3.1. GENERAL RESPONSIBILITY

Administrators who hold faculty rank have contractually designated responsibilities that are specific to their positions. Their positions as administrators preclude their election as faculty on College councils and committees.

1.2.3.2. SPECIFIC RESPONSIBILITIES

These are unique to each position and are delineated in the administration position description.

1.2.4. RESPONSIBILITIES OF THE EMERITA/US FACULTY

1.2.4.1. GENERAL RESPONSIBILITY

Emerita/us faculty are expected to support the principles, objectives, and standards of the College in a manner befitting their honored status.

1.2.4.2. SPECIFIC RESPONSIBILITIES

Emerita/us faculty do not have specific responsibilities to the College unless they are contractually retained. If so disposed, they may continue to serve on College councils and committees.

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1.3. FACULTY RANKS

1.3.1. FACULTY RANK: GENERAL POLICY

With the exception of professional librarians, all faculty hold academic rank. There are four primary academic ranks: Instructor, Assistant Professor, Associate Professor, and Professor. Each faculty member is assigned to one of these according to the principles and procedures established for appointment and promotion. In addition to the four primary ranks, there are several academic designations for part-time and short-term faculty not on the tenure track. All faculty are expected to fulfill the responsibilities appropriate to their position on the faculty and each has the rights appropriate to that position.

1.3.2. TENURE TRACK ACADEMIC RANKS

INSTRUCTOR:	The beginning rank, ordinarily assigned to those who have not completed all the requirements for the terminal degree in their discipline.
ASSISTANT PROFESSOR:	The second academic rank, ordinarily conferred upon those who have completed their terminal degree and who have not yet been promoted to the rank of Associate Professor.
ASSOCIATE PROFESSOR:	The third academic rank, ordinarily conferred upon those who have served as assistant professors, have been recognized for superior teaching, and have achieved public recognition in their discipline.
PROFESSOR:	The fourth academic rank, ordinarily conferred upon those who have served as associate professors, have been recognized for superior teaching, and have achieved widespread recognition in their discipline.
PROFESSIONAL LIBRARIAN:	The designation of Professional Librarian is normally conferred on persons possessing the appropriate terminal professional degree. Appointment of Librarians follows the same procedures as those established for appointing other tenure track faculty.

1.3.3. NON-TENURE ACADEMIC DESIGNATIONS

ADJUNCT FACULTY	The designation of Adjunct Faculty is normally conferred on persons who are paid to teach on a course-by-course basis. They may hold other academic or administrative positions. A letter of agreement is issue to them on a semester basis.
LECTURER:	The designation of Lecturer is conferred upon salaried part-time and full-time faculty not on the tenure track.
SENIOR LECTURER:	An appointment to Senior Lecturer may occur after six years of service as Lecturer upon recommendation of the department Chair and approval of the Provost and Senior Vice President for Academic Affairs and the President.
PROFESSIONAL SPECIALIST:	The designation of Professional Specialist is normally conferred on persons who carry out functions of a highly specialized nature and who hold an advanced degree in the relevant discipline.
VISITING:	The designation of Visiting faculty is normally conferred on persons holding short-term appointments with rank. Visiting faculty should meet the qualifications for the rank they hold (e.g. Visiting Assistant Professor or Visiting Associate Professor, etc.)
Faculty Fellow:	The designation of Faculty Fellow is conferred upon individuals who: have long term relationships with the College; teach courses for a graduate program on a regular basis (typically at least one course per year); contribute to the work of designing, implementing, assessing and reviewing their graduate programs; engage in efforts to develop the reputation of their graduate programs outside the College; and participate in recruitment and mentoring of students in ways that exceed the bounds of course instruction (e.g., directing student research, constructing and evaluating comprehensive exams, supervising students in community or field placements, etc.) Faculty Fellows are individuals who bring significant expertise in their fields (normally possessing the terminal degree), but who do not hold a full-time or part-time faculty appointment at the College.

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1.4. APPOINTMENT TO THE FACULTY: TEACHING AND NON-TEACHING FACULTY

1.4.1. APPOINTMENT PROCEDURE

1.4.1.1. CRITERIA FOR APPOINTMENT

The appointment of a member of the faculty is based on a careful evaluation of the individual’s potential for fulfilling the responsibilities of a faculty member and on the needs of the institution.

1.4.1.2. POSITION APPROVAL PROCEDURE

Sixteen months in advance of the academic year of the anticipated faculty vacancies (April 15), the department chair reports in writing to the Senior Vice President and Dean of the Faculty about these vacancies and, if possible, other staffing recommendations of the department. Each recommendation must include appropriate justification. 1 This report is reviewed by the Provost and Senior Vice President for Academic Affairs and the President. By May 15, the administration’s decisions are communicated in writing to the department by the Provost and Senior Vice President for Academic Affairs. Adverse decisions may be appealed first to the Provost and Senior Vice President for Academic Affairs and then to the President.

1 Unless otherwise notified regarding the suspension of hiring.

1.4.1.3. SEARCH PROCEDURE

Upon receipt of position approval, departments will establish search procedures and conduct a search for a candidate in accord with the College’s Equal Employment Opportunity Policy. Normally, all faculty in the department, or a committee selected by them, will review the credentials of applicants for the position.

1.4.1.4. CANDIDATE APPROVAL

Except in extraordinary circumstances, the department originates the recommendation for filling approved positions. Faculty vacancies should be filled between December 15 and April 15. The department sends credentials of the candidates and the recommendation of the departmental faculty to the Provost and Senior Vice President for Academic Affairs who consults with the President. The Chair of the search committee will invite the candidate to the campus for interviews. Candidates who visit the campus will be reimbursed for their travel expenses according to the policies described under travel reimbursement.

1.4.1.5. CANDIDATE INTERVIEWS

All members of the department shall have the opportunity to interview the candidate. Candidates will be interviewed by the Provost and Senior Vice President for Academic Affairs and the President. Normally, candidates are expected to make a presentation to students and faculty. After the interviewing process is completed, the department will evaluate all of the candidates. The department chair will then forward the recommendation of the department to the Provost and Senior Vice President for Academic Affairs. To this recommendation the department will append student evaluation for each candidate interviewed.

1.4.1.6. INVITATION TO JOIN FACULTY

Upon a positive decision, the Provost and Senior Vice President for Academic Affairs will invite the applicant to join the faculty of the College and offer the appropriate contract.

1.4.2. QUALIFICATIONS FOR APPOINTMENT

Candidates for faculty appointments normally will be evaluated for their appointment to an academic rank in terms of the following general criteria:

1.4.2.1. INSTRUCTOR

Appointment to the rank of Instructor requires:

1. an appropriate academic degree or the standard accepted equivalent;
2. the promise of superior teaching ability.

1.4.2.2. ASSISTANT PROFESSOR

Appointment to the rank of Assistant Professor:

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching;
2. proof of superior teaching, over a period of time, at an institution of higher learning;
3. achievement of public recognition in one’s professional discipline.

1.4.2.3. ASSOCIATE PROFESSOR

Appointment to the rank of Associate Professor requires:

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching; and
2. superior teaching as a full-time faculty member; and
3. achievement of public recognition in one’s discipline.

1.4.2.4. PROFESSOR

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching; and
2. superior teaching as a full-time faculty; and
3. widespread recognition in one’s discipline.

1.4.2.5. EMERITA/US

This rank is ordinarily granted upon retirement to a person who has spent ten or more years at Saint Mary's College.

1.4.2.6. PROFESSIONAL LIBRARIAN

The designation of Professional Librarian is normally conferred on persons possessing the appropriate terminal professional degree. Appointment of Librarians follows the same procedures as those established for appointing other tenure-tr a ck faculty.

1.4.2.7. PART-TIME TENURE-TRACK APPOINTMENTS

Part-time tenure-track appointments to the faculty are permitted for persons who for appropriate reasons must devote less than full-time service to the College provided that the service is at least half-time. Except in extraordinary situations no more than one-fourth of the tenure-track faculty in any department shall have part-time appointments.

Requests by members of the tenure-track faculty for transfers between full-time and part-time service shall be made through appointment and promotion channels. Such a transfer can be made only by mutual agreement between the appointee and the College.

Standards for appointment and reappointment to tenure-track positions shall be the same for part-time service as for full-time service. The duration of contractual periods and academic ranks shall also be the same. The responsibilities and privileges of a member of the tenure-track faculty with a part-time appointment are the same in nature as, but on a proportionate scale to those of a member with full-time appointment.

1.4.2.8. OTHER ACADEMIC DESIGNATIONS

ADMINISTRATORS WHO TEACH. Administrators who do not hold faculty rank and who teach will be designated “Lecturer” according to the terms of their appointment. To teach, administrators should meet at least the qualifications listed for initial appointment to the teaching faculty at the Instructor level.

1.4.3. APPOINTMENTS WITH TENURE

Ordinarily, tenure is not granted upon appointment. If a candidate wishes to be considered for an appointment with tenure, that request must be considered by the Committee on Rank and Tenure. Denial of tenure will not affect the candidate’s status as a candidate for appointment, nor should it be considered as affecting future consideration for tenure.

1.4.4. ADMINISTRATIVE APPOINTMENT WITH FACULTY RANK

Administrators who wish to retain their faculty rank or who wish promotion in rank to accompany their administrative appointment must meet the criteria established for that rank.

1.4.5. TRAVEL AND OTHER EXPENSES FOR CANDIDATES

Travel and other expenses connected with the recruitment or visit of faculty candidates to Saint Mary's campus are paid by the College. Candidates’ expenses are covered by a recruitment budget in the Office of the Dean of Faculty.

To receive reimbursement, a candidate must submit all receipts to the department chair who forwards them to the Dean of Faculty with a request for reimbursement. Whenever possible, travel arrangements are made through Anthony Travel, a travel agency designated by the College. If candidates use their own cars, they are reimbursed at the rate which the Internal Revenue Service allows as a tax deduction for professional travel. (The current rate may be obtained from the Business Office.) If at all possible, candidates stay in guest facilities on campus and use the College’s food service.

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1.5. LETTERS OF APPOINTMENT AND RENEWAL

1.5.1. INITIAL LETTER OF APPOINTMENT: ALL FACULTY

The letter of appointment from the Dean of Faculty states the rank or title; the salary; the contracted time; the previous years of experience, if any, applied toward tenure at the College; the TIAA-CREF participation status of the applicant; and provisions, if any, for reimbursement of moving expenses. The initial letter of appointment also defines the terminal degree for the position and the candidate’s status with regard to that degree. All terms of the contract are determined with the knowledge and consent of the department chair. A time limit of two weeks is ordinarily given to the applicant to accept or decline the offer.

1.5.2. LETTERS OF RENEWAL: ALL FACULTY

Contracts for faculty are issued by the Dean of Faculty during the first week of March. The contract states the rank or title, salary, beginning and ending dates of the contact period, and the tenure status of the faculty member.

1.5.3. RECOMMENDATION FOR RENEWAL OR NONRENEWAL OF APPOINTMENT FOR PRE-TENURE FACULTY

The Department Chair shares in confidence the pre-tenure faculty member’s Annual Review report (or Fourth Year Review Report or Third Year Review Report for faculty hired on or after academic year 2012-13) with the tenured members of the department in developing a recommendation for renewal or non-renewal of the pre-tenure faculty member’s appointment. Dean of Faculty must receive this recommendation and the reasons therefore by November 15.

It is to be placed at the end of the Annual Review report (or the Fourth Year Review Report or Third Year Review Report for faculty hired on or after academic year 2012-13) and must be signed by the Chair and the tenured members of the department’s faculty. The Provost and Senior Vice President for Academic Affairs and the Dean of Faculty review each case with the President and conveys a decision to the department chair by December 1.

In the case of pre-tenure faculty in their first year of appointment, since there is no Annual Review report of the prior year’s performance, an abbreviated Annual Review report of the results of the first semester’s appointment will be shared in confidence with the tenured members of the department in developing a recommendation for renewal or non-renewal of the pre-tenure faculty member’s appointment. Dean of Faculty must receive this recommendation and the reasons therefore by February 1. It is to be placed at the end of the Annual Review report (or the Fourth Year Review report or Third Year Review Report for faculty hired on or after academic year 2012-13) and must be signed by the Chair and the tenured members of the department’s faculty. The Provost and Senior Vice President for Academic Affairs and the Dean of Faculty review each case with the President and conveys a decision to the Department Chair by February 15.

1.5.4. NOTIFICATION TO NON-TENURED FACULTY OF NONRENEWAL OF CONTRACT

In cases of non-renewal, the College follows the AAUP recommendations in “The Standards for Notice of Non-Reappointment” ( AAUP Policy Documents and Reports ). Faculty members in their first year receive three month’s notice, no later than March 1 of their first year of service to the College. Faculty members in their second year of service receive six months’ notice, no later than December 15 of their second year of service to the College. Faculty members in their third year, to the end of their probationary period, receive 12 months’ notice. Such notification is normally sent to the faculty member at the time contracts are issued by the College, but in no instance will notification occur later than twelve months before the expiration of the appointment.

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1.6. PROMOTION

1.6.1. PROMOTION POLICY

1.6.1.1. Promotion is neither automatic nor assured.

The one exception to this principle occurs when promotion is contractually delineated at the time of appointment. These arrangements are limited to those appointed as Instructors because they have not completed the degree criteria for Assistant Professor but are advanced upon completion of those criteria.

1.6.1.2. Promotions are subject to the procedures of the Committee on Rank and Tenure.

The procedures are described in the section on Tenure.

1.6.1.3. There is no necessary link between promotion and tenure.

It is possible for faculty members to receive one without the other.

1.6.1.4.The principle qualifications for promotion are teaching ability and scholarly/creative work or its professional equivalent.

Other criteria include professional experience; active participation in College government; participation in professional activities; contributions to public service. (See Section III.H.1 for more information.)

1.6.2. QUALIFICATIONS FOR PROMOTION

Candidates for promotion normally are expected to meet the following qualifications for promotion to an academic rank:

1.6.2.1. ASSISTANT PROFESSOR

Promotion to the rank of Assistant Professor requires:

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching; or
2. proof of superior teaching, over a period of time, at an institution of higher learning; or
3. achievement of public recognition in one’s professional discipline.

1.6.2.2. ASSOCIATE PROFESSOR

Promotion to the rank of Associate Professor requires:

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching; and
2. superior teaching as a full-time faculty member at the rank of Assistant Professor in this or any other institution of higher learning; and
3. achievement of public recognition in one’s discipline, either through publication of the results of academic research or its professional equivalent; and
4. evidence of active service in the College department, community, or profession other than teaching and scholarship or its equivalent, which is consistent with the mission and goals of the College and the profession.

1.6.2.3. PROFESSOR

Promotion to the rank of Professor requires:

1. an earned doctorate or its recognized equivalent in the professional discipline and/or area of teaching; and
2. superior teaching as a full-time member of the faculty at the rank of Associate Professor in this or any institution of higher learning; and
3. widespread recognition in one’s discipline, either through publication of the results of academic research or its professional equivalent; and
4. evidence of leadership in service to the College, department, community or profession, other than teaching and scholarship or its equivalent, which is consistent with the mission and goals of the College and the profession. Candidates for promotion to Professor are advised to pursue those levels of quality and achievement which bring ever greater stature to the academic reputation of the College.

1.6.3. PROMOTION EVALUATION CRITERIA

The criteria used in evaluating faculty performance for purposes of promotion are described in the section on Tenure.

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1.7. TENURE

1.7.1. TENURE: DEFINITION AND OBJECTIVES

Tenure is a permanent commitment by the College and by the faculty member until retirement or resignation. The significance of tenure to the faculty lies in the establishment of a climate where freedom of teaching, research, and extramural activity are possible.

Tenure’s significance to the institution lies in its provision of a core of able professionals who have the freedom to pursue the search for truth and its free exposition. Providing an atmosphere where the search for truth is possible fulfills the institution’s obligations to both students and society.

1.7.2. TENURE POLICY

Saint Mary's College generally endorses the policy recommendations of the American Association of University Professors (AAUP). College policy, however, in certain instances may differ from the detailed procedures described in AAUP publications and, in those instances, College policy takes precedence. The material in this section is an interpretation of the following AAUP statements as they apply to the granting of tenure to the faculty at Saint Mary's College: “Academic Freedom and Tenure: 1940 Statement of Principles and Interpretive Comments,” and “1976 Recommended Institutional Regulations on Academic Freedom and Tenure,” AAUP Policy Documents and Reports .

1.7.2.1. TENURE PROBATIONARY PERIOD: FULL AND PART-TIME FACULTY

1.7.2.1.1.

Tenure is granted after a probationary period (and/or Third Year Review Report for faculty hired on or after academic year 2012-13) at Saint Mary’s College which will not exceed seven years of full-time equivalent teaching. Faculty members who have taught at other institutions may negotiate a reduction of their probationary period. The terms of this reduction appear in the faculty member’s initial letter of appointment. The probationary period ordinarily will not be shortened by more than two years. Customarily, the College does not grant tenure before the completion of the probationary period.

Part-time faculty in tenure track positions receive probationary credit in relation to the number of full-time equivalent hours they teach. Thus, the maximum tenure probationary period for a part-time faculty member who teaches one-half time is fourteen years.

1.7.2.1.2.

During the fourth year of the probationary period, a review of the faculty member’s performance is conducted by the Committee on Rank and Tenure. This review is based on information provided by the individual, the department chair, and tenured members of the department. The criteria used in the process are found in Section III.H.1. The faculty member is informed in writing of the results of this review.

1.7.2.2. TERMINATION OF A TENURED APPOINTMENT

Tenured appointments are terminated only under exceptional circumstances. These are described in the section on Termination of Service.

1.7.2.3. TENURE AND PROMOTION

There is no necessary link between tenure and promotion. It is not uncommon for faculty to receive one without the other. Implicit in this is the assumption that while many of the criteria are the same for promotion and tenure each acknowledges a different institutional commitment.

1.7.2.4. TENURE AND RETIREMENT

Tenure ceases upon retirement.

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1.8. PROMOTION AND TENURE: CRITERIA AND PROCEDURES

1.8.1. PROMOTION AND TENURE EVALUATION FACTORS

Three distinct criteria are employed in evaluating faculty performance: Teaching, Creative and Scholarly Activities, and Service. The criteria for evaluating creative and scholarly work and service vary considerably from one department to the next. It is the responsibility of the department chair to assist their faculty and members of the Committee on Rank and Tenure in interpreting the standards of performance in their respective disciplines. Candidates for promotion and/or tenure are evaluated in terms of the following general factors:

1.8.1.1. TEACHING

Superior teaching is essential. Among the factors considered in evaluating teaching are:

• command of subject
• academic rigor
• ability to communicate
• organization of material
• development of courses
• intellectual stimulation of students
• availability to students
• interest in and encouragement of students
• academic advising of students
• efforts to improve the quality of teaching

1.8.1.2. CREATIVE, SCHOLARLY, AND RESEARCH ACTIVITIES

All faculty at Saint Mary’s are expected to demonstrate continuing involvement in the professional life of their disciplines. To facilitate comprehension of this complex area, the Committee on Rank and Tenure, in consultation with the various departments, has prepared a set of general guidelines.

In the following listing, activities have been divided into three categories presented in order of decreasing importance. This listing is intended to be illustrative, not exhaustive. While some activities corresponding to those in Category I are essential to promotion and tenure, it is expected that faculty will be involved in various activities of the kind listed below:

1. CATEGORY I
   • Publishing in the field of research or of teaching
   • Presenting papers at meetings of professional societies
   • Designing seminars and/or workshops for professional meetings
   • Giving invitational recitals and concerts
   • Participating in juried art exhibitions
   • Guest participation in one’s discipline in professional theatre (such as acting, directing, stage managing)
   • Holding office in national professional societies in one’s discipline
   • Receiving honors indicative of professional recognition in one’s discipline
2. CATEGORY II
   • Engaging in ongoing research
   • Having one’s work cited by other scholars
   • Refereeing papers
   • Receiving grants in support of scholarly activity
   • Preparing laboratory manuals and other kinds of teaching tools
   • Attending meetings of professional societies
   • Attending professional workshops
   • Giving invitational lectures on scholarly subjects both on and off campus
   • Participating in non-juried art exhibitions
   • Participating in on-campus concerts, art exhibitions, or theatrical productions
   • Writing reviews of scholarly books, concerts, art exhibitions, or theatrical productions
3. CATEGORY III
   • Designing new programs
   • Receiving grants not directly related to scholarly activity
   • Giving lectures in the areas of one’s academic discipline for non-professional organizations
   • Being chosen an officer and/or board member of a local organization on the basis of expertise in one’s academic discipline
   • Enrolling in conferences, courses, and seminars in one’s discipline

While it is true that criteria for evaluating creative and scholarly work vary greatly, these categories in effect constitute a ranking.

1.8.1.3. SERVICE

Service embraces a wide range of activities including:

• College governance and College committee work
• Departmental activities
• Service to the College community
• Activity in which one’s professional abilities as teacher and scholar are put in service of the wider community

1.8.2. PROMOTION AND/OR TENURE PROCEDURES

Although the formal nomination procedure begins in the early fall, faculty who are planning to go forward for tenure and/or promotion should notify the Chair of the Committee on Rank and Tenure by June 1, so as to allow adequate time for the Committee’s planning for cases, and for the candidate to gather, develop, and distribute materials for the review.

1.8.2.1. NOMINATION FOR PROMOTION AND/OR TENURE

Tenure and promotions in faculty rank at Saint Mary’s College normally originate with the department chair; however, they may be initiated by the faculty member, a colleague, or an administrator. Nominations are submitted to the Chair of the Committee on Rank and Tenure who initiates the procedures outlined below. To avoid prejudicing a case, the source of the nomination is kept confidential by the Chair of the Committee. College policy does not encourage nominations for early tenure.

1.8.2.2. CANDIDACY FOR PROMOTION AND/OR TENURE

The Chair of the Committee on Rank and Tenure notifies faculty nominated for promotion or tenure, in writing, of their nomination. The nominee may accept or decline the nomination. If a nominee 2 declines the nomination, that person’s name is withdrawn and no further consideration is given to that case that year. The person or persons making the nomination are so notified in writing. If the nominee accepts, that faculty member becomes a candidate. Faculty members who reach the end of the probationary period and refuse the nomination for tenure are issued a terminal contract. On the basis of the acceptance notices received from the nominees, the Chair of the Committee on Rank and Tenure prepares a list of candidates for promotion and/or tenure. This list is known only to the members of the committee on Rank and Tenure and the President of the College.

2 Faculty who are expecting to be nominated for tenure and/or promotion should notify the Chair of the Committee on Rank and Tenure by June. 1.

1.8.2.3. CANDIDACY MATERIALS

It is the candidate’s responsibility and opportunity to make her or his best case for tenure and/or promotion. The Committee on Rank and Tenure considers the following materials (Numbers 8.2.3.1-6 below) for each candidate. Additional materials may be submitted by the candidate.

1.8.2.3.1. CANDIDATE

1. “Committee on Rank and Tenure Evaluation form: Candidate” (Candidates are provided a copy of the form by the Committee on Rank and Tenure. Any member of the faculty may obtain a copy of this form from the Chair of the Committee on Rank and Tenure.)
2. Supporting materials such as representative syllabi, student course/instructor surveys, publications, slides, reviews, programs, original evaluation forms with student comments, etc.

1.8.2.3.2. DEPARTMENT CHAIR

1. “Committee on Rank and Tenure Evaluation form: Department Chair” (Chairs are provided a copy of the form by the Committee on Rank and Tenure. Any member of the faculty may obtain a copy of this form from the Chair of the Committee on Rank and Tenure.)
2. Supporting Materials

1.8.2.3.3. FACULTY

1. Committee on Rank and Tenure Evaluation requests each member of a candidate’s department to submit an evaluation of the candidate.
2. The Committee on Rank and Tenure may request that colleagues outside of the department submit evaluations of the candidate. This is normally done in instances where there has been significant involvement with the candidate. A candidate may ask that the Committee request an evaluation from any faculty member. Ordinarily, however, the candidate is expected to issue the request to the evaluator.

1.8.2.3.4. STUDENTS

1. Quantitative data from Student Course Instructor Surveys are assembled by the Office of the Dean.
2. Students are asked to provide a written evaluation of the candidate’s strengths and weaknesses as well as to evaluate the candidate as a member of the Saint Mary's College community. A sample of students who have had only lower division courses and a sample of students having a range of courses are asked to write. Students’ names are selected from class lists of preceding years. Candidates are not to solicit letters from current students.

1.8.2.3.5. ALUMNAE

Alumnae who have taken one or more courses with the candidate are asked to provide written evaluations of the candidate’s strengths and weaknesses and to evaluate the candidate as a member of the Saint Mary's College community. A random sample of alumnae throughout the candidate’s time at Saint Mary’s is chosen representing both majors and non-majors.

1.8.2.3.6. EXTERNAL REVIEWERS

As part of the review of all cases for tenure and/or promotion, the Committee on Rank and Tenure asks for input from reviewers from outside the College who are in a position to speak knowledgeably about the accomplishments of the candidate in the area of scholarly/creative activity. Outside reviews are ordinarily sought only from the individuals identified by the candidate, but the Committee may request assessments from other individuals as well.

1. No later than the first day of academic year in which the candidate will be considered for tenure and/or promotion the candidate submits to the Chair of the Committee, a list of external reviewers who have agreed to review the candidate’s scholarly/creative activity. The list includes names and contact information for a minimum of 3 and a maximum of 5 individuals.
2. It is the candidate’s responsibility to send, in a timely fashion, materials she or he deems necessary to complete the review process to the individuals on the list. The material includes a copy of the candidate’s own narrative report to the committee, and may include any other materials that the candidate judges to be useful to the reviewer, e.g., representative syllabi, articles, books, texts of presentations, reproductions of artwork.
3. No later than September 1 the Chair of the Committee contact the individuals on the list requesting the return of their completed evaluations by October 1.

1.8.2.4. REQUESTS TO APPEAR BEFORE THE COMMITTEE

Candidates for promotion and/or tenure who wish to make a personal appeal to the Committee on Rank and Tenure may do so by contacting the Chair of the Committee prior to the deadline set for candidacy materials. Faculty who are not candidates and administrators who wish to appear before the Committee in support of, or in opposition to a candidate, should contact the Chair of the Committee prior to November 1. Those who wish to recommend changes in procedure or policy should contact the Chair of the Committee.

1.8.2.5. REVIEW PROCEDURES: COMMITTEE ON RANK AND TENURE

Although there may be deviation from the following procedure, the Committee on Rank and Tenure normally follows the procedure described below in reviewing all candidates.

PHASE 1	Prior to considering any candidate for promotion and/or tenure, and prior to meeting with the department chair of the candidate, the Committee on Rank and Tenure must be in receipt of the above candidacy materials. The Committee members review the candidate’s materials prior to the meeting with the department chair.
PHASE 2	Normally, Committee members do not discuss their observations based upon their review of the materials prior to meeting with the department chair. Thus, each Committee member forms a personal assessment and develops a line of inquiry to be pursued during the meeting with the candidate’s chair. If the Chair of a department is a candidate for promotion, the most recent chair of the department will complete the candidate report and present the candidate to the Committee on Rank and Tenure. If the most recent Chair has left the College, the President will determine the candidate’s representation.
Phase 3	Following the meeting with the candidate’s chair, the Committee on Rank and Tenure discusses the case before it. The Committee may decide to defer the discussion pending further review of the materials. When the Committee is satisfied that is can make an informed judgment, a vote is taken. All decisions which serve as the basis for the Committee’s recommendation are based on secret ballot.

1.8.2.6. RECOMMENDATIONS OF THE COMMITTEE ON RANK AND TENUE

The Committee on Rank and Tenure submits its written recommendations to the President. The President has access to all materials reviewed by the Committee. The Committee submits its recommendations to the President no later than January 1.

1.8.2.7. PRESIDENT’S DECISION

The President communicates decision on promotion and tenure to the Provost and Senior Vice President for Academic Affairs and to the Committee on Rank and Tenure no later than February 1. If the President does not accept a Committee recommendation, the President meets with the Committee to discuss the rationale for this decision. The President may request a meeting with the Committee on Rank and Tenure to seek clarification or to review these decisions. The President reports tenure decisions to the Executive Committee of the Board of Trustees at its winter meeting.

1.8.2.8. NOTIFICATION OF DECISION ON PROMOTIONS AND TENURE

Department chairs and candidates for promotion and/or tenure are given written notification of decisions from the President by February 15. Faculty members who are promoted and/or granted tenure receive contracts that reflect their new status. Those denied tenure and who are at the end of their probationary period receive terminal contracts. Public announcement of promotions conferred by the College is made at the annual Honors Convocation.

1.8.2.9. CONFIDENTIALITY

With the exception of supporting materials ( e.g., publications, slides, etc.), all materials submitted to the Committee as well as materials generated by the Committee on Rank and Tenure are confidential. Only Committee members and the President are granted access to these materials. Committee members do not have access to the written evaluations by faculty members of candidates considered in previous years.

1.8.2.10. REASONS FOR RANK AND TENURE DECISIONS

Reasons which contributed to the decision to deny tenure or promotion to a faculty member will be given verbally if that faculty member requests them.

Unsuccessful candidates for promotion and/or tenure have the right to meet with the President and Provost and Senior Vice President for Academic Affairs to discuss the decision.

If, having received reasons verbally and having been advised of potential adverse consequences, the faculty member believes that written confirmation of the reasons for denying tenure or promotion might be useful in pursuing a professional career, that individual may request and shall receive the reasons in writing. Such a request must be submitted in writing by April 15 of the academic year in which the decision to deny tenure and/or promotion was communicated in writing to the candidate.

1.8.2.11. REAPPLICATION FOR PROMOTION

Tenured faculty denied promotion may not reapply the following academic year.

1.8.3. APPEAL OF A PROMOTION OR TENURE DECISION

Faculty who are denied promotion and/or tenure and who wish to appeal the decision must submit a written appeal to the President within thirty working days after they are notified of the denial. Faculty who believe there has been a procedural irregularity or lack of adequate consideration may appeal their case to the Grievance Committee of the Faculty Assembly.

1.8.3.1. GENERAL GRIEVANCE PROCEDURE: ORDINARY CASES

1.8.3.1.1 FILING OF THE GRIEVANCE PETITION

If faculty members feel that they have cause for grievance in any matter other than dismissal for serious cause or cases involving allegations of procedural irregularity or lack of adequate consideration in the nonrenewal of a faculty member’s contact, or cases involving tenure or promotion decisions, they may petition the Grievance Committee in writing for consideration. (Procedures for the excluded grievances are described in a subsequent section.) The petition must set forth in detail the nature of the grievance, state against whom the grievance is directed, and specify the nature of the remedy sought. It must contain any factual or other data which the petitioner deems to the case. It must also include a statement releasing the faculty member’s right of confidentiality to whatever records the College has which are pertinent to the conduct of the investigation. It is important to emphasize that this release cannot abrogate the confidentiality of other individuals or committees. The written petition must be received within thirty working days of the date on which the petitioner became aware that the situation was one that constituted a grievance.

1.8.3.1.2. NOTIFICATION AND WRITTEN ASSURANCE

Upon receipt of the grievance petition, the Grievance Committee will send written notification to the party against whom the grievance is directed that a grievance has been filed. In addition, the committee will seek written assurance from both parties that they have attempted to work the matter out between themselves. The parties will be allowed five working days to submit such written assurances to the committee.

1.8.3.1.3. PRELIMINARY INVESTIGATION

After selection of substitute members (if necessary), the Grievance Committee will conduct a preliminary investigation of the petition. This investigation will involve interviews with the parties as well as the examination of pertinent written records. The committee will decide whether or not the facts merit the initiation of formal proceedings and will notify the petitioner in writing of its decision within 15 working days of the date on which the written petition is received.

1.8.3.1.4. PRELIMINARY INVESTIGATION RESULTS

1. If the committee rejects the case, and if the petitioner accepts the committee’s decision, the case will be closed.
2. If the committee rejects the case, the petitioner who disagrees with the decision may resubmit the petition within ten working days of the date that the committee’s written rejection is received. In resubmitting a petition, the petitioner must indicate the reasons for resubmission.
3. If the committee rejects the petition a second time, the case is to be considered closed unless the petitioner, having first sought the advice of the Executive Committee of the Faculty Assembly, brings the petition to the floor of the Faculty Assembly at the next possible meeting.
4. If the committee decides to hear the case, it must, before initiating the formal proceedings, attempt to informally mediate the grievance.

1.8.3.1.5. MEDIATING EFFORTS

Prior to the initiation of formal proceedings, the committee is to take no more than ten working days to settle the matter informally, working with both parties, singly or together, until either a settlement is reached or until it is clear that no settlement is possible by proceeding informally. At the end of this period, the committee must specify in writing, to the parties, the situation as it then exists. If a settlement has been reached, its precise character must be specified in writing and the letter signed by all parties involved.

1.8.3.1.6. FORMAL PROCEEDINGS

If a settlement has not been reached, the committee begins formal proceedings.

1. First, immediately upon its decision to hold formal hearings, the committee shall request: statements about what occurred or is occurring and why, as well as relevant documents such as relevant contracts, memoranda, letters, etc.
2. Second, after notifying parties and witnesses, the committee shall within fifteen working days of the decision to hold a form hearing, hold closed hearings in which every party must present its case in the presence of the other. A faculty member who is one of the parties to a grievance may bring another member of the Saint Mary’s faculty to act as an advisory during the hearings.
3. During the hearings:
   1. The chair of the committee must appoint one of the members involved in the formal hearing to act as hearing officer, with power to call those present to order (especially for misbehavior and dilatory tactics), and, for reasons of privacy or misbehavior, to excuse them from the hearings.
   2. Each side, in turn, shall present insofar as possible its full case, including witnesses and documents; with the permission of the hearing officer, members of the committee may interrupt to ask questions.
   3. Then each side will be permitted to question the witnesses of the other side and to reply to the arguments and evidence of the other side. With permission of the hearing officer, members of the committee may interrupt to ask questions.

1.8.3.1.7. COMMITTEE ON RECOMMENDATIONS

Following the formal proceedings, the committee will then retire to make its recommendation, which it will report in writing to each party of the grievance within fifteen working days after the close of the hearings. If a recommendation to the President or the Faculty Assembly is warranted, the committee must make its findings known to either of them in special written report.

1.8.3.1.7.1. SPECIAL CASE GRIEVANCE PROCEDURES: PROCEDURAL IRREGULARITIES OR LACK OF ADEQUATE CONSIDERATION IN NON-RENEWAL OF A NON-TENURED MEMBER’S CONTRACT OR IN TENURE AND PROMOTION DECISION

In general, the procedures in such cases shall be the same as those described under general procedures with the following exceptions.

1. GENERAL PROCEDURE The committee shall base its recommendation only on whether or not the procedural irregularities or lack of adequate consideration were of such a kind or degree to have damaged the petitioner’s opportunity to be rehired, promoted, or tenured.
2. DEFINITION OF ADEQUATE CONSIDERATION Lack of adequate consideration does not mean that the Grievance Committee can substitute its judgment for that of the appropriate decision-making body on the merits of whether the petitioner should be reappointed, promoted, or granted tenure. As presented in various AAUP Policy Documents and Reports , the term “ adequate consideration ” refers primarily to procedural rather than substantive issues, and addresses questions such as: Was the decision conscientiously arrived at? Was all the available evidence bearing on the relevant performance of the petitioner sought out and considered? Was there adequate deliberation by the decision-making body over the import of the evidence in terms of the relevant standards of the institution? Were irrelevant and improper standards excluded from consideration? Was the decision a bona fide exercise of professional judgment?
3. LIMITS OF COMMITTEE RESPONSIBILITIES The committee’s recommendation in such cases shall be either that the petitioner’s case be reheard or that it not be reheard.
4. RECOMMENDATION The committee shall set forth its recommendations and the reasons for them in writing to the parties, and, if necessary, to the President.

1.8.3.1.7.2. SPECIAL CASE GREIVANCE PROCEDURES: DISMISSAL FOR SERIOUS CAUSE

The procedures utilized by the Grievance Committee acting as a Hearing Committee in cases involving dismissal for serious cause are delineated in Section III of the Governance Manual on Faculty Policies and Procedures: Termination of Services and in Section 1.10.4 of this document.

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1.9. ACADEMIC FREEDOM

1.9.1. ACADEMIC FREEDOM POLICY

Saint Mary's College generally endorses the policy recommendations of the American Association of University Professors. College policy, however, in certain instances may differ from the detailed procedures described in AAUP publications and, in those instances, College policy takes precedence. The material in this sections is an interpretation of the following AAUP statements as they apply to the academic freedom of the faculty at Saint Mary’s College: “Academic Freedom and Tenure: 1940 Statement of Principles and Interpretive Statements” and “1976 Recommended Institutional Regulations on Academic Freedom and Tenure,” AAUP Policy Documents and Reports .

1.9.1.2. FREEDOM OF TEACHING

Faculty are entitled to freedom in the classroom in discussing their subjects, but they should be careful not to introduce into their teaching controversial matter which has no relation to the subject. They are expected to exercise care in their own subjects so that hypotheses, theories, and opinions are presented as such, and not as facts.

1.9.1.3. FREEDOM OF RESEARCH

Faculty are entitled to full freedom in research and in the publication of their results subject to the adequate performance of other academic duties. Research for pecuniary return must be based upon an understanding with the College administration.

1.9.1.4. FREEDOM OF EXTRAMURAL ACTIVITY

Faculty are citizens, members of learned professions, and officers of instruction. When they speak or write as citizens they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As learned persons and officers of instruction, faculty should remember that the public may judge their profession and institution by their utterances. Hence, faculty should be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking as representatives of the institution.

1.9.1.5. ACADEMIC FREEDOM IN A CATHOLIC COLLEGE

Saint Mary's College is a Roman Catholic institution. Faculty are free to research, to present, and to discuss all positions on important issues; however, they must do so in an atmosphere which promotes the highest intellectual standards and recognizes and respects the tradition of Christian belief, which is a major foundation of this institution.

1.9.2. GRIEVANCE PROCEDURES INVOLVING ALLEGATIONS OF VIOLATION OF ACADEMIC FREEDOM

Cases involving issues centering on alleged violation of academic freedom are handled by the Grievance Committee of the Faculty Assembly according to the special procedure delineated for cases involving academic freedom.

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1.10. TERMINATION OF SERVICE

1.10.1. TERMINATION OF TENURED FACULTY

1.10.1.1. POLICY

Saint Mary's College generally endorses the policy recommendations of the American Association of University Professors. College policy, however, in certain instances may differ from the detailed procedures described in AAUP publications and, in those instances, College policy takes precedence. The material in this section is an interpretation of the following AAUP statements as they apply to the termination of tenured faculty at Saint Mary's College: “1976 Recommended Institutional Regulations on Academic Freedom and Tenure,“ Section 4, AAUP Policy Documents and Reports.

1.10.1.2 . PROCEDURE FOR TERMINATION OF TENURED FACULTY

The contracts of tenured faculty may be terminated only under the following conditions: extraordinary financial emergency of the College, discontinuance of an academic program or division, and serious cause. To terminate a tenured appointment, the College must establish conclusively that one or more of the above conditions prevail and, except in the case of serious cause, must give the faculty member not less than twelve months-notice or one full-year’s salary in lieu thereof. The standards of notification and procedure in cases involving serious cause are outlined in the section on serious cause.

In instances other than serious cause:

1. termination of regular appointment is to be sought only as a last resort, after every effort has been made to meet the need in other ways and to find for the teacher other employment in the institution or with other institutions of higher learning;
2. notification of the intent to terminate a permanent position is to be made in writing, stating reasons for the termination;
3. notification is to be made twelve months prior to the termination of the position;
4. if a tenured appointment is terminated because of financial exigency, the released faculty member’s place will not be filled by a replacement within a period of three years unless the released faculty member has been offered reappointment, with tenure, and at the same or better rank and salary, and has rejected it.

1.10.2. TERMINATION OF PRETENURED FACULTY

1.10.2.1. POLICY

The services of faculty who do not hold tenure may be discontinued at the end of a contract period. Termination of pretenured faculty generally follows the procedures and policies of the American Association of University Professors. In certain instances, College policy may differ from detailed procedures described in AAUP publications and, in those instances, College policy takes precedence. The material in this section is an interpretation of the following AAUP statements as they apply to the faculty in Saint Mary's College: “Standards for Non-reappointment” and “Statements on Procedural Standards in the Renewal of Non-Renewal of Faculty Appointments,” ( AAUP Policy Documents and Reports) .

1.10.2.2. PROCEDURES FOR TERMINATION OF PRETENURED FACULTY

1.10.2.2.1. RECOMMENDATION FOR NON-REAPPOINTMENT

The Department Chair shares in confidence the pretenure faculty member’s Annual Review report (or Fourth Year Review Report or Third Year Review Report for faculty hired on or after academic year 2012-13) with the tenured members of the department in developing a recommendation for renewal or non-renewal of the pre-tenure faculty member’s appointment. The Provost and Senior Vice President for Academic Affairs must receive this recommendation and the reasons therefore by November 15. It is to be placed at the end of the Annual Review report (or Fourth Year Review report or Third Year Review Report for faculty hired on or after academic year 2012-13) and must be signed by the Chair and the tenured members of the department’s faculty. The Provost and Senior Vice President for Academic Affairs reviews each case with the President and conveys a decision to the department chair by December 1.

In the case of pre-tenure faculty in their first year of appointment, since there is no Annual Review report of the prior year’s performance, and abbreviated Annual Review report of the results of the first semester’s appointment will be shared in confidence with the tenured members of the department in developing a recommendation for renewal or non-renewal of the pre-tenure faculty member’s appointment. The Provost and Senior Vice President for Academic Affairs must receive this recommendation and the reasons therefore by February 1. It is to be placed at the end of the Annual Review report (or the Fourth Year Review report or Third Year Review Report for faculty hired on or after academic year 2012-13) and must be signed by the Chair and the tenured members of the department’s faculty. The Provost and Senior Vice President for Academic Affairs reviews each case with the President and conveys a decision to the Department Chair by February 15.

1.10.2.2.2. NOTIFICATION OF NON-REAPPOINTMENT

In cases of non-renewal, the College follows the AAUP recommendations in “The Standards for Notice of Non-Reappointment” ( AAUP Policy Documents and Reports ). Faculty members in their first year receive three months’ notice, no later than March I of their first year of service to the College. Faculty members in their second year receive six months’ notice, no later than December 15 of their second year of service to the College. Faculty members in their third year, to the end of their probationary period, receive twelve months’ notice. Normally, notification is sent to the faculty member at the time contracts are issued by the College; in no instance will notification occur later than twelve months before the expiration of the appointment.

1.10.2.2.3. NON-REAPPOINTMENT AND ACADEMIC FREEDOM: GRIEVANCE

If a non-tenured member of the faculty alleges that a decision for non-renewal resulted from considerations that were in violation of academic freedom, these allegations are to be presented to the Grievance Committee of the Faculty Assembly. If appeal is made to the Grievance Committee, the matter is to be heard according to the procedure in the section on Dismissal for Serious Cause, except that the burden of proof rests with the faculty member who must establish that a violation of academic freedom was an element in the decision for non-renewal of contract.

1.10.2.2.4 REASONS FOR NON-REAPPOINTMENT

Reasons which contributed to the decision not to reappoint a faculty member may be given verbally if that faculty member requests them.

If, having received reasons verbally and have been advised of potential adverse consequences, the faculty member believes that written confirmation of the reasons for denying reappointment might be useful in pursuing a professional career, that individual may request and shall receive the reasons in writing. Such a request must be made in writing and presented during the academic year in which notification of non-reappointment occurs.

1.10.3. TERMINATION OF NONTENURED FACULTY

1.10.3.1. POLICY

Nontenured faculty are defined as those individuals who are not in a tenure-track position and who do not hold tenure. Nontenured faculty who are hired by semester or year based on department need should be requested when the call for part-time faculty is made. For those nontenured individuals who fill continuing positions, nonrenewal of contract or termination will follow the procedures listed in the following section.

1.10.3.2. PROCEDURES FOR TERMINATION OF NONTENURED FACULTY

1.10.3.2.1. RECOMMENDATION FOR NONRENEWAL OF CONTRACT/TERMINATION

The Department Chair should discuss with the Dean of Faculty reasons for a recommendation for nonrenewal of contract. If the department no longer has a position available for that individual, or the administration has determined the position is no longer needed or cannot be supported, the nontenured individual will be notified by the Department Chair no later than March, prior to the issuance of new contracts, that s/he will not be receiving a contract for the following academic year. If the position is still needed but the individual is not fulfilling the duties to the satisfaction of the department, the Chair will explain to the individual why s/he is not being recommended to continue on the position. In both of these instances, the individual is allowed to continue working to the end of the contract year/term.

If an employee must be terminated in the middle of a contract semester or year for a behavioral or performance concern, the Department Chair first meets with the Dean of Faculty to discuss the concern and strategize about ways to resolve the issue. The chair of the Department explains the concerns to the employee and issues a verbal warning about the need to resolve the issues immediately. The Chair, using the strategies discussed with the Dean, works with the employee to determine the best course of  action to resolve the issues. If these measures are not successful (requires documentation), the employee is asked to meet with the Dean of Faculty and the Chair of her/his department to discuss the behaviors in question. At this time, a written warning is given to the employee by the Dean of Faculty stating that continuation of the concerning behaviors could result in termination if not addressed immediately. If appropriate the employee is then made aware of the Employee Assistance Program and other avenues for acquiring support in addressing her/his issues. If the behaviors of concern are still not resolved (requires documentation), the employee is asked to meet again with her/his Chair and the Dean of Faculty at which time the employee is informed s/he is terminated immediately without further options for appeal.

1.10.4. RESIGNATION: ALL FACULTY

 1.10.4.1. VOLUNTARY TERMINATION OF SERVICES

Resignation is the termination of services by voluntary action of the faculty member. If a member of the faculty desires to terminate an existing appointment or to decline a renewal, that member is to give notice in writing as early as possible but no later than April 15. Such notification is to be given to both the department chair and the Provost and Senior Vice President for Academic Affairs. Faculty members may properly request a waiver of this requirement in cases of hardship or situations where they would otherwise be denied substantial professional advancement.

1.10.4.2. NEGOTIATED RESIGNATION

Resignation may be negotiated by the College. In these instances, the College takes the initiative, offering faculty the choice of resigning, in lieu of dismissal, in order to protect professional reputation and status.

1.10.5 DISMISSAL FOR SERIOUS CAUSE: ALL FACULTY 

 1.10.5.1. DEFINITION OF SERIOUS CAUSE

The College reserves the right to terminate the services of any member of the faculty for serious cause. Dismissal for serious cause may be justified by demonstrating professional incompetence, gross neglect of professional responsibilities, conviction of a felony, continual serious disrespect for the Catholic character of this institution, or notorious and public scandal.

1.10.5.2. PROCEDURES FOR ESTABLISHING SERIOUS CAUSE FOR DISMISSAL

1.10.5.2.1. POLICY

If it is necessary to consider termination of the services of a faculty member for serious cause, formal proceedings are conducted according to the procedural recommendations of the American Association of Professors contained in the “Statement on Procedural Standards in the Faculty Dismissal Proceedings,” (AAUP Policy Documents and Reports) . What follows is an interpretation of this statement as it applies to Saint Mary’s College.

1.10.5.2.2. PRELIMINARY TO FORMAL CHARGES

Before formal charges are brought against a member of the faculty, the President will appoint the Provost and Senior Vice President for Academic Affairs and one tenured faculty member to attempt conciliation in private. If conciliation fails, the President will request the Executive Committee of the Faculty Assembly to inquire informally into the situation, and to advise whether formal proceedings to consider the dismissal should be instituted.

1.10.5.2.3. FILING OF FORMAL CHARGES

The formal proceedings commence with a written communication from the President informing the faculty member of the charges and that, if requested, a hearing on the charges will be conducted by a Hearing Committee. The Grievance Committee of the Faculty Assembly will serve as the Hearing Committee. The faculty member must notify the President in writing within thirty working days from the receipt of the President’s communication whether a formal hearing is requested. Absence of such a written a request results in waiving the right for any further consideration on this case.

1.10.5.2.4. PROCEDURES OF HEARING COMMITTEE

The Hearing Committee will convene, elect its own chair, and will choose a specified time and place for meeting. The Chair will establish the rules for conduct of the hearing. The following procedure will be in effect at the hearing:

1. during the proceedings the faculty member is permitted to have an academic advisor of his/her choice;
2. the faculty member has the right to confront and question all witnesses adverse to him/her and to present witnesses on his/her own behalf;
3. a verbatim record of the hearings will be taken. A typewritten copy of it will be made available to the faculty member without cost, at the faculty member’s request.
4. the burden of proof that adequate cause exists rests with the institution and is satisfied only by clear and convincing evidence in the record considered as a whole.

1.10.5.2.5. RECOMMENDATIONS FROM THE HEARING COMMITTEE

The President and faculty member should be notified of the decision of the Hearing Committee in writing and should be given a copy of the record of the hearing. The President should transmit to the Board of Trustees the full report of the Hearing Committee. If the Board wishes to review the case, its review should be based on the record of the hearing accompanied by an opportunity for argument, written, or oral or both, by the principals at the hearing or their representatives. The decision of the Hearing Committee should either be sustained or the proceeding be returned to the committee with objections specified. In such a case, the committee should reconsider, taking account of the stated objections and receiving new evidence if necessary. It should frame its decision and communicate it in the same manner as before. Only after study of the committee’s reconsideration should the Board of Trustees make a final decision overruling the committee.

1.10.5.2.6. FACULTY MEMBER’S STATUS DURING HEARINGS

Until the final decision on the termination of an appointment has been reached, the faculty member will be suspended only if immediate harm to self or others is threatened by continuance.

1.10.5.2.7. TERMINAL SALARY

If the appointment is terminated for reasons not involving moral turpitude, the faculty member receives the contracted salary in accordance with the following schedule:

1. faculty members in their first through third year of probationary service receive their contracted salary for three months following the date of notification of their dismissal;
2. faculty members in their fourth through sixth year of probationary service receive their contracted salary for six months following the date of notification of their dismissal;
3. tenured faculty members receive their contracted salary for twelve months following the date of notification of their dismissal.

The provision for terminal salary does not apply in the event that there has been a finding that the conduct which justified dismissal involved moral turpitude. Moral turpitude applies to that kind of behavior which goes beyond simply warranting discharge and is so utterly blameworthy as to make it inappropriate to require the continuation of the faculty member’s salary. The standard is not that the moral sensibilities of the persons in the particular community have been affronted. The standard is behavior that would evoke condemnation by the academic community generally.

1.10.6. RETIREMENT

Tenure ceases upon retirement.

Saint Mary's College grants the title of Emerita/us to an individual in recognition of service of significant length and effectiveness to the educational goals of the College. This rank is ordinarily granted upon retirement to a person who has spent ten or more years at Saint Mary’s College.

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1.11. FACULTY LEAVES OF ABSENCE

1.11.1. SABBATICAL LEAVE

1.11.1.1. POLICY

The sabbatical leave program makes it possible for members of the tenured teaching faculty to take the time from normal academic duties to engage in activities appropriately construed as serving the faculty member’s development. The College recognizes that the long-term value of a sabbatical leave program outweighs any short-term disadvantages to students, instructional programs, and purposes of the College.

The sabbatical leave is a central element in the faculty development program at Saint Mary’s College. It exists to enable faculty members to continue to grow as teachers, thinkers, and professionals. The variety of activities appropriate for sabbatical leave support represents the wide range of departments, disciplines, areas of study, and individuals that make up Saint Mary’s community.

A tenured faculty member is eligible for sabbatical leave after six years of full-time service to the College with academic rank. Eligibility for additional sabbatical leaves will occur after six years of full-time service following the return of the faculty member from the previous sabbatical. Tenured faculty holding full-time administrative appointments are not eligible for faculty sabbatical leaves. Tenured faculty who have part-time teaching appointments will accrue sabbatical leave eligibility on a pro-rated full-time equivalent basis. The sabbatical leave entitles a faculty member to full salary for one semester or one-half salary for a full-year leave. The sabbatical leave also provides faculty members with the opportunity to continue their participation in all the benefit programs of the College. Participation in TIAA-CREF will be based on the actual salary paid during the sabbatical leave.

1.11.1.2. PROCEDURE

Formal request for sabbatical leave must be made in writing to the faculty member’s department chair no later than November 1 for sabbatical leave to be granted the following academic year. The proposal should contain the following in a letter not to exceed two, single-spaced pages.

1. The proposal should state clearly the nature of the activity to be undertaken during the tenure of the sabbatical.
2. Included in the proposal should be evidence to suggest the feasibility of completing the activity; for example, the proposal should briefly address potential problems and anticipated needs.
3. The proposal should explain how the activity will enhance the individual’s development as a faculty member.

The preceding guidelines are designed to help all faculty who are applying for sabbatical leaves prepare applications that best express their intentions and provide the information necessary to make an informed evaluation. They are not offered to limit the creativity and innovation of faculty in designing professional activities. The Faculty Affairs Committee reviews the proposal and advises the Provost and Senior Vice President for Academic Affairs of the merit of its content. Copies of successful proposals are available from the Office of the Provost and Senior Vice President for Academic Affairs.

The department chair consults with all full-time faculty in the department in determining recommendations for sabbatical leave. The written recommendation should be submitted to the Provost and Senior Vice President for Academic Affairs by November 15, and should include a copy of the candidate’s proposal. In the letter the department chair will indicate how the department proposes to meet the needs created by the faculty member’s absence and the cost of the sabbatical leave to the department in terms of replacement salary. Ordinarily other faculty members’ teaching loads should not be increased to accommodate sabbatical leaves.

The Provost and Senior Vice President for Academic Affairs, together with the President, will review the request, the department chair’s evaluation, and the review of the Faculty Affairs Committee. The judgment concerning the granting of the request will be based on the merits of the proposed activity and budget considerations. The President informs the applicant of the decision in writing by December 15.

1.11.1.3. EARLY REQUEST FOR SABBATICAL LEAVE

A faculty member may request approval of proposed sabbatical leave activities as early as two years prior to the expected leave. Reasons for early application would include such things as additional time to search for supplementary funds, arrangement for a visiting professorship, the need to effect special arrangements for research.

If the conditions that led to the request for early approval of the sabbatical are met, that is, if the grant is received, the visiting professorship arranged, the special arrangements effected, etc., the sabbatical leave will be granted as requested and approved. If, however, the special conditions are not met, the candidate must reapply.

1.11.1.4. SABBATICAL REPORT

The faculty member assumes the obligation of presenting a written report on the sabbatical leave activities to the Provost and Senior Vice President for Academic Affairs and the department. This report is to be filed within six months of the end of the leave.

1.11.2. LEAVES OF ABSENCE WITH SALARY

1.11.2.1. SHORT-TERM LEAVES OF ABSENCE

1.11.2.1.1. POLICY

Short absences of faculty members for personal business, illness, jury duty, military training duty, and similar limited absences normally are with full salary.

1.11.2.1.2. PROCEDURE

When practical, the department chair is to be notified in advance of absences which may affect class, laboratory, research, or other College-related commitments. The department chair and faculty member in consultation are to secure a substitute instructor if possible or if deemed necessary.

1.11.2.2. PARENTING LEAVE

Full-time faculty members with a tenure-track appointment of at least one year are eligible for the Parenting Leave plan after completing a minimum of one semester of their initial appointment. The College adheres to its high scholarly and educational standards, and at the same time supports the fact that a number of faculty have the dual concern of maintaining professional competence and of caring for children without harmful pressure of teaching and professional duties. Our primary concern is that a talented faculty member not be lost to Saint Mary's College because of the strains of maintaining both family and career.

The College’s parenting leave policy is consistent with the following principles:

• A faculty member who takes primary responsibility for the care of a newborn child or a newly adopted child while the College is in session, or near the beginning of a semester, should not feel compelled to return to work. Arrangements made in connection with the new child should disrupt the students’ education and the operation of the departments as little as possible.
• Pregnancy, delivery, and/or care of an infant are major events in the life of a faculty member. These events should not penalize a faculty member in pursuit of tenure.

The College offers faculty members a series of options. In consultation with the department, a faculty member may choose from the plans listed below the one most appropriate. The College includes the following policies as part of its parenting leave plan.

Tenure

In the case of the birth or adoption of a child, the faculty member will be granted a one-year extension of the tenure probationary period. If he/she chooses to be considered for tenure at the normal date, the decision will be honored.

Benefits

In all of the options, full benefits will continue with TIAA-CREF contribution and group life insurance prorated on the basis of salary.

Sabbatical Leave

A faculty member of the rank of Assistant Professor or above who chooses one of these options acquires credit towards sabbatical on a prorated basis.

Teaching Assignment

The faculty member needs to be able to negotiate an option which is workable for him/her and the department. If he/she continues to teach, every effort will be made to arrange a convenient teaching schedule. In the case that the medical leave option is chosen, the College will hire a substitute, since faculty members cannot be expected to assume a colleague’s full load during an extended medical leave.

The parenting leave options include:

Note : circumstances such as the actual date of birth and complications will sometimes require an extension or combination of these options over a period of two semesters.
Plan A – Medical Leave	The faculty member takes a medical leave (typically for a six-week period for normal pregnancy and delivery) but otherwise teaches full-time. He/she draws his/her full salary and benefits for the semester. Substitutes covering classes during the absence are paid by the College.
Plan B	One semester parenting leave: half pay, full benefits
Plan C	One semester half-time teaching load: full pay, full benefits

1.11.2.2. LONG-TERM LEAVES AND ABSENCES

1.11.2.2.1. POLICY

Non-occupational absences of more than six months resulting from total disability may be covered through the College’s participation in a group long-term disability insurance plan in accordance with the plan’s provisions. Between the onset of the disability and the beginning of long-term disability payments, the College will continue the faculty member’s salary and benefits, for a maximum of six months, as though that member were still working. The salary continuation policy includes disabling maternity, illness, and disability.

The tenure status of faculty members on long-term disability is fixed at the time of the onset of the disability; i.e., tenured faculty retain tenure, untenured faculty resume their probationary period with their return to teaching. Further information on the College’s long-term disability policy is available in Section IV, Faculty Personnel Policies.

1.11.2.2.2. PROCEDURE

As soon as a non-occupational disability becomes known to the department chair, the chair reports this in writing to the Dean of Faculty who in turn communicates this information to the Director of Human Resources who establishes the degree and likely duration of the non-occupational disability. The department chair consults with departmental faculty to determine how the department is to cope with the faculty member’s absence and communicates this information to the Provost and Senior Vice President for Academic Affairs. If further action is required, the issue may be taken to the Grievance Committee of the Faculty Assembly.

Any work related injury must be reported immediately to the department chair and the Department of Human Resources. The department chair informs the Dean of Faculty of the accident.

1.11.2.3. ACQUIRED IMMUNE DEFICIENCY SYNDROME (AIDS)

Persons in the Saint Mary's community with evidence of the HTLV III antibodies or Acquired Immune Deficiency Syndrome (AIDS) will be given the same attention and understanding that is given to any individual with a serious health problem. Each case will be unique and will be addressed based on the needs of the specific situation. Every effort will be made to assist these individuals in receiving the medical and health care needed while they remain in the Saint Mary’s community. If individuals are unable to perform their normal job responsibilities, a transfer to another job may be arranged, or if the individual is unable to perform any other reasonable duties, a medical leave may be granted. In keeping with accepted procedures for individuals with other health problems, every effort will be made to protect the individual’s confidentiality by not revealing identifying information.

Faculty and staff are encouraged to consult their personal physicians or use the services of the Employee Assistance Program for counseling and health needs. For questions of a non-medical nature, both the Counseling Center and Campus Ministry will provide assistance.

1.11.3. LEAVES OF ABSENCE WITHOUT SALARY

1.11.3.1. POLICY

Leaves of absence without salary may be granted to a faculty member should the situation be deemed appropriate by the department chair and the Dean of Faculty. Appropriate reasons include professional growth, research activities, health, or family requirements. Faculty who are on long-term leave without salary are normally not eligible for continuation of benefits. Exceptions to this practice can be approved by the Vice President and Dean of Faculty. When exceptions are made, the faculty member pays the full premium.

1.11.3.2. PROCEDURE

A faculty member wishing a leave of absence without salary is to submit the request to the Dean of Faculty with a copy to the department chair. The request should outline the nature of the proposed activity during the leave and such other information as would be useful in evaluating the request. In the case of a non-tenured faculty member applying for a leave without salary, the Dean of Faculty and the faculty member will negotiate whether leave time will count as probationary time for purposes of tenure. Within two weeks of the date of the request, the department chair is to send to the Dean of Faculty an evaluation of the request and department chair’s recommendation. The Dean of Faculty sends written notification to the department chair and the applicant of the Administration’s decision within thirty days of the receipt of the original petition.

Normally requests for leave of absence without salary are made at least six months before the beginning of the semester the leave is expected to commence. The department chair is to consult with the members of the department on how to meet the needs created by the faculty member’s absence.

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1.12. OUTSIDE EMPLOYMENT

Under normal circumstances, full-time members of the faculty and part-time tenure-track faculty members are not to engage in any outside employment during the academic year. Exceptions in cases involving special circumstances may be made. In these cases faculty members must request exceptions through their department chair. Requests must contain all pertinent information related to employment. The department chair will send this request along with a written recommendation to the Dean of Faculty. The final decision will be made by the Provost and Senior Vice President for Academic Affairs and the Dean of Faculty in consultation with the President. If a favorable decision is made, it will be effective only for that particular situation.

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1.13. CONFLICT OF INTEREST POLICY FOR FACULTY

1.13.1. Preamble

This policy is designed to allow College Faculty to determine if a potential or actual conflict of interest, hereafter COI, exists in their professional life with respect to the financial operation of the college. If there is a potential or actual financial or other COI, there is an expectation that the Faculty member 3 will disclose it so that a proper management process can be implemented. Disclosing a potential COI does not mean that the Faculty member will need to sever the relationship, but it may require the Faculty member to minimize potential problems. Overall, this is about disclosure and management, not about prohibitions.

The policy below applies to both Faculty members who engage in regular financial transaction of the college and to those Faculty members who, on occasion, might find themselves with a potential or actual financial COI. This policy and the procedures laid out herein clarify, as much as is reasonably possible, the matter pertaining to a financial COI for Faculty.

3 Missing Footnote

1.13.2. Definitions

Entity

Any person, firm, corporation, or organization that currently does business with, or is attempting to do business in the future with the College.

Faculty

The Faculty of the College consists of the teaching Faculty (each of whom holds a Faculty rank and whose primary responsibility is classroom teaching), the President, the Provost and Senior Vice President for Academic Affairs, emerita/us Faculty (when employed by the College), professional librarians, and those College administrators who, through their primary responsibilities to the College are other than teaching, have been appointed to the Faculty by the President. ( Governance Manual , Section III, p. 74). See a further description of the designated status of Faculty in the Governance Manual .

Family Member

For the Purpose of this provision, Family Members are defined as spouses, parents, siblings, children, and any other relative if the last reside in the same household as the Faculty member.

Financial Interest

The receipt or expectation of anything of greater than nominal monetary value, including salary or other payment for services, equity or other ownership interest

Controlling Interest

As used in this policy, means Fifty (50%) or more ownership, directly or indirectly, of the stock of a corporation, profits interest in a partnership, or equitable interest in an estate or trust. An individual shall be considered as owning the stock, partnership interest, or estate or trust interest, owned directly or indirectly by or for their Family member, as defined in this policy.

1.13.3. Policy

1. A Faculty member shall be considered to have a conflict of interest if:
   1. such Faculty member has actual or potential financial or other interests which impair or might reasonably appear to impair his or her independent, unbiased judgment in the discharge of his or her responsibilities to the College;
   2. such Faculty member is aware that a member of his or her family, or any organization in which such Faculty member (or member of his or her family) is an officer, director, employee, member, partner, trustee, or stockholder who has a Controlling Interest in such organization, and has such existing or potential financial or other interests which impair or might reasonably appear to impair his or her independent, unbiased judgment in the discharge of his or her responsibilities to the College;
   3. “interest” includes having interest in an organization which is in competition with an entity seeking to do business with the college and the Faculty member’s position gives him or her access to proprietary or privileged information which could benefit the entity in which the Faculty member or his or her Family member has an interest.
2. Faculty members must disclose in a timely fashion when duties exercised on behalf of Saint Mary's College bring them into business negotiations with an entity in which they or members of their family have a material financial interest or significant indebtedness.
3. A Faculty member must disclose in advance and in a timely fashion his or her participation in decisions or actions on behalf of Saint Mary's College which may result in personal gain greater than normal value for the Faculty member or the Faculty member’s family.
4. Faculty members also have a duty to disclose all solicitations to or offers from entities outside the College for financial support for their programs of study or research/scholarship. Faculty members involved with the design, conduct, or reporting of research or educational scholarly activities supported by outside funding of any significant value must disclose this involvement.
5. The policy disallows the following unless approved in advance by the Provost and Senior Vice President for Academic Affairs:

   Acceptance of gifts, entertainment, payments, loans, or favors of greater than nominal value involving more than social amenity from suppliers or goods or services to the College or from persons associated with or seeking association with the College.