II-C-12 Notification

.121 At each level, the Chair of the reviewing body is informed of the outcome of subsequent reviews.

.122 Upon request by the candidate, the Dean or, in a departmentalized School, the Chair of the Department may inform the candidate orally of the outcome of the reviews.

.123 At the conclusion of all required reviews, the Provost notifies the candidate in writing of the decision.

.124 If the outcome of a reappointment review is positive, the Chair or the Dean may counsel the Faculty member, orally or in writing, with regard to his or her continuing development.

.125 If the outcome of a reappointment or tenure review is negative, the Dean or the Chair, at the request of the candidate, informs the candidate of the general reasons that contributed to the decision. Communication with the candidate about the outcome of the review is conducted orally, unless the candidate specifically requests that the reasons for the negative decision be stated in writing. Such a request by the Faculty member must be made within 30 days of being informed of the decision (see above .123). Any written statement must be approved by the Provost.

.126 If the outcome of a review for promotion is negative, the Dean or the Chair may counsel a Faculty member in regard to his or her continuing development toward future promotion. Communication with the candidate about the outcome of the review is conducted orally, unless the candidate specifically requests that the reasons for the negative decision be stated in writing. Such a request by the Faculty member must be made within 30 days of being informed of the decision (see above .123). Any written statement must be approved by the Provost.

Section D. Criteria for Reviews

II-D-1 Introduction

.127 According to its Constitution, approved by the Board of Trustees on November 21, 1970, the Academic Senate, when its acts are approved by the President, sets "the minimum standards for Faculty appointments, promotions, and tenure" (Bylaws,. XI). This section presents criteria for the conferral of Faculty rank and association.

.128 The criteria prescribed by the Academic Senate for appointments and promotions are to be followed as normal and normative by the reviewing bodies. The Faculties and their Committees on Appointments and Promotions have the responsibility and freedom to exercise their judgment in weighing the accomplishments of the candidate and in making recommendations for appointment and appropriate rank to the Academic Senate and to the President.

.129 It is not the purpose of these regulations to deprive the University of proper Faculty personnel at any appropriate rank, and it is recognized that different requirements may be appropriate from time to time to maintain or advance the Faculty of one or more Schools. Accordingly, the Schools and Departments, or the President, may propose particular appointments and promotions that do not necessarily satisfy all of the stated criteria. Any exception or waiver of the criteria must be approved by the Committee on Appointments and Promotions of the Academic Senate and reported to and approved by the Academic Senate.

.130 Questions concerning the interpretation of the Senate's regulations are referred to its Committee on Committees and Rules, which reports its conclusions to the Senate for approval.

II-D-2 General Criteria for Faculty Rank

.131 A candidate for an academic appointment or promotion in rank must possess those personal and intellectual qualities normally expected in a teacher and director of students and must have a commitment to the aims and objectives of the University as set forth in this Faculty Handbook (Part I).

.132 The expectation of competency and satisfactory performance as a teacher and director of students is a requirement for appointment or promotion in any rank and, whenever possible, must be verified before such appointment or promotion. In consideration of proposals for promotion, pertinent data about teaching performance collected from members of the Faculty and students should be given attention. In order to ascertain and register student opinion for this purpose, each Department and School must provide for some documented means by which students evaluate teaching.

.133 Research is fruitful and beneficial only as it becomes publicly available and subject to reasonable evaluation and critique. This is chiefly accomplished through publication in recognized scholarly journals, monographic series, books, or other recognized means of dissemination. Reports and articles consisting of critical analysis and conceptualization contributing to the development of the theoretical base of professional practice are recognized as research in professional disciplines. Irrespective of their format or the means by which they are disseminated, works presented in partial fulfillment of requirements for Faculty rank must exemplify and be appropriately recognized as exemplifying high standards of attainment in scholarship, creativity, or clinical or professional skill.

.134 The following are ordinarily not recognized as research for the purposes of appointment and promotion: mere data collection and collation; project reports not subject to normal refereeing; popularizations; simple book reviews; translations without critical apparatus or interpretation; and, in general, works requiring little or no original insight.

.135 If the doctoral degree is the normal degree for Faculty appointment, publications based on a candidate's doctoral dissertation are not considered unless significant additional research and/or analysis has been involved.

.136 For appointment and promotion at any rank, the conscientious fulfillment of the duties and obligations of a member of the Faculties of the University is a necessary condition.

II-D-3 Specific Requirements for Faculty Rank

.137 Instructor. A candidate possessing the appropriate academic degree or training may be appointed to the rank of Instructor.

.138 Assistant Professor. Appointment or promotion to the rank of Assistant Professor may be made on fulfillment of one of the following criteria insofar as they may be taken as evidence of future academic achievement and advancement:

a. Possession of the appropriate academic degree, ordinarily the terminal degree; or

b. Research productivity; or

c. Five years of full?time teaching experience in an institution of higher education with adequate evidence of distinctive ability as a teacher and director of students; or

d. Such professional experience as, in the particular field, may reasonably be considered the equivalent of the foregoing.^[3]

 

.139 Associate Professor. Appointment or promotion to the rank of Associate Professor requires:

a. Sufficient experience, i.e., (i) four years of service as a regular Faculty member in this University or elsewhere; or (ii) acquisition by the candidate of such professional experience as may reasonably be considered the equivalent of the teaching service;

b. Possession of the appropriate academic degree, ordinarily the terminal degree;

c. Demonstrated competence as a teacher; and

d. Consistent research productivity, giving evidence of a high level of scholarly ability and the expectation of future recognition and advancement in academic achievement. Reasonable rates of publication on the part of a productive university scholar and teacher vary among fields of specialization, and such norms are to be given careful attention by the reviewing bodies. In case of publications with multiple authors the candidate's contribution must be clearly defined.

.140 In exceptional cases, appointment or promotion to the rank of Associate Professor may be based primarily on:

a. Outstanding and widely recognized achievement as a teacher and director of students; or

b. Other extraordinary contribution or service to the academic aims of the University or the scholarly community at large; or

c. Distinctive professional service related to the candidate's field of competence.^[4]

Even in these instances, however, some scholarly publication appropriate to the academic field is required if the candidate teaches at the graduate level.

.141 Professor. Appointment or promotion to the rank of Ordinary Professor requires:

a. Four years in the rank of Associate Professor in this University or elsewhere, or such professional experience as may be reasonably considered its equivalent; and

b. Fulfillment of the criteria listed above for the rank of Associate Professor; and

c. Achievement of recognized standing in the academic field or profession, evidenced by continuing research productivity acknowledged as significant by the scholarly community at large (C-11.117-120).

.142 Norms for Externs. When an extern is appointed to Faculty rank, the period of service required before eligibility for promotion may be determined in view of the qualifications presented. Any variation from the requirements for interns should be stipulated at the time of appointment by the cognizant Dean and Committee on Appointments and Promotions, and agreed to by the Provost.

II-D-4 Application of Equivalent Criteria

.143 In certain fields within the arts and within the professions, e.g. in the history of art or architecture, musicology, library and information science, or law, research is disseminated in the form of monographs, articles, or books, and is therefore generally subject to the same kind of evaluation as prescribed above (D-2.133-135). To the extent that publication, i.e. making public of creative work or advancement in the practice of a profession, assumes a specifically different modality in the field, equivalent criteria may be appropriate, as specified below (D5,D6). When an appointment or promotion to Faculty rank is proposed on the basis of equivalent criteria, the appropriateness of such criteria to the Faculty position must be clearly stated.

II-D-5 Equivalent Criteria for Architecture and the Arts

.144 For the rank of Assistant Professor, the candidate's work should manifest knowledge and skill showing professional competence in the field according to contemporary standards.

.145 For the rank of Associate Professor, the candidate's works must be recognized as significant by professional peers in the field outside the University. Work manifesting a superior skill and knowledge are exemplified in the paragraphs that follow (.146-149).

.146 Architectural Design: Executed or proposed architectural projects published in professional journals of national or international scope, projects recognized by regional or national awards, or work that has gained peer recognition for excellence in architecture (including contributions to the profession, history, technology, or theory), or allied disciplines.

.147 Fine Arts: Paintings, sculpture or other works properly belonging to disciplines related to the visual arts, such as ceramics, tapestry, etc., included by invitation or juried in national or international exhibitions, acquired for public display at the initiative of a public building, institution or recognized gallery or museum.

.148 Music: Original compositions of substantial dimensions that have been performed professionally, and have received regional or national recognition; or professional engagements, other than those sponsored by this University, and evaluated by qualified externs as being of professional caliber. In all cases the work must give evidence of outstanding ability of a professional character. Recordings are subject to standard publication criteria.

.149 Drama: The writing of a play produced under professional management with professional actors; the performance of a substantial role in such a production; or the direction of, or design for, such a production.

.150 For promotion to the rank of Ordinary Professor, the candidate must demonstrate consistent high level of professional accomplishments. Committees should make an extended evaluation of the candidate's works in consultation with outside experts in order to ascertain the prominence of the candidate's standing in the field.

II-D-6 Equivalent Criteria for Other Professional Fields

.151 For the rank of Assistant Professor, equivalent professional experience is, if appropriate, licensing or certification required for entry into the profession, or five years of full?time experience in the profession.

.152 For the rank of Associate Professor, the candidate must fulfill the requirements of time in previous rank, possession of the appropriate academic degree, and competence as a teacher. In addition, the candidate must demonstrate consistent research productivity or consistent high levels of professional competence, giving evidence of distinctive professional ability and the expectation of future recognition and advancement in the profession. Distinctive professional performance is demonstrated by a pattern of accomplishment in either or both of the following:

a. Standing in one's field as evidenced by the achievement of an advanced level of professional qualification, such as specialty certification; or

b. The development of innovative approaches, adopted by others in the profession, for the solution of professional problems.

.153 For the rank of Ordinary Professor, the candidate must demonstrate consistent research productivity and consistent high level of professional accomplishments, with distinction in one of the two areas. Committees must consult with outside experts in order to ascertain the prominence of the candidate's standing in one of the two areas.

II-D-7 Purpose of Tenure Review

.154 The purpose of the procedures for tenure review (C-8) and the criteria outlined here is to insure that the conferral of continuous tenure is based in every case upon an explicit judgment of qualifications of the candidate and the need of the University. In each case, the University seeks to attract and retain the best-qualified Faculty member, taking into account the qualifications not only of the incumbent but also of others who may be available for the position. The responsibility for assessing and judging the qualifications of any candidate for appointment or reappointment falls primarily upon the Faculties and the Academic Senate and their respective Committees on Appointments and Promotions.

.155 In view of the permanent nature of any appointment that carries continuous tenure, the qualifications of each candidate for such appointment must be conscientiously evaluated in terms not only of individual merit, but also of the present and future needs of the individual Programs, Departments, and Schools of the University. The reviewing bodies must be satisfied that the candidate possesses superior qualifications, as stated in the criteria below. There is no presumption in favor of tenure. If there is reasonable doubt concerning the candidate's qualifications or suitability for the position, tenure should not be conferred.

II-D-8 Criteria for Tenure

.156 Conferral of tenure requires consideration not only of the qualifications of the individual Faculty member, but also of the needs and purposes of the institution. The judgment must be based on an aggregate assessment of the duties that the candidate will be expected to carry, and no single factor should govern, although research and teaching are primary. The following are important factors to be considered in all recommendations:

a. The purpose of the appointment in relation to the mission and needs of the Program, Department, School, and University;

b. The candidate's present and projected competence and scholarly productivity at least at the level required of an Associate Professor (D-3.139-140), including his or her standing among scholars at comparable stages of their careers in the same field of specialization;

c. The candidate's competence as a teacher, including where applicable ability as a director of dissertations or as a director of clinical or field training as well as such matters as the updating and introduction of new material into courses, the offering of new courses, and pedagogical soundness and effectiveness;

d. The indications that the candidate is not merely competent at a minimal level but is one of the most qualified among those available for the position; accordingly, the reviewing bodies must explicitly weigh the candidate's qualifications against the advisability of seeking to recruit another Faculty member who might prove more promising and, in time, better qualified for tenure;

e. The candidate's moral integrity, including respect for the ethical obligations of the teaching profession;

f. The candidate's commitment to the stated aims and goals of the University, School and Department;

g. The candidate's active participation in Departmental, School, and University activities and willingness to carry committee and other Faculty responsibilities;

h. The candidate's ability to work in a collegial fashion with other members of the academic community, including students and other Faculty members;

i. The candidate's participation in the activities of the appropriate learned societies and professional organizations, meetings, and conferences and, where applicable, professional registration, licensing, or certification.

.157 If at the time of consideration for tenure, a Faculty member is also being considered for promotion in rank, the promotion review should be conducted first. The reviewing bodies should consider the application for tenure on its own specific merits according to the criteria outlined above. Promotion in rank does not by itself imply the acquisition of a claim to continuous tenure.

II-D-9 Probationary Term Reappointments

.158 In considering a Faculty member in probationary status for reappointment, the reviewing bodies should be guided by the criteria specified for tenure reviews (D-8) insofar as they can be fairly applied in light of the period of service then completed by the candidate.

II-D-10 Contract Appointments Without Tenure

.159 For a contract appointment as Instructor or Assistant Professor in a clinical or skills position the candidate must meet the requirements for the rank as specified in (D-3.137-138).

.160 After a minimum of four years service as Assistant Professor or its equivalent in professional practice, a Faculty member may be promoted or appointed to the rank of Associate Professor according to criteria specified for the rank (D-3.139-140).

.161 The criteria for renewal of a contract appointment are:

a. Satisfactory performance of the instructional and other duties specified in the job description;

b. Recognition that the reappointment meets the needs of the Department, School and University;

c. Where applicable, maintenance of appropriate professional license or other professional credentials.

II-D-11 Faculty Associates

.162 The criteria for appointment and promotion of Research, Adjunct, and Visiting Faculty to the several professorial ranks are the same as for regular Faculty members.

Section E. Appeals from Adverse Decisions

II-E-1 Grounds for Appeal

.163 A Faculty member may appeal the non-renewal of a probationary appointment, a recommendation against conferral of continuous tenure or against promotion in rank, or termination of service because of termination of a program. The appeal may be made on three grounds: 1) inadequate evaluation, i.e. inadequate process or inadequate consideration of the credentials of the candidate in relation to the requirements of the academic unit, or 2) violation of principles of academic freedom, or 3) unlawful discrimination.

II-E-2 Appeals on Grounds of Inadequate Evaluation

.164 An appeal for reconsideration must be made in writing to the Provost within thirty days^[5] after the candidate receives notice of the adverse decision (C-12.123) or within thirty days after receiving a written statement of reasons for the decision (C-12.125-126). The request for reconsideration must articulate the grounds on which it is based.

.165 The Provost, after such consultation as he or she deems appropriate and no later than thirty days after the appeal is received, may grant the request for reconsideration or, on the basis of insufficient grounds for the appeal, reject it.

.166 If the appeal is rejected, the adverse decision stands, and the Provost will so advise the Faculty member.

.167 If the appeal is granted, the Provost so informs the candidate and transmits the request for reconsideration, with an explanation and any pertinent documentation, to the appropriate reviewing body. Depending on the reasons for the appeal, at the discretion of the Provost the case is referred for reconsideration either directly to the CAP of the Academic Senate or first to the Department and/or the School and then to the CAP of the Senate.

.168 A favorable recommendation resulting from reconsideration is forwarded in the usual manner as provided in C-7, C-8, C-9.

.169 If the original adverse recommendation by a Department and/or School is sustained on appeal by the CAP of the Academic Senate, the appeal fails. Upon receiving a report in confidence from the Chair of the Senate CAP on its action and supporting reasons, the Provost may nevertheless make a positive recommendation to the Academic Senate, which then makes the final decision.

.170 If the adverse recommendation originated from the CAP of the Academic Senate and is sustained on appeal by the CAP of the Academic Senate, the case must be referred to the Academic Senate for the final disposition.

II-E-3 Appeals on Grounds of Academic Freedom

.171 A Faculty member who alleges that an adverse decision violated principles of academic freedom, shall appeal to the Provost in writing within thirty days after he or she receives notice of the adverse decision (C-12.123) or within thirty days after receiving a written statement of reasons for the decision (C-12.126). The appeal must articulate the grounds on which it is based.

.172 Informal Resolution. If the Provost, after appropriate consultation, determines that a decision may have been influenced by considerations that violate principles of academic freedom, he or she shall meet with the parties involved and attempt to resolve the matter informally.

.173 Faculty Grievance Committee. If the matter has not been resolved within thirty days of the date that the Provost has received a written complaint from the Faculty member, the Faculty member may request a review of the matter by the Faculty Grievance Committee. Such a request shall be made within ninety days of receipt of the original adverse decision.

.174 A request for a review by the Faculty Grievance Committee should be made according to Faculty Grievance procedures (Faculty Handbook, Part III).

.175 After receiving the report of the Grievance Committee, the Provost may (1) reject the appeal; (2) if the original adverse decision was the outcome of reviews at the level of the School, refer the case for consideration by the CAP of the Academic Senate following normal procedures as provided in Section C. Procedures for Appointments and Promotions; (3) refer the case to the Academic Senate for further process as provided in E-5.

II-E-4 Appeals on Grounds of Unlawful Discrimination

.176 A Faculty member who alleges that an adverse decision resulted from unlawful discrimination, shall appeal to the Provost in writing within thirty days after he or she receives notice of the adverse decision (C-12.123) or within thirty days after receiving a written statement of reasons for the decision (C-12.126). The appeal must articulate the grounds on which it is based.

.177 Informal Resolution. If the Provost, after appropriate consultation, determines that a decision may have been influenced by considerations that constitute unlawful discrimination, he or she shall meet with the parties involved and attempt to resolve the matter informally.

.178 Equal Opportunity Officer. If the matter has not been resolved within thirty days of the date that the Provost has received a written complaint from the Faculty member, or if the Faculty member chooses to end the informal resolution process with the Provost, the Faculty member may bring the matter to the Equal Opportunity Officer according to procedures applicable to that office (Personnel Manual).

.179 The Equal Opportunity Officer may attempt to resolve the dispute informally.

.180 If the matter is not resolved informally, the Equal Opportunity Officer shall determine, according to procedures applicable to that office, whether there is reason to believe that there has been unlawful discrimination, and so report to the Provost.

.181 After receiving the report of the Equal Opportunity Officer, the Provost may (1) reject the appeal; (2) if the original adverse decision was the outcome of reviews at the level of the School, refer the case for consideration by the CAP of the Academic Senate following normal procedures as provided in Section C. Procedures for Appointments and Promotions; (3) refer the case to the Academic Senate for further process as provided in E-5.

II-E-5 Ad Hoc Review Committee of the Academic Senate

.182 If the Chair of the Academic Senate receives the conclusion of the Provost that there is reason to believe an adverse decision regarding renewal, promotion, or tenure may have violated principles of academic freedom or may have been the result of unlawful discrimination, the Senate shall appoint seven Tenured Ordinary Professors to serve as an Ad Hoc Review Committee. The Senate shall designate one member of the Committee to serve as Chair.

.183 The Ad Hoc Committee shall review the case solely on the basis of academic merit and shall follow the same procedures, and apply the same criteria, as govern the reviews conducted by the Committee on Appointments and Promotions of the Academic Senate.

.184 If the original adverse recommendation by the CAP of the Academic Senate is sustained by the Ad Hoc Review Committee, the appeal fails, and the Provost so informs the Faculty member.

.185 If the Ad Hoc Review Committee recommends that promotion in rank or conferral of tenure be granted, it forwards the recommendation to the Academic Senate for its consideration and action as provided in C-8 and C-9, or, in the case of renewal of appointment, to the Provost (see C-7.091).

 

Section F. Termination of Appointments

II-F-1 Expiration of Term

.186 Probationary appointments and appointments as Faculty associates are for stated terms. A probationary appointment is terminated at the end of the stated term if timely notice of non-renewal is given, in accordance with the schedule set forth in B-3.023-028. An appointment as a Faculty associate is terminated automatically at the end of the stated term without further notice.

II-F-2 Resignation

.187 A Faculty member who wishes to resign from the position shall do so by letter addressed to the Provost and to the Dean of the School, providing a copy of that letter to the President and, where applicable, to the Chair of the Department. The Provost, following discussion with the cognizant Dean, shall acknowledge the resignation by letter, also providing a copy of that letter to the President and, where applicable, to the Chair of the Department. Members of the Faculties share with the University the mutual obligation of giving advance notice of termination of service in reasonable time, normally before the beginning of the last semester of service.

II-F-3 Retirement

.188 A Faculty member who wishes to retire from the position shall do so by letter addressed to the Provost and to the Dean of the School, providing a copy of that letter to the President and, where applicable, to the Chair of the Department. The Provost, following discussion with the cognizant Dean, shall acknowledge the retirement by letter, also providing a copy of that letter to the President and, where applicable, to the Chair of the Department. Members of the Faculties share with the University the mutual obligation of giving advance notice of termination of service in reasonable time, normally before the beginning of the last semester of service.

II-F-4 Termination for Medical Reasons

.189 A Faculty member's inability to discharge duties and obligations for medical reasons may be a valid ground for the termination of the appointment. A decision to terminate an appointment for medical reasons may be made by the Provost only when there is clear and convincing medical evidence that the inability will continue beyond a reasonable time, and after appropriate consultation with (1) the Dean of the School, (2) if necessary, impartial medical authority, and (3) the Faculty member concerned or a representative. The Faculty member may appeal such a decision to the Academic Senate, which shall appoint a committee to review the decision and report its findings through the Senate to the President for recommendation and final action by the Board of Trustees.

II-F-5 Abolition of Position

.190 Termination of an appointment with continuous tenure, or of a probationary appointment before the end of its specified term, may follow elimination of a position because of discontinuance of a Program, Department, or School (See Section G. Termination of Programs). If an appointment is terminated for this reason, the University will make every reasonable effort to transfer the affected individual to another suitable position. If the new position is academic, the transfer and the terms of the appointment are subject to the approval of the cognizant Department and/or School according to normal procedure (Section C. Procedures for Appointments and Promotions). Failing such transfer, notice or severance salary in lieu of notice will be given according to the schedule outlined in B-3.023-028 in the case of a probationary appointee, or for one year in the case of a tenured appointee. Should the position be reinstated within a period of two years, the previous incumbent, if tenured at the time of termination, will be offered reappointment. The Faculty member must accept reappointment within thirty days from the date of offer.

.191 The decision to terminate the services of a member of a Faculty because of abolition of the position held may be appealed as provided in Section E. Appeals from Adverse Decisions.

II-F-6 Obligations of Clerics and Religious

.192 In issuing an appointment to a cleric or a professed religious of the Roman Catholic Church, the University recognizes not only the professional qualifications of the appointee but also the public effects of the appointee's status as an ordained cleric or professed religious, which include primary obligations to ecclesiastical superiors and observance of the provisions of Canon Law. If a Roman Catholic cleric loses clerical status under any canonical condition that requires his resignation from the University, or if such resignation is required as the result of an ecclesiastical process determining that he no longer may function as a Roman Catholic cleric, or if the cleric or a professed religious is recalled by his or her legitimate ecclesiastical superiors even without cause, the University's contractual obligations shall become void.

II-F-7 Dismissal for Cause

.193 Authority. Only the Board of Trustees may dismiss for cause a Faculty member with tenure or whose term appointment has not expired.

.194 Grounds for Dismissal. The University may, following due process specified below, dismiss a Faculty member for demonstrable incompetence or dishonesty in teaching or research, for manifest neglect of duty, or for other adequate cause.

.195 Informal Resolution. When there is reason to believe that there are grounds for the dismissal of a member of a Faculty who has tenure or whose term appointment has not expired, the President or his or her representative will advise the Faculty member of the alleged grounds and attempt through personal consultation to resolve the matter.

.196 Commencement and Notice of Dismissal Proceedings. If the matter is not resolved informally, the President may commence formal dismissal proceedings by providing the Faculty member with a written statement of the grounds for dismissal. Such a statement must explain with particularity the factual bases of the alleged grounds for dismissal. The written statement of grounds for dismissal must also state that the Faculty member has the right to be heard by an Ad Hoc Hearing Committee of the Academic Senate. The President shall at the same time notify in writing the officers of the Academic Senate that a proceeding for dismissal has been instituted.

.197 Ad Hoc Committee of the Academic Senate. When the Academic Senate receives notice that a proceeding for dismissal has been instituted, it shall constitute an Ad Hoc Hearing Committee consisting of five Tenured Senior Faculty members. One of the committee members will be designated by the Senate to serve as Chair. The Senate will also designate, in ranked order, a number of alternates. Any appointee who cannot render an unbiased judgment will so notify the Chairperson of the Academic Senate and be relieved of service. The President and the Faculty member will each have the right to strike, without stating cause, two members proposed for the Committee.

.198 Faculty Member's Response. When the Ad Hoc Hearing Committee has been constituted, the Chairperson of that Committee will (1) notify the Faculty member and the President that a Committee has been formed; (2) identify its members: and (3) instruct the Faculty member to submit to this committee and the President a written response to the President's stated Grounds for Dismissal within thirty days of the notice. (4) advise the Faculty member that he or she may be assisted or represented by counsel and/or by an academic advisor, at the Faculty member's choice and expense, throughout the process, and (5) request the President, if he or she chooses, to designate a representative to participate in the proceedings.

.199 Notice of Hearing. The Committee shall notify the Faculty member and the President, by certified mail, not less than thirty days in advance of a scheduled hearing. If the Faculty member waives a hearing, the Committee will reach its conclusion based on the documentary evidence presented by the President and the Faculty member.

.200 Conduct of Hearing. The Committee, in consultation with the parties, shall decide whether the hearing will be public or private. At the request of either party, or the Committee, a representative of a responsible educational association may attend the proceedings as an observer.

.201 Record of Hearing. A verbatim record of the hearing shall be taken, and, if requested, a printed copy shall be made available to the Faculty member without cost. The Faculty member and the President's representative will have the right to confront and cross-examine all witnesses. If a witness cannot or will not appear, but the Committee determines that the interests of justice so require, a written statement by that witness may be admitted in evidence. In such a case the Committee will identify the witness, disclose the statement, and if possible provide for interrogatories. In a hearing on charges of incompetence the testimony shall include that of qualified Faculty members from this or other institutions of higher education.

.202 Rules of Evidence. The Hearing Committee is not bound by strict legal rules of evidence, but may admit any evidence which it judges to be relevant, reliable, and probative on the issues involved.

.203 Burden of Proof. The burden of proving that adequate cause for dismissal exists rests with the President, and shall be satisfied only by clear and convincing evidence in the record considered as a whole.

.204 Access to Evidence. The Faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence, and the University will, insofar as is reasonable, secure the cooperation of such witnesses and make available necessary documents and other evidence within its control. The Hearing Committee shall grant adjournments requested by either party to investigate evidence as to which there is a valid claim of surprise.

.205 Public Announcements. Private hearings are considered confidential. In such a private hearing, except for announcements covering the time and location of the hearing and similar matters, public statements and publicity about the case by either the Faculty member or administrative officers of the University shall be avoided until the proceedings have been completed, including consideration by the Board of Trustees.

.206 Committee's Determination. After the hearing, or after reviewing all documentary evidence presented in lieu of hearing, the Committee will render a decision by majority vote.

.207 If the Committee concludes that the President has established grounds for dismissal, it may further determine that some action other than dismissal is warranted. The Committee shall prepare written findings of facts identifying the factual bases for its conclusion. The findings must be supported by the evidentiary record. The Faculty member and the President shall be notified of the decision in writing and shall be provided with a copy of the findings of facts and the conclusion. On request, the President and the Faculty member shall be given a copy of the hearing record.

.208 If the Committee concludes that adequate cause for dismissal has not been established, and the President rejects the Committee's conclusion, the President may so advise the Faculty member and the Committee in writing of the basis of the rejection and ask the Committee to reconsider the matter. In responding to the President's request the Committee will consider any response by the Faculty member. If the Committee reaffirms its conclusion that adequate cause for dismissal has not been established, it will so report to the President and the Faculty member.

.209 Board of Trustees. If dismissal or other penalties are recommended, or, contrary to the Committee's conclusion the President chooses to pursue dismissal proceedings, the President will transmit the record of the case to the Board of Trustees. The Board's review will be based on the record of the Hearing Committee, and it will provide opportunity for argument, oral or written, by the parties. The decision of the Hearing Committee will either be sustained, or the proceeding returned to the Committee with specific objections to the Committee's findings or conclusions. The Hearing Committee will then reconsider, taking into account the stated objections of the Board and receiving new evidence if necessary. The Board of Trustees will make a final decision only after study of the Committee's reconsideration.

.210 Status of Faculty Member during Proceedings. Until a final decision regarding dismissal has been reached, the Faculty member will be suspended, or assigned to other duties in lieu of suspension, only if continuance in the normal course of Faculty duties threatensimmediate harm to oneself or others. Before suspending a Faculty member, the President or a representative shall consult with the Committee on Academic Freedom and Tenure of the Academic Senate concerning the reason for the suspension. The Faculty member's compensation shall continue during the period of suspension.

.211 Dismissal. If dismissed, the Faculty member shall receive notice of termination and compensation for the notice period required for non-renewal as provided in B-3.023-028 or, if the Faculty member was tenured, for one year. This provision for notice and salary does not apply if the conduct which justified dismissal involved moral turpitude.

Section G. Policy and Procedures for Termination

of Schools, Departments, or Programs

II-G-1 Definition of Terms

.212 A School is a major academic division of the University. It is characterized by its own Faculty, presided over by a Dean, and by distinctive course offerings leading to degrees in one or more areas of specialization. A School has its own budget, approved by the Provost.

.213 A Department is the basic instructional unit of the University within Schools that offer courses in a variety of disciplines. It is characterized by its own Faculty, presided over by a Chair, and by distinctive course offerings leading to degrees in its area of specialization. A Department has its own budget, approved by the Dean of the School within which it is located.

.214 A Program is any course of studies or sequence of courses in an identifiable area of concentration, usually leading to a degree or certificate in one of the schools of the University. Programs may be confined to one Department or School, or they may involve two or more Departments or Schools. For purposes of this document, programs will be regarded as instructional units within the University differentiated from Departments or Schools in that they have more narrowly defined areas of study or concentration. They differ also from institutes and centers of the University in that their courses carry credit and usually lead to degrees or certificates. They also differ from purely research programs that are not considered here.

.215 Faculty, as understood herein, refers to regular Faculty members as defined in A-1.004.

.216 Financial exigency, for purposes of this document, refers to a state of fiscal need within an instructional unit of the University wherein it can no longer operate within the portion of the total annual budget of the University allocated to it by the responsible authorities and when continued subsidy of the unit is seriously undermining the University's overall academic mission in light of severe financial constraints on the institution.

II-G-2 Grounds for Termination

.217 The University may terminate a School, Department or Program on grounds of financial exigency or for reasons other than financial exigency. Such reasons include, but are not limited to, seriously diminished academic quality or a persistent failure to attract qualified faculty or students. Any decision to terminate a School, Department or Program must reflect consideration of the School's, Department's or Program's relationship to the mission of the University.

II-G-3 Authority for Termination and Initiation of the Process

.218 A proposal to terminate a School, Department, or Program may be initiated by the academic unit itself upon a majority vote of the Faculty, or on the recommendation of the Dean. Such a recommendation may also originate with the Board of Trustees, the President or the Provost. The recommendation to terminate an academic unit shall require consultation with the representatives of the students enrolled in the School, Department or Program, with the affected Faculty, with the Dean, and with the Provost of the University.

.219 A recommendation to terminate will clearly state the reasons for the recommendation.

.220 Action by the Academic Senate on a recommendation, as required in this section, should be carried out expeditiously. In accord with the Constitution of the Academic Senate (Art. VIII), termination of a Program is not effective until the recommendation receives the favorable vote of the Academic Senate and is approved by the President of the University. In accord with the By-laws of the University (Sec. II, Art. 7), termination of a School or Department is not effective until the advice of the Academic Senate is transmitted by the President to the Board of Trustees and acted upon by that body.

II-G-4 Preliminary Consideration of Financial Exigency

.221 Any recommendation for termination owing to financial exigency is to be referred to the Budget and Planning Committee of the Academic Senate for its judgment that, in the context of the recommendation and in light of the overall budget of the University, a state of financial exigency actually exists. To come to a termination decision the Budget and Planning Committee must be concerned, with regard to the overall budget, to assure the following:

a. That adequate consultation has taken place between the Board of Trustees, the Administration, and the Academic Senate on the allocation of resources to academic programs;

b. That the integrity of the academic enterprise of the University as a whole is recognized and preserved and that, within the restraints imposed by changing priorities and resources, the overall budget permits the University to maintain excellence as an academic community for itself and for each of its parts;

c. That, in the projected allocation of resources to the Department or Program under consideration, the degree of relationship of that Department or Program to the University's purpose, as expressed in its mission statement, has actually been taken into account;

d. That, in working out the details of the proposed budget for the School, Department or Program under consideration, academic factors such as purpose, present strength, curriculum maintenance, and promise have been balanced against economic concerns with respect to the amount of past and present subsidy from the operational funds of the University and relative cost effectiveness measured as appropriate to the Department or Program involved.

.222 Having studied the recommendation for termination in light of the considerations above, the Budget and Planning Committee of the Academic Senate may do one of the following:

a. Judge that a state of financial exigency does exist such as to warrant the possible termination of the School, Department or Program;

b. Judge that a general state of financial exigency exists, but that

(i) it is not sufficient to warrant the termination of an entire School or Department and that the termination of a Program should be considered as an alternative, or

(ii) it is not sufficient to warrant the termination of a School, a Department or a Program and that selective termination of Faculty within the specified School, Department or Program should be considered as an alternative;

c. Judge that financial exigency does not exist.

.223 The Budget and Planning Committee shall report its findings and conclusions to the Academic Senate.

II-G-5 Preliminary Consideration of Reasons Other Than Financial Exigency

.224 A recommendation to terminate a School, Department or Program for reasons other than financial exigency will be referred to the Educational Policy Committee of the Academic Senate and/or such other committee or committees as the Senate deems appropriate for a preliminary determination that the recommendation does or does not establish that sound reason exists for termination. In reaching a determination the reviewing committee(s) must consider the integrity of the academic enterprise of the University as a whole and be satisfied that, within the constraints imposed by changing priorities and resources, its recommendation would allow the University to maintain excellence as an academic community for itself and for each of its parts.

.225 Having considered the recommendation to terminate in light of the considerations outlined above, the Senate Committee on Educational Policy or other reviewing committee(s) will determine and report to the Senate whether or not the recommendation establishes that there is sound reason to terminate the School, Department or Program.

Section II Continued >>