FACULTY HANDBOOK
PART III: FACULTY PERSONNEL POLICIES
3.1 ACADEMIC FREEDOM AND RESPONSIBILITY
3.1.1
St. Ambrose University has endorsed the 1940 Statement of the Principles on Academic Freedom and Tenure formulated by the Association of American Colleges and the American Association of University Professors.
3.1.2
A fundamental right (as well as a professional responsibility) of the member of a teaching faculty is always to exercise and cherish academic freedom. This privilege and obligation involves the dissemination of knowledge through teaching; the augmentation of knowledge through research and publication; and the continuing enhancement of scholarly expertise in a specific academic discipline. At St. Ambrose, academic freedom is recognized as a right of the classroom teacher as well as the teacher involved in research and publication. Nevertheless, research and publication, though encouraged, should be considered ancillary to good teaching and conscientious student counseling. Faculty members are also encouraged to become actively aware of and interested in the affairs of local, state and national government, particularly in areas that relate to higher education.
3.1.3
It should be obvious that the faculty member is an employee of an institution, as well as a citizen and member of a learned profession. These facts impose special obligations on faculty members when they speak or write in their capacity as private individuals. There is a danger that views of an individual faculty member may be interpreted as positions taken by the teaching profession generally, and by St. Ambrose University in particular. Accuracy and tact are needed in many cases so that such incorrect inferences are not likely to be drawn. It should also be noted that the rights and responsibilities of academic freedom at this institution include the rights and responsibilities of students. The freedom to teach and the freedom to learn are, in fact, intergral to a sound education.
3.1.4
Sexual Harassment Policy
3.1.4.1
St. Ambrose University aims to create an environment of mutual respect and cooperation wherein all members of the campus community (students, faculty, staff, and administration) can work and learn at the full measure of their human potential. The University will not condone nor tolerate behavior that a reasonable person would consider demeaning to another's God-given dignity and worth as an individual.
3.1.4.2
St. Ambrose University strives to maintain a learning environment that is nurturing, fosters respect, and encourages growth among the cultures and individuals represented. As noted in the University's Affirmative Action Plan, the University prohibits discrimination based on race color, religion, age, sex, national origin, marital status, disability or veteran status. More specifically, it prohibits harassment, which may be defined as:
3.1.4.2.1
the unreasonable use of an individual's protected status as the basis for a negative employment or educational decision affecting such individual, or
3.1.4.2.2
verbal or physical conduct toward an individual based on his or her protected status that has the purpose or effect of unreasonably interfering with a person's work or educational performance or creating an intimidating, hostile, or offensive work or learning environment.
3.1.4.3
St. Ambrose University reaffirms the principle that its students, faculty, and staff have a right to be free from discrimination in the form of harassment by any member of the academic community. Acts of harassment are prohibited and are subject to sanctions and disciplinary measures.
3.1.4.4
Harassment is especially serious when it threatens relationships between student and teacher, given the fundamentally asymmetric nature of the relationship.
3.1.4.5
Sexual Harassment is one form of harassment and is defined as unwelcome sexual advances, sexual favors, and/or other verbal or physical conduct of a sexual nature when:
3.1.4.5.1
submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or status in a course, program, or activity;
3.1.4.5.2
submission to or rejection of such conduct by an individual is used as the basis for employment or educational decisions affecting such individual; or
3.1.4.5.3
such conduct has the purpose or effect of unreasonably and substantially interfering with a person's work or educational performance or creating an intimidating, hostile, or offensive work or learning environment.
3.1.4.6
Prohibited acts of sexual harassment can take a variety of forms ranging from pressure for sexual activity to physical assault. Examples of the kinds of conduct which may constitute sexual harassment if the conduct is pervasive or severe enough to meet the definition outlined above include but are not limited to:
3.1.4.6.1
Verbal: Direct or indirect threats or intimation of sexual relations or sexual contact which is not freely or mutually agreeable to both parties; continual or repeated verbal abuses of a sexual nature, including graphic commentaries on the person's body; sexually suggestive objects or pictures that may embarrass or offend the person,; sexual innuendoes, insults, jokes, remarks, anecdotes, subtle pressure for sexual activity, direct propositions of a sexual nature, unwelcome and persistent requests, or sexual advances in exchange for a grade.
3.1.4.6.2
Nonverbal: Repeated and unwanted staring, leering, or inappropriate communication with the body such as whistling or obscene gestures.
3.1.4.6.3
Physical: Unnecessary touching, patting, pinching, hugging, brushing against a person's body, coerced sexual intercourse or sexual assault.
3.1.4.7
Any person who feels he or she is being subjected to offensive behavior of any kind should feel free to object to the behavior and should also file a complaint. All complaints about harassment will be responded to promptly and equitably with a complete and objective investigation. This policy explicitly prohibits retaliation against individuals who in good faith bring complaints of harassment. An individual found to be guilty of harassment will receive appropriate counseling at his or her own expense and/or disciplinary action for violations of this policy, consistent with existing procedures. Any proceedings will be conducted as confidentially as possible to protect the interests of both parties.
3.1.4.8
Individuals who believe they have been harassed may obtain redress through the established procedures of the institution. Complaints may be initiated in accordance with procedures outlined in the University Policy on Disciplinary Actions and Grievances. According to that policy, if an individual is uncomfortable reporting harassment to the person usually acting as administrator over the complainant or accused, he or she may file the complaint with any one of the following: the Affirmative Action Officer, the Provost, Director of Personnel, Dean of Students, or the Dean of a College. A complete and objective investigation will be undertaken by that administrator or another trained designee approved by the President or officers for handling such matters. Also, an individual making such a report and the accused may access the existing Facilitator Program (see Appendix A) or may seek the names of professionals to assist them in coping.
3.1.4.9
The University will make efforts to educate all in its campus community about the rights protected by the policy and conduct proscribed by it as well as procedures for handling complaints.
3.1.4.10
Single incidents of an offensive nature may not rise to the level of harassment but violate other current University policies. It is stressed that these be reported in accordance with the appropriate processes outlined in those policies so that they do not rise to the level of harassment.
3.1.5
Grievance Procedures for Violations of the Harassment Policy
3.1.5.1
Introduction
3.1.5.1.1
This document is intended to offer procedures that can be used by members of the St. Ambrose University community to help ensure that any proceedings in cases of alleged harassment will be conducted as confidentially as possible, that both complainant and accused find support throughout the process, and that if the complaint is founded the accused is disciplined justly and quickly for violation of the harassment policy. These procedures have been established for reporting alleged violations of University policies whether they be University-wide policies or those applying to specific populations of the University through the Student, Staff, or Faculty Handbooks. References may be made back to procedures outlined in the appropriate handbooks, but this policy provides direction for reporting any violations and more specifically addressed reporting alleged acts of discrimination because of race, color, religion, national origin, sex, age, veteran's status, marital status, or handicap, and for hearing Title IX complaints and harassment complaints.
3.1.5.1.2
The following sections outline several possible methods of proceeding with a complaint of harassment: 1) by directly contacting the person who is perceived to be harassing, 2) by bringing an informal complaint for possible resolution through mediation, or 3) by filing a formal complaint for resolution through the appropriate University hearing board (see section V below). These are given as options and not as required steps; a person who believers she or he has been the victim of harassment may choose to begin with any one of the methods described below or may choose to proceed directly to litigation.
3.1.5.2
General Reporting Guidelines
3.1.5.2.1
Generally, allegations of policy violations may first be handled informally with attempts to settle conflicts and disputes without resorting to formal disciplinary procedures. However, when formal procedures are appropriate, allegations of violations should be reported as follows:
3.1.5.2.1.1
Violations by a student should be reported to the Dean of Students pursuant to the Student Handbook regarding Student Judicial Board Procedures;
3.1.5.2.1.2
Violations by a staff member should be reported to his or her supervisor pursuant to the Staff Handbook Disciplinary Policy and related policies with subsequent review according to its Grievance Procedure;
3.1.5.2.1.3
Violations by a faculty member should be reported to the Department Chairperson or Dean in accordance with the Faculty Handbook; and
3.1.5.2.1.4
Violations by an administrator should be reported to the appropriate Vice President, Provost, or to the President.
3.1.5.2.2
Retaliation against the person bringing a complaint of policy violation will not be tolerated.
3.1.5.3
Resolution through Direct Contact
3.1.5.3.1
A complainant may approach a Facilitator (see Appendix A) or other individual who can help the complainant determine whether harassment has occurred, inform the complainant of the options for bringing a complaint, help the complainant determine where to enter the process, and may, at the request of the complainant, advise and accompany the complainant throughout the process.
3.1.5.3.2
As one option for dealing with a complaint, the complainant may approach directly the individual with whom there is a conflict. The first contact with the one perceived to be harassing may be made either in writing or by speaking to the person.
3.1.5.3.3
A person accused of harassment may also approach a Facilitator or other supportive party. This individual will help the accused to understand the complaint, ensure that the accused understands both the informal and formal stages of the process, and may, at the request of the accused, advise and accompany the accused throughout the process.
3.1.5.4
Informal Procedure
3.1.5.4.1
If a resolution cannot be reached on the basis of direct contact, the complainant may enter the process for harassment by approaching the University Counseling Center for mediation services.
3.1.5.4.2
The mediator, a member of the Counseling Staff, will speak to each party individually. If the mediator determines that both parties are open to mediation, the mediator will arrange a meeting of the complainant and the accused.
3.1.5.4.3
The complaint may be resolved at this point. At the conclusion of mediation, the mediator will summarize the proceeding. The record will include the names of the persons involved, the date of the complaint, the date mediation occurred, and a summary of the understanding achieved by both parties. This record will be kept in a secure file in the Personnel Office as long as the accused is affiliated with the institution. No other individuals, committees, or departments will have access to the record.
3.1.5.5
Process for Making a Formal Complaint
3.1.5.5.1
Formal procedure should be initiated in a timely manner following the alleged occurrence(s) which is (are) being grieved. All harassment allegations will be responded to as promptly and equitably as possible with a complete and impartial investigation (see Appendix B: Investigation) by the administrator or designee provided for above, followed by a hearing by the appropriate hearing board as outlined below, and results reported to the complainant and accused. The deadline for filing a formal complaint is 90 days after the alleged incident. A complainant should keep the deadline in mind as a case possibly progresses through the less formal resolution options.
3.1.5.5.2
The complainant initiates formal procedures, including a hearing, by filing a formal grievance statement with the Affirmative Action Officer, the Dean of Students, the Dean of a College, the Provost, or the Director of Personnel. The complainant, in the formal grievance statement, shall describe the pertinent facts and circumstances of the grievance, alleged incidents and dates of their occurrence, persons allegedly involved, and the law, policy, or regulation allegedly violated. The complainant, in the formal grievance, shall also specify the relief which he/she seeks.
3.1.5.5.3
The formal grievance will be heard by the appropriate body to hear a matter against the accused. Specifically, allegations:
3.1.5.5.3.1
against a student will be heard by the St. Ambrose Student Judicial Board;
3.1.5.5.3.2
against a staff member or administrator will be treated in accordance with the Staff Handbook's
Disciplinary Policy with subsequent appeal through the Grievance Procedure;
3.1.5.5.3.3
against faculty will be handled by the Provost who will inform the alleged offender of the allegation and complainant with a written statement of the complaint provided to both parties. If the Provost is unable to effect a resolution acceptable to the parties and the Provost, the Provost will initiate a hearing by the Faculty Affairs and Grievance Committee.
3.1.5.5.4
Pursuant to the above referenced policies, the investigator (see Appendix B) will obtain all necessary details and determine how best to investigate or handle the incident. The investigation may but need not include oral interviews or written statements from the complainant, accused, and any witnesses who may provide pertinent information about the facts of the matter. The confidentiality of the proceedings will be maintained by all parties involved.
3.1.5.5.5
The accused will be afforded a full opportunity to respond, in writing and/or verbally, to the allegations. If information or testimony of witnesses gathered by the investigator has a material bearing on the decision to be rendered, both accused and complainant must be notified and allowed an opportunity to respond to this evidence and/or testimony. If unusual and urgent reasons move the hearing board to withhold this right, or where the witness cannot appear, the identity of the witness, as well as the statements of the witness, should nevertheless be disclosed to the accused. Hearings need not follow formal rules of court procedure.
3.1.5.5.6
If either or both parties make use of an attorney or other counsel during proceedings, that person is obligated to maintain confidentiality, and will function only in an advisory role.
3.1.5.5.7
The results will fall into one of three categories:
3.1.5.5.7.1
Unfounded. There is insufficient evidence to find that the offense occurred. This resolution would be appealable according to the procedures outlined in the appropriate Handbook, including but not limited to its Grievance Policy.
3.1.5.5.7.2
Negotiated settlement. An investigation may result in an opportunity to settle the matter without an official determination as to whether the allegation was founded or unfounded and might not involve any admission or denial of the action. However, an agreement by all parties and the University official presiding may resolve the matter to the extent it precludes further official action.
3.1.5.5.7.3
Founded. A determination is made that the accused committed the offense and sanctions are taken in accordance with the relevant policies and procedures outlined above. In these instances, as in any policy violations, referral for appropriate counseling may be recommended by itself or with sanctions.
3.1.5.5.8
A hearing board deciding the outcome of a complaint will submit its recommendations to the President or officers of the University within five working days of the hearing. Both the complainant and the accused will receive notice in writing within seven working days of the hearing.
3.1.5.5.9
The University official conducting the investigation and overseeing procedures
may also refer the complainant and accused to any existing University services
that may be appropriate and beneficial to them or to appropriate outside
services.
3.1.5.5.10
A record of the proceedings will be secured by the Director of Personnel. This record will be maintained for two years in unfounded cases and those with negotiated settlements. In founded cases, the record will be kept for the duration of the complainant's and accused person's affiliation with the university. The record will consist of the names of both parties involved, allegations, findings, sanctions recommended, if any, and date of resolution of the case. Both parties will be made aware that such a record exists. These records of founded cases will be made available to other hearing boards only in cases of subsequent allegations and only after such a case has been decided and the board is in the process of determining sanctions. No other campus individuals, committees, or departments will have access to these records although a letter to PTS may be included in sanctions imposed.
3.1.5.6
Assessing and Changing the Policy and Procedures
3.1.5.6.1
Assessing the effectiveness of the St. Ambrose University Harassment Policy and Procedures rests with the President and the Affirmative Action Officer. When it appears to these individuals that change in the policy or the procedures is wise or necessary, the matter will be referred to an ad hoc committee of faculty, staff, and administration (at least one from each group) selected by the President in conjunction with the chair of the Faculty Assembly. Any committee reviewing the Faculty, Staff, or Student Handbook in general may request the President and Affirmative Action Officer to report on the effectiveness of the procedures. Proposed changes must be approved by majority vote of the Faculty Assembly and the Staff Assembly.
3.1.6
Appendix 1
Facilitators
Either party in a harassment case is free to select anyone s/he wants to assist her/him through the process of bringing forth or responding to a complaint of harassment.
As a service to the University community the Council on the Status of Women is committed to the process of selecting and training individuals who are prepared to assist either party involved in a harassment case. The facilitators will be assisted and monitored by the Office of the Director of Personnel.
I. Role of a Facilitator. The Facilitator will:
1) maintain strictest confidentiality regarding all aspects of the case
2) serve as Facilitator at the request of the complainant or of the accused(however, the same person will not serve as Facilitator for both parties in the same case);
3)ensure that the person seeking support fully understands the process for harassment complaints, what options are available, and what timelines apply;
4) if requested by the complainant, show a complainant how to address the harassment themselves;
5) help the complainant or the accused assess whether a situation is suitable for mediation;
6) accompany the complainant or the accused to any meetings as requested;
7) ensure that the person seeking support understands the process as it unfolds, and understands and accepts the resolution of the case.
The Facilitator will not:
1) represent either the complainant or the accused as a legal client or present arguments on either side in a harassment complaint;
2) deal with cases of sexual assault or rape.
The Facilitator may:
decline a request for support and suggest that the person making the request for
support approach another facilitator.
II. Selection of Facilitators
The position of Facilitator for harassment proceedings is a volunteer position in service to the University and is open to students, faculty, and staff at St. Ambrose. It is a serious commitment of time and energy for the support of persons involved in harassment cases as either complainant or accused. The work requires great personal skills in listening and communication and commitment to professional confidentiality. Persons who undertake this service will be supported by training workshops and should always feel free, as well, to seek the assistance of the Counseling Center in processing the emotional aspects of the task.
Every two years, a committee overseen by the Director of Personnel and consisting of representatives from the Council on the Status of Women and other campus constituencies will send a general invitation to students who have at least junior status and to all faculty and staff to apply for the position of Facilitator. The invitation will indicate that volunteering for the position involves a two-year commitment. The invitation will be issued after the Spring Break and deadlines will be set for application and for selection of candidates so that selection can be completed before the summer session.
Each applicant will be asked to submit a brief letter explaining her or his desire to serve as a facilitator and reasons for believing she or he is qualified for the position. The letter of application should be accompanied by three letters of recommendation from peers. That is, students recommend students, staff recommend staff, and faculty recommend faculty. The letters of recommendation should briefly describe ways in which the recommender has seen the recomendee exhibit the qualities that are necessary for a good facilitator.
The letters will be reviewed by the committee described above and by the director of the University Counseling Center. The reviewers will come to consensus on a list of twelve applicants, seeking an appropriate balance of students, faculty, and staff, and of women and men. The reviewers will also select at least two alternates in case any of those who are invited to serve feel they must decline. The list will be submitted to the President of the University who will have the right of final approval. The twelve selected will attend the training session for new facilitators in the fall.
III. Training and Support of Facilitators
Any facilitator who is undertaking the position for the first time and any other facilitator who has not served for two or more years will be required to attend an initial training session during the week of faculty workshops before the fall semester. The workshop is arranged by the committee described above. Any facilitator who is renewing his or her commitment for an additional two year term is welcome and strongly encouraged to attend at least the facilitation skills session of the workshop.
The workshop will include a detailed review of the University Harassment Policy and Procedures, as well as a brief presentation by a lawyer regarding legal issues and rights and responsibilities of a Facilitator, should a case in which they are involved move to litigation.
Qualified counselors will conduct a session on facilitation skills, including active listening, maintaining boundaries, and limiting one's role to that for which one is qualified. At least one follow-up session will be held during the academic year to help review, focus, and reinforce skills.
Facilitators are encouraged to support each other when directly involved in a case, but may not break confidentiality with other Facilitators. Facilitators may also seek the counsel of a member of the University Counseling Center at any time.
3.1.7
Appendix 2
Investigation
Investigation of harassment complaints will be carried out by a member of the staff or faculty who has been appointed by the President of the University and trained in procedures for investigation of such cases. During an investigation, the investigator will have appropriate partial release from other duties. Every complaint of harassment will be taken seriously although that does not imply an assumption that the complaint is founded. No conclusion about the probable veracity of a case will be allowed to guide the investigation. Every complaint will be investigated according to the established procedures which follow.
Within six working days of a judicial board's or an administrator's determination that an investigation is necessary in a harassment complaint, the chair of that board or that administrator will contact the person who has been designated to investigate.
The investigation may include interviews and documents. The contents of the interview will be made known only to the official parties to the investigation, that is, to the members of the board hearing the case, the complainant, and the accused. Written records of each interview will be carefully made by the interviewer within 24 hours of the interview and must be approved by the interviewee before they are presented as evidence.
The complainant will be asked to provide in writing to the investigator:
1) the description of the behavior about which she or he is complaining, including as much detail as possible about date(s), frequency, location, circumstances;
2) names of potential witnesses;
3) impact of the behavior on the complainant including physical and/or emotional effects and effects on work productivity;
4) whether the individual has voiced concern to the alleged harasser and/or has made use of other parts of the grievance procedures, and, if so, the outcome of those actions,
5) the type of resolution the individual is seeking
The accused will be shown the written complaint and copies of any documents given to the investigator. The accused will be asked to provide:
1) a written response to the complaint,
2) the accused's interpretation of the events mentioned in the complaint,
3) the accused's understanding of the alleged effects of the behavior on the complainant.
The accused may provide names of witnesses to the alleged incidents.
Each witness named by either the complainant or the accused will be asked to provide to the investigator information directly related to the complaint at hand and of which the witness has direct knowledge. This information may include habitual or character traits that may contribute to the perception of harassment.
Documents present as evidence may include but are not limited to
1) any formal or informal documents that have described the behavior perceived as harassment or its effects,
2) any formal or informal documents whose contents have been perceived to amount to harassment.
Investigators will not seek documents without notifying the individual(s)involved and only when written materials are deemed absolutely necessary to the investigation.
The investigation will be completed within ten working days.
Materials from one complaint against an individual will not be used in investigations of subsequent complaints and therefore will not be retained in the record. However, the investigator will write a summary of the findings and the kind of evidence presented in the case. It will be shown to both the complainant and the accused before it is put into the record.
3.2 RECOMMENDATIONS FOR ADVANCEMENT IN RANK
3.2.1
Full-time faculty are given one of the following four titles; Professor, Associate Professor, Assistant Professor or Instructor. Part-time faculty are given the same titles with the adjective "adjunct"; i.e., Adjunct Professor or the title Lecturer.
Application for Promotion
3.2.2
All communications relating to promotion, rank or tenure, should be directed to the Committee on Promotion, Tenure and Standards.
3.2.3
Ordinarily recommendation for advancement in rank must be made by the Department Chairperson through the Dean of the College no later than January 4 of the year preceding the academic year in which promotion is to be granted. Secondarily, recommendation for advancement in rank can be made by five faculty members holding the rank to which the candidate aspires. In this case, these recommendations must be made no later than January 4 of the year preceding the academic year in which promotion is to be granted. Notice of eligibility for promotion of a faculty member will be given once in the first year of eligibility to the faculty member and his/her Department or Dean by the P.T.S. Committee.
3.2.4
If promotion is not to be granted, the administration must set forth, in writing, the reasons for denial of promotion.
3.3 NORMS AND CRITERIA FOR FACULTY EVALUATION
3.3.1
General:
Faculty members qualify for advancement in rank by maintenance of high standards and integrity in teaching and scholarship. Of particular significance is evidence of continuing intellectual development, as revealed by graduate study, participation in professional organizations, publications or equivalent performance, and excellence in teaching and in advising. Faculty members seeking to be promoted have the responsibility to apply for promotion to the P.T.S. Committee. They should provide evidence of their continuing intellectual development by addressing each of the items presented in 3.6. The P.T.S. Committee will consider promotion in rank for individuals who satisfy the following specific conditions, and have been recommended by (in order of preference) the Department Chairperson, Dean of the College or five faculty members holding the rank to which the candidate aspires.
3.3.2
Specific:
3.3.2.1 Professor, Adjunct Professor
A. Ph.D.
B. Eleven (11) years of college teaching experience
C. Evidence of continuing professional growth is required.
3.3.2.2 Associate Professor, Adjunct Associate Professor
A. Ph.D.
B. Six (6) years of college teaching experience
C. Evidence of continuing professional growth is required.
3.3.2.3 It is recognized that some faculty members joined the staff at St. Ambrose prior to the establishing of specific norms for advancement (i.e., prior to 1951) or when other specific norms were in effect (i.e., between 1951-1965). In exceptional cases and in fairness to these members of the faculty, some equivalent of the Ph.D. degree may be admitted.
3.3.2.4 Assistant Professor, Adjunct Assistant Professor
A. M.A. and three (3) years college teaching experience, or
B. Ph.D.
3.3.2.5 Instructor, Adjunct Instructor
A. M.A. or written evidence of candidacy for this degree
B. Promising teaching ability as evidenced by
1.Recommendation from the school where the graduate work has been done
2.Ability in oral expression
3.Graduate hours completed
3.3.2.6 At its discretion, the committee may make proportionate allowance for part-time teaching (though not usually experience as a teaching assistant in graduate school). Similarly, some substitution of other professional experience for college teaching experience may be allowed.
3.4 ANNUAL REVIEW OF PROBATIONARY FACULTY
3.4.1
Each year every probationary tenure-track faculty member will submit to the P.T.S. Committee chairperson a statement of self-evaluation with respect to the faculty performance criteria described in section 3.6. This statement need not be longer than two pages.
3.4.1.1
Since first-year faculty cannot be held responsible, ordinarily, for advising and/or committee work, it should be understood that the P.T.S. Committee will apply the 3.6 criteria incrementally.
This means that the criteria will apply as follows:
Basic criteria of special concern for first-year renewal: 3.6.1.1-2
Basic criteria of special concern for second-year (and beyond) renewal: 3.6.1.1-2, and 3.6.1.3 5
Basic criteria of special concern at the time of tenure: 3.6.1.1-6, and 3.6.2.1-4
In their annual statement of self-evaluation probationary faculty need address only the criteria specifically relevant to their situation.
3.4.2
The department chairperson of a probationary faculty member will annually submit to the chair of the P.T.S. Committee through the Dean of the College a letter of evaluation for the probationary faculty member (see 2.7.7). Before submission to the P.T.S. this letter must be read and signed by the faculty member. If the Dean of the College forwards to the Promotion, Tenure and Standards Committee a recommendation that differs from that of the chairperson of a department, the letter of the Dean should be read and signed as seen by the faculty member.
3.4.3
Each year the University, through the P.T.S. Committee, is responsible to inform every non-tenured but tenure-track faculty member of their standing in the eyes of the P.T.S. Committee. Faculty members will be provided with a completed Faculty Evaluation Form (see Appendix G), which will also become part of their cumulative portfolio.
3.5 TENURE POLICY
Faculty Obligations
3.5.1
Tenure is a term designating guaranteed continuous appointment to full-time faculty members until retirement (Item 3.9). It is an assertion of mutual commitment on the part of the faculty member as well as the University and cannot be taken lightly. It means the individual is committed to continued personal development and high levels of achievement as a member of the St. Ambrose academic community.
3.5.2
A tenured teacher who is seeking another appointment should so notify the Department Chairperson and the Dean of the College by December 1st of the current academic year. Resignation by a faculty member holding tenure must be given in a formal notification to the Provost not later than February 15th of the current academic year.
Eligibility
3.5.3
Every faculty member is eligible for tenure who has completed seven (7) years of full-time teaching at an institution of higher learning (college or university) and who meets the criteria specified in 3.6. The individual must have completed at least four (4) years of full-time teaching at St. Ambrose University. Prior service at other institutions or in related fields will not automatically be credited toward fulfillment of the probationary period; the status of the prior service is established at the beginning of the appointment at St. Ambrose. Application for tenure must be made one year prior to the end of the probationary period.
The Tenure Decision
3.5.4
Tenure can only be granted as the result of a favorable decision by the Promotion, Tenure and Standards Committee (Item 2.2.1) acting on the candidate's formal application, followed by the positive declaration of acceptance of that decision by the President of the University.
3.5.4.1
Whenever the University fills any tenure-track position it must, through the office of the Provost, supply the Promotion, Tenure, and Standards Committee with the following information: 1) the rank given to the in-coming faculty members; 2) the understanding of the University with regard to the completion or non-completion of the academic training and/or degree(s) of the in-coming faculty member; 3) the understanding of the University with regard to the time schedule governing renewal and tenure decisions on the in-coming member; 4) any other information about the in-coming faculty member and the conditions of his/her employment which is pertinent to, and might affect, later re-appointment and tenure decisions by the Promotion, Tenure, and Standards Committee.
3.5.5
Tenured status is not an automatic or de facto result of the candidate's merely completing the probationary time period.
3.5.6
In the event that a tenure decision was not made prior to the deadline for notification of non-extension of appointment, an appropriate form of extension or compensation, mutually agreed upon, would be arranged.
Denial of Tenure
3.5.7
If the faculty member is not to be retained after the end of the probationary period (whether of four or seven years duration), notice will be given at least one (1) year prior to expiration of the probationary period. Because deadlines for application by the probationer (see Item 3.2.3, last sentence) and denial by the committee coincide, the committee may anticipate in order to meet guidelines for adequate notice.
Loss of Tenure
3.5.8
Once tenure is granted, it will be discontinued only for grave reasons which may include violations of the criminal law or professional ethics, loss of professional competency, or severe financial stress in the University leading to departmental or curricular reorganization and staff reduction. These recommendations, if necessary, are made by the committee referred to in the tenure program (Appendix D).
Tenure Document
3.5.9
Appendix B in back of this handbook is the University's Tenure Document. Appendix C contains the Institutional Regulations on Academic freedom - In Cases of Dismissal for Cause.
3.6 EVALUATION CRITERIA FOR TENURE AND
PROMOTION
3.6.1
It is the responsibility of the candidate for tenure and promotion to provide fully documented evidence of continuing growth relevant to the criteria given below. The candidate should understand that while satisfaction of these criteria makes him/her eligible for consideration for tenure, minimal attainment of these criteria does not guarantee tenure.
Basic Criteria:
3.6.1.1
Possession of the expertise needed by one's department or a related department in order to achieve the immediate and future goals of the department in harmony with the University's stated mission.
3.6.1.2
Demonstrated ability in teaching, as judged by one's peers and as rated by students.
3.6.1.3
Service to students extending beyond classroom instruction to student advisement and direction.
3.6.1.4
Willingness and capacity to participate effectively on University committees and in the academic, cultural, administrative, and student affairs aspects of the University.
3.6.1.5
Demonstrated ability to relate positively with students and professional peers.
3.6.1.6
Ordinarily the completion of a Ph.D. degree (from an accredited institution) in traditional academic areas, or its equivalent in other areas. The completion of all educational requirements in one's professional field or in inter-disciplinary fields where the needs of the department and the University require it.
3.6.2
Additionally, evidence of at least three of the following:
3.6.2.1
Membership and involvement in the activities of professional societies
3.6.2.2
Involvement in scholarly research and publication, which includes creative achievements in fine arts public events such as music recitals and concerts, theater productions and performances, and painting and sculpture prizes and exhibitions.
3.6.2.3
Participation in civic affairs and public service.
3.6.2.4
Participation in development of new courses and programs, in institutional support projects, and in preparation of grant proposals.
3.6.3
The P.T.S. Committee periodically evaluates every full-time faculty member. The Committee is responsible for establishing the schedule of evaluations, and for communicating that schedule to faculty. The P.T.S. Committee may review individual faculty outside the announced schedule of evaluations for reasons specified in Appendex B. The criteria are found in the handbook in Section 3.6. The purposes of this evaluation are manifold, including decisions to recommend to the President promotions, extension or nonextension of probationary appointments, tenure, reprimand, retirement, or dismissal. Improving the quality of the academic program at the University is the main reason for these procedures.
3.6.3.1.
In order to facilitate the evaluation of faculty, each faculty member will maintain a cumulative portfolio available to the Committee on Promotion, Tenure and Standards. The portfolio will include:
3.6.4
Specific Performance Guidelines - See Appendix I
3.7 FACULTY DEVELOPMENT PROGRAM
3.7.1
The evaluation of faculty implies a corresponding duty to provide assistance to individual faculty members in their efforts to develop themselves and overcome weaknesses revealed by the evaluation process. Services are provided to faculty through the Faculty Development Committee (Item 2.2.2).
3.7.2
Current Emphasis on Faculty Development
3.7.2.0
The current emphasis is in response to two issues:
3.7.2.1
The financial crisis in higher education. It is seriously thought that the quality of teaching may well be the basis for survival for many schools.
3.7.2.2
The diminishing opportunities for faculty mobility. Professional growth must come from internal resources rather than by way of moving to another institution.
3.7.3
Components of Faculty Development
3.7.3.1
Professional Development. This includes such things as continuing education for the faculty, promoting sabbaticals, and increasing the percentage of terminal degrees.
3.7.3.2
Instructional Development. Effective teaching involves more than the command of subject matter. Improvement of teaching skills such as lecturing and discussion techniques, creative use of audio-visual and other electronic equipment are some ways of instructional development. Alternative teaching methods from simulated classroom experience, training in group dynamics, and consultation with those who have certain proven skills are other ways of promoting this development.
3.7.3.3
Personal Development. Teaching is a very personal profession. Our classrooms extend our personalities. Hence this component relates to values and attitudes concerning teaching. Such questions as these would arise here: Why am I teaching? What do I want to do as a teacher? Where do I want to be ten years from now? It is acknowledged that the "personal" component may not be suitable for all faculty or all schools.
3.7.3.4
Organization Development. The faculty functions as part of a larger organization. Improvements in the organization of departments and Colleges and better relationships between the various organizational elements can promote better instruction. Development here involves such things as making more efficient the decision-making process, and more equitable the committee work within a department, and being open, as a department, to new methods of teaching and grading.
3.8 NONRENEWAL OF APPOINTMENT
3.8.1
Notice of non reappointment, or of intention not to recommend reappointment to the governing board, should be given in writing to faculty holding full-time appointments in accordance with the following standards:
3.8.1.1
Not later than March 1st of the first academic year of service, if the appointment expires at the end of that year; or, if a one-year appointment terminates during an academic year, at least three (3) months in advance of its termination.
3.8.1.2
Not later than December 15th of the second academic year of service, if the appointment expires at the end of that year; or, if an initial two-year appointment terminates during an academic year, at least six (6) months in advance of its termination.
3.8.1.3
At least twelve (12) months before the expiration of an appointment in the third and following years in the institution.
3.9 RETIREMENT
3.9.1
Ordinary retirement from full-time teaching occurs upon completion by a faculty member of the academic year in which his/her 65th birthday occurs.
3.9.2
An ordinary retirement date exists to allow for reduction gradually from full employment to retirement.
3.9.3
Early separation options can be explored with the Provost until a policy is determined.
3.9.4
A faculty member intending to retire should notify the provost by February 15th.
3.10 PROMOTION TO EMERITUS STATUS
3.10.1
Recommendations for promotion to the status of Emeritus are made by the P.T.S. upon request of a faculty member who has retired or has announced retirement from tenured full-time teaching.
3.10.2
In applying to P.T.S. for this status a faculty member should evince high standards and integrity in teaching and scholarship.
3.10.3
Emeritus status provides for:
1)access to all University facilities equal to that of full-time faculty;
2)entrance to all athletic, cultural, and social events on a basis equal to the full-time faculty;
3)use of an office, if available and needed;
4)access to and use of all resources of the O'Keefe Library;
5)access to research facilities as available and agreeable to the department;
6)use of an on-campus mail-box;
7)access to retirement benefits, and the possibility of part-time teaching.
3.11 RESIGNATIONS
3.11.1
A non-tenured faculty member should inform the Department Chairperson of his/her intention by January 15th; the Provost should be notified, in writing, by March 15th.
3.12 SALARY
3.12.1
Faculty members are paid on a twelve months basis.
3.12.2
Miscellaneous deductions such as State and Federal taxes, hospitalization, sheltered annuity, and pension are computed in an equal amount each month.