Chapter 3 - Faculty (Contractual Terms)

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3.0  Chapter 3 - Faculty (Contractual Terms)

The provisions of Chapter 3 applicable to the relevant category of faculty member are to be considered incorporated by reference into the Letter of Appointment of each faculty member, except to the extent specified herein or provided for in the Constitution of the School of Law, the Statutes of the Jesuit School of Theology of Santa Clara University (hereinafter Jesuit School of Theology), or policies unique to either school that have been approved by the Board of Trustees.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.1  Members of the Faculty

Santa Clara University has four broad categories of faculty: tenured and tenure-track faculty (3.1.1); faculty with renewable-term or continuing appointments (3.1.2.1); faculty with fixed-term appointments (3.1.2.2); and faculty with other kinds of appointments (3.1.2.3). The Jesuit School of Theology, as an ecclesiastical faculty, has additional categories of faculty.

(Academic Staff and Military Science personnel are not members of the faculty and are not governed by the provisions of Chapter 3 of this handbook. For further information about Academic Staff, consult Chapter 4 of this Handbook.)

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

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3.1.1  Tenured and Tenure-Track Faculty

Tenured and tenure-track faculty comprise those holding appointments at the rank of Professor, Associate Professor, Assistant Professor, and Acting Assistant Professor.

Tenure-track faculty who have not yet been granted tenure hold probationary appointments (3.4.1).

The ordinary educational requirement for tenured and tenure-track faculty is the doctorate or other appropriate terminal degree. In certain disciplines, especially in the arts, practical experience and credentials other than academic degrees may be taken as equivalent preparation. Additional qualifications for appointment to the respective faculty ranks are described in the following paragraphs.

Revisions endorsed by Faculty Senate, April 2013
Revisions approved by Board of Trustees, June 7, 2013

An Assistant Professor shall show promise of achievement in teaching, scholarship or creative work, and service.

An Acting Assistant Professor is one otherwise qualified for the rank of Assistant Professor but still actively engaged in work for the doctorate or other terminal degree. Normally no one will be retained as an Acting Assistant Professor beyond three years.

An Acting Assistant Professor must satisfy all requirements for the doctorate or terminal degree by March 15th of the third year of such appointment. Years of service at this rank will be considered part of the probationary period for tenure.

An Associate Professor shall possess demonstrated superior ability in teaching, scholarship or creative work, and appropriate service, as evidenced through actual accomplishment.

A Professor shall possess those qualities of the teaching scholar that are expected of the Associate Professor, and in such degree as to have earned the recognition of colleagues in the same discipline outside the University or in higher education generally. A Professor also serves the University and the academic profession in proportion to experience, competencies, and seniority.

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3.1.2  Non-Tenure-Track Faculty

Non-tenure-track faculty may hold renewable-term or continuing appointments (3.1.2.1), fixed-term appointments (3.1.2.2), or other appointments (3.1.2.3). Non-tenure-track faculty do not hold probationary appointments (3.4.1), are not tenured, and do not accumulate credit towards tenure.

Endorsed by Faculty Senate, April 2013
Approved by Board of Trustees, June 7, 2013

Faculty on renewable-term or continuing appointment are appointed primarily to teach in an area of persistent programmatic need.

Persistent programmatic need is defined as a continuing need in a particular area of the curriculum to offer classes that cannot be covered by current or projected tenured or tenure-track faculty. Such need shall be identified by the department and approved by the dean and Provost.

Faculty in renewable-term or continuing positions are appointed for a full academic year rather than an academic term. Renewable-term positions are normally full-time and are never less than half-time. Continuing positions are full-time.

Faculty on renewable-term or continuing appointment are not tenured and do not accumulate credit towards tenure.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Some faculty in the School of Law, including but not limited to Legal Analysis, Research, and Writing Instructors, hold renewable-term positions primarily for teaching in an area of persistent programmatic need. Policies and procedures for appointment and reappointment of such positions are set by the School of Law with approval of the Provost.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

A Lecturer holds a renewable-term position primarily for teaching in an area of persistent programmatic need.  Teaching may include classroom instruction, curriculum development, and advising. Lecturers are also expected to engage in service at the departmental level or higher and in professional activity that is appropriate to the discipline and that contributes to their primary responsibility for teaching.

Lecturers shall possess superior abilities as teachers. The ordinary educational requirement is the doctorate or other appropriate terminal degree. In certain disciplines, especially in the arts and some professional fields, practical experience and credentials other than academic degrees may be taken as equivalent preparation.

Appointment is made for an initial term of three years, a second term of three years, and subsequent terms of six years. With approval of the Provost, a College or School may adopt a policy that establishes different terms of appointment. Reappointment is contingent on superior performance, persistent programmatic need, and availability of funds.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

A Senior Lecturer holds a full-time continuing appointment primarily for teaching in an area of persistent programmatic need. In addition to meeting the qualifications for appointment as a Lecturer, a Senior Lecturer shall at a minimum have nine years of full-time service as a Lecturer at the University, or equivalent academic experience. Effective September 1, 2013, the completion of at least one 3-year review cycle as a Lecturer is required. Standards for promotion to Senior Lecturer appear in 3.4A.2.1.

Faculty with renewable-term appointments in the School of Law are not eligible for promotion to Senior Lecturer.

Revisions endorsed by Faculty Senate, January 2012
Revisions approved by Board of Trustees, February 10, 2012

Faculty with fixed-term appointments include adjunct faculty, research faculty, and faculty with appointments-in-residence as described below. They are not tenured and do not accumulate credit towards tenure.

A fixed-term appointment is either part-time or full-time for a period of one academic term or one academic year. Should the need arise for a longer appointment period, the Provost may approve a term of up to three years. Academic year appointments may not be for less than 50% time.

Revisions endorsed by Faculty Senate, Spring 2014
Revisions approved by Board of Trustees, June 6, 2014

Adjunct faculty hold a non-tenurable fixed-term teaching appointment for one or more of the following purposes: to replace faculty on leave of absence or administrative assignment; to address persistent programmatic need on a part-time basis; to address short-term programmatic need on a full-time basis; to provide expertise in a specialty area; or to explore a new instructional area. If there has been a fixed-term academic year appointment in a given area for six consecutive years, then a persistent programmatic need analysis must be conducted.

Endorsed by Faculty Senate, Spring 2014
Approved by Board of Trustees, June 6, 2014

An Adjunct Lecturer shall demonstrate competence in the subject matter of the appropriate academic discipline or professional field and superior abilities as a teacher.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

On occasion, and with the approval of the dean and Provost, an adjunct appointment may be made at the rank of Adjunct Assistant Professor, Adjunct Associate Professor, or Adjunct Professor to recognize qualifications in an academic discipline or professional field that are equivalent to those for tenured and tenure-track appointments at the respective ranks.

With approval of the dean and Provost, a faculty member holding the rank of Adjunct Professor may be appointed with a different title such as Clinical Professor, Professor of the Practice, or Dean's Executive Professor, provided such a title is more descriptive of the faculty member's role and is consistent with general practice in the discipline or field.

Revisions endorsed by Faculty Senate, Spring 2014
Revisions approved by Board of Trustees, June 6, 2014

A Research Professor holds an appointment primarily to engage in research that advances the goals of a department and contributes to its overall academic quality. Research Professors are appointed in recognition of their research accomplishments, ability to obtain external funding, and willingness to play an active role in the department as determined by the department and the dean.

The qualifications for appointment as a Research Professor shall be commensurate with the qualifications and levels of accomplishment in research as those for a tenured Professor.

A Research Professor may engage in teaching as assigned. Appointment as a Research Professor must be made independently of employment through a particular grant or sponsored project.

Revisions endorsed by Faculty Senate, Spring 2104
Revisions approved by Board of Trustees, June 6, 2014

With the approval of the dean and Provost, distinguished artists, scholars, scientists, engineers, executives, statespersons, and others may be granted appointments-in-residence from time to time to enrich the life of the University community.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Other faculty appointments may be made in the following categories.

Appointments in the respective faculty ranks are held by persons on leave from other professional employment. Such appointments are usually for one year and in no case for more than three years.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

A postdoctoral fellow holds an academic year appointment primarily to engage in research. During the period of the appointment, the fellow shall work under the direction of a tenured or tenure-track faculty mentor to receive advanced training and develop a research and publication record. Fellows shall not teach more than four courses in one academic year. The appointment is usually for one year and in no case more than three.

Endorsed by Faculty Senate, January 2012
Approved by Board of Trustees, February 10, 2012

A tenured Associate Professor or full Professor of Santa Clara University, upon retirement from outstanding service at the University, is eligible for the title of Professor Emeritus or Emerita. The title is awarded by the President of the University in consultation with the Provost, with the retiree's dean and department chair, and with the tenured members of the retiree's department.

A Senior Lecturer of Santa Clara University, upon retirement from outstanding service at the University, is eligible for the title of Senior Lecturer Emeritus or Emerita. The title is awarded by the President of the University in consultation with the Provost, with the retiree's dean and department chair, and with the tenured and tenure-track members and senior lecturers of the retiree's department.

Endorsed by Faculty Senate, May 29, 2015
Approved by Board of Trustees, June 15, 2015

An Associate Clinical Professor or Clinical Professor of Santa Clara University, upon retirement from outstanding service at the University, is eligible for the title of Clinical Professor Emeritus or Emerita. The title is awarded by the President of the University in consultation with the Provost, with the retiree's dean, and with the tenured, tenure-track, and clinical faculty at or above the retiree's rank in their department or school.

Revisions endorsed by Faculty Senate, Spring 2023
Revisions approved by Board of Trustees, June 2, 2023

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3.2  Recruitment of Faculty

3.2.1  Equal Employment Opportunity and Affirmative Action

Santa Clara University is an equal opportunity and affirmative action employer. The University seeks applications from qualified women, persons of color, and members of other groups historically under-represented in academia. The University will reasonably accommodate an otherwise qualified individual with a disability.

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3.2.2  Appointment Procedures

Functions of the various parties in the search to fill a tenure-track or tenured faculty position are as follows:

1. The Provost and dean authorize the search after reviewing the needs of the department and the University, and after considering the availability of resources.
2. After approving the search, the dean reviews the selection criteria and search committee members proposed by the department. Except in the School of Law and the Jesuit School of Theology,

3. Tenure-track and tenured faculty, as well as any non-tenure-track faculty who serve on the original search committee, are responsible for evaluating and ranking the candidates and making recommendations for the hire. Non-tenure-track faculty, other than those who serve on the original search committee, do not participate in ranking candidates or making recommendations for the hire.
4. Searches shall be conducted in accordance with procedures current at the time of the search.
5. The Provost and dean approve the successful candidate and the terms of the appointment before an offer is made.

Initial appointment may be made at any rank for which a candidate is qualified. A teaching scholar with an established reputation who has been tenured at another institution and whose presence on the Santa Clara faculty is particularly desired may be offered a tenured appointment if, in the judgment of the search committee, departmental faculty, and dean, and of the Provost and the President of the University, such an appointment is warranted.

Revisions endorsed by Faculty Senate, June 2021
Revisions approved by Board of Trustees, October 15, 2021

Searches to fill all positions with an appointment of one academic year or longer must be authorized by the dean and the Provost. Such searches shall be conducted in accordance with a plan appropriate to the nature of the appointment, developed by the department chair in consultation with the faculty of the department and approved by the dean.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

An appointment "by courtesy" may be made by a department for a full-time faculty member in another department under the following conditions:

The faculty member possesses significant qualifications for appointment in the department offering a courtesy appointment.

The faculty member is significantly involved in the teaching or scholarly or creative activities of the department offering the courtesy appointment.

The courtesy appointment is approved by the senior faculty of the courtesy department, by the chairs and dean(s) of both the primary and the courtesy department and school, and by the Provost.

The courtesy appointment is made at the same rank as the regular appointment specified in the Letter of Appointment, is held by the faculty member for a one-year term, and is renewable each year.

The courtesy department is not necessarily required to extend voting privileges, funds, space, or other support to the faculty member.

A joint appointment (as distinct from a courtesy appointment) may be made when a faculty member makes a major contribution in terms of time, effort, and programmatic need to more than one department. This contribution should be on a continuing basis and should be sufficiently significant for each department to make a financial commitment and extend voting privileges to the faculty member. Appointment procedures are the same as for courtesy appointments, with the exception that the senior faculty of each department must approve a joint appointment. Prior to the commencement of every joint appointment, the faculty member's responsibilities to each department and the procedures to be followed for periodic evaluation and evaluation for promotion and tenure must be agreed to in writing by the faculty member, chairs of the involved departments, the dean, and the Provost.

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3.2.3  Letters of Appointment 

Every full-time member of the faculty holds an annual Letter of Appointment stating his or her academic rank for the year of the appointment, together with salary and estimated total compensation. The Letter of Appointment, in duplicate, is sent annually to every member of the faculty who is to be appointed or reappointed the following academic year. The appointee shall signify acceptance by signing and returning one copy within two weeks of the date of the letter.

The President signs letters for faculty with appointments of a full academic year in the Jesuit School of Theology. The Provost signs letters for all other faculty with appointments of a full academic year.

Part-time faculty receive a Letter of Appointment signed by the dean.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.2.4  Personnel File

Each academic dean shall maintain an accurate and timely record of the qualifications of every member of his or her faculty. The record should contain a summary of the faculty member's career, a list of degrees and other awards, a summary of teaching and related experience, a list of publications and research, a statement of current activities and plans, Faculty Activities Reports, formal evaluations and any responses thereto, and other information deemed relevant by the faculty member or the dean.

Faculty members have the responsibility of providing the academic dean with any material that they deem to be an appropriate part of their academic record.

A faculty member may inspect his or her own personnel file as maintained by the academic dean after reasonable notice to the dean.

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3.3  Periodic Evaluation of Faculty

The performance of each full-time faculty member must be evaluated in writing on a regular basis by the department chair (or dean, in those units not organized by departments).

The performance of probationary tenure-track faculty must be evaluated in writing every year. The performance of tenured faculty may be evaluated on different cycles, as determined in each college or school by its dean with the agreement of the faculty of the college or school and with the approval of the Provost.

Non-tenure-track faculty must be evaluated in writing as follows: annually for those holding renewable-term appointments; on a cycle determined by the dean with approval of the Provost for Senior Lecturers; and prior to reappointment for adjunct faculty holding multi-year term appointments. Adjunct faculty who have held consecutive fixed-term academic year appointments must be evaluated in writing at least every three years.

The basis for the evaluation of tenured and tenure-track faculty shall be performance in the areas of teaching, scholarship or creative work, and service. Other faculty shall be evaluated in accordance with the responsibilities for which they were hired. The sources of information for the evaluation include the Faculty Activities Report, student evaluations, publications, and other pertinent information.

The department chair (or dean in appropriate cases) shall provide the written evaluation to the individual faculty member, and a copy of this evaluation shall become a part of the faculty member's official personnel file (see 3.2.4). A faculty member may provide a written response to the evaluation, and any such response shall also become part of the file. Favorable evaluations and optimistic projections do not bind the University to grant tenure.

Endorsed by Faculty Senate, Spring 2014
Approved by Board of Trustees, June 6, 2014

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3.3.1  Mid-Probationary Review

A probationary faculty member shall receive an especially thorough evaluation by the tenured faculty of his or her department after completing approximately half of the probationary period, at a time to be determined by the department chair in consultation with the dean. The written evaluation shall include an assessment of the faculty member's performance and development in each of the three categories of review.

The mid-probationary review is intended to be developmental and should ordinarily culminate in an advisory letter expressing the views of the tenured faculty as to what the candidate might do in the remainder of the probationary period to enhance his or her candidacy for tenure. However, in those instances where it is evident that a candidate's prospects for meeting tenure expectations are remote, the mid-probationary review may culminate in a recommendation of non-retention addressed to the dean. A favorable mid-probationary review does not bind the University to grant tenure. Tenure track faculty in the Jesuit School of Theology are subject to a different evaluation procedure.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

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3.4  Policies and Procedures on Promotion and Tenure

The policies and procedures in Section 3.4 apply only to faculty seeking tenure or promotion to Associate Professor or Professor.

While subject to the same general standards for promotion and tenure as other faculty members, faculty in the School of Law and the Jesuit School of Theology are subject to specific procedures for promotion and tenure that supersede some procedures outlined in this section.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.4.1  Probationary Status

Santa Clara University adheres with certain exceptions to the provisions on tenure of the 1940 Statement of Principles on Academic Freedom and Tenure (with the 1940 Interpretations and the 1970 Interpretative Comments) of the American Association of University Professors and the Association of American Colleges; it also adheres to the Standards of Notice of Nonreappointment of the AAUP as published in the AAUP Bulletin of Autumn 1964. In the following three points Santa Clara University policy differs from that articulated in the AAUP 1940 Statement of Principles on Academic Freedom a.2 and the 1970 Interpretive Comments #5:

1. that the period of probation for tenure for all members of the faculty, irrespective of whether they have previously taught at other colleges or universities and of the length of such previous service, shall be seven years, unless a shorter time shall be agreed upon in writing by the faculty member and the University;
2. that only persons appointed to the positions of Professor, Associate Professor, or Assistant Professor (including Acting Assistant Professor) shall be eligible for tenure or consideration for tenure; and
3. that only service in the positions of Professor, Associate Professor, or Assistant Professor (including Acting Assistant Professor) shall be counted as probationary service for tenure. The probationary period begins with the fall term of the first full-time appointment for a full academic year.

The 1940 Statement of Principles on Academic Freedom and Tenure, 1940 Interpretations and 1970 Interpretive Comments, and the Standards of Notice of Nonreappointment are given in Appendix B of this Handbook.

Extensions of the probationary period for tenure fall into two categories, routine and discretionary, described below. For both routine and discretionary extensions of the probationary period, the faculty member must submit a Tenure Clock Extension Form to the Provost as soon as possible after the qualifying event or circumstance, but in no case later than September 15 of the penultimate year of the probationary period. If the Provost has not been notified in this manner, the probationary period remains unchanged.

Categories for extensions are as follows:

1. Routine Extensions

A one-year extension of the probationary period will be granted routinely for the following reasons:

2. Discretionary Extensions

A one-year extension of the probationary period may be granted on a discretionary basis if requested by a faculty member for circumstances that significantly impede progress toward tenure, such as:

Extensions of the probationary period for any reason will normally be limited to a total of two years.

A faculty member who is granted an extension of the probationary period will be permitted to apply for tenure before the end of the extended probationary period, as allowed in 3.4.3.2.

Tenure candidates who have been granted an extension of the probationary period will be reviewed under the same academic standards as a candidate who has not had an extension.

Endorsed by the Faculty Senate, May 29, 2015
Approved by the Board of Trustees, June 5, 2015

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3.4.2  Standards for Promotion and Tenure

Standards for promotion and for tenure must be broad enough to cover differences in the nature and purposes of different academic disciplines and departments. In general, advancement in rank and the conferring of tenure are based upon the recognition by a candidate's peers of academic and professional achievement and upon their judgment that such achievement will continue.

In addition to the degree requirements specified in 3.1.1, the University evaluates candidates for promotion and tenure under three criteria: (1) teaching, (2) scholarly or artistic work and other professional accomplishments, and (3) service to the University, the profession, and the community. Teaching and scholarly or artistic work are the most important of these, and candidates for promotion and tenure are required to demonstrate superior accomplishment in both.

Teaching is to be judged in a teacher's total effect upon the education of his or her students. Teaching includes not only classroom instruction, but also academic advising and curriculum development. Effective teaching requires, at a minimum, competence in the subject and in skills of presenting it, and professionalism in conduct towards students. Academic advising is an extension of teaching. It is an expression of the University's concern for the development of the whole person and includes advising on courses and academic programs, on academic life generally, and on career opportunities. Curriculum development includes both contributions to departmental and University curricula, such as the development of new courses or significant modification of existing ones, and the creation of pedagogical materials that may be of use to other teachers. Those entrusted with evaluating a candidate's teaching are to consider all evidence of achievement in each of the three components. The candidate's course materials form part of this evidence. The evidence also includes, but is not necessarily restricted to, the testimony of the candidate's colleagues, students, chair and other academic officers about the following: the candidate's command of the subject; the effectiveness of the candidate's presentation, whether in lectures, discussion, or tutorial; the quality and rigor of the candidate's courses; and the respect for and stimulation to further study of the subject that is generated among the candidate's students. Any other factors that contribute to the candidate's effect upon the education of his or her students shall also be taken into account.

Santa Clara is committed to excellence in scholarship and artistic creativity, which are critical both for their contribution to knowledge or the arts and for their enrichment of teaching. Scholarly work is defined as scholarly or scientific articles published in learned or professional journals; scholarly or scientific books; textbooks distinguished for the originality and value of their content or method; and any intensive study of the kind recognized as research in the various academic disciplines. Creative work is defined as recognized accomplishment or significant production in the arts of painting, sculpture, music, drama, fiction, poetry, dance, journalism, or the like. Since the form and nature of contributions differ greatly by discipline, the most important element in evaluation of the scholarly or creative work of a candidate for promotion or tenure is the judgment of others in the field, particularly of those with a strong record of accomplishment in the candidate's field. Evaluations of a candidate's publications or artistic creations or performance by scholars, artists, or other experts outside Santa Clara are an important consideration for promotion or tenure.

Service is activity other than teaching and scholarship or artistic creativity that fosters and advances the missions and goals of the department, the college or school, the University, or the profession. It may consist of the fulfilling of formal responsibilities, either individually or with others, as on committees or editorial boards and in offices held, or more generally and informally of contributions to the routine functioning of a department. Community service performed in virtue of a faculty member's professional expertise or association with the University or its mission also falls into this category. The service expected of probationary faculty will be appropriate to their expertise and experience and will respect their need to devote most of their energies to teaching and scholarly or artistic work.

Because the nature of teaching, scholarship or artistic creativity, and service differs in some respects among academic disciplines, the faculty of the college, schools, and division develop, adopt, and publish their respective clarifications of the three criteria. Candidates for tenure or promotion are referred to these publications, as amended from time to time, for a detailed explanation of the standards and procedures by which they will be evaluated.

It is the responsibility of a candidate to demonstrate superior, not merely competent, performance in the criteria listed. The interpretation of all criteria and the judgment of whether the candidate meets them is left to the persons and committees specifically charged in this Handbook or in the Constitution of the School of Law or the Statutes of the Jesuit School of Theology with the evaluation of candidates.

Collegiality is not a distinct capacity to be assessed independently of the traditional triumvirate of scholarship, teaching, and service. It is rather a quality whose value is expressed in the successful execution of these three functions. Collegiality means that faculty members cooperate with one another in sharing the common burdens related to discharging their responsibilities of teaching, scholarship or creative work, and service, and do so in a conscientious and professional manner. Collegiality is not the same as conformity or intellectual agreement and may not be interpreted in a way that violates the principles of academic freedom. In those rare instances in which lack of collegiality becomes an issue in the evaluation of faculty for promotion and tenure, it may be considered only insofar as it has a negative effect on the functioning of the department, college or school, or University.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

No individual may obtain tenure by length of service with the University, or in any way other than as explicitly set forth in this Handbook.

The University does not limit by quota the percentage of tenured faculty either in individual departments or in the University as a whole. Yet, as the percentage of tenured faculty increases, the application of criteria inevitably becomes more rigorous.

It is the policy of the University that when it confers tenure upon a candidate, it will also promote to the rank of Associate Professor unless the candidate already holds that or superior rank.

The University will ordinarily not promote to the rank of Professor earlier than six years beyond promotion to the rank of Associate Professor. Length of service does not justify promotion to the rank of Professor.

The University shall hold to especially high standards for promotion to the rank of Professor. It is expected that candidates for promotion to Professor shall have distinguished themselves in teaching, in scholarship or artistic creativity, or preferably in both, and that they shall have served the University, their profession, or the community in proportion to their experience, their competencies, and their seniority. They shall have demonstrated achievement of high quality in all three Faculty Handbook criteria in addition to evidence submitted in the petition for tenure and/or promotion to the rank of Associate Professor, whichever is more recent. Petition-year evidence of teaching, scholarship, and service performed during the tenure and/or promotion petition year, and scholarship that was not counted in the earlier petition for tenure and/or promotion, shall be included in the petition for promotion to Professor.

These standards apply to all candidates for promotion to Professor irrespective of school, college, or division. Within these stipulations, candidates must also meet the special standards of their school, college, or division. They shall otherwise be evaluated for promotion by the same procedures as govern their evaluation for tenure and for promotion to Associate Professor.

Endorsed by Faculty Senate, Winter 2024
Approved by Board of Trustees, February 9, 2024

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3.4.3  Application for Promotion and for Tenure

Petitions for tenure must be submitted no later than the penultimate year of the probationary period as defined in 3.4.1 and will not be accepted or considered subsequent to that year.

Endorsed by Faculty Senate, September 2004
Approved by Board of Trustees, May 20, 2005

Procedures and deadlines for preparation, submission, and review of petitions for promotion and for tenure and of materials related to such petitions are announced annually by the Provost.

Endorsed by Faculty Senate, September 2004
Approved by Board of Trustees, May 20, 2005

Faculty members ordinarily are not encouraged to apply for tenure before the penultimate year of the probationary period. Early tenure requires evidence that the candidate has met the normal standards for tenure as specified in 3.4.2. A faculty member who wishes to apply before the penultimate year should consult with senior members of his or her department to determine if an early application is advisable.

If an early application for tenure is denied, the faculty member may not reapply until the penultimate year of the probationary period.

Endorsed by Faculty Senate, September 2004
Approved by Board of Trustees, May 20, 2005

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It is the responsibility of a candidate for tenure or promotion to become informed about the rules and regulations concerning rank and tenure contained in the Faculty Handbook, to obtain from the Provost the current University and college or school guidelines, and to follow all the procedures stipulated. It is incumbent on the candidate to demonstrate that he or she has met all the criteria for tenure and/or promotion and to provide requisite documentation, in the form requested, within the deadlines stipulated.

In submitting an application for tenure or promotion, the candidate may name two outside referees of choice to be contacted for an evaluation of the candidate's scholarship or artistic work and may select key publications or works to be sent to outside referees. The candidate may request that, for identified valid cause, certain persons or groups of persons not be asked to serve as referees.

The chair shall invite all tenured members of the department to participate in a departmental review of the strengths and weaknesses of a candidate for promotion or tenure. Each tenured faculty member is expected to read the candidate's file, participate in the departmental discussion, and submit an evaluation letter that includes a numerical score. A tenured faculty member on sabbatical or other leave may choose not to participate in the rank and tenure process. A faculty member who chooses not to participate shall not be involved in any part of the process.

The tenured faculty, acting collectively or through the chair, shall identify two outside referees to be contacted for an evaluation of the candidate's scholarly or artistic work.

The chair shall schedule a meeting of the tenured faculty to discuss the strengths and weaknesses of the candidate's petition. This meeting should be scheduled so that all tenured faculty who are not on sabbatical or other leave are able to participate. A written summary of the departmental discussion will be signed by all participants.

Each tenured faculty member who participates in the departmental discussion shall write a letter of evaluation that includes a recommendation with a numerical score. A tenured faculty member who is unable for good reason to participate in the departmental discussion may write such a letter if he or she has reviewed the candidate's file. In this case, the letter must explain why the faculty member could not participate in the departmental discussion.

All participating faculty shall submit their evaluation letters to the department chair. If there is a compelling reason to seek an exception to this rule, the faculty member must have approval of the Provost.

In addition to writing an individual letter of evaluation, the department chair or another faculty member designated by the chair and approved by the Dean shall write a contextual summary letter. This letter shall summarize the individual faculty letters and provide a context to the candidate's petition and to the faculty letters. It shall contain the numerical evaluations found in the individual letters. This letter may include information about the field of research or creative endeavor, disciplinary practices of evaluation and publishing, or other items of relevance that may not be known outside the discipline. The contextual summary letter shall not be reviewed by other members of the department as part of the departmental deliberation.

The chair shall forward to the candidate's dean the petition, supporting documentation and other material, the summary of the departmental discussion, and all evaluations and recommendations that have been received from tenured members of the department, together with his or her own recommendation.

Revisions endorsed by Faculty Senate, January 2012
Revisions approved by Board of Trustees, February 10, 2012

Any Jesuit who is a candidate for promotion or tenure may, at his own discretion request an evaluation of his service as a Jesuit and the ways in which this service bears on his performance in the three areas of evaluation for rank and tenure. In such cases the Provost in consultation with the President shall appoint a committee of three tenured Jesuit members of the faculty, one of whom must be from JST if the candidate is JST faculty, excluding University administrators, to evaluate this component of the candidate's petition. The committee's evaluation shall be submitted to the candidate's dean for inclusion in the candidate's file; it shall be considered by the college or school committee and later parties to the review.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

The candidate's college or school Rank and Tenure Committee solicits and considers additional outside evaluations of the candidate's scholarly or artistic contributions, and may select additional material to be evaluated by the outside referees. The college or school committee thoroughly reviews all aspects of the candidate's petition. Informed by this review, its members cast secret ballots indicating their judgment of the strength of the petition. Unless it receives significant and relevant new information, the committee shall cast ballots only once. The committee prepares a report of its evaluation and recommendation that reflects and includes the results of the balloting.

Rank and Tenure Committee members from a candidate's department must recuse themselves entirely from the committee's review of the candidate's case. They shall not view any materials associated with the candidate's case, beyond what they examined as a participant in the department review. They shall not be present in the room, participate in the committee's deliberations, answer questions, vote, or sign the committee's report. They participate fully and cast a ballot only at the department level.

Endorsed by Faculty Senate, Spring 2023
Approved by Board of Trustees, June 2, 2023

Taking into account all of the information and recommendations entered into the file to that point and drawing on such other information as may be known to him or her, the dean of the candidate's school or college adds an independent evaluation and recommendation to the candidate's file.

The University Rank and Tenure Committee reviews all of the information and recommendations entered into a candidate's file to that point and makes whatever additional investigation it deems necessary. Before the University Rank and Tenure Committee reaches its final judgment on a candidate's petition, the committee's members from each school and college meet with their respective school or college rank and tenure committee to clarify any matters on which there may be questions or issues of interpretation. Taking into account all of the information available, each member of the University Rank and Tenure Committee casts a secret ballot indicating his or her judgment of the strength of the petition. Unless it receives significant and relevant new information, the committee shall cast ballots only once. The committee prepares a report of its evaluation and recommendation that reflects and includes the results of the balloting. In the course of its review of all petitions submitted to it, the University Rank and Tenure Committee takes all reasonable care to ensure that evaluations have been conducted thoroughly and consistently and in accordance with operative procedures, and that standards and procedures have been applied consistently by each college or school committee.

Rank and Tenure Committee members from a candidate's department must recuse themselves entirely from the committee's review of the candidate's case. They shall not view any materials associated with the candidate's case, beyond what they examined as a participant in the department review. They shall not be present in the room, participate in the committee's deliberations, answer questions, vote, or sign the committee's report. They participate fully and cast a ballot only at the department level.

Endorsed by Faculty Senate, Spring 2023
Approved by Board of Trustees, June 2, 2023

The Provost reviews all petitions and makes his or her own recommendations.

The decision on every candidate's petition shall be made by the President in consultation with the Provost after consideration of the recommendations made to him and of the needs of the University at the time he makes the decision.

Faculty members who participate in the evaluation of candidates for promotion and tenure must strive to avoid any conflict of interest, real or perceived, in order to ensure a fair and objective evaluation.

If a familial, romantic, or financial relationship exists or has existed between two faculty members, neither shall participate in the evaluation of the other for purposes of tenure or promotion. Specifically:

1. One shall not stand for election to a Rank and Tenure Committee knowing that the other would be considered during his or her period of service on the committee.
2. One in a position to evaluate the candidacy of the other at any level of the review process shall recuse himself or herself from both discussion and voting in that case.
3. A candidate for tenure or promotion is responsible for asking the other party to recuse himself or herself from the review process and also for reporting the perceived conflict to the Dean (if the conflict exists at the level of the department or the College committee) or the Provost (if the conflict exists at the level of the Dean or the University committee).

A "financial relationship" is a relationship between two faculty members that could allow one to significantly benefit or suffer financially, either directly or indirectly, from a decision on the promotion or tenure of the other.

Violations of these provisions will be governed by procedures specified in Section 3.9. (Sanction and Dismissal) of the Faculty Handbook.

Significant scholarly collaboration, such as co-authorship of publications or supervision of a candidate's graduate work, also presents a potential conflict of interest. If two faculty members have engaged in significant scholarly collaboration and one serves on a Rank and Tenure Committee that evaluates the other, the committee member shall recuse himself or herself from consideration of the candidate's application. When there is a question as to what constitutes significant scholarly collaboration, the committee member shall consult with the chair and other members of the Rank and Tenure Committee and the chair shall notify the Provost.

Before recusal, the significant collaborator may present a written evaluation of the candidate's professional qualifications to the committee. If necessary, the committee may request further information from the recused member.

This procedure allows full and frank discussion of the application. It also guarantees the confidentiality of outside letters that may address the quality of the recused committee member's work.

Candidates and those charged with their evaluation for promotion or tenure shall consult with the Provost to resolve questions of the applicability and interpretation of this policy when necessary.

Recommended by the Faculty Affairs Committee, May 2, 2005
Endorsed by the Faculty Senate, June 2005
Approved by the Board of Trustees, January 20, 2006

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3.4.5  Transmission of Materials and Recommendations through the Review Process

A member of the faculty seeking promotion or tenure or both shall submit his or her petition and supporting documentation to his or her department chair, who will make it available to the tenured members of the department for their review. The chair shall forward all materials received from the candidate, along with the summary of the department meeting on the petition, his or her own recommendation, and all recommendations received from tenured members of the department, to the candidate's dean. The file shall then be reviewed in turn by the following academic officers and committees, except where one does not exist in the line of transmittal for a specific candidate: the college, school, or division Committee on Rank and Tenure, the dean, the University Committee on Rank and Tenure, and the Provost.

Requests for letters of evaluation from outside referees named by the candidate, the candidate's department, and the candidate's college or school Rank and Tenure Committee shall be generated in the office of the candidate's dean. Letters received from these referees shall be held in the office of the candidate's dean and consulted there by appropriate parties in the review up to the level of dean, after which they shall be forwarded with the candidate's file to the Provost for consideration by the University Rank and Tenure Committee and later parties to the review.

In the transmittal of files through the reviewing procedure, college or school committees shall receive them from and return them to their deans; the University committee shall receive them from and return them to the Provost. The departmental, college or school committees and the University committee shall not collect evidence of teaching performance or service performed after the petition deadline. A change in status of scholarship identified as in progress on the annotated curriculum vitae may be introduced by the candidate during the review period.

Materials entering the process after it has begun shall be transmitted directly to the candidate's dean or, if the evaluations have proceeded beyond the dean, to the Provost for further transmittal to whatever person or committee is currently evaluating the candidate to whom they pertain. Such late materials need not be reviewed by the authors of completed evaluations unless, in the opinion of the University committee or the Provost, they ought to be.

The President shall meet with the University committee and the appropriate dean before announcing their decision. The President communicates their decision on each candidate's petition to the candidate in a letter.

Endorsed by Faculty Senate, Winter 2024
Approved by Board of Trustees, February 9, 2024

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3.4.6  Confidentiality

Deliberations and recommendations by persons or groups charged in this Handbook with the evaluation of candidates shall have confidential status and shall not be divulged to persons not so charged. Evaluative material received from others, whether solicited or volunteered, shall likewise have confidential status and shall not be divulged to persons outside the review process.

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3.4.7  Inception of Tenured Status

The protections of tenure commence with the date of the President's letter of notification. For all other purposes, tenure commences with the beginning of the subsequent academic year.

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3.4.8  Reconsideration

When a decision not to grant tenure or promotion has been reached, the faculty member concerned will be informed of that decision in writing. On request, the Provost shall give unsuccessful candidates the fullest and frankest statement of reasons that is consistent with the confidentiality of the specific recommendations and votes of committees and individuals who have participated in the evaluations.

Whenever a faculty member receives in writing an adverse decision concerning his or her application for promotion or tenure, the faculty member has 30 calendar days to file with the President of the University a petition for reconsideration by the President. The petition should be submitted in writing and list the reasons for the request for reconsideration. The President shall respond within 30 days of receipt of the petition.

Requests for reconsideration of a denial of tenure or of promotion are restricted to the following causes:

1. the existence of significant and relevant new information regarding the candidate's performance that was not available for consideration by the relevant College or school rank and tenure committee during the review process as described in 3.4.5;
2. the existence of evidence suggesting that the evaluation of the case was inconsistent with established procedures or standards or was substantively unfair, such as being adversely impacted by significant personal or professional bias.

Upon receiving a valid request to reconsider a denial of tenure or promotion, the President shall ask for recommendations on whether to reverse or to reaffirm the decision from

1. the candidate's college or school Committee,
2. the University committee,
3. the candidate's dean,
4. the Provost, and
5. two senior Santa Clara University tenured faculty who are not members of the candidate's department and have not been members of any committee that evaluated the candidate.

For a candidate from the Jesuit School of Theology the President shall ask for recommendations on whether to reverse or to reaffirm the decision from the candidate's school Committee, the candidate's dean, the Provost, and two tenured members of the Jesuit School of Theology faculty who are not on the Appointment, Rank, and Tenure Committee of the School.

All of these persons and committees shall make their recommendations directly to the President, who, at his discretion, may discuss the case with any or all of them or with anyone else, including the candidate. The President shall then form and communicate his decision, which shall be final, in writing to the candidate.

The burden of proof for a reconsideration request rests with the candidate.

(In cases where a faculty member alleges a violation of academic freedom or unlawful discrimination in a denial of tenure or promotion, the Faculty Judicial Board shall have jurisdiction (see Section 3.10.2.2 (2) and (6) and 3.10.2.3).

Revisions endorsed by Faculty Senate, October 2017
Revisions approved by Board of Trustees, October 20, 2017

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Policies and procedures for reappointment of faculty holding renewable-term positions in the School of Law are set by the School of Law with approval of the Provost.

Policies and procedures for reappointment of a Lecturer to another renewable-term appointment appear in 3.4A.1 and 3.4A.3 below.

Policies and procedures for promotion to Senior Lecturer appear in 3.4A.2 and 3.4A.3 below.

Policies and procedures for promotion of faculty in adjunct professor ranks appear in 3.4A.4 below.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.4A.1  Reappointment of Lecturers

Standards for reappointment of Lecturers must be broad enough to accommodate differences in academic disciplines and fields, the needs of different departments, and the nature of the specific appointment.

In addition to meeting the requirements set in 3.1.2.1.2, Lecturers seeking reappointment to another renewable term must demonstrate superior performance in teaching, in service, and in professional activity that is appropriate to the academic discipline or professional field and that contributes to their primary responsibility for teaching.

Teaching is to be judged in a teacher's total effect upon the education of his or her students. Teaching includes not only classroom instruction, but also academic advising and curriculum development. Effective teaching requires, at a minimum, competence in the subject and in skills of presenting it, and professionalism in conduct towards students. Academic advising is an extension of teaching. It is an expression of the University's concern for the development of the whole person and includes advising on courses and academic programs, on academic life generally, and on career opportunities. Curriculum development includes both contributions to departmental and University curricula, such as the development of new courses or significant modification of existing ones, and the creation of pedagogical materials that may be of use to other teachers. Those entrusted with evaluating a candidate's teaching are to consider all evidence of achievement in each of the three components. The candidate's course materials form part of this evidence. The evidence also includes, but is not necessarily restricted to, the testimony of the candidate's colleagues, students, chair and other academic officers about the following: the candidate's command of the subject; the effectiveness of the candidate's presentation, whether in lectures, discussion, or tutorial; the quality and rigor of the candidate's courses; and the respect for and stimulation to further study of the subject that is generated among the candidate's students. Any other factors that contribute to the candidate's effect upon the education of his or her students shall also be taken into account.

Service is work other than teaching and professional activity that fosters and advances the missions and goals of the department, the college or school, or the University. It may also include service to the profession, such as participation on committees of a professional organization, and service to the community performed in virtue of a Lecturer's professional expertise or association with the University. The service expected of Lecturers will be appropriate to their expertise and experience.

Professional activity refers to scholarly or creative work, professional practice, or other active engagement in a discipline or field that enables a Lecturer to remain current in that area and vital as a teacher. Examples of professional activity include attendance or presentations at conferences, occasional publications that contribute to scholarship or pedagogy in the field, creative work in the arts, and practice in a professional field. Lecturers shall not be held to the same standards of scholarship as tenure-track faculty.

It is the responsibility of the candidate to demonstrate superior, not merely competent, performance in the criteria described above. The interpretation of all criteria and the judgment of whether the candidate meets them is left to the persons and committees specifically charged in this Handbook or in the Constitution of the School of Law or the Statutes of the Jesuit School of Theology with the evaluation of candidates.

Collegiality is not a distinct capacity to be assessed independently of the three standards described above. It is rather a quality whose value is expressed in the successful execution of these three functions. Collegiality means that faculty members cooperate with one another in sharing the common burdens related to discharging their responsibilities, and do so in a conscientious and professional manner. Collegiality is not the same as conformity or intellectual agreement and may not be interpreted in a way that violates the principles of academic freedom. In those rare instances in which lack of collegiality becomes an issue in the evaluation of faculty for reappointment or promotion, it may be considered only insofar as it has a negative effect on the functioning of the department, college or school, or University.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Reappointment is contingent on superior performance, persistent programmatic need, and the availability of funds. The presence of persistent programmatic need and the anticipated availability of funds must be confirmed before an application for reappointment is submitted. A Lecturer in the final year of a term is notified in writing by the dean whether there is persistent programmatic need and anticipated availability of funds for the position.

If there is persistent programmatic need and anticipated availability of funds, then the Lecturer may submit to the department an application for reappointment that follows University guidelines available from the dean.

Decisions about the presence of persistent programmatic need and the availability of funds are not subject to reconsideration.

Revisions endorsed by Faculty Senate, December 2012
Revisions approved by Board of Trustees, February 8, 2013

Each department shall review applications for reappointment of Lecturers in accordance with procedures set by the dean. All tenured faculty and Senior Lecturers shall be eligible to participate in the review of applications. With the approval of the dean, faculty in a large department who are eligible to participate may elect a committee of eligible faculty to conduct the review on behalf of the whole department.

The chair shall convey the recommendation of the department, along with a report explaining that recommendation, to the dean. After reviewing the departmental recommendation, the dean shall make the final decision and inform the candidate of that decision in writing.

Revisions endorsed by Faculty Senate, December 2012
Revisions approved by Board of Trustees, February 8, 2013

A Lecturer who has been denied reappointment by the dean will be informed of that decision in writing; the faculty member will be advised upon request of the reasons that contributed to the dean's decision.

Whenever a Lecturer, who is in his or her second term or any subsequent term as a Lecturer, receives in writing a negative decision by the dean concerning his or her application for reappointment, the Lecturer has 30 calendar days to file with the dean a petition for reconsideration by the dean. The petition shall be submitted in writing and list the reasons for the request for reconsideration. The dean shall respond within 30 days of receipt of the petition.

Requests for reconsideration of a denial of reappointment are restricted to the following grounds:

1. the existence of significant and relevant new information that has become available since the Lecturer's application for reappointment was considered.
2. the existence of evidence suggesting that the evaluation of the case was inconsistent with established procedures or standards or was substantively unfair, such as being adversely impacted by significant personal or professional bias.

Upon receiving a valid request for reconsideration of a decision not to reappoint, the dean shall ask for recommendations on whether to reverse or to reaffirm the decision from the appropriate department or program and the Lecturer's chair or program director.

The department and chair shall make their recommendations directly to the dean, who, at his or her discretion, may discuss the case with any or all of them or with anyone else, including the Lecturer. The dean shall then form and communicate his or her decision, which shall be final, in writing to the Lecturer.

The burden of proof for a reconsideration request rests with the candidate.

Revisions endorsed by Faculty Senate, October 2017
Revisions approved by Board of Trustees, October 20, 2017

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3.4A.2  Promotion to Senior Lecturer

Standards for promotion to Senior Lecturer must be broad enough to accommodate differences in academic disciplines and fields, the needs of different departments, and the nature of the specific appointment.

Promotion to Senior Lecturer is not automatically granted for length of service; it is a recognition of an exemplary record of achievement. In addition to meeting the requirements set in 3.1.2.1.3, candidates shall be expected to demonstrate a record of extraordinary teaching and to meet or exceed the standards for reappointment of Lecturers as described in 3.4A.1.1.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Promotion to Senior Lecturer is contingent on an exemplary record of achievement, persistent programmatic need, and the availability of funds. The presence of persistent programmatic need and the anticipated availability of funds must be confirmed before an application for promotion to Senior Lecturer is submitted. A Lecturer is notified in writing by the dean whether there is persistent programmatic need and anticipated availability of funds for the position.

If there is persistent programmatic need and anticipated availability of funds, then the Lecturer who is eligible to apply may submit to the department an application for promotion that follows University guidelines available from the dean.

Decisions about the presence of persistent programmatic need and the availability of funds are not subject to reconsideration.

Revisions endorsed by Faculty Senate, December 2012
Revisions approved by Board of Trustees, February 8, 2013

Each department shall review applications for promotion to Senior Lecturer in accordance with procedures set by the dean. All tenured faculty and Senior Lecturers shall be eligible to participate in the review of applications. With the approval of the dean, faculty in a large department who are eligible to participate may elect a committee of eligible faculty to conduct the review on behalf of the whole department.

If the recommendation of the department is negative, the chair shall convey that recommendation along with a report explaining it to the dean. The dean shall notify the candidate of the negative decision in writing; the faculty member will be advised upon request of the reasons that contributed to the decision. This decision is not subject to appeal.

If the recommendation of the department is positive, the chair shall convey that recommendation along with a report explaining it to a Committee on Promotion to Senior Lecturer which has been elected by eligible faculty in the college or school (for the composition of the committee, see 2.11.2.3).

The college or school Committee on Promotion to Senior Lecturer shall thoroughly review all aspects of the candidate's application and the report of the department. Informed by this review, its members shall cast secret ballots indicating their judgment of the strength of the application. Committee members from a candidate's department must recuse themselves entirely from the committee's review of the candidate's case. They shall not view any materials associated with the candidate's case, beyond what they examined as a participant in the department review. They shall not be present in the room, participate in the committee's deliberations, answer questions, vote, or sign the committee's report. They participate fully and cast a ballot only at the department level.

The committee shall prepare a report of its evaluation and recommendation that reflects and includes the results of the balloting. It shall submit this report to the dean, who shall make a recommendation to the Provost. The Provost shall make the final decision after consideration of the recommendations made and of the needs of the University.

Endorsed by Faculty Senate, Spring 2023
Approved by Board of Trustees, June 2, 2023

A Lecturer who has been denied promotion to Senior Lecturer by the Provost will be informed of that decision in writing; the faculty member will be advised upon request of the reasons that contributed to the decision.

Whenever a Lecturer receives in writing a negative decision by the Provost concerning his or her application for promotion to Senior Lecturer, the Lecturer has 30 calendar days to file with the Provost a petition for reconsideration by the Provost. The petition shall be submitted in writing and list the reasons for the request for reconsideration. The Provost shall respond within 30 days of receipt of the petition.

Requests for reconsideration of a denial of promotion are restricted to the following grounds:

1. the existence of significant and relevant new information that has become available since the Lecturer's application for promotion was considered.
2. the existence of evidence suggesting that the evaluation of the case was inconsistent with established procedures or standards or was substantively unfair, such as being adversely impacted by significant personal or professional bias.

Upon receiving a valid request to reconsider a denial of promotion, the Provost shall ask for recommendations on whether to reverse or to reaffirm the decision from the appropriate college or school committee and the Lecturer's dean.

The committee and dean shall make their recommendations directly to the Provost, who, at his or her discretion, may discuss the case with any or all of them or with anyone else, including the appellant. The Provost shall then form and communicate his or her decision, which shall be final, in writing to the Lecturer.

The burden of proof for a reconsideration request rests with the candidate.

Revisions endorsed by Faculty Senate, October 2017
Revisions approved by Board of Trustees, October 20, 2017

A Lecturer who has been denied promotion to Senior Lecturer must wait three years before reapplying for promotion.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.4A.3  Other Policies and Procedures for Reappointment and Promotion of Lecturers

It is the responsibility of a Lecturer applying for reappointment or for promotion to Senior Lecturer to become informed about the pertinent rules and regulations contained in the Faculty Handbook, to obtain from the dean the current University and college or school guidelines, and to follow all the procedures stipulated. It is incumbent on the candidate to demonstrate that he or she has met all the criteria for reappointment or promotion and to provide requisite documentation, in the form requested, within the deadlines stipulated.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Faculty members who participate in the evaluation of candidates for reappointment or promotion must strive to avoid any conflict of interest, real or perceived, in order to ensure a fair and objective evaluation.

If a familial, romantic, or financial relationship exists or has existed between two faculty members, neither shall participate in the evaluation of the other for purposes of reappointment or promotion. Specifically:

1. One shall not stand for election to a Committee on Promotion to Senior Lecturer knowing that the other would be considered during his or her period of service on the committee.
2. One in a position to evaluate the candidacy of the other at any level of the review process shall recuse himself or herself from both discussion and voting in that case.
3. A candidate for promotion is responsible for asking the other party to recuse himself or herself from the review process and also for reporting the perceived conflict to the dean.

A "financial relationship" is a relationship between two faculty members that could allow one to significantly benefit or suffer financially, either directly or indirectly, from a decision on the reappointment or promotion of the other. Violations of these provisions will be governed by procedures specified in Section 3.9. (Sanction and Dismissal) of the Faculty Handbook.

Candidates and those charged with their evaluation for reappointment or promotion shall consult with the Provost to resolve questions of the applicability and interpretation of this policy when necessary.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Deliberations and recommendations by persons or groups charged in this Handbook with the evaluation of candidates shall have confidential status and shall not be divulged to persons not so charged. Evaluative material received from others, whether solicited or volunteered, shall likewise have confidential status and shall not be divulged to persons outside the review process.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Reappointment or promotion commences with the beginning of the subsequent academic year.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.4A.4  Policies and Procedures for Promotion of Faculty in Adjunct Professor Ranks

Policies and procedures for promotion of faculty in the adjunct professor ranks defined in 3.1.2.2.1.2 are determined by the dean of each College or School in consultation with the faculty.

Standards for promotion must be broad enough to accommodate differences in academic disciplines and fields, the needs of different departments, and the nature of the specific appointment as specified in the Letter of Appointment. In general, faculty in adjunct professor ranks shall demonstrate the same level of excellence expected of tenure-track faculty holding the same rank, except that they shall not be held to the same performance expectations as tenure-track faculty in functions that are not central to their appointment.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.5  Policies and Procedures on Termination of Employment

3.5.1  Retirement

Retirement is a voluntary termination of University rights and obligations by a faculty member after a career of academic service at Santa Clara University. A faculty member relinquishes tenure upon retirement.

A tenured faculty member and a faculty member with a renewable-term or continuing appointment as defined in Section 3.1.2.1, is ordinarily eligible to retire after 10 years of service at Santa Clara University and after reaching the age of 55.

A faculty member must ordinarily notify the department chair, dean, and Provost one full academic year before the academic year in which retirement is to begin.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

The privileges offered to retired faculty are not contractual and are subject to change by the University. Those offered to all retired faculty include:

1. A University identification ("Access") card, thereby ensuring eligibility for:
   1. Admission and borrowing privileges from libraries, including, for faculty retired from the Jesuit School of Theology, the Graduate Theological Union Library
   2. Use of the Malley Fitness Center and swimming pool
   3. Price reductions on lectures, theater, sporting, and other university events, and on purchases in the university Campus Store
2. Eligibility for a university email address and related privileges
3. Eligibility for complimentary parking permit
4. Eligibility to walk in graduation ceremonies

Privileges extended to Emeriti faculty members may also include:

5. Listing of name and title in school publications
6. Invitations to general University functions
7. Attendance at faculty meetings (without voting privileges)
8. Departmental mail box privileges

When considered necessary or beneficial, other privileges may be granted to a particular retired faculty member with the approval of the Provost.

Revisions endorsed by Faculty Senate, May 29, 2015
Revisions approved by Board of Trustees, June 5, 2015

A retired member of the faculty may be hired on an adjunct appointment.

Revisions endorsed by Faculty Senate, January 2012
Revisions approved by Board of Trustees, February 10, 2012

Phased retirement is a condition of employment under which a tenured faculty member or Senior Lecturer agrees to a reduction in University responsibilities with a corresponding decrease in salary. The agreement, which should be regarded by all parties as permanent and binding, shall specify a date for full retirement. The period of phased retirement will ordinarily not be longer than five years.

A tenured faculty member or Senior Lecturer is eligible to apply for phased retirement after seven years of service at Santa Clara University, but usually not earlier than age 55, under the conditions specified below.

Each agreement will be negotiated on an individual basis, taking into consideration teaching, scholarship, and service desiderata from the perspective of the individual faculty member and the University. Compensation will not be linked to any predetermined fraction of teaching load, but will be proportional to the level and distribution of responsibilities for teaching, scholarship, and service specified in the agreement.

The base salary used in the computation will be the salary of the academic year before phased retirement is to begin. The salary thus determined will be subject to increase during phased retirement according to the rate of increase determined by the administration from year to year for similar ranks and using the same performance evaluation criteria.

During phased retirement, the University will continue to provide the faculty member with office space and benefits as specified in 3.8.2.2. Phased retirement does not affect tenure, rank, membership in the Faculty Senate, or any faculty privileges.

A faculty member must apply to the department chair one full academic year before the phased retirement is to begin. The chair will forward the application together with a recommendation to the dean of the school or college. The dean will forward the application together with a recommendation to the Provost who will make the final decision and inform the applicant within 60 days of receipt of the application by the Provost.

Revised by vote of the Faculty Senate in April 2002 and the Board of Trustees on May 9, 2002.

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3.5.2  Resignation

A faculty member who decides to resign from the University for any reason or who concludes an agreement to accept an appointment elsewhere is obligated to notify the University immediately.

A faculty member who has signed and returned to the President the Letter of Appointment for the coming year shall be permitted to resign from the University, without obligation, within thirty days of signing; thereafter, the faculty member shall fulfill the agreement.

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3.5.3  Non-Reappointment

The University may elect at any time not to reappoint any probationary member of the faculty, provided written notice is given in accordance with following timetable:

1. Not later than March 1 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 months in advance of its termination;
2. Not later than December 15 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 months in advance of its termination;
3. After two or more years, not later than August 31 of the calendar year in which the final one-year appointment begins.

When a decision not to renew an appointment has been reached, the faculty member concerned will be informed of that decision in writing by the body or individual making that decision; the faculty member will be advised upon request of the reasons that contributed to the decision.

The University may elect at any time not to reappoint a Senior Lecturer, provided written notice of the decision not to reappoint is given not later than August 31 of the calendar year in which the final one-year appointment begins.

Grounds for non-reappointment include unsatisfactory performance, lack of persistent programmatic need, or lack of available funds.

When a decision not to renew an appointment has been reached, the faculty member concerned will be informed in writing of that decision and the reasons for it by the body or individual making that decision.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

With the exception of Senior Lecturers as outlined in 3.5.3.2, the University may elect at any time not to reappoint non-tenure-track faculty as follows:

1. The University may elect not to reappoint a non-tenure-track faculty member who holds an appointment with a term of more than one year, even when that term includes one or more additional years beyond the effective date of non-reappointment, provided written notice of the decision not to reappoint is given at least three months before the end of the terminal academic year. Such decisions may be made based on performance, availability of funds, or programmatic need.
2. Non-tenure-track faculty appointments of one academic year or less are made with no expectation of reappointment. Thus no notice of non-reappointment is necessary.

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3.5.4  Cancellation of a Letter of Appointment

On thirty (30) days notice, the University may cancel a letter of appointment currently in effect and be excused from further obligation under such a letter in the event of substantial damage to the University properties by reason of war or by reason of fire, flood, earthquake, or other act of God, or in the event of substantial and sudden decrease in student body at the University as a result of any of the foregoing described contingencies or of any other circumstances beyond the University's control.

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3.5.5  Termination of Contract

In contrast to the situations mentioned in 3.5.4 in which the letter of appointment may be cancelled, the contract of faculty members may be terminated under certain conditions as outlined in the remainder of 3.5.5.

Termination of an appointment with tenure, or of any appointment before the end of the specified term, may occur because of a demonstrably bona fide financial exigency, that is, an imminent financial crisis that, in the judgment of the Board of Trustees, threatens the survival of the institution as a whole and which cannot be alleviated by less drastic means without fundamental harm to the University.

Before any termination of tenured appointments pursuant to this section is implemented, the University should pursue all feasible alternatives. Such alternatives may include, but are not limited to, the following:

1. A temporary freeze on hiring administrators, faculty, and staff.
2. A temporary freeze on all administrative, faculty and staff salaries.
3. Reduction of administrative and service programs with corresponding reduction in personnel and services.
4. Encouragement of voluntary early retirement, including phased retirement, of faculty.
5. Encouragement of temporary change from full-time to part-time service for administrators, faculty, and staff.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Termination of an appointment with tenure, or of any appointment before the end of the specified term, may occur because of a state of partial exigency, that is, a significant drop in enrollment in a particular school or department, whether unprecedented or steady, or a loss of income from other sources, such that, in the judgment of the Board of Trustees, the loss of income should not be supported by other parts of the University as a matter of long-range policy.

Before any termination of tenured appointments pursuant to this section is implemented, the University should pursue all feasible alternatives within the affected school or department, and may also pursue other feasible alternatives. Such alternatives may include, but are not limited to, the following:

1. Encouragement of voluntary early retirement, including phased retirement, of faculty within the affected school or department.
2. Encouragement of temporary change from full-time to part-time service for administrators, faculty and staff within the affected school or department.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

In making decisions on whether teaching and research programs are to be curtailed, financial considerations should not be allowed to obscure the fact that instruction and research constitute the essential reason for the existence of the University. The faculty should participate at the department, college or school, and institution-wide levels, in key decisions as to the future of the institution and of specific academic programs within the institution.

In the proposals for implementation of a determination of financial exigency, the University shall make bona fide efforts to protect its program of affirmative action and shall give due regard to seniority.

In the event that the University is faced by financial problems that cannot be solved by the alternatives listed in 3.5.5.1 or 3.5.5.2, the University will ordinarily turn to the following remedies in the order listed:

1. non-reappointment of non-tenured faculty members;
2. termination of non-tenured faculty members effective during their period of appointment;
3. termination of tenured appointments.

Moreover, decisions regarding curtailment of programs and departments must always take into account the areas deemed central to the Jesuit nature of the University as determined by the Board of Trustees.

The non-reappointment of non-tenured faculty, to the extent possible, must comply with the procedures outlined in 3.5.3.1, 3.5.3.2, and 3.5.3.3.

In the case of the termination of non-tenured faculty effective during the period of their appointment, the same procedures as for termination of tenured faculty must be followed.

In cases covered by the preceding two paragraphs, the place of the probationary faculty member or the Senior Lecturer concerned must not be filled by a replacement within a period of two years, unless the released faculty member has first been offered reinstatement and a reasonable time in which to accept or decline.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Termination of an appointment with tenure may occur because of a demonstrably bona fide financial exigency as defined in 3.5.5.1 or 3.5.5.2.

Only the Board of Trustees can declare a state of financial exigency.

Procedures:

If the University administration believes that the financial situation is so serious as to suggest termination of tenured faculty, it shall take action through the following procedures:

The President of the University shall call into session a Financial Exigency Committee (FEC) which shall include, in addition to the President himself (as chair), the Provost, the Vice President for Administration and Finance, the academic deans, the President of the Faculty Senate and six tenured faculty members with relevant competency selected by the University Coordinating Committee. The faculty members shall be selected as follows: one each from the School of Business, the School of Engineering, the School of Law, and the School of Education, Counseling Psychology and Pastoral Ministries, and two from the College of Arts and Sciences.

The Financial Exigency Committee shall promptly consider whether or not the financial situation warrants a declaration of Financial Exigency as defined in 3.5.5.1 or a declaration of Partial Exigency as defined in 3.5.5.2. This committee shall also consider possible means to alleviate the imminent crisis. The President shall convey the report (and any minority report) of the Financial Exigency Committee to the Board of Trustees.

The school and college representatives on the Financial Exigency Committee will also communicate the committee's deliberations to the Faculty Senate in appropriate detail.

After reviewing the report (or reports) and hearing from committee representatives, the Board shall make its determination after final discussion and voting in closed session.

The President will convey the determination of the Board through the dean to the chair of any affected department. If tenured faculty positions are to be eliminated, the chair will call a departmental meeting of all full-time tenured faculty members and will ask for recommendations by secret ballot of the faculty member(s) to be terminated. The ballots together with the recommendations of the chairs will be sent to the Provost. If tenured faculty positions are to be eliminated in the School of Law or the Jesuit School of Theology, its dean or President will follow procedures analogous to those just described.

The Provost will record the ballots in the presence of the President of the Faculty Senate. In consultation with the Provost, the President will make final decisions, after taking into account the results of the balloting and the needs of the University. Such decisions will be conveyed to the faculty member(s) by the dean of the respective school or college.

Safeguards:

The appointment of a faculty member with tenure will not be terminated in favor of retaining a faculty member without tenure, except in the extraordinary circumstances where a serious distortion of the academic program would otherwise result. In all cases of termination of a tenured appointment because of financial exigency, the place of the faculty member concerned will not be filled by a replacement within a period of three years, unless the released faculty member has first been offered reinstatement and a reasonable time in which to accept or decline.

If the institution because of financial exigency terminates tenured appointments:

1. in the case of financial exigency of the University as a whole, it will not at the same time make any new appointments except where a serious distortion in the academic program would otherwise result. Provision should be made for severance salary equitably adjusted to the faculty member's length of service.
2. in the case of partial exigency, before the administration issues notice to a faculty member of its intention to terminate an appointment, the institution must make every effort to place the faculty member concerned in another suitable position. If placement in another position would be facilitated by a reasonable period of training, financial and other support for such training will be proffered. Such financial arrangements will be negotiated by the faculty member and the Provost. If no position is available within the institution, with or without retraining, the faculty member's appointment may then be terminated, but only with provision for severance salary equitably adjusted to the faculty member's length of service.

A faculty member who has received notice of termination has a right to appropriate hearing by the Faculty Judicial Board according to 3.10.2 only as to whether the safeguards noted here have been followed.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

Termination of any appointment with tenure, or of any appointment before the end of its specified term, may occur as a result of bona fide formal discontinuance of a program or department of instruction. The following standards and procedures will apply:

1. The decision for formal discontinuance of a program or department of instruction will be based primarily upon educational considerations. The President and the Provost will make the decision after considering the recommendations of the Committee on Academic Affairs.
2. Before the administration issues notice to a faculty member of its intention to terminate an appointment because of formal discontinuance of a program or department of instruction, the institution will make every effort to place the faculty member concerned in another suitable position. If placement in another position would be facilitated by a reasonable period of training, financial and other support for such training will be proffered. Such arrangements will be negotiated by the faculty member and the Provost. If no position is available within the institution, with or without retraining, the faculty member's appointment may then be terminated, but only with provision for severance salary equitably adjusted to the faculty member's length of service.
3. In the case of formal discontinuance of a program or department of instruction, the place of the faculty member, should the program or department be restored within three years, will not be filled unless the released faculty member has first been offered reinstatement and a reasonable time in which to accept or decline.
4. A faculty member who has received notice of termination under this section has a right to appropriate hearing by the Faculty Judicial Board according to 3.10.2 only as to whether the safeguards noted here have been followed.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.6  Faculty Rights and Responsibilities

3.6.1  Academic Freedom

All faculty are entitled to the exercise of academic freedom.

The University's policy on academic freedom is that of the 1940 Statement on Academic Freedom and Tenure with 1970 Interpretive Comments, adopted by the American Association of University Professors and the Association of American Colleges, with no limitations imposed by the specific aims of the University. The statement, as revised by the two associations in 1989 and 1990 to delete gender-specific references, is given in Appendix B of this Handbook.

Faculty in the Jesuit School of Theology are subject to a separate academic freedom policy.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

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3.6.2  General Faculty Responsibilities

Members of the academic profession have responsibilities in the intellectual development of their students, in the advancement of knowledge in their disciplines, and in the improvement of society. As faculty at this University, they also have an obligation to support its general well-being, to advance its mission as expressed in 1.3.2, and to work toward the fulfillment of its stated goals. Although their duties are to some extent prescribed by the institution, they have considerable independence in ordering their work toward the fulfillment of their responsibilities.

General responsibilities of faculty at Santa Clara University fall into four major categories:

1. All faculty members are expected to accord the University their professional loyalty and arrange outside activities and obligations in a way that will not interfere with this commitment.

The acceptance of a full-time faculty appointment requires a commitment that is full-time in the most inclusive sense during the period of service specified in the Letter of Appointment. A part-time appointment requires a commitment commensurate with the responsibilities specified in the Letter of Appointment.

2. All faculty members are expected to demonstrate competence in carrying out their core responsibilities as defined in Section 3.1 or in writing by the dean or Provost.
3. All faculty members are expected to exhibit ethical behavior consistent with established norms of the academic profession.

As members of the academic profession, who have responsibility for the advancement of knowledge and the intellectual formation of others, and who have uncommon visibility as role models and spokespersons, faculty must adhere to especially rigorous standards of intellectual honesty, judgment, fairness, and restraint in the practice of their disciplines and in their dealings with students, colleagues, and the community.

The statement on professional ethics adopted by the American Association of University Professors in 1966 and revised in 1987 provides an excellent summary of the major general obligations incumbent on faculty in virtue of their position. It appears in Appendix D.

4. All faculty members are expected to adhere to official policies and procedures as outlined in the Faculty Handbook and as may be promulgated from time to time by officers of the University acting within the scope of their authority.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.6.3  Specific Functions

In addition to the general responsibilities outlined in section 3.6.2, full-time faculty are expected to perform specific functions in the areas of teaching, scholarly or creative work, and service. Specific functions of part-time faculty are outlined in writing by the dean or Provost.

Full-time faculty with teaching responsibilities perform specific functions related to teaching that include but are not necessarily limited to the following:

1. Teaching courses as assigned.

Courses shall ordinarily be delivered in-person. Courses are or may be approved for online delivery by the Provost, in consultation with relevant deans. Faculty may apply for a disability accommodation or modified duties. For more information about disability accommodation or modified duties, see section 3.2.1 and 3.6.3.4. For health and safety-related protocols, see section 3.6.11.

Except in the School of Law and the Jesuit School of Theology, the official teaching load for tenured and tenure-track faculty is seven courses of conventional unit value per year, or the equivalent, as determined by the dean. This load will ordinarily be adjusted for department chairs and directors of special academic programs, for persons engaged in intensive research, and for those who may be carrying an unusually heavy burden of committee or administrative work. Such adjustments are made by the Provost upon the recommendation of the dean.

The full-time-equivalent teaching load for faculty with renewable-term or continuing appointments (see 3.1.2.1) is seven courses of conventional unit value per year on the quarter system or five on the semester system. The full-time-equivalent teaching load for faculty with fixed-term appointments (see 3.1.2.2) is nine courses of conventional unit value per year on the quarter system or six on the semester system.

Department chairs and deans are expected to assign courses so that a faculty member on academic year appointment with a teaching load of five or more courses has teaching responsibilities in each term of the academic year. In order to promote the professional development of the faculty member or to meet the needs of the department, flexible course scheduling may be requested in special circumstances for a term without teaching responsibilities.

At the request of the chair and dean, a faculty member teaching in a year-round graduate program may agree to fulfill his or her teaching responsibilities by substituting the summer term for one quarter during the regular academic year. Such an assignment is to be noted in the Letter of Appointment. The dean will determine equitable service expectations and convey these expectations in writing to the faculty member. This option is not available in the Law School.

2. Demonstrating a command of their discipline and skill in presenting it effectively in the context of an integrated education.
3. Using appropriate measures of student performance, providing timely feedback to students, and assigning grades that are an accurate and fair evaluation of student work.
4. Posting and maintaining regular office hours at times reasonably convenient to students.
5. Serving as an advisor to assigned students and providing informed advice.
6. Developing courses for which they are responsible and contributing to general curriculum development in the relevant degree programs.

Endorsed by Faculty Senate, June 2023
Approved by Board of Trustees, October 19, 2023

Full-time faculty engage in a level of scholarly or creative work, or professional activity, that is appropriate to their position as defined in Section 3.1.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

Full-time faculty perform specific functions related to service. These include but are not necessarily limited to fostering and advancing the mission and goals of the department, the University, or the profession through contributions other than teaching and scholarship or creative work such as service on committees, participation in professional organizations and activities, and community service performed in virtue of their professional expertise or association with the University.

When a faculty member is granted a partial leave of any kind, he or she is expected to work during the portion of the term not covered by the leave. If a faculty member has a documented medical condition that requires a modification of duties but does not require a partial leave of absence, the faculty member shall initiate a request for modified duties with the Human Resources leave specialist and provide medical documentation. If a modification of the faculty member's duties is required due either to the nature and timing of the leave or to a medical condition, then the faculty member shall work with the chair and the dean to draft a memorandum of understanding that outlines the modified duties. Requests for modified duties will not affect a faculty member's hiring, future evaluations, or petitions for tenure and promotion. This memorandum of understanding shall be signed by the faculty member, chair, dean, and Provost.

During the period of modified duties, the faculty member will be afforded flexibility in meeting responsibilities including telecommuting options as appropriate to the circumstances of the faculty member and the needs of the University.

Endorsed by Faculty Senate, June 2023
Approved by Board of Trustees, October 19, 2023

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3.6.4  Period of Service

The period of service for full-time faculty is the nine-month academic year unless otherwise specified in the Letter of Appointment or by written agreement with the Provost upon the recommendation of the dean. Except in the School of Law and the Jesuit School of Theology, for which the academic year is the middle of August to the middle of May, the academic year lasts from approximately the middle of September to approximately the middle of June. The date when members of the Faculty are to return to campus or to be on call for activities related to the start of the academic year in September is announced annually by the Provost. This date ordinarily follows the preceding June commencement ceremony by three months.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

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3.6.5  Conflict of Interest

A conflict of interest exists when a faculty member's ability to discharge University responsibilities and functions in an ethical manner is compromised because of other professional or personal interests.

Faculty members must be sensitive to situations in which there is a potential for conflict of interest and actively avoid such a conflict. Such conflicts may arise when a faculty member serves in any administrative or service capacity that provides an opportunity to evaluate a family member or a colleague whom he or she cannot judge fairly. It may also arise when a faculty member is a consultant for, or has some other financial interest in, a business venture that is related to his or her own research or teaching.

Such situations pose the danger that basic standards of fairness, academic principles, or educational priorities will or may appear to be distorted by the opportunity for special advantage on the part of a faculty member, an academic unit in which he or she works, or even the University itself.

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3.6.6  Grading

The awarding of course grades is the exclusive responsibility of the teacher of the course. No member of the faculty or of the administrative staff of the University may solicit a teacher or apply pressure to award a particular grade or change a grade once given. After a grade has been filed with the Registrar, it shall not be changed except to correct a computational error or an error in transcription or other procedural error, or to comply with policies and procedures contained in Appendix E (Policies and Procedures on Student Appeals of Grades) or Appendix F (Policy on Unlawful Harassment and Unlawful Discrimination).

A grade should be an accurate, fair, and timely evaluation of a student's work and should not be affected by irrelevant or extraneous factors.

Procedures to be followed for the timely filing or changing of grades are determined by the Registrar.

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3.6.7  Unlawful Harassment and Unlawful Discrimination

Any behavior constituting unlawful harassment or unlawful discrimination toward any individual in the course of any University-administered program, job, or activity is prohibited. The University does not tolerate unlawful harassment or unlawful discrimination and will take prompt and effective corrective action including, where appropriate, disciplinary action up to and including dismissal or expulsion. This University policy applies to all University staff, students, and faculty, and all other individuals engaged in University activities.

The full text of this University policy is set forth in Appendix F and is incorporated here by this reference.

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3.6.8  Consensual Relations Between Employees and Students

In addition to prohibiting sexual harassment under the Policy on Unlawful Harassment and Unlawful Discrimination (Section 3.6.7), the University prohibits any consensual dating, romantic, or sexual relationship between an employee and a student over whom that employee has any instructional, supervisory, advising, or evaluative responsibility.

Such a relationship is fraught with problems, including the potential for exploitation, favoritism, and conflict of interest. The appearance of impropriety or unfairness may also adversely affect the learning and work environment for other students and employees.

This policy applies to faculty, staff, and student employees. Employees who violate this policy are subject to sanctions for misconduct under the policies of the Faculty Handbook, Staff Manual, or Student Employment Handbook, as appropriate to their employment status.

Employees or students with questions about this policy should contact the Office of Affirmative Action or the Department of Human Resources.

Endorsed by Faculty Senate, Spring 2006
Approved by Board of Trustees, May 19, 2006

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3.6.9  Proprietary Marks including the University Name

The University has exclusive rights to its proprietary marks, including but not limited to the University name, trademarks, mottos, mascots, and insignia. The University prohibits the unauthorized use of its proprietary marks. Because proprietary marks are valuable assets, they must be used correctly to avoid loss or dilution in the marketplace.

The University's proprietary marks include, but are not limited to, "Santa Clara University," "SCU", "Santa Clara College," "University of Santa Clara," and "Santa Clara Broncos," as well as icons such as Bucky, the monogram, the University's seals, and the depiction of the Mission Church.

Revisions endorsed by Faculty Senate, Spring 2016
Revisions approved by Board of Trustees, June 3, 2016

Faculty members may use proprietary marks for routine educational and scholarly activities. Faculty members may identify themselves as members of the University. Unless authorized to speak on behalf of the University, however, they should exert every reasonable effort when they make public statements to indicate that they speak as individuals rather than on behalf of the University.

Use of the University proprietary marks for reasons other than routine educational or scholarly activities requires the express written permission of the University. Furthermore, the University reserves the right in its sole discretion to terminate or modify permission to display University proprietary marks by any person or organization. Unless the University has given prior express approval, no member of the faculty shall use the University's proprietary marks to seek monetary gain, to issue any opinion about the merit or credit of a business undertaking, or to sponsor or oppose any organization or cause.

Endorsed by Faculty Senate, Spring 2016
Approved by Board of Trustees, June 3, 2016

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3.6.10  Miscellaneous University Policies

Faculty are subject to policies relating to a smoke-free environment, a drug-free school and workplace, operation of motor vehicles, public safety inspections, and workplace violence and threats of harm. These policies appear in sections 702-706 of the Santa Clara University Staff Policy Manual (http://www.scu.edu/hr/policy/) which, as they may be amended from time to time, are incorporated herein by this reference.

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3.6.11  Health and Safety

Santa Clara University places the highest priority on providing a safe and healthy environment for all members of the campus community; therefore, the health and safety of the community shall be the first consideration in decision-making about closing or opening campus, the mode of instruction, and campus health and safety protocols.

Endorsed by Faculty Senate, June 2023
Approved by Board of Trustees, October 19, 2023

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3.7  Faculty Development and Research

3.7.1  Sabbatical Leave

A sabbatical leave is awarded for the intellectual and academic enrichment of the faculty member and for the benefit of the University through improved teaching and scholarship. Projects suitable for a sabbatical leave include research or creative work leading to a product appropriate to the discipline, such as a publication or work of art, or curricular or pedagogical development that will enhance the curriculum of the department or University.

A sabbatical leave will not be granted for routine course preparation, respite from usual duties at the University, or the improvement of one's financial circumstances through remuneration for teaching, research, or any other employment outside the University. A leave of absence is appropriate to satisfy exigencies of a personal nature.

Faculty members granted sabbatical leave are expected to return to the University at the expiration of the leave for a period of at least one year following the sabbatical leave. The period of sabbatical leave counts as service at the University for purposes of advancement in rank and salary.

Faculty in the School of Law and the Jesuit School of Theology are subject to a separate sabbatical policy which supersedes the provisions in 3.7.1 through 3.7.1.5 of this Handbook.

Revisions endorsed by the Faculty Senate, October 2010
Revisions approved by the Board of Trustees, October 15, 2010

Only tenured faculty and Senior Lecturers are eligible for sabbatical leave.

A tenured faculty member who at the beginning of the proposed leave will have completed at least nine quarters of full-time service since initial tenure-track appointment is eligible to apply for a sabbatical leave subject to the provisions of 3.7.1.3.

A Senior Lecturer who at the beginning of the proposed leave will have completed at least 9 quarters of full-time service since initial appointment as Senior Lecturer is eligible to apply for a sabbatical leave.

A sabbatical leave or other leave of absence, except for a Junior Faculty Development Leave, is not considered full-time service to the University for purposes of determining sabbatical eligibility.

Sabbatical leaves should be taken during a single academic year and will ordinarily not be awarded more frequently than every three years. Exceptions may be permitted in special cases with the approval of the chair, dean, and Provost. To be considered for a sabbatical extending over more than a single academic year, the candidate must present a strong rationale for why this is necessary, and the Provost must be assured that the arrangement would not place undue burdens on students or colleagues.

Revisions approved by the Board of Trustees, January 2012
Revisions endorsed by the Faculty Senate, February 10, 2012

By the first Monday in October of the year prior to that in which the sabbatical leave is to occur, the applicant shall submit to the chair of his or her department a sabbatical proposal, formulated according to current guidelines, which describes the nature of the sabbatical project, the means by which it will be carried out, and the anticipated benefits from the sabbatical project for the University, the applicant's profession, and the applicant's own future teaching and scholarship.

The sabbatical proposal is reviewed, evaluated, and passed on with a recommendation for acceptance or rejection by the applicant's department chair, college or school dean, a Sabbatical Review Committee appointed by the Provost, and the Provost in turn. The Sabbatical Review Committee may request modifications in the proposal before making its recommendation to the Provost who may also request additional information. Sabbatical leaves are granted by the Provost.

Approved by the Board of Trustees, May 20, 2005
Endorsed by the Faculty Senate, June 2005

Although a faculty member's Letter of Appointment for the year in which a sabbatical leave has been awarded states base salary and estimated total compensation, actual salary for the year of sabbatical leave is determined as follows.

For each quarter of full-time employment, up to a maximum of three quarters per academic year, an eligible faculty member accrues 1/27 of his or her base pay for sabbatical leave. For example, after nine quarters of regular service, a tenured faculty member or Senior Lecturer is eligible for one quarter of sabbatical leave at 100% of base annual salary; after 18 quarters of regular service, a tenured faculty member or Senior Lecturer is eligible for two quarters of sabbatical leave at 100% of base annual salary; and after 27 quarters of regular service, a tenured faculty member or Senior Lecturer is eligible for three quarters of sabbatical leave at 100% of salary.

After 18 quarters and up to 27 quarters of full-time service, a faculty member eligible for sabbatical may take a three-quarter sabbatical leave at a reduced salary if the accrued service is insufficient to permit a sabbatical leave at full pay. For example, after 18 quarters of regular service, a full year of sabbatical leave will be remunerated at 18/27 or 66.7% of base annual salary; after 21 quarters of regular service, a full year of sabbatical leave will be remunerated at 21/27 or 77.8% of base annual salary.

Any quarters of accrued service that are not utilized for a sabbatical leave may be credited to a subsequent sabbatical leave. There will be no additional accrual of sabbatical time after 27 quarters of service unless the faculty member has had to delay a sabbatical leave in the interest of the department, college, or University. In such cases, with the written approval of the Provost, any additional quarters will be credited to a subsequent sabbatical leave. Sabbatical salary may not exceed 100% of the faculty member's regular salary.

Contributions to the retirement plan, by both the University and the faculty member, are based on the salary actually paid; all other benefits are continued as usual.

It is the obligation of the recipient of a sabbatical leave to clarify with his or her dean or with the Provost any matter pertaining to the leave which may not be included in this Handbook. Such clarifications are to be made in writing with copies to the recipient's department chair, the dean, and the Provost.

Revisions approved by the Board of Trustees, January 2012
Revisions endorsed by the Faculty Senate, February 10, 2012

Not later than ninety days following return to the University, a faculty member granted sabbatical leave shall submit a detailed report on his or her activities and accomplishments during the leave to the school or college dean, with copies to the Provost and department chair. Reports from prior sabbaticals must be included as part of future petitions for sabbatical leave.

Approved by the Board of Trustees, May 20, 2005
Endorsed by the Faculty Senate, June 2005

Any quarters of accrued service that have not been utilized for a sabbatical leave will be forfeited when a faculty member ends employment with the University.

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3.7.2 Junior Faculty Development Leaves

Junior Faculty Development Leaves are intended to support the professional development of tenure-track faculty in preparation for their application for tenure and promotion.

Following a mid-probationary review resulting in a recommendation for continuation through the probationary period, a tenure-track faculty member is eligible for a leave of one quarter at full salary to advance his or her scholarship or teaching as appropriate to each case. This leave will normally be taken in the academic year immediately following the successful mid-probationary review; exceptions must be approved by the Provost in consultation with the dean.

Tenure-track faculty in the Jesuit School of Theology are eligible to apply for a one semester leave to support research. Junior Faculty Development Leaves are not available in the School of Law.

Revisions endorsed by Faculty Senate, February 2022
Revisions approved by Board of Trustees, June 3, 2022

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3.7.3 Leaves of Absence

At the discretion of the Provost, any member of the faculty may be granted a leave of absence of up to one year's duration for bona fide emergency or for other personal reasons, such as to engage in public service, in formal study, in research, in teaching at another institution, or in caring for a family member. A partial leave of absence may also be granted.

A leave of absence may be extended beyond one year only for extraordinary reasons and under conditions to be agreed upon in writing by the faculty member and the Provost. If the faculty member is untenured, a leave of absence shall not constitute an interruption in the faculty member's probationary service for tenure, unless a written agreement between the faculty member and the Provost states otherwise.

A faculty member on leave of absence does not receive a Letter of Appointment for the period of the leave. Except for life insurance and medical insurance, which the University shall maintain in force, the faculty member shall receive no salary or other benefits during the period of leave, nor shall the faculty member accrue eligibility towards sabbatical, faculty tuition remission, or phased retirement.

A faculty member on a partial leave of absence does receive a Letter of Appointment for the period of the partial leave. Except for life insurance and medical insurance, which the University shall maintain in force, the faculty member shall receive salary and other benefits during the period of leave that are proportional to the partial leave.

A faculty member on leave of absence who decides not to return to the University shall observe the principles of notification of the University that are given 3.5.2.

Revisions endorsed by Faculty Senate, Spring 2014
Revisions approved by Board of Trustees, June 6, 2014

The total time spent on leave ordinarily should not exceed six quarters or four semesters in seven years for any member of the faculty. In this calculation, partial leaves will be prorated. Sabbatical leaves, junior faculty development leaves and phased retirements do not count toward this leave limit calculation.

Exceptions to these limitations may be approved by the Provost in consultation with the department chair and dean in certain special circumstances, such as when the following types of leave are involved: short term disability, long term disability, pregnancy disability, family and medical, workers compensation, or government service.

At the discretion of the Provost, any member of the faculty may be granted a reduced-time appointment of no less than 50% for up to four years in cases where all leave options have been exhausted and the leave limit has been reached. Exceptions to these limitations may be approved by the Provost in consultation with the department chair and dean.

A faculty member on a reduced-time appointment does receive a Letter of Appointment. Except for life insurance and medical insurance, which the University shall maintain in force, the faculty member shall receive salary and other benefits during the period of the reduced-time appointment that are proportional to the partial appointment.

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3.7.4  External Funding

A sponsored project is any externally funded activity which is subject to an agreement that is binding on the University and that includes any of the following conditions:

1. It commits the University to a specific plan of research or scholarly inquiry.
2. It makes a specific commitment regarding the level of personnel effort, items of output, or achievement of specific performance targets.
3. It requires both adherence to a line item budget and either a detailed fiscal report or an external audit of the project.
4. It requires that any unexpended funds be returned to the sponsor at the end of the project period.
5. It provides for the disposition of either tangible property (e.g., equipment, records, or technical reports) or intangible property (e.g., patents or copyrights) that may result from the activity.

Proposals including any of the above conditions must be reviewed by the Sponsored Projects Office before submission unless they are for student financial aid (see University Financial Aid Office), endowment funds (see University Development Office), or construction projects (see University Development Office and Facilities Planning and Projects Office).

Unrestricted gifts from private parties, or those restricted only to a general area without any of the conditions above, are not considered to be sponsored projects and should be processed through the University Development Office.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

All requests for external funds, except those that fall within the category of sponsored projects as defined in 3.7.4.1, must be coordinated with the University Development Office.

Consulting is defined as professional activity related to a person's field or discipline in which a fee-for-service or equivalent relationship with a third party exists. This definition is intended to encompass many different kinds of activities. Whether one runs a private practice, operates as an independent contractor, works as a paid employee, or serves as a company director, one is acting as consultant if three conditions hold: one uses one's professional capabilities in return for some form of remuneration provided by a party other than the University

Faculty members need not obtain prior approval for consulting as long as they meet their full obligations to the University and comply with the guidelines presented below. Exceptions to these guidelines must be approved in writing by both the appropriate dean and the Provost. The Provost will consider granting exceptions to the consulting time limits for Adjunct Faculty because the contribution of such faculty to the University may be based in significant measure on the professional expertise and recognition they derive from continued outside employment.

The maximum amount of consulting permitted for full-time faculty members is one day per seven-day week during the period of employment specified in the Letter of Appointment. When consulting is done by the hour rather than the day, eight consulting hours equal one consulting day.

For part-time faculty members who hold appointments for the full academic year, the one-day limit is prorated using the formula F + 6(1 - F), where F is the fraction of full-time duty and 6 is the maximum number of days per week that are likely to be devoted to consulting during the period not covered by University work.

Faculty members who are appointed only for one academic term are not subject to time limits on consulting.

Faculty members whose period of appointment is the academic year are not subject to time limits on consulting during the summer recess unless they receive from the University a salary supplement for work performed during the summer. If the supplement is less than 3/9 of base salary, the one-day limit applies only to the actual period of employment by the University.

Faculty members on sabbatical leave at full pay may consult up to one day per week. For those on sabbatical at less than full pay, the one-day limit is prorated according to the formula given above for part-time employment. Faculty members on leave without salary are not subject to time limits on consulting.

Averaging of consulting time within a single quarter is permitted at the discretion of the faculty member, but averaging across quarters requires prior written approval by the dean. Quarters of less than full-time service may not be averaged with quarters of full-time service.

University resources—including personnel, facilities, equipment, materials, and services—shall not be used in connection with consulting except in a purely incidental way.

Except in cases where disclosure would violate professional privilege, every faculty member must describe his or her consulting activities upon request from the dean or the Provost. Requested information may include the names of companies or organizations for which the faculty member has consulted, the general nature of each consulting agreement, the number of days devoted to each consulting agreement, and any financial interest in the company or organization that might result in a conflict of interest with University responsibilities. No faculty member will be required to disclose actual income from consulting activities.

Three activities related to faculty responsibilities are specifically excluded from the limits of the consulting policy:

1. Scholarship. This includes scholarly and creative productions as described in 3.4.2.
2. Professional Service. This includes service on editorial boards, peer review panels, committees of professional organizations, advisory groups at other universities, government boards, and similar bodies.
3. Sponsored Projects. These include all grants and contracts administered by the University.

Any question about whether an activity constitutes consulting under this policy should be resolved in advance with the appropriate dean. Teaching appointments at other institutions are covered in a separate policy.

Revisions endorsed by Faculty Senate, January 2012
Revisions approved by Board of Trustees, February 10, 2012

Full-time appointments at Santa Clara University involve a commitment that is full-time in the most inclusive sense (3.6.2), therefore, faculty with such appointments must have written approval prior to accepting appointments at other institutions. Tenured and tenure-track faculty and Senior Lecturers must have the written approval of the dean and Provost; Lecturers must have written approval of the dean; and faculty with fixed-term appointments must have written approval of the chair. Part-time faculty do not need to request approval for teaching at other institutions.

Endorsed by Faculty Senate, January 2012
Approved by Board of Trustees, February 10, 2012

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3.7.5  Patents 

The University expands the boundaries of knowledge and insight through research, artistic expression, and other forms of scholarship. Inventions may emerge from basic and applied research endeavors. Patenting an invention is often an essential step to fully realizing societal benefits emerging from new knowledge and technologies. Through this patent policy, the University seeks to encourage the development of new inventions and patents and to recognize that it is primarily through discovering, communicating, and applying knowledge that the University exercises institutional responsibility as a voice of reason and conscience in society.

An "invention" is defined by the U.S. Patent and Trademark Office as any art or process (way of doing or making things), machine, manufacture, design, or composition of matter, or any new and useful improvement thereof, or any variety of plant, which is or may be patentable under the patent laws of the United States.

For the purposes of this policy, an "inventor" is defined as any full- or part-time University faculty, staff, students, postdoctoral fellows and others who use University funds, facilities or other resources, or participate in University-administered research, and who contribute to the conception of an invention using any University resources.

Three types of inventions are defined in this policy as follows:

1. An incidental invention means an invention that is conceived or reduced to practice in whole or in part making an incidental use of space, facilities, materials or other resources provided by or through the University. Use of an office, the library, and desktop computer is considered to be the incidental use of space, facilities, materials or other resources.
2. A supported invention is an invention conceived or reduced to practice in whole or in part

3. An assigned invention is an invention conceived or reduced to practice in whole or in part as a result of activities related to the inventor's assigned employment responsibilities.

Inventors are required to complete and to submit an invention disclosure to the Office of Research Initiatives for any type of invention. Well before submitting a disclosure, inventors may notify the Office of Research Initiatives of potential invention development so that the Office of Research Initiatives can assist in readying the potential invention for patent application.

Upon review of the disclosure, the Office of Research Initiatives will determine whether the invention shall be classified as an incidental, supported, or assigned invention. Ownership will be determined as follows.

Ownership of an incidental invention shall remain with its inventor, subject to any rights owned by the University as required by this policy or voluntarily assigned by the inventor to the University.

The University owns supported inventions and assigned inventions. In addition, each inventor agrees to confirm in writing the inventor's assignment to the University of all of his or her right, title, and interest in each supported or assigned invention.

Supported inventions that involve an external sponsor are owned by the University unless otherwise agreed by the University in a separate written third-party agreement between the University and a sponsor. Such a separate agreement may provide some or all rights in the supported invention to the third party.

The University ordinarily waives its rights to inventions by student inventors developed as part of normal educational activities except when the invention:

1. is a supported invention;
2. results from a student's employment with the University;
3. involves faculty and/or staff contributions including faculty-mentored academic year or summer research (e.g. undergraduate research projects, thesis research, and faculty-mentored independent projects);
4. is by a student who is also an employee of an entity sponsoring the work; or
5. is part of a larger University work or specifically commissioned by the University.

An inventor may request release of a University-owned invention at any time. The University may agree to a release and, in such case, will assign in writing all interest which it holds or has the right to hold in the invention to the inventor. In addition, when the University, through the Office of Research Initiatives, determines that it will not file a patent for a University-owned invention, the invention will be released to the inventor.

In recognition of the contribution the University community as a whole makes in support of innovation at the University, as of the time University employment begins, inventors grant to the University an irrevocable, perpetual, non-exclusive, royalty free, world-wide right to use an incidental invention in the University's non-profit educational and research activities.

In recognition of the need of the inventor to be able to use an invention in the inventor's University-related educational and research activities, the University agrees, to the extent permitted by any agreements, patent and licensing restrictions, or other obligations, to grant to the inventor an irrevocable, perpetual, non-exclusive, royalty free, world-wide right to use the invention in the inventor's non-profit teaching and research activities.

The University, through the Office of Research Initiatives, shall have the sole right, but not the obligation, to prepare, file, prosecute and maintain patent applications and patents worldwide with respect to University-owned inventions. Through mutual written consent, inventors of an incidental invention may assign ownership to the University so that a patent may be pursued by the University with royalties distributed as described in this policy.

Where royalties are generated as a consequence of licensing an invention owned by the University, net royalties received by the University will be determined as net of direct and indirect expenses incurred in securing and managing the patent. Of these net royalties, the University will pay 50 percent to the inventors and the remaining 50 percent will be allocated to a separate University fund to support research and related activities unless otherwise agreed to in writing. An agreement with a sponsor that allocates royalties between the sponsor and the University may be entered into with the approval of the Office of Research Initiatives.

To fully realize societal benefits emerging from new knowledge and technologies, a patented invention may be commercialized through a start-up venture. If an inventor is interested in launching a start-up venture that involves an invention owned in whole or in part by the University, then the University will work with inventors to develop licensing terms that are mutually beneficial. Inventors interested in a start-up venture should contact the Office of Research Initiatives.

Endorsed by Faculty Senate, Spring 2010
Approved by Board of Trustees, June 4, 2010

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3.7.6  Copyrights

Copyright is a form of legal protection provided by federal law to the owners of "original works of authorship fixed in any tangible medium of expression, now known or later developed, from which they can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device." Works that are not yet "fixed" (recorded in some permanent form) are protected by state law.

Copyright applies to such things as books and articles, novels, plays, musical creations, choreography, works of art, films, textbooks, software, and course materials. Course materials include materials prepared for use in teaching, fixed or unfixed, in any form, including, but not limited to, digital, print, audio, visual, or any combination thereof. In addition, course materials include, but are not limited to, lectures, instructor notes, syllabi, study guides, bibliographies, visual aids, images, diagrams, multimedia presentations, and on-line and hybrid course materials.

Subject to various exceptions and limitations, a copyright owner has the exclusive right to reproduce the work, prepare derivative works, distribute copies, and display or perform the work publicly. It is illegal to violate any of the rights provided by law to the owner of copyright.

The following notice should be placed on copyrightable materials if they are owned by the University under this policy: Copyright (or ©) (year of first publication) The President and Board of Trustees of Santa Clara College.

Faculty members who are engaged in consulting work are responsible for ensuring that clauses in their agreements with third parties are not in conflict with this copyright policy or with the rights of other parties.

Revisions endorsed by Faculty Senate, Spring 2016
Revisions approved by Board of Trustees, June 3, 2016

The University's mission is to educate engaged and accomplished citizens. Increasingly this requires copying, digitizing, distributing, or displaying library or other materials that may be under copyright. Fair use is a broad, flexible doctrine that allows scholars to meet their mission in the digital age.

The University supports fair use as defined by The Association of Research Libraries (ARL). In addition, the University supports the use of a "Fair Use Checklist" for using copyrighted materials in teaching. Fair use is determined, in part, on the application of four factors: (1) the purpose of the use; (2) the nature of the work used; (3) the amount and substantiality of the portion used; and (4) the effect of the use upon the potential market for or value of the work used. The University Library website provides information on fair use including a checklist to assist faculty in evaluating materials for fair use.

Revisions endorsed by Faculty Senate, Spring 2016
Revisions approved by Board of Trustees, June 3, 2016

Computer software can only be used according to the terms and conditions of the license agreement. No University employee or student shall make or use illegal copies or adaptations of computer software.

All license agreements for software acquired by the University shall be signed by the Chief Information Officer or his/her delegate. All reasonable precautions shall be taken to secure software from illegal copying or theft. All software acquired by the University shall meet one or more of the following conditions:

1. It is in the public domain.
2. It has been donated to the University and a bona fide written record of contribution exists.
3. It has been purchased by the University and a bona fide record of purchase exists.
4. It has been purchased by a user and a bona fide record of purchase exists which can be produced by the user upon demand.
5. It is being reviewed or demonstrated by users in order to reach a decision about future purchase, request for contribution, or licensing.
6. It has been written or developed as a work-for-hire by the University.

Violations of this policy may result in loss of computer privileges and in other disciplinary action.

Revisions endorsed by Faculty Senate, Spring 2016
Revisions approved by Board of Trustees, June 3, 2016

When a University employee is the creator of a copyrightable work, all rights in copyright shall remain with the creator except in the following circumstances:

1. The work is a work-for-hire by the University. A work-for-hire is defined as a work prepared by an employee within the scope of his or her employment. Works of scholarship and works prepared for classroom use shall not be included in this category. The University shall own all rights in a work-for-hire unless the Provost or cognizant Vice President has relinquished them in writing.
2. The work has been commissioned by the University. The University shall own all rights in a work it has commissioned provided that the parties so agree in writing.
3. The work has been developed in the course of or pursuant to a sponsored project or other agreement between the University and a third party. The terms of the applicable third-party agreement shall govern the disposition of rights in copyright.
4. The work is covered by other terms specified in a written agreement between the author and the University. In cases where the work has been developed with monetary support from the University but is not covered by points 1 through 3 above, the University may require a written agreement specifying the disposition of rights in copyright.

A copyright notice is necessary to protect the rights of the owner. The following notice should be placed on copyrightable materials if they are owned by the University under this policy:

Copyright (or (c)) (year) The President and Board of Trustees of Santa Clara College Owners of computer software developed through the use of University resources shall grant the University a royalty-free license in perpetuity to use such software.

Any creator who wishes to request an exception to this policy or to challenge a copyright decision by the University may appeal to the Provost. The Provost will appoint an ad hoc committee of three members mutually acceptable to the creator and the Provost, including at least one faculty member and one member of the administration. The committee will prepare a report of its findings and make a recommendation to the Provost. The decision of the Provost, which is to be explained in writing, will be final.

University employees who are engaged in consulting work are responsible for ensuring that clauses in their agreements are not in conflict with this copyright policy or with the rights of other parties.

Subject to the exceptions noted below and in keeping with longstanding academic tradition, ownership of scholarly, artistic and creative works, including course materials, resides with the faculty creator.

The only exceptions to faculty ownership of such works are as follows:

1. Supported Works. A supported work is copyrightable material that is either a) created with significant financial support from the University, including support or funding from an external sponsor awarded to or administered by the University, but not including sabbatical or other leaves or internal grants unless the University specifically so designates at the time the leave or grant is awarded; or b) created with use (other than incidental use) of space, facilities, materials, or other resources provided by or through the University. Manuscripts and presentations resulting from the use of laboratory or other technical spaces are not considered supported works unless required by the terms and conditions of an external sponsor. Use of an office, creative studio, or theatre space, the library, and desktop computer is considered to be the incidental use of space, facilities, materials, or other resources. The University owns supported work unless otherwise agreed by the University in a separate written third-party agreement between the University and an external sponsor. Such a separate agreement may provide some or all rights in the supported work to sponsor.
2. Commissioned Works. When a faculty member is commissioned by the University to perform a specific task with a defined outcome that includes copyrightable material, said work shall be deemed to be a Work-Made-for-Hire and shall be wholly owned by the University. Unless a particular copyrightable work is specifically commissioned by the University, ownership remains with the faculty creator even though the faculty member may have been supported by sabbatical or other internal grant during the time the work was undertaken.
3. Software. Although computer software is copyrightable, in general computer software will be deemed to be an invention and the University patent policy will apply (section 3.7.5). Computer software that consists only of computer-aided implementation of interactive educational materials, without any significant technological advance, will not be deemed to be an invention and will be instead be treated as course material under this policy.

In general, course materials created for ordinary teaching use in the classroom and in department programs, such as syllabi, assignments, tests, student handouts, lectures (whether recorded or not), lecture notes, and audiovisual course materials (including online courses), shall remain the property of the faculty author, unless specifically and voluntarily created as works made for hire. While the faculty member is employed by the University, faculty-owned course materials cannot be revised, edited, supplemented, or incorporated into courses taught by others without the consent of the faculty author. After a faculty member with a tenured or continuing appointment (i.e., tenured faculty and senior lecturers) has left the University, the University may use such course materials for a period of up to two years, without further consent from the faculty author, but only to the extent essential to fulfill the educational mission of the University during this transitional period. In addition, the University shall be permitted to use written course materials for administrative purposes, including satisfying requests of accreditation agencies for faculty-authored syllabi and course descriptions, while the faculty member is employed and for a period of ten years after the faculty member has left the University.

In an agreement transferring copyright for any works to a publisher, faculty authors are urged to seek to provide rights for the faculty author and the University to use such works for internal instructional, educational, and administrative purposes.

Faculty who develop course materials are prohibited from charging the University a fee for using their author-owned course materials in their teaching at the University. If the course materials are published commercially, students may be charged for the purchase or rental price of the materials. If the course materials are not published commercially, students may be charged only for the reasonable cost of duplicating the course materials. Faculty members must follow the fair use doctrine when developing course materials (section 3.7.6.2)

The Provost in consultation with the dean and department chair may approve exceptions to this policy.

Endorsed by Faculty Senate, Spring 2016
Approved by Board of Trustees, June 3, 2016

A copyrightable work created by a student other than in the course of employment by the University shall be wholly owned by the student, subject to the terms of any applicable Sponsored Project.

The student right of ownership is limited to the underlying fixed work of authorship created by the student and does not extend to the data or other scholarly information that the student may have collected, obtained or used during a project, research or other work.

The University may display, copy, and distribute works of student-developed material, including but not limited to undergraduate or graduate theses, for University use without payment of royalties or other fees to the student, with appropriate authorization in accordance with Family Educational Rights and Privacy Act.

Work created by a student employee in the course of being directed by a faculty member to assist in that faculty member's scholarly work shall be considered a Work-for Hire for the faculty supervisor. Ownership of such work resides with the faculty supervisor, subject to the exceptions noted in the section 3.7.6.4.1

Endorsed by Faculty Senate, Spring 2016
Approved by Board of Trustees, June 3, 2016

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3.7.7  Responsible Conduct of Research

The University is committed to the responsible conduct of research and shall not tolerate misconduct in research. It has formal procedures to investigate and impose sanctions for actions that undermine the integrity of scholarly activity. "Misconduct in research" includes, but is not necessarily limited to, plagiarism; fabrication or falsification of evidence or data; unauthorized use of privileged information; and deliberate and substantial violation of federal, state, or University regulations relating to the conduct of research. It does not include honest error or honest differences in interpretation of data.

The full Policy on Misconduct in Research is set forth in Appendix H and is incorporated here by this reference. Information on the responsible conduct of research and associated federal regulations may be obtained from the Office of Research Compliance and Integrity.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Any actual or apparent conflicts of interest between externally sponsored University research obligations and outside financial interests or other obligations are to be avoided. The design, conduct, or reporting of research or other projects funded by external sponsors must not be biased by any conflicting financial interest. To meet federal regulations regarding such conflicts, Santa Clara University requires that every investigator disclose to the University any significant financial interests, including those of his or her spouse or dependent children, that would reasonably appear to be affected by the research or instructional activity funded by external sponsors. The full University "Policy on Financial Conflict of Interest for Externally Sponsored Projects" and disclosure procedures may be obtained from the Sponsored Projects Office.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University is committed to a policy of safeguarding the rights and welfare of all human subjects in research. The University accepts the principles set forth by the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research in its report, Ethical Principles and Guidelines for the Protection of Human Subjects of Research (commonly known as the Belmont Report). The commitment to these principles includes recognition of the necessity for review of a research project independent of the investigator to ensure optimum protection of human subjects involved in that project, as required by federal regulations. This commitment extends beyond the requirements of federal regulations, however, and is not affected by the sources of research funding.

To fulfill its commitment and responsibilities, Santa Clara University has established an Institutional Review Board. This panel of University experts and citizens determines whether human subjects have volunteered for a research endeavor with informed consent as defined by University procedures and policy, and whether risks to the subject or research are outweighed by the potential benefits to be gained from the research endeavor. Evaluation of risk involves weighing the potential for injury to the subject by reason of direct application of an experimental procedure or circumstance, or by reason of the subject's exclusion from ordinary standards of practice and welfare. The rights of subjects regarding confidentiality and access to professional care and counsel are included in deliberations, so that human dignity, rights, and physical, behavioral, and social welfare are protected.

The University's full "Policy on the Use of Human Subjects in Research," which includes specific procedures and implementation guidelines, may be obtained from the Office of Research Compliance and Integrity.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University is committed to providing a safe and healthy environment. Under no circumstances shall campus safety be ignored or diminished in importance in favor of other priorities. Safety and health issues on campus, and in every research facility, shall receive a high priority and all environmental health and safety hazards that are discovered shall be addressed and corrected without delay. It shall be the responsibility of all faculty to ensure that their respective work areas are safe and that their employees and students are properly trained and briefed on the hazards of the workplace. It is the responsibility of faculty to follow safe work practices within their respective work areas and comply with applicable environmental health and safety regulations of local, state, and federal regulatory and accrediting agencies.

Further information about applicable regulations may be obtained from the Environmental Health and Safety Director.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University is guided by state and federal regulations governing safe use, transport, and disposal of biohazardous materials. Faculty, as well as any employees and students under their supervision, who conduct research involving potentially biohazardous materials shall adhere to all applicable local, state, and federal regulations. The Biosafety Committee reviews and approves the use of potentially biohazardous materials for research and instructional purposes. The Biosafety Committee works with the Biosafety Officer to ensure that all biohazardous materials used in teaching and research are obtained, used, stored, transferred, and destroyed properly. It is the responsibility of the investigator to initiate a review and seek approval from the Biosafety Committee and the Biosafety Officer prior to using biohazardous materials for any purpose.

Further information about applicable regulations and biosafety review procedures may be obtained from the Office of Research Compliance and Integrity. The Biosafety Officer may be contacted through the Environmental Health and Safety Office.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University is guided by state and federal regulations governing safe use, transport, and disposal of radioactive materials, radiation-generating equipment, and lasers. Faculty, as well as any employees and students under their supervision, who conduct research involving radioactive materials, radiation-generating equipment, and lasers shall adhere to all applicable local, state and federal regulations. The Radiation Safety Committee works with the Radiation Safety Officer to ensure that all ionizing and non-ionizing radiation hazards used in research and instruction are obtained, used, stored, transferred, and disposed of properly. The Radiation Safety Committee reviews and approves the use of radioactive materials, radiation-generating equipment, and lasers for research and instructional purposes. It is the responsibility of the investigator to initiate a review and seek approval from the Radiation Safety Committee and Radiation Safety Officer prior to using regulated radioactive materials, radiation-generating equipment, and lasers for any purpose.

Information on the radiation safety review procedures may be obtained from the Office of Research Compliance and Integrity. The Radiation Safety Officer may be contacted through the Environmental Health and Safety Office.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University is committed to the humane treatment of laboratory animals in research and instruction. The University is guided by federal regulations and ethical principles intended to ensure the humane care and use of animals in research and instruction. All research and instruction involving vertebrate animals conducted or authorized under the jurisdiction of Santa Clara University is subject to review by the Institutional Animal Care and Use Committee (IACUC). This review must be conducted and approval granted before a project may be started. IACUC responsibilities include ensuring appropriate transportation, care, and use of all laboratory animals in accordance with the Animal Welfare Act and other applicable federal laws, guidelines, and policies; determining whether the number and species of animals selected for research are appropriate for use in the proposed procedures; determining whether the research protocol includes appropriate procedures for minimizing discomfort, distress, and pain in laboratory animals; determining whether proposed living conditions are appropriate for the species involved in the study; and evaluating the importance of knowledge to be gained by the research endeavor.

Further information about applicable regulations and IACUC review procedures may be obtained from the Office of Research Compliance and Integrity.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

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3.7.8  Free and Open Inquiry

To ensure that research conducted at Santa Clara is consistent with the principle of free and open inquiry, the University shall not accept grants or contracts for any research whose methods or results require the prior approval of a sponsor.

In no case shall the University give a sponsor the right to prevent publication or require modification of data or conclusions. The University may agree, however, to provide advance copies of publications to sponsors for their comment. Upon demonstration of compelling reasons, it may also agree to defer publication for a period of up to six months from the date copies are provided.  Any extension of this period must be approved in writing by the Provost.

Sponsors of research projects may occasionally give the University access to proprietary or classified information. The University will accept such information only under strict conditions.

While the University will make all reasonable efforts to maintain the confidentiality of proprietary or classified information, it cannot accept financial liability for inadvertent disclosure of such information.

In addition, Santa Clara University shall typically not accept grants or contracts that impose access, dissemination, or participation restrictions on the conduct, products, or results of its research.

Additional information may be obtained from the Sponsored Projects Office.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

Santa Clara University shall comply fully and completely with United States export control laws and regulations including the Export Administration Regulations (EAR) maintained by the U.S. Department of Commerce, trade and economic sanctions maintained by the Treasury Department's Office of Foreign Assets Control (OFAC), and the International Traffic in Arms Regulations (ITAR) maintained by the Department of State. Research at Santa Clara is often considered "fundamental research" as defined by the relevant regulations and, therefore, is excluded from United States export controls. In some cases, United States export controls could apply if research or elements of a research project are sent overseas (including email or via download), discussed with persons outside of the United States, or discussed with foreign nationals in the United States. Export controls may also apply when research involves collaborating with a foreign university or corporation or when foreign national students located in the United States are working on the project. Criminal penalties for unlawful export or for the disclosure of export-controlled information are applied to individual researchers, and are significant. The Office of Research Compliance and Integrity will assist faculty with any export control questions and facilitate the development of management plans as needed.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

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3.8 Compensation

Santa Clara University is committed to recruiting, retaining, and rewarding faculty who advance its mission by excelling as teaching scholars. Thus, the University shall maintain compensation policies that are designed to achieve this end.

Compensation comprises salary and other benefits described or referred to below.

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3.8.1  Salary

The University strives to assure that faculty salaries are competitive with those of faculty at the same ranks in related disciplines at institutions with which it competes. It also strives to eliminate any internal salary disparities that cannot be reasonably explained by market comparisons, years in rank, and performance over time.

The achievement of these salary goals is a high priority that will be balanced with other priorities within the financial resources of the University. Progress is monitored by the Provost's Office and the Faculty Affairs Committee on the basis of periodic salary studies conducted in accordance with implementation guidelines established by the Faculty Affairs Committee.

Salary for each period of appointment shall be as specified in a faculty member's Letter of Appointment.

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3.8.2  Benefits

All faculty shall receive each of the following benefits:

• Benefits mandated by law to the extent eligibility criteria are met (e.g., Social Security, Worker's Compensation, Unemployment Insurance; Short Term Disability; Pregnancy Disability; and Family and Medical Leave);
• Access to designated University facilities and related privileges and eligibility for membership in Adobe Lodge;
• Release from faculty obligations with no loss of pay to the extent necessary to perform jury duty or to testify as a witness when subpoenaed, provided that the faculty member has made every reasonable effort to schedule such activity when it will not interfere with teaching responsibilities. A faculty member assigned to jury duty for a protracted case must notify his or her department chair or other supervisor promptly so that appropriate plans can be made.

These and other faculty benefits are described and explained in sections 601, 603, 610, 615, 618, 620, and 622 of the Santa Clara University Staff Policy Manual (viewable at (http://www.scu.edu/hr/policy/). Those sections, as they may be amended from time to time, apply to faculty and are incorporated herein by this reference. There shall be no major reductions in these benefits absent appropriate prior consultation with representatives of the faculty.

Endorsed by Faculty Senate, September 2004
Approved by Board of Trustees, May 20, 2005

Except as provided in 3.8.2.3, all faculty holding an academic year appointment equivalent to at least 50% of a full-time academic year appointment shall be entitled to the following benefits in addition to those identified in 3.8.2.1 to the extent eligibility criteria are met:

• Health care benefits;
• Long term disability income benefits;
• Term life insurance and accidental death or dismemberment insurance;
• Pre-tax deduction of eligible health care premiums and flexible spending accounts to tax shelter eligible medical and/or dependent care expenses;
• Retirement and supplemental retirement plan;
• Tuition remission at Santa Clara University, through FACHEX, and through the Tuition Exchange Program;

These benefits are described and explained in sections 602, 604 - 609, and 614 of the Santa Clara University Staff Policy Manual (viewable at http://www.scu.edu/hr/policy/). Those sections, as they may be amended from time to time, apply to faculty and are incorporated herein by this reference. There shall be no major reductions in these benefits absent appropriate prior consultation with representatives of the faculty.

For purposes of calculating eligibility for benefits under this subsection, the official full-time course load for tenured and tenure-track faculty is seven courses of conventional unit value per year, or the equivalent, except in the School of Law and the Jesuit School of Theology. Therefore, except in the School of Law and the Jesuit School of Theology, teaching four such courses per year or the equivalent shall establish their eligibility for the benefits enumerated in this subsection.

Except in the School of Law and the Jesuit School of Theology, renewable-term and continuing faculty teaching four courses per year or the equivalent, and fixed-term faculty teaching five courses per year or the equivalent, will be eligible for the benefits enumerated in this subsection.

Faculty with Other Appointments as defined in Section 3.1.2.3 are not eligible for the defined contribution retirement plan.

Revisions endorsed by Faculty Senate, January 2012
Revisions approved by Board of Trustees, February 10, 2012

Benefits available to faculty during approved leaves of absence shall be those specified in 3.7.3. Benefits available to faculty during phased retirement, even if they hold an appointment of less than 50% time, shall be those specified in 3.8.2.2.

Except in the School of Law and the Jesuit School of Theology, renewable-term and continuing faculty teaching four courses per year or the equivalent, and fixed-term faculty teaching five courses per year or the equivalent, will be eligible for the benefits enumerated in this subsection.

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3.9  Sanction and Dismissal

3.9.1  Right to Sanction or Dismiss

The University may sanction the misconduct of any member of the faculty. Misconduct consists of behavior inconsistent with commonly accepted norms of academic integrity and professional conduct for members of a university faculty, including norms articulated in this Handbook. Sanctions may consist of dismissal from the faculty, suspension from the faculty without pay, temporary or indefinite reduction in salary, loss of tenure, reduction in rank, public or private censure or reproval, or other appropriate sanctions imposed either individually or in combination.

In addition, the University may dismiss and terminate the tenure of a tenured member of the faculty and may dismiss any other member of the faculty for cause directly and substantially diminishing the fitness of the faculty member in his or her professional capacity as teacher or scholar (hereafter "for cause").

The threat of or imposition of sanctions for misconduct or dismissal for cause shall not be used for the purpose of restraining faculty members in the exercise of academic freedom or of their legal rights.

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3.9.2  Procedures for the Imposition of Sanctions and for Dismissal

When, in the judgment of the Provost, reason exists to impose upon a faculty member a sanction other than dismissal, the Provost shall first privately discuss with the faculty member the causes justifying sanction.

Absent an agreed settlement of the matter or a decision by the Provost not to proceed, the Provost shall pursue one of the two following alternatives:

1. The Provost notifies the faculty member in writing of the nature of the misconduct and the sanction. The faculty member shall be entitled to prompt reconsideration of the matter by the Faculty Judicial Board; or
2. With the written consent of the faculty member, the Provost may elect to refer the matter directly to the Faculty Judicial Board for action in the first instance.

In either case, the Faculty Judicial Board shall follow the procedures described in 3.10.2.3 to reach a determination of fact and, if appropriate, a recommendation for sanction.

When, in the judgment of the Provost, reason exists to dismiss and terminate the tenure of a tenured faculty member, either for misconduct or for cause, the Provost shall first discuss the matter privately with the faculty member, giving the reason(s) for the Provost's judgment.

Absent an agreed settlement of the matter or a decision by the Provost not to proceed, the Provost shall pursue one of the two following alternatives:

1. The Provost renders a decision to dismiss and terminate tenure. In such case the Provost shall provide to the faculty member a written notification of the dismissal and termination of tenure. The notification shall specify the reason for dismissal and termination of tenure and shall specify a date on which the dismissal and termination of tenure shall take effect. Except in the case of gross misconduct, the date shall be no earlier than one year from the date the Provost sends the notification to the faculty member. The faculty member shall be entitled to prompt reconsideration of the matter by the Faculty Judicial Board.
2. With the written consent of the faculty member, the Provost may elect to refer the matter directly to the Faculty Judicial Board for action in the first instance. In such case the Provost shall provide to the faculty member a written notification of dismissal and termination of tenure. The notification shall specify the reason for dismissal and termination of tenure and shall specify a date on which the dismissal and termination of tenure shall take effect. Except in the case of gross misconduct, the date shall be no earlier than one year from the date the Provost sends the notification to the faculty member. However, the dismissal and termination of tenure shall take effect only if the Faculty Judicial Board finds reason for dismissal and termination of tenure.

The Faculty Judicial Board shall follow the procedures described in 3.10.2.3. Salary for the period on notice shall be the same as that given in the last preceding letter of appointment. Suspension during the proceedings or during the period on notice is justified only if, in the judgment of the Provost, immediate harm is threatened to the faculty member or to others by the faculty member's continuation in an active capacity. Unless legal considerations forbid, any such suspension shall be with pay.

When, in the judgment of the Provost, reason exists to dismiss any member of the faculty other than a tenured faculty member for misconduct or for cause, the Provost shall first discuss the matter privately with the faculty member, giving the reason for dismissal. Absent an agreed settlement of the matter or a decision by the Provost not to proceed, the Provost may dismiss the faculty member with such advance written notification and severance pay as is appropriate to the circumstances of the case, provided, however, that notification shall be given at least thirty days in advance of the effective date of dismissal. The faculty member shall be entitled to prompt reconsideration of the matter by the Faculty Judicial Board.

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3.10.1  College and School Grievance Committees

Except as provided in 3.10.1.3, any member of the faculty has a right to submit a grievance to the appropriate grievance committee in any matter relating to his or her status or work in the University.

Each school shall have one Grievance Committee and the College of Arts and Sciences shall have two, one for the departments offering the degree of Bachelor of Arts and one for the departments (except the Department of Economics) offering the degree of Bachelor of Science.

Except in the School of Education and Counseling Psychology and the Jesuit School of Theology, each committee shall consist of five tenured members of the faculty of its respective constituency who shall be elected by the entire faculty of that constituency.  Grievance committees in the School of Education and Counseling Psychology and the Jesuit School of Theology shall consist of three tenured members. Chairs of departments are not eligible for membership. The term of office is three years. No member shall serve two consecutive terms, except that a member hearing a pending grievance shall continue to hear and participate in the resolution of that grievance. Elections to each committee shall be staggered so as to ensure continuity of the committee.

Although each committee shall consist of five members, a quorum of three shall be sufficient to hear and adjudicate a grievance. Members shall be excused from sitting on any case in which they are named in the petitioner's allegation, which requires review of a decision or an action for which they were responsible either exclusively or with others, or which entails any other conflict of interest. They may also be excused because of an absence or leave from the University. If more than two members must be excused from a case, the President of the Faculty Senate shall appoint for the duration of the case a sufficient number of members for a quorum. In so doing, the President of the Faculty Senate shall make a reasonable effort to appoint members acceptable to all parties in the grievance. Each committee shall elect its own chair. Where only four of the five elected members of a committee hear a grievance, a tie vote shall send the matter to the Faculty Judicial Board.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

A Grievance Committee has jurisdiction to hear the grievance of any faculty member of the school or the departments of the college for which the Grievance Committee is established, except that a Grievance Committee does not have jurisdiction to hear a grievance of any of the following:

1. Dismissal of a faculty member pursuant to 3.9;
2. Sanctions other than dismissal imposed pursuant to 3.9;
3. Cases involving alleged unlawful discrimination or sexual harassment by or against a faculty member pursuant to the Policy on Unlawful Harassment and Unlawful Discrimination, cases involving alleged misconduct in research by a faculty member pursuant to the Policy on Misconduct in Research, or any other matter for which different procedures are provided;
4. Termination on account of financial exigency or changes in educational program pursuant to 3.5.5;
5. A denial of promotion to Associate or Full Professor, or a denial of tenure, pursuant to 3.4.8;
6. A decision not to reappoint a tenure-track faculty member pursuant to Section 3.5.3;
7. A denial of promotion to Senior Lecturer or a decision not to reappoint a non-tenure track faculty member on fixed-term, renewable, or continuing appointment pursuant to Section 3.4A;
8. Any grievance asserted by a person who is no longer employed by the University.

Endorsed by Faculty Senate, Spring 2011
Approved by Board of Trustees, June 3, 2011

A faculty member shall initiate a grievance by petitioning the appropriate Grievance Committee. The petition shall set forth clearly and in specific detail the nature of the grievance, shall state the name or the office of each person against whom the grievance is being lodged, and shall summarize supporting evidence and other pertinent information. Petitions shall be submitted directly to any member or members of the Grievance Committee, who shall then convene the committee. A petition must be submitted to a member of the appropriate Grievance Committee within 30 days of the petitioner's learning of the incident leading to the grievance, except in cases of chronic or long standing conditions, in which case a petition must be submitted in a timely fashion. In this latter instance, the Grievance Committee will be the sole judge of whether or not a petition is timely. The Grievance Committee shall promptly deliver a copy of the petition to both the Provost and the party charged in the grievance.

The Grievance Committee shall establish whatever procedures it deems appropriate for the consideration of particular petitions. The procedures shall be concluded in a reasonable period usually not beyond 90 working days following receipt of the grievance.

All meetings of a Grievance Committee will be conducted in private unless all parties agree in writing that a meeting may be public. The nature of a matter before a Grievance Committee, the identity of the parties, evidence received by a Grievance Committee, deliberations of a Grievance Committee, and conclusions and recommendations of a Grievance Committee shall be kept in confidence by those in attendance at any meeting of the Grievance Committee except: (a) as is necessary for administrative or secretarial assistance, in which case the assistant(s) shall preserve confidentiality; (b) as is necessary to communicate to the parties, to the Faculty Judicial Board, the Provost, the President, the Board of Trustees, or legal counsel to the University; (c) as may be shared in a relationship for which the law provides an evidentiary privilege; (d) as is compelled by legal process. The Faculty Judicial Board, the Provost and the President or their delegates, and the Board of Trustees are also bound by the same duty of confidentiality except to the extent that disclosure is essential to the discharge of official University responsibilities. If disclosure is essential to the discharge of official University responsibilities, the person or persons authorizing or making such disclosure shall exercise appropriate discretion in sharing or publicizing information concerning any matter heard by the Grievance Committee.

A Grievance Committee shall first determine whether the allegations of a grievance merit investigation, deliberation, or action. If the committee concludes that the grievance does not merit investigation, deliberation, or action, it shall dismiss the petition and so notify the faculty member. Otherwise, if appropriate and possible, it shall attempt to mediate a settlement of the grievance. If settlement is not appropriate or possible, or if a settlement is not reached, the committee shall undertake such investigation and deliberation as it deems appropriate. If it thereafter determines that evidence does not support the allegations of the grievance, it shall dismiss the petition and so notify the faculty member, unless it determines and recommends additional consideration by the Faculty Judicial Board. If it determines that the evidence does support the allegations of the grievance and that the grievance merits action, it shall report its findings and its recommendations for action to the faculty member and to other appropriate parties, with a copy to the Provost or President, if appropriate. Its recommendations may include a recommendation that the grievance be considered by the Faculty Judicial Board.

In its investigation, deliberation, conclusions, and recommendations, a Grievance Committee shall at all times seek a just and equitable result.

Revisions endorsed by Faculty Senate, December 2012
Revisions approved by Board of Trustees, February 8, 2013

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3.10.2  Faculty Judicial Board

The faculty of the Schools of Business, Engineering, and Law shall each elect to the Faculty Judicial Board two representatives from among their tenured members. The faculty of the School of Education and Counseling Psychology and the Jesuit School of Theology shall each elect one representative from among their tenured members. The faculty of the College of Arts and Sciences shall elect four representatives from among their tenured members, including two from the departments offering the Bachelor of Arts degree and two from the departments (except Economics) offering the Bachelor of Science degree. The term of office is three years. No member shall serve two consecutive terms, except that a member hearing a pending matter shall continue to hear and participate in the resolution of that grievance. Elections to each committee shall be staggered so as to ensure continuity of the committee.

Revisions endorsed by Faculty Senate, October 2010
Revisions approved by Board of Trustees, October 15, 2010

The Faculty Judicial Board has jurisdiction:

1. Upon the request or a tie vote of a college or school Grievance Committee in any case involving a faculty grievance;
2. In cases where a faculty member alleges violation of academic freedom in a denial of tenure or promotion, where a probationary faculty member alleges that a decision not to reappoint is based substantially upon a violation of academic freedom, or where a Lecturer alleges that a negative decision regarding an application for reappointment or promotion is based substantially upon a violation of academic freedom;
3. In cases of sanctions for misconduct, as provided in 3.9;
4. In cases of dismissal for cause, as provided in 3.9.1;
5. In cases designated in the Policy on Unlawful Harassment and Unlawful Discrimination;
6. In cases in which a faculty member claims unlawful discrimination in the denial of promotion in rank or in the denial of tenure;
7. In cases of alleged misconduct in research, as provided in the Policy on Misconduct in Research.
8. In cases of termination based on financial exigency or change in educational program, as provided in 3.5.5;
9. In cases of non-reappointment of a Senior Lecturer, as provided in 3.5.3.2.
10. In such other extraordinary cases as the Provost may refer.

Revisions endorsed by Faculty Senate, December 2012
Revisions approved by Board of Trustees, February 8, 2013

A faculty member shall invoke the jurisdiction of the Faculty Judicial Board by means of a petition that sets forth clearly and in specific detail the nature of the case, the name or the office of each person against whom any grievance is being lodged, and a summary of supporting evidence and other pertinent information. Such petitions shall be submitted directly to any member or members of the Faculty Judicial Board, who shall then promptly convene the Board. Such a petition must be submitted to a member of the Faculty Judicial Board within 30 days of the petitioner's learning of the relevant precipitating event except in cases of chronic or long standing conditions, in which case a petition must be submitted in a timely fashion. In this latter instance, the Faculty Judicial Board will be the sole judge of whether or not a petition is timely. The Faculty Judicial Board shall promptly deliver a copy of the petition to both the Provost and any named party.

Upon submission of a matter to the Faculty Judicial Board, the Board shall establish a hearing committee of five of its own members. No member of a hearing committee will have a conflict of interest in the matter to be heard.

The hearing committee shall hear the matter and proceed according to the following guidelines (numbered 1-13). The hearing committee shall establish any required procedures not specified by the guidelines listed here, after reasonable attempt to secure agreement to such procedures from all parties.

1. The following persons are parties to a matter before the hearing committee:  (a) a faculty member whose grievance has been referred by a Grievance Committee and any person against whom such grievance has been filed; (b) a faculty member whose matter is before the hearing committee pursuant to the jurisdiction given the Faculty Judicial Board in 3.10.2.2; (c) any person who has made an allegation of sexual harassment or discrimination under consideration; (d) the University, represented by a person designated by the Provost; (e) such other persons as the hearing committee deems appropriate to designate.
2. Parties are entitled to attend any meeting of the hearing committee at which it receives evidence. Absent compelling reason for more expeditious action, the hearing committee shall serve notice of any meeting at which evidence will be received upon the parties at least ten days prior to such meeting, unless such persons otherwise agree. Any party may present evidence and argument to the hearing committee. In reaching its conclusions and recommendations, the hearing committee shall consider only such evidence as has been received at a meeting of the hearing committee, including any evidence gathered by a member of the hearing committee and reported at a meeting.
3. All meetings of the hearing committee in cases of allegations of sexual harassment will be conducted in private. All meetings of the hearing committee in any other matter will be conducted in private unless all parties agree in writing that a meeting may be public. The nature of a matter before the hearing committee, the identity of the parties, evidence received by the hearing committee, deliberations of the hearing committee, and conclusions and recommendations of the hearing committee shall be kept in confidence by those in attendance at any meeting of the hearing committee except: (a) as is necessary for administrative or secretarial assistance, in which case the assistant(s) shall preserve confidentiality; (b) as is necessary to communicate to the parties, to the Faculty Judicial Board, the Provost, the President, the Board of Trustees, or legal counsel to the University; (c) as may be shared in a relationship for which the law provides an evidentiary privilege; (d) as is compelled by legal process. The Faculty Judicial Board, the Provost and the President or their delegates, and the Board of Trustees are also bound by the same duty of confidentiality except to the extent that disclosure is essential to the discharge of official University responsibilities. If disclosure is essential to the discharge of official University responsibilities, the person or persons authorizing or making such disclosure shall exercise appropriate discretion in sharing or publicizing information concerning any matter heard by the hearing committee.
4. During the proceedings, each party may be represented at his or her own expense by legal counsel of choice, and a member of the faculty, at his or her own expense, may also be accompanied and advised by an academic advisor of choice.
5. At the request of any of the parties or the hearing committee, a representative of a responsible educational association will be permitted to attend the proceedings as an observer, provided that in the case of private hearing this is agreeable to all parties. The hearing committee shall decide which association is appropriate. The hearing committee shall have the discretion to exclude an observer from deliberations of the committee.
6. The hearing committee shall arrange for recording at University expense of all meetings at which evidence is received. The chair of the hearing committee shall keep the recording until final disposition of the matter by the hearing committee at which time the chair of the hearing committee shall deliver the recording to the Provost or, if the Provost is a party to the case, to the President of the University. Upon request, the person in possession of the recording shall make a copy of the recording available to any party, or legal counsel to any party, at University expense. Any party to the case who wishes a transcription of the recording may provide for it at his or her own expense.
7. The hearing committee will not be bound by strict rules of legal evidence and may admit any evidence it believes is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
8. The hearing committee will make every effort to proceed with reasonable speed but will grant adjournments to enable any of the parties to investigate evidence about which a valid claim of surprise is made.
9. Each party will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence, and the administration of the University will, insofar as it is possible for it to do so, secure the cooperation of such witnesses and make available necessary documents and other evidence within its control.
10. Each party will have the right to confront and cross-examine all witnesses who appear. Where a witness cannot or will not appear, but the committee determines that the interests of justice require evidence from the witness, the committee will identify the witness, attempt to obtain the evidence, disclose to the parties the evidence obtained, and, if possible, provide for interrogatories.
11. The findings of fact, the conclusions, and the recommendations of the hearing committee will be based solely on evidence received by the hearing committee and deliberations of the hearing committee. In its investigation, deliberation, conclusions, and recommendations, the hearing committee shall at all times seek a just and equitable result.
12. The burden of persuasion in matters before the hearing committee shall be satisfied only by a preponderance of the evidence. In cases governed by 3.9 (Misconduct and Diminished Fitness) the burden rests upon the University. In all other cases, the burden rests upon the party invoking the jurisdiction of the Faculty Judicial Board.
13. The hearing committee shall prepare a written report of its findings, conclusions, and recommendations. If the committee is not unanimous, it shall prepare a majority and minority report. The hearing committee shall submit its report(s) to and thereafter discuss the report(s) with the Faculty Judicial Board as a whole. The hearing committee will then make such revisions and modifications to its report(s) as it deems appropriate. The hearing committee will then present its final report(s) to the parties, the Provost, and the President of the University. In the case of both a majority and minority report, the majority report shall constitute the decision of the committee.

The nature and effect of decisions of the hearing committee shall be as follows:

3.11  Revisions of the Faculty Handbook

Any revisions of Chapter 3, the contractual section of this Handbook, must be reviewed by the Faculty Senate and approved by both the President and the Board of Trustees.

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