Human Resources- Handbooks

College of Liberal Arts Faculty Handbook

Approved by Board of Trustees: July 8, 2003

These online versions of Hamline University handbooks and other guides are provided for informational purposes only, and do not create nor are intended to create an express or implied contract, covenant, promise or representation between Hamline and any employee. These online handbooks and guides are subject to change at any time by the Trustees of the Hamline University of Minnesota. Current official versions of these handbooks and guides are maintained in the Office of the Provost.

TABLE OF CONTENTS

Section 1: Scope

Section 2: Mission, Core Values, Vision

2.1 University Mission
2.2 Core Values
2.3 University Vision
2.4 Characteristics of the New American University
2.5 College Mission

Section 3: Academic Freedom

Section 4: Definition of Faculty, Faculty Rank, and Faculty Titles

4.1 The Ranked Faculty
4.2 Special Appointment Faculty
4.3 Administrative Faculty with Tenure
4.4 Academic Support Staff

Section 5: Files

5.1 Faculty Employment File
5.2 Promotion-Tenure Review File
5.3 Grievance File
5.4 Disclosure and Access

Section 6: Evaluation

6.1 Evaluation by Department Chairs
6.2 Annual Probationary Review
6.3 Triennial Evaluation
6.4 Criteria and Evidence in Evaluation
6.5 Self-Evaluation and Prospectus
6.6 Evaluation of Endowed Chairs
6.7 Librarian Evaluation
6.8 Evaluation of Per-Course Faculty
6.9 Evaluation of Coaching Staff

Section 7: Promotion and Tenure

7.1 General Statement
7.2 General Criteria
7.3 Eligibility for Promotion

Section 8: Separation

8.1 Resignation
8.2 Retirement
8.3 Early Voluntary Severance
8.4 Non-Reappointment Prior to Tenure Decisions
8.5 Prolonged Mental or Physical Illness
8.6 Layoff
8.7 Dismissal for Cause
8.8 Action Short of Dismissal, Suspension
8.9 Progressive Discipline of Faculty Members

Section 9: Grievance

9.1 Intent
9.2 Definition
9.3 General Provisions Applicable to All Steps of the Grievance Procedure
9.4 Grievance Mediation Committee (GMC)
9.5 Grievance Mediation Procedures
9.6 Resumption of Mediation
9.7 Formal Grievance Hearing (Individual Grievances Only)
9.8 Presidential Review
9.9 Limited Board of Trustees Appeal
9.10 Parallel University-Wide Grievances

Section 10: Leaves of Absence

10.1 With Pay
10.2 Leaves Without Pay

Section 11: Benefits

Section 12: Rights, Responsibilities, and Working Conditions

12.1 General Statement
12.2 Course Offerings, Content, and Class-Related Duties
12.3 Absence from Class
12.4 Availability and Office Hours
12.5 Share in Governance
12.6 Physical Working Conditions
12.7 Copyright Law Compliance
12.8 Fund-raising Policy

Section 1: The Scope

1.1 Coverage

The CLA Faculty Handbook("Handbook") applies to all faculty members and academic staff of the Hamline University College of Liberal Arts ("CLA" or "the College") as defined in Section 4. The policies set forth herein are contractual, except for the "Mission Statements" (Section 2). Changes to these policies require the CLA faculty's approval and subsequent Board of Trustees' authorization. Either the administration or the CLA faculty may propose amendments and modifications to the Handbook by providing notice of the proposed change(s), a copy of the proposed change(s), and a rationale for the change(s).

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Section 2: Mission, Core Values, Vision

During 1999, the entire University engaged in a process to refine our mission statement and to establish an aspirational vision statement to guide us as we enter the 21st century. All University strategic planning and key decisions including processes and procedures outlined in this handbook will be carried out within the context of the mission, core values and vision of Hamline University.

2.1 University Mission

2.2 Core Values

Hamline University recognizes its pioneering spirit and roots in the inclusive traditions and values of the United Methodist Church. The following emerge as our main core values:

High quality, rigorous academics

Commitment to making the world a better place

Focus on ethics and civility

Hamline University-the nation's leading New American University.

Integration. Innovation. Transformation.

2.4 Characteristics of the New American University

Students' learning and total experience are our central focus
Faculty scholarship is broadly defined and connected to student learning through -

1. The scholarship of discovery which advances knowledge and discipline-specific projects;
2. The scholarship of integration which seeks to connect knowledge across disciplines;
3. The scholarship of application which seeks to study ways theory might be put into practice;
4. The scholarship of teaching/learning which explores ways to more effectively transmit knowledge.

Theory connects to practice, and practice advances theory
The liberal arts connect to the professions and world of work, and professional education informs the liberal arts
The university connects closely to various levels of a diverse community (broadly defined), responding to community needs
Connections among disciplines, schools and programs are fostered
Innovation for improving learning and students' experience is prized.

We are a community of teachers, learners, and scholars committed to using the liberal arts and sciences to solve problems, advance knowledge, and forge connections among disciplines, to the world of work, and to the community.

We have pursued our mission since 1854, when a group of visionary Methodist ministers and educators founded Hamline as a new American university to provide education, leadership, and service to the frontier peoples of the Minnesota territory. Hamline prepared Minnesota's first teachers, lawyers, physicians, public administrators, and leaders in both business and agriculture.

Now, as we move confidently into a new century, we reaffirm this proud tradition of education for leadership and service. Our curriculum -- the Hamline Plan -- speaks directly to our mission of establishing applicable and meaningful connections between a college education and the world in which we live and work.

Over the years, new discoveries, new courses, new knowledge, and new facilities have all played their roles in helping the College prepare generations of leaders and responsible citizens. Our mission, however, has remained constant -- connecting what we believe and what we know to what we do, in order to increase justice, opportunity, and freedom for all people everywhere.

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Section 3: Academic Freedom

The College endorses the following statement on Academic Freedom recommended by the American Association of University Professors and the American Association of Colleges (as amended by the Hamline CLA Faculty):

A. Faculty members are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties. Each faculty member is entitled to freedom in the classroom in discussing his or her subject. When a faculty member speaks or writes, he or she should be free from institutional censorship or discipline. All faculty members should remember that the public may judge their profession and the institution by his or her utterances. Hence, they should make every effort to be accurate and show respect for the opinion of others.
B. Faculty members should be free to engage in political activities so far as they are able to do so consistently with their obligations as teachers and scholars. Many kinds of political activity are consistent with effective service as a member of a faculty. In recognition of the legitimacy and social importance of political activity by faculty members, the University should provide institutional arrangements to permit it, similar to those applicable to other pubic or private extramural service. Such arrangements may include the reduction of the faculty member's workload or a leave of absence for the duration of an election campaign or a term of office, accompanied by equitable adjustment of compensation when necessary.
C. Although faculty members are encouraged to engage in public and professional service outside the University, a "full-time" faculty member devotes substantially all his or her working time to teaching and scholarship during the academic year. A "part-time" pro-rata faculty member similarly devotes the pro rata portion of his or her working time to faculty responsibilities. A faculty member should have no outside business or professional activities which unduly interfere with his or her faculty responsibilities. In determining whether outside activities interfere with faculty responsibilities, the relevant factors include:
1. The extent to which the field of outside activity coincides with the faculty member's major fields of interest as a scholar and teacher.
2. The character of the outside activity as a source of novel and enriching experience that can be utilized in his or her capacity as an educator.
3. The degree to which the demands of the outside activity interfere with the faculty member's regular presence on campus and with his or her availability for consultation and interchange with students and colleagues.

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SECTION 4: DEFINITION OF FACULTY, FACULTY RANK AND FACULTY TITLES

The Faculty comprises all persons having appointment for the instruction of students, faculty librarians, and administrators designated with faculty status. The Faculty of the College shall consist of four distinct groups: Ranked Full-Time Faculty, Ranked Part-Time Pro-Rata Faculty, Part-Time Per-Course Faculty, and Special Appointment Faculty. Part-Time Per-Course Faculty and Special Assignment Faculty have limited rights and responsibilities; these are fully defined in this Section.

An additional group, Academic Support Staff, comprised of coach-lecturers and professional librarians, do not have official faculty status but have been included in this Section (see below,4.4).

2. fulfills the duties and responsibilities of a faculty member;

3. holds academic rank; and

4. may be designated as continuous/tenured, notice/tenure-track, or term/non-tenure track.

Part-time pro-rata faculty are ranked faculty members who are given an appointment equivalent to half-time or more, but less than that of a full-time faculty member. They may be employed on probationary or continuous contracts. Such part-time pro-rata faculty are usually paid at a higher rate than per course faculty and have pro-rata contractual rights to pro-rata promotion and fringe benefits. They are full voting members of the Faculty and have, on a pro rata basis, responsibilities for advising, service on committees and all other responsibilities of full-time faculty members. Proportional reckoning shall apply to time in service required for sabbaticals.

Faculty who have been teaching on a part-time per-course basis may petition for pro-rata status. Initial hiring or change to pro-rata status is never automatic. The Dean, in consultation with the department, the Planning and Development Committee (PDC), and the Faculty Personnel Committee (FPC), may award such status.

The program designed and implemented by these individuals includes:

2. organization and governance of resources

3. interpretation and use of resources

4. program administration and management

5. education, research, publication, and other scholarly activities

6. teaching library resources and research methods.

For information pertaining to "Per-Course Faculty," see the relevant section of the Procedural Guidelines portion of the Handbook.

Endowed chairs will be filled at the associate or full professor level. The appointment to an endowed chair may place the faculty member in a position outside the regular salary schedules and teaching responsibilities of faculty within her/his rank and department. The holder of an endowed chair is usually given a reduced teaching load (four or five courses per year) and administers a program of activities in relation to the field or fields associated with the endowed chair, including an annual lecture series or symposium. Expectations for the holder of the chair include increased research, publication, and professional activities.
Each chair is unique. Endowed chairs are coordinated through cooperation of the President's Office, the Office of Dean of the College, Divisional Coordinators, and the various departments with which the chair will work.
Though an endowed chair may include several departments under its description, holders of endowed chairs will be assigned a departmental home based upon their predominant professional work and research or upon the field in which they received a terminal degree.

Holders of endowed chairs may be tenured to the University through the department in which the holder is assigned, but not into the endowed chair itself. Continuation of a faculty member's appointment to an endowed chair will depend upon the terms of the endowment and the consent of the faculty member.

b. Access to campus recreational and athletic facilities, cultural, athletic, and educational events, library, bookstore, dining areas, and parking lots on the same terms as apply to full-time faculty. Office space will be provided as available.

c. Tuition-free access to University courses for both the emeritus faculty member and his/her spouse and dependents under the tuition remission plan.

d. Notification of major campus activities by the University Relations office, if the emeritus faculty member requests and provided he/she keeps a current address on file.

Upon retirement, a faculty member will be considered for an Emeritus Professor appointment by FPC. FPC will make its recommendation to the Dean of the College. The Dean will advise the President who makes the final decision concerning the awarding of Emeritus Professor status.

The following criteria will serve as general guidelines to be used by FPC in determining eligibility for the rank:

b. Obtainment of highest relevant degree normally associated with the discipline.

c. Ten years of full-time teaching at Hamline.

d. Visibility in Discipline.

2. National or state offices in professional organization

3. Participation in professional meetings

4. Other activities pertinent to discipline

e. Excellence as a teacher as indicated by the Tenure- Promotion Review files.

2. Significant service to the institution

3. Public appearances in the community

The College may appoint to the Faculty distinguished artists, writers, poets, and scholars to the special faculty status of Artist/Writer/Scholar-In-Residence. Such appointments take term contracts, and are either full-time or part-time depending on the needs of the College. The appointment of an Artist/Writer/Scholar-In-Residence does not prejudice the academic personnel rights of any other faculty member in respect to the contractual policies of this Handbook.

Persons are not tenured into administrative positions, although tenure may be held separately as a faculty privilege concurrent with an administrative appointment. Such, for example, is the case if a Hamline faculty member with tenure accepts an administrative position. The removal of any persons from their administrative positions does not impair whatever rights they may have in their particular faculty ranks.

Salary for the faculty position shall be determined in accordance with whatever University procedures for determining salary are in force at the time the employee returns to the academic unit, or by negotiation between the University and the employee. In the absence of mutual agreement, the employee shall be assigned a salary determined by the President to be equivalent to the average salary of tenured members of the same academic unit with like rank and years of service.

Education requirements for the position of coach-lecturer include at minimum a bachelor's degree and preferably a master's degree. There are three levels for the position with rank and promotion depending upon qualifications, years of service at Hamline, and quality of service to the athletic program:

Level I
A. entry-level position and salary
B. one-year notice contract (renewable)
C. extensive third-year evaluation and review

Level II

A. promotion based upon outstanding third-year review
B. three-year notice contract
C. extensive sixth-year evaluation and review

Level III

A. promotion based upon outstanding sixth-year review
B. rolling, three-year notice contracts (i.e. each year a new three-year contract is offered)
C. extensive triennial evaluations, upon which are based decisions to continue the rolling contracts.

Education requirements for the position of Professional Librarian include a master's degree in Library/Information Science which has been accredited by the American Library Association, or a directly related degree. There are three levels for the position with rank and promotion depending upon qualifications, years of service at Hamline, and quality of service to the Library:

Level I

A. entry-level position and salary
B. one-year notice contract
C. extensive third-year evaluation and review

Level II
A. promotion based upon outstanding third-year review
B. three-year notice contract
C. extensive sixth-year evaluation and review

Level III

A. promotion based upon outstanding sixth-year review
B. rolling, three-year notice contracts (i.e. each year a new three-year contract is offered)
C. extensive triennial evaluations, upon which are based decisions to continue the rolling contracts

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Section 5: Files

Hamline University will maintain official personnel records for each faculty member. Each set of records will contain: any application for employment; wage or salary history; notices of commendation, warning, discipline, or termination; authorization for a deduction or withholding of pay; fringe benefit information; leave records; and employment history with the employer, including salary and compensation history, job titles, dates of promotions, transfers, and other changes, attendance records, performance evaluations, and retirement record. Portions of the official records will be kept in the Deans Office and others in the Human Resources Office, as described below:

The Faculty Employment File is available on a need to know basis only to the Board of Trustees, legal counsel, the President or his/her written designee, the Dean of the College, the Office of Human Resources, and the individual faculty member or his/her written designee and/or for litigation, legitimate reporting purposes, and any relevant internal grievance.

4. current curriculum vitae

5. letters of recommendation for tenure and/or promotion subsequent to employment by Hamline

6. student evaluations (both raw data and summaries)

7. information forms summarizing professional work in each calendar year

8. prospectuses discussing future goals

9. evaluations by the tenured Department Chair (or designated faculty member), the Dean, and FPC

12. any letters of warning or reprimand or censure, as well as summary statements of findings by grievance committees, that will be used by the Dean or the President, in total or in part, in their deliberations. Such evidence must be placed in the file within a reasonable time after disciplinary actions or other resolution. Except in extraordinary cases (e.g. those occurring within the academic year of the tenure/promotion decision), the evidence must be part of the Promotion-Tenure File on or before September 1 of the decision year. In the extraordinary cases of evidence submitted after September 1, the faculty member must be notified at the time of the submission of the File. All file materials may be responded to in writing by the faculty member. The agent or body who authored the letter or made the finding may stipulate that the Dean remove it after a specified period of time or specific conditions have been met. The faculty member may also petition the Dean to remove letters of reprimand or warning or censure or summary statements of findings by grievance committees after at least five years.

2. copies of articles, publications, etc.;

3. other evidence as detailed in Section 6.1;

A. Written notice of a dispute by a potential grievant to the Grievance Mediation Committee (GMC), as well as copies of the notice sent to any named respondents (see Section 9.5)

B. Notification by the President or his/her designee of a faculty member's emergency suspension or reassignment, if the faculty member grieves such action (see Section 9.5 D 1)

C. Recommended resolution by GMC of a governance grievance and the statements of rejection or acceptance of the recommended resolution by the parties to a governance grievance (see Section 9.5 D 2)

D. Statement by GMC that a resolution was reached in an individual grievance, signed by all parties to such grievance, or a statement by GMC that no such resolution was reached. If the parties to the grievance agree, a statement of the resolution itself may be placed in the Grievance File. (See Section 9.5 E).

E. Notification by GMC to all participants of an individual grievance when mediation has been terminated. For the requisite wording of this notification, see Section 9.5 F 1.

F. Formal written grievance submitted to GMC by a grievant. For the requisite contents of a formal grievance, see Section 9.7 A.

G. Transcript of the (recorded) proceedings of a formal Grievance Hearing (see Section 9.7 E 6)

H. Copy of the advisory decision sent to the President or Board of Trustees by an ad-hoc Grievance Hearing Committee after a formal Grievance Hearing, along with the statements of acceptance or rejection of that advisory decision by the parties to the grievance (see Section 9.7 F)

I. Copy of any appeal of an ad-hoc Grievance Hearing Committee's advisory decision by a grievant to the President, along with the President's appellate decision (see Section 9.8)

J. Copy of any appeal by a grievant to the Executive Committee of the Board of Trustees, along with the Board's final disposition of the case (see Section 9.9)

K. The relevant documents in grievances handled by University-wide committees that may deal with racial or sexual discrimination or harassment (see Section 9.10)

Disclosure of information in the official personnel records will occur only as reasonably necessary to the Board of Trustees, the President or the President's designee(s), the Dean of the College or the Dean's designee(s), the Office of Human Resources, legal counsel, the faculty member or his/her written designee(s), parties to a grievance, and those for whom regular access to specific information in the official personnel records is a routine part of their job. In addition, disclosure of specific items in the official personnel records will occur only as reasonably necessary to the relevant CLA Committees such as the Faculty Personnel Committee, Grievance Mediation Committee, and ad-hoc Grievance Hearing Committees. The University will observe confidentiality with respect to all files containing information on faculty members.

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Section 6: Evaluation

The evaluation process at the College is a means by which members of the teaching faculty can obtain constructive and balanced information that will enable them to better fulfill their academic responsibilities. Members of the teaching faculty will receive regular evaluation of their performance of academic responsibilities and reports on progress made in their program of professional development.

In the case of an untenured Chair, the Dean will designate a tenured faculty member to conduct and write up evaluations (including classroom visitations). This provision pertains to any evaluative activity stipulated for the Chairs in this (Evaluation) policy or in the Promotion and Tenure policy (signaled by the words 'tenured Chair' or 'if tenured'). The Dean will be responsible for reviewing evaluations and ensuring that they are included in the Promotion-Tenure Review File.

Prior to tenure, each faculty member on a probationary contract will be reviewed annually by the (tenured) Department Chair, the Dean of the College, and FPC.

For tenured faculty, triennial evaluations are either used as a basis for promotion decisions or, in years when promotion is not an issue. The Dean meets with the faculty member to discuss the evaluation and the faculty member's on-going work and future plans as indicated in his/her prospectus.

Rules and regulations cannot be substituted for good judgment on the part of persons responsible for appointments, promotions, tenure and salary determinations; i.e., the respective departments, FPC, the Dean of the College, the President, and the Board of Trustees. At the same time, Hamline considers certain criteria to be of primary importance. These are:

I. Effectiveness in teaching, including command of one's subject, skill in communication, and the ability to create interest in one's subject and to relate it to other aspects of knowledge, as detailed below;

II. Professional activity and intellectual growth, including participation in professional activities and organizations, the publication of books and articles, artistic productions, and participation in the intellectual life of the campus and community, as detailed below;

III. Service to the College and University Community, including committee work, student advising, and other collegiate services, as detailed below.

b. knowledge of the relationship of one's discipline to the liberal arts tradition;

c. knowledge of current developments and pedagogy in one's discipline;

d. ability to relate one's subject to other areas of knowledge;

e. skill in communicating with students;

f. ability to plan and execute a substantive, well-organized course;

g. ability to stimulate and deepen student interest in the subject matter;

h. capacity to motivate students to do independent work;

i. use of effective teaching methods and strategies, including evaluative techniques and instruments; and

j. integrity, open-mindedness and fairness in teaching.

Since different characteristics might contribute to teaching effectiveness, evidence generated by a variety of sources is important. The following procedures or activities can help provide that evidence:

b. evaluation by (tenured) Chair;

d. student evaluations;

e. a review of syllabi and other course material by peers inside or outside of the College;

f. further course work or other continuing education in one's field;

g. participation in seminars and/or workshops on teaching skills; and

h. development of new courses.

c. dissemination of expertise with colleagues within the University, profession, and community.

b. evaluation or statements by professional peers, outside as well as inside the University;

c. juried publications, exhibits or other kinds of productions;

d. presentations of scholarly work to the scholarly community (e.g., at conventions);

e. citation of research in other works;

f. awards or grants, prizes, or commendations;

h. student-collaborative research projects;

i. editorial activities such as reviewing submissions to journals, editing, and reviewing textbook manuscripts;

j. development of seminars that reflect command of new theory or research in the field; and

k. consulting engagements based on scholarly or creative work.

The College depends upon its faculty for services rendered outside the classroom. A faculty member new to the teaching profession will concentrate on teaching and professional activities and will not serve on any committees during the first year. In subsequent years, committee service to the College and the University will be expected, and will be documented in the Promotion-Tenure Review File. Such service may include but is not limited to the following:

b. service on College/University committees;

c. service in some area of College/University life -- governance, faculty development, curricular or co-curricular activity, AAUP-related work, faculty advisors to student organizations, etc.;

d. service as chair of a department, divisional coordinator, director of a program, or chair of a major committee;

e. acting as a representative of the University to the larger regional, national, or international community;

f. service in one's expertise to the community or public at large;

g. advising students in course selection and academic planning; and

h. helping students discover possible career choices in their fields.

The following types of evidence, among others, may be used in evaluating these activities:

b. evaluation by one's (tenured) Department Chair;

c. letter or statement from committee chairs or ratings by the supervisor of an activity (e.g., a report from the Director of Admissions or the Advising Office);

d. acknowledgment or recognition of contributions by groups or organizations; and

e. participation in workshops or seminars designed to improve advising skills, e.g., workshops on the LEAD requirement or career-development advising.

FPC and the Dean will consider the faculty member's own goals in their evaluation of that faculty member. The prospectus will be reviewed by the Department Chair, FPC, and the Dean. Additional assistance may be requested of the Planning and Development Committee. Based on the priorities or relative emphases established in the prospectus, the Department Chair (if tenured), the Dean, and FPC should communicate to the faculty member a clear sense of which indicators of teaching effectiveness, professional activity and growth, and service to the institution will be given highest priority in promotion and tenure decisions. The prospectus should include the following:

A. Plans concerning one's teaching: for example, plans for course development or revision, plans for the improvement of teaching, indications of the criteria and procedures by which one would like to have one's teaching evaluated (e.g., the use of peer evaluations), plans for collaborative teaching, plans for contributing to such programs as MALS, etc.;

Librarians with full faculty status are referred to as Faculty Librarians, while those belonging to the academic support staff are referred to as Professional Librarians. Librarians are evaluated as follows:

Years 1, 2, 5: Form A (long form)
Other years: Form B (short form), unless the long form is requested either by the Athletic Director or the Coach-Lecturer

Coach-Lecturer I:   every course, each term
Coach-Lecturer II:   every course, each term
Coach-Lecturer III:   One course per year, as designated by the chair

a. The Evaluation Committee will consist of the Women's Athletic Director, the Men's Athletic Director, the Chair of the Physical Education Department, a representative of FPC, a representative of Athletic Policies Committee, and a representative of the CLA Dean's Office. The representative from FPC will serve as chair of the Evaluation Committee.

Coach-Lecturer II: in the third year;

Coach-Lecturer III: every three years.

However, either the Athletic Director or the Coach-Lecturer may also request evaluation in the other years.

d. The Coach-Lecturer will be notified on or before March 1 of his/her contract status for the following year(s).

e. A Coach-Lecturer may appeal to the FIRC a decision not to reappoint

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Section 7: Promotion and Tenure

I. Effectiveness in teaching: Teaching has the highest priority at Hamline University. Student and departmental evaluations and faculty information forms, which may include self-evaluation, are considered at each stage of one's career and are kept in the Promotion-Tenure Review File. Teaching is not limited to the classroom, and a variety of factors contribute to teaching effectiveness.
II. Professional activity and intellectual growth: Activity in one's discipline and a program of continuing study are a vital part of a faculty member's contribution to the mission of the University and are to be documented in the Promotion-Tenure File.
III. Service to the College and the University community: A faculty member new to the teaching profession will concentrate on teaching and professional activities and will not serve on any committees during the first year, although he/she may well participate in other forms of service. In subsequent years, committee service to the College and University will be expected, and will be documented in the Promotion-Tenure File.

In each of the first two years, the faculty information form will serve as a reference point for faculty development. A prospectus will be written in the third year, and every three years thereafter as part of each triennial review process. These documents should address, but need not be limited to, items detailed below.

1. Faculty members eligible for tenure are those who hold full-time appointments at or above the rank of Assistant Professor and who teach no less than half time, plus all librarians holding faculty rank.

3. Faculty members shall be considered for tenure during the sixth year of full time service at Hamline University. Up to three years of full-time service at other institutions may be credited toward the six years requirement at the time of initial hiring, but shall not be officially credited until after a full year of service. (The initial hiring evaluation will stand in lieu of a third-year review for persons granted a full three-years credit for previous full-time experience. Persons granted a full two-years credit for previous experience will undergo pre-tenure review and write a prospectus in their second year at Hamline.)

2. In the rank of Assistant Professor, normally 5 to 6 years.

3. In the rank of Associate Professor, normally 6 to 9 years.

Both FPC and the Dean shall review the tenure-promotion file and base their decision solely on material in the file. While the Dean is not a member of FPC, it is expected that the Dean and FPC will meet with one another on more than one occasion before a tenure and/or promotion decision is made. A determined effort shall be made to arrive at a single decision concerning a candidate. FPC shall vote by secret ballot, and the outcome will be announced to FPC and the Dean. If a consensus has been reached between FPC and the Dean, the Dean shall report the recommendation to the President who shall then recommend to the Board of Trustees (in tenure cases) or make the final decision (in promotions). Following action by the Board or President, the President shall report the decision to the candidate. A copy of FPC and the Dean's recommendation shall be placed in the tenure-promotion file.

If FPC and the Dean make different recommendations, they shall meet jointly to try to reconcile the difference and arrive at a single recommendation. Should it prove impossible for FPC and the Dean to agree on the recommendation, both recommendations shall be forwarded to the President. The President shall then meet with the Dean and a representative of FPC to discuss the case before making his or her recommendation/ decision. The President makes the final decision in matters of promotion. In tenure cases, the President makes a recommendation to the Board of Trustees. The final decision rests with the Board.

The Third-Year Review provides faculty members with an assessment of their institutional status and progress toward tenure. It is summative as well as formative in nature. The department, FPC, an outside evaluator, and the Dean participate in the review. If a departmental colleague of an FPC member is under Third-Year Review, that FPC member participates with the department but not with FPC in its consideration of the case. Special attention is given to identifying problem areas so that the faculty member will have the opportunity to make improvements prior to the final tenure review. Reviews written by the Dean, the (tenured) Department Chair, and the FPC are kept in the candidate's tenure-promotion file. In addition to the Chair's review, the Chair will assure that all tenured members of the department also provide FPC and the Dean a written evaluation of the candidate. A meeting between the candidate, the Department Chair (or designee), the chair of FPC, and the Dean will be held subsequent to the various reports having been filed and reviewed by the faculty member.

The initial hiring evaluation will stand in lieu of a Third-Year Review for persons granted a full three-years' credit for previous full-time experience. Persons granted a full two-years' credit for previous experience will undergo pre-tenure review, including the preparation of a prospectus, in their second year at the College.

In the interest of the faculty member's professional development, both a prospectus and a proposal for a two-course release are part of the candidate's Third-Year Review materials. If the proposal is approved by the Dean, the faculty member will have a 4-course teaching load in their fourth year, with the 2-course release providing time for professional activity.

d. The granting of tenure is not automatic. It is the result of careful consideration of the various criteria and evidence specified in the foregoing sections by the (tenured) Department Chair, tenured department colleagues, the Dean and FPC. A decision not to grant tenure does not imply total dissatisfaction or a denial of academic competence; rather, it typically means that the College cannot fully justify a commitment to the faculty member in question for what may be the remainder of his/her career.

e. A faculty member not approved for tenure will be notified in person and in writing by the Dean of the College. Reasons for the decision will be indicated. The faculty member may request that the Grievance Mediation Committee review the decision.

f. A faculty member not approved for tenure will be offered a terminal year contract for the year following the tenure decision, with the expectation that he/she will have all the rights and fulfill all the obligations of other full-time faculty members. The use of a sabbatical in the seventh year, however, is contingent upon the granting of tenure.

2. The final decision in promotions rests with the President. When an application for promotion is approved by the President, the promotion in rank will take effect with the beginning of the next contract period.

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Section 8: Separation

At times Hamline University and/or individual faculty members may find it necessary to sever their contractual relationship. The types of separation and the policies and procedures related to each are set forth below.

Types of Separation

A. resignation ( 8.1)
B. retirement ( 8.2)
C. voluntary early severance (8.3)
D. non-reappointment prior to tenure decisions ( 8.4)
E. prolonged mental and physical illness ( 8.5)
F. layoff ( 8.6)
G. dismissal for cause ( 8.7)
H. action short of dismissal, suspension ( 8.8)
I. progressive discipline of faculty members ( 8.9)

8.1 Resignation
Faculty members contemplating a change in position will give adequate notice of their intentions to their Department Chair and the Dean of the College. Resignations should be submitted in writing early enough to give the institution time to locate a suitable replacement, but no later than May 15 or thirty (30) calendar days after receiving notification of the terms of his or her continued employment for the following year, whichever date occurs later.

A decision by the Dean of the College not to reappoint a regular full-time faculty member may take place prior to the time of a tenure decision. In such cases, the timing indicated under "Notice of Non-renewal" will be followed (see below, 8.4 A).
Reasons
Instances of decisions not to renew prior to the tenure decision may be a result of the curricular and/or financial needs of the University. Such decisions will take place within the context of consultation by the Dean of the College with the faculty member, the departments involved, and relevant faculty standing committees. (See below, 8.6)

When the decision not to reappoint results from dissatisfaction with the faculty member's work or from incompatibility within the department, an indication of the nature of the dissatisfaction or incompatibility must have come to the faculty member prior to the decision being made, following procedures outlined in Sections 6 and 7. The notification will come from either the Department Chair or the Dean. Except in instances when the educational program of the College or the department will be seriously compromised, the faculty member will have a reasonable time to strengthen his or her work or to correct the incompatibility before the decision not to reappoint is made. The decision must involve consultation among the Department Chair, the Faculty Personnel Committee (FPC), and the Dean. The faculty member will be promptly informed of this decision and will be provided written reasons in explanation of the decision not to reappoint, unless written explanation is waived by the faculty member.

In any case of a decision not to reappoint, the faculty member may appeal to the Grievance Mediation Committee (see Section 9.4).

3. At least twelve months before expiration of an appointment after two or more years in the institution. If the University fails to provide timely notice, the affected faculty member shall be granted another year of employment but shall have no right to tenure or other employment continuation after such additional year.

The University's decision to terminate will be reached only after:

1. the faculty member has been unable to perform his/her duties for a period of more than six (6) months;

3. the faculty member or his/her representative has been informed of the basis for the proposed action, and has been afforded an opportunity to present his/her position and to respond to the evidence. If the faculty member so requests, the evidence will be reviewed by FPC before the President makes a decision to send a recommendation for termination to the Board of Trustees. If after FPC review the President intends to go ahead with the recommendation to terminate, the President shall communicate in writing his/her decision to do so to the faculty member who may then appeal to the Grievance Mediation Committee.

Termination of a notice/probationary, term, or special appointment contract for medical reasons before the end of the period of appointment will be based upon medical evidence that a faculty member is or will be unable to perform the terms, conditions, and normal duties of the appointment because of ill health despite reasonable accommodation. A faculty member shall present medical evidence of his/her state of health to the Dean. The decision to terminate will be made by the Dean of the College and will be reached only after the faculty member or his/her representative has been informed, in writing, of the basis for the proposed action and the reasons for it. The faculty member or his/her representative may request that the situation be reviewed by the FPC before final action is taken by the Dean, after which the faculty member may appeal to the Grievance Mediation Committee. The University will, in each case, work within the disability program to ease the burden of any such medical termination as far as is contractually possible.

Reasons for layoff are:
discontinuance of an academic program or department; or financial exigency.

Individual layoff decisions resulting from curricular changes will follow the "general procedures" and "order of layoff" described in sections C and 4(a) below. Faculty laid off under a curricular change will receive notice according to the schedule outlined below or at least one year's notice if on a continuous contract. The University will normally end such programs and the faculty member's relationship with the University at the end of an academic term. Faculty terminated under this Section have the same rights as those under Financial Exigency.

The Board of Trustees, upon recommendation of the President who will have consulted with the Dean of the College and the Faculty, decides (a) if a financial crisis meets the criteria, and (b) whether a state of public financial exigency should be declared. The Faculty participates in the decision that financial exigency exists through its representatives on the Faculty Institutional Relations Committee (FIRC) and the Planning and Development Committee (PDC), which advise the Dean. However, the President and the Board of Trustees shall have final authority in all matters related to financial exigency.

2. In the case of financial exigency where short notices and effective action are necessary, the following procedures may be followed:

b. Any tenured faculty being laid off will receive one year's notice from the date of officially receiving the decision of the President. Untenured or term faculty will complete the current academic term in progress on the date of the decision by the Board of Trustees;

i. Prior to involuntary dismissals, the following voluntary measures should be considered:

a). If a department is reduced by one person, it may consider retaining all faculty, but on a reduced salary and workload. Such a program shall not be implemented without the consent of all affected department members;

b). The possibility of voluntary phased retirements may beconsidered.

ii. Involuntary Measures

a). The teaching duties of full-time administrators who are teaching within the program or department involved will be terminated first, except as necessary to avoid serious distortion of program integrity (see e and f below);
b). Term contract faculty will next be terminated within the program or department involved, except as necessary to avoid serious distortion of program integrity (see e and f below);
c). In a recommendation regarding the termination of the appointment of a probationary faculty member, program integrity (see e and f below) will be the primary consideration;
d). In a recommendation regarding the termination of the appointment of a tenured faculty member, program integrity (see e and f below) will be the primary consideration;

e). The appointment of a faculty member with tenure will not be terminated in favor of retaining a faculty member without tenure, except in extraordinary circumstances where a serious distortion of the academic program would otherwise result. The recommendation of extraordinary circumstance will be made to the Dean by the department in consultation with APC and FPC.; and

f). The Dean shall provide the appropriate committees and interested parties with appropriate documentation supporting program integrity as well as rank, degrees, and seniority.

B. Dismissal will not be used to restrain a faculty member's academic freedom.

C. Dismissal proceedings for cause may be instituted on the grounds of professional incompetence or serious personal misconduct. Examples include but are not limited to:

2. deliberate and serious violation of the rights and freedom of fellow faculty members, administrators, or students;

4. serious failure to follow the professional ethics of one's discipline;

5. falsification of credentials and experience; or

6. engaging in illegal harassment.

1. written notice to the faculty member from the President that he/she intends to initiate dismissal proceedings, or from the Dean that a recommendation for dismissal for cause shall be made to the President. This notice shall contain a written statement of the grounds upon which the recommendation is to be made, and the available documentation of information supporting such grounds;

3. again, upon receipt of notice from the Dean, a reasonable opportunity for the faculty member, if he/she chooses, to meet with FPC to present his/her defense to the dismissal recommendation before the recommendation is presented to the President; and

4. a reasonable opportunity for the faculty member, if he/she chooses, to meet with the President to present his/her defense to the Dean's dismissal recommendation if it is accepted by the President, or to a dismissal action initiated by the President.

B. Suspension may also be the temporary separation of a faculty member from the University when it is determined by the President that there is a strong likelihood that the faculty member's continued presence at the University poses an immediate threat of serious mental or physical harm to the University community. Such suspension shall be with pay and shall last only so long as the threat of harm continues or until dismissal for cause occurs, or until other remedial action is completed. (See also Section 9.5). Suspension may be without pay after the conclusion of any relevant grievance, if the suspension has been upheld by the grievance process.

C. FPC shall serve in an advisory capacity to the Dean and the President on such matters. If the faculty member questions the decision, he/she may appear before FPC to present his/her case.

D. Appeals on Action Short of Dismissal

The decision of the President may be the basis of a grievance before the Grievance Mediation Committee, which shall seek to mediate the dispute in accordance with procedures established in Section 9 of this Handbook.

B. Actions in Sections 8.8 and 8.9 are grievable through the procedures in Section 9.

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Section 9: Grievance

9.2 Definition

An individual grievance is a dispute between an individual faculty member and another faculty member, a faculty committee, the Administration, and/or the Board of Trustees. The substance of an individual grievance may involve, but is not limited to, any of the following: compensation, benefits, workload, working conditions, appointment, reappointment, tenure, promotion, reassignment, suspension, or termination.

A grievance is the preferred mechanism for resolving such disputes.

Failure at any step of this procedure to appeal a grievance to the next step within the specified time limits shall be deemed to be acceptance of the decision rendered at that step. Failure at any step of this procedure to communicate the decision on the grievance within the specified time limits shall permit the grievant to proceed to the next step. Extensions of time will normally be granted for good and sufficient reasons by mutual agreement. Breach of the specified time limits under extenuating circumstances shall not be judged to nullify or invalidate the grievance process. Such circumstances shall be urgent and compelling and not a matter of convenience or caprice. Any faculty member has the right to by-pass or withdraw from these internal procedures and take his/her case to an outside agency. For cases that may involve allegations relevant to any University-wide established procedures, (such as, for example, sexual/diversity-based harassment), such University-wide established procedures shall be completed prior to any grievance under this procedure. Allegations of discrimination are not subject to this grievance procedure but will be handled by a University-wide procedure described in the Staff Handbook.

1. One tenured faculty member will be chosen by the President from among three candidates nominated by the Faculty through election.

3. The third member will be chosen by the other two from among the tenured Faculty, and will serve as chair.

Neither of the faculty members shall serve concurrently on the Faculty Personnel Committee or the Faculty Institutional Relations Committee, and the CLA academic deans shall not represent the Administration. Committee members will serve simultaneous three-year terms. Replacements to complete the term of early vacancies will be chosen in the manner pertaining to the original appointment.

Upon receipt of a grievance, the Mediation Committee will send, within three (3) working days, a copy of the grievance to all named respondents.

B. Timing

Written notice must be received by the Chair of the Mediation Committee within twenty-one (21) calendar days after notice of the occurrence of the event(s) upon which the grievance is based or within twenty-one (21) calendar days after the grievant knew of, or through the exercise of reasonable diligence should have known of, the occurrence of the event(s) upon which the grievance is based. Grievances based on an event or events occurring during or within fourteen (14) calendar days before a winter or summer vacation must be filed within twenty-one (21) days after the first day of class of the next semester. Within the twenty-one day period, the faculty member may, and is encouraged to, pursue efforts toward an informal resolution (see, for example, Section 8.7 D).

The time period for the receipt of written grievances may be extended an additional twenty-one (21) days by agreement between the Mediation Committee and the parties to the grievance if a written notice of intent to file a grievance is received by a member of the Committee within the twenty-one (21) calendar day period specified above.

D. Special Proceedings in Special Cases

2. Governance Grievances

Within fourteen (14) calendar days after receipt of the grievance, the Committee will present a recommended resolution of the grievance in writing to the parties to the grievance and to the President. This resolution can either be accepted by both parties or rejected by either party. Rejection or acceptance by each party will be communicated in writing to the Committee within seven (7) calendar days after receipt of the recommended resolution. The written rejection should include reasons and, if desired, a suggested alternative solution. Within seven (7) calendar days after receipt of either the acceptance or rejection, the Committee shall advise each party to the grievance of such response by the other party and, when alternative resolutions are suggested, of any change in the Committee's recommended resolution. Any change in the recommended resolution by the Committee can either be accepted by both parties or rejected by either party, as set forth above. Following advisement by the Committee of the acceptance or rejection by the other party, either the University or the grievant can proceed to Presidential Review (see below, 9.8).

A mediated solution in one case will not necessarily be seen as a binding precedent in a subsequent similar grievance. No offer of settlement of a grievance by either party nor a suggested resolution by the Mediation Committee shall be admissible as evidence in any succeeding grievance proceedings or elsewhere.

If no agreement is reached, the Mediation Committee shall put a statement to that effect in the Grievance File.

If mediation is terminated, the Committee shall immediately send the following written statement to all active participants in the mediation:

If you wish to pursue the grievance in a formal Hearing, you must send written notice to that effect to the Mediation Committee within three (3) days, and file with the Mediation Committee within ten (10) days your formal written grievance including specifically: (1) the issue(s) of the grievance, (2) the factual background of each issue, (3) the names of each party or potential party, (4) the names of any persons with relevant knowledge, and (5) the relief and/or remedy sought.

2. Formation of the Ad Hoc Grievance Hearing Committee

c. set a date, time and place for the Grievance Hearing that is agreeable to all parties concerned. The arrangements should be completed within twenty-one (21) calendar days after receipt of the initial written grievance by the Mediation Committee.

9.7 Formal Grievance Hearing (Individual Grievances Only)

B. Selection of the Ad Hoc Grievance Hearing Committee

GMC will supervise the formation of the ad hoc Grievance Hearing Committee in the following way:

B. The President or his/her designee will select one ranked faculty member other than the grievant's Department Chair.

C. The two ad hoc committee members thus chosen will choose a third ranked faculty member other than the grievant's Department Chair.

Any unresolved individual grievance conforming to the definition provided in Section 9.3 B can be the basis for a formal Grievance Hearing. The criteria for reviewing a grievance will be that the action grieved:

2. was in violation of a University-wide established policy concerning alleged discrimination;

3. failed to consider the tenure rights of a tenured faculty member;

4. was in violation of procedures and rights as set forth in this Handbook; or

5. was arbitrary and capricious.

During the proceedings, the grievant will be permitted to have an advisor of his/her own choice from within the University community. The grievant may also be accompanied by legal counsel. However, legal counsel will not ordinarily participate directly in the Hearing proceedings.

2. Right to Witnesses and Evidence

In cases of termination for prolonged mental or physical illness, if either the University or the Grievance Hearing Committee believes that an independent medical and/or psychological opinion would be helpful in its deliberations, it may request the faculty member to undergo a medical and/or psychological examination by an appropriate professional (as determined by the Hearing Committee) at the requesting party's expense. If the grievant refuses, the Hearing Committee may dismiss the grievance.

The University will cooperate with the Hearing Committee in securing witnesses and making available documentary and other evidence requested by the grievant to the extent not limited by contract or law.

3. Right to Cross-Examination

All parties will have the right to cross-examine witnesses. Where a witness has made a statement and cannot or will not appear but the Hearing Committee determines that the interests of justice require admission of his/her statement, the Hearing Committee will identify the witness, disclose his/her statement, and if possible, provide for interrogatories. The Hearing Committee will grant appropriate continuances to enable either party to investigate evidence, or for any other appropriate reason.

In cases of termination for prolonged mental or physical illness (Section 8.5) in which the grievant does not provide proof of a serious medical condition or disability to the University and refuses to submit to an examination by professionals of the University's choosings then the burden of proof is on the greivant.

In all other cases the burden of proof that adequate cause exists for the action shall be on the University, which proof shall be by clear and convincing evidence.

5. Rules of Evidence

6. Recording of Proceedings, Disposition of Resolution

The Hearing proceedings shall be recorded by the University and made available to the Hearing Committee, and a transcript shall be provided at the expense of the party(ies) requesting it. A written disposition of the case will be placed within the Grievance File.

The Hearing Committee will present its advisory decision in writing within seven (7) calendar days of the Hearing to both parties and to the President, or, when the President is party to the grievance, to the Board of Trustees. This decision, insofar as it consists of a recommended disposition of the grievance, may be either accepted by both parties or rejected by either party. Rejection or acceptance by each party will be communicated in writing to all persons involved within five (5) calendar days after receipt of the decision. If not resolved, the grievance may proceed to the next step in the process, Presidential Review.

If the President is a direct party to the grievance, the grievant(s) may file a further appeal within ten (10) working days of the receipt of the President's decision. Such an appeal is filed with the Chair of the Board of Trustees (see below).

9.9 Limited Board of Trustees Appeal

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Section 10: Leaves of Absence

A faculty member is eligible for a regular sabbatical after every six years of full-time work (either teaching or administration). However, certain circumstances may in the judgment of the Dean, usually at the request of the Department Chair, require an administrative delay of the sabbatical, or the faculty member may request the Dean and Department Chair for a one-year delay. In either case the faculty member will be eligible for his/her next sabbatical after only five years of full-time work. If a faculty member's proposal for sabbatical is not approved, she/he is eligible to reapply in the following year and if approved will be eligible for her/his next sabbatical after only five years of full-time work. If a faculty member does not take a sabbatical when eligible, he/she remains eligible to reapply each subsequent year. Any faculty member receiving a sabbatical leave is required to return to the College for at least one year's service after the expiration of the leave.

Divisional Coordinators will be available to assist in the preparation of sabbatical requests, but sabbatical proposals must be approved by the Department Chair before their submission to PDC. Faculty members and Chairs will normally be notified no later than April 15 concerning the status of sabbatical requests.

Short-term disability shall mean any condition, whether physical or mental, which disables a faculty member from performing the duties assigned his/her position by the University or which imposes a risk of infection to others. Short-Term Disability Leave is authorized by the Dean upon receipt of acceptable medical verification that a faculty member is unable to perform those duties. For a faculty member to resume working, the faculty member must provide the Dean with acceptable medical verification that the faculty member is able to resume working.

In the event of a disability, the University will continue salary payments for as many months as the number of years the member has been employed at Hamline, up to a maximum of three months. The monthly salary for full-time faculty members is computed as 1/12 of their salary as stated in their current contract. The monthly salary for pro-rata faculty members is computed as their monthly fraction based upon their salary as stated in their current contract. The period of disability shall not be deemed to include periods when the faculty member is not required to be on campus. If a faculty member uses this Short-Term Disability Leave, then upon resumption of work the faculty member will begin to accrue salary payments of one month for every year the faculty member works, up to a maximum of three months.
Faculty shall not be paid or otherwise credited for unused short-term disability leave. (For issues related to years of service and tenure, see Sections 7.3 A and B)
D. Parental Leave
In the event of the birth or the adoption of a child, a faculty member will be granted a paid leave of absence for a maximum of six weeks. After that period, the Federal Family and Medical Leave Act would cover an additional six weeks unpaid leave.
The paid leave must begin not more than six months after the birth or adoption, except that in the case where the child must remain in the hospital longer than the mother, the paid leave must begin not more than six months after the child leaves the hospital. Alternatively, the faculty member shall be entitled to make other arrangements with the Dean's office which would provide the faculty member with an equivalent reduction in work load. (For issues related to years of service and tenure, see Sections 7.3 A and B.)

10.2 Leaves Without Pay

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Section 11: Benefits

Faculty members may be eligible for benefits as outlined in Hamline University's Employee Guidebook. The Faculty recognizes that when changes occur in applicable law requiring alteration of specific benefits, the Board of Trustees can make such alteration without prior consultation with the Faculty. The Faculty will, however, be immediately informed of such alterations. In all other cases, benefits will not be changed without prior consultation with the CLA Faculty through its appropriate representatives.

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