Pepperdine University | Seaver College

  
    

CHAPTER IX.  APPENDICES

9.1.  Employee Expense Reimbursement

9.2.  Safety and Hazardous Substances Policy

9.3.  Seaver College Code of Academic Integrity

9.4.  Seaver College Diversity Council Charter

9.5.  Seaver Faculty Association Standing Committees

9.6.  The Constitution of the Seaver Faculty Association

9.7.  University Tenure Policy

9.8.  Charter for the Creation of a University Faculty Council

9.9.  Application for Awarding Process for a One Course Release for Tenured Faculty Members



 


APPENDIX 9.1.  EMPLOYEE EXPENSE REIMBURSEMENT
(Included since 1988; Modified 2007)

A. GENERAL POLICY

Faculty and staff shall be reimbursed for reasonable travel and entertainment expenses incurred on authorized university business. All such expenditures must be approved in advance by the employee’s Department Budget Manager.

The University assumes no financial responsibility for expenditures incurred by employees who fail to apply these policies. Both the person who incurs the expense and the person who approves reimbursement of expenses are responsible for achieving maximum economy in the expenditure of university funds. Primary responsibility to insure that expenditures are reasonable and necessary rests with the Department Budget Manager for the account.

An employee must obtain the approval of his or her Department Budget Manager before payment for any reimbursement, internal requisition, or direct expenditure is issued. A Department Budget Manager may delegate this review to a direct subordinate; nevertheless, the Department Budget Manager will remain personally responsible for any such authorizations.

B. SUBSTANTIATION AND DOCUMENTATION

The Internal Revenue Service (IRS) imposes specific requirements for travel and entertainment reimbursements and advances to be considered as nontaxable to the employee. The University’s reimbursement policy requires employees to comply with the following “accountable plan” for all travel and entertainment expenses:

• Business Purpose – There must be a business purpose for the expenditure. Such expenses must be deductible business expenses, according to IRS regulations, which are incurred in connection with services performed as an employee.

• Substantiation – There must be substantiation of the expense by the employee within a reasonable period of time. Substantiation includes; verification of date, time, place, amount and business purpose of expense. The IRS requires substantiation to support each instance of travel and entertainment, and documentation with original itemized receipts. Expenditures of $25 and under do not require a receipt.

Employees must substantiate all travel and entertainment expenses within sixty (60) days after incurring the expense.

• Out-of-pocket reimbursements must be substantiated within sixty (60) days after incurring the expense. Out-of-pocket reimbursements will not be made after one hundred twenty (120) days  of the expenditure.

• University Travel Card expenses must be substantiated within sixty (60) days from the statement date. University Travel Card expenses not substantiated within one hundred twenty (120) days, from the statement date, will be processed through Payroll as a taxable benefit.

• Travel Cash Advances must be substantiated within sixty (60) days after incurring the expense. Travel Cash Advances not substantiated within one hundred twenty (120) days will be processed through Payroll as a taxable benefit.

 

Timeliness Return of Excess Travel Cash Advance – Excess travel cash advance monies must be returned within a reasonable period of time. The IRS allows the following method for defining and enforcing this rule:

The "30-60-120" method. This method automatically allows an employee to meet the reasonable time requirement if (1) he or she gets an advance no more than thirty (30) days before he or she incurs the expenses; (2) the employee substantiates the expenses no more than sixty (60) days after he or she incurs the expenses; and (3) the employee returns any unspent or unsubstantiated amount no more than one hundred twenty (120) days after he or she incurs the expenses.

Travel Cash Advances not substantiated within one hundred twenty (120) days will be processed through Payroll as a taxable benefit.

C. PER DIEM

The University does not allow per diem. Original itemized receipts are required for all travel and entertainment expenses over $25.

D. AIR TRAVEL

All domestic and foreign travel should be booked in the lowest priced, coach accommodations. Any accommodation above coach class requires approval by Senior Administration. Employees are expected to travel by the most direct route using the most economical and reasonable mode of travel available. To maximize discount fare possibilities, air travel arrangements should be reserved as far in advance of the travel date as possible.

E. GROUND TRANSPORTATION

Airport Transfers: The airport shuttle service should be the preferred method of transportation to a hotel or meeting site. Taxis and private limousines should be used only when they represent a more reasonable alternative or are essential due to time constraints.

Taxis: Taxi use should be limited, with preference given to public transportation. If public transportation is unavailable or inadequate for local travel, then taxis may be used.

Car Rentals: A Driver Status Form must be submitted and approved by the Insurance and Risk department prior to an employee renting a car or driving on behalf of university business.

An “Auto Accident Packet” which includes an insurance identification card, a checklist to follow in an accident, and forms to report an accident must be obtained from the Insurance and Risk department prior to an employee driving a rental car on behalf of university business. Please contact the Office of Insurance and Risk Management to obtain the Packet.

Car rentals must be in the name of Pepperdine University and in the individual’s name. Employees must not purchase insurance from car rental agencies for rentals within the United States. Pepperdine University is covered for rental car physical damage for rental terms of less than 30 consecutive days (as long as the automobile is rented in the name of Pepperdine University).

Car rentals originating outside the United States should include insurance from the car rental agency.

Prior to an employee taking possession of a rental car, employees should thoroughly inspect it to assure that any existing damage is noted on the rental agreement.

Employees involved in an accident with a rental car should follow the checklist provided in the “Auto Accident Packet” which includes securing the scene, seeking medical aid if injured, notifying the local police department, providing information to and obtaining information from the other driver, and taking photos of the vehicles and scene. The employees should alert the Insurance and Risk department of the accident and refer the rental company, injured party or anyone claiming injury to contact the Insurance and Risk department at (310) 506-4410. The employee should be prepared to furnish the Insurance and Risk department with the completed forms from the “Auto Accident Packet” packet and any photos of the accident.

 

Mileage for Personal Automobiles: A Driver Status Form must be submitted and approved by the Insurance and Risk department prior to an employee driving any vehicle on behalf of university business.

Employees required to use their personal vehicles while engaged in university business are eligible for mileage reimbursement consistent with this policy and subject to the approval of their supervisor.

Employees who are required to drive a distance greater than that normally driven on a daily basis between their principal work location and their principal residence are eligible for mileage reimbursement. The distance between the principal work location and an employee’s principal residence is the “normally driven daily commuting mileage.”

Employees working on multiple campuses are eligible for mileage reimbursement for mileage in excess of their normally driven daily commuting mileage.

Consistent with the policy statement above, if a business trip begins or ends at an employee’s residence, the normally driven daily commuting mileage should be subtracted from the total trip mileage before submission for reimbursement.

The mileage reimbursement rate is determined each year by the IRS and includes gas, oil, maintenance, insurance, and depreciation costs. Any changes in the IRS reimbursement schedule will be automatically implemented by the University. The current mileage reimbursement rate and standard mileage distances are available at http://www.pepperdine.edu/finance/accountspayable/mileagerates.htm.

No employee is authorized to use a personal vehicle on university business unless the driver possesses a valid license and the vehicle is insured with at least the minimum California state requirements. Employees should recognize that their personal automobile insurance will respond primarily in the event of an accident while driving on university business.

F. LODGING

Employees will be reimbursed reasonable and appropriate hotel expenses when traveling overnight on university business. Reimbursement is limited to a single room rate unless the room is shared with another university employee.

Room service charges are discouraged, but are not prohibited and should be at the Department Budget Managers discretion depending on travel circumstances.

G. MEALS WHILE IN TRAVEL STATUS

Employees will be reimbursed the reasonable cost of meals while the employee is traveling.

Expenditures for alcoholic beverages are not authorized. Meal costs which appear excessive will be referred to the Major Area Budget Manager for final approval.

H. LOCAL BUSINESS MEALS AND ENTERTAINMENT

Expenses incurred for local business meals and entertainment (meetings, employer/employee relations, etc) may be reimbursed upon approval of the Department Budget Manager. To be considered non-taxable, the IRS requires that names of the persons at the meal and the business purpose be clearly stated. Individual names are not required if a large group (more than ten people) is involved that can be identified as a single body (the approximate number of persons and group identification must be stated).

Expenditures for alcoholic beverages are not authorized. Meal costs which appear excessive will be referred to the Major Area Budget Manager for final approval.

I. TRAVEL RELATED EXPENSES

Parking and Toll Charges: Necessary parking and toll charges incurred on university business are reimbursable in addition to mileage allowance and other transportation expenses.

Tips and Gratuities: Tips and gratuities should be reasonable. Tips and gratuities on meals and taxi expenses should not exceed 20% of total charge. Bellhop/porter tips should not exceed $1.00 for each bag.

Laundry Service: Laundry, cleaning and pressing charges are allowed only when an employee will be away from home more than five days.

Telephone: Business calls from non-university telephones that are reasonable and necessary will be reimbursed on a per call basis. Employees may be reimbursed for one personal telephone call (not to exceed 10 minutes in duration) for every day an employee is traveling away from home overnight. The use of telephones aboard aircraft is not permitted except in cases of extreme emergency.

The use of a cellular phone may aid an employee’s job performance and aid the efficiencies of a department by providing immediate accessibility. Refer to the Finance Policies Telecommunications Reimbursement Policy (coming soon).

Passport and Visa Fees: Fees for passports and visas are reimbursable, if specifically obtained for the business trip.

Registration Fees for Conferences and Professional Meetings: Whenever feasible, registration fees for conferences and professional meetings should be paid in advance to obtain available discounts.

J. NON-REIMBURSABLE EXPENSES

Pepperdine University will reimburse or directly pay properly substantiated business expenses. Personal expenses are payments for activities that primarily benefit the individual and will not be reimbursed. The following is a sample list of such expenses (this list is not intended to be all-inclusive):

• Alcoholic beverages
• Personal reading materials (magazines, books, newspapers, etc)
• Hotel health club fees
• Movies or video rentals
• Golf fees
• Clothing
• Toiletry items
• Barber and hairdresser expenses
• Medical expenses
• Traffic fines or penalties
• Repairs, maintenance, or towing of personal vehicles
• Personal credit card fees or penalties
• Lost or theft of personal property
• Expenses lacking appropriate substantiation, documentation or authorization

K. UNIVERSITY TRAVEL AND ENTERTAINMENT CARD

The University issued travel and entertainment card must be used for travel and entertainment expenses only. University Travel Card activity must be substantiated within 60 days from the statement date. Credit card statements or credit card slips alone are not adequate documentation (refer to Section 14.2).

L. TRAVEL CASH ADVANCES

Travel cash advances may be obtained by employees for costs to be incurred while conducting official university business. Advances may not be issued more than thirty (30) days prior to the departure. Advances may be authorized when:

• Out-of-pocket expenses associated with the trip or event will cause a financial hardship to the employee.
• The advance is approved by the appropriate Major Area Budget Manager
• The out-of-pocket expenses are expected to exceed two hundred dollars ($200).


The University retains the right to deny travel advances to any individual who has not submitted documentation in a timely manner for a previous advance.

M. SPOUSAL ACCOMPANIMENT

As a general rule, the University does not reimburse for spousal accompaniment.

Revised by the Policy Committee December 20, 1989, Updated August 2007.



 

APPENDIX 9.2.  SAFETY AND HAZARDOUS SUBSTANCES POLICY
(Included since 1991; modified 2007)

A. INTRODUCTION

The University considers the safety of its students, faculty, staff and visitors to be of the highest priority. Accident prevention is a function of good management and contributes to a positive educational and work environment. The quality of service at the University is directly affected by each individual's commitment to performing his or her role in a safe and efficient manner. Achieving a safe campus environment at each University location is one of the University's safety program goals.

Each department head is responsible for maintaining safe and healthful conditions in his or her area, as well as assuring that all activities are performed in a safe manner. Performance evaluation should reflect the success or failure of each supervisor in fulfilling this responsibility.

Supervisors, faculty and staff must understand that safety is to be given a higher priority than expedience and unsafe shortcuts are not to be tolerated. Each supervisor is charged with effectively implementing the University's safety program, including investigating actual and potential accident causes and promptly recommending corrective measures.

Individuals must assume responsibility for their personal safety both on and off campus. Each person has an important place in the safety program and is expected to cooperate fully in all safety related programs and activities. All members of the University are encouraged to report immediately any unsafe conditions and/or actions and to make suggestions to the Safety Committee through Center for Human Resources or the Office of Risk Management.

No job or activity should be conducted unless all reasonable precautions and safety considerations have been taken. No job or task is so important and no request is too urgent that the time cannot be taken to perform it safely.

The University will continue to develop and implement programs that inspect for and correct unsafe behaviors and/or physical hazards. In addition, the University will provide supervisory and employee safety training on a periodic basis, as well as emergency preparedness training for all members of the University community.

B. INJURY AND ILLNESS PREVENTION PROGRAM

The Pepperdine University Injury and Illness Prevention Program is designed to support the educational environment through improved workplace operations, better control of hazards, reduced accidents and losses, and was adopted and implemented in compliance with California Labor Code Section 6401.7 (SB 198) and General Industry Safety Order Section 3203.

C. ASSIGNMENT OF RESPONSIBILITIES

1. Policy Committee(s)

Senior management supports the University's safety policy by setting policy, assigning safety responsibility and accountability to all individuals, monitoring safety program developments, progress and effectiveness, providing active leadership by participation, example and a demonstrated interest in the program.

2. Safety Program Directors

Responsible Persons

Gary Hanson---Executive Vice President and Chief Operations Officer

Darryl Tippens---Provost

While all members of the University community are responsible for safety and health on our campuses and in the workplace, the Executive Vice President and Chief Operations Officer and the Provost have the authority and responsibility for implementation of the program.

3. Jon Weber---Insurance & Risk Manager

The Insurance & Risk Manager in the capacity of the safety program coordinator has the  responsibility for coordination of loss control activities; review of supervisor accident investigation reports; provide assistance to the Center for Human Resources in the design and implementation of safety training for employees and supervisors; report to senior management concerning safety concerns; and provide assistance and support to the Safety Committee.

4. Safety Committee(s)

The Safety Committee(s) will assist in carrying out the University's safety policy and programs to protect all members of the University community, University assets and the ability of the University to continue its mission.

Responsibilities of a Safety Committee member may include participation in periodic safety inspections, investigation and analysis of accidents involving injuries or illness, investigation of allegations of hazardous conditions which are brought to the member's attention and facilitating communication between members of the campus community on both specific and general safety issues and recommendations.

5. Managers

In effectively executing their safety responsibilities, academic and administrative managers will familiarize themselves with the safety program and ensure its effective implementation; be aware of safety considerations when introducing a new process, procedure, machine, material or substance to the workplace; support the programs and committees whose function is to promote safety and health.

6. Supervisors

Supervisors are the foundation of the safety program. They should familiarize themselves with University safety policies, programs and procedures, consistently and fairly enforce University safety rules, investigate injuries to determine cause, and to take action to prevent repetition, see that injuries are treated and referred to the Center for Human Resources to ensure prompt reporting to the worker's compensation insurance carrier, regularly inspect work areas to detect unsafe work practices and resulting conditions, conduct department safety meetings on a regular basis, ensure that proper reports are completed and appropriate action is taken to prevent repetition.

7. Faculty and Staff

Individual injury and illness prevention is a responsibility of all University faculty and staff (including student workers). They should adhere to all safety rules and regulations; report injuries to their supervisor; report unsafe acts and resulting conditions; utilize appropriate safety equipment as required; maintain equipment in good condition, encourage other members of the campus community to work safely.

D. EMPLOYEE COMPLIANCE

At the time of initial employment and at other periodic intervals, faculty and staff are notified that compliance with established and/or common sense safe and healthy work practices (whether written or unwritten) is a mandatory condition of employment. Faculty and staff who fail to adhere to job safety standards are subject to disciplinary action, up to and including discharge. Nothing herein shall alter the right of the employee or employer to terminate employment at any time with or without cause.

From time to time, faculty and staff may be recognized for their compliance with safety and health standards and/or continuation of work without injury or incident by means of special notice or award.

E. COMMUNICATING WITH FACULTY AND STAFF

At the time of initial employment and at other intervals, faculty and staff are notified of applicable safe work practices and working conditions, and that all faculty and staff have the right to report any work-related injury or unsafe condition or hazard without fear of reprisal. Such information may be submitted using a standard form or otherwise in writing (signed or anonymous), or verbally to the supervisor, or other member of management.

F. IDENTIFYING & EVALUATING HAZARDS

Recognizing that unsafe acts cause more accidents than unsafe conditions by themselves, the University intends to focus on correcting both unsafe work practices as well as unsafe physical conditions. Although it is our intention to eliminate any unsafe act and condition as quickly as possible, some corrective actions will require longer periods of time and/or larger expenditures of capital. It will be necessary to evaluate the seriousness of the hazards and prioritize corrective actions.

Inspections should be conducted whenever new substances, processes, procedures or equipment are introduced that represent an occupational hazard; whenever the University is made aware of a new or previously unrecognized hazard, and at other frequencies determined by the level of hazard associated with the department, site or process. Records of inspections, including the data of inspection, identification of the area or process inspected, person conducting the inspection, findings of the inspection, and required actions must be retained for a minimum period of three years.

G. INJURY & ILLNESS INVESTIGATION

Some accidents are caused by unsafe conditions. The great majority, however, are the result of the unsafe manner in which work is conducted. The objective of investigation is to find the root causes of an accident. This will allow corrective action to be devised and implemented and to minimize recurrent accident problems. Occupational injuries and illnesses are documented on a comprehensive report of accident and are investigated by the supervisor to determine what action of the affected employee (or
others) caused or contributed to the injury or illness; what tools, equipment, job, site or building condition, etc. were allowed to exist in a state which may have caused or contributed to the incident; and what action has been taken or will be taken to prevent recurrence. In cases where corrective action is required, follow up should be made to assure that appropriate action has been completed. Standardized forms may be used to organize and document the investigation and completed actions.

H. CORRECTING UNSAFE WORK PRACTICES AND CONDITIONS

To maintain a safe and healthful campus requires correcting potential hazardous work practices and conditions. At such time that unsafe or unhealthy conditions, work practices, or work procedures are discovered, action will be taken to remove immediate dangers. Potential hazards will be handled on a priority basis using standards such as those set by Cal-OSHA. Corrective procedures may include a documented investigation of the cause and/or source of the hazard, identification of corrective actions needed, assignment of persons responsible for the completion of specific remedial actions, and follow up for compliance. Training and/or retraining of affected employees is provided as applicable.

I. TRAINING AND INSTRUCTION

Safety education and training for faculty and staff should occur at the time of initial employment; when employees are given new job assignments for which training has not previously been given; when new substances, processes, procedures, or equipment are introduced that represent a new hazard; when the University is made aware of a new or previously unrecognized hazard; and at other intervals designated by management.  Employees may be trained in applicable safe and healthy work practices in groups or individually through distribution and review of the University's safety handbooks and its supplements; through other written communications, posters, booklets, etc.; and by various other methods as applicable, in a form readily understandable by the affected employee or group of employees. Individual records of training, including date of training, type of training, and training providers are retained for a minimum period of three years except of shorter periods as otherwise allowed by law.

Approval

This Injury and Illness Prevention Program was approved by the University's Policy Committee on 6-19-91 and updated 2-2002.


 

APPENDIX 9.3.  SEAVER COLLEGE CODE OF ACADEMIC INTEGRITY
(Included since 1988; Updated in 2007)

A. STATEMENT OF PURPOSE

The Code of Academic Integrity at Seaver College is an integral part of the educational process. It makes possible an atmosphere conducive to the development of the total person through learning experiences. Since a person is more than intellect, learning is more than academic achievement. It includes achievement in all the qualities of an individual – intellectual, spiritual, ethical, emotional, and physical.

Seaver's Code of Academic Integrity provides among students, faculty members, and the administration a spirit of community where such development can take place. Furthermore, it creates a climate of mutual trust, respect, and interpersonal concern, where openness and integrity prevail.

This Code of Academic Integrity will enrich the educational process at Seaver College and encourage the development of a "Seaver spirit." This will lead to a pervasive sense of pride for and loyalty to Seaver's high standards of academic ethics, personal honesty, and spiritual values which imbue Seaver College as part of a Christian university.

The code emphasizes the dignity and development of each individual. The code maintains free competition and independent intellectual effort, not tolerating dishonesty, cheating, or plagiarism in any form. If intentional acts of dishonorable conduct occur, the code outlines infractions and clear-cut procedures as well as sanctions to censure such activity.

But, to be effective, the code must be maintained by the community. This requires a genuine sense of maturity, responsibility, and sensitivity on the part of every member. In particular, each member of the Seaver College community is expected to pursue his or her academic work with honesty and integrity.

B. POLICIES AND DESCRIPTIONS

1. CODE OF ACADEMIC INTEGRITY

Academic Integrity is the expression of intellectual virtue in human beings as a result of their creation in God’s image. It represents the convergence of the best of the human spirit and God’s spirit, which requires personal, private and community virtue. As a Christian institution, Pepperdine University affirms that integrity begins in our very created being and is lived out in our academic work.

In order for the code to be effective, the community must maintain its health and vitality. This requires a genuine sense of maturity, responsibility, and sensitivity on the part of every member. In particular, each member of the Seaver College community is expected to pursue his or her academic work with honesty and integrity.

Unfortunately, students do, on occasion, violate Academic Integrity, and this provides a need for discipline and an opportunity for restoration. The following pages describe the various forms of violation recognized by Pepperdine University and the resulting steps that both the student and institution must take.

In completing each assignment, each student is expected to have abided by the principles of the code and may be asked to sign a pledge to this effect. Students may be asked to sign such a pledge at the beginning of each course.

2. VIOLATIONS OF ACADEMIC INTEGRITY

Academic integrity is violated when one of the following events occurs:

a. PLAGIARISM

Plagiarism occurs when a writer appropriates another’s ideas without proper acknowledgement of the source or uses another’s words without indicating that fact through the use of quotation marks.

b. CHEATING

Cheating is the use of unauthorized materials, information, or study aids in an academic exercise as well as collusion in visual or oral form.

c. FABRICATION

Fabrication is the falsification or invention of any information or citation in an academic exercise. This includes lying to a member of the administration, faculty, and/or Academic Integrity Committee (AIC).

d. FACILITATING ACADEMIC DISHONESTY

The facilitation of academic dishonesty occurs when students knowingly or negligently aid others or allow their work to be used in a dishonest academic manner. Such students are as guilty of violating academic integrity as their recipients.

3. VIOLATION LEVELS

Any violation of academic integrity is subject to an appropriate penalty.  Violations at Pepperdine University are classified into four levels according to the nature of the infraction. For each level of violation, a corresponding set of sanctions is recommended. The Academic Integrity Committee and the office of the Dean of Seaver College are charged with using these guidelines as general rules of practice for the academic community in matters relating to the assignment of violation level and appropriate sanction.

a. LEVEL ONE

Level One violations may occur because of inexperience or lack of knowledge of principles of academic integrity. These violations are likely to involve a small fraction of the total course work, are not extensive, and/or occur on a minor assignment. Cases involving this first level are primarily viewed as “teaching opportunities” and are therefore to be handled by the instructor in consultation with the student and subsequently reported to the AIC chair. In cases where no resolution is reached, the instructor or student may appeal the case to the AIC. Level One violations include (but are not
limited to) the following examples:

1A Working with another student on a laboratory or other homework assignment when such work is prohibited.

1B Failing to footnote or give proper acknowledgment in an extremely limited section of an assignment. This includes changing some words but copying whole phrases, quoting less than all the words copied, paraphrasing without attribution, copying the syntactical or organizational structure of another writer, using unique or apt phrases from another writer, or failure to use quotation marks to cite a passage.

1C Engaging in any of the following activities during an examination when prohibited: talking, having notes visible, leaving the exam room without permission, looking at another’s paper, failing to stop working when time is called.

1D Committing other minor or unintentional infractions of academic integrity.

The recommended sanctions for violations at Level One are:

i) Consultation with a Writing Center tutor, and/or

ii) Completion of an assigned paper or research project on a relevant topic, and/or

iii) Submission of a rewritten assigned paper, and/or

iv) Completion of a make-up assignment at a more difficult level than the original assignment, and/or

v) Receipt of a zero for the original assignment.

Records of students who commit Level One offenses will be maintained in the Seaver Dean’s office until graduation, following which these records will be expunged.

A second instance of a Level One violation constitutes an automatic Level Two or higher violation.

b. LEVEL TWO

Level Two violations are characterized by dishonesty of a more serious nature or by dishonesty that affects a more significant aspect or portion of the course work. Cases involving this second level are still primarily viewed as “teaching opportunities” and are therefore to be handled by the instructor in consultation with the student and subsequently reported to the AIC chair. In cases where no resolution is reached, the instructor or student may appeal the case to the AIC. Level Two violations include (but are not limited to) the following examples:

2A Using significant portions of information for a report without acknowledging the sources or the collaborators.

2B Giving or receiving assistance to/from others, such as research, statistical, computer programming, or field data collection help that constitutes an essential element in the undertaking without acknowledging such assistance in a paper or project.

2C Giving or receiving unpermitted assistance on exams.

2D Using unauthorized materials during an exam.

2E Quoting directly or paraphrasing, to a moderate extent, without acknowledging the source.

2F Submitting the same work or major portions thereof to satisfy the requirements of more than one course without permission from the instructor.

2G Collaborating before an exam to develop methods of exchanging information and implementation thereof.

2H Removing posted or reserved material, or preventing other students from having access to it.

2I Providing false excuses to postpone tests or due dates.

The recommended sanction for Level Two violations is a Level One sanction and/or one of the following:

i) Course grade that is lowered one or more grade levels, and/or

ii) Course grade of F, and/or

iii) Placement on Academic Disciplinary Probation for one or more semesters.

All records of students who commit Level Two offenses will be maintained permanently in the Seaver Dean’s Office.

A second instance of a Level Two violation constitutes an automatic Level Three or higher violation.

c. LEVEL THREE

Level Three violations include dishonesty that affects a major or essential portion of work done to meet course requirements, or involves premeditation, or is preceded by one or more violations at Levels One and Two. All cases involving Level Three violations are heard by the Academic Integrity Committee. Level Three violations include (but are not limited to) the following examples:

3A Committing any premeditated Level Two violation involving a major portion of coursework.

3B Taking an exam for another student.

3C Altering an exam and submitting it for re-grading.

3D Downloading a paper or major sections of a work from the Internet.

3E Presenting the work of another as one’s own.

3F Permitting another to present one’s work as their own.

3G Buying or selling unauthorized aid on examinations, papers, or grades.

3H Offering or accepting bribes related to academic work.

3I Fabricating data by inventing or deliberately altering material (this includes citing "sources" that are not, in fact, sources).

3J Translating work from one language into another and submitting as one’s own work.

3K Lying to AIC members during an investigation or hearing. This may constitute a second charge, with the Committee members who acted as judges during that specific hearing acting as accusers.

3L Sabotaging another student's work through actions designed to prevent the student from successfully completing an assignment.

The sanction typically to be sought for all Level Three violations is a Level Two Sanction and/or a minimum of a one semester suspension from the University. All records of students who commit Level Three offenses will be maintained permanently in the Seaver Dean’s Office.

d. LEVEL FOUR

Level Four violations represent the most serious breaches of intellectual honesty. All such cases are heard by the Academic Integrity Committee. Level Four violations include (but are not limited to) the following examples:

4A All academic infractions committed after return from suspension for a previous academic honesty violation.

4B Stealing an examination from a professor or from a University office.

4C Falsifying a transcript to secure entry into the University or change the record of work done at the University.

4D Falsifying medical records.

4E Falsifying any official University documents by mutilation, addition, or deletion.

The typical sanction for Level Four violations and a repeat infraction at Level Three is permanent expulsion from the University. Such cases will result in the permanent notation of "Academic Disciplinary Expulsion" on the student's transcript.

4. CONSEQUENCES OF VIOLATING THE CODE OF ACADEMIC INTEGRITY

Students committing acts of academic dishonesty not only face university censure but also face a serious risk of harming their future educational and employment opportunities. In addition to the notation for a specific sanction placed on the student's transcript, which remains for the term of the sanction, prospective employers and other educational institutions frequently use recommendation forms that ask for feedback on an individual's moral or ethical behavior. Since such forms are sent with the permission of the student, University faculty and administrators knowledgeable of academic dishonesty infractions are ethically bound to report such incidences.


C. PROCEDURES

1. JUDICIAL PROCEDURES

The judicial procedures are designed with the following purposes in mind:

a. To provide a positive direction in cultivating academic integrity;
b. To insure thorough and fair investigation of pertinent evidence;
c. To maintain strict confidentiality among committee members; and
d. To allow for an appropriate channel of appeal.

Such purposes are to be attained through the efforts of the Academic Integrity Committee.

Any alleged violation of academic integrity is to be reported to the chair of the AIC.

2. AIC HEARING PROCEDURES

a. The hearing will be called to order at the time specified. The hearing cannot begin without seven committee members and/or alternates (see item c. below), the accused, and the accusing faculty member(s) (or an appointed representative) in attendance.

b. All hearings will be tape recorded.

c. An alternate committee member will sit at the hearing if a regular committee member is involved with the case being presented before the committee. When at all possible, the alternate committee member should be from the same division as the regular committee member who is involved in the hearing.

d. The hearing will begin with a summary of the procedures to be followed at the hearing.

e. At all times the defendant will be presumed innocent, with the burden of proof to be placed on the accusers to establish guilt.

f. The chairperson will read the charges aloud to those present and will present to the committee any evidence the faculty member wishes to have under consideration. At this time, the faculty member may bring in witnesses, if deemed pertinent to the case. At the close of the witness's presentation, the witness shall be questioned by the committee on any points of evidence on which the committee is unclear. The witness will then be asked to leave the room. The faculty member(s) shall be questioned by the committee on any points of evidence on which the committee is unclear.

g. The defendant will be given an opportunity to defend himself or herself, including giving evidence and providing witnesses that he or she feels may be pertinent to the case. At the close of the defendant's presentation, the defendant shall be questioned by the committee on any points of evidence on which the committee is unclear. In addition, the committee may ask the faculty member about points of evidence which are unclear. The defendant, if he or she feels the responses will be incriminating, may decline to answer a question. The committee will not base its judgment of guilt or innocence on such a declination.

h. After all evidence has been presented, the accused student and the accusing faculty member(s) will be asked to step outside while the committee deliberates. At this time, the committee will review and discuss all the evidence it feels is pertinent to the case. When deliberation has been completed a secret ballot will be taken to decide on the guilt or innocence of the defendant. The ballots will be counted by the secretary and reported to
the committee.

i. The defendant will be found guilty or not guilty based upon a vote of at least three-fourths of the members present, with no more than two members dissenting. The committee will then vote on a sanction (as described in the AIC code). The sanction must have a majority vote. At least seven of the eleven voting members must be present for a vote to be called. No more than two members may dissent in a guilty vote. Specific sanction(s) will be decided by majority vote. Vote is by secret ballot and is counted by the chairperson and the secretary. The results (and the ballots) will be presented to the Dean of Seaver College. Note: the AIC hearings are not court of law proceedings and should not be construed to be subject to courtroom technicalities.

j. The defendant will be asked to return to the hearing room to be informed of the committee's verdict.

k. If found guilty, the defendant will be advised of his/her opportunity to appeal the decision to the Seaver Dean.

l. Formal written notice of the verdict will be sent to the student, the accusing faculty member(s), and the Seaver Dean.

m. All notes and recordings of the hearings shall be given to the Seaver Dean to be kept as specified in the Student Handbook.

n. No member of the hearing committee who is otherwise interested in the particular case brought before the committee, whether bringing charges against the student, or who is placed in a position of developing or prosecuting the case against the student, shall sit in judgment during the proceedings. This committee member will be replaced as stipulated in Item c. of the procedures.

o. The defendant and the accuser shall notify the chairperson of the committee of the names of the witnesses they choose to have testify on their behalf at least twenty-four hours prior to the hearing, and they shall assume responsibility for their presence at the hearing. The committee may limit the number of witnesses.

p. All hearings will be closed to members of the committee, the student(s), advisors involved in the hearing, and faculty members involved in the case. Authorized witnesses will be present to testify one at a time and will leave the hearing as soon as such testimony is completed.

q. All matters upon which the decision may be based must be introduced into evidence during the hearing before the committee. Formal rules of evidence shall not be applicable in proceedings conducted pursuant to this code. All matters shall be admitted into evidence which reasonable persons would accept as having probative value in the conduct of these affairs.

r. To maintain a record of the hearing, the secretary will write up a digest; in addition, the recorder will take a tape recording of the hearing.

s. The digest of the committee shall consist of a statement covering the chronological sequence of the proceedings and the conclusions reached by the committee based on the evidence. Any member may append the report with his or her dissent.

t. It is to be understood by all parties dealing with the Academic Integrity Committee that the committee is not a court. The committee is an educational committee which deals with students and members of the university community only as their status pertains to the educational aspect of Seaver College. Therefore, its proceedings are not to be construed to be
subject to courtroom technicalities or procedures.

u. Committee decisions will be made within a reasonable time.


D. INSTRUCTIONS

1. INSTRUCTIONS TO FACULTY

The faculty member accusing the student of the alleged offense should attempt to meet with the student and discuss the suspicions and evidence to see if there is some acceptable explanation for the apparent violation of the Integrity Code.

a. If an agreement concerning the alleged Level One or Level Two violation is reached, the faculty member will submit a completed AIC report form to the AIC chair.

For a copy of the Reporting Form, please go to http://seaver.pepperdine.edu/academics/integrity/reportingform/form.htm

b. If the student is unavailable for a meeting or the alleged violation remains unresolved, or if it represents a Level Three or Level Four case, the faculty member will submit a completed AIC report form (see above for web address) to the AIC chair and a hearing will be scheduled.

Once a copy of the charges has been received by the chairperson of the AIC, she or he will contact the student to schedule a hearing.

2. INSTRUCTIONS TO STUDENTS

It is the student’s responsibility to meet with the faculty member to discuss the alleged violation of academic integrity. Failure to do so may result in an automatic hearing before the AIC. At this meeting between the faculty member and the student, the student has the opportunity to accept the faculty member’s proposed sanction or request a hearing of the AIC.

If he or she so desires, the student appearing before the committee shall have the right to be assisted at the hearing by an advisor of his or her choice. The advisor shall be from the Pepperdine community, either faculty, staff, or student. The student shall notify the committee's chairperson of the name of the advisor and the relationship to him or her at least twenty-four hours prior to the hearing. With permission of the committee, an advisor may make a brief statement on the student's behalf. Otherwise, the advisor will limit himself or herself to
consultation with the student.

If, for substantial reason, the accused student cannot attend the hearing at the arranged time, the student should contact the AIC chairperson as soon as possible. If the student cancels or postpones a second meeting, the committee may rule that the student's failure to appear be considered a waiver on the student's part. Failure to attend a scheduled hearing will be considered a waiver of the student’s right to represent themselves and will result in the hearing proceeding without them.

E. AIC COMMITTEE

1. COMPOSITION OF COMMITTEE

The AIC will consist of four undergraduate students, one graduate student, and one faculty representative from each academic division and the library. Selection of the student representatives will be made by the Seaver Dean from divisional recommendations of sophomore, junior, and graduate students.

2. COMMITTEE TENURE

Students are selected by the Academic Dean and serve a two-year term beginning in September. Faculty representatives are elected to serve a two-year term by the respective academic divisions as follows:

a. Even-numbered years: Social Science, Humanities/Teacher Education, Fine Arts and Religion.

b. Odd-numbered years: Natural Science, Business, and Communication

Freshman students and adjunct faculty members are ineligible.

3. VACANCIES

In the event of a student or faculty vacancy, the chairperson will ask the Seaver Associate Dean to select a replacement from the appropriate division.

4. CHAIRPERSON

A non-voting (except in the case of a tie vote) chairperson shall be elected by the AIC from among its faculty members.

5. OFFICERS

A secretary shall be elected by the AIC. This election will be conducted by the chairperson without nomination and by ballot. Only faculty members of the AIC are eligible.

6. COMMITTEE COMPOSITION

Faculty
Chair
Division Member, Business Administration
Division Member, Communication
Division Member, Fine Arts
Division Member, Humanities/Teacher Education
Division Member, International Studies and Languages
Division Member, Religion
Division Member, Social Science
Library Representative

Students
First Undergraduate Student Representative
Second Undergraduate Student Representative
Third Undergraduate Student Representative
Graduate Student Representative

F. COMMITTEE FUNCTIONS

1. The AIC will function as a clearinghouse for faculty to register in writing unappealed Level One and Level Two violations.

2. The AIC will provide a forum before which all other alleged violations may be heard. Records of such hearings will be kept in a secured file in the Seaver Dean's Office.

3. The AIC will decide on the guilt or innocence of such individuals. In cases of guilt the AIC will decide on the appropriate sanction.

4. The AIC will confer with individuals found to be guilty by the AIC about their opportunity to appeal to the Dean of Seaver College. The dean will notify the AIC of any decisions made on cases submitted to his office. In all matters involving alleged violations of academic integrity, students have the right to request a hearing before the AIC.

G. INSTRUCTIONS TO AIC CHAIRPERSON

During the resulting initial conversation, the chairperson will inform the student of the following:

  • The offense for which the hearing is being called.

  • The sanction(s) specified in the Seaver Academic Integrity Code.

  • The procedures that will be followed during the hearing (a copy of the code and procedures may be supplied to the accused at this time, if needed).

  • The student's right to bring an advisor from within the Seaver College community (faculty, staff, or student) to the meeting.

  • The student's right to bring witnesses to the meeting.

  • The confidential nature of the hearing.

  • The opportunity to appeal the decision to the Seaver Dean.


 

APPENDIX 9.4.  SEAVER COLLEGE DIVERSITY COUNCIL CHARTER
December 14, 2005


Pepperdine University is guided by its foundational Christian mission. Our mission inspires in us a profound respect for and love of the diverse cultures in which we live, work, and worship—both in Southern California and our international campuses throughout the world.

As the University’s Office of Equal Opportunity affirms:

“When Pepperdine speaks of “diversity,” it does so in a broad sense—one that encompasses a multitude of dimensions, including race, ethnicity, gender, religion, cultural background, class, ability, national origin and more. Diversity, as we understand it, means that the institution's many constituents are a mosaic of people united by a deep and abiding respect for our Christian heritage.”

In his inaugural address, President Benton also affirmed this commitment to diversity:

“Pepperdine’s commitment to diversity stems from a Christian heritage that compels us to love justice and to treat every individual equally with respect and compassion. Our faith also confirms that we are finite and therefore our knowledge is incomplete.  It is through the inclusion and experience of others from diverse points of view that we often begin to see dimensions of truth previously unseen by us. Pepperdine views diversity as one facet of the prism of values formed by our mission.” (Envisioning a
Bold Future and Equal Opportunity Statement, http://www.pepperdine.edu).

As such, at Seaver College diversity is central to our mission and is essential to the health of our institution. A diverse community of students, faculty, staff and board members enriches the learning experience for all and prepares us for the multicultural world in which we reside.

This commitment has manifested itself in the Seaver College Diversity Council.

Consistent with the University’s Christian mission and the theological rationale for diversity, the Seaver Diversity Council will:

1. Develop strategic goals to increase recruitment, retention, and success of a diverse faculty, staff, and student body.
2. Foster a campus climate at Seaver College which is built upon inclusiveness, mutual respect, education, appreciation, and understanding.
3. Increase awareness of College and University diversity efforts among Seaver College community members.
4. Encourage an awareness and appreciation of diversity among members of the Seaver College community.
5. Where appropriate, facilitate the integration of diversity into curricular and cocurricular offerings.

The Seaver Diversity Council will seek funding from the University, foundations, and other external sources.

The Seaver Diversity Council will be composed of faculty, staff, and students. The Council will create and implement strategic goals for diversity in alignment with our Christian mission and our University Diversity Council.

The Seaver Diversity Council will support the University’s quest toward becoming a “learning organization” by using research and assessment data to both support and guide our diversity efforts.

Council members will promote responsibility, accountability, and recognition for increasing campus diversity, improving the campus climate, and advancing the knowledge base for creating and sustaining a culturally diverse community. Council members will also assist in networking with individuals who support our mission, informing them that Seaver College values diversity and seeks to recruit qualified faculty and staff from diverse groups. The Council will encourage both internal and external collaborations and partnerships that will
extend diversity and multicultural education to the broader Los Angeles community.

Creation and Composition of the Council

The Seaver College Diversity Council will consist of approximately twenty voting members from the faculty, staff, and student body of Seaver College. The voting members will also be representative of the Seaver Faculty Association, Seaver Cabinet, and Seaver Student Government Association. The Council will nominate members and the Dean of Seaver College shall appoint new members. Council members are appointed for a two year period, but may serve successive terms.

Presiding Officers, Voting, and Scheduling of Meetings

The Council will meet minimally three times per year: twice during the Fall semester and once during the Spring semester; however, it may choose to meet more frequently. The chair will be responsible for scheduling and calling the meetings each semester. The chair may use his or her discretion to schedule and call additional meetings.

A recording secretary will be selected to record and distribute the minutes of each Council meeting. When necessary, the Council may create sub-committees to study specific diversity issues of college-wide concern and to report back to the Council. In addition, the individual members of the Council may serve in a liaison role to the President, Provost, or University Diversity Council on behalf of Seaver College. It shall be an important duty and responsibility of all members of the Council to attend meetings. Members must be present to vote (unless the Council decides otherwise). Fifty percent (50%) of the Council’s voting members must be present for a vote to pass, unless otherwise decided by the Council. Decision making will be determined by a simple majority of the Council’s voting members.

Creation and Composition of the Council
(Adopted April 26, 2006)

The Seaver College Diversity Council will consist of a maximum of twenty voting members. A representation of at least five Seaver College faculty, five staff, and two student body members should be a part of the council body. The voting members will also be representative of the Seaver Faculty Association, Seaver Cabinet, and Seaver Student Government Association. The Council will collect nominations from the Faculty Association, Seaver Cabinet, and the Student Government Association. The Seaver Diversity Council will also nominate members. Nominations for an empty seat will be collected via email and voted by the council via written ballot. The Dean of Seaver College shall appoint new members. Council members are appointed for a two year period, but may serve successive terms. The Council reserves the right to terminate any member during their two year term.

Presiding Officers, Voting, and Scheduling of Meetings
(Adopted April 26, 2006)

The Council will meet minimally three times per year: twice during the fall semester and once during the spring semester; however, it may choose to meet more frequently. The chair will be responsible for scheduling and calling the meetings each semester. The chair may use his or her discretion to schedule and call additional meetings.

A recording secretary will be selected to record and distribute the minutes of each Council meeting. When necessary, the Council may create sub-committees to study specific diversity issues of college-wide concern and to report back to the Council. In addition, the individual members of the Council may serve in a liaison role to the President, Provost, or University Diversity Council on behalf of Seaver College. It shall be an important duty and responsibility of all members of the Council to attend meetings. Members must be present to vote (unless the Council decides otherwise). Fifty percent (50%) of the Council’s voting members must be present for a vote to pass, unless otherwise decided by the Council.  Decision making will be determined by a simple majority of the Council’s voting members.


 

APPENDIX 9.5.  SEAVER FACULTY ASSOCIATION STANDING COMMITTEES
(Included since 1988)

The faculty committee structure is essential to the effectiveness and efficiency of the University operation. Committee work is an important part of a faculty member's responsibility.

Often recommendations made by committees to the SFA Executive Committee become University policies. Since the administration bears final responsibility for actions taken, it does reserve the right to review all committee action.

A brief description is given of the purpose and function of each committee. The chairperson is responsible for establishing a meeting time, maintaining records for the committee, and presenting a report of the committee's deliberations and recommendations.

A. STUDENT RELATIONS

1. Academic Integrity Committee

Reports to the Seaver academic administration regarding cases of infractions of the academic ethics code brought before it. Reports to either the Executive Committee or the Faculty Association organization recommendations concerning the Seaver Code of Academic Integrity. The committee consists of one representative elected by each division serving a two-year term of office and three students, appointed by division chairs and the Seaver Dean's Office.

2. Admission and Scholarship Committee

Reviews undergraduate admission, scholarship and student loan policies and procedures and makes recommendations either to the Seaver academic administration or the faculty as necessary. Determines awards of faculty/staff scholarships and informs faculty about these. The committee consists of one representative elected from each division plus an appointed staff member chosen among staff members who contribute to faculty/staff scholarships.

3. Athletics Committee

Reviews the intercollegiate athletic program of the University and makes recommendations concerning the scope of the program eligibility and other matters to the athletic program. Appointed by the SFA Executive Committee. Chair selected by the University president.

B. FACULTY RELATIONS

1. Rank, Tenure, and Promotion Committee

Evaluates and makes recommendations to the administration concerning initial placement, promotion, and tenure of faculty. Makes recommendations to the faculty about potential changes in tenure and promotion policies and procedures. Consists of one tenured professor from each division serving four-year staggered terms and one non-tenured professor at large serving a two-year term. Elected by the faculty according to guidelines in the RTP Handbook.

2. Faculty Development Committee

Determines selection criteria, evaluates requests by the faculty, and makes recommendations to the Seaver academic administration for sabbatical leaves and reassigned time. Also plans activities to stimulate intellectual growth among faculty.  The faculty of each division elect one representative to the committee on staggered three-year terms.

3. Faculty Benefits, Salary, and Stipends Committee (Modified 2006)

Reviews and makes recommendations to the Seaver faculty and administration concerning faculty benefits, including salaries, on-campus housing, housing loans, and early retirement. Develops criteria and evaluates requests for faculty stipends based on market-driven criteria in order to hire and retain qualified faculty members in highly competitive disciplines. The faculty of each division elects one representative to the committee on staggered three-year terms.

4. Professional Problems Committee

Meets to review and make recommendations to the Seaver academic administration concerning faculty complaints involving professional relationships. The faculty of each division elects one representative to the committee on three-year staggered terms.

C. ACADEMICS

1. Academic Affairs Committee (Altered April 2006)

Monitors and evaluates the general education curriculum, including freshman seminars and international programs and makes recommendations to Seaver Academic Council, Seaver academic administration, and Seaver faculty. Considers methods of enhancing Christian focus and multicultural understanding, of including multi-media or other technological advances, and of service learning into the curriculum. It monitors advising and registration procedures. The faculty of each division elects one representative to the committee to serve three-year staggered terms.

2. Teacher Education Committee

Monitors training and credential programs for elementary and secondary teacher education at Seaver College. Members selected by the executive committee to serve two-year staggered terms.

3. Teaching and Learning Committee

Develops methods to assess the educational value of the general education curriculum, helps divisions assess the quality of their majors, and administers the student evaluations of the faculty, including considerations of modifications of the evaluations and use of the evaluations. Members selected by the executive committee to serve two-year staggered terms.

4. Academic Support Committee

Reviews and makes recommendations to the faculty or the appropriate center concerning the services of the library, educational media, the bookstore, academic computing, and buildings and grounds. Members selected by the executive committee to serve two-year staggered terms.



 

APPENDIX 9.6.  THE CONSTITUTION OF THE SEAVER FACULTY ASSOCIATION
(Since 1998; updated in 2005)

ARTICLE I: NAME AND PURPOSE

Section 1: Name

The name of this organization shall be the Seaver Faculty Association, hereafter referred to as SFA.

Section 2: Purpose

The SFA is a unified body, established in order to:

1. Develop and express the opinions of the Faculty on academic as well as professional matters;
2. Make the collective experience and judgment of the Faculty available to the administrative officers of the University;
3. Facilitate Faculty involvement in the governance of Seaver College; and
4. Promote collegiality among the Faculty of Seaver College.

ARTICLE II: ORGANIZATION AND POWERS OF THE SFA

Section 1: Membership

Full-time employees of Seaver College who hold academic rank, full-time Seaver librarians, professors emeritus, and those tenure-track faculty members who are now teaching at least half-time shall be members of the SFA with full voting rights. Members of the Central Administration of the University who hold rank and part-time teachers are members without voting rights.

Section 2: Powers

The ultimate authority of this association shall be vested in meetings of the SFA. The SFA shall develop and express the opinions of the faculty on all matters pertaining to University policy and operation. The Executive Committee of the SFA is its administrative body. Although the Executive
Committee has neither the power to make policy nor the power to make decisions with regard to the operation of the various Divisions of Seaver College, it is empowered to represent the SFA in the following ways:

1. The Executive Committee meets with the administration of Seaver College and with the administration of the University to negotiate salaries, to discuss issues of faculty welfare (e.g., benefits and teaching load), and to raise issues of concern that surface as a result of activities of committees of Seaver College;

2. The Executive Committee maintains oversight of all committees within Seaver College; the chairpersons of all other committees are responsible for reporting to the Executive Committee issues of concern to the faculty;

3. The Executive Committee represents the concerns of individual faculty members.

By resolution the SFA may delegate its duties to appropriate committees, groups, or individuals or to the Executive Committee.

Section 3: Officers and their terms

The officers of the SFA shall be a president, a president-elect, and a secretarytreasurer.  The president's term will be twelve months. The president-elect's term of office shall begin with the first semester of the academic year following election and shall continue for twelve months, after which the
president-elect shall become the president. The president shall act both as president of SFA and as chair of the Executive Committee. The secretarytreasurer will serve a 1-year term and will serve both as secretary-treasurer of the SFA and as secretary of the Executive Committee.

Section 3.1: Duties of officers

The president shall call and preside at all meetings of the SFA and the Executive Committee. If the president is absent from a meeting, the president-elect shall preside as president.  The secretary-treasurer shall keep the minutes of SFA meetings and shall transact the monetary affairs of the organization.  The president shall appoint a parliamentarian. Other duties of the officers are mentioned in appropriate places.

Section 3.2: Election of officers and members of certain elected committees of the SFA

Nominations of officers and members of certain committees of the SFA shall be made by a nominating committee. The committee shall consist of three members of the association appointed by the president of the SFA. The committee will nominate at least two candidates for each position to be  filled.

Nominations will be announced in a memorandum to members of the SFA at least one week prior to a second-semester meeting in which additional nominations may be made from the floor. Election shall be held by secret ballot circulated by the chairperson of the nominating committee. If no candidate receives a majority of a ballot, a second ballot shall be taken between the two candidates receiving the highest number of votes.

Section 3.3: Vacancy of office

If the president resigns or is unable to serve, the president-elect shall serve as president for the remainder of the term of office. In case of a vacancy in any other office of the SFA the president shall appoint one of its members to serve until the next annual election.


ARTICLE III: SCHEDULING OF MEETINGS

Section 1: Meetings

At least one meeting of the SFA shall be held each semester. Members of the SFA shall be formally notified of the time, place, and agenda no less than three days prior to each meeting. The president must schedule additional meetings upon the written request of ten percent of the membership.  Emergency meetings may be called at the discretion of the SFA president without formal notification. If there is no agenda for a regularly scheduled meeting, it may be canceled at the discretion of the president or, in his/her absence, by the president-elect.

Section 1.1: Quorum

For scheduled meetings, twenty-five percent of the members of the SFA shall constitute a quorum. For an emergency meeting, fifty percent of the members of the SFA shall constitute a quorum.

Section 1.2: Voting

With the exception of amendments to this constitution, all decisions of the SFA shall be made by a majority of those present and voting, if a quorum is present. Voting shall be by voice vote. However, at the request of any member the vote shall be by standing vote or by written ballot. A motion to send a written ballot to all faculty members may be made from the floor.

Section 2: Rules

Except as it conflicts with this Constitution and By-Laws, Robert's Rules of Order (Revised) shall govern procedure in all meetings of the SFA.


ARTICLE IV: ELECTION, POWERS, AND DUTIES OF THE SFA EXECUTIVE COMMITTEE

Section 1: Membership

The Executive Committee consists of the president, the president-elect, the immediate past president, the secretary-treasurer and one representative from each of the eight academic divisions elected at large, and one representative from the Seaver librarians.

Section 2: Officers

The president of the SFA shall also serve as chair of the Executive Committee. The secretary will record the minutes of each meeting and circulate the minutes to members of the Executive Committee and to each division.

Section 3: Election of divisional representatives

The faculty of each division will elect two full-time faculty members as nominees for divisional representative. The voting membership of the SFA will then elect the representative from among these nominees. A divisional representative may be recalled by a majority vote of the division's faculty who are voting members of the SFA. In case of such a recall, or if a representative resigns or is unable to serve for one or more semesters, the faculty of the division will elect two more nominees for the position, a vote of the SFA will be held, and the newly-elected representative will complete the remainder of the previous representative's term.

Section 3.1: Terms of divisional representatives

Each divisional representative will be elected for a two-year term. The term will commence with the first term of the academic year following election. In odd-numbered years, elections will be held for representatives from the Business Administration, Fine Arts, Library, Natural Science, and Social
Science Divisions. In even-numbered years, elections will be held for representatives from the Communication, Humanities/Teacher Education, International Studies and Languages, and Religion Divisions.

Section 4: Duties

Each member is responsible for attending the meetings of the Executive Committee. In addition, except for the president and the secretary-treasurer of the SFA, each member of the Executive Committee will serve as a liaison to one or more of the standing committees of the SFA. Although each of the faculty committees will function independently, the committee liaisons will facilitate coordination and communication between their committee(s) and the Executive Committee.


ARTICLE V: OTHER COMMITTEES OF THE SFA

Section 1: Establishment

To accomplish its work, the SFA shall establish standing committees and such ad hoc committees as it deems necessary. The Executive Committee shall appoint all ad hoc committees.

Section 2: General functions

Committees shall:

1. Recommend to the Executive Committee and/or to administrators policies, principles, procedures, criteria, and/or guidelines regarding matters referred to committees by administrators, faculty, students, other committees, and/or professional organizations (e.g., accrediting teams) or by the committee itself;

2. Make specific recommendations, recommend exceptions, or render judgments in specific cases which cannot be administered by said policies, principles, procedures, criteria, and/or guidelines.


ARTICLE VI: AMENDMENTS TO THE CONSTITUTION OF THE SFA AND BYLAWS OF THE SFA

Section 1: Ratification of amendments to the Constitution

This Constitution may be ratified or amended by a two-thirds majority of the members of the SFA who vote on the proposed amendment. All members must be given written notification of the proposed amendment at least ten school days in advance of the meeting at which the amendment is to be discussed. The vote shall be by written ballot circulated by the secretarytreasurer of the SFA.

Section 1.1: Ratification of By-Laws

By-laws for the SFA shall be formulated as the need arises. Proposed by-laws and amendments or additions thereto may be adopted upon approval of a twothirds majority of members of the SFA who vote on the proposal. All members must be given written notice at least ten school days in advance of
the meeting at which the amendment or addition is to be discussed. The vote shall be by written ballot circulated by the secretary-treasurer of the SFA.


ARTICLE VII: BY-LAWS

Section 1: Dues

In lieu of dues, any necessary funds will be obtained by assessment of the membership.


Section 2: Resolutions

Resolutions and other matters may be brought to the Executive Committee of the SFA by SFA committee chairs, committee liaisons, division representatives, or individual faculty members. If an individual faculty member is not satisfied by the response of the Executive Committee, he or she
has the right of appeal and will be scheduled by the Executive Committee to bring the matter to a meeting of the SFA. In order to appear on the SFA agenda, the individual making the appeal should bring a petition signed by at least twenty members of the SFA to the Executive Committee asking to
present the matter at one of the next two SFA meetings.

SFA ad hoc committees:

Ad hoc committees will be created and members of each committee will be appointed by the SFA president with the approval of a majority of the Executive Committee.

Immediate action:

Decisions requiring immediate action including responses to requests for SFA endorsement may be made by the SFA president with the approval of a majority of the Executive Committee.

Faculty-wide elections:

Faculty-wide elections of SFA officers and committee members should take place each year by the first of March. Divisional elections of members of

SFA committees should take place by the end of March. Appointments to SFA committees should be made before the end of the winter semester.

Limitations on Committee Service:

Faculty employed under one-year appointments may not be elected or appointed to SFA Committees. Faculty employed under specific-term appointments longer than one year may not be elected or appointed to chair SFA Committees.



 

APPENDIX 9.7.  UNIVERSITY TENURE POLICY
(Included since 1998)


Faculty members at Pepperdine University are selected because of their academic and personal qualifications and the expectation of their success as teachers. They are also chosen because of their willingness to support the distinctive philosophy of the University and to work within it. Quality of academic preparation and promise, acceptance of Christian values, and respect for the University’s religious heritage are paramount considerations in the recruitment, selection and promotion of faculty.

The University desires that faculty work in an atmosphere of academic freedom and economic security. This Tenure Policy Statement is designed to enable Pepperdine University to protect its distinctive mission as well as the rights of its faculty as they relate to academic freedom and tenure.

In recognition of the practices of the academic community and in awareness of the value of systems of tenure which have developed in American education, the University has adopted the policies set forth herein regarding tenure.

I. STATEMENT OF TERMS OF APPOINTMENT

The terms and conditions of every appointment to the faculty shall be stated in a written contract between each faculty member and the University. Any modification of such a contract must also be agreed to between those parties in writing. Neither a faculty member nor the University shall be bound by terms or conditions not agreed to in writing.

II. TENURE

Tenure is the right of a faculty member to continue to be employed by the University in the field of his or her specialization at the school within the University in which tenure is attained. However, tenure at the School of Law shall exist without reference to any field of specialization within the study of law. It is a privilege which may be granted to individuals who serve a period prior to tenure in a probationary
appointment or to persons offered tenure by the University at the time of appointment. Tenure may be terminated only for adequate cause (except in the case of retirement for age as permitted by law) or under extraordinary circumstances because of financial exigencies, discontinuance or reduction of a program or department of instruction, or medical reason. Tenure review will occur at the times specified in V hereof.

III. CRITERIA FOR APPOINTMENT, RENEWAL AND TENURE

A. In general, faculty is judged on the quality of performance in each of four areas: teaching; service to the University and the community; scholarly, artistic or professional achievement; and a consistent pattern of support for generally accepted Christian values and the mission of the University.

B. The substantive standards and procedures generally employed in decisions affecting appointment, renewal and tenure are contained in the appropriate school handbook and other written authority, if any. A faculty member may obtain these materials from the Divisional Chairperson or the Dean of the
faculty member’s school. In the event that a particular school’s procedures or standards for granting tenure conflict with this Tenure Policy Statement, the University Tenure Policy Statement shall govern.

IV. ELIGIBILITY FOR TENURE

A. Tenure track appointments are so designated in the faculty contract and may carry an academic rank of Instructor, Assistant Professor, Associate Professor, or Professor. Appointments are designated in the contract as “Probationary Tenure Track.”

B. Persons with appointments in any of the following categories are not eligible for tenure.

1. Adjunct: These individuals serve the University in a position designed to meet defined and specific instructional needs.

2. Faculty status: These individuals generally do not perform traditional faculty duties but are accorded faculty status because of their close association with the academic process.

3. Short-term appointments: These individuals include visiting faculty and those employed for a relatively brief and specified period of time.

4. Special appointments: These individuals are appointed on special terms by mutual agreement.

The provisions of this Tenure Policy Statement are only applicable to faculty with tenure or with probationary appointments and are thus not applicable to the above four categories unless otherwise agreed in writing.


V. PERIOD OF PROBATIONARY APPOINTMENTS AND TIME FOR TENURE REVIEW

A. Probationary appointments may be for one year, or for other stated periods, subject to renewal at the option of the University. The total period of service in a particular school within the University in a probationary appointment prior to attaining tenure shall not exceed seven years of service, except as
provided in section VI.C. (This period of employment is stated herein solely to specify the maximum period of probation to tenure and does not obligate the University to employ any person for the full term of such period.) A "year of service" means full-time teaching for a complete academic year. For
faculty members whose full-time appointment does not begin with the fall term, their first year of service for purposes of tenure review shall commence with the following fall term. Ordinarily there is no early tenure unless the faculty member has previous service elsewhere at a comparable professional
level. In situations involving such prior service, the prospective faculty member and the University may agree in writing at the time of appointment on the length of the probationary period and the time of tenure review.

B. Written notice that a probationary appointment is not to be renewed shall be given to the faculty member in accordance with X hereof. No later than thirty calendar days following such notification, the faculty member may file a written grievance in accordance with XIII hereof contesting the nonrenewal.

C. A faculty member employed with the rank of “Instructor” must achieve the rank of “Assistant Professor” no later than the beginning of the fifth year of service to be eligible to apply for tenure.

D. Faculty will normally apply to be reviewed for tenure during the sixth year of service in a probationary appointment in a school within the University. (Faculty members who are on probationary tenure track and under a fifth year review policy on the date this Tenure Policy Statement is adopted may elect to be reviewed for tenure appointment during the fifth year of service, in which event if tenure is not granted, the sixth year will be the terminal year.)

In the event of failure to apply for tenure or if tenure is not granted, the seventh year will be the terminal year of service. Tenure review, however, may be deferred to the seventh year if, prior to making recommendation with respect to the granting of tenure, the school tenure committee or the Dean recommends deferment and the faculty member and the Chief Academic Officer concur. In any event, the seventh year will be the terminal year if tenure is not granted, except as provided in section VI.C.

E. A faculty member with the rank of Professor, Associate Professor or Assistant Professor may request in writing that the school tenure committee and the Dean of the school conduct a tenure review earlier than normally scheduled. The faculty member will set forth the case for early review. If the school tenure committee and the Dean recommend early review and the Chief Academic Officer concurs, early review will be granted. If the early review request is granted, the faculty member does not receive tenure, and no additional review is allowed, then the year following the early review will be
the terminal year. If however, the school tenure committee or the Dean recommends and the Chief Academic Officer concurs, one additional review will be allowed in accordance with V, D above.

F. If an individual employed in one school within the University is subsequently employed in another school within the University, such previous service shall normally not be counted toward the achievement of tenure, and a new probationary period will begin.


VI. TENURE AND TENURE REVIEW

A. In extremely rare cases, tenure may be granted concomitantly with an initial appointment.

B. Faculty with probationary appointments will be reviewed in the following manner in consideration for tenure:


1. School Tenure Committee: The first review shall be by the tenure committee of the faculty member’s school in accordance with this Tenure Policy Statement and any applicable written procedures of that school. In keeping with the principle that tenure is granted in a particular school, the recommendation of the school tenure committee shall be considered the substantive faculty evaluation of the candidate for tenure. In the event that a school tenure committee, after consideration of the candidate’s application, fails to make a positive recommendation on the application, the failure to make a positive recommendation shall be treated as a recommendation that the candidate should not be granted tenure.

2. Dean of the School: The second review shall be an evaluation of the candidate’s qualification for tenure by the Dean of the school in accordance with this Tenure Policy Statement and any applicable written procedures of the school.

3. If both the school tenure committee and the Dean conclude that tenure should not be granted, tenure shall be denied and the candidate shall be promptly notified of such decision in writing. The candidate may appeal this decision as provided in VI, B, 7 below.

4. University Tenure Committee: If the school tenure committee and/or the Dean concludes that tenure should be granted, the matter shall be referred to the University Tenure Committee for a third review. This review shall be in accordance with this Tenure Policy Statement and
any applicable written procedures of that Committee. As part of this review the Committee shall determine that procedural and substantive rules and criteria for tenure are being consistently applied across the University within the context of the varied academic and professional
programs.

a. If the University Tenure Committee concludes that tenure should be granted, the matter shall be referred to the administration of the University.

b. If the University Tenure Committee concludes that tenure should not be granted and one of the two first reviews recommended that tenure not be granted, tenure shall be denied and the candidate shall promptly be notified of such decision in writing. The candidate may appeal this decision as provided in VI, B, 7 below.

c. If the University Tenure Committee concludes that tenure should not be granted and both of the two first reviews recommended that tenure be granted, the matter shall be
referred to the administration of the University.

5. University Administration: The administration shall for this purpose be defined by the President, but will always include the President and the Chief Academic Officer. If the administration of the University concludes that tenure should be granted, such recommendation shall be communicated to the Board of Regents of the University. If the
administration of the University concludes that tenure should not be granted, tenure shall be denied and the candidate shall be promptly notified of such decision in writing. In the event of such a decision to deny tenure, the candidate may appeal such decision as provided in VI, B, 7 below.

6. Board of Regents: The authority to grant tenure rests solely in the Board of Regents of the University. Its decision not to grant tenure is not subject to grievance or other appeal within the University. Review by the Board includes review and recommendation by both the Academic Affairs Committee and the Religious Standards Committee of the Board.

7. No later than thirty calendar days following notification of a nonrecommendation of tenure other than by the Board of Regents, the candidate may file a written grievance in accordance with XIII hereof contesting the denial of tenure.

C. If warranted by the circumstances, the dean may, with the concurrence of the Chief Academic Officer, extend the candidate’s probationary period by up to one year of service and concomitantly extend the terminal year of service beyond the person’s seventh year of service. Circumstances that may warrant an extension consist of the following:

1. The existence of a pending investigation of the candidate, the outcome of which may materially affect the consideration of the candidate’s tenure application; or

2. The candidate becomes a parent, by birth or adoption, during the probationary period of employment.

a. The dean (with the concurrence of the Chief Academic Officer) may grant an extension under this subpart provided that (i) The dean received a request from the candidate within one year of the arrival of the child; (ii) The candidate confirms that he or
she has childcare responsibilities for the child; and (iii) In the event of adoption, the child is five years of age or younger at the time of the adoption.

b. In the event that both parents are full-time probationary tenuretrack faculty members, only one person may obtain an extension of time under this provision. The maximum
extension of time shall be one year, without regard to the number of children born to or adopted by the candidate.

c. The request for an extension must be submitted to the dean in writing prior to the beginning of the academic year in which the candidate is required to submit his or her application for tenure.

d. Candidates who are granted additional time under this provision shall be reviewed for tenure under the same standard that is applied to other candidates without consideration of the extension of the person’s probationary period.


D. All faculty with tenure will be subject to a thorough review of performance every five years by the tenure committees of the schools. This review will serve to identify areas of strengths and weaknesses of faculty performance and to identify means to improve that performance.


VII. DISMISSAL FOR CAUSE

A. Other than as provided in VIII hereof, dismissal of a faculty member with tenure, or with a probationary appointment before the end of the specified contract term, may only be for adequate cause. Adequate cause for a dismissal must be related, directly and substantially, to the fitness of the faculty member in a professional capacity as an educator, to a situation of serious neglect of duty, incompetence, gross misconduct, moral turpitude, or to a clear demonstration of a consistent pattern of disregard for the policies, the Christian values or the mission of the University.

B. Dismissal for cause of a faculty member with tenure, or with a probationary appointment before the end of the specified contract term, will be preceded by:

1. Discussions between the faculty member and the appropriate University administrator looking toward a mutual resolution of concerns. In these discussions, the University, at its discretion, may offer the faculty member the option of resigning in lieu of a dismissal hearing.

2. Informal inquiry by the school’s tenure committee, or a subcommittee specially appointed by it which may, failing to effect an adjustment, determine whether in its opinion dismissal proceedings should be undertaken without its option being binding upon the University.

3. Notice of intent to dismiss, delivered to the faculty member by serving it personally or by mailing it by means of United States certified mail to the faculty member’s last known address, which shall inform the faculty member that employment will be terminated on a date not less than thirty calendar days from the date of personal delivery or mailing. The notice of intent shall also include a statement of reasons for dismissal, drawn with reasonable specificity by the Chief Academic Officer or the Chief Academic Officer’s designee.

C. Unless a faculty member who has been served with a notice of intent to dismiss exercises the right to grieve the decision to dismiss under XIII hereof by filing a written grievance within thirty calendar days of the date on which the notice is delivered or mailed, the dismissal shall become effective on the date specified in the notice of intent to dismiss without further notice or action required on the part of the University.

D. If a faculty member gives timely notice of intent to grieve the decision to dismiss, the dismissal shall be postponed pending completion of the grievance procedure. The faculty member, however, may be suspended from duties without loss of pay or assigned other duties in lieu of suspension if, in
the judgment of the Chief Academic Officer continued service results in immediate harm to the faculty member, others or the University.


VIII. TERMINATION FOR REASONS OTHER THAN CAUSE

A. Financial Exigency

1. Termination of an appointment with tenure, or of a probationary appointment before the end of the specified contract term, may occur because of a bona fide financial exigency, i.e., an imminent financial crisis which threatens the economic stability of a school and which cannot be alleviated by less drastic means. The capital assets of the University need not be depleted prior to declaring a situation of financial exigency.

2. A representative faculty body shall be consulted in the process of making the decision that a condition of financial exigency exists or is imminent and that all reasonable alternatives to termination of appointments have been pursued. This body shall consist of up to five faculty members from each of the schools within the University who are to be selected by the faculties of the respective schools.

3. Judgments determining where, within the overall academic program, termination of appointments may occur involve considerations of mission, as set forth in the Mission Statement, and educational policy as well as of faculty rank. The faculty shall have the opportunity to make recommendations in these matters, including recommendations to help determine the criteria for identifying the individuals whose appointments are to be terminated. These criteria may appropriately include length of service and total contribution to the University. The decision shall be made by the administration of the University.

4. The Case of a faculty member given notice of proposed termination of appointment due to financial exigency will be governed by the following procedure.

a. The notice of proposed termination of appointment due to financial exigency shall be delivered in person or mailed by means of United States certified mail to the faculty member’s last known address and shall inform the faculty member of the right under XIII hereof to file a written grievance within thirty calendar days of the date on which the notice is delivered or mailed.

b. The issues which may be addressed in any such grievance are limited to the following:

(i) The existence and extent of the condition of financial exigency. The findings of a faculty committee in a previous proceeding involving the same issue may be
introduced. The administration shall have the responsibility of providing facts that establish the existence and extent of the condition.

(ii) The validity of the educational judgments and the criteria for identification for termination; but any criteria established as a result of consultation with the faculty body on these matters shall be given great weight.

(iii) Whether the criteria are being properly applied in the individual case.

5. If the University terminates appointments because of financial exigency, it shall not at the same time make new appointments except in circumstances where a distortion in the academic program would otherwise result. The appointment of a faculty member with tenure
shall not be terminated in favor of retaining a faculty member without tenure within the same school except in circumstances where a distortion of the academic program would otherwise result.

6. Before terminating an appointment because of financial exigency, the University administration, with faculty consultation, shall make reasonable efforts to place the faculty member concerned in another suitable position within the University. If the placement is not in the same field of specialization and at the same school, tenure will terminate, but tenure may thereafter be obtained on the basis of service in the new appointment upon meeting the normal requirements for tenure. In no way should the academic quality of the University or any of its programs be compromised by offering tenured faculty appointments in fields of specialization in which faculty members are not well qualified.

7. In all cases of termination of appointment because of financial exigency, the position of the faculty member concerned shall not be filled by a replacement within a period of three years unless the released faculty member has been offered reinstatement and a reasonable time in which to accept or decline it.


B. Discontinuance or Reduction of Program or Department

1. Termination of an appointment with tenure may occur as a result of bona fide formal discontinuance or reduction of a program or department of instruction. No showing of financial exigency is required. The following standards and procedures shall apply.

a. The decision to discontinue a program or department of instruction shall be based upon educational considerations, as determined by the administration after consultation with a representative faculty body (as defined in VIII, A, 2), upon factors related to the mission of the University, or upon financial considerations where enrollment declines are seen as more than temporary in nature, and the University cannot reasonably continue to support such program or department without producing a significant negative impact on other programs or departments. The decision must reflect long-range judgments that the educational mission of the University as a whole will be enhanced by the  discontinuance.

b. Before the University issues notice to a tenured faculty member of its intention to terminate an appointment because of formal discontinuance of a program or department of instruction, the University shall make reasonable efforts to place the faculty member concerned in another suitable position. If the placement is not in the same field of specialization and at the same school, tenure will terminate, but tenure may thereafter be obtained on the basis of service in the new appointment upon meeting the normal requirements for tenure. In no way should the academic quality of the University or any of its programs be compromised by offering tenured faculty appointments in fields of specialization in which they are not well qualified.

c. If no suitable position is available within the University, the faculty member’s appointment may then be terminated. A notice of termination resulting from a discontinuance or reduction shall be delivered in person or mailed by means of United States certified mail to the faculty member’s last known address and shall inform the faculty members of the right under XIII hereof to file a written grievance within thirty calendar days of the date on which the notice is delivered or mailed. The issues in connection with such a grievance shall be limited to the University’s failure to satisfy any of the conditions specified in VIII, B, hereof.

d. If the University terminates an appointment because of a reduction of a program or department, the appointment of a faculty member with tenure shall not be terminated in favor of the appointment or retention of a faculty member without tenure within the same program or department except in circumstances where a distortion of the academic program would otherwise result.

e. In all cases of termination of appointment because of discontinuance or reduction of a program or department, the position of the faculty member concerned shall not be reinstated and filled by a replacement within a period of three years unless the released faculty member has been offered reinstatement and a reasonable time in which to accept or decline it.

C. Medical Reason

Termination of an appointment with tenure, or of a probationary appointment before the end of the specified contract term, for medical reasons must be based upon clear and convincing evidence that the faculty member cannot continue to fulfill the terms and conditions of appointment. The decision to terminate may be reached only after there has been appropriate consultation with medical personnel and after the faculty member concerned, or someone representing the faculty member, has been informed of the basis of the proposed action and has been afforded an opportunity to present the faculty member’s position. If the faculty member so requests, the evidence will be reviewed by the appropriate school tenure committee before a final decision is made. Notice of termination shall be delivered in person or mailed by United States certified mail to the faculty member’s last known address and shall inform the faculty member of the right under XIII hereof to file a written grievance within thirty calendar days of the date on which the notice is delivered or mailed.

D. Retirement

By mutual agreement between the University and a faculty member, faculty members may receive additional teaching appointments not to exceed one year at a time following retirement. In the event no further appointments are made, no notice of intention not to make additional appointments shall be required. Tenure may not be retained by faculty members who are retired even though they continue to teach.


IX. PROCEDURES FOR IMPOSITION OF SANCTIONS OTHER THAN DISMISSAL

A. If the University believes that the conduct of a faculty member, although not constituting adequate cause for dismissal, is sufficiently grave to justify imposition of a severe sanction, such as suspension from service for a stated period, the University may institute a proceeding to impose such a severe sanction. The procedures outlined in VII hereof relating to dismissal for cause shall govern the  proceeding.

B. If the University believes that the conduct of a faculty member justifies imposition of a minor sanction, such as a reprimand, it shall notify the faculty member of the basis for the proposed sanction and provide an opportunity for the faculty member to respond prior to imposition of the proposed sanction.


X. NOTICE

A. If a probationary appointment is not renewed other than for failure to achieve tenure or pursuant to VII or VIII hereof, the faculty member will receive notice in accordance with the following schedule:

1. Appointments that coincide with the academic year:

a. Notice shall be given by March 1 of the first year of probationary service.

b. Notice shall be given by December 15 of the second or later year of probationary service.

2. Appointments that do not coincide with the academic year:

a. If a faculty member in the first year of probationary service has a contract with a beginning date other than the first day of August or September, the probationary faculty member shall receive notice of nonrenewal at least three months before the expiration of the contract.

b. If a faculty member in the second or later year of probationary service has a contract with a beginning date other than the first day of August or September, notice of non-renewal shall be given at least six months prior to the expiration of the contract.

B. In the case of termination for reason of financial exigency of a faculty member with tenure or on probationary appointment, the notification dates described above do not apply. However, as much notice as practicable shall be given, but in no event shall it be less than thirty days.


XI. ACADEMIC FREEDOM

The University realizes that academic freedom and economic security are essential for acquiring and maintaining a strong faculty. The faculty member must enjoy that freedom characteristic of the best in higher education as it has developed in Western culture. A faculty member, while recognizing a special responsibility to the University as a contributing scholar, requires freedom of discussion in the classroom and freedom of professional research and publication of results. Dedicated to the free pursuit of truth, a faculty member should consider it a basic duty to encourage freedom of inquiry in peers and in students. While abiding by and supporting the policies, ideals, and procedures of the University, the faculty member has the right of peacefully seeking revision of policies. Free inquiry and the pursuit of truth are indispensable conditions for the attainment of the goals of any university. A faculty member, while enjoying academic freedom, shares responsibility with the administration for the preservation of this freedom. Therefore, a faculty member is free in the quest for truth within a broad but intricate framework of responsibility to colleagues and students as sharers in this quest, to the University with its ideals and purposes, and to society with its basic mores and morals.


XII. ADMINISTRATIVE PERSONNEL

This Tenure Policy Statement applies to administrative personnel who hold an academic rank of Instructor or above but only in their capacity as probationary or tenured faculty members.


XIII. GRIEVANCE PROCEDURE

A. PURPOSE

The purpose of the grievance procedure is to provide a full opportunity for the resolution of grievances of faculty with tenure or probationary appointments concerning academic freedom, tenure, promotion and other issues.

B. GRIEVANCE COMMITTEE

Annually the faculty of each school shall elect three faculty members from their respective schools to serve on the University Grievance Committee. Each elected member shall continue as a member of the committee until a successor has been elected.

C. GRIEVANCE COMMITTEE SECRETARY

The Chief Academic Officer shall designate an individual who is not a member of the Grievance Committee to serve as Secretary to the Committee.  The Secretary shall:

1. Coordinate the selection of hearing panels.

2. Be present at all hearing panel meetings except those in which a hearing panel is engaged in deliberations.

3. Provide assistance as needed, including the scheduling of meetings and the maintenance of minutes and other official records of the proceedings.

D. INITIATING A GRIEVANCE PROCEEDING

Before initiating a formal grievance, a faculty member should discuss the matter in dispute with the appropriate University administrator looking toward a mutual resolution of concerns. If a resolution does not result and the faculty member is satisfied that there is proper cause for grievance, a written grievance may be submitted to the Secretary of the Grievance Committee.  The grievance shall specify the problem at issue, the procedure or norm violated, and the relief sought. The Secretary shall cause a copy of the grievance to be transmitted to the University’s Chief Academic Officer. The Chief Academic Officer shall designate a University administrator to represent the University in responding to the grievance.

E. CONFIDENTIALTY OF PROCEEDINGS

Members and the Secretary of the Grievance Committee may not discuss, outside of the formal process, cases that are pending, being heard or have been resolved. Public statements concerning a grievance by the faculty member, University or witnesses should be avoided.

F. SELECTION OF A HEARING PANEL

Within seven calendar days of the filing of the written complaint, the Chief Academic Officer shall furnish the faculty member with a list of six or more members of the Grievance Committee. At least one of the six members of the Grievance Committee shall be from the school of the grieving faculty member. Within seven calendar days of the date on which this list is submitted to the faculty member, the faculty member shall designate three persons from the list to serve as the Hearing Panel. The faculty member shall also identify two alternates from the list to serve as members of the Panel in the event that a person selected by the faculty member is unavailable to serve.  If an individual on the list is involved in the complaint or should be disqualified for bias or interest, that person shall remove himself/herself from consideration. The members of the Hearing Panel shall select one of their number to serve as chairperson.

G. SCHEDULING OF HEARING

As soon as the Hearing Panel has been selected, the Secretary of the Grievance Committee shall notify the University’s Chief Academic Officer.  In consultation with the faculty member, the University’s representative, and the members of the Hearing Panel, the University’s Chief Academic Officer shall set the date, time and place of the hearing, giving at least fourteen calendar-days written notice. The Hearing Panel shall have the authority, where it deems appropriate and in consultation with such persons, to adjourn and continue a hearing until a future date.

H. ACADEMIC ADVISOR AND/OR LEGAL COUNSEL

In connection with any grievance hearing conducted under these procedures, the faculty member shall be permitted to have present another faculty member and/or legal counsel to serve as an advisor. The University’s representative may be assisted by legal counsel. If a faculty member or the University intends to be assisted by legal counsel, written notice of this
intention must be given to the other party at least five calendar days in advance of the hearing. The role of an advisor or legal counsel in connection with proceedings conducted under these policies is that of an advisor. The faculty member and the University’s representative will be expected to speak for themselves. Therefore, an advisor or legal counsel for the faculty member or the University shall only address the Hearing Panel when requested to do so by the Hearing Panel.

I. REVIEW PROCEDURES FOR DISMISSAL OF A TENURED FACULTY MEMBER OR A FACULTY  MEMBER WITH A PROBATIONARY APPOINTMENT PRIOR TO THE END OF THE CONTRACT  TERM:

1. The Hearing Panel shall hold a formal hearing to consider the allegations made in the complaint.

2. In advance of the formal hearing, the Hearing Panel may hold a joint pre-hearing meeting with the faculty member and University’s representative in order to (a) simplify the issues; (b) effect stipulations of facts; (c) provide for the exchange of documentary or other information; and (d) achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective and expeditious. The University will, insofar as possible, secure the cooperation of witnesses and make available necessary documents and other evidence within its control.

3. The faculty member and the University’s representative, and their advisors or legal counsel, shall have the opportunity to be present during all argument and presentation of evidence.

4. The hearing and pre-hearing conferences will be closed unless the faculty member and the University agree otherwise.

5. The Hearing Panel shall determine the order of proof and, where appropriate, exclude irrelevant or unduly repetitious evidence or argument. Technical rules of evidence shall not  apply.

6. The faculty member and University’s representative shall have the right, within reasonable limits, to propound questions to all witnesses who testify orally and, where possible, to address questions in writing to those who do not testify orally. Where unusual or compelling reasons move the Hearing Panel to withhold this right, or where witnesses cannot or will not appear, but the Hearing Panel concludes that circumstances warrant admission of their statements, such statements may be considered by the Hearing Panel provided that the identity of any witness and his or her statement is fully disclosed to the faculty member and the University representative. The weight, if any, to be accorded to such statements shall be determined by the Hearing Panel.

7. A record, ordinarily in the form of a tape recording of the hearing, will be made.

8. The burden of persuading the Hearing Panel that adequate cause for dismissal exists, rests upon the University and shall be satisfied by a preponderance of evidence in the record  considered as a whole.

9. At the completion of the hearing, the Hearing Panel shall prepare a written advisory report consisting of findings, conclusions and recommendations and submit it to the President of the University with copies to the faculty member and University’s representative. The Hearing Panel shall also forward to the President any written material or other items that it considered in connection with the review process as well as the record of the hearing. Such items shall be retained by the University for at least one year from the date that the President issues a decision, after which they may be destroyed at the discretion of the University. At any time before such items are destroyed, copies shall be made available to the faculty member upon request and payment of the reasonable expense of copying.

10. Either the report of the Hearing Panel will be sustained by the President or the proceeding will be returned by the President to the Hearing Panel with specific objections. In the event that the President returns the proceeding to the Hearing Panel with objections, the Hearing Panel will then reconsider its report, taking into account the stated objections and receiving new evidence if necessary. The President will make a final decision after study of the Hearing Panel’s reconsideration. Prior to taking any actions hereunder, the President may discuss the findings, conclusions and recommendations with the Hearing Panel, the faculty member or any other person. The President shall submit a decision in writing to the members of the Hearing Panel, the faculty member, and the appropriate University representative. The decision of the President shall be final.

J. REVIEW PROCEDURES FOR MATTERS OTHER THAN DISMISSAL OF A TENURED FACULTY  MEMBER OR A FACULTY MEMBER WITH A PROBATIONARY APPOINTMENT PRIOR TO THE  END OF THE CONTRACT TERM:

1. The Hearing Panel shall meet in closed session.

2. The faculty member and University representative shall be provided with an opportunity to meet with the Hearing Panel. As it deems appropriate, the Hearing Panel shall interview other persons and will consider written materials and other items pertinent to the grievance.

3. The burden of persuading the Hearing Panel that the actions or decisions of the University were not proper rests upon the faculty member and shall be satisfied by a preponderance of the evidence in the record considered as a whole.

4. The Hearing Panel shall not substitute its judgment on the substantive merits of any action or decision for that of faculty committees or administrators who are charged under this policy or other University policies with taking such an action or making such a decision. Rather, the Hearing Panel shall confine itself to determine whether the action or decision was materially affected by a failure to follow applicable procedures.


5. At the completion of its review, the Hearing Panel shall prepare a written advisory report consisting of findings, conclusions and recommendations and submit it to the President of the University or the President’s designee(s) with copies to the faculty member and the University’s representative. The Hearing Panel shall also forward to the President or the President’s designee(s) copies of any written material or items that it considered in connection with the review process. Such items shall be retained by the University for at least one year from the date that the President or the President’s designee(s) issues a decision, after which they may be destroyed at the discretion of the University. At any time before such items are destroyed, copies shall be made available to the faculty member upon request and payment of the expense of copying.

6. The President or the President’s designee(s) shall consider the report of the Hearing Panel and take whatever actions are deemed appropriate.  Prior to taking such actions, the President or the President’s designee(s) may discuss the report with the members of the Hearing Panel, the faculty member or any other person. The President or the President’s designee(s) shall submit a decision in writing to the members of the Hearing Panel, the faculty member and the appropriate University representative. The decision of the President or the President’s designee(s) shall be final.


XIV. MODIFICATION

This Tenure Policy Statement has been adopted by the Board of Regents of the University that retains the right of final decision in all matters included in this document.

For a copy of the Tenure Policy Statement of Pepperdine University, please go to http://www.pepperdine.edu/about/administration/provost/content/TenurePolicy.pdf.





 

APPENDIX 9.8.  CHARTER FOR THE CREATION OF A UNIVERSITY FACULTY COUNCIL
(Final Version - Charter - University Faculty Council - March 26, 2001)
(Included since 2010)

The University Faculty Committee recommends to the faculties of the various schools of Pepperdine University and to the university administration that the following Charter for a University Faculty Council be approved and put into effect:

A. Creation and Composition of the UFC

1. There shall be a University Faculty Council (“UFC”), consisting of members of the faculty, who will be voting members, and of the President and Provost of the University, who will be nonvoting, ex officio members. The faculty of each school of Pepperdine University (acting pursuant to procedures adopted by each school's faculty) shall elect the voting members of the UFC promptly after approval of this Charter and then ensure that UFC positions remain filled so that the UFC can function properly. The number elected by each school’s faculty shall be as follows:

Seaver College

4

The Graziadio School of Business and Management

3

The Graduate School of Education and Psychology

2

The School of Law

2

The School of Public Policy

1


Each school’s faculty shall have the power to decide (pursuant to procedures adopted by each school’s faculty) (1) whether to elect one or more alternates to attend UFC meetings in the event a regular member cannot attend, (2) the length of service of the UFC members elected by the school’s faculty, (3) whether members may serve multiple terms, (4) grounds and procedures for removal and replacement of its elected UFC members, and (5) other similar matters relating to its elected UFC members.

B. Presiding Officers and Scheduling of Meetings

2. At the beginning of each academic year, the voting members of the UFC shall elect one of their number to be chair of the UFC and another of their number to be vice-chair. A simple majority vote of the voting members present will be required to elect the chair and separately to elect the vice-chair. Eight voting members shall constitute a quorum for purposes of election of the chair and vice-chair. The chair and vice-chair shall be from different schools. The vice-chair will act in all respects in place of the chair if the chair is unavailable or unable to act. The UFC ordinarily will meet two or three times during the Fall semester, and two or three times during the Spring semester. The chair will be responsible for scheduling and calling the meetings each semester. The chair may in his or her discretion schedule and call additional meetings. The chair must promptly schedule and call a meeting on written request of six voting members of the UFC. The chair and vice-chair each shall serve until his or her successor is elected or until he or she is removed from the position of chair or vice-chair by the affirmative vote of at least 8
voting members of the UFC. A recording secretary also shall be selected to record and distribute the minutes of each UFC meeting.

C. Purposes and Manner of Conducting Meetings

3. The primary purpose of the UFC is to establish a formal relationship between and among the faculties of the five schools of the University and the University administration. UFC meetings ordinarily will consist of discussion of issues of university-wide concern suggested by the voting and nonvoting members of the UFC. The UFC should avoid discussion of issues that concern the internal affairs of any school except on request of one or more of that
school’s faculty members who are members of the UFC. (Internal affairs of a school are defined as any matter whose principal effect is solely upon the faculty members, staff, or students of a specific school. Examples of internal affairs include but are not limited to topics such as faculty's teaching loads and salaries, whether or not such matters are raised for direct discussion or for purposes of comparison with other Pepperdine schools.) UFC
meetings will serve to:

a. provide a channel for communication between faculty and university administration (or other constituencies of the university);

b. provide a channel for the university administration to consult with the faculty;

c. provide a channel for information and concerns to be communicated effectively between and among the university administration and the faculties of the various schools; and

d. exercise decision-making powers developed through a process of consensus among the faculty body, the university administration, and the faculties of the schools.

When necessary, the UFC may create committees to study specific issues of universitywide concern and to report back to the UFC. In addition, the individual members of the UFC may serve in a liaison role to the President and Provost on behalf of their respective faculties. However, this shall not be construed to limit the ability of the President and Provost to communicate directly with the faculties or of faculty members who are not members of the UFC to communicate directly with the President and Provost.

4. It shall be an important duty and responsibility of all members of the UFC, both voting and nonvoting, to attend the meetings of the UFC. For the sake of continuity in discussion, regular voting members rather than alternates should attend. (Nevertheless, where an alternate attends in place of a regular voting member, the alternate shall be
considered a full voting member of the UFC.) The chair may schedule and call special "executive session" meetings for only the voting members of the UFC. In addition, at any time during a meeting the voting members of the UFC by simple majority vote may choose to go into an "executive session" attended only by the voting members for a
portion of or for all of the remainder of the meeting.

5. The UFC shall determine how decision-making will be exercised. This may be accomplished by simple majority vote of voting members of the UFC, by more than a simple majority, by consensus, or through some other process. If a member of the UFC determines that a formal resolution is required, or the UFC identifies the need for such, a
member may submit to the chair or to the vice-chair a request that the UFC vote to adopt a resolution. The request shall include the proposed resolution. Upon receipt of such a request, the chair shall place the proposed resolution on the UFC agenda. If the chair is the member who submits the request, then the vice-chair will act in place of the chair and place the resolution on the agenda.

6. When such a proposed resolution is placed on the UFC agenda, the chair shall send a copy of the proposed resolution to each member of the UFC as reasonably requested by the member. No vote may be held on such a resolution until at least 72 hours after the resolution is sent to each member. No meeting at which a vote on such a resolution is taken may be held on less than 72 hours notice (by means reasonably requested by each member) of the date, time and place of the meeting. A proposed resolution will be adopted by the UFC only on the affirmative vote of at least 9 voting members of the UFC. No voting by proxy will be permitted, but where a member or members (and their alternates, if any) are unable to attend in person a meeting at which a vote is to be taken, every effort should be made to permit the member or members (or their alternates) to attend and to vote telephonically (by conference call if necessary and with a speaker phone in the meeting room). Each faculty member on the UFC is entitled to vote (including chair and vice-chair), even if the faculty member is presiding over the meeting. The hours of midnight to midnight on any weekend day or university holiday shall not count toward the 72 hours required by various provisions of this paragraph 6 and the following paragraph 7.

7. A proposed resolution may be amended by the affirmative vote of seven voting members of the UFC. If the amended resolution differs in any substantial way from the original proposed resolution or on request of four or more voting members, 72 hours’ notice of the amended resolution and of the date, time and place at which the meeting will reconvene for voting must be given, as provided in paragraph 6.

8. No resolution may be adopted by the UFC dealing with the internal affairs of a school, unless that school’s faculty (voting under procedures adopted by that school’s faculty) requests the UFC to consider adopting such a resolution.

9. Due to the communicative function of the UFC, its discussions will not generally be considered confidential. University administrators may, however, identify particular information given by them at UFC meetings as confidential. In the event a formal resolution is adopted by the UFC, the contents of the resolution shall not be considered confidential except to the extent, if any, that the resolution provides for confidentiality.

D. Initial Faculty Membership of the UFC

10. Faculty members chosen to serve on the existing University Faculty Committee for 2000- 2001 shall serve as members of the University Faculty Council until their school elects faculty members to serve on the University Faculty Council. The UFC may begin to function before each school has elected all of the faculty members which it is entitled to elect. During this interim period, UFC representation for each school will be limited in accordance with the member allocation described in paragraph 1 of the Charter.

E. Sunset Clause

11. The UFC shall cease to exist as of September 1, 2005, unless, prior to that date, the faculties of at least four schools approve resolutions (under procedures adopted by the faculty of each school) calling for it to continue. Such resolutions may contain new sunset dates. If at least four schools’ faculties authorize continuance of the UFC past
September 1, 2005, then the new sunset date (if any) will be set as follows:

a. If four schools’ resolutions calling for continuation of the UFC authorize its continuance without a new sunset date, then there will be no new sunset date.

b. Otherwise, the approving resolutions adopted as of September 1, 2005 will be ranked from longest to shortest based on how long they would permit the UFC to continue (with resolutions lacking a sunset date being ranked as the longest). The new sunset date will be the date included in the fourth resolution (the resolution calling for the fourth longest period of continuance). The provisions of this paragraph 11 will then apply to the new sunset date just as they applied to the initial September 1, 2005 sunset date.

The faculties of the schools may terminate the UFC at any time without regard to any sunset date as provided in paragraph 12 of this Charter.

F. Termination by Vote of Faculties

12. The faculties of the schools may vote at any time (under procedures adopted by the faculties of each school) to terminate the UFC. The UFC will terminate on the date on which a majority of the schools shall have adopted (and not rescinded) faculty resolutions calling for its termination.

G. Amendment of Charter of UFC

13. Amendments to the Charter that define or alter the decision making powers of the UFC shall go into effect upon approval by the faculties of all five schools (under procedures adopted by the faculties of each school) and by the President of the University. Amendments to the Charter that pertain solely to the procedures followed in conducting
UFC business will not require Presidential approval and shall go into effect upon approval by the faculties of all five schools (under procedures adopted by the faculties of each school).

H. Approvals Necessary for Charter to Go into Effect

14. This Charter shall go into effect upon approval by the faculties of all five schools (under procedures adopted by the faculty of each school) and by the President of the University.  Recommended for adoption to the various schools of the University and to the University administration on April 14, 2000 by the existing University Faculty Committee. Revised by the University Faculty Committee on March 2, 2001 and March 7, 2001. Approved by the
University Faculty Committee for review by President Benton on March 13, 2001.  Recommended for adoption to the various schools of the University and to the University administration on March 26, 2001 by the 2001 University Faculty Committee.




 

APPENDIX 9.9.  APPLICATION FOR AWARDING PROCESS FOR A
ONE COURSE RELEASE FOR TENURED FACULTY MEMBERS
(Included since 2010)


A. Eligible Candidates

• Any tenured Seaver faculty member currently teaching the equivalent of a 3/3 load is eligible to apply for a one course release.

• Tenured Seaver faculty members currently holding a distinguished professor position or an endowed chair position are automatically granted a one course release. No application is necessary while the faculty member holds the above designation. (This involves approximately ten individuals).

B. Application Process and Timeline

• The eligible faculty member will submit a one or two page (no more than two pages) document outlining the project that will be undertaken if a 3/2 teaching load is granted; the project document must include expected outcomes of the project. The candidate will also provide a curriculum vitae with the project proposal.

• The types (not exhaustive) of projects envisioned are:

o Scholarly activity – a paper presentation at a professional conference, student related research, published article or book, exhibition, performance, or grant proposal.

o New course / program development – development of a new course not currently in the Seaver catalogue (developed in conjunction with the need of GE, the major, or division) or development of a new pedagogy that would result in a presentation or publication.

• The criteria used to evaluate projects will largely mirror the criteria used for the evaluation of sabbatical proposals and current Seaver research grants: merit and significance of the proposal; likelihood of completion; benefit to the division and/or the college; current contributions of the faculty member to the division and the college.

• In the first round of awards

o Eligible applicants will submit the proposal and curriculum vitae by March 15, to the Seaver Dean’s Office.

o The Awards committee will review materials and determine recipients by April 1, 2010; recipients will be notified immediately thereafter.

• In subsequent rounds of awards

o Eligible applicants will submit the proposal and curriculum vitae by October 15 of the year preceding the award.

o The Awards committee will review materials and determine recipients by November 1 of year preceding the award.

• In subsequent rounds successful recipients will also provide a brief statement documenting the outcomes of previous course reduction awards.

C. Awards Committee

• The committee awarding the one course release will be comprised of the Seaver Dean, Seaver Associate Dean, Seaver Assistant Dean for Research, and Division Chairs.

D. Implementation

• Since these awards are funded with non-base dollars, course releases will be awarded on an annual basis.

• In the initial implementation, approximately half of the course releases will be awarded, allowing Division chairs to address course staffing needs in a timely manner. Beginning with the Fall 2010 application process, all funded course releases will be awarded.

• Whether the two-course load is taken in the fall or spring semester, will be determined by Divisional needs.