FACULTY REGULATIONS 

18.  Appeal Procedures for Recommendations or Final Action involving Non‑Renewal, Non‑Promotion or Denial of Tenure for Tenure Track Appointments

 

If a faculty member has a grievance with respect to a recommendation or final action regarding non‑renewal, non‑promotion, or denial of tenure for a tenure track appointment, the following procedures apply:

 

a.                If a faculty member disagrees with the recommendation of a teaching unit the library rank and tenure committee, department chair or division director or administrative head, the faculty member should place a written statement in his/her file for action responding to the recommendation.  The faculty member should be given one week to provide this written response before the file is forwarded to the dean university librarian.

 

b.               If a faculty member disagrees with the recommendation of a school/college dean the university librarian, the faculty member should place a written statement in his/her file‑for‑action responding to the recommendation. The faculty member should be given one week to provide this written response before the file is forwarded to the Committee on Faculty Relations.

 

c.         If a faculty member disagrees with the recommendation of the Committee on Faculty Relations, the faculty member should place a written statement in his/her file‑for‑action responding to the recommendation.  The faculty member should be given one week to provide this written response before the file is forwarded to the dean of academic affairs.

 

d.               If a faculty member disagrees with the final action of the provost or dean of academic  affairs, the faculty member may appeal to the Committee on Faculty Grievances, which will present its findings to the president.  The request for an appeal must take place within three weeks of the decision by the provost or dean of academic affairs.  A faculty member may file an appeal for the following reasons:  1) improper procedure in handling of the grievance which adversely affected the faculty member, and 2) new, relevant, and material evidence unavailable to the faculty member at the time of the original submission which may tend to change the final outcome . The review will be based on the original file for action and the faculty member's written appeal.  After receiving the report of the Committee on Faculty Grievances, the president may meet with the faculty member or other persons if the president considers it necessary.  The president will approve, reject, or amend the Provost's decision.  The president must state the grounds for his action in writing to the grievant, the Committee on Faculty Grievances, and the provost. The president's decision is final. 

 

19.  Disciplinary Procedures  

    a.  Scope

 

Unfortunately, from time to time, a faculty member may be disciplined for incompetence, misconduct, or conviction of a felony.  Disciplinary sanctions may include, but are not limited to reprimand, suspension, or dismissal.  The University may terminate an appointment with continuous tenure, or of a probationary or special appointment before the end of the specified term, for adequate cause shown.  Adequate cause for dismissal will be related, directly and substantially, to the fitness or performance of the faculty member in his/her professional capacity as a teacher or researcher librarian, teacher, researcher, or creative member of his/her professional field.

 

    b.  Concurrent Grievance Proceedings

 

Where there is a concurrent or pending related grievance action, the disciplinary action will be consolidated with the grievance action and both the disciplinary and grievance actions will be heard together by the Hearing Panel (section 19eii).  The disciplinary procedures will govern the handling of both the grievance and the disciplinary matter in these situations.

 

    c.  Timeline

 

Each step in the informal and formal resolution process should be taken in a timely fashion, generally not to exceed three weeks, except when the University is not in Fall and Spring sessions.

 

    d.  Informal Procedures

 

Where the University proposes to discipline a faculty member, the faculty member must be notified of the charges by the appropriate dean of the college/school university librarian and be given an opportunity to respond.  Should informal discussion between the faculty member and appropriate dean fail to produce a mutual settlement, that dean the university librarian shall request the Committee on Faculty Relations to seek informal resolution of the matter.  The dean university librarian shall provide the faculty member with a copy of the request.  Should informal discussion with the Committee on Faculty Relations fail to reach a resolution, the dean university librarian may request a formal hearing before the Faculty Hearing Committee.

 

    e.  Procedures for Hearings Before the Faculty Hearing Committee for Termination with Cause and Other Major Sanctions

 

i. Filing of Statement of Charges.  The dean of the college/school university librarian will inform the provost, who will then submit a formal statement of charges, framed with reasonable particularity, to the Faculty Hearing Committee.

 

ii. Hearing Panel.  A matter forwarded to the Faculty Hearing Committee for formal hearing shall be heard by a panel consisting of five members of the Hearing Committee selected at random by lot.  The panel will select one of its members to serve as chair. Members deeming themselves disqualified for bias or conflict of interest will remove themselves from the case, either at the request of a party or on their own initiative.  Each party will have a maximum of two challenges without stated cause.  The Faculty Hearing Committee will replace any member so disqualified in the same manner as the original selection process.

 

When a hearing panel considers a disciplinary matter or receives a grievance, it has the prerogative to attempt informal resolution before proceeding to formal hearings. If the hearing panel cannot resolve the matter informally, then it will schedule a formal hearing.  The following general hearing provisions will apply:

 

a.  The hearing panel may modify these procedures if necessary for the fair and expeditious administration of these proceedings.

 

b.  The hearing panel shall conduct a pre‑hearing session with the parties to simplify the issues, effect stipulations of facts, provide for the exchange of documentary or other information, and achieve such other appropriate pre‑hearing objectives as will make the hearing fair, effective, and expeditious.

                        c.  The chair of the hearing panel shall notify all concerned parties of the time and place of the hearing.  Notice of the hearing must be in writing and made at least three week prior to the hearing.

 

d.  Extensions of time, or rescheduling requests by parties may be granted by the chair for good cause.

 

e.  At the minimum, there must be a quorum of the hearing panel for a hearing to proceed.  A quorum of the hearing panel ordinarily means a majority of the members.  In a disciplinary matter, a full hearing panel must hear the case.

 

f.  All hearings are closed to the public.  The grievant or accused faculty member may request that the hearing be public.  Ordinarily, the hearing panel will honor such requests unless there are overriding interests to have the hearing closed. (e.g., to protect the identity of a sexual harassment victim).  Even in a public hearing, the hearing panel may limit the number of observers based on the physical limitations of the hearing room.  The hearing panel, at its sole discretion, may also remove observers or participants in the hearing who are disruptive to the process.

 

`           g.  The panel may invite persons from within or without the University to give testimony relevant to the matter, and either party to the matter may request that the panel invite such persons.  University personnel will make every effort to cooperate with the panel in securing witnesses and making available documentary and other evidence.  The parties shall have the right to cross‑examine all witnesses.

 

h.  The accused faculty member may receive assistance of counsel of her/his choosing and at his/her cost.

 

i.  The hearing panel should be provided with independent counsel.  The Office of the University Counsel shall be responsible for providing such counsel.

 

j.  The hearing panel is not bound by strict rules of legal evidence, and may admit any evidence which is relevant and material.

 

k.  A complete and verbatim record of the hearing will be kept.  At the conclusion of the hearing, the full record, together with any documents or other materials which have been introduced during the hearing will be made available to either party for copying at the requesting party's cost.  These parties may file written closing statements, based on the record, with the chair of the hearing panel. Copies of any closing statements received will be transmitted by the chair to the other principals, and the chair will accept rebuttals to the closing statements during a specified period of time determined by the hearing panel.

 

l. After an opportunity has been given to the parties concerned to review the record of the hearing, to submit closing statements, and to make rebuttals to the closing statements of others, the hearing panel will deliberate in closed session and prepare its report.

 

m. The decision of the hearing panel will be by majority vote and will be forwarded as recommendations to the president.  The chair of the hearing panel will also deliver copies of its report to the faculty member and the provost.

 

n. The president may approve, reject, or amend such findings and recommendations.  The president may also remand the report to the hearing panel with specific instructions for reconsideration.  The hearing panel shall then review the matter in light of such  instructions, holding additional hearings and receiving new evidence and testimony, as necessary, and rendering a decision in the same manner as before.  Only after study of the reconsidered decision of the hearing panel may the president make a final decision.  The president must state the grounds for his/her action in writing to the hearing panel and the faculty member. The president's decision is final in all cases, except as provided for below.

 

o. Before, during, and after any hearings, all persons directly or indirectly involved in the case are requested not to discuss the matter at issue or to express any opinions about it.  If it appears desirable that any public statement be made about the case prior to the completion of its work, such a statement should be made only by the chair and should be limited to what the Committee has authorized him/her to say.

 

p. The final record of the case will be retained by the Office of the Provost for four calendar years.

 

q. The faculty member may be suspended by the provost or assigned to other duties during the pendency of the case.  Suspension will be used in cases where the University deems that there is potential immediate harm to others if the faculty member continues in his/her current duties.

 

r.  The accused faculty member may waive the hearing or respond to the specific charges in writing at any time before the hearing.  In the event the faculty member waives the hearing, but denies the charges or asserts that the charges do not support a finding for the disciplinary action, the panel will decide its case based on the evidence in the record.

 

s.  If the accused faculty member fails to appear at the hearing, the hearing will proceed in her/his absence.

 

t.  If the provost or designee fails to appear at the hearing without good cause, the case will be dismissed with prejudice.  For this purpose, only circumstances beyond the provost's or designee's control which prevented his/her attendance at the hearing will constitute good cause.  The hearing panel will decide its case based on the evidence in the record.

 

u.  The burden of proof that adequate cause for dismissal exists rests with the University and shall be satisfied only by clear and convincing evidence in the record as a whole.

 

 

  f.  Appeal Procedures for Dismissal Actions

 

A faculty member may appeal a disciplinary dismissal action to the Executive Committee of the Board of Trustees (Executive Committee) only for the following reasons: 1) improper procedure in the handling of the disciplinary process which adversely affected the faculty member; 2) new, relevant, and material evidence unavailable to the faculty member at the time of the original hearing which may tend to change the outcome of the hearing; or 3) the disciplinary action is not commensurate with the findings of the hearing panel or president.  The appeal will be reviewed by the Executive Committee and the review will be based on the record and the faculty member's written appeal.  The Executive Committee may meet with the faculty member or other persons if it considers it necessary.  The Executive Committee may approve, reject, or amend such findings and recommendations.  The Executive Committee must state the grounds for its action in writing to the panel, president, and faculty member.  The Executive Committee's decision is final.  

 

  g. Procedures for Imposition of Sanctions other than Dismissal

 

If the provost believes that the conduct of a faculty member, although not constituting adequate cause for dismissal, is sufficiently grave to justify imposition of a major sanction, such as suspension from service for a stated period, the provost may institute a proceeding to impose such a major sanction pursuant to the procedures outlined in Section 19e of this Manual.

 

If the provost believes that the conduct of a faculty member justifies the imposition of a minor sanction, such as a reprimand, the provost shall notify the faculty member of the basis of the proposed sanction and provide him/her with an opportunity to persuade the provost that the proposed sanction should not be imposed.  A faculty member who believes that a minor sanction has been incorrectly imposed under this paragraph may petition the Committee on Faculty Grievances for such action as may be appropriate.

 

   h. Terminal Salary or Notice

 

If the appointment is terminated, the faculty member will receive salary or notice in accordance with the following schedule: at least three months, if the final decision is reached by January 31 (or three months prior to the expiration) of the first year of probationary service; at least six months, if the decision is reached by December 15 of the second year (or after nine months but prior to eighteen months) of probationary service; at least one year, if the decision is reached after eighteen months of probationary service or if the faculty member has tenure.  This provision for terminal notice or salary need not apply in the event that there has been a finding that the conduct justifying dismissal involved conviction of a felony.