12.
Appointment with Tenure
a.
In General
A
faculty member with tenure may continue in the
rank to which he/she has been appointed with
tenure, or at a higher rank, until retirement,
unless the University finds it necessary after
due process to invoke its right to terminate
the association at an earlier date. Termination
will be based upon proof of adequate cause for
dismissal, and will be related directly and
substantially to the fitness or performance
of the faculty member in his/her professional
capacity as a teacher, librarian, researcher, or creative member of
his/her professional field.
If,
for reasons of financial exigency of a program
in which a tenured faculty member is teaching
or serving
the termination of a tenured appointment is
proposed, such termination shall be considered
only as a last resort after every effort has
been made to meet the need in some other way,
and to find for the faculty member a suitable
assignment in the University.
b.
Eligibility for Tenure
Tenure
is not acquired merely by successive reappointment
over a specified period of time. The granting
of tenure is a positive judgment based on the
process set forth in Section 7 of this Manual.
For a positive tenure decision, a faculty member
must have demonstrated high quality in effectiveness in carrying out primary responsibilities
and creative, scholarly, and professional activities.
There must also be evidence of the ability to
continue significant growth in these areas and
continue to make positive contributions to the
University community.
i.
Minimum Rank
To
be eligible for an appointment with tenure,
a faculty member must have attained the rank
of assistant librarian,
or higher. Normally, the requirements for a
positive tenure decision would be equivalent
to the qualifications for the rank of associate
librarian, or higher.
ii.
Years of Service: Full-Time Faculty
To
be eligible for tenure, a full-time faculty
member must have six years of full-time teaching or libraryservice
at the rank of assistant librarian
or above, at least four of which
must be completed at American University, consistent
with the waiver of prior service provisions
described in iii.
A
faculty member with a new appointment who has
been previously tenured or who was eligible
to be considered for tenure at another institution
may, in exceptional cases, be appointed with
tenure after following appropriate University
procedures as described in section 7.
iii.
Waiver of Prior Service
At
the time of an initial tenure track appointment,
a faculty member may be granted credit by the
University for prior service. All years of
prior service at American University may be waived.
If the service was at another institution,
up to two years of prior service may be credited
towards tenure accrual.
Until
the faculty member submits his/her first File
for Action for reappointment to the University,
a faculty member may waive such credit towards
tenure, subject to notification through the
established faculty action process. The waiver
must be in writing and filed with the dean of
academic affairs. Thereafter, time credited
toward tenure may not be waived, even at the
request of the faculty member, except in the
most unusual of circumstances.
c.
Leaves and Accrued Time for Tenure
Certain
types of leave do not count as accrued time
for tenure. Eligibility for these leaves is
described in section 15.
Leave
Without Pay. A leave without pay is not
included either in accrual of service for sabbatical
eligibility or as part of pre-tenure service,
unless there is advance written agreement to
the contrary by the dean of academic affairs,
in consultation with the individuals and committees
ordinarily involved in recommending faculty
personnel decisions. Normally, if a leave without
pay is granted in the sixth year of pre-tenure
service, the tenure review will go forward and
the time accrues towards tenure. Periods of
partial leave without salary stop the tenure
clock on a proportional basis. These arrangements
and related conditions must have the prior written
approval of the dean of academic affairs.
Research
Leave. A Research Leave normally carries
with it accrual of eligibility for tenure and
promotions in rank, but not for sabbaticals.
Faculty members have the right to waive this
accrual, if they specify this waiver as part
of their application for Research Leave. Normally,
if the Research Leave is granted in the sixth
year of pre-tenure service, the tenure review
will go forward and the time accrues towards
tenure.
Parental
Delay. A faculty member who is the primary
care-giver for a newly born or newly adopted
child may postpone tenure consideration for
up to one year even if no leave from the University
has been taken.
The
maximum number of years of delay will be two
years, and this will include all other types
of leaves.
d.
Prohibition Against a Concurrent Tenured or
Full-Time Appointment at Another Higher Education
Institution
Regular
faculty members who are teaching or
serving full time at the university may
not during the term of their appointment hold
a tenured or full-time position on the faculty
of another higher education institution.
13.
Professional Obligations
The
University expects that during the terms of
their contracts faculty members will devote
themselves to library service,
scholarship, professional
activities, and University
service in a fashion that is demonstrably full-time
by any reasonable standard.
Library
faculty members may accept paid positions as
adjunct teaching faculty outside the normal
work-week with prior approval of the provost
and the university librarian.
a.
Teaching or Primary Responsibilities
In
the course of providing library service to the
University community, library faculty members
are encouraged to assume new projects and additional
responsibilities which will broaden the scope
of their positions. Such new opportunities
should be undertaken with due regard for the
research and service obligations incumbent upon
library faculty.
The
University recognizes the diverse roles assumed
by individual faculty members and encourages
teaching units and
the library to develop
procedures for determining faculty obligations.
Such procedures will be used to assure that
parity of faculty assignments is achieved within
each unit. Deans and department chairs, and library administrative heads, within
the framework of these general policies, will
make such adjustments upward or downward as
are necessary in individual assignments, based
on the faculty member's actual contributions
to and involvement in research or other University
programs, and based on the total mission of
the library.
b.
Overload Teaching or Library Service
The
University discourages overload teaching or library service assignments, with or without compensation,
throughout
the contractual year. Such assignments
might seriously impair the faculty member's
ability to meet the criteria outlined in Sections
10 through 12 of this Manual. The approval
of overload assignments must be justified on
an emergency basis or in terms of the library’s mission and requires
written approval of the faculty member's
administrative
head, university
librarian, and dean of academic affairs.
It is recommended that the above-mentioned concern
be conveyed to the faculty member at the time
of approval.
14.
Voting Faculty
In
University-wide affairs, voting members of the
University faculty include all full-time faculty
members and faculty emeriti/ae with the rank
of Instructor or above. A faculty member on
leave of absence from the University retains
voting rights.
In
college, school, and departmental affairs, the
voting members include all full-time faculty
and emeriti/ae whose principal appointment is
with the teaching unit or library.
Full-time visiting faculty may vote in college,
school, and departmental affairs at the discretion
of the unit, but may not vote in University-wide
elections. A faculty member having a joint
appointment will have voting privileges in the
affairs of one unit which shall be considered
the unit of that faculty member's principal
appointment. The faculty member may participate
in the internal affairs of the other unit or
units in which an appointment is held only at
the discretion of the unit.
15.
Leaves of Absence
a. Justification for Leave
The
University endeavors, to the extent possible and
practicable, to allow full-time members of the
faculty to be released temporarily from their
assigned duties for such activities as
-
study in institutions of higher learning for
the purpose of completing requirements for a
higher degree or for post-doctoral study;
- esearch,
writing, scholarly, and creative activities;
- teaching
or
library service as a visiting
member of the faculty of another college or
university;
-
service in government and other public or private
agencies, if such service is clearly related
to the assignment or research interests of the
faculty member;
- military
service and essential national defense activities;
-
recuperation of health;
-
temporary residence in another area when a spouse's
or domestic partner's employment and consequent
family considerations require that a faculty
member accompany his/her family;
- family
and medical leave
-
annual leave
Generally,
leave requests must be supported with appropriate
documentation demonstrating why the request
should be granted. A leave of absence is
granted on a case-by-case basis and must
depend on the ability of the unit concerned
to organize the unit's work to permit the
leave without significant additional expense
to the University and without detriment
to the unit's programs. Faculty members
with administrative assignments at all levels
must understand that their absence on any
type of leave may affect the on-going operations
of the University so adversely that otherwise
laudable requests for leave may have to
be denied on administrative grounds. All
leaves and the related terms must have the
prior written approval of the dean of academic
affairs.
b.
Limitations and Conditions
The
University cannot permit any member of the
full-time faculty to be away from his/her
duties on any type of leave (or combination
of types of leave) for more than two successive
years at a time, except in the cases of
serious illness or required active military
service. Ordinarily, a faculty member who
chooses to extend a leave beyond two years
will forfeit his/her position at the University,
even if he/she has not submitted a formal
letter of resignation.
When
a leave of absence is granted, a Full-time
Faculty Contract will set forth the precise
terms of the leave. The faculty member's
name and position will continue to appear
in faculty listings printed in catalogs
and other official publications during the
period of his/her leave of absence.
c.
Types of Leave
A
leave of absence may be designated in one
of the following ways: leave without pay;
leave with partial pay (which is so designated);
research leave; sabbatical leave; annual leave; sick leave;
family and medical leave; or terminal leave.
i.
Leave Without Pay
A
full-time faculty member who has completed
at least one contractualyear of service may apply for complete
or partial leave of absence without pay
by written request to the university librarian
describing in detail the purposes and duration
of the leave and the activities in which
the faculty member will be engaged. Leave
without pay applications, and extensions
should be submitted by the established deadline
and will be processed in the same manner
as all faculty personnel actions. If a
grant application is unresolved by the deadline
for requesting leave without pay, the dean
of academic affairs will accept a statement
from a faculty member of intent to apply
for leave if the grant is forthcoming.
The statement of intent must be filed by
the announced deadline.
The
University does not make contributions to
employee benefit programs of a faculty member
on leave without pay. However, the faculty
member may continue group insurance benefits
by paying the full cost. Retirement plan
contributions cannot be made on a tax-deferred
basis for a faculty member for whom no salary
is being paid by the University. The Office
of Human Resources contacts each faculty
member who is beginning a leave without
pay to notify the individual of the options
available. Tuition privileges will be continued,
but only in those cases where faculty members
certify their intention to return to the
University after the leave has terminated.
Any exceptions to this general policy must
be clearly expressed in writing and approved
by the dean of academic affairs.
A
leave without pay is not included either
in accrual of service for sabbatical eligibility
or as part of pre-tenure service, unless
written approval is obtained from the provost
prior to the leave. The provost will grant
or deny approval, or grant approval of specific
conditions, based on his/her determination
of the best interests of the University.
ii.
Research Leave
Faculty
members are sometimes presented with a significant
scholarly, creative, or professional development
opportunity funded by a prestigious award
or other notable source outside the University.
In such cases, they may be eligible to apply
for a research leave. A faculty member
on research leave shall be paid by the University
a stipend equal to ten percent of the faculty
member's pre-research leave base salary.
The faculty member must sign the statement
of intent to return to the University after
the leave has terminated must accompany
the application.
An
application for a research leave requires
a substantial demonstration of scholarly
merit, prestigious recognition, and timeliness.
In addition to the review and approval by
the university librarian, applications for research
leaves require review and approval from
the Committee on Faculty Relations before
submission to the provost for final action.
A
research leave carries with it accrual of
eligibility for promotions in rank, but
not for sabbaticals. A research leave normally
accrues as part of pre-tenure service consistent
with the provisions in section 12.c above.
Exceptions must be approved in advance by
the dean of academic affairs. During the
period of a research leave, the University
will continue its contribution to the faculty
member's retirement program and other employee
benefits, subject to contributions from
the faculty member on research leave. FICA,
federal, and state taxes are applicable
to certain of the University payments and
privileges provided for in this section.
iii.
Sabbatical Leave
A
full-time tenured member of the library
faculty who has served the University for
a period during which six years of full-time
faculty service has accrued, excluding periods during which the
faculty member is on any other approved
types of leave of absence for which there
is no accrual of eligibility for sabbatical
leave, is eligible for sabbatical leave.
Once a member of the Washington Semester
Program faculty has served three years on
a multi-year contract (See Section 8), he/she
is eligible for sabbatical leave under the
same terms and conditions as tenured faculty.
After the first sabbatical, a member of
the Washington Semester Program faculty
will be eligible for sabbatical leave on
the same timetable as tenured faculty.
A library faculty member may
apply for sabbatical leave by addressing
a written request to the university librarian
and by completing the Application for Leave
of Absence. The application must outline
in detail an educational program which the
applicant agrees to follow. This program
must be approved by the appropriate departmental,
school, or college committee, and the responsible
academic officers as feasible and consistent
with the applicant's professional
responsibilities.
Sabbatical
leave is not granted for the purpose of
taking remunerative employment of any sort,
without specific justification of such employment
as an educational endeavor and approval
by the University
Library Rank and Tenure Committee,
the university librarian, Committee on
Faculty Relations, and the dean of academic
affairs.
A
sabbatical leave is granted to libraryfaculty
for either five or ten months.
A faculty member will be paid his/her full
budgeted salaryduring a sabbatical leave
of five months or one-half of the budgeted salary
during a sabbatical leave of ten months.
While on sabbatical leave, the faculty member
accrues time towards promotion.
In
unusual cases, a sabbatical leave may be
authorized for two summers for faculty members
appointed for service on a twelve-month
basis. The faculty member on such a sabbatical
leave receives his/her usual budgeted salary
during two summers and the leave is recorded
as a sabbatical leave for one academic session.
Such leave is in
addition to earned annual leave.
The two-summer sabbatical leave is authorized
primarily for the benefit of persons with
administrative duties which make it difficult
to release them for purposes of their own
research and study during the fall and spring
sessions.
The
fact that a faculty member has fulfilled
the stated requirements for a sabbatical
leave or that the applicant is strongly
supported does not guarantee that the leave
can be scheduled at the time preferred by
the applicant. The needs of the University
as well as budgetary and administrative
considerations are important factors in
the final determination.
A
sabbatical leave cannot be extended beyond
the period for which it was originally granted.
A faculty member on sabbatical leave who
wishes to extend his/her leave may, however,
apply for leave without pay. If that is
granted, the faculty member will be subject
to all conditions governing such leaves.
Faculty
members who accept a grant of sabbatical
leave are obligated not only to pursue the
educational program for which the leave
was granted but also to continue in the
service of the University for at least one
academic year following the leave period,
unless other arrangements are agreed to
by the University.
After
completing a sabbatical leave, a faculty
member will not be eligible for another
sabbatical leave until he/she has completed
another period of six successive years of
full-time service, excluding the periods
of leave for which there is no accrual of
eligibility for sabbatical leave, and after
the faculty member has made application
in the usual way. An exception may be made
in the case of a faculty member who has
been requested to defer a sabbatical leave
for the convenience of the University.
Such a faculty member may be considered
for another leave after the expiration of
a period of years following the deferred
leave calculated by subtracting from six
years the number of years by which the sabbatical
leave was deferred (excluding other types
of leave for which there is no accrual of
eligibility for sabbatical leave).
In
order to define clearly the University's
position and to protect the interests of
faculty members who are asked to defer a
sabbatical leave, the provost must approve
and confirm agreements for deferral of sabbatical
leave for the convenience of the University.
Requests should be directed to the provost
with documentation, including a statement
of the sabbatical leave project of the faculty
member and a statement by the university librarian of the reason for
deferral.
Regardless
of the total number of years of service,
faculty members who elect not to take
sabbatical
leaves are at no time entitled to other
types of leaves or payments in lieu thereof.
iv.
Annual Leave
A library faculty member earns twenty-one days (day
is equivalent to 7 hours) of leave with
pay during each year of service. Leaves
must be approved in advance, and they must
be taken when they will not interfere with
the ongoing work of the function unit.
After
five years of continuous service as a library
faculty member at the American University,
annual leave is earned at the rate of twenty-four
days of leave with pay during each year
of service.
Annual
leave is not accrued while a library faculty
member is on Leave Without Pay or Short-Term
Disability.
v. Sick
Leave
A
library faculty member accrues sick leave
at the rate of twelve days per year. (Library
faculty members appointed prior to July
1, 1976 do not accrue sick leave.)
vi.
Family and Medical Leaves
Please refer to the Faculty/Staff
Benefits Manual for details on this
type of leave.
vii.
Terminal Leave
Terminal
leave may be provided through agreement
between the faculty member and the University
or granted as a recognition of service in
exceptional circumstances. Whether pay
is continued during terminal leave will
depend upon the circumstances in which the
leave is granted. Exceptionally meritorious
faculty who have served the University for
a relatively long period of time may be
granted terminal leave with pay during the
regular academic semester immediately preceding
retirement in anticipation of that retirement
as an expression of the University's gratitude
for past service.
Eligibility
for participation in the retirement plan is limited
to members of the full-time faculty and staff
who are at least 24 years old and have completed
one year of full-time service at the University
or at another 501 (c) institution. Participation
in the retirement program is optional.
The
University will assist individual faculty members
who wish to retire. Guidelines for the University's
retirement incentive policy are reviewed annually
by the Committee on Instructional Budget and Benefits
and forwarded to the provost for consideration
and action. Once approved, the guidelines are
distributed to all members of the full-time faculty.
The Committee on Instructional Budget and Benefits
is empowered to recommend minor adjustments in
the policy; substantive changes, however, must
have the approval of the full Faculty Senate,
the provost and the president. Retirees who meet
years-in-service requirements will also be eligible
for the Benefit Extension Plan set forth in the
Faculty/Staff Benefits Manual.
Tenured
full-time faculty are eligible to apply for phased
retirement, which is an appointment with a reduced
load, with proportionally adjusted sabbatical
leave and other benefits for a fixed period prior
to retirement. The dean of academic affairs is
the administrator of the Retirement Incentive
and Phased Retirement programs.
a. Scope
In
the event that a faculty member may have a grievance
against the University or another member of the
faculty, it is hoped that such differences can
be resolved informally. However, it may become
necessary for a faculty member to take formal
steps to attempt to resolve the grievance. This
section addresses the procedures that a faculty
member should use for cases other than non-renewal,
non-promotion, or denial of tenure for tenure
track appointments.
While
baseless complaints are not to be encouraged,
neither should a faculty member be prevented from
pursuing a grievance if he/she so chooses. No
individual will be penalized, disciplined, or
prejudiced for exercising the right to make a
complaint or for aiding another individual in
the presentation of that complaint. Persons obstructing
this grievance process may be disciplined up to
and including dismissal.
b. Timeline
Each
step outlined below should be taken in a timely
fashion, generally not to exceed three weeks,
except when the University is not in fall and
spring sessions.
c. Informal Resolution
Ordinarily,
faculty members should try to resolve grievances
through discussions with the responsible administrative
officer or colleague. For example, if a faculty
member has a grievance with respect to the library’s
action, the faculty member should attempt
to resolve the matter through discussions with
the administrative
head. If it is the library’s
action, the faculty member should discuss the
matter with the universitylibrarian.
The administrative officer may then consult with
the other individuals or groups involved in the
matter. If the grievance cannot be resolved with
the responsible administrative officer, the faculty
member should then proceed upward through the
chain of authority. If the grievance remains
unresolved, then the aculty member may seek assistance
from the Committee on Faculty Relations. If these
informal means do not result in an agreement,
then the faculty member may file a grievance with
the Committee on Faculty Equity and Grievances.
d. Handling of Grievances by the Committee on
Faculty Equity and Grievances
i. Filing of Grievance
When
a faculty member has exhausted the informal resolution
process as set forth above, the grievant may file
a formal written grievance. The formal written
grievance should consist of the grievant's written
statement and relief sought, all documents and
decisions made during the informal resolution
process, the name and telephone number of the
grievant, and a preliminary list of individuals
who may be relevant to the formal hearing process.
The date of receipt of the formal written grievance
by the chair of the Committee on Faculty Equity
and Grievances establishes the "grievance
date.” The Committee chair should note the grievance
date for all parties. When presented with a grievance,
the Committee on Faculty Equity and Grievances
may seek an informal resolution before proceeding
to formal hearings. When the Committee decides
that a formal hearing is to be held, the procedure
set forth below will be implemented:
ii.
Hearing Process
a.
A date for the formal hearing will be established
by the chair and all persons directly concerned.
The Committee will make available to persons
directly concerned all materials in the Committee
chair's file on the grievance. All persons directly
concerned will be advised of the time and place
at which the hearing is to be held.b.
Extensions of time or rescheduling may be granted
by the chair for good cause provided that the
extension shall be added to the grievance date
in calculating any subsequent due dates established
for this process.
c. If the grievant fails to appear at
the hearing without good cause, the case will
be dismissed with prejudice. For this purpose,
only circumstances beyond the grievant's control
which prevented his/her attendance at the hearing
will constitute good cause.
d.
If the responding party fails to appear at the
hearing, the case will proceed in his/her absence.
e.
Any party to the grievance under consideration
will be given an opportunity to be heard by the
full Committee on Faculty Equity and Grievances.
The faculty member may have with them at all times
a counsel of his/her own choosing. The Committee
may invite other persons from within or without
the University to give testimony relevant to the
case, and either party to the grievance may request
that the Committee invite such persons.
f. 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
the parties principally concerned. These parties
may file written closing statements, based on
a study of the record, with the chair of the Committee
on Faculty Equity and Grievances. Copies of any
closing tatements received will be transmitted
by the chair to the Committee and to the other
principals, and the chair will accept rebuttals
to the closing statements during a specified period
of time. Any Party to the grievance may file
a closing statement with the chair.
g.
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 Committee
on Faculty Equity and Grievances will deliberate
in executive session and prepare its report.
h. The Committee will deliver a copy of
its final grievance report to the provost and
to the parties, and to no other persons.
i.
Before, during, and after any hearings by the
Committee on Faculty Equity and Grievances, 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 release of
the Committee's Final Grievance Report, such a
statement should be made only by the Chair and
should be limited to what the Committee has authorized
him/her to say.
j.
Upon receipt of the report, the provost will issue
a statement to the Committee on Faculty Equity
and Grievances and to the parties indicating the
action which will be taken by the University,
and, if the action is at variance with the Committee's
recommendation, the reasons for such action.
k.
In any grievance or charge of violation of due
process against the provost, he/she will recuse
himself/herself, and the Committee on Faculty
Equity and Grievances will deliver its final grievance
report, after formal hearings, to the president
and the parties, and to no other persons. Similarly,
when the provost has been substantially involved
in negotiations to resolve a grievance, he/she
will recuse himself/herself if the case still
requires a formal hearing, and the Committee on
Faculty Equity and Grievances will deliver its
report to the president and to the parties. The
president shall issue a statement to the Committee
on Faculty Equity and Grievances, to the parties,
and to the provost indicating the action which
will be taken by the University, and, if the action
is at variance with the Committee's recommendations,
the reasons for such action.
l.
The final record of the grievance, including the
formal grievance, the transcript or recording,
and documentary evidence, final or rebuttal statements
of the parties, the final grievance report and
the provost's or president's statement will be
retained by the Office of the Provost for four
(4) calendar years from the grievance date.
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 the library rank and tenure committee, 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 university librarian.
b.
If a faculty member disagrees with the recommendation
of 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 Equity and Grievances, which present its
findings to the president. 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 Equity
and 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 Equity and 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 Equity
and 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 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 university
librarian and be given an
opportunity to respond. Should informal discussion
between the faculty member and the university librarian fail to produce a mutual settlement, the universitylibrarian
shall request the Committee on Faculty Relations
to seek informal resolution of the matter. The
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 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
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 General
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.
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