Full-Time Faculty Handbook - 12. University Faculty Discipline Policy
General Principles
In general, all faculty members have an obligation to comply with the policies and procedures of the university and its schools, colleges, and departments. These policies and procedures protect the rights and freedoms of all members of the academic community. In particular, all faculty members are obligated to live up to high standards of professional conduct and integrity. A number of university policies are relevant to faculty conduct and bear directly on academic or ethical concerns that must be of central importance to all institutions of higher education. It is the responsibility of the faculty member to consult university policies directly for a full understanding of the concerns that give rise to each policy and the intended scope of their application.
Disciplinary action may follow when a faculty member engages in conduct unbecoming of a member of the faculty, such as any action that interferes with the regular operations of the university or the rights of others, any serious violation of the law, or any other conduct prejudicial to teaching or research at the university or to its welfare.
Alleged violations of university policy may give rise to disciplinary proceedings in accordance with the procedural guidelines of the specific policy. For policies that do not contain procedural guidelines, the procedures contained herein apply.
Disciplinary Procedures
A. General Procedures Applicable to All Disciplinary Proceedings
Filing a Complaint
Any dean or officer of the university, any member of the faculty or staff, or any student may file a complaint against a member of the faculty for conduct prohibited by the policies of the university or its schools, colleges, and departments. Notwithstanding the right of any member of the university community to file a complaint, charges that seek to suspend, demote, or dismiss a member of the full-time faculty for a fixed period of time without pay must be initiated by a dean, after consultation with the provost.
Where to File a Complaint
The complaint shall be filed with the dean of the faculty member’s school; a complaint against a dean shall be filed with the provost. A complaint against a faculty member who has a joint appointment must be filed with the dean of that faculty member’s primary unit. Questions regarding primary units should be directed to the Provost’s Office.
When to File a Complaint
Complaints must be filed within 30 working days of when an alleged violation is known or reasonably should have been known. For the purpose of determining this and other periods of time in these procedures, “working days” exclude Saturdays, Sundays, university holidays, and the period between commencement and Labor Day.
Informal Resolution at School Level
When a complaint is filed, an effort shall be made to resolve the matter informally under the direction of the dean of the faculty member’s home unit at the departmental level of that school. When the matter cannot be resolved informally, disciplinary proceedings shall proceed.
Penalties
Penalties for violation of policies and procedures of the university or its schools, colleges, and departments shall include reprimand, censure, revocation of privileges, suspension, demotion, and termination.
Temporary suspension pending the outcome of any disciplinary committee proceeding is an extraordinary remedy. However, nothing in this statement shall be interpreted as precluding such action by the provost, or the dean of the school or college, with the agreement of the president, if there is a concern that continued presence of that faculty member threatens substantial harm to themselves, others in the university community, or the welfare of the university. Unless legal considerations forbid it, any such suspension shall be with full base pay. At any time during the pendency of a disciplinary committee process, the president may impose, modify, or lift a suspension in the interest of substantial justice or the welfare of the university.
B. Specific Procedures
Visiting Faculty and Faculty on Term Appointments
Discipline of visiting faculty and faculty on term appointments shall be handled at the college/school level using the following procedure.
Hearing Committee
Where the faculty member is not a member of the full-time faculty, the dean shall refer the matter with all pertinent information to an ad hoc committee consisting of five members who are selected from among the full-time faculty to hear the matter. In the case of faculty with joint appointments, the committee shall also have representation from the collaborating unit in which the faculty member holds their secondary appointment. The dean shall appoint the chair of the committee.
Procedures and Authority of the Hearing Committee and Dean
The special hearing committee shall make findings of facts, determine whether the charges are substantiated by clear and convincing evidence, and, if any charges are substantiated, recommend to the dean the imposition of an appropriate penalty from those provided in this policy. Recommendations for discipline must be supported by a majority vote. The dean may accept, reject, or modify the recommendations of the committee. If the dean chooses not to follow the recommendation of the committee, they shall explain their reasons to the committee.
Appeal
Within ten working days of the issuance of the dean’s decision, a faculty member may appeal the decision of the dean in writing to the provost. Grounds for an appeal shall be limited to a claim that the decision was not supported by substantial evidence in the record taken as a whole, a claim that the discipline imposed is disproportionate to the alleged violation, or a claim that a violation of procedure occurred. In deciding the appeal, the provost may affirm or reverse the decision of the dean, may remand the case for a new or further investigation by the same or a different committee, or may increase or decrease the sanction(s) imposed in the interests of substantial justice and/or the best interest of the university. The provost shall issue a final decision within ten working days of their receipt of the appeal.
Full-time Faculty
Discipline of full-time faculty shall be handled at the college/school level using the following procedure.
Reprimand, Censure, or Removal of Privileges
Hearing Committee for Full-time Faculty
In instances where the dean or, if applicable, the provost, receives a complaint and in their sole discretion determines that the complaint, if proven, would not merit suspension for a fixed period of time without pay, demotion, or discharge of that faculty member, the dean shall appoint a special committee consisting of five principal faculty members to review and resolve the complaint (see section on Suspension, Demotion, or Termination for Cause of Full-Time Faculty, below). In the case of faculty with joint appointments, the committee shall also have representation from the collaborating unit in which the faculty member holds their secondary appointment. Similarly, in a case involving a full-time faculty with tenure or extended employment, the committee should consist only of faculty with tenure or extended employment. In the event the college or school does not have enough members holding tenure/extended employment to serve, the dean shall ask the provost to appoint additional tenured/extended-employment faculty members from other colleges/schools of the university to serve on the school/college committee. The dean shall appoint the chair of the committee.
Procedures for the Special Hearing Committee
The special committee shall make findings of fact, determine whether the charges are substantiated by clear and convincing evidence, and, if any of the charges are substantiated, have the authority to impose, by majority vote and after consultation with the dean, an appropriate discipline set forth in this policy, except for suspension without pay for a fixed period of time, demotion, or termination.
Appeal
A faculty member may appeal the decision of the special hearing committee. A written appeal shall be submitted to the provost within ten working days of the decision of the committee. Grounds for an appeal shall be limited to a claim that the decision was not supported by substantial evidence in the record taken as a whole, a claim that the discipline imposed is disproportionate to the alleged violation, or a claim that a violation of procedure occurred. In deciding the appeal, the provost may affirm or reverse the decision of the hearing committee, may remand the case for a new or further investigation by the same or a different committee, or may increase or decrease the sanction imposed as the interests of substantial justice appear to them to require. The provost will issue a final decision within ten working days of receipt of the appeal.
Suspension, Demotion, or Termination for Cause of Full-Time Faculty
Initiation of Process and Notice to the Faculty
Charges seeking discipline that may result in suspension, demotion, or termination arise in instances where the dean or, if applicable, the provost receives a complaint and in their sole discretion determines that the complaint, if proven, would merit such sanction. The provost, or the dean following consultation with the provost, shall initiate the process to suspend without pay, demote, or dismiss a principal faculty member by preparing a written statement of the grounds that place in question the fitness of the faculty member (“the charges”).
The formal proceeding shall begin with a letter addressed to the faculty member by the provost, setting forth the charges, the proposed discipline, and the right of the faculty member to request a hearing before the University Faculty Discipline Committee (see section on composition and charge of committee, University Faculty Disciplinary Committee, below).
If the faculty member waives the right to a hearing or fails to respond within seven days of their receipt of the charges, the charges will be deemed substantiated, and the provost shall determine the appropriate sanction(s) and notify the faculty member in writing of the sanction(s) within 21 working days of the faculty member’s receipt of the initial charges.
If the faculty member elects to have a hearing, they must notify the provost of such request within seven days of the faculty member’s receipt of the charges. The provost shall ask them to answer the statements in the provost's letter in writing not less than one week before the date set for the hearing. The date of the hearing shall be set to allow the faculty member at least two weeks, but in no event more than four weeks, to prepare. The faculty member will be informed of their right to be accompanied by an advisor, who will have no active role in the proceedings.
University Faculty Disciplinary Committee
If a full-time faculty member elects to have a hearing, the provost will convene an appropriate faculty committee, consisting of at least five full-time principal faculty members, to consider the case. If the faculty member has tenure or extended employment, the committee shall consist only of faculty with tenure and/or extended employment. The provost will ask the dean of the faculty member’s school or college to make nominations of possible committee members, but will make the final selection on the composition of the committee and will appoint the chair of the committee. Nominees and the faculty member may contact the provost to challenge the proposed composition of the committee on the basis of possible conflict of interest or demonstrable bias.
The committee shall begin its work by considering the statement of charges and the faculty member’s response. If any facts are in dispute, the committee shall gather the testimony of witnesses and other evidence concerning the matter set forth in the provost’s letter to the faculty member.
The committee shall determine the schedule of the proceedings and order of proof, conduct the questioning of witnesses, and, if necessary, secure the presentation of evidence relevant to the case. In the interest of the orderly operation of the university, hearings should be conducted on consecutive days, and adjournments should be granted only in exceptional circumstances. The faculty member shall also have the right to question witnesses who testify orally. Before reaching its findings, the committee will give the faculty member the opportunity to argue orally or in writing. The committee shall make explicit its findings with respect to each of the charges. A complete record will be kept of all the evidence and of the hearing.
The committee will not be bound by rules of evidence applicable in a court of law. It may admit any evidence that in its opinion is of probative value in deciding the issues involved. The burden of proof that adequate cause exists supporting its decision to suspend, demote, or dismiss a full-time faculty member for a fixed period of time without salary rests with the university and shall be satisfied only by clear and convincing evidence in the record considered as a whole. The committee shall base its findings of fact and recommendations to support or not support the proposed discipline solely on the hearing record.
The president, the provost, and the faculty member shall be notified of the findings in writing and given a copy of the record of the hearing within ten days of its completion. The provost will notify the faculty member’s dean of the findings. The provost and the faculty member shall have the opportunity to provide to the president a written response to the findings of the committee within ten days of the committee’s decision.
The president may accept, reject, or modify the findings and/or penalty recommended by the committee. Should the president reject the findings of the committee, the proceeding will be returned to it with specific objections in writing. The committee shall then reconsider, taking account of the stated objections and receiving new evidence if necessary. It should frame its reconsideration in the same manner as before. The provost and the faculty member shall again have the opportunity to provide to the president a written response to the reconsideration by the committee.
The president will review the record, findings, and recommendations of the committee and the responses of the provost and the faculty member, reach a final conclusion, and recommend an action to the executive committee of the board of trustees. The recommendation to the executive committee shall be accompanied by the full report of the committee and the written responses of the provost and the faculty member. The decision of the executive committee is final and will be issued in writing by the president to the faculty member with a copy to the provost and the chair of the committee.