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ARTICLE FOUR


POLICIES AND PROCEDURES FOR FACULTY
 
Chapter 1:
The University Faculty
Chapter 2:
Ranks of Instructional Staff
Chapter 3:
Responsibility of Faculty
Chapter 4:
Academic Freedom
Chapter 5:
Faculty Personnel Policies and Procedures
Chapter 6:
Faculty Role in University Governance
           
Chapter 7:
Academic Due Process
Chapter 8:
Faculty Salary and Benefits
Chapter 9:
Faculty of the Department of Military Science
Chapter 10:
Amendments
Chapter 11:
Clinical Staff
 
 
CHAPTER SEVEN

ACADEMIC DUE PROCESS

§4-07.01 - Procedure

PART I
Procedures Applicable to Grievances Relating to Denial of Reappointment or Tenure

§4-07.02 Initiation of Grievances Relating to Denial of Reappointment or Tenure
§4-07.03 Procedures of the Tenure and Reappointment Appeals Committee
§4-07.04 Termination Date Not Modified

PART II
Procedures Applicable to Cases of Discipline, Suspension or Dismissal

§4-07.11 Initiation of Procedures to Suspend or Dismiss Members of Institutional Staff
§4-07.12 Informal Procedures
§4-07.13 Disciplinary Action

PART III
Formal Procedures of Faculty Hearing Committee
 
§4-07.21 Initiation of Formal Procedures
§4-07.22 Formal Hearing Procedures
§4-07.23 Disposition

PART IV
Procedures Applicable to Grievances Not Relating to Denial of Reappointment or Tenure or to Discipline, Suspension or Dismissal

§4-07.31 Initiation of Grievance Procedures
§4-07.32 Procedures of Faculty Hearing Committee
§4-07.33 Disposition

PART V
Miscellaneous

§4-07.41 Confidentiality
§4-07.42 Subpoenas

*     *     *     *     *

§4-07.01 - Procedure

The procedures for ensuring academic due process are divided as follows:

Part I - Procedures Applicable to Grievances Relating to Denial of Reappointment or Tenure [§4-07.02 through .04].
Part II - Procedures Applicable to Cases of Discipline, Suspension or Dismissal [§4-07.11 through .13].
Part III - Formal Procedures of Faculty Hearing Committee [§4-07.21 through .23].
Part IV - Procedures Applicable to Grievances Not Relating to Denial of Reappointment or Tenure, or to Discipline, Suspension or Dismissal [§4-07.31 through .33].
Part V - Miscellaneous [§4-07.41 and .42].

PART I

Procedures Applicable to Grievances Relating to Denial of Reappointment or Tenure

§4-07.02 - Initiation of Grievance Relating to Denial of Reappointment or Tenure

(a) Review by Tenure and Reappointment Appeals Committee
 
A member of the instructional staff with a grievance relating to denial of reappointment or tenure may petition the Tenure and Reappointment Appeals Committee [see §4-06.09(b)] only as provided in subdivision (b).

(b) Scope of Review

                (1) Reappointment - University Faculty.  If a member of the University Faculty asserts
                      a grievance relating to denial of reappointment, the Committee may consider only
                      whether the matter received adequate consideration, whether it was handled
                      according to University policies and procedures, and whether the denial violated
                      academic freedom or involved unlawful discrimination.  If the Committee finds a
                      violation of academic freedom or unlawful discrimination, it may substitute its
                      judgment on the merits for that of the appropriate faculty body or the Administration.

                (2) Reappointment - Other Instructional Staff. If a member of the instructional staff who is
                      not a member of the University Faculty asserts a grievance relating to denial of
                      reappointment, the Committee may consider only whether the denial violated academic
                      freedom or involved unlawful discrimination.  If the Committee finds a violation of
                      academic freedom or unlawful discrimination, it may substitute its judgment on the
                      merits for that of the appropriate faculty body or the Administration.

                (3) Tenure.  If a member of the University Faculty asserts a grievance relating to denial
                      of tenure, the Committee may consider whether the matter received adequate
                      consideration, whether it was handled according to University policies and procedures,
                      whether it was decided upon arbitrary or improper grounds, whether the denial was
                      unreasonable in terms of the applicable standards [see §4-05.04], or whether the
                      denial violated academic freedom or involved unlawful discrimination. The Committee may
                      substitute its judgment on the merits for that of the appropriate body or the Administration.

(c) Petition.  The petition shall set forth the relevant facts asserted by the petitioner, and shall specify which of the reasons enumerated in subdivisions (b) forms the basis of the petitioner's grievance.

(d) Time and filing of petition.  The petition must be filed no later than ninety (90) days after the date of the letter by which the petitioner was notified of the decision against which the grievance is directed.  The petitioner shall file the petition in the Office of the Faculty Senate and transmit a copy thereof to the Vice President for Academic Affairs.

§4-07.03 - Procedures of Tenure and Reappointment Appeals Committee

(a) Proceedings.  The Committee may conduct such investigation as it deems appropriate.  The Committee shall consider the petition and any supporting documents filed with it, and may secure additional information as it deems necessary.  The Committee shall establish rules of procedure not inconsistent with the provisions of these statutes.  The rules of procedure shall be transmitted to the Faculty Senate for approval.

(b) Disposition
 
                (1) Reappointment.  If the Committee determines that the petitioner has shown sufficient
                      grounds [see §4-07.02(b)(1) or (2)], it shall indicate the grounds upon which the prior
                      determination was found inadequate or improper, and direct the appropriate faculty
                      body or administrative officer to reconsider.  The Committee shall notify the Vice President
                      for Academic Affairs of its decision and the grounds therefor.  The reconsideration shall
                      be conducted expeditiously.  The Vice President for Academic Affairs or his designee shall
                      advise the petitioner of the final decision.

                (2) Tenure

                                (A) Committee recommendation contrary to initial faculty determination.  Before the
                                            Committee makes a recommendation opposed to that of the faculty body which
                                            made the initial determination, it shall first direct that body to reconsider, stating
                                            its reasons for so doing.

                                (B) Transmittal of Committee recommendation: decision.  The Committee shall
                                            communicate its recommendations, including the results of any reconsideration
                                            by the faculty body [see §4-07.03(b)(2)(A)], to the President of the University, the
                                            President of the Faculty Senate and the Vice President for Academic Affairs. The
                                            President of the University, or his representative, shall advise the faculty member
                                            in writing of the final decision, and shall file a confidential copy thereof in the
                                            Office of the Faculty Senate.

                                (C)    Finality of Committee recommendation.  The Committee's recommendation to
                                            grant or deny tenure ordinarily shall be determinative.

§4-07.04 - Termination Date Not Modified

Neither the initiation of grievance procedures, nor any proceeding or recommendation by the Tenure and Reappointment Appeals Committee, shall by itself modify the effective date of a termination.

PART II

Procedures Applicable to Cases of Discipline, Suspension or Dismissal

§4-07.11 - Initiation of procedures to discipline, suspend or dismiss member of Instructional staff

The President of the University shall transmit by certified mail to any member of the instructional staff (hereinafter "respondent") who is to be disciplined or suspended or dismissed from academic duties:

(a) A clear statement of the facts constituting cause for the proposed action;

(b) An invitation to attend an informal personal conference with or without an attorney or other adviser whom the respondent may select; and
   
(c) A notice that statements made by any participant in informal personal conference shall not be admitted over objection in any subsequent formal hearing [see §4-07.21 and .22].

§4-07.12 - Informal procedures

(a) Personal conferences.  The President of the University or the President's designee shall offer to discuss the matter with the respondent in a personal conference.

(b) Counsel.  The President of the University or his designee, and the respondent may each be accompanied by an attorney or other adviser.

(c) No record.  No record shall be kept of the informal personal conference. No statement made by any participant at the conference shall be admitted over the objection of any party in any later hearing [see §4-07.21 and .22].

(d) Disposition

                (1) If a resolution of the matter satisfactory to all parties is reached as a result of the informal
                      personal conference, the President of the University or designee shall send a letter by
                      certified mail to the respondent setting forth the disposition.

                (2) If the matter is not resolved through the informal personal conference, the parties may
                      agree to submit the matter to one or more mediators.

                                (A) The parties shall determine the number and identity of mediators and the
                                            procedures to be followed.

                                (B) If the proposal of the mediator(s) is accepted by both parties, the President of the
                                            University or designee shall send a letter by certified mail to the respondent
                                            setting forth the disposition.

                                (C) Failure of the parties to agree to submission of the matter to mediation,
                                            mediation procedures, or proposal of the mediator(s) shall not preclude
                                            application of the formal procedures in §4-07.21 through .23

                (3) If the matter is not resolved through an informal personal conference or mediation, the
                      President of the University or designee shall send a letter by certified mail to the respondent,
                      with copies to the Hearing Committee and the Office of the Faculty Senate, which shall contain:

                                (A) A clear statement of the facts constituting cause for the proposed action;

                                (B) Copies of the University Statutes, By-Laws, and Regulations relevant to the
                                            merits of the case;

                                (C) A copy of §4-07.21 through .23 and 4-06.08(c);

                                (D) In the interest of achieving fairness and timeliness, notice that a formal hearing
                                            will be commenced by the Faculty Hearing Committee on a date as soon as
                                            possible between 30 and 40 days after the date of the letter, and at date, time
                                            and place to be set by the Committee.  The Committee shall inform the
                                            President of the University or designee, the respondent, and the Office of the
                                            Faculty Senate of the date, time and place by expedited delivery.

                                (E) A summary of evidence to be presented and a list of witnesses to be called at the hearing;

                                (F) An invitation to attend the formal hearing with or without an attorney or other adviser;

                                (G) A request that not later than one week before the scheduled hearing date, the
                                            respondent inform the President of the University or designee and the Faculty
                                            Hearing Committee in writing of the response, if any, to the statement of cause
                                            and whether it is desired that no hearing be held.


§4-07.13 - Disciplinary Action.

(a) Members of the instructional staff [see §4-01.01] may be disciplined by admonition, censure, suspension (with or without pay) or dismissal for one or more of the following reasons:

                (1) Conduct inconsistent with accepted professional standards. This shall not be so interpreted as to constitute interference with academic freedom.

                (2) Incompetent or inefficient service.

                (3) Breach of employment contract.

                (4) Violation of the University Code of Conduct  (see Article 6).

(b) Except as provided in §4-07.12, the Faculty Hearing Committee shall determine the penalty, which may be reduced by the President of the University.

(c) Except as provided in §4-07.12, suspension or dismissal shall not be imposed by the Faculty Hearing Committee in the absence of an express finding of gross misconduct.

(d) The President of the University, with the advice of the Executive Committee of the Faculty Senate, may suspend a member of the instructional staff with pay, pending the completion of procedures pursuant to Parts II and III of this Chapter.  Such suspension may be imposed only if the President determines that serious and immediate harm to such person or others, or to the University, is threatened.

PART III

Formal Procedures of Faculty Hearing Committee

§4-07.21 - Initiation of formal procedures

(a) Grievances not relating to denial of reappointment or tenure or to discipline, suspension or dismissal. Any party to a grievance procedure initiated under §4-07.31 may petition the Faculty Hearing Committee for a formal hearing if asatisfactory resolution of the matter has not been reached under the informal procedures prescribed in §4-07.32.

                (1) Informal procedures exhausted.  The petition may not be filed before the Committee
                      has sent the parties the notice required by §4-07.33(b).

                (2) Time and filing of petition.  The petition shall be filed in the Office of the Faculty Senate
                      and a copy transmitted to the Vice President for Academic Affairs no later than thirty
                      (30) days after the date of the notice described in §4-07.33(b).

                (3) Hearing.  The Committee shallset the time andplace for the hearing, and inform
                      the parties thereof by certified mail.

(b) Discipline, suspension or dismissal.  The letter described in §4-07.12(d)(3) shall initiate the formal hearing procedures.  The Committee shall set the date, time and place for the hearing and inform the parties thereto by expedited delivery.  The date and time shall be set so as to allow the respondent a reasonable time to prepare for hearing.

§4-07.22 Formal Hearing Procedures

(a) Rules.  The Committee shall establish rules of procedure not inconsistent with the provisions of these statutes. Formal rules of court procedures need not be followed.  The rules of procedure shall be transmitted to the Faculty Senate for approval.

(b) Counsel.  The Committee, with the approval of the President of the University, may appoint a lawyer to act as its counsel at University expense. Any party to a formal hearing may be accompanied and advised by an attorney or other adviser.  The respondent and counsel in a disciplinary proceeding may be present throughout the hearing.

(c) Evidence.  The parties may introduce and the Committee may consider any evidence regardless of whether it would be admissible in judicial proceedings. If the respondent has not answered the statement of cause, or has elected not to have a formal hearing [see §4-07.12(d)(3)(G)], the Committee may independently investigate the matter, or request that the President of the University or representative present proof thereon.

(d) Record.  A full verbatim record shall be made of all disciplinary hearings, and one copy of the transcript shall be furnished by the University to the respondent.  The record shall be preserved under the rules of confidentiality in the Office of the Faculty Senate [see §4-07.41].

§4-07.23 - Disposition

(a) The Faculty Hearing Committee shall prepare a meaningful report summarizing the facts it has found and stating its decision on the merits.
       
(b) Grievances other than those relating to denial of reappointment or tenure, or to discipline, suspension or dismissal.

                (1) Notice of decision.  The report of the Committee shall be sent to the parties by
                      certified mail and to the Vice President for Academic Affairs, and the Office of the Faculty Senate.

                (2) Finality. The decision of the Committee shall be ordinarily determinative.

(c) Discipline, suspension or dismissal

                (1) Report, record and evidence to Trustees.  Within 30 days after the conclusion of the
                      hearing conducted by the Faculty Hearing Committee, the report of the Committee shall
                      be transmitted to the Board of Trustees, together with the record and all other evidence
                      presented to the Committee.

                (2) Trustees agreement with decision.  Within 15 days after the receipt of the report of the
                      Faculty Hearing Committee, if the Board of Trustees approves the Committee's decision,
                      it shall so inform the respondent, grievant or petitioner, the University President, and the
                      Office of the Faculty Senate.

                (3) Trustees disagreement with decision.  Within 15 days after receipt of the report of the
                      Faculty Hearing Committee, if the Board of Trustees disagrees with the Committee's
                      decision, it shall state its specific objections and return the matter to the Committee
                      for reconsideration.  The Committee may receive new evidence if it chooses, and
                      shall prepare a new report within 30 days summarizing the facts it has found.

                (4) The decision of the Board of Trustees upon reconsideration shall be final.

PART IV

Procedures Applicable to Grievances Not Relating to Denial of Reappointment or Tenure, or to Discipline, Suspension or Dismissal

§4-07.31 - Initiation of grievance procedures

(a) Petition.  A member of the University Faculty with a grievance relating to personnel decisions other than those in §4-07.02 through §4-07.13, to violations of specific University Statutes other than those in §4-07.02 through §4-07.13, and to other alleged violations of University policies may petition the Faculty Hearing Committee.  Before submitting a petition the faculty member is urged to attempt to resolve the matter informally with the official or persons involved.

(b) Time and filing of petition.  A petition relating to promotion, salary or benefits must be filed in the Office of the Faculty Senate no later than ninety (90) days after the date of the letter advising of the decision against which the grievance is directed and a copy transmitted to the Vice President for Academic Affairs. All other petitions must be so filed and transmitted with reasonable promptness.

(c) Contents of petition.  The petition shall set forth the nature of the grievance, including the pertinent facts, and the action, decision or person against which or whom it is directed.

(d) Members of the Faculty of the Department of Military Science shall direct all grievances to the Advisory Committee on ROTC which shall make recommendations to the President of the University through the Vice President for Academic Affairs, who shall add personal recommendations.

§4-07.32  - Procedures of Faculty Hearing Committee

(a) The Committee shall decide whether the petition has sufficient substance to warrant further review.  It shall communicate its decision to both the petitioner and the office of the Faculty Senate promptly.

(b) If the Committee decides that there is substance to the complaint, it shall attempt in an informal fashion to resolve the issue.

(c) If the Committee achieves such a resolution, no record of the case shall be kept by the Committee or the Senate.

(d) If the Committee is unable to achieve an informal resolution, it shall then proceed to consider the merits of the grievance.  As is the case for the Tenure and Reappointment Appeals Committee (4-07.03), the Committee may conduct such investigation as it deems appropriate.  The Committee shall consider the petition and any supporting documents filed with it and may secure additional information as it deems necessary.  The Committee shall establish rules of procedure not inconsistent with these statutes, to be transmitted to the Faculty Senate at the beginning of the academic year.  The Committee may alter these rules by notification of the Faculty Senate.

§4-07.33 - Disposition

(a) The Committee shall prepare a report summarizing the case and stating its judgment.

(b) The report of the Committee shall be sent promptly to the parties involved, to the Vice President for Academic Affairs and to the office of the Faculty Senate.

(c) The decision of the Committee shall be ordinarily determinative.

PART V

Miscellaneous

§4-07.41 - Confidentiality

(a) Except when otherwise directed by final order of or governmental tribunal of competent jurisdiction, faculty members and administrators engaged in procedures involving faculty personnel decisions shall treat as confidential all information disclosed during such procedures, as well as the fact of occurrence of the procedure and the result thereof except as otherwise provided in these statutes. Specifically, and without limiting the generality of the foregoing, this rule of confidentiality shall apply to all University Personnel serving on, testifying before, supplying information to and receiving information from the Tenure and Reappointment Appeals Committee, University Tenure Review Committee, Faculty Hearing Committee, and the Faculty Senate in executive session.

(b) The result of such procedures, together with the appropriate meaningful reasons therefor, shall be communicated to those involved, and to the Faculty Senate Office, as specified in these statutes.

(c) This rule of confidentiality shall also apply in other cases where these statutes so specify, and to prospective matters upon the request of the President or a Vice President of the University, or President of the Faculty Senate.

(d) Faculty members serving as members of any of the Committees mentioned in subdivision (a) and members of the Faculty Senate while the Senate is sitting in executive session, shall have the right to review all relevant documents and to interview witnesses.  All University personnel having relevant knowledge, information or documents shall disclose such, free of any restriction imposed by this section, upon competent request therefor by such bodies.

(e) Failure to maintain the required confidentiality constitutes a breach of contract.

§4-07.42 - Subpoenas

Personnel files are confidential [see §4-07.41].   No document in such file will be released by the University to any person without the written consent of the Vice President for Academic Affairs except in response to a final order of a court of competent jurisdiction, or a lawful subpoena duces tecum.  The faculty member whose file is the subject of a subpoena duces tecum shall be notified promptly upon receipt of the subpoena, normally on the same day, both by telephone and by certified mail directed to the residence address of the faculty member.  The purpose of the prompt notification is to afford the faculty member and his counsel, if any, sufficient time to move to quash the subpoena.  In no case will file material which is not specifically subpoenaed be released in response to a subpoena or otherwise.  Nothing in this statement of policy shall bar the University, sua sponte, from moving to quash the subpoena.

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