Problem Resolution Procedure
From time to time, a problem may arise regarding the implementation or interpretation of the Institute's policies and procedures as they pertain to a member of the Faculty. Whatever the problem, communication is essential so that an informal resolution of the problem may be fully explored. If the problem is not resolved informally, the faculty member may commence formal proceedings, initially with the appropriate department chair, director, or dean and, in certain situations, subsequently with the Hearing Committee. The procedures to be followed are described below.
These procedures do not pertain to problems which may arise from denials of promotion, the nonrenewal, or administrative termination of a faculty member. If, prior to commencing the Procedures for Problem Resolution, or while the Procedures for Problem Resolution are in progress, a faculty member seeks resolution of the matter in any other forum, whether administrative or judicial, then the Provost may decide, at his or her sole discretion, that the Procedures for Problem Resolution shall not commence or proceed further. Commencing or progressing with the Procedures for Problem Resolution does not preclude a faculty member from seeking resolution of the matter in any other forum, whether administrative or judicial.
Preliminary Proceedings
I. Informal Action
When a problem arises regarding the implementation or interpretation of the Institute's policies and procedures as they pertain to a member of the faculty or regarding the performance or conduct of a faculty member, unless the matter is of a serious nature and personal contact with the person(s) involved would be objectionable to the faculty member, the faculty member should discuss the problem with the person(s) involved in private conference and attempt to resolve the matter by mutual consent. Any such private conference shall be confidential; however, the faculty member may elect not to keep the matter and/or the private conference confidential. The term "confidential" shall mean that the Institute shall be sensitive to and respect the private nature of the communications which may be involved in connection with a problem resolution matter. However, the Institute reserves the right to disclose the information obtained in connection with a problem resolution matter to any individual or agency, if the Institute determines that disclosure of such information is necessary in order to adhere to any law or policy governing the Institute.
If the matter is not so resolved, and the matter does not involve the faculty member’s department chair or dean, within 30 calendar days from the date the faculty member knew (or should have known) that a problem had arisen, the faculty member may request in writing ("advisory request") that the department chair, director, or dean attempt to resolve the matter. The advisory request shall be delivered by the faculty member to the Provost. The Provost shall deliver the advisory request to the department chair, director, or dean within 14 calendar days of the date of its delivery to the Provost.
If the matter is not so resolved, and the matter involves the faculty member’s department chair, director, or dean, within 30 calendar days from the date the faculty member knew (or should have known) that a problem had arisen, the faculty member may request in writing that the Provost attempt to resolve the matter. The advisory request shall be delivered by the faculty member to the Provost. In such situations, the Provost shall not deliver the advisory request to the faculty member’s department chair, director, or dean.
II. Informal Proceedings
When an advisory request has been delivered, and the matter does not involve the faculty member’s department chair, director, or dean, the department chair, director, or dean shall informally inquire into the matter and make a recommendation for its resolution to the faculty member and to the person(s) involved. The department chair, director, or dean shall make his/her recommendation for the resolution of the matter to the faculty member and to the person(s) involved within 14 calendar days of the date the department chair, director, or dean received the advisory request from the Provost, unless the faculty member and the person(s) involved agree to a longer time period. If the recommendation of the department chair, director, or dean is accepted by the faculty member and the person(s) involved, the matter may be resolved by mutual consent. Any such inquiry and resolution shall be confidential.
When an advisory request has been delivered, and the matter involves the department chair, director, or dean, the Provost shall informally inquire into the matter and make a recommendation for its resolution to the faculty member and the department chair, director, or dean within 14 calendar days of the date the Provost received the advisory request from the faculty member, unless the faculty member and the department chair, director, or dean agree to a longer time period. If the recommendation of the Provost is accepted by the faculty member and the department chair, director, or dean, the matter may be resolved by mutual consent. Any such inquiry and resolution shall be confidential.
If the matter is not so resolved, the faculty member may request the commencement of formal proceedings. Formal proceedings shall be conducted in accordance with the procedures described below.
Except where there is disagreement, a statement shall be jointly prepared by the faculty member and the department chair, director, or dean which sets forth with reasonable particularity the basis(es) of the problem ("statement of cause"). If there is a disagreement between the faculty member and the department chair, director, or dean, the faculty member and the department chair, director, or dean shall each prepare a separate statement of cause. The statement(s) of cause shall be delivered by the department chair, director, or dean to the Provost within 14 calendar days of the date that the department chair, director, or dean (or, if the matter involves the department chair, director, or dean, the Provost) made his or her recommendation for the resolution of the matter to the faculty member and to the person(s) involved (or, if the matter involves the department chair, director, or dean, then to the department chair, director, or dean).
Formal Proceedings
I. Notice to Faculty Member
Formal proceedings shall be commenced by the delivery of the statement(s) of cause to the faculty member and to the Hearing Committee by the Provost within 14 calendar days of its/their delivery to the Provost. As an initial matter, the Hearing Committee shall consider the statement(s) of cause and determine, in its sole discretion, whether formal proceedings should be continued. If the Hearing Committee determines that formal proceedings should not be continued, it shall so notify in writing the faculty member, the person(s) involved (or, if the matter involves the department chair, director, or dean, then the department chair, director, or dean) and the Provost and the formal proceedings shall be terminated. If the Hearing Committee determines that formal proceedings should be continued, the procedures described below shall be followed. The Hearing Committee shall determine whether to continue formal proceedings and inform the faculty member, the person(s) involved (or, if the matter involves the department chair, director, or dean, then the department chair, director, or dean) and the Provost of its determination, within seven calendar days of the delivery of the statement(s) of cause to the Hearing Committee by the Provost.
Notwithstanding anything stated herein to the contrary, the faculty member may choose to continue the formal proceedings if the problem involves the dismissal of the faculty member for cause.
If formal proceedings are continued, the faculty member shall request a formal hearing before the Hearing Committee. The faculty member shall also be informed that he/she has the right to respond in writing to the statement of cause prepared by the department chair, director, or dean prior to any such formal hearing. The date of the formal hearing shall be scheduled at least seven calendar days but not more than 30 calendar days after the date that the statement(s) of cause is (are) delivered to the faculty member.
II. Suspension
The Provost may determine that the suspension of the faculty member from his/her teaching and/or other duties, with or without pay, during the formal proceedings is necessary to avoid immediate harm to the faculty member or to others or to the Institute. Regardless of suspension, paid benefits shall continue during a suspension. If the faculty member is so suspended without pay, and the decision of the Provost or the Board of Trustees is favorable to the faculty member, the faculty member shall receive retroactive pay for the period of suspension.
III. Hearing
The Hearing Committee shall proceed by considering the statement(s) of cause and a written response, if any, submitted by the faculty member. The Hearing Committee may proceed in one of two ways:
(a) If the faculty member has not requested a formal hearing, the Hearing Committee should inquire into the matter and obtain whatever information it deems appropriate.
(b) If the faculty member has requested a formal hearing, the Hearing Committee, in consultation with the Provost and the faculty member, shall determine whether the formal hearing should be open or private. If the Hearing Committee determines that the formal hearing should be private, the Provost, or his or her designee, who may not be an attorney, in his or her sole discretion, may attend the formal hearing.
If the Hearing Committee determines that there are any facts in dispute, it shall deliver a statement of the facts it deems to be in dispute to the Provost, the faculty member, and the person(s) involved (or, if the matter involves the department chair, director, or dean, then the department chair, director, or dean) at least 48 hours prior to the commencement of the formal hearing. In addition, the faculty member and the person(s) involved shall provide any documents which he or she intends to introduce at the formal hearing at least 48 hours prior to the commencement of the formal hearing. If any facts are in dispute, the oral statements of witnesses and other information concerning the matter shall be received by the Hearing Committee. The faculty member and the person(s) involved shall be given the opportunity to question each witness. If any witness cannot or will not appear, the Hearing Committee may determine whether or not to receive his/her written statement, if the written statement will assist in the fair resolution of the matter. Any such written statement shall be read aloud at the formal hearing. The faculty member and the person(s) may attend the formal hearing and call witnesses and offer additional information whether the formal hearing is open or private.
The Hearing Committee shall adopt procedures for the formal hearing and shall notify the faculty member and the person(s) involved of such procedures. The procedures may be changed from time to time. The Hearing Committee shall determine how documents and information will be introduced, conduct the questioning of witnesses, and, if necessary, attempt to secure the presentation of any information which will assist in the fair resolution of the matter. The introduction of all documents and information and the questioning of all witnesses should usually not exceed a total of eight hours. The Hearing Committee shall inform the faculty member and the person(s) involved how much time each has been allocated to introduce documents and information and to question witnesses.
The faculty member and each person involved may be accompanied to the hearing by only one advisor who may not be a witness but who shall be a member of the faculty or administration of the Institute.
No party to the hearing shall be entitled to representation by an attorney at the hearing. However, the Hearing Committee, in its discretion, may engage counsel to be present at the hearing for the purpose of advising it on procedural matters.
The Hearing Committee shall deliberate privately in conference and shall consider only the documents and information introduced at the formal hearing. Before its deliberation, the Hearing Committee shall provide the faculty member or his or her advisor and each person involved opportunity to make a statement orally. The Hearing Committee shall make explicit findings with respect to each basis set forth in the statement(s) of cause. The Hearing Committee shall submit its recommendation(s) together with its findings and the reasons therefore in writing to the Provost, the faculty member, and the person(s).
The Hearing Committee may recommend that the faculty member be dismissed immediately or dismissed at the end of the then current academic year. The Hearing Committee may recommend the imposition of a less severe sanction on the faculty member including, without limitation, suspension with or without pay, for a stated period of time, or a formal written reprimand. Conversely, the Hearing Committee may recommend that no sanction be imposed on the faculty member. The Hearing Committee may also make such other recommendations as it deems just and proper.
The recommendation(s), finding(s) and reason(s) of the Hearing Committee shall be submitted to the appropriate individuals within seven calendar days of the conclusion of the formal hearing. The proceedings and outcomes are confidential and shall be released to those with official reason to know.
Provost's Decision
The decision of the Provost shall be delivered to the faculty member and to each person involved in writing. If the decision of the Provost is not to follow the recommendation(s) of the Hearing Committee, the Provost shall state the reason(s) in writing and deliver the statement to the Hearing Committee, the faculty member, and each person involved.