VIII. Problem Resolution
The policies and procedures outlined in the faculty handbook are meant to outline proper performance and conduct of faculty members at the Institute. This problem resolution policy outlines the procedures to be followed when it is believed that the performance and/or conduct of a faculty member has breached the standards that are outlined in this handbook.
The purpose of the Problem Resolution Policy and Procedures is to assure that there are multiple venues where complaints about a faculty member can be heard and resolved at the lowest level possible and in the quickest timeline appropriate. If a complaint or problem arises, informal resolution should be fully explored before formal proceedings are commenced. If the problem is not resolved using informal proceedings, then formal proceedings can commence with the appropriate administrator or Hearing Committee.
If a problem rises to the level where formal proceedings have commenced, the faculty member at the center of issue (the respondent) may continue to seek resolution for the problem in other informal forums. If resolution is found in these informal forums, the Provost or designee, at their sole discretion, may choose to accept the resolution of the informal proceedings and that formal proceedings shall not proceed any further.
The Problem Resolution Policy and attached procedures do not pertain to the following problems:
- Denials of promotion
- Nonrenewal of a faculty contract
- Administrative termination of a faculty member
- Problems related to sexual harassment or misconduct (these matters follow the Institute’s Sexual Misconduct Policy)
- Informal Proceedings
When a conflict or problem arises involving a faculty member, every attempt should be made to resolve problems informally. When a dispute is resolved informally, this implies that both parties (the complainant and the respondent) agree with the final resolution. In general, problems that are resolved through informal proceedings do not require permanent records or files to be kept on the 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 to adhere to any law or policy governing the Institute.
The various possibilities for informal proceedings offered by the Institute are outlined below. These proceedings were primarily designed to address problems involving a faculty member (the respondent) and another faculty member or staff (the complainant), but they can be applied to disputes involving students.
- Confidential Conference
Whenever possible, problems that arise involving 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.
The term confidential refers to the private nature of these conversations taking place between the respondent and the complainant. However, the faculty member who the complaint is being leveraged against, the respondent, may elect to inform the academic unit leader or the dean of the conversations taking place should they see fit.
- Informal Departmental Resolution
Should two parties find they are unable to resolve their problem through confidential conference, or the matter is serious or personal in nature where confidential conference would be inappropriate, any faculty member involved may request in writing that their academic unit leader resolve the matter. This advisory request must be submitted to the Provost within 30 calendar days of when the respondent faculty member knew (or should have known) that a problem had arisen. Occasions that mark when a faculty member should have known about a problem include, but are not limited to, a phone call, email, written correspondence, or physical conversation with the complainant or someone speaking on behalf of the complainant.
The Provost shall deliver the advisory request to the academic unit leader (AUL) within 14 calendar days of its delivery. Upon delivery, the AUL will schedule meetings with the involved parties for an informal resolution process, to take place within 14 calendar days of receipt of the advisory request. In this capacity, the AUL may contact others involved to exchange information, to promote understanding, and to identify resolution options. In appropriate circumstances, they may facilitate face-to-face discussions among the involved parties or mediate using a more structured format.
After gathering as much information as needed and meeting with involved parties as necessary, the AUL will evaluate the validity of the complaint and the degree of seriousness of the offense and seek, to the extent possible and appropriate, to informally resolve the matter. If the AUL identifies that the matter reaches a certain degree of seriousness, or if the parties are unable to agree on a resolution that the AUL deems appropriate, then the AUL must recommend that formal proceedings commence. How to commence formal proceedings is outlined in the Formal Proceedings section of this policy.
If all parties are able to come to an informal resolution, the AUL is responsible for documenting the solution and having all parties attest to their agreement. This document should be sent to the Office of the Provost for filing within 3 business days of the document being attested to, with involved parties being copied on. This document should include the following:
- Outline of the parties involved.
- A description of the conflict or problem
- A description of the recommendation for resolution that was agreed to by the parties
- Signatures of the involved parties.
If the provost, or a delegate from the provost office, accepts the informal resolution recommendation, the matter will be considered resolved and the process and resolution shall be kept confidential. If the provost does not accept the informal resolution recommendation, then they may make their own resolution recommendation to be agreed to, they may send the matter back into informal resolution with the AUL, or they may commence formal proceedings.
- Informal School Resolution
In the case that the AUL is involved in a problem that arises, either as one of the affected parties or as a witness, then the advisory request, outlined in the Informal Departmental Resolution section, should instead be made to the School Dean. The School Dean will follow the same procedures outlined in the Informal Department Resolution section.
- Informal Institute Resolution
In the case that the school dean is involved in a problem that arises, either as one of the affected parties or as a witness, then the advisory request, outlined in the Informal Departmental Resolution section, should instead be made to the Provost. The Provost, or a delegate from the Office of the Provost, will follow the same procedures that are outlined in the Informal Department Resolution section.
- Formal Proceedings
Formal proceedings will commence if a resolution cannot be found through any channel of informal proceedings. Formal proceedings will be handled by the Faculty Affairs Committee, a standing committee of the Faculty Senate, which serves as an ad hoc hearing committee to resolve faculty conflicts. More information about the Faculty Affairs Committee can be found in the Faculty bylaws. This committee will be referred to as the Hearing Committee in this document.
- Commenced by an Affected Party
- Before informal resolution
If the complainant believes that the problem cannot be, or would be inappropriate to, resolve via informal proceedings, then they may directly request for formal proceedings to commence by delivering a statement of cause to the provost, with the respondent copied, within 30 calendar days of the incident. The statement of cause should include the following:
- the name of Complainant,
- the name(s) of the Respondent(s),
- a description of the nature and effect of the alleged actions/decisions that have resulted in the complaint,
- evidence supporting the complaint,
- a statement of the desired outcome,
- signature and date.
Upon receipt, the provost, or a delegate, will notify both the complainant and the respondent if the matter will be forwarded for formal proceedings, or if the threshold for formal proceedings has not been met, the provost will send the matter for informal proceedings to the appropriate party (AUL, dean, or provost). This determination will be made within 14 calendar days of the provost receiving the statement of cause.
If the problem is being recommended for formal proceedings, then the respondent will have 5 business days to compile a response to the statement of cause. Both the statement of cause and the response will be sent to the Hearing Committee within 14 calendar days of their delivery to the provost.
- After or during informal resolution
During any point of an informal resolution process, if either the complainant or the respondent find that informal proceedings will not effectively resolve the problem, they may submit a statement of cause to the provost, with the other party copied on.
The Provost may recommend that informal proceedings continue, or they may recommend that the problem moves forward to formal proceedings. This recommendation will be made within 14 calendar days of the provost receiving the statement of cause. If formal proceedings commence, the party that did not write the initial statement of cause will be able to submit a response under the same timeline outlined in the section above.
- Commenced by an Institute Administrator
If during informal proceedings, an AUL, dean, or provost finds that the matter is unable to be resolved through informal proceedings or that the matter is of a serious enough nature, then the matter may be sent to the provost for review. The provost may then either take on informal proceedings themselves or assign a delegate to do so, or they may forward the case to the Hearing Committee for formal proceedings.
If the case is being recommended for formal proceedings by an AUL or dean, they will copy both the complainant and the respondent onto their notice to the provost. The claimant will have 5 business days to submit a statement of cause to the provost, with the respondent copied. The respondent will have 5 business days from the receipt of the statement of cause to submit a response to the provost.
- Procedures
If formal proceedings are continued, the Hearing Committee will reach out to affected parties and a hearing will be scheduled to start not more than 30 calendar days after the case was forwarded to the Hearing Committee.
- Suspension during proceedings
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 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.
- Hearing Procedures
The Hearing Committee will begin their proceedings by considering the statement of cause and the response. It the respondent has elected to not submit a response, then the Hearing Committee should inquire into the matter and obtain whatever information it deems appropriate.
Before any hearing begins, the Hearing Committee, in consultation with the provost and the respondent, 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 designee, who may not be an attorney, in their 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 respondent, and the complainant (and, 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 respondent and the complainant 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.
The Hearing Committee shall adopt procedures for the formal hearing and shall notify the respondent and the claimant involved of such procedures. 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 not exceed a total of eight hours, though an exception can be granted by the Committee, in which case a new time limit will be introduced prior to the start of the hearing. The Hearing Committee shall inform the respondent and the complainant how much time each has been allocated to introduce documents and information and to question witnesses. During the hearing, no information shared during any informal proceedings that preceded the hearing may be presented as evidence. AULs or deans who acted solely in the role of executing informal resolution proceedings may not be called as witnesses during the hearing.
The respondent and the complainant 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. If the advisor is an attorney, they may not act in the capacity of an attorney during the hearing.
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.
- Hearing Committee Recommendations
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 respondent, or their advisor, and each person involved, including the complainant, the 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 respondent, and the complainant.
The Hearing Committee may recommend that the respondent be dismissed immediately or dismissed at the end of the current academic year. The Hearing Committee may recommend the imposition of a less severe sanction on the respondent 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 respondent. 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 respondent and the complainant 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 respondent, and claimant within 7 calendar days of the provost’s receipt of the Hearing Committee’s recommendations.
The Provost’s decision will be considered final, except if the respondent or claimant is able to:
- Find a clear example of someone violating any aspect of this policy during the hearing
- Discovers new evidence that may have changed the outcome of the hearing
If either instance occurs, the respondent or claimant must present the violation or new evidence, in writing, to the provost and the other party within 7 calendar days of the receipt of the provost’s decision. The provost will then review the new materials and either recommend the problem go back to the Hearing Committee for another hearing and a new recommendation or they may offer a new decision. This new decision from the provost will be final.
- Retaliation
No member of the Institute community may retaliate against an individual
because of the individual’s good faith participation in:
- reporting or otherwise expressing opposition to, alleged or suspected misconduct;
- participating in any process designed to review or investigate suspected or alleged misconduct or non-compliance
A causal relationship between the good faith participation in one of these
activities and an adverse action is needed to demonstrate that retaliation
has occurred. Individuals who believe that retaliation is occurring or has occurred, because of their participation in one of the above activities, should report the evidence of retaliation to the Office of the Provost, with their Human Resources representative copied on.
Reports of retaliation will be reviewed and investigated. Any Institute member who engages in retaliation may be subject to disciplinary action up to and including termination of employment or expulsion.
- Intentionally False Reports/Information
Individuals who, knowingly or intentionally, file a false statement of cause or provide false or misleading information in connection with a hearing may be subject to disciplinary action up to and including termination of employment.