a. 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.