General and Particular Obligations

All faculty members have an obligation to comply with the rules and regulations of the University and its schools, colleges, and departments. These rules protect the rights and freedoms of all members of the academic community.

In particular, the faculty member is obligated to comply with the standards of academic freedom as outlined in this statement. Disciplinary action may follow when the faculty member engages in other conduct unbecoming a member of the faculty, such as violation of the New York University Rules for the Maintenance of Public Order, any action which 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 the teaching, research, or welfare of the University, and so forth.

Disciplinary Procedures

The following procedure is applicable where a question arises concerning an alleged violation by any member of the Full-Time Continuing Contract faculty of a rule or regulation of the University.

1. [Who may file a complaint] Any officer of the University, any member of the faculty or staff, or any student may file a complaint against a member of the Full-Time Continuing Contract faculty for conduct prohibited by the rules and regulations of the University, or its schools, colleges, and departments.

2. [Summary suspension] Summary suspension pending investigation and hearing is an extraordinary remedy, but nothing in this statement shall be interpreted as precluding such action by the President and Chancellor or the Provost (or Executive Vice President for Health) or the Dean of the college, school, or division involved with the assent of the President and Chancellor or Provost or Executive Vice President for Health, whenever, in the judgment of either, suspension is necessary in the interest of the University community.

3. [Where to file a complaint] The complaint shall be filed with the Dean of the faculty member’s school, except that a complaint against the Dean who is also a Full-Time Continuing Contract faculty member shall be filed with the Provost (or Executive Vice President for Health). Complaints must be filed within a reasonable time after an alleged violation.

4. [Informal resolution at school level] When a complaint is filed against a member of the faculty, an effort shall be made to resolve the matter informally under the direction of the Dean of the member’s school, including an opportunity for the respondent to respond to the allegations. Where the charge is against the Dean as a faculty member, the informal effort shall be under the direction of the Provost (or Executive Vice President for Health). Where the matter cannot be resolved in this manner, disciplinary proceedings shall proceed.

5. [School advisory committee] The Dean shall refer the matter, with all pertinent information to an advisory committee of the faculty. The committee may be an ad hoc committee or a standing committee, and must consist of three or more members elected by voting members of the faculty. Where practicable, two or more shall be members of the Continuing Contract Faculty who have seniority in rank and/or years of service at the University; at least one shall be from the tenured faculty; and none shall have a conflict or appearance of conflict in reviewing the matter. The committee shall not include departmental chairpersons or departmental heads or any faculty whose primary assignment is administrative.

6. [Procedures and authority of school advisory committee] The committee shall serve as an advisory committee to the Dean. It will review the existing file with respect to the complaint and provide a report of findings and recommendations for penalties, which may include a dissenting opinion as appropriate. The report can also recommend that the Dean conduct a further review on specific matters before the Dean issues a determination. The committee shall complete its review and report to the Dean within thirty calendar days of being charged with its task, except where exigent circumstances apply. The Dean shall make a determination and implement disciplinary sanctions within thirty calendar days of receiving the committee report, except where exigent circumstances apply. If the committee does not complete its work within thirty calendar days, the Dean shall implement disciplinary sanction(s) on the basis of the existing file within thirty calendar days of the committee’s deadline. If the Dean conducts a further review on specific matters before rendering a decision, the Dean shall have an additional thirty calendar days from the date of the committee’s report to reach his or her decision, except where exigent circumstances apply.

7. [List of penalties] Penalties for violations of the rules and regulations of the University, or its schools, colleges, and departments shall include, but are not limited to, the following:

a. Reprimand
b. Censure
c. Removal of privileges
d. Suspension
e. Dismissal

8. [Appeal] A faculty member may appeal the decision by the Dean to impose the penalty of suspension or dismissal. Such appeal shall be to the Provost (or Executive Vice President for Health). Penalties shall be in place pending appeal. Grounds for an appeal shall be that: a) that the procedures used to reach the decision were improper, or that the case received inadequate consideration; or b) that the decisions violated the academic freedom of the person in question, in which case the burden of proof is on the faculty member. Any such appeal must be made to the Provost (or Executive Vice President for Health) within fifteen calendar days after receipt of notice of the decision of the Dean.

In deciding the appeal, the Provost (or Executive Vice President for Health) may affirm or reverse the decision of the Dean or may increase or decrease the sanction imposed as the interests of substantial justice appear to him or her to require. The Provost (or Executive Vice President for Health) may consult with such individuals or groups as he or she deems appropriate, and may remand the case for further investigation by the Dean. The Provost (or Executive Vice President for Health) shall make a decision within thirty calendar days, except where exigent circumstances apply. [Where scientific misconduct is at issue, the Provost (or Executive Vice President for Health) may also remand the case to the Dean of the appropriate school with a request for a new or further fact-finding by the same or a new committee, appointed in accordance with the provisions of the rules governing such cases.] If the Provost (or Executive Vice President for Health) remands the case to the Dean, the Dean shall have 30 days from the day the case is remanded to submit a report and recommendations to the Provost (or Executive Vice President for Health), who shall have 30 days to reach his or her decision. 

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