Disciplinary Regulations and Procedures for Other Sanctions for Tenured and Tenure Track Faculty

A.        Disciplinary Procedures

1. [Initiation of Proceedings]. Whenever the dean of a college, school, or division of the University seeks to discipline a Tenured or Tenure-Track faculty member with sanctions other than termination or suspension, the dean shall initiate proceedings under this Title by providing the faculty member involved with written notice [by registered mail or email] setting forth clearly and directly all charges against the faculty member and informing the faculty member of their rights under this Title, the Bylaws of the University, and rules regulating proceedings on such charges].  In the case of a disciplinary proceeding against a Dean, these proceedings would be initiated by the Provost.

2. [Informal resolution at school level] When a disciplinary proceeding is initiated against a Tenured or Tenure-Track faculty member under this Title, an effort shall be made to resolve the matter informally under the direction of the dean of the faculty 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. Where the matter cannot be resolved in this manner, disciplinary proceedings shall proceed.

3. [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. All shall be members of the Tenured Faculty who are at the same or higher rank as the faculty member facing discipline; and none shall have a conflict or the appearance of a conflict in reviewing the matter. The committee shall not include departmental chairpersons or departmental heads or any faculty whose primary assignment is administrative.

4. [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 sanctions, 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 working days of being charged with its task, except where exigent circumstances apply. 

5. [Determination of the dean] The dean shall make a determination for or against the faculty member and shall determine the sanctions, if any, and implement disciplinary sanctions within thirty working days of receiving the committee report, except where exigent circumstances apply. If the committee does not complete its work within thirty working days, the dean shall implement disciplinary sanction(s) on the basis of the existing file within thirty working 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 working days from the date of the committee’s report to reach a decision, except where exigent circumstances apply.

6[List of sanctions] Sanctions under this Title shall include, but are not limited to, the following:

Removal of privileges

7. [Appeal] The faculty member has the right to appeal the decision in writing to the dean on the following grounds: (1) the decision was not supported by substantial evidence on the record, or (2) the investigation was not conducted fairly or in accordance with the applicable policy and/or procedures; or (3) the sanction is disproportionate to the infraction.  The dean will consider the appeal.  The dean’s decision on the appeal is final. In disciplinary cases involving the dean, the dean may appeal to the Provost on these same grounds.