Academic Senate

1. A motion should be typed or hand-printed.
2. A motion should first be offered to the Executive Board for review and advice on editing and parliamentary implications.
3. If changes are necessary, the motion should be recopied on another form. Amendments may be indicated in the margin or on the reverse of this form.

CHANGES TO THE FACULTY HANDBOOK

WHEREAS, the Academic Senate Committee on the Faculty Handbook and the University administration agree that certain handbook provisions governing faculty dismissal procedures need improvement, specifically:

   o            section 3-2 (C) (faculty responsibilities) overlooks clinical responsibilities of some University faculty;

   o            section 3-6 (conditions of tenure) and other passages still mention “premature retirement” even though retirement is no longer mandatory:

   o            section 3-9 (B) (causes for dismissal) is vague and does not limit dismissal to specified types of offenses;

   o            section 3-9 (C) (dismissal procedures) fails to cross-reference special procedures that now apply in cases of alleged sexual harassment and alleged scientific misconduct;

   o            section 3-9, as a whole, fails to provide a remedy for the possibility that a professor under investigation will cease to perform his or her duties yet expect continued salary despite the absence from work; and

   o       the handbook uses the term “demotion,” but it is never defined;

BE IT RESOLVED THAT, the Academic Senate endorse the changes in Section 3-2 (C) and (F); Section 3-6; Section 3-9 (B), (C), (D), (E), (F), (G), (H), (I); and Section 3-14 (B) of the Faculty Handbook, as specified below:

§ 3-2  FACULTY RIGHTS AND RESPONSIBILITIES

§ 3‑2 (C)  Faculty Responsibilities

Although various groups contribute in different ways to the University's well being, it is the faculty‑‑and only the faculty‑‑who create and enhance the scholarly excellence of the University.  Their importance to the intellectual life of the University and the community at large confers on them, individually and collectively, certain responsibilities to the institution, to their students, and to their respective disciplines.

Faculty discharge these responsibilities through teaching, research, and service.  The average activity profile of a full‑time tenure‑track or tenured U.S.C. faculty member is approximately 35‑45% each of teaching and research and 5‑15% of service.  Although actual percentages may vary depending on the needs of the faculty member's academic unit, it is expected that each tenured and tenure‑track faculty member will make a significant contribution in each of the three areas of responsibility.  Non‑tenure‑track faculty will have a different activity profile depending on the needs and expectations of the academic unit in which they serve.  The specific nature of a faculty member's teaching, research, and/or service to the University may be adapted in accordance with the demands of the specific academic unit and/or the terms of a particular faculty member's negotiated profile.  The activity profile should be established through consultation between each faculty member and the dean or chair of the academic unit.  Faculty members may pursue other professional activities as long as these endeavors do not detract from the faculty member's responsibilities to the University.

Teaching includes classroom and other instruction of undergraduate, graduate, and professional and post-graduate students, and academic advising.  Faculty are expected to meet their classes, be accessible to their students through regularly scheduled and sufficient office hours, and provide grading of student work in a timely fashion.  Each class is to be provided with a syllabus outlining goals, the course schedule, readings, requirements for research papers, a timetable for examinations, the method and criteria for grading, and the means by which students can contact the faculty member outside the classroom.  Students in all classes, labs, and discussion sections should be given the opportunity to provide evaluation and suggestions through anonymous course assessment forms.  Faculty are expected to teach courses [DELETE: and carry out clinical and other service responsibilities] that have been assigned to them by the department chair, after consultation with department faculty, on the basis of departmental or school needs.

ADDED PARAGRAPH:

Faculty in a clinical department are expected to perform responsibilities that have been assigned by the department chair, after consultation with the affected individual and a standing or ad hoc department faculty committee.  Such clinical assignments shall be made on the basis of departmental needs and in accordance with the normal and customary requirements of the department.

Faculty are expected to engage in high quality, continuing research of a type appropriate for the field, discipline, interdisciplinary area.  Typically, the product of the research effort is publication or its counterpart in the visual and performing arts (performances, or exhibitions, and the like).  Depending on the discipline, the research effort involves the supervision and mentoring of undergraduate students, graduate students, other faculty, and those occupying post-doctoral or other research positions.  Similarly, as each faculty member may deem appropriate and depending on the field or discipline, research can include considerable effort in the writing of proposals or related endeavors to acquire outside funding as may be needed to conduct a faculty member's research.  Participation in conferences, professional societies, and peer review panels are common activities.  Ultimately, the results of research are expected to contribute to the scholar's national or international reputation.

Service includes effort on committees and other activities at the departmental level through the University level.  Depending on the field or discipline, this effort may include work outside the University.  It is expected that the service functions of the University will be carried out largely by tenured faculty members.  Probationary tenure-track faculty and non-tenure-track faculty generally have a reduced role in service activities.

ADDED PARAGRAPH:

Teaching, clinical, and service assignments shall not be made for discriminatory or retaliatory reasons.  Claims that assignments violate this or any other provision of the Faculty Handbook, other University policies, or provisions of law are subject to review through the grievance procedure, but contested assignments shall be performed pending any such review.

All faculty, tenured, tenure-track and non-tenure-track, are to undergo periodic review that occurs on an annual or multi-year schedule

§ 3-2 (F)  Full-Time Service

Full-time service of faculty includes:

Performance of teaching and clinical duties or librarianship in accord with established requirements of the particular school or department in which the faculty member is employed.

Professional development and enhancement of the public good and of the strength of the University through research, scholarly publication or other creative activity, and interest in professional groups and societies.

Counseling of students, assisting in registration and Commencement, maintaining regular office hours, serving on University Committees, and performing such other University service as may be needed during the academic year

§ 3‑6  CONDITIONS OF TENURE

Tenure confers on its bearer Faculty tenure is the right of a tenured track faculty member to hold his or her position with pay until retirement.  Only for adequate cause and under through stipulated procedures may the faculty member be dismissed, demoted, prematurely retired,or placed on indefinite leave without pay from that position.

Tenure and promotion are separate processes.  Tenure should be considered on an individual basis and should be fully justified.

The President is empowered by the Board of Trustees to take action relating to appointments, promotions, demotions, dismissals, premature retirements,and assignments to indefinite leave, of all personnel holding tenured positions as defined herein.  In such actions the President is advised by the Provost and the appropriate University committee, and may delegate his or her authority to the Provost.

Tenured faculty shall not may be dismissed, or demoted, or prematurely retired except for adequate cause as defined in(See section on Faculty Dismissals. [hyperlink to Section 3-9]) only upon proof of one or more of the following: serious neglect of duty; incompetence; major violations of academic freedom; misconduct; dishonesty; conflict of interest that brings severe injury or discredit to the University; or moral turpitude related directly and substantially to the fitness of the faculty member in his/her professional capacity as a teacher or researcher.

Tenured faculty may be urged to apply for disability status in the event of physical or mental incapacity.  The Provost may place Tenured tenured faculty may be placed on Special Leave of Absence upon proof of severe physical or mental incapacity.  The intention is, whenever reasonable, that tenured faculty be returned from disability to active status.  When this is not possible, tenured faculty may be involuntarily retired early upon proof of such physical or mental incapacity.  In such cases financial benefits that have accrued as a result of service to the University shall not be forfeited.

Tenured faculty may be placed on indefinite leave without pay if reductions in faculty become necessary under extraordinary circumstances because of demonstrated bona fide financial exigency.  Financial benefits accrued through their University service shall not be forfeited.

§ 3‑9  FACULTY DISMISSALS  

§ 3‑9 (A)  Scope

This section applies to the dismissal for cause of a tenured faculty member, to the dismissal for cause of a tenure‑track faculty member before the expiration of his or her term of appointment, and to the dismissal for cause of a non‑tenure‑track faculty member before the expiration of his or her contract.  Dismissal for cause should not be confused with nonreappointment.

§ 3‑9 (B)  Adequate Causes for Dismissal

Adequate cause for a dismissal shall be related, one or more of the following:  neglect of duty, incompetence, violations of academic freedom, misconduct, dishonesty, conflict of interest, or moral turpitude.  No offense will be considered adequate cause for dismissal unless it is serious and either (a) relates directly and substantially, to the fitness of the faculty member in his or her professional capacity as a teacher, or researcher, scholar, (See section on Conditions of Tenure). or practitioner performing clinical or other services, or (b) is of such a nature that it would bring severe injury or discredit to the University.  Dismissal shall not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.

§ 3‑9 (C)  Dismissal Procedures

Every aAction to dismiss a faculty member must follow these carefully detailed procedures, with the full cognizance of the affected person, the Provost, the President of the Faculty, the chair of the Committee on Faculty Rights and Responsibilities of the Academic Senate, and the chair of the University Committee on Faculty Tenure and Privileges Appeals.  The full set of faculty rights enumerated herein must be observed.  in every action to which this section applies, see above.  Prior to the dismissal of a faculty member, the procedure described in Steps 1‑5 below is required

Procedures pertaining to allegations of sexual harassment, including hearings held by the University Committee on Tenure and Privileges Appeals, are specified in the section on Sexual Harassment [hyperlink to Section 3-14 (B)].  For sexual harassment complaints, the procedures set forth in Section 3-14 (B) supplant steps 1-3 of section 3-9 (D) and modify steps 4 and 5 of section 3-9 (E).

Procedures pertaining to allegations of scientific misconduct include inquiry and investigation stages according to the University Policy on Scientific Misconduct as jointly formulated in consultation with an appropriate faculty committee and in accord with the applicable Federal regulatory requirements.  For scientific misconduct allegations, the Policy on Scientific Misconduct supplants steps 1-3 of section 3-9 (D); any subsequent consideration of dismissal for scientific misconduct requires the formal proceedings described in steps 4 and 5 of section 3-9 (E).

Dismissal actions for all other causes require the preliminary inquiries described in steps 1-3 of section 3-9 (D) and the formal proceedings described in steps 4 and 5 of section 3-9 (E).

§ 3‑9 (D)  Preliminary Inquiry

Step 1: When reason arises to consider whether cause exists to dismiss question the fitness of a faculty member who has tenure or whose term of appointment or contract has not expired, the relevant dean or academic director should ordinarily attempt to discuss the matter with him or her in a personal conference looking to mutual settlement.  If settlement does not result and the dean is satisfied that there is a probable cause for dismissal, he or she shall propose such action to the Provost.  The dean's consideration of recommending dismissal recommendation  for cause shall be based on a thorough inquiry into careful investigation of the circumstances.  The dean shall may consult with a faculty committee, such as the school's elected Faculty Council or an specially appointed ad hoc committee.  For this purpose, the faculty committee shall include a faculty member from outside the school drawn from either the Faculty Rights and Responsibilities Committee or the Tenure and Privileges Appeals Committee.  The chair of the Academic Senate Committee on Faculty Rights and Responsibilities is available for consultation,. and the Faculty Mediation Officer is available for mediation, but mediation is not mandatory.  If the dean is satisfied that there is a probable cause for dismissal, he or she shall propose such action to the Provost.

Step 2: After completion of Step 1, the dean's recommendation is forwarded to the Provost.  If the Provost then believes there may be probable cause for a dismissal, he or she shall formulate a preliminary statement of charges with reasonable particularity of the grounds pertinent to the dismissal action under consideration.  A copy of the charges and grounds shall be given to the faculty member for the faculty member's comment to the Provost.

Step 3: If the Provost is satisfied there is good cause to proceed further, he or she shall request a review of the evidence by a three‑person select committee appointed by the President of the Faculty from a list of six members of the University Committee on Faculty Tenure and Privileges Appeals nominated by the chair of that committee.  The select committee shall review the evidence to determine whether, in its view, sufficient grounds exist to initiate formal dismissal proceedings.  The faculty member shall be allowed to review all the evidence upon which the committee will rely in making its recommendation and to present a response to the committee.  The committee will allow the faculty member 15 days within which to conduct such review and make such response.  The committee shall convey its recommendations to the Provost within 45 days of its appointment.  If, for any reason, it proves necessary for this time to be extended, the committee shall request an extension from the Provost, who shall notify the faculty member and others involved of any approved extension.  The committee's recommendations are not binding on the Provost.

§ 3‑9 (E)  Formal Proceedings

Step 4: If the Provost determines that formal proceedings for dismissal should commence, such proceedings shall begin by conveyance of written notice from the Provost to the faculty member by certified mail or by other means.  This notice shall contain containing the formal statement of charges framed with reasonable particularity, and state of the University's intent to initiate a dismissal hearing.  The faculty member, in this letter, shall be given the option of resigning in lieu of a dismissal hearing.  A copy of this letter will be sent to the chair of the Academic Senate Committee on Faculty Rights and Responsibilities.

Step 5: If, within thirty days of the receipt of the letter from the Provost, the faculty member has not resigned or the Academic Senate Committee on Faculty Rights and Responsibilities and Faculty Mediation Officer have not, through mediation, effected a mutual settlement, the Provost it shall be assumed that the faculty member contests the statement of charges. and The Provost shall ask the chair of the Faculty Tenure and Privileges Committee to convene a Hearing Board to recommend whether the proposed dismissal should occur.  The hearing shall be convened no earlier than thirty days after receipt of written notice by means specified in Step 4.  Normal procedures shall then be followed for constituting the Hearing Board; for scheduling and conduct of the hearing, including participation by the faculty member; for formulation of findings, reasons, and recommendations of the Hearing Board; and for final disposition of the case by the President.  These normal procedures specified for use in faculty grievances are incorporated herein as required procedures in dismissal cases, except that there is no option for binding arbitration in cases involving dismissal for cause.  In cases of dismissal or , demotion, or premature retirement from a tenured position or of dismissal prior to the end of a contract, the burden of persuading the Hearing Board that adequate cause for dismissal exists rests upon the University, and shall be satisfied only by a clear, persuasive, preponderance of evidence in the record considered as a whole.

§ 3‑9 (F)  Suspension of a Faculty Member

A faculty member may be suspended from his or her duties, without loss of pay and usual faculty privileges, only as part of the initiation of a dismissal action and only if, in the judgment of the Provost, immediate harm to the faculty member or others is threatened by his or her continuance.  In no event shall suspension be used as penalty, an alternative to dismissal, or outside normal dismissal procedures.  A faculty member may not be dismissed nor, except as specified in subsection 3-9 (G), may or have his or her compensation be terminated or withheld, before the dismissal procedure has been completed and a final decision has been made by the President.

§ 3-9 (G) Abandonment of Duty

If the dean, on the advice of the faculty committee consulted in Step 1 of the dismissal procedures (subsection 3-9 (D)), determines that the faculty member has abandoned his or her duties, e.g., by failing to return from vacation or leave, or by a pattern of failure to teach scheduled classes (see subsection 3-9 (C)), or by a pattern of failure to meet established clinical responsibilities, then compensation may be withheld for the period the duties are not being performed.  If the faculty member returns to his or her duties at any time in the process, compensation shall resume immediately.

The faculty member may appeal such a determination of abandonment of duty to the Provost.  If this determination is reversed at any step in the procedures, compensation that has been withheld shall be paid in full, at once, with interest at the statutory rate.

If the conclusion of the dismissal procedures results in severing the ties between the faculty member and the University, and if the finding of abandonment of duty is not reversed, then the faculty member is not entitled to receive compensation that had been withheld.

§3-9 (H) Demotion of a Faculty Member

Demotion is a reduction in rank, e.g., from professor to associate professor, with a corresponding reduction in salary. It does not involve loss of tenure.

§ 3‑9 (IG)  Terminal Notice

If the appointment is to be terminated, the faculty member shall receive reasonable notice or salary in lieu of notice.  The President in determining the length of terminal notice or salary in lieu of notice shall take into account the length and quality of service and the character of the grounds upon which the action was based.

§ 3-14  SEXUAL HARASSMENT

§ (B)  Complaint Procedures Against Faculty

5.  Investigation and Action

The Designated Investigator shall investigate the complaint to determine whether there is a sufficient basis to conclude that sexual harassment, or a threat, attempt, or actual retaliation, has occurred.  In the conduct of the investigation, the Designated Investigator shall present the alleged offender(s) with a copy of the formal complaint and the alleged offender(s) will be asked to respond in writing.  The complainant and alleged offender(s) may exchange written rebuttals and may provide statements from any witnesses.  The Designated Investigator may personally interview each of the principals involved as well as others with relevant information.  In making a determination of whether there is a sufficient basis for the complaint, the Designated Investigator shall consider the perceptions of the complaint, the alleged offender(s), witnesses to the incident and others who have information about the presence or absence of conduct following the same pattern.  The fact that there is no witness to the incident that the complainant says occurred and the alleged offender denies, does not require a finding that harassment has, or has not, occurred.

Within twenty‑one calendar days of receiving the complaint, the Designated Investigator shall make a written report of his or her investigation and determination to the Office of the University General Counsel.

In determining whether to proceed, the University, by its designees, shall look at all the circumstances including the frequency of the harassing or retaliatory conduct, its severity, whether it is physically threatening or humiliating, or an offensive utterance, and whether it unreasonably interferes with the work or studies of the complainant or others.

In those instances where an action of the alleged offender has been identified as a threat, attempt, or actual retaliation, the possibility and credibility of alternative explanations for the identified actions will be considered.

Within one calendar month of notification to the Designated Recipient (or such longer period to which the complainant agrees), the Office of the University General Counsel shall determine whether there is a sufficient basis to conclude that sexual harassment, or that one or more attempts, threats, or actual retaliation, has occurred.

If the Office of the University General Counsel, in consultation with the Vice Provost for Faculty and Minority Affairs ("Vice Provost"), determines that there is an insufficient basis to conclude that sexual harassment or one or more attempts, threats, or actual retaliation has occurred, that will conclude the University's investigation, and the University shall proceed no further at that time.  A written summary of the basis of this decision shall be provided to the complainant and the alleged offender(s).  As an exception, if the proposed sanction is demotion or termination, the Office of University General Counsel will recommend to the Provost filing of formal charges corresponding to step 4 of section 3-9 (E), and a hearing will be held corresponding to step 5 of section 3-9 (E), which will follow all the procedures of subsection 3-14 (B) (6).

The complainant may appeal a finding that there is an insufficient basis to conclude that sexual harassment or retaliation (actual, threatened or attempted) has occurred ("insufficient basis finding") by a written appeal to the Provost.  The written appeal must be received by the Provost within fifteen working days of the date of the insufficient basis finding.

If the Office of the University General Counsel, after consultation with the Vice Provost, determines there is a sufficient basis to conclude that sexual harassment or that one or more attempts, threats, or actual retaliation has occurred, they shall issue a written ruling stating the sanctions the University shall impose on the person or persons they have determined committed sexual harassment or retaliation and any other corrective action the University shall take.  If the sanction or corrective action is not in agreement with the remedy requested by complainant, the reason for this decision shall be included in the written ruling.  Copies of this ruling shall be given to the complainant and to the person or persons they have determined committed sexual harassment or threatened, attempted, or engaged in one or more acts of retaliation.

Unless the Vice Provost and the Office of the University General Counsel determine that immediate action is necessary to address a risk of ongoing harassment or retaliation or is in the best interest of the University, any sanctions that they have determined the University should impose shall go into effect against the person concerned no sooner than ten calendar days after he or she has received a copy of the ruling, unless he or she files a written appeal before the ten days have elapsed with the chair of the University Committee on Tenure and Privileges Appeals (see subsection (B) (6)).