IX. Grievances, Complaints, and Faculty Liaison Committee Intervention
A. Issues Regarding Faculty Non-Reappointment
If a Faculty member on probationary or other non-tenure appointment alleges that inadequate consideration significantly contributed to a decision not to reappoint him/her, his/her allegation may be considered by the Faculty Liaison Committee. Complaints of inadequate consideration are likely to relate to matters of professional judgment where the Professional Standards Committee has primary authority. Thus, the Faculty Liaison Committee’s role is limited to considering, in consultation with the Office of Human Resources, whether adequate consideration was given in terms of the relevant standards of Keuka College. Should the Faculty Liaison Committee believe that adequate consideration was not given to the Faculty
member’s qualifications, they may request that the Professional Standards Committee reconsider their recommendation. This request for reconsideration should include an explanation and be sent to the Faculty member, the Professional Standards Committee, and the President or other appropriate administrative officer. The Faculty Liaison Committee should not substitute its judgement on the merits for that of the Professional Standards Committee.
B. Faculty Grievances Not Related to Reappointment
If any Faculty member feels that s/he has cause for grievance in any matter not covered by the procedures in the foregoing regulations—such matters as salaries, assignment of teaching duties, assignment of space or other facilities, and propriety of conduct— s/he may petition the Faculty Liaison Committee in consultation with the Office of Human Resources for redress. The petition shall set forth in detail the nature of the grievance and shall state against whom the grievance is directed. It shall contain any factual or other data that the petitioner deems pertinent to his/her case. The Committee will have the right to decide whether or not the facts merit a detailed investigation or detailed consideration thereof. The Committee may seek to bring about a settlement of the issue satisfactory to the parties. If in the opinion of the Committee such a settlement is not possible or appropriate, the Committee will report its findings and recommendations to the petitioner and to the appropriate administrative officer and Faculty body, and the petitioner will, at his/her request, be provided an opportunity to present his/her case to them.
C. Issues Relating to Financial Exigency
If the administration issues notice to a particular Faculty member of an intention to terminate the appointment because of financial exigency, the Faculty member will have the right to a full hearing before the Faculty Liaison Committee. The hearing need not conform in all respects with a proceeding conducted pursuant to AAUP Regulation 5 (Recommended Institutional Regulations on Academic Freedom and Tenure), but the essentials of an on-the-record adjudicative hearing will be observed. The issues in this hearing may include:
1. The existence and extent of the condition of financial exigency. The burden will rest on the administration to prove the existence and extent of the condition. The findings of the Professional Standards Committee or other committees of the Faculty involving considerations of educational policy and Faculty status may be introduced.
2. The validity of the educational judgments and the criteria for identification for termination; but the recommendations of a Faculty body on these matters will be considered presumptively valid.
3. Whether the criteria are being properly applied in the individual case.
D. Issues Relating to Termination Due to Discontinuance of Programs or Departments Not Mandated by Financial Exigency.
A Faculty member may appeal a proposed relocation or termination resulting from a discontinuance and has a right to a full hearing before the Faculty Liaison Committee. The hearing need not conform in all respects with a proceeding conducted pursuant to AAUP
Regulation 5 (Recommended Institutional Regulations on Academic Freedom and Tenure), but the essentials of an on-the-record adjudicative hearing will be observed. The issues in such a hearing may include the following:
1. The institution’s failure to satisfy any of the conditions specified with regard to a legitimate Discontinuance of Programs or Departments.
2. In such a hearing, a Faculty determination that a program or department is to be discontinued will be considered presumptively valid.
3. The burden of proof on other issues will rest on the administration.
E. Issues Relating to Termination for Medical Reasons
If a Faculty member is being terminated because it is determined that s/he can no longer fulfill the terms and conditions of the appointment because of medical reasons, the Faculty member may request that the evidence be reviewed by the Faculty Liaison Committee before a final decision is made by the Board of Trustees on the recommendation of the President.
F. Issues Relating to Termination for Cause
1. The President of the College initiates the formal dismissal proceedings by informing the Faculty member, in writing, of the following:
a. The specific charges which have led to the dismissal action as defined in AAUP Regulation 5(a) (Recommended Institutional Regulations on Academic Freedom and Tenure).
b. His/her right to request a hearing committee to determine the validity of the reasons and/or whether these charges warrant removal from the Faculty as outlined in Section A, Article V, C, (7).
c. The Faculty member’s procedural rights, either in detail or by reference to published regulations.
d. The Faculty member has 10 days from receipt of the letter to respond, in writing, whether s/he wishes to challenge the dismissal charges by requesting a formal hearing.
2. The Faculty member should respond in writing within 10 days of the receipt of the letter whether s/he wishes to challenge the dismissal charges by requesting a formal hearing.
G. The Hearing Committee
1. As soon as possible, but no later than five working days after the Faculty member has notified the President, in writing, that s/he wishes to request a formal hearing, the President should request the Faculty Liaison Committee to appoint five tenured Faculty members to conduct the hearing and reach a decision on the dismissal charges. (This
committee is hereinafter referred to as the Hearing Committee as per Section A, V, C. (7).
2. The choice of Faculty members selected to serve on the Hearing Committee should be on the basis of their objectivity and competence and of the regard in which they are held in the academic community.
3. Members deeming themselves disqualified for bias or interest shall remove themselves from the case, either at the request of a party or on their own initiative.
4. The validity of either party’s request that a member be disqualified because of bias or interest will be determined by the FLC.
5. Each party involved (that is, the Faculty member and the administration) will have a maximum of two challenges, without stated cause, to the roster of candidates put forward by the Faculty Liaison Committee.
6. Vacancies on the Hearing Committee resulting from disqualification, challenge without cause, illness, resignation, or any other reason will be filled by the Faculty Liaison Committee’s appointments.
7. The Hearing Committee shall elect its own Chair.
8. The Hearing Committee must include the Director of Human Resources or designate.
H. The Pre-Hearing Procedure
1. The Hearing Committee should consider the statement of grounds for dismissal already formulated and the Faculty member’s response written in response to the charges.
2. The Hearing Committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties in order to (a) simplify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, and (d) achieve such other appropriate pre-hearing objectives as will make the hearing fair.
3. The Faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the Faculty member waives a hearing, but denies the charges against him/her or asserts that the charges do not support a finding of adequate cause, the hearing tribunal will evaluate all available evidence and rest its recommendation upon the evidence in the record.
4. The President, in consultation with Human Resources, the FLC, and the Faculty member, will exercise his/her judgments as to whether the hearing should be public or private.
5. At the request of either party or the hearing committee, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer.
6. A verbatim record of the hearing or hearings will be taken and a typewritten copy will be made available to the Faculty member, without cost, at the Faculty member’s request.
7. Except for such simple announcements as may be required covering the time of the hearing and similar matters, public statements and publicity about the case by either the Faculty member or administrative officers will be avoided so far as possible until the proceedings have been completed, including consideration by the governing board of the institution.
8. The Faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration will cooperate with the Hearing Committee in securing witnesses and making available documentary and other evidence.
I. The Hearing
1. The hearing will commence within 30 days from the time that the Faculty Liaison Committee was officially notified to appoint a Hearing Committee.
2. The burden of proof that adequate cause exists rests with the institution and shall be satisfied only by clear and convincing evidence in the record considered as a whole.
3. The Hearing Committee will not be bound by strict rules of legal evidence, and may admit any evidence that is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
4. Unless special circumstances warrant, it should not be necessary to follow formal rules of court procedure.
5. During the proceedings, the Faculty member will be permitted to have an academic advisor and counsel of his/her own.
6. The President should have the option of attendance during the hearing. He/she may designate an appropriate representative to assist in developing the case, but the Committee should determine the order of proof, should normally conduct the questioning of witnesses, and, if necessary, should secure the presentation of evidence important to the case.
7. The Faculty member will have the opportunity to be confronted by all witnesses adverse to him/her.
8. The Faculty member and the administration will have the right to cross-examine, within limits, all witnesses. Where unusual and urgent reasons prevent a witness from appearing, but the Hearing Committee determines that the interests of justice require
admission of their statements, the Committee will identify the witnesses, disclose their statements, and, if possible, provide for interrogatories.
9. In a hearing of charges of incompetence, the testimony will include that of qualified Faculty members from this or other institutions of higher education.
10. The Hearing Committee will grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
11. The findings of fact and the decision will be based solely on the hearing record.
12. The Hearing Committee should make explicit findings with respect to each of the grounds of removal presented, and a reasoned opinion may be desirable.
13. The President and the Faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing.
14. Any release to the public concerning the outcome of the Hearing Committee should be made through the President’s Office.
J. Hearing Committee Findings
1. If the Hearing Committee concludes that adequate case for dismissal has not been established by the evidence in the record, it will so report to the President. If the President rejects the report, he/she will state the reasons for doing so, in writing, to the Hearing Committee and to the Faculty member, and provide an opportunity for response before transmitting the case to the Board of Trustees.
2. If the Hearing Committee concludes that adequate cause for a dismissal has been established, but that an academic penalty less than dismissal would be more appropriate, it will so recommend, with supporting reasons. If the President rejects the recommendation, s/he will state the reasons for doing so, in writing, to the Hearing Committee and to the Faculty member, and provide an opportunity for response before transmitting the case to the Board of Trustees.
3. If the Hearing Committee concludes that adequate cause for a dismissal has been established, the accused Faculty member may request that the Board of Trustees review the case.
K. Board of Trustees
1. The President should transmit to the Board of Trustees the full report of the Hearing Committee, stating its action. On the assumption that the Board of Trustees has accepted the principle of the Hearing Committee, acceptance of the Committee’s decision would normally be expected.
2. If the Board of Trustees chooses to review the case, its review should be based on the record of the committee hearing, and it will provide opportunity for argument, oral or written or both, by the principals at the hearing or by their representatives.
3. The decision of the Hearing Committee will either be sustained or the proceeding returned to the Committee with specific objections.
4. The Committee will then reconsider, taking into account the stated objections and receiving new evidence if necessary. It should frame its decision and communicate it in the same manner as before.
5. The Board of Trustees will make a final decision only after study of the Committee’s recommendation.
6. Announcement of the final decision should include a statement of the Hearing Committee’s original action, if this has not previously been made known.