III. Faculty Personnel Policies and Procedures

Preface

The following regulations are designed to enable the University of Richmond to protect academic freedom through tenure and the requirements of academic due process. The principles implicit in these regulations are for the benefit of all who are involved with or are affected by the policies and programs of the institution. A university is a marketplace of ideas, and it cannot fulfill its purposes of transmitting, evaluating, and extending knowledge if it requires conformity with any orthodoxy of content and method. In the words of the United States Supreme Court, "Teachers and students must always remain free to inquire, to study, and to evaluate, to gain new maturity and understanding; otherwise, our civilization will stagnate and die."

______________________________________________________________________

A.  Revision Process
B.  Statement of Terms of Appointment
C.  Evaluation for Personnel Decisions
D.  Termination of Appointment by the Faculty Member
E.  Procedures for the Discontinuance of an Academic Department or Program of Instruction Involving Possible Dismissal of Tenured Faculty
F.  Termination by the Institution of Continuous Tenure or Termination of an Appointment Before the End of the Specified Contractual Term
G.  Academic Freedom
H.  Grievance Procedures
______________________________________________________________________

A. Revision Process

All sections from this point on in Chapter III require approval of the Board of Trustees to change. The statement regarding revisions is as follows:

Revisions to this section may be proposed by a majority vote of the
University Faculty, which are then transmitted through the Provost and
President for vote by the Board of Trustees.

B. Statement of Terms of Appointment

The terms and conditions of every appointment to the faculty will be stated or confirmed in writing, and a copy of the appointment document will be supplied to the faculty member by the appropriate deans' office. Any subsequent extensions or modifications of an appointment, and any special understandings, or any notices incumbent upon either party to provide, will be stated or confirmed in writing and a copy will be given to the faculty member.

Persons with teaching or research appointments of any kind will be informed each year in writing of their appointments. Matters that have special significance relative to future tenure possibilities will be indicated.

Applicable terms of appointment are contained not only in the letter of appointment, but also in the Faculty Handbook of the University. Changes in the terms of the appointment are determined by the Board of Trustees.

All members of the faculty on probationary or term appointments must indicate their acceptance of the terms annually by signing and returning a copy of the appointment or contract letter.

Faculty positions, including teaching, research and others with faculty status at the University are held under one of five appointment status categories:

• Tenured faculty members are those persons who have been confirmed in such status by action of the Board of Trustees on recommendation of the President subsequent to appropriate peer and administrative review.
• Probationary faculty members are those persons who are appointed without contractual understanding that the appointment is for a maximum fixed term but who have not achieved tenured status. These appointments are also called tenure-track appointments and carry the possibility of tenure at a future date.
• Two- or three-year term faculty members are those persons who have been appointed to an annual contract which may be renewed to the limit of the specified term of two or three years assuming satisfactory service and continued University need. The appointment terminates at the end of the specified term.
• Temporary and restricted term appointments, whether full-time or part-time, are term appointments for up to one semester or one academic year and are not renewable except by subsequent and separate agreement. Visiting faculty appointments fall in this category.
• Continuing appointments, whether full-time or part-time, include those with faculty status that do not specify tenured, tenure-track, two or three-year term or temporary and restricted term appointments.

Each of these appointment status categories is further explained and defined below.

1. Tenured Appointments
Faculty members with tenure shall have permanent or continuous appointments, and their service shall be terminated only for cause (See Termination by the University of Continuous Tenure or Termination of an Appointment Before the End of the Specified Contractual Term).

Faculty members who have tenure status will be notified in writing of any changes in their terms (salary, etc.) of their appointments by March 15 preceding the academic year in which the change is effective.

The awarding of tenure status to faculty members shall in every case only be made by the Board of Trustees, upon a nomination by the President following the recommendation of the Provost.

Before making a recommendation about tenure to the President, the Provost shall consult with and receive the recommendation of the academic Dean, and through the Dean, shall secure the advice and recommendation of the academic department or school involved. Recommendations for tenure are based on the criteria described in Evaluation for Personnel Decisions and in standards for each school. (See Appendix:  School-Specific Personnel Policies and Procedures.) Fulfillment of these criteria, however, does not necessitate a positive tenure decision.

Academic deans of Arts and Sciences, Business, Law, and Leadership Studies may be granted tenure as a faculty member in a department following the same procedures. No individual may hold tenure in an administrative position.

2. Probationary Appointments (Tenure -Track)
Probationary appointments may be made for one year, subject to renewal. The total period of full-time service at the University prior to the acquisition of continuous tenure will not exceed seven years. By mutual consent, in writing, prior teaching experience at other institutions of higher learning or at the University may be waived at the time of initial appointment to a tenure track position to give the individual the full seven-year probationary period.

In only the most exceptional cases will the probationary period be less than three years. Reappointment to a probationary position is made annually following review and satisfactory performance and continuing University need. Ordinarily, individuals on probationary appointments are considered for tenure during their sixth year. In the event the decision is positive, the individual will be awarded tenure at the beginning of the next academic year. In the event of a negative decision, the following year will be terminal and reappointment will not be made beyond that year. The Provost, on recommendation of the school Dean, may grant the request of a tenure candidate to be considered earlier than the normal sixth year. In such an instance, the decision reached will be final and conclusive and, in the event of a negative decision, the following year will be terminal. Time spent on unpaid leave of absence or maternity leave will not count as probationary period service, unless the individual and the institution agree to the contrary at the time leave is granted.

Under certain medical circumstances in which the faculty member continues to teach full-time but for medical reasons, including pregnancy or childbirth, is unable to engage in the full array of faculty responsibilities, the individual may request a delay in the date of the tenure decision. Such "stop the clock" requests must be approved by the Provost in consultation with the Dean. If the request is approved, the date of the tenure decision will be postponed for a maximum of one year.

Regardless of the stated term or other provisions of any probationary appointments, written notice that a probationary appointment is not to be renewed will be given to the faculty member in advance of the expiration of the appointment as follows: (1) As soon as possible, but not later than March 1 of the first academic year of service, if the appointment expires at the end of the academic year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination; (2) As soon as possible, but not later than December 15 of the second academic year of service, if the appointment expires at the end of that year; or, if the second year of appointment terminates during an academic year, at least six months in advance of its termination; (3) At least twelve months before the expiration of an appointment after two or more years of service at the institution. The institution will normally notify faculty members of the terms and conditions of their renewals by March 15, but in no case will such information be given later than March 31.

Note: The academic year is defined as the time between the University faculty meeting immediately preceding the first semester (or the first day of classes, whichever is earlier) and Commencement following the second semester (or the last faculty meeting of the year, whichever is later). Therefore, a twelve-month notice of termination of contract must be given before Commencement of the academic year preceding the terminal contract.

3. Two- or Three-Year Term Appointments
Faculty members may be appointed on a full-time basis for one year with the contractual understanding that the annual contract may be renewed for a specified maximum term of two or three years, each annual renewal during this period being contingent upon satisfactory service and continued University need. Such appointments are not tenure eligible and are not renewable for a second two- or three-year period except by separate and specific written agreement. Notice that a two- or three-year term appointment is not to be renewed shall be given as indicated for Probationary Appointments.

4. Temporary and Restricted (Full- or Part-Time) Appointments
Faculty appointments may be made, on either a full-time or part-time basis, for a specified term of part or all of one semester or one academic year, with the contractual understanding that such appointments terminate on the date specified in the contract and are not renewable unless there is a subsequent, separate, and specific written agreement to do so, in which case a new contract will be offered. The requirement of written due notice of termination, as described in section Probationary Appointments above, does not apply to any temporary and restricted appointment; nor are such appointments tenure eligible.

5. Continuing Appointments
Certain employees of the University, whose appointments do not fall in one of the above categories may, because of their professional and educationally related roles at the University, be given faculty status. These individuals are employed under continuing appointments which adhere to the principles of employment-at-will and assume satisfactory performance and continued University need.

C. Evaluation for Personnel Decisions

1. University Standards for Tenure, Promotion, and Salary Decisions
Tenure, promotion, and salary decisions are based on an assessment of excellence in teaching, scholarship, and service. The standards by which excellence is judged are stipulated separately for each school (Appendix: School-Specific Personnel Policies and Procedures). Generally, excellence in teaching shall be evidenced by a faculty member's command of the developing subject matter, the ability to organize and present it effectively, and the utilization of effective teaching methods and strategies. Consideration may be given to the effective mentoring of student academic work outside of the classroom. Excellence in research/scholarship shall be evidenced (with documentation) by professional growth through original research, study, publication, performance (in the fine arts), or other significant professional activities.  Excellence in service shall be evidenced by effective academic advising and effective participation in the affairs of the faculty and University community, particularly through committee activities. Consideration may be given to service to professional communities beyond the University.

Tenure and promotion procedures are not standardized over the several schools and faculties. Tenure decisions shall be made solely on the basis of the merits of the candidates and the needs of programs, without regard to quotas and within the context of existing tenure policy (Appendix: School-Specific Personnel Policies and Procedures). Other factors affecting personnel decisions include the economic or budgetary situation of the University. Certain degrees or certifications (appropriate to the division and discipline) are usually considered necessary for tenure and for the rank of Assistant Professor and above.

2. General Procedures for Tenure and Promotion Decisions
Successive reviews and recommendations for tenure and promotion decisions are made through a route that involves the department and/or a faculty committee, the respective Dean, the Provost, and the President. All tenure and promotion decisions are made by the Board of Trustees only on the positive recommendation of the President.

An individual may stand for tenure only once.

Each person involved in the process is expected to be familiar with the criteria on which recommendations respecting tenure and promotion are based and exercise great care that inappropriate criteria play no part. It is the policy of the University of Richmond not to discriminate on the basis of race, religion, national or ethnic origin, age, sex, sexual orientation, disability, status as a veteran or any classification protected by local, state or federal law, in tenure or promotion considerations or any other matters.

Inasmuch as the University has adopted a policy recognizing that the tenure and promotion process may differ among the five academic divisions, it is the responsibility of each Dean to make individual faculty members aware of the University's policies regarding non-discrimination and to be certain that discriminatory factors are not a part of the evaluation leading to a tenure or promotion recommendation nor a part of the official file on which such decisions are made.

The party making a recommendation in a tenure or promotion case will notify the candidate of the recommendation. The basis on which a negative recommendation was made will be summarized in writing for the candidate. The written summary may include relevant information contained in confidential reports, but must not violate the confidence in which information was given by individual faculty colleagues, students, or outside experts. The written summary should be given to the candidate at approximately the time the party transmits the negative recommendation to the next successive level of review.

While some of the above statements are intended to clarify the candidate's access to the bases on which negative tenure and promotion recommendations are made, it is not their purpose to make the process overly burdensome or legalistic nor to create adversarial relationships in which one's best professional judgment, subjective as it may be, or the department's, division's, or University's long-range needs, are compromised. The evaluation of teaching, advising, scholarship, and service to the University is by its nature subjective, and final judgments must be made holistically. Fair-minded and reasonable people can disagree. Since the needs of various departments and faculties may differ and may change from time to time, the overall needs of the University as a whole, as determined by the Board of Trustees, shall come first.

Although many of the policies and procedures specified in this document are similar to those recommended by the American Association of University Professors (AAUP) and other similar organizations, the University of Richmond declares that it is not bound by the interpretations given them by such external organizations.

D. Termination of Appointment by the Faculty Member

A faculty member may terminate his/her appointment effective at the end of an academic year, provided that he/she gives notice in writing to the Provost at the earliest possible opportunity, but not later than 30 days after receiving notification of the terms of his/her appointment for the coming year. The faculty member may properly request a waiver of this requirement of notice in case of hardship or in a situation where he/she would otherwise be denied substantial professional advancement or other opportunity. The institution may properly deny waiver if it would cause a substantial hardship on its academic program.

E. Procedures for the Discontinuance of an Academic Department or Program of Instruction Involving Possible Dismissal of Tenured Faculty

1. Whatever the source of the original recommendation to discontinue a department, the official process to discontinue must be initiated by the Provost, at his or her discretion, after consultation with the appropriate dean(s) and being convinced that there is a prima facie case for discontinuance.

2. The process should follow these steps:
    (a) The Provost will consult with the University Faculty Council about procedures
    not enumerated here that are deemed appropriate for the particular case.
    (b) The Provost will announce to the Department involved his or her intention to
    open a discontinuance proceeding. There will follow a period of 60 days
    (within the academic year) during which the Department involved may try to
    negotiate another remedy.
    (c) If such negotiations fail, the merits of (including the good faith of) the
    recommendation to discontinue will be studied by an External Review Panel (see
    number 3 below), which will file a report with the Internal Review Panel.
    (d) The merits of the recommendation will then be studied by an Internal Review
    Panel (see number 4 below), whose recommendation and supporting case will be
    forwarded in turn to the affected school(s), the University Senate, the Provost,
    the President, and the Board of Trustees. Each body leading up to the Board of
    Trustees will make its own recommendation, supplying reasons for it. The faculty
    and Dean of a school may choose to file separate recommendations.
    (e) In the event a department or program is discontinued, a Reassignment Panel
    (see number 5 below) will recommend either appropriate reassignments or full
    dismissal of affected tenured faculty to the President, who will forward a final
    recommendation to the Board of Trustees.
    (f) Steps (a) through (d) should be completed within an academic year; step (e)
     by the end of the following academic year.

3. The External Review panel will consist of three experts with no connection to the University, one chosen by the Provost, one by the Department involved, and one by the University Faculty Council, subject to review and approval by the Academic Program Committee of the Board of Trustees. The panel will visit the campus and remain on campus so long as is necessary to complete a thorough review.

4. The Internal Review Panel will consist of five faculty members, chosen by the University Senate from its body or the larger University faculty according to procedures it deems appropriate for the particular case. Faculty members with a personal interest in the matter should not sit on the Panel.

5. The Reassignment Panel will consist of the Provost, the relevant dean(s), and two faculty members appointed by University Faculty Council.

F. Termination by the Institution of Continuous Tenure or Termination of an Appointment Before the End of the Specified Contractual Term

Termination of an appointment with continuous tenure, or of a special, term or probationary appointment before the end of the specified contractual term, may be effected by the institution only for adequate cause. Adequate cause will consist of demonstrated:

(a) financial exigency of the institution;
(b) bona fide discontinuance or substantial modification, by the Trustees (after consulting with the faculty and administration), of an academic program or department of instruction resulting in significantly diminished personnel requirements;
(c) medical evidence that the faculty member cannot continue to fulfill the terms and conditions of the appointment.
(d) moral turpitude;
(e) academic incompetence;
(f) continued and unremedied inadequacy in professional performance of properly assigned duties.

1. Terminations Under Adequate Causes (a, b, and c)
Where termination of appointment is based upon financial exigency, or bona fide discontinuance or modification of an academic program or department of instruction resulting in significantly diminished personnel requirements, the dismissal procedure in Item 2 following will not apply. In lieu of the dismissal procedures, the faculty members shall be able to have the issues reviewed by the University Faculty Council with ultimate review of all controverted issues by the Board of Trustees. In all such cases the faculty member concerned shall be given notice as soon as possible, and never less than twelve months notice, or, in lieu thereof, he/she will be given severance salary for twelve months. The released faculty member's place will not be filled by a replacement within a period of three years, unless the released faculty member has been offered reappointment without loss of seniority and a reasonable time within which to accept or decline it. Before terminating an appointment because of abandonment or modification of a program or department of instruction resulting in significantly diminished personnel requirements, the institution will make every effort to place affected faculty members in other suitable positions.

University Faculty Council shall determine the appropriate review process to be utilized and may request information from the faculty member(s) and the administrators involved for purposes of review. The Council will issue a written determination after review which will be forwarded to the affected faculty member(s), the Provost, the President and the Board of Trustees. Council may go into executive session during the review process. Council shall make every effort to complete the review process in time for controverted issues, if any, to be reviewed by the Board of Trustees during the academic year in which the review was requested.

Termination before the end of the period of appointment, for medical reasons, will be based upon clear and convincing medical evidence which shall be reviewed by the University Faculty Council, if requested by the faculty member, before a final decision is made by the Board of Trustees upon recommendation by the President of the University. In no case shall such termination take effect while either the University's short term or total disability insurance coverage applies.

2. Dismissals and Procedures for Dismissal Under Adequate Causes (d, e, and f)
Note: "Dismissal" in this document refers to termination of continuous tenured faculty or termination "before the end of the specified contractual term." "Dismissal procedures" do not apply to termination of probationary appointments at the end of a contractual period which are covered in Probationary Appointments.

The term dismissal shall refer to a termination under adequate causes d, e or f as noted above, and any dismissal shall be effected pursuant to the procedure specified in the following:

Adequate cause for a dismissal will be related, directly and substantially, to the fitness of the faculty member in his/her professional capacity as a teacher or researcher. Dismissal will not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.

Any dismissal of a faculty member with continuous tenure or with a special, term or probationary appointment before the end of the specified term, will be preceded by (1) discussions between the faculty member and appropriate administrative officers looking toward a mutual settlement; (2) informal inquiry by the duly constituted University Faculty Council which may, failing to effect an adjustment, determine whether in its opinion dismissal proceedings should be undertaken, without its opinion being binding upon the President; (3) a statement of charges framed with reasonable particularity by the President or his delegate. The informal inquiry by the Council shall take place before the end of the term of appointment with the intent of effecting adjustment. If no adjustment is reached, the Council will inform the President of its determination regarding whether formal procedures should be undertaken. The informal inquiry shall be undertaken by approximately one-half of the Council with the rest of the Council being reserved for the formal proceedings if needed. Thus the formal and informal proceedings will be conducted before different constituencies.

A dismissal under adequate cause, as defined above, will be preceded by a statement of reasons, and the individual concerned will have the right to be heard initially by the University Faculty Council. A member of this Council will remove himself/herself from the case, either at the request of a party or on his/her own initiative if he/she deems himself/herself disqualified for bias or interest. Each party will have a maximum of two challenges without stated cause.

• Service of notice of hearing with specific charges in writing will be made at least 20 days prior to the hearing. 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 Council hearing the case will evaluate all available evidence and rest its recommendation upon the evidence in the record.
• The Council hearing the case, in consultation with the President and the faculty member, will exercise its judgment as to whether the hearing should be public or private. In all cases, however, it is the prerogative of the faculty member to have a private hearing upon his/her request.
• During the proceedings the faculty member will be permitted to have an academic advisor as well as counsel of his/her own choice.
• At the request of either party or of the Council hearing the case, and with the approval of the Provost, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer.
• 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 to him/her, at his/her request.
• 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.
• The Council hearing the case will grant adjournments to enable either party to investigate evidence to which a valid claim of surprise is made.
• The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence, and the administration of the institution will, insofar as it is possible to do so, secure the cooperation of such witnesses and make available necessary documents and other evidence within its control. Also, the faculty member will be served notice of the names and nature of the testimony of any potential witnesses.
• The faculty member and the administration will have the right to confront and cross-examine all witnesses. Where a witness cannot or will not appear, but the Council determines that the interests of justice require admission of a statement by the witness, the Council will identify the witness, disclose the statement, and if possible provide for interrogatories.
• In the hearing of charges of incompetence or unremedied inadequacy, the testimony will include that of qualified faculty members from this or other institutions of higher education.
• The Council hearing the case will not be bound by strict rules of legal evidence, and may admit any evidence which is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
• The findings of fact and the decision will be based solely on the hearing record.
• 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 members or administrative officers will be avoided so far as possible until the proceedings have been completed, including consideration by the Board of Trustees. The Provost and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing.
• If the Council hearing the case concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the Provost. If the Provost rejects the report, he/she will promptly state his/her reasons for doing so in writing, to the Council and to the faculty member, and provide a reasonable opportunity for response before transmitting the case to the President and Board of Trustees.
• If the Council hearing the case concludes that adequate cause for dismissal has been established, but that an academic penalty less than dismissal would be more appropriate, it will so recommend, with supporting reasons.
• If dismissal or other penalty is recommended, the President will, on request of the faculty member, transmit the record of the case to the Board of Trustees for review.
• The Board of Trustees' review will be based on the record of the Council, and it will provide opportunities for argument, oral or written or both, by the principals at the hearing or by their representatives. The decision of the Council will either be sustained, or the proceeding returned to the Council with specific objections. The Council will then reconsider, taking into account the stated objections and receiving new evidence if necessary (the record of any new hearing being made available to the faculty member). The Board of Trustees will make a final decision only after study of the Council's reconsideration.

3. Interim Suspensions
Until the final decision on termination of an appointment has been reached, the faculty member will be suspended, or assigned to other duties in lieu of interim suspension, only if immediate harm to himself/herself or others is threatened by continuance. Before suspending a faculty member, pending an ultimate determination of his/her status through the institution's dismissal procedures, the administration will consult with the University Faculty Council. Interim suspension is appropriate only pending a hearing; a suspension which is intended to be final is a dismissal and will be dealt with as such. Salary will continue during any period of interim suspension.

4. Payment of Salary Upon Dismissal for Cause
In cases of dismissal for cause, the faculty member may receive his/her salary for the duration of his/her contract period, as provided for the schedule of notice to which he/she is entitled under Probationary Appointments, if he/she has tenure, for at least one year. However, since these dismissals are for cause, the Board of Trustees shall (upon recommendation of the University Faculty Council and/or the President) review whether this pay schedule is apt or just.

G. Academic Freedom

All members of the faculty, whether tenured or not, are entitled to academic freedom as set forth in the "1940 Statement of Principles on Academic Freedom and Tenure," formulated by the Association of American Colleges and the American Association of University Professors.

1. Academic Freedom of Non-Tenured Faculty
If a faculty member on probationary or other non-tenured appointment alleges that considerations violative of academic freedom significantly contributed to a decision not to reappoint him/her, his/her allegation will be given preliminary consideration by the University Faculty Council, which will seek to settle the matter by informal methods. The allegation shall be accompanied by a statement that the faculty member agrees to the presentation of such reasons and evidence as the institution may allege in support of its decision. If the difficulty is unresolved at this point, and if the University Faculty Council so recommends, the matter will be heard in the manner set forth in Dismissals and Procedures for Dismissal under Adequate Causes and Interim Suspensions of this chapter, except that the faculty member making the complaint is responsible for stating the grounds upon which his/her allegations are based, and the burden of proof shall rest upon the faculty member. If, in the view of the University Faculty Council, he/she succeeds in establishing a prima facie case, it is incumbent upon those who made the decision not to reappoint him/her to come forward with evidence in support of their decision.

2. Administrative Personnel
The foregoing regulations apply to administrative personnel who hold academic rank, but only in their capacity as faculty members. Where an administrator alleges that a consideration violative of academic freedom significantly contributed to a decision to terminate his/her appointment to his/her administrative post, or not to reappoint him/her, he/she is entitled to the procedures set forth in item Academic Freedom of Non-Tenured Faculty of this chapter.

3. Political Activities of Faculty Members
Faculty members, as citizens, are free to engage in political activities. When so doing, however, they must speak as individuals and in no way consciously represent the University. Where necessary, leaves of absence may be given for the duration of an election campaign or a term of office, on timely application, and for a reasonable period of time. The terms of such a leave of absence shall be set forth in writing, and the leave will not affect unfavorably the tenure status of a faculty member, except that time spent on such leave will not count as probationary service unless otherwise mutually agreed to.

H. Grievance Procedures

These procedures are used for all grievances by members of the faculty, except those concerning dismissal proceedings. Dismissal proceedings are addressed in Termination by the University of Continuous Tenure or Termination of an Appointment before the End of the Specified Contractual Term above. The grievance procedures are intended to provide fairness, foster communication and solve perceived problems within the University community. They permit differences of opinion to be addressed with respect and civility, while recognizing that reasonable people may not agree on the proper course of action. To the extent permitted by University policy and applicable law, all documents and other information provided to the committee, and all deliberations of the committee, will remain confidential. The Grievance Committee's role is advisory only, and the final authority for action resides with the President and the Board of Trustees.

The Provost will call a meeting of the Grievance Committee yearly within the first four weeks of the fall semester to select the committee's chair and to have an orientation to review the tenure and promotion procedures for each school.

Grievances relating to reappointment, tenure, or promotion follow the procedure discussed in Item (1) below. Procedures to be followed in other grievances are discussed in Item (2).

1. Grievance Procedures Relating to Reappointment, Tenure, and Promotion Decisions
Faculty who are not recommended for reappointment, tenure, or promotion may petition the Grievance Committee for review of the process involved in such a recommendation. A faculty member who wishes to challenge an adverse recommendation of reappointment, tenure or promotion by the department, tenure committee, dean or provost must submit a written petition to the chair of the Grievance Committee and the Provost within fourteen (14) calendar days of receipt of the first formal written notice of that recommendation. The grievance petition must state in detail the factual basis for the claim that proper procedures or policies have not been followed. The chair of the Grievance Committee shall give notice of the petition and its contents to the individual or committee who made the adverse recommendation.

The Grievance Committee shall limit its consideration to whether the process substantially complied with established University procedure and the University's written faculty employment policies, such as equal employment opportunity policies, as defined in the Faculty Handbook. It will not substitute its judgment on the substance of the recommendation for that made at any of the various levels of review. In grievances alleging illegal discrimination, the committee's responsibility will be to consider whether adequate non-discriminatory professional criteria were used in reaching the contested recommendation or action.

Note: Where the Grievance Committee determines that a conflict of interest exists for a member of the committee, that person will withdraw from the case. If practical, a replacement will be selected by the Committee on Committees.

The Grievance Committee will confer with the appropriate committees and individuals, review relevant information, and complete its review within thirty (30) calendar days of the date of receipt of the grievance petition unless unusual circumstances dictate otherwise. In the course of its deliberations, the Grievance Committee will confer with the Provost and with other relevant individuals or committees as appropriate.  All individuals in the community are expected to cooperate fully with the Grievance Committee and to maintain confidentiality regarding the case.  While the grievance is under consideration, the reappointment, tenure or promotion decision-making process normally will be suspended until the Grievance Committee makes its recommendation.

If the Grievance Committee concludes there has been substantial compliance with the University policies and procedures, the chair of the committee will so notify the faculty member who filed the petition and other appropriate parties as specified above. No further review of the petition will be made by the Grievance Committee, but the petition and the committee's written conclusions will be included in the reappointment, tenure or promotion file prior to any subsequent levels of review for consideration by further reviewers.

If the Grievance Committee concludes the process did not substantially comply with established University procedures or policies, it will notify in writing the faculty member who filed the petition, the individual or committee whose recommendation was challenged, and the Provost.  Normally the appropriate individual or committee shall reconsider the challenged recommendation and notify in writing the faculty member, the Provost, and the next level of review of its response within fourteen (14) days of receipt of the Grievance Committee's written conclusions. However, the Grievance Committee has the authority to mandate, at its discretion, and with the written consent of the candidate, the reconsideration of a case from the point of a procedural violation.  The file for any subsequent levels of review will include the petition, the conclusion reached by the Grievance Committee, and the response following reconsideration. Under normal circumstances a second grievance may not be filed regarding the same tenure or promotion case. Exceptions will be determined by the Grievance Committee.

The grievance procedure should be completed within the regular reappointment and tenure review calendar, and normally no later than the conclusion of the academic year in which the petition was submitted. For purposes of this policy and terminal year notification only, the conclusion of the academic year will be May 31st.  The Grievance Committee should issue two reports in cases brought before it:
     (1) the standard confidential review of the particular case to the candidate,
          which is included in the portfolio prior to any subsequent levels of review and;
     (2) a report to the Provost delineating any general lessons learned and possible
          recommendations for process clarification or change.

Each spring after all tenure and promotion decisions are complete, the Provost will identify issues and concerns relating to the process and refer those issues to the school(s) involved for study.

2. Procedures for Other Grievances
Faculty may submit grievances on matters other than dismissal, reappointment, tenure, or promotion. A faculty member with such a grievance must submit a written petition to the chair of the Grievance Committee and the Provost within fourteen (14) calendar days of learning of the event at issue in the grievance. The petition must state in detail the nature of the grievance, the person(s) against whom the grievance is directed, the factual or other information pertinent to the grievance, and the relief requested. The chair of the Grievance Committee shall give notice of the petition and its contents to the individual and/or committee against whom the grievance is directed.

The Grievance Committee will review the petition and decide whether or not it merits a detailed investigation. Submission of a petition will not automatically initiate investigation or detailed consideration.

The Grievance Committee will be concerned with the fairness of the procedures which were used in the aggrieved matter. It will not, normally, attempt to adjudicate the differences of opinion involved in the substance of the matter of the decision. The committee may pursue a resolution of the grievance satisfactory to both parties. If in the opinion of the Grievance Committee a mutually agreeable resolution is not possible, or is not appropriate, the committee will report its recommendations to all parties directly involved, the Provost, and the President. In cases where the grievance is directed to actions of the President, the full report shall also be forwarded to the Rector of the Board of Trustees.