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CHAPTER THREE: 3910
EMPLOYMENT INFORMATION CONCERNING FACULTY AND STAFF
July 2008
3910
DISMISSAL AND DISCIPLINE OF FACULTY
PREAMBLE: This section outlines procedures for the dismissal of tenured
faculty and of untenured faculty who are being dismissed before the end of their
current term of appointment. It was a part of the 1979 Handbook, though in
that document it included non-faculty exempt employees as well. It was
thoroughly revised in July of 1989 to reflect changes in regents’ policy and
divided into faculty and non-faculty exempt sections in July of 1996. The
whole of the policy was substantially revised, and sections E and F rewritten,
in July 1999 so as to conform the university’s policy with that of the Regents.
Non-tenured faculty should also consult section 3900 "Non-Reappointment of
Non-Tenured Faculty and Non-Faculty Exempt Staff.” Again, in compliance with
Regents policy changes, this section was extensively revised in 2003. In July of
2008 D-3 was revised to consolidate university committee function and structure
language into FSH 1640 Committee Directory. Further information may be
obtained from the Provost’s Office (208-885-6448) or the Faculty Secretary's
Office (208-885-6151). [rev. 7-99, 7-03,
ed. 7-05]
CONTENTS:
A. Regents'
Authority and Definition of Adequate Cause
B. Cause for
Dismissal
C.
Administrative Leave
D. UI
Procedures Related to Dismissal
E. UI
Procedures Related to Discipline Other Than Dismissal
F. Appeals to the Regents
A. REGENTS’ AUTHORITY AND DEFINITION OF ADEQUATE CAUSE.
A-1. All employees of the regents or of the agencies, institutions, school, or
office under its jurisdiction are subject to dismissal for adequate cause during the
period of employment. "Adequate cause" means one (1) or more acts or
omissions which, singly or in the aggregate, have directly and substantially
affected or impaired an employee’s performance of his or her professional or
assigned duties or the best interests of the regents, institution, agency, school, or
office. In
addition, any conduct seriously prejudicial to the regents, an institution,
agency, school or office may constitute adequate cause for discipline up to and
including dismissal. Examples include harassment prohibited by law,
immorality, criminality, dishonesty, unprofessional conduct, actions in
violation of policies, directives, or orders of the regents, an institution,
agency, school or office, unsatisfactory or inadequate performance of duties, or
failure to perform duties. [RGP IIL3] [add.
7-99][rev. 7-03]
A-2. Dismissal of faculty is as provided in the regents’ policy
RGP IIL. [add. 7-99, ed.
7-03]
B. CAUSE FOR DISMISSAL.
B-1.
Dismissal (as opposed to non-renewal of a non-tenured faculty member)
by UI of the employment of a faculty member, except in the case of resignation
or retirement, will be only for adequate cause as defined above in A-1. [rev.
7-99, 7-03]
B-2. As provided in
3970, any faculty member may be laid off in conjunction
with a reduction in force approved by the regents and resulting from a
declaration of financial exigency.
C.
ADMINISTRATIVE LEAVE. A faculty member may be placed on administrative leave with pay pending the
procedures set forth in this section. [rev. 7-03]
D. UI PROCEDURES RELATED TO DISMISSAL. In each case, the issue of whether or not adequate cause for
termination or dismissal exists is to be determined by an equitable procedure,
affording protection to the rights of the faculty member and to the interests of
the state of Idaho and its system of higher education. The burden of proof that
adequate cause exists rests with the institution and its administrative officers,
and will be satisfied only by clear and convincing evidence in the record
considered as a whole. [ed. 7-99, rev. 7-03]
D-1. Departmental, Division, and College Action. When reason arises to question the fitness of a faculty member, the
immediate supervisory officer discusses the matter with the employee in a
confidential personal conference. It is the duty of the immediate supervisor and
the faculty member to make a good faith effort to correct any and all
deficiencies in the faculty member’s performance. Departments, divisions, or
colleges are to establish policies and procedures for identifying problems,
suggesting remedial actions, and assisting the faculty member in becoming a
productive member of the university community. These procedures are to include
peer input and are to be fully integrated with the annual evaluation process. A
good faith effort must be made to identify and resolve performance problems at
the lowest administrative level.
D-2. Administrative Action.
a. If remedial performance adjustments do not result, the provost shall
determine whether formal dismissal proceedings should be initiated. [rev.
7-99]
b. If the provost determines that formal proceedings should be initiated, he
or she should formulate a written statement with reasonable particularity of the
grounds proposed for the dismissal. [rev. and ren. 7-99]
c. Nothing in these procedures prevents the provost from withdrawing the
fitness complaint from the process, at any time for any reason. However, the provost must either withdraw the complaint or proceed with
the dismissal process within a reasonable period of time. [rev. and
ren. 7-99]
d. The statement of particularity is communicated, in writing, to the
faculty member by the provost and delivered personally or sent first-class mail,
postage pre-paid to the employee at the last known address on file for the
employee. [rev. and ren. 7-99, rev. 7-03]
D-3. Dismissal Hearing Committee Process. [ren. 7-99, rev. 7-08]
a. If the faculty member requests a hearing to determine whether the
termination is properly based on the grounds stated, one will be conducted by a
Dismissal Hearing Committee (DHC) at a specified time and place. See FSH
1640.36 for the
function and structure of the DHC. The faculty member must file a written request with the provost for a
hearing within seven working days of receipt of the provost’s communication of
particulars. If the faculty member has not requested a hearing, the statement of
particulars constitutes the dismissal recommendation, which the provost may
communicate to the president without further delay. [rev. and ren. 7-99]
b. The DHC proceeds by considering the provost’s recommendation and
statement of grounds for dismissal already formulated, the evidence supplied to
support the dismissal recommendation, and the employee’s response written
before the time of the hearing. If any facts are in dispute, the testimony of
witnesses and other evidence concerning the matter set forth in the letter of
particulars to the faculty member become part of the hearing record. [rev.
and ren. 7-99, ren. 7-08]
c. The DHC determines the order of proof, conducts the questioning of
witnesses, and, if necessary, secures the presentation of evidence important to
the case. [rev. and ren. 7-99, ren. 7-08]
d. The faculty member has the option of assistance by counsel; the faculty
member, the provost, and their counsels have the right, within reasonable
limits, to question all witnesses who testify orally. The faculty member has the
opportunity to confront all adverse witnesses. All evidence is duly recorded. [rev. and
ren. 7-99, ren. 7-08]
e. If a question of timeliness arises during these procedures, the DHC will
review the action of the delinquent party and determine whether the dismissal
procedures will continue, as outlined above. [rev. and ren. 7-99, ren. 7-08]
f. The DHC reaches its decision in conference within five working days of
the formal hearing’s close, solely on the basis of the record of the hearing.
It makes explicit findings with respect to each of the grounds for removal
presented or remedial actions, and renders a reasoned opinion. The provost, the
president and faculty member are notified of the decision in writing and given a
copy of the record of the hearing; the college and department or division
concerned are notified of the recommendation. [rev. and ren. 7-99,
ren. 7-03, 7-08]
D-4. Presidential Decision. [rev. and ren. 7-99, 7-03]
a. The president, after due consideration of the DHC’s recommendation,
shall initially determine whether he or she agrees or disagrees with the DHC’s
recommendation. In the event of
disagreement, the president shall meet with the DHC to discuss the reasons for
the president’s disagreement prior to reaching a final decision. Upon reaching a final decision the president forwards his or her decision
to the faculty member and to the college and department or
division. If the president’s decision differs from the
committee’s, the reasons for the disagreement are also communicated to the
faculty member, the college and department or division, and to the DHC. [rev.
and ren. 7-99, rev. 7-03]
b. The notice from the president must be in writing and will be personally
served on the employee or be sent by first-class mail postage pre-paid to the
faculty member at the last known address on file for the faculty member. The notice must
contain a concise statement of the charges against the employee, the findings of
fact that are the basis for the president’s decision for dismissal or
continuance, and any conditions imposed on the continuance of employment. If the
president’s decision is for dismissal, the faculty member receives a
statement of all rights and procedures for appeals of the president’s decision to the Faculty Appeals Hearing Board or directly to the regents. [rev.
and ren. 7-99, rev. 7-03]
D-5. Appeal to the Faculty Appeals Hearing Board. The faculty member may appeal a presidential decision to dismiss to the Faculty Appeals Hearing Board (FAHB), see section 3840, or to the
regents, see F below. [add. 7-99, rev. 7-03]
a. If the faculty member appeals to the FAHB he or she must notify the
president in writing within fifteen (15) calendar days of the receipt of the notice given
by the president. [add. 7-99, ed. 7-03]
b. If the charges against the employee, or the contentions of fact on which
the charges are based, materially change after the determination of the DHC or
appropriate appeals hearing body, the faculty member may obtain an additional
review before the president makes a decision. Unless specifically provided by
the regents in RGP IIM (see text below), discipline up to and including
dismissal may be effective prior to the initiation by the employee of the
internal grievance procedure. [ren. 7-99, rev. 7-03]
c. For the purpose of dismissal-for-cause procedures only, the FAHB hearing
procedures have an expanded scope. Specifically, in accord with its current
procedures, the FAHB may also hear and decide on the regularity and
appropriateness of process, procedures, factual basis, and timeliness in the
dismissal decision or the decision for continuance of employment,
with the stated conditions. [ed. 7-99, rev. 7-03]
d. The president, after due consideration of the FAHB’s
recommendation, shall initially determine whether he or she agrees or disagrees
with the FAHB’s recommendation. In the event of disagreement, the president shall meet with
the FAHB to discuss the reasons for the president’s disagreement prior to
reaching a final decision . The
president shall give substantial weight to the recommendation of the FAHB. If the president does not follow the recommendation of the FAHB, he or
she shall send to the FAHB and to the appellant a written report of the basis
for the president’s determination. [add. 7-99, ren. and rev. 7-03]
E.
UI PROCEDURES RELATED TO DISCIPLINE OTHER THAN DISMISSAL. [add.
7-03]
E-1. The
regents provide the following relative to discipline other than dismissal:
In each case the issue of whether or not adequate cause exists should be
determined fairly by the institution, agency, school, or office recognizing and
affording protection to the rights of the employee and to the interests of the
Board and its institutions, agencies, school, or office.
a. Discipline, up to and including dismissal, of employees before the
expiration of the stated period of appointment or employment contract will be
only for adequate cause, as determined by the appropriate administrative
officers to whom this responsibility is delegated by the chief executive officer
of the institution. Each institution, agency, school or office shall have a
process that provides employees with written notice of contemplated discipline
and an opportunity to be heard. The employee may be placed on administrative
leave with pay until he or she has exercised the opportunity to respond, or
declined, either affirmatively or through inaction, to do so, and the
recommendation has been acted upon by the chief executive officer or designee. The chief
executive officer or designee must notify the employee of the recommendation and
proceed in the following manner:
(1) The notice must be in writing, and may be personally served upon the
employee, or be sent by first-class mail, postage pre-paid, to the employee at
the last known address on file for the employee.
(2) The notice must contain a concise statement of the reasons and nature
of the discipline.
E-2. UI Process. The provost
has authority to determine if adequate cause has been established and if
discipline other than dismissal should be taken. The provost may place the faculty member on administrative leave pending
the final decision by the provost. Before
final decision, the provost will provide the faculty member with a written
statement setting forth with particularity the basis for the contemplated
discipline and any information or material used to formulate the determination
of adequate cause. The faculty
member must be notified that he or she has fifteen (15) calendar days, or more
in the discretion of the provost, in
which to respond or decline to respond affirmatively or through inaction. After the period to respond expires the provost must notify the faculty
member of his or her decision as required in the regents' policy quoted above.
E-3. Following the imposition
of discipline, the faculty member may use the FAHB (FSH 3840) to appeal the
decision.
F. APPEALS
TO THE REGENTS. Upon receipt of the
final findings and recommendations, including those resulting from an internal
grievance, a faculty member may file an appeal with the regents as set forth in
RGP IIM (see below). The regents
may if they choose to hear an appeal, by a majority of the total membership,
approve, reject, or amend such findings, recommendations, or suggestions, if
any, or may remand the matter for additional evidence, recommendations, or
suggestions, if any. Reasons for
suggestions will be stated in writing and communicated to the employee. The Board may employ a hearing officer for carrying out the
Board's duties under this paragraph. (RGP L4) [rev. 7-03,
ed. 1-07]
RGP IIM provides: A nonclassified employee may elect to petition the Board
to review any final personnel related decision of the chief executive officer.
Any written petition must be filed in the Office of the State Board of Education within fifteen
(15) calendar days after the employee receives written notice of final action
under the internal procedures of the institution, agency, school, or office. The
Board may agree to review the final action, setting out whatever procedure and
conditions for review it deems appropriate, or it may choose not to review the
final action. The fact that a written petition has been filed does not stay the
effectiveness of the final decision nor does it grant a petition for review
unless specifically provided by the Board. Board review is not a matter of
right. An employee need not petition the Board for review in order to have
exhausted administrative remedies for the purposes of judicial review. [rev.
7-03]
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