Proposed revisions to the 1) Composition and 2) Termination
and Complaint Procedures
of the University
Faculty Senate Committee on Faculty Welfare & Privileges
Recommended by the Executive Committee of the
University Faculty Senate
10/20/11
Proposed revisions to Composition of the Committee on Faculty Welfare
& Privileges (FWP):
1. The
Committee on Committees and Nominations (COCAN) will appoint the chair of the FWP
Committee.
2.
Only tenured faculty members are
eligible to serve on the Committee.
Proposed revisions to the Termination and
Complaint Procedures of the Committee on Faculty Welfare & Privileges. These proposed revisions involve only Complaint Procedures;
they do not change Termination Procedures :
1. No member of the Committee may serve as a mediator
in a Complaint.
2. Any employee of the University of Delaware,
except those employed in the Office of the General Counsel, may serve as an
advisor or observer in a hearing involving a Complaint.
Background:The
University Faculty Senate Executive Committee (EC) reviewed
the composition of and the procedures to be followed by the Committee on
Faculty Welfare & Privileges (FWP) in the mediation and hearing of faculty
complaints. Based upon that review the
EC has the following recommendations:
1)
In past practice, the chair
of the Committee on Faculty Welfare & Privileges has been decided
internally by the Committee. In a
review of procedures on the selection of committee membership, it is COCAN that
should appoint a chair of the Committee on FWP.
2) Only
tenured faculty should be eligible to serve on the Committee. In past practice, an assistant professor has
served as a member on the FWP. However,
in most cases they have not participated during hearings and have not voted on opinions. This non-participation is in recognition of
the potentially sensitive nature of a non-tenured faculty member taking a
position that could be contrary to that of the administration, or to that of
tenured faculty that could in the future serve on Promotion and Tenure
Committees. To maximize the number of
committee faculty that are available to participate in
complaint hearings, the EC proposes that only tenured faculty serve on the FWP.
3) No member of the Committee may serve as a
mediator in a complaint. In past practice,the chair of the FWP has
served as the mediator in complaints. In
following procedures,if the
mediation fails, the chair of the FWP serves as the chair of the hearing in
which she/he will be responsible for determining all procedural questions and
objections raised at the hearing and determining the admissibility of
evidence. The chair then has input into
the advisory opinion(s) generated by the committee. To avoid any perceived conflict of interest,
the EC believes that the chair of the FWP, as well as other members of the
committee, should not be intimately involved in the mediation process. All members of the FWP, including the chair, should
participate in the hearing without having access to the details of negotiations
involved in the mediation process.
4)
Any
employee of the University of Delaware, except those employed in the Office of
the General Counsel, may serve as an advisor or observer in a complaint hearing. The EC is concerned of the unequal access
that faculty and administration have to the legal expertise provided by the
General Counsel’s office. To help ensure
a fair process, neither the initiator(s), nor the respondent(s) should employ
representatives of the General Counsel’s office as advisors or observers in a
complaint hearing. Note that this does
not apply in cases involving non-renewal or termination. In
other cases that the Committee deems appropriate, advisorsor
observers may be employed in the Office of the General Counsel or any
non-employee of the University of Delaware.
Proposed modification to the Faculty Handbook:
NOTE: In the modifications, strikethrough is text to be deleted;
underlined is text to be added
From Section 1: Organization of the Faculty
1.3Standing
Committee System of the Faculty and Its Senate
1.3.9
FACULTY WELFARE AND PRIVILEGES, COMMITTEE ON
This committee is charged to develop and review
general policies in the areas of reappointment, dismissal, faculty evaluation
and appraisal, academic freedom and other areas of personnel policy and
conditions of faculty employment, and to prepare recommendations concerning
such policies for transmission to the Trustees through the faculty or its
Senate, and through the President of the University, in accordance with Trustee
Bylaws.
This committee is charged with jurisdiction over
faculty complaints which are not grievances as defined in the Collective
Bargaining Agreement. Procedures for mediation and hearing of complaints are
detailed in "Mediation and Hearing Procedures" which was approved by
the University Faculty Senate April 6, 1992 and is maintained in the office of
the University Faculty Senate. The committee's decisions on complaints are
presented as advisory opinions to the University Provost.
This committee shall consist of seven faculty
members, one of whom shall be designated chair and one of whom shall be an
assistant professor. All members of the committee must have tenure.
Nothing in the charge to this committee shall be
interpreted as overriding the Collective Bargaining Agreement or the laws of
the State of Delaware governing collective bargaining. (Rev. 4/6/92)
Proposed modifications to the
Committee on Faculty Welfare and Privileges Termination and Complaint
Procedures. These proposed revisions involve only Complaint Procedures;
they do not change Termination Procedures:
NOTE: In the modifications, strikethrough is text to be deleted;
underlined is text to be added
The Faculty Constitution charges the Faculty Senate with the right to
delegate responsibility to and charge Faculty Committees. The Faculty Welfare
and Privileges Committee (FWP) has jurisdiction over all faculty disputes
pertaining to faculty termination, reappointment, evaluation, salary
adjustment, sabbatical leave, fringe benefits, academic freedom, and other
areas of personnel policy and conditions of faculty employment.
All
Facultymembersare within the
jurisdiction of and are subject to the procedures of the FWPFaculty
Welfare and Privileges Committee.
The
procedures for termination of a faculty member's employment are different from
the procedures for other disputes. Termination procedures grow out of andare derived from andgoverned
by the termination policy set forth in the Faculty Handbook,
Section 4IV. They are set forth in "Termination
Procedures," Section I below.
The
procedures for handling all other disputes within the jurisdiction of the FWPCommittee on Faculty Welfare and
Privileges are specified in "Mediation and Hearing Procedures,"
Section II below. The FWPFaculty Welfare and Privileges
Committee may refuse to consider a complaint in two instances:
A. Definitions
For
the purposes of Faculty Welfare and Privileges Committee (FWP)procedures
as outlined below, the following words have these specific meanings:
B. Procedures
C. Procedures for the Hearing
If the Committee agrees to hear the
Complaint, the Initiator(s) files with the Committee and the Respondent(s) an
expanded written Complaint which specifies the charge(s), reviews the evidence,
and includes the remedies sought.
Within ten Working Days after the date
that the Initiator(s) file(s) a Complaint, the Respondent(s) shall file with
the Committee a Response that, at a minimum, indicates whether the
Respondent(s) deny the Complaint.
Within 15
Working Days after the Initiator(s) submit the expanded written Complaint, the
Chair shall conduct a short Pre-Hearing Meeting with Initiator(s) and
Respondent(s). At or before this meeting, any Party may raise any questions
about procedure, the scope of the Complaint, the role of advisors, or any other
procedural matter. At the meeting, the Chair shall:
i.
Fix an expeditious and
mutually agreeable time for the Hearing; reasonable efforts being made to
schedule the Hearing within 45 Working Days of the Pre-Hearing Meeting.
Such Hearing should not be scheduled for a date greater than 65 Working Days
after the Pre-Hearing Meeting;
ii.
Review Hearing procedures,
including the Parties' obligations, the roles of advisors and observers, the
rules for submitting documentary evidence, and possible limits on the number of
witnesses;
iii.
Set deadlines for submission
of documentary evidence and names of witnesses to be called;
iv.
Identify advisors and
observers selected by the Parties and;
v.
Tentatively name the Hearing
Panel, pursuant to any Party's claims of conflict of interest under Section
C-3-b or other cause for excusing a Hearing panel member.
d. Witness
Lists
Parties shall submit the names of
witnesses to the Committee within the time agreed upon in section c-3 above.
The Committee shall make the names available to all other Parties immediately.
If the Committee decides to call additional witnesses, it will immediately
communicate their names to all Parties.
i. Parties
shall submit documents to the Committee at least 10 Working Days before the
Hearing or lose the right to submit documents. Within 5 Working Days after
receipt, the Committee shall make all documents available in the Senate office
to all Parties and the Provost, and to no one else.
ii. All documents shall be submitted in
duplicate with one set being original documents if at all possible. All
documents shall remain in the possession of the Committee. If original
documents are in the possession of someone not a Party to the Hearing, then the
Committee may request the submission of any such documents for the purpose of
making a copy of such document which shall be regarded as if original. If
original documents no longer exist, then copies may be accepted, subject to verification
where possible.
iii. All documents and correspondence received by the
Committee that relate to a Hearing, or to an attempt at Mediation that precedes
it, shall be made available by the Committee to the Parties to that Hearing, to
the Provost, and to no one else. Parties may not remove original documents from
the Senate Office, but may make and remove copies. Items made available shall
be considered confidential and shall not be communicated to anyone not a Party,
advisor or observer.
The
Initiator(s) and the Respondent(s);
i.
One advisor selected by each
Initiator and one advisor selected by each Respondent. Advisors shall be employees of the University of Delaware; however,
employees in the Office of the General Council are prohibited from serving as
advisors;
ii.
One observer selected by each
Initiator and one observer selected by each Respondent.
iii.
The members of the Committee
and supporting staff;
iv.
Each witness during his/her
testimony.
It is the
responsibility of the Committee and its support staff to arrange hearing space
and maintain records of the Hearing.
i.
The Committee Chair or
his/her appointed representative shall serve as Chair of the Hearing. This
Chair shall call the Hearing to order, determine all procedural questions and
objections raised at the Hearing, and determine the admissibility of evidence.
ii.
All Parties, Advisors,
Observers, and members of the Hearing Panel shall be identified for the record.
iii.
The record shall include both
the Initiator(s)' Complaint and the Respondent(s)' response.
iv.
Only members of the Hearing
Panel and the Parties may question a witness unless otherwise provided for
pursuant to section c, below.
v.
Each witness shall be present
in the hearing room only during the time of his/her testimony and shall refrain
from discussing the case with other witnesses.
First the
Initiator(s) and then the Respondent(s) may make an opening statement.
i.
The order in which witnesses
shall be heard is as follows: first the witnesses called by the Initiator(s),
second those called by the Respondent(s), and third those called by the
Committee.
ii. The order in which each witness shall be questioned is as follows:
a. Witnesses called by the Initiator
shall be questioned first by the Initiator, then by the Respondent and then by
the Committee.
b. Witnesses called by the Respondent
shall be questioned first by the Respondent, then by the Initiator and then by
the Committee.
c. Witnesses called by the Committee
shall be questioned first by the Committee, then by the Initiator and then by
the Respondent.
iii. After the Hearing Panel
and the Parties have questioned a witness, members of the panel and Parties may
pose additional questions at the discretion of the Chair.
iv. After all witnesses have been questioned, first the Initiator(s)
and then the Respondent(s) may make closing statements. After the closing
statements, the Hearing Panel may further question the Parties.
A transcript of the Hearing
shall be made available by the Committee to the Parties to that Hearing, to the
Provost, and to no one else. The Parties shall not provide a copy of the
transcript or show it to anyone other than their advisors, observers or legal
counsel.
The Hearing Panel shall
consist of five members of the Committee unless, because of conflicts of
interest as defined below b, only four Committee members are eligible.
Any
member of the Committee who is a member of the department or unit of the
Initiator(s) or the Respondent(s) or who has a relationship of friendship,
animosity, or some other nature that goes beyond mere personal acquaintance or
professional association may not serve on the Hearing Panel unless otherwise
agreed by all Parties.
i.
Either Party may request that
any member of the Hearing Panel be excused for cause. Such a request must be
made in writing to the Committee no later than five Working Days after the
Pre-Hearing Meeting. The Committee shall decide whether the alleged cause
justifies excusing the member and shall notify all Parties of its decision and
reasons therefore at least 5 Working Days prior to the Hearing.
ii. The Designated Dean shall not serve in adjudicating a particular
Complaint if he/she has a conflict of interest as defined in section 3.b.i)
above or is the Dean of the College of any Party.
i.
At least 15 Working Days
prior to the Hearing, the Party notifies the Committee in writing of a significant,
conflicting obligation that prevents the Party from attending; or
ii. At any time prior to the Hearing, the Party notifies the Committee in
writing of a serious and unexpected emergency or illness that prevents the
Party from attending.
i.
Within seven Working Days of
the date of the witness' notice to appear, the witness notifies the Committee
that he/she is unable to appear; or
ii. At any time prior to the Hearing, the witness notifies the Committee
in writing of a serious and unexpected emergency or illness that prevents the
witness from attending.
i.
Upon conclusion of a hearing
and receipt of the hearing record, including the hearing transcript and all
exhibits admitted at the hearing, the committee shall write an advisory opinion
to the Provost, within 14 Working Days, that
includes the transcript and all exhibits admitted at the hearing, the
committee's conclusions about the case and any remedies the committee may
recommend. These remedies are not limited to those specified by the
initiator(s) in the complaint.
ii. The committee shall provide a copy of its opinion to the Provost and
to each party. The Provost will issue a decision within 45 Working Days of
receipt of the opinion. The committee shall not provide a copy of, or show, its
opinion to anyone else. The Provost or the parties may disclose the contents of
the opinion at their discretion.
i.
Upon conclusion of the
Hearing, the Hearing Panel shall issue an advisory opinion within 14 Working
Days of receipt of the Hearing record, including the Hearing transcript and all
exhibits admitted at the Hearing. The advisory opinion shall be provided to the
Designated Dean and the Parties, and it shall include the Committee's
conclusions about the case and any remedies the Committee may recommend. The
Hearing Panel shall provide the Designated Dean the entire record of the
hearing along with its advisory opinion. The Designated Dean shall render to
the Parties and Committee a decision within 14 Working Days of receipt of the
Committee's advisory opinion and Hearing record. The remedies which may be
included in the advisory opinion and decision are not limited to those
specified by the Initiator(s) in the Complaint. The Committee shall not provide
a copy of, or show, its opinion to anyone except for the Designated Dean and
the Parties.
ii. Should the Initiator(s) or Respondent(s) be dissatisfied with the
decision of the Designated Dean, that Party may appeal the decision to the
Provost by sending the Provost and all other Parties a memorandum setting forth
the objections to the decision and the basis for the objections within 14
Working Days of issuance of the decision. Any
other Party may respond to the appeal by written memorandum sent to the Provost
and all other Parties within 14 Working Days of receipt of a timely appeal
submitted to the Provost. Should any Party not wish to respond, that Party
shall inform the Provost of such in writing within the 14 Working Day response period. Should no timely appeal be taken, the
decision of the Designated Dean shall become final 15 Working Days after
issuance.
iii. Should an appeal be taken with the 14 Working Day period, the Provost
shall consider the Hearing record, the advisory opinion, the decision of the
Designated Dean and the appeal and responsive memoranda of the Parties. The
Provost shall issue the final decision on appeal to the Parties within 45
Working Days of issuance of the decision of the Designated Dean.
iv. The Designated Dean, Provost and the Parties may disclose the contents
of the final decision at their discretion after the period for appeals has run.
/khs
Updated
5/2/05 Section I. Termination Procedures 1/13/1998 [Note: This document was
reprinted on 1/13/98. Changes were made to section II A 11.,
section II B 2.f, section II C 3.b 3), section II C 7.a 1&2, b 1,2,3&4.
The date that the document was created was changed from 12/11/93 to 1/13/1998
(the document was approved by the University Faculty Senate November 3, 1997).]
4/17/1998 [Note: An additional change was made to section II C 1.c.i that was
approved by the University Faculty Senate November 3, 1997, but was omitted in
the previous update.]
http://www.udel.edu/facsen/termcomp.html