ÍÃ×ÓÏÈÉú

Policy

A. Applicability 

These procedures apply to all members of the unclassified administrative staff, except those identified in the section of this policy titled “Persons Not Covered by These Procedures”. These procedures are applicable in instances when:

1. the University seeks to discipline or terminate for cause an unclassified administrative staff member’s annual appointment; or
2. the University seeks to discipline, terminate, or non-renew for cause an unclassified administrative staff member who holds extended appointment status.

B. Cause for Discipline 

Although not all causes for discipline (including termination) can be enumerated, cause includes, but is not limited to the following:

1. failure to perform duties and associated responsibilities in a satisfactory manner
2. violation of University rules, regulations and/or policies
3. violation of professional ethics
4. violation of written directives of the President and/or Board of Trustees
5. commission of an illegal act

C. Exclusions 

The following actions do not entitle the employee to the disciplinary procedures under this policy:

1. written warnings/reprimands
2. performance appraisals/evaluations
3. merit salary increases (or lack thereof)
4. failure to promote or appoint to another position
5. non-renewals of annual appointments or of extended appointment-eligible positions, i.e., within the first continuous five (5) years in an extended appointment-eligible position
6. reassignment to a different position with equivalent salary
7. notices of deficiencies and directives for improvement
8. change in title or modification of duties or work schedule
9. position eliminations

D. Disciplinary Procedures 

1. Notice 
   1. Disciplinary procedures are initiated by the appropriate personnel office- Human Resources or Academic Personnel Services- with a written Notice of Proposed Discipline. Discipline includes, but is not limited to, suspension, termination, or non-renewal for those with extended appointment status. The Notice of Proposed Discipline must include information regarding the basis for discipline in sufficient detail to disclose the reasons and basis for the proposed discipline and a statement that the employee is presumed not responsible until a final determination has been made at the conclusion of the disciplinary process.  The Notice of Proposed Discipline must also include:
      1. A statement that the employee may be accompanied by an advisor and support person of their choice throughout  the hearing process;
      2. A statement that the complainant and employee may request to inspect and review evidence prior to the hearing;
      3.  A statement that knowingly making false statements or knowingly submitting false information during the hearing is prohibited and may serve as grounds for disciplinary action.
      4. The proposed discipline;
      5. The date, time, and location of the proposed hearing. Any party may seek a temporary delay of the hearing for good cause. Good cause includes, the unavailability of a party, a party’s advisor or a witness; concurrent law enforcement activity; or the need for language assistance or disability accommodation.
   2. The parties to the disciplinary proceeding are the employee and the University’s representative. In matters involving sexual harassment, sexual misconduct, domestic violence, dating violence or stalking, the complainant (alleged victim) is also a party to the proceeding and shall have all the rights of a party, including without limitation the right to cross examine witnesses through an advisor and a right to appeal the determination by the hearing officer.
   3. The Notice will be provided to the employee, the University’s representative and the complainant if applicable.
2. Election of Employee
   1. An employee who receives a Notice of Proposed Discipline may make a written request, within five (5) business days, for either:
      1. a hearing; or 
      2. a conference with the head  of the appropriate personnel office-Assistant  Vice President for Human Resources of Assistant Provost for Academic Personnel- if the employee admits to the facts that form the basis for the proposed discipline and simply desires an opportunity to contest the proposed discipline. If the employee selects the conference option there is no further review or appeal available. This option is not available in a disciplinary matter involving alleged sexual harassment, sexual misconduct, domestic violence, dating violence or stalking if the complainant is a student.
      3. The election is irrevocable and no other procedure will be available to the employee. A written request for a hearing or conference must be directed to the appropriate personnel office. The hearing will be scheduled no sooner than ten (10) business days from the receipt of the Notice of Proposed Discipline
      4. If the employee does not within five (5) business days request either a hearing or a conference, the proposed disciplinary action will be imposed and no further review or appeal by the employee is available.
3. Hearing Procedures
   1. Hearings are designed to provide a prompt, fair, and impartial resolution regarding the disciplinary matter. The hearing will be held before a designated impartial hearing officer.  The hearing officer will determine the order of proceedings and other matters pertinent to the conduct of the hearing. The University may elect to have legal counsel present to advise the hearing officer.
   2. The hearing may be conducted with all parties physically present or at the University’s discretion any and all parties and witnesses may appear at the hearing virtually with technology enabling participants to simultaneously see and hear each other.  Except in matters involving sexual harassment, sexual misconduct, domestic violence, dating violence or stalking, the failure of the accused employee to appear at the scheduled hearing automatically waives the right to a hearing. In such event, the proposed discipline will be imposed by the University.
   3. The employee and any complainant may be represented, at their own expense, by legal counsel or other advisor. The University may elect to provide legal counsel to the University’s representative.
   4. The parties shall submit a list of witnesses and copies of proposed exhibits to the hearing officer 3 business days before the scheduled hearing, with copies to the other parties.  The hearing officer may notify all parties in writing before the hearing whether any of the submitted documentary evidence requires the presence of the document’s author or other witness for cross examination at the hearing in order to be considered.  Likewise, any party may call this issue to the attention of the hearing officer by submitting a written objection to the hearing officer, with copies to the other parties. Failure of the hearing officer or of a party to do so, however, does not prevent a challenge to the admissibility of such evidence at the hearing.
   5. The hearing officer has the authority to determine the relevance and admissibility of testimony and other evidence presented during the hearing and may place time limitations on opening and closing statements. Credibility determinations of parties and witnesses will not be made based on the person’s status within the University or at the hearing. The disciplinary process does not require any party to disclose legally privileged information, unless the person holding the privilege has waived it.
   6. The University may accommodate concerns for personal safety, well-being and/or concerns regarding confrontation among the complainant, the employee and other witnesses by providing separate facilities, by using a visual screen or permitting participation by closed circuit TV, video conferencing or other means.
   7. The University will make a record of the hearing and it will be made available to the parties.
   8. Parties have the right to submit relevant evidence and cross-examine other parties and witnesses. In matters involving sexual harassment, sexual misconduct, domestic violence, dating violence or stalking the University will provide an advisor to the complainant and the employee for the purpose of conducting the cross examination at the hearing. With the consent of the complainant, the University representative may act as advisor for both the University and the complainant. 
   9. In matters involving sexual harassment, sexual misconduct, domestic violence, dating violence or stalking, the advisor must appear at the hearing to ask questions on behalf of the accused employee, even if the employee fails to appear. The hearing officer may not rely on any statements or other information related to the accused employee if the accused employees fails to appear or participate in the hearing to answer questions. The Hearing officer may not to use the lack of the accused employee’s participation as a factor in making determinations of responsibility
   10. Witnesses, other than the accused employee, the complainant and the University representative, will ordinarily be present only while testifying. Each party is responsible for securing the attendance of witnesses whose testimony will be offered by such party.
   11. The standard of review used to determine responsibility is a “preponderance” standard. This determination is based on whether the greater weight of the evidence proves the allegations of misconduct.
   12. The hearing officer shall, objectively evaluate all relevant evidence, including both those that tend to prove the allegations or absolve the employee within fourteen (14) business days from the close of the hearing, issue a written decision. The Hearing officer will not draw any inferences based solely on a party’s or witness’s absence from the live hearing or refusal to answer cross examination or other questions.
   13. The burden of proof and the burden of gathering evidence sufficient to reach a determination regarding responsibility rests on ÍÃ×ÓÏÈÉú University and not on the parties. Privileged medical and treatment records may only be accessed, considered, disclosed or otherwise used by ÍÃ×ÓÏÈÉú University with a party's written consent to do so.
   14. The parties will be simultaneously notified, in writing, of the outcome of the disciplinary proceedings including the result of any initial, interim and final decision, the procedures for appeal and any change to the results. This notification includes whether the respondent was found responsible, and if so, the sanction(s) imposed and the rationale as well as any remedies offered to the complainant in matters involving sexual harassment, sexual misconduct, domestic violence, dating violence or stalking.
4. Appeals
   1. Each party has the right to file a written appeal with the appropriate personnel office within seven (7) business days of the written decision by the hearing officer. The Appeal should be addressed to the head of the appropriate personnel office.
   2. All parties will be notified if an appeal is filed and will have seven business days to submit a written response to the appeal. Copies of the statements of appeal and any responses will be made available to all parties.
   3. All appeals and responses regarding an appeal should be filed with the appropriate personnel office.
   4. Appeals may be filed for one or more of the following reasons:
      1. Inappropriate sanction.
      2. Procedural irregularity in the adjudication of the case. In considering appeals based on a procedural defect, a new hearing will be ordered only if the irregularity is found to be substantial enough to have changed the outcome of the original hearing
      3. New evidence that was not reasonably available at the time of the decision. In considering appeals based on new evidence, a new hearing will be ordered only if the new evidence is found to be substantial enough to have changed the outcome of the original hearing.
      4. Bias of the Hearing Officer
5. Determining Merit
   1. If the sanction is found to be inappropriate, the sanction may be increased or reduced on appeal.
   2. If it is determined that there was a defect in procedure, new evidence or bias in a hearing officer and if it is determined to be sufficiently substantial to have affected the outcome, a new hearing will be ordered.
6. Decision
   1. The decision to sustain the finding of the hearing officer or change a sanction is final. 
7. Conference Procedures 
   1. If the employee elects a conference with the head of the appropriate personnel office a conference shall be held between the head of the appropriate personnel office, employee and the complainant if any.
   2. The University may make a record of the conference. No opportunity to present evidence or cross examine witnesses will be provided.
   3. The employee may be accompanied, at their own expense, by legal or other counsel. The University may elect to have legal counsel present.
   4. The appropriate vice president or President will make the final decision.
8. Interim Suspension
   1. An interim suspension may be imposed by the Associate Vice President of Human Resources or Assistant Provost of Academic Personnel before the disciplinary procedures described in this policy are initiated or resolved.
   2. During an interim suspension, the employee is relieved of all employment responsibilities; the employee may be prohibited from all or any portion of University premises, University-related activities, or be permitted to remain only under specified conditions prior to the conclusion of the disciplinary process.
   3. An interim suspension will be with compensation until the disciplinary procedures are completed.

E. Persons Not Covered by These Procedures

1. President of ÍÃ×ÓÏÈÉú University
2. Members of the President’s Executive Cabinet (Provost and Executive Vice President for Academic Affairs, the Senior Vice President for Finance and Business Services and Treasurer, the Vice President for Student Life, the Senior Vice President for University Advancement, the Vice President for Information Technology, the  Vice President for University Communications and Marketing, the  Vice President for Institutional Diversity and Inclusion, the  Vice President for Enrollment Management and Student Success, the General Counsel, the Secretary to the Board of Trustees and Executive Assistant to the President, and the Director of Intercollegiate Athletics).
3. Academic administrators (deans, chairs, regional campus coordinators, tenured members of the faculty serving in an administrative appointment).

F. No Contact Directive

The Director of Human Resources or Assistant Provost for Academic Personnel or designee may direct an employee to have no contact with another employee or student for a specified period. No Contact Directives are issued when there is reason to believe that a directive would be in the best interest of the parties and/or the community for maintaining safety. Such situations include, but are not limited to: harassment, threats, physical assault, stalking, domestic violence, dating violence, sexual misconduct, retaliation or other threatening behaviors. No Contact Directives will typically be issued as mutual and time-limited, meaning all parties involved are subject to the same restrictions for a specified period of time.  No Contact Directives prohibit all forms of communication between designated individuals; direct or indirect, written, electronic, through a third party, or social media.  Should any employee or student fail to comply with a No Contact Directive, they may be subject to disciplinary action for violating the No Contact Directive.

No Contact Directives are distinct and different from court-imposed restraining orders or protective orders.  A No Contact Directive is a University action and is not recognized by city, county or state law as a legal action. If a person wishes to pursue a civil protection order, they must make the request through.

A No Contact Directive may be requested in writing at any time through the appropriate Office of Human Resources or Academic Personnel Services.  Modification requests will be considered when submitted through the appropriate Office of Human Resources or Academic Personnel Services. Office of the Dean of Students and accompanied by evidence to support the request.

G. General Matters

Related Form(s)

Not applicable.

Additional Resources and Procedures

FAQ

Not applicable.

Policy Administration

Next Review Date

7/1/2023

Responsible Officers

• Associate Vice President for Human Resources
• Assistant Provost for Academic Personnel

Legal Authority

Not Applicable.

Compliance Policy

No

Recent Revision History

 Edited July 2018; Amended August 2020

Reference ID(s)

• MUPIM 13.7
• OAC 3339-13-7

Reviewing Bodies

• Associate Vice President for Human Resources
• Assistant Provost for Academic Personnel
• Provost and Executive Vice President for Academic Affairs
• Senior Vice President for Finance and Business Services