Effective Date: May 23, 1995

POLICY AND PROCEDURE MEMORANDUM FACULTY - 8

SUBJECT: Procedure for Handling Allegations of Unsatisfactory Performance or Unacceptable Behavior

POLICY

Traditionally members of the faculty of the Bloomberg School of Public Health have conducted themselves in accordance with high standards of professional performance and ethical behavior. This has enhanced both the academic reputation of the School as well as the collegial spirit underlying relationships with colleagues and students. On occasion, however, it is necessary for the School to respond to evidence or complaints of unsatisfactory performance of professional duties or unacceptable behavior. The following procedure will be used to respond to evidence of this nature.

Complaints of scientific fraud or scientific misconduct are excluded from the following procedures since the resolution of such matters are dealt with in PPM Faculty 7.

PROCEDURE

1. Department chairs have the initial responsibility to attempt to resolve evidence or complaints of professional misconduct against a member of that department's faculty in a timely manner. If further resolution is required, the complainant shall be given the opportunity to reduce the complaint to writing for forwarding to the Dean.
2. The Dean and/or his/her designee will attempt to resolve the matter to the satisfaction of the complainant and the accused in a timely manner. If the matter can not be satisfactorily resolved in an informal manner, an ad hoc committee will be formed to resolve the issue through formal proceedings.
3. The Dean or his/her designee and the President of the Faculty Senate will constitute and charge an ad hoc committee of three disinterested tenured or retired faculty members, that is, active or retired professors who have no ties of friendship, business interests or significant professional associations which would tend to bias their judgement of the matter. In order to assure impartiality, whenever possible the membership of the ad hoc committee shall be composed of persons outside of the department(s) in which the complainant and person accused have their primary appointments. In extraordinary circumstances, the Dean and the President of the Faculty Senate may request that a senior faculty member from another University division serve as a member of the ad hoc committee. The Dean and the President of the Faculty Senate shall designate the chairperson of the ad hoc committee.
4. The Dean shall forward a copy of the complaint to the complainant and the accused, together with a list of members of the ad hoc committee and a copy of these procedures. The complainant and the accused may request the replacement of a member of the ad hoc committee for good cause such as bias or potential conflict of interest, but the selection of members of the ad hoc committee shall rest within the discretion of the Dean and the President of the Faculty Senate.
5. The person accused shall be given the opportunity to examine all documentary and other evidence to be presented against him/her. The complainant shall be given the opportunity to examine all documentary and other evidence which the accused intends to place before the ad hoc committee.
6. The ad hoc committee shall schedule one or more hearing dates at which the complainant, the accused and witnesses shall be heard. The initial hearing date shall be scheduled within seven (7) days after notice is given the accused; the hearing should begin within four (4) weeks.
7. The accused and the complainant may request that the ad hoc committee interview certain witnesses and pursue certain avenues of relevant inquiry. In addition, the ad hoc committee on its own initiative may request the Dean to gather other evidentiary material which it believes to be relevant and necessary to its fact-finding and deliberations.
8. The refusal of the accused to appear or to respond to the charges shall not deter the proceedings and resolution of the matter.
9. Both the complainant and the accused may elect to appear before the ad hoc committee with a non-attorney adviser drawn from the University faculty. In consideration of the desire that the academic nature of these proceedings be preserved, neither the ad hoc committee, the complainant, nor the accused shall have the assistance of legal counsel at the hearing(s) or later stages of appeal.
10. The meetings of the ad hoc committee at which witnesses are heard shall be recorded and copies shall be furnished the complainant and accused upon request. The deliberations of the ad hoc committee shall not be recorded.
11. The accused shall be given the opportunity to question the complainant and persons appearing before the ad hoc committee. The complainant will be accorded the same privileges. If, in the judgement of a majority of the ad hoc committee, a face-to-face confrontation between the complainant and accused is inadvisable, is likely to impose substantial hardship and/or is likely to cause undue stress, the ad hoc committee may forego such a confrontation but shall afford the parties the right to submit a list of questions which the ad hoc committee shall put to the other.
12. The accused and the complainant shall be afforded an opportunity to present a written and oral statement at the beginning and close of the proceedings before the ad hoc committee.
13. The ad hoc committee shall make its findings based on a preponderance of the evidence.
14. The ad hoc committee shall prepare a full written report reciting the witnesses heard, a summary of the evidence presented to the committee, and the result of its deliberations. If the committee finds that misconduct had occurred, it may make recommendations for appropriate disciplinary action against the accused. If the committee finds that misconduct has not occurred and that the complainant was maliciously motivated and/or presented fabricated evidence, it may make recommendations for appropriate disciplinary action against the complainant. If, in the opinion of the ad hoc committee, the allegations of misconduct are found not to be supported by the evidence but appear to have been made in good faith, no retaliatory or disciplinary action shall be taken against the complainant.
15. The committee shall forward its report to the Dean who shall furnish copies to the complainant and the accused. If the allegations of misconduct are not supported and appear to have been made in good faith, no further action is taken by the Dean. Should a finding of misconduct or a finding of maliciously motivated and/or fabricated evidence be forwarded to the Dean, he/she will consider the recommendation of the ad hoc committee, and can take appropriate disciplinary action. The party to whom the misconduct is attributed may submit in writing to the Dean any additional information that may assist the Dean in formulating his/her response, recommendations and decisions concerning the matter. This information should reach the Dean not more than seven (7) days after receipt of the ad hoc committee report. The Dean's decision shall be transmitted to the accused, the complainant, the ad hoc committee, and to the faculty member's file.
16. Disciplinary actions will range from a warning from the Dean and a letter to the faculty member's file, to suspension for a specified period of time, to termination whether the faculty member is tenured or appointed under a term contract.
17. In the case of termination, the Dean will bring his/her recommendation, and the ad hoc committee's report and any additional relevant material to the Advisory Board for approval (following procedures specified in PPM Faculty 1 section 4.7).
18. A party found guilty of misconduct by the Dean shall have the opportunity to appeal that decision and related disciplinary action (up to and including termination of their appointment) in writing to the Provost of the University within ten (10) working days of receipt of the decision. The decision of the Provost shall be final.
19. The University's Office of the General Counsel will not act as the prosecutor or defender of the accused, but will respond to questions by the complainant, accused, ad hoc committee, or a prospective witness regarding procedural matters.
20. The Procedure for Handling Allegations of Professional Misconduct is the exclusive procedure within the School for the resolution of allegations of faculty misconduct. A person found to have committed acts of professional misconduct or to have provided cause warranting termination may not grieve such finding in order to gain a reinvestigation or readjudication