Policy and Procedures

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Utah Valley University

Policies and Procedures

I. Policy

PREFACE
1. Utah Valley University has prepared this document as directed in Policies R481-3.1 and 3.2 of the State Board of Regents Policy and Procedures Manual which say:
  1. "3.1. Institutional Policies"
    "The president of each institution, with the approval of the board of trustees, shall develop policies related to academic freedom, professional responsibility and tenure through a process which involves substantive participation of the faculty governance organization."
  2. "3.2. Board Approval"
    "Each institutional policy shall be submitted to the Board for approval and shall be consistent with these guidelines. Substantive differences or exceptions must be reviewed and approved by the Board. Once approved, the institutional policy will apply, except when the institutional policy does not address an issue contained in this policy, then this policy will apply. Subsequent amendments to approved institutional policies, determined by the Commissioner to be substantive, must be reviewed and approved by the Board."
2. This document is organized into eight sections:
  1. Section One is a Preface.
  2. "Mission"
    Section Two sets the foundation and tone of this document and of the policies and procedures regarding the conduct between faculty and their profession, colleagues, students, community, and institution.
  3. "Philosophy"
    Section Three sets the foundation and tone of this document and of the policies and procedures regarding the conduct between faculty and their profession, colleagues, students, community, and institution.
  4. "Responsibilities"
    Section Four defines responsibilities and expectations of faculty.
  5. "Academic Freedom"
    Section Five defines faculty rights.
  6. "Tenure"
    Section Six defines tenure and outlines the elements that permit the achievement of tenure.
  7. "Personnel Reduction"
    Section Seven identifies conditions under which faculty may be dismissed and the dismissal procedures.
  8. Section Eight is a glossary of terms.
MISSION
The purpose of this policy is to define the responsibility of a faculty member; to provide a mechanism whereby academic freedom may be protected; to define the criteria by which tenure may be earned; to promote the highest standards of teaching, research, and scholarship; and to support the mission of the university as an institution of higher education.
PHILOSOPHY
1. Institutions of higher education exist for the common good of the society they serve and not to further the interest of either the individual faculty member nor the institution as a whole.
2. The common good of society depends upon the free search for truth and its free exposition.
3. Utah Valley University is committed to solving problems and controversies through rational discussion.
4. Acts of physical force or disruptive acts that interfere with institution activities, with freedom of movement on campus, or with student freedom to pursue studies are the antithesis of academic freedom and responsibility, as are acts which in effect deny members of the academic community or its invited visitors freedom of speech, freedom to be heard, and freedom to pursue research consistent with their role at the institution (See Policy A-9.4, Peaceful Assembly).
5. Utah Valley University seeks to provide and sustain an environment conducive to sharing, extending, and critically examining knowledge and values and to furthering the search for wisdom.
6. Effective performance of the above central functions requires that faculty members be free to study, discuss, investigate, teach, and conduct training. Academic freedom is essential to these purposes.
7. Academic freedom is also fundamental to the protection of the rights of the faculty member in teaching and of the students in learning.
8. The faculty's rights, privileges, and protection, including those of tenure and academic freedom, rest on the mutually supportive relationships among the faculty's special professional competence, its academic freedom, and the central functions of the institution. These relationships involve not only the rights of the faculty, but also serve as the source of the professional responsibilities of faculty members.
9. Academic freedom exists, then, not primarily to serve the interests of the faculty, but for the benefit of the society in which they function.
10. Faculty discipline of its members, through due process, is a safeguard against arbitrary withdrawal of academic freedom and tenure by the public.
11. Academic freedom shall be recognized as a right of all members of the faculty, whether of tenure or non-tenure status, of all administrative officers, and of all students.References
  American Association of University Professors "Statement of Principles on Academic Freedom and Tenure" (1940).
  Academic Freedom, Professional Responsibility, and Tenure in the Utah System of Higher Education: Statement of Policy Adopted by the Utah State Board of Regents, April 28, 1989.
RESPONSIBILITIES
1. RESPONSIBILITY TO SELF AND PROFESSION
  1. Reference American Association of University Professors "Statement of Professional Ethics" (1966).
  2. Ethical Canons Faculty, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon themselves. Their primary responsibility to their subjects is to seek and state the truth as they see it with intellectual honesty. To this end faculty devote their energies to developing and improving their scholarly competence. Faculty represent the best scholarly standards and skills of their various departments. Faculty accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. Although they may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.
  3. Standards of Behavior
    1. Seek Truth. Faculty members shall seek and state the truth in their subject as they see it.
    2. Stay Informed. Faculty members shall stay informed of developments in their field by continuing their studies and research beyond any degree or professional training they receive.
    3. Inquire Freely. Faculty members have the duty to guard their freedom to inquire and to state the results of inquiry in lectures, publications, or other appropriate mode of expression.
2. RESPONSIBILITY TO STUDENTS
  1. Reference American Association of University Professors "Statement of Professional Ethics" (1966).
  2. Ethical Canons As teachers, faculty encourage in students the free pursuit of learning. They demonstrate respect for students as individuals, adhere to their proper role as intellectual guides and counselors, and protect the academic freedom of students. Faculty make every reasonable effort to foster honest academic conduct and to assure that the evaluations of their students reflect their true merits. Faculty respect the confidential nature of the relationship between faculty and student. They avoid any exploitation of students for private advantage and acknowledge significant assistance from them.
  3. Standards of Behavior
    1. Teacher Preparation. Faculty at Utah Valley University are expected to demonstrate minimum competencies that comprise effective teaching. A faculty review and evaluation system is designed to verify such competency. A new tenure-track faculty member must demonstrate minimum competencies in all of the areas identified. In areas that need improvement, the faculty member will be required to either complete instructional modules or other faculty development activities designed to help him/her acquire the minimum teaching competencies in those areas. The faculty member must complete half of those activities during the first semester and the remainder by the end of the first year. Department chair and Faculty Development Office verification shall be sufficient evidence of competency. The competencies defined as minimum acceptable performance include:
      1. Developing a Lesson Plan
      2. Selecting Student Instructional Material
      3. Directing Student Laboratory Experience
      4. Introducing a Lesson
      5. Summarizing a Lesson Employing Oral Questioning Techniques
      6. Demonstrating a Manipulative Skill
      7. Demonstrating a Concept or Principle
      8. Assessing Student Performance: Skills
      9. Assessing Student Performance: Knowledge
    2. Course Preparation
      1. Course Content. The faculty at large has the right to determine course content. However, once course offerings have been approved, the individual faculty member is obligated to teach the course in reasonable conformity with the approved course description, content, and objectives (See Policy F-3.2, Course Outlines).
      2. Course Syllabus. Faculty shall, at the beginning of a course, inform students of the general content of the course, what is required of the students, and the criteria upon which their performance will be evaluated.
      3. Testing and Evaluation. The criteria for evaluating student performance shall relate clearly to the legitimate academic purpose and objectives of the course. Faculty shall hold all students responsible for meeting stated criteria.
      4. Teaching Methods. Individual faculty members have the right to determine the manner of presentation of course material. The academic freedom of the student as well as of the faculty member should be observed. While faculty are free to interrelate subject matter of their courses to relevant contemporary issues, they are primarily responsible for providing instruction in the announced subject matter and techniques of the course.
      5. Learning Experiences. Faculty members will seek to improve learning experiences and opportunities for students inside and outside the classroom and in ways that address diverse learning styles.
    3. Course Delivery
      1. Meeting Classes. Faculty shall be responsible for prompt and regular meeting of classes, faithful keeping of appointments, and, when assigned, academic, curricular, and/or vocational advising. The faculty and the administration are obliged to fill commitments to students in terms of class offerings. Alteration of schedules and cancellation or rescheduling of classes requires department chair approval and should be done only for valid reasons.
      2. Presentation. Faculty shall make substantive presentations or other means of instruction appropriate to the course. They shall attempt to impart to students knowledge and understanding of the field of study and to encourage students to develop appropriate and relevant skills, particularly the ability to reason with and use this knowledge and to do so in accordance with the best standards of scholarship. Faculty shall permit and encourage an atmosphere of critical student thinking, application, research, and writing.
      3. Questions. Faculty members should entertain relevant student questions and discuss controversial questions objectively and freely. Where faculty members find it pedagogically useful to advocate a position in controversies, they should assure that opportunities exist for students to consider other views. Faculty members shall not reward agreement or penalize disagreement with their views on controversial topics, but they can reasonably expect their students to learn the rationale behind certain positions.
    4. Student Consultation Posting and Keeping Consultation Schedule. Faculty members should make available, post, and faithfully keep a reasonable number of hours for student consultation or otherwise assure their accessibility to students.
    5. Student Relationships
      1. Plagiarizing. Faculty shall give proper acknowledgment to original student ideas in faculty lectures or publications.
      2. Favors. Faculty shall not take advantage of their relationship with students in or out of the classroom, nor shall a faculty member exploit students for the faculty member's own purposes. Faculty shall accept no gifts or favors from students that seem motivated by student desire to secure some academic advantage.
      3. Entanglements. Faculty shall avoid entanglements with students that create a conflict of interest (See Policy C-3.10, Sexual Harassment and Consensual Relationships).
      4. Confidentiality. Faculty shall not reveal matters received in confidence from a student unless required by law. Confidential and personal records relating to students shall not be revealed unless authorized by the student or required by law. Faculty may, however, report their assessment of a student's performance and ability to persons logically and legitimately entitled to receive such information (See Policy E-6.1, Student Records).
      5. Non-discrimination. Faculty shall create an environment for learning free from unlawful prejudices, discrimination, and harassment (See Policy E-5.1, Discrimination, Policy A-9.2, People with Disabilities, Policy C-3.10, Sexual Harassment and Consensual Relationships).
3. RESPONSIBILITY TO COLLEAGUES
  1. Reference American Association of University Professors "Statement of Professional Ethics" (1966).
  2. Ethical Cannons As colleagues, faculty have obligations that derive from common membership in a community of scholars. They respect and defend the free inquiry of associates. In the exchange of criticism and ideas, they demonstrate respect for the opinions of others. They strive to be objective in the professional judgment of colleagues and accept their share of faculty responsibilities. In commenting on the work of colleagues, faculty shall recognize that an institution of higher education is a community of scholars based on wide diversity of background and philosophy. Such differences contribute richly to the institution's comprehensive offering.
  3. Standards of Behavior
    1. Colleague Evaluation. Faculty shall, when properly requested by administrative and faculty agencies, comment in candor and fairness on the work of colleagues. Faculty shall, in making evaluations, use criteria directly reflective of professional performance.
    2. Inquiry. Faculty shall help preserve an atmosphere congenial to philosophical speculation, the reasonable interpretation of data, and the uncensored exchange of views. Faculty shall respect and defend the right of free inquiry of fellow faculty members.
    3. Authorship. Faculty shall not permit the appearance that they authored work done by colleagues.
    4. Obligations. When assigned, faculty shall be diligent in fulfilling committee and research obligations. When faculty are engaged in committee, research, professional, and/or administrative efforts, they shall be cooperative in meeting their obligations and in performing the tasks they have agreed to perform.
    5. Loyalty to Colleagues. As a community of professionals, faculty shall treat each other and members of the institution administration with respect and in an ethical manner.
4. RESPONSIBILITY TO UNIVERSITY
  1. Reference American Association of University Professors "Statement of Professional Ethics" (1966).
  2. Ethical Canons As members of the institution, faculty strive to be effective teachers and scholars. Although they observe the stated regulations of the institution, provided these regulations do not contravene academic freedom, faculty maintain their rights to criticize and seek revision. They determine the amount and character of the work they perform outside the institution with due regard to their paramount responsibilities within it. When considering the interruption or termination of their services, faculty recognize the effect of their decisions on programs of the institution and give due notice of their intentions.
  3. Standards of Behavior
    1. Honesty. Faculty shall be honest in all assertions relevant to their qualifications as faculty and their eligibility for institution benefits.
    2. Respect. In accordance with departmental policy, faculty shall use properly and lawfully all institution property entrusted to their care. Faculty shall not intentionally destroy institution property, purposely disrupt institution programs, or deliberately interfere with legitimate activities; nor shall a faculty member purposely or unlawfully incite* others to engage in such destruction, disruption, or interference. *Note: Mere advocacy or expression shall not be considered incitement unless the advocacy or expression poses a clear and present danger of the imminent occurrence of such destruction, disruption, or interference.
    3. Representation. Faculty shall avoid creating the impression that they are officially representing the institution in public appearances or statements unless they are authorized to do so.
    4. Outside Work. Faculty shall determine the amount and character of the work they do outside the institution consistent with other institution policies and with due regard for how such outside work affects their teaching and other professional responsibilities, as well as for its impact on their maintaining professional competence (See Policy C-3.1, Consultation and Policy C-5.4, Faculty Released Time).
    5. Teaching. Faculty shall achieve a rating consistent with School standards in teaching. Teaching activities may include instruction, laboratory activities, project supervision, preparation of course materials, and other activities related to teaching (See Policy C-5.3, Minimum Teaching Competencies).
    6. Professional Activities. Faculty shall achieve a rating consistent with School standards in professional activities. Professional activities may include contributions to knowledge, leadership in professional organizations, and active pursuit of professional competence (See Policy C-5.8, Faculty Merit Bonus and Policy F-2.1, Faculty Development).
    7. Service. Faculty shall achieve a rating consistent with School standards in service. Such service may include professionally related community service as well as service to the institution, such as service in department, service on institution committees and task forces, service in student advisement, and other types of service.
    8. Ethics. Faculty shall adhere to professional ethics.
    9. Degrees. Faculty shall meet degree requirements as specified by the individual departments (See Policy C-5.6, Minimum Teacher Qualifications).
    10. Other Criteria. Faculty shall achieve a rating consistent with School standards in other criteria stated in specific institution documents, such as professionally related experience.
5. RESPONSIBILITY TO THE LARGER COMMUNITY
  1. Reference American Association of University Professors "Statement of Professional Ethics" (1966).
  2. Ethical Canons As members of the larger community, faculty have the same rights and obligations as other citizens. Faculty measure the urgency of these obligations in the light of their responsibilities to their disciplines, to their students, to their professions, and to their institutions. As citizens engaged in a profession that depends upon freedom for its health and integrity, faculty have particular obligations to promote conditions of free inquiry and to further public understanding of academic freedom.
  3. Standards of Behavior
    1. Citizen Obligations. Whatever else they may be, faculty are also citizens. They do not allow their commitment to discipline, students, institution, and profession to prevent the performance of their usual duties of citizenship.
    2. Freedom of Speech. Faculty have the same rights and obligations as any citizen. They are as free as other citizens to express their views and to participate in the political processes of the larger community. When they act or speak in a personal or private capacity, they should avoid deliberately creating the impression that they officially represent the institution, unless authorized to do so.
    3. Obedience to Laws. Faculty share the general duties and rights of citizenship, which include the duty to obey laws of the state and the nation. Faculty who violate state or federal law(s) may expect no immunity or special protection by right of their faculty status. Breaches of legal duty by faculty, as with other citizens, are matters for disposition by the civil and/or criminal justice systems.
    4. Institution Discipline. The institution community has no special expertise in legal matters; and because institution action could complicate and hamper civil or criminal court action, the institution will not commence disciplinary proceedings for violations of law not directly related to the institution. However, the institution reserves the right to bring proceedings against faculty who are convicted of, found to be liable for, or voluntarily agree to pay damages for unlawful conduct which also constitutes a violation of institution standards of behavior or where the violation raises a substantial question of ability, willingness, or professional fitness of faculty to perform their duties to the institution.
ACADEMIC FREEDOM
Because of their position as seekers and promulgators of knowledge, and because that position can often come under social, religious, political, or economic pressures, faculty must be guaranteed specific rights for the common good of society at large.
1. HIRING AND PROMOTION
  1. AA/EEO. Faculty shall be appointed according to a process allowing for adherence to Affirmative Action/Equal Employment Opportunity standards (See Policy C-1.1, Equal Employment and Education Opportunity and Affirmative Action).
  2. Quality Selection. Faculty selection shall allow a close examination and systematic inquiry into the qualification of candidates.
  3. Equal Selection. Temporary full-time faculty appointments to positions not leading to tenure shall be made in the same manner as regular faculty appointments.
  4. Selection Procedure. The procedure for faculty appointments is as follows:
    1. Department Initiation. The department chairperson shall initiate action by obtaining authorization to establish or fill a department position from the dean and the Vice President for Academic Affairs.
    2. Dean's Approval. Before steps are taken to advertise a position, the department chairperson shall negotiate the department's wishes with the dean to obtain an agreement as to the qualifications and general responsibilities of the academic position to be filled.
    3. Screening Committee Selection. When positions are approved and qualifications are determined, a screening committee of at least three members will be selected from department faculty.
    4. Candidate Evaluation. Measures shall be taken to carefully evaluate candidates and to assure that they become acquainted with the institution and its surrounding area. To accomplish this, candidates may be invited to come to the institution for personal interviews, to give presentations, and/or to participate in other institution activities.
    5. Department Recommendation. When the review of candidates has been completed, the department chairperson shall forward the recommendation of the department with all supporting information to the dean.
    6. Dean's Recommendation. The appropriate dean shall submit a recommendation with supportive data to the President, through the Vice President for Academic Affairs.
    7. Vice President for Academic Affairs' Approval. The Vice President for Academic Affairs will indicate to the dean the approval or disapproval of the recommendations.
    8. Offers. No offers, either verbal or written, shall be made to a candidate without the approval of the dean, the Vice President for Academic Affairs, and the President.
    9. Presidential and Board of Trustees Ratification. Appointments made by the President shall be ratified by the Board of Trustees.
  5. Written Terms. The terms and conditions of every appointment and any revisions should be stated in writing and be provided to the affected candidate.
2. GOVERNANCE
  1. Research. The faculty are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with authorities of the institution.
    1. Faculty have the right to free inquiry and the unconstrained dissemination of ideas.
    2. Faculty have the right to freedom from direct or indirect coercion, intimidation, or fear of reprisal because of new, bold, challenging, or unconventional ideas that they research, publish, or teach.
    3. Faculty have the right to engage in study or research for its own intrinsic value apart and aside from any preconceived pragmatic results.
  2. Teaching
    1. Methods. Faculty are entitled to academic freedom in the classroom in discussing their subjects and in choosing methods to be used. All materials and comments presented should be relevant to the subject.
    2. Curriculum Development. Curriculum development is both a faculty right and responsibility (See Policy F-2.3, Instructional Development Fund Awards and Policy F-3.4, Curriculum).
    3. Faculty Evaluation. Annual evaluations by students are used to assist faculty in improving courses, teaching skills, and organization (See Policy F-3.1, Instructor/Course Evaluations).
    4. Degrees Awarded. Faculty input must be considered in determining departmental certificate, diploma, or degree requirements.
  3. University and Department Governance
    1. Committee Membership. Faculty are expected to serve willingly and professionally on institution and department committees.
    2. Faculty Meetings. Each department schedules department meetings on a regular basis in which faculty provide input regarding department decision making and budgeting. Salaried faculty are to attend these meetings as well as any institution-wide faculty meetings deemed necessary by the Vice President for Academic Affairs (See Policy F-2.4, Non-Teaching Responsibilities.
      Adjunct faculty are encouraged, though not required, to attend these meetings.
    3. Faculty Senate. The Faculty Senate is the representative body of the faculty and provides a faculty voice in the policy making of the institution. If elected to the Senate, a faculty member should serve willingly and professionally (See Policy F-2.2, Faculty Senate - Constitution and Bylaws).
    4. Department Budget. Contract faculty should have a voice in determining the use of their department's funds.
3. PROFESSIONAL DEVELOPMENT
  Faculty members can expect institution support in keeping abreast of developments in their fields of specialty and in supporting active participation in professional organizations and meetings. To this end, faculty members can expect appropriate policies regarding travel, sabbatical leaves, leaves of absence, etc. In support of this expectation, non-teaching assignments should be kept within reasonable limits. Special considerations shall be given to faculty members presenting professional papers at organizational meetings.
4. NON-DISCRIMINATION
  All faculty members have the right to a work place free from unlawful discrimination and from sexual harassment (See Policy A-9.1, AIDS; Policy A-9.2, People with Disabilities; Policy C-3.10, Sexual Harassment and Consensual Relationships).
5. PEER EVALUATION
  Faculty members should be judged by their colleagues in matters of promotion and discipline in accordance with established due process procedures and solely on the basis of the faculty member's professional qualifications and professional conduct. An individual's private lifestyle shall not be a factor in these judgments unless that lifestyle (1) raises a serious question of the faculty member's ability, willingness, or professional fitness to perform institution duties, and (2) constitutes a violation of the standards of behavior listed in this document.
6. FINANCIAL AND LEGAL SUPPORT
  Faculty members have the right to financial and legal support from the institution in litigation brought against them (e.g., in a civil suit) as a result of their performance of duties, according to the provisions of the Utah Governmental Immunity Act.

TENURE

Faculty hires after August 15, 2003 see Policy F-2.6 for information about Tenure.

Faculty hires prior August 15, 2003 see text below.

COMMITMENT Granting of tenure implies a substantial commitment by the institution. Likewise, the faculty member who is granted tenure makes an equally b commitment to serve students, colleagues, the department, and the institution in a professional manner. Granting of tenure also creates a b presumption that those granted tenure are competent in their disciplines and are capable of scholarly contributions. It is, therefore, imperative that a responsible screening process be followed before such commitments are made to ensure selection of the most competent candidates. The terms and conditions of every appointment and any revisions should be stated in writing and be provided to the affected faculty member.
CRITERIA
1. Standards. Tenure is awarded to faculty who successfully meet the prescribed standards in section four, Responsibilities, for the amount of time set and under conditions noted in the following sub sections.
2. Awarding of Tenure Utah Valley University shall extend tenure to qualified faculty who are holders of tenure track appointments. Minimum degree requirements may be established. The decision to grant or deny tenure shall not be based on projected student enrollments. (See Policy C-5.6, Minimum Teacher Qualifications)
3. Adjunct Faculty. Adjunct faculty shall be in non-tenure track.
PROBATION PERIOD
1. Time of Probation Period. The probationary period shall consist of seven years of full-time, tenure- track service. During the probationary period, a faculty member has the academic freedom enjoyed by all other faculty.
2. Professional Leave Time. Upon prior approval by the Faculty Senate Tenure Committee, up to one year may be counted toward tenure for time spent by faculty on leave in pursuit of professionally related education or experience (See Policy C-3.6, Leave of Absence).
3. Minimum Time. Tenure may not be granted to anyone at Utah Valley University who has not completed at least three consecutive years of faithful service in tenure track immediately prior to the award of tenure. Exceptions to this section must be approved by the Faculty Senate Tenure Committee.
4. Lateral Transfer. The seven probationary years may be fulfilled in more than one department should lateral transfer occur during that period.
5. Inter-Institutional Transfers. Up to four years of satisfactory full-time service in the tenure track at other accredited institutions of higher education may be counted as part of the probationary period. Credit for such service shall be negotiated between the appointee and the Vice President for Academic Affairs upon recommendation of and in consultation with the department chairperson, the dean, and the Faculty Senate Tenure Committee, and shall be written as part of the initial letter of appointment issued to the faculty member by Utah Valley University. Exceptions to this section must be approved by the Faculty Senate Tenure Committee.
6. Tenure and Administrative Appointments. Tenure and Administrative Appointments. Appointment to any administrative position, including the office of President, Vice President, dean, director, or department chairperson, is without significance for achieving tenure. A dean or associate dean may be tenured at the time of hire. The tenure must be to a specific department, through negotiation of the President, Academic Vice President, and department to which the tenure is awarded, and the candidate must meet the tenure requirements of the involved department. Such tenure must be recommended by all parties to the negotiation and by the Faculty Senate Tenure Committee prior to award. A faculty member holding a position with tenure does not lose tenure upon accepting an administrative position within the institution. A faculty member in tenure track who accepts a department chair or associate dean position of less than 50 percent contract teaching load is suspended from the tenure track until resumption of a minimum 50 percent contract teaching load.
7. Transition from Dean to Tenured Faculty. A dean or an associate dean who has previously been awarded tenure to a department may, upon ceasing to serve as dean, return to a full-time teaching position within the department to which tenure has been awarded. The salary at return to teaching shall be set at the highest salary in that department, or the salary as determined by the initial placement procedure based upon the individual's credentials, whichever is higher. Should a vacant position be unavailable within the department, a new teaching position will be funded from institution sources.
DURATION Appointment to a tenured position is considered permanent and is not subject to termination except as provided by policy C5.5. Tenure already in force at the time this document becomes effective, is to the institution or to the department depending upon the wording of the letter granting tenure. In any event, when transferring from one department to another within the institution, the tenured faculty member carries his/her tenure with him/her.

TENURE REVIEW

Faculty Member
1. Orientation. The faculty member shall be oriented to the Tenure Policy/Procedure by the department chairperson immediately upon hire.
2. Provide Materials. The faculty member shall provide relevant materials as listed in this document, or as requested by review personnel.
3. Evaluations/Progress Reports. Evaluation of progress toward tenure using the annual evaluation will be made each year by the chairperson and forwarded to the dean for review. Progress reports will be made during the second, fourth and sixth years. The progress reports, including annual supervisor's evaluations, annual tenure evaluations, annual student evaluations, and peer evaluations which have been reviewed by the department chairperson and the candidate faculty member are forwarded to the dean and forwarded, with recommendation, to the Vice President for Academic Affairs. The progress reports shall be placed in the tenure file of the faculty member and shall be transmitted to the faculty member. The faculty member shall be given appropriate opportunity to discuss strengths, weaknesses, goals, and other pertinent issues.
4. Annual Update. The faculty member shall annually update the tenure file and complete the tenure review form. This file must be ready for review by January 15.
5. Seventh-Year Recommendation. The faculty member will receive the recommendation of the Vice President for Academic Affairs by April 1 of the seventh year. Any appeals of that recommendation must be made to the Faculty Senate president within ten days of notification of the recommendation.
Department Chairperson
1. Orientation. The department chairperson shall orient the faculty member upon hire. A hard copy of the Academic Freedom, Professional Responsibility, and Tenure Policy/Procedure Manual shall be provided to the faculty member.
2. Annual Tenure Evaluations. The department chairperson shall evaluate the tenure candidate faculty member annually for progress toward tenure using annual student evaluations, the annual supervisor's evaluation of faculty, and other required or relevant data and forward the evaluation to the dean for review and recommendation. The department chairperson shall state either satisfactory or unsatisfactory progress. The dean will forward the department chairperson's recommendation to the Vice President for Academic Affairs for review and placement in the tenure file.
3. Peer Evaluations. The department chairperson shall provide for written peer evaluations of the candidate faculty member during the second, fourth and sixth years. These evaluations shall be part of the progress report which the department chairperson shall forward to the dean.
4. Progress Reports. During the second, fourth, and sixth years, the tenure file containing the annual tenure evaluations, annual supervisor's evaluations, annual student evaluations, and peer evaluations shall be reviewed by the department chairperson and the candidate faculty member. The department chairperson shall forward a progress report recommending either satisfactory or unsatisfactory progress to the dean who shall review and forward, with recommendation, to the Vice President for Academic Affairs for placement in the tenure file. The Vice President for Academic Affairs will review the progress report and confirm the review by letter to the dean with copies to the department chairperson and the candidate faculty member.
5. Seventh-Year Input. Prior to January 25 in the seventh year, the department chair shall invite additional input from tenured department faculty and a final recommendation shall be forwarded to the dean for placement in the tenure file by February 1.
Dean
1. Review and Recommendations. The dean shall receive annual tenure evaluations, progress reports, recommendations, and any other relevant data from the department chairperson. The dean shall review each of these documents in the years they are submitted and forward with a recommendation to the Vice President for Academic Affairs.
2. Seventh Year. During the seventh year, the final recommendation of the department chairperson and the final recommendation of the dean shall be forwarded to the Vice President for Academic Affairs by February 15.
Faculty Senate Tenure Committee
1. The Faculty Senate Tenure Committee shall be established under Faculty Senate By-laws..
2. Faculty Senate Tenure Committee
  1. Review. The Faculty Senate Tenure Committee shall review the file for each candidate referred to it by the Vice President for Academic Affairs.
  2. Recommendation. The Faculty Senate Tenure Committee shall add its recommendations together with reasons and findings to the file and forward the file for seventh year candidates to the Vice President for Academic Affairs by November 15.
  3. Vote. Board recommendations shall require a majority vote of the total Board membership. All members must vote.
Vice President for Academic Affairs.
1. Evaluations/Progress Reports. The Vice President for Academic Affairs shall receive annual tenure evaluations, progress reports, recommendations, and other relevant data from the dean. The Vice President for Academic Affairs shall review and place them in the tenure file. During the candidate's second, fourth, and sixth probationary years, the Vice President for Academic Affairs will be made aware of the candidate's progress toward achieving tenure, and confirm such a review by letter to the dean, with a copy to the department chair person and the candidate.
2. Seventh-Year Decision
  1. Recommendations. The Vice President for Academic Affairs will receive recommendations from the dean by February 15 and from the Faculty Senate Tenure Committee by March 15.
  2. Recommendation of the Vice President for Academic Affairs. The Vice President for Academic Affairs' recommendation will be forwarded to the President and the candidate by April 1.
President
1. Seventh-Year Decision.
  1. Review. The President will receive the recommendation from the Vice President for Academic Affairs by April 1.
  2. Recommendation of the President. The President's recommendation, based on the review of the candidate's file, will be forwarded to the Board of Trustees.
  3. Letter. The President confers tenure by letter to the faculty member following the April Board of Trustees meeting. Notification of denial of tenure will also be sent by letter. Copies of the letter will be placed in the candidate's tenure file and copies sent to the dean and the department chairperson.
Board of Trustees. At the April Board of Trustees meeting, the Board will receive the tenure recommendation from the President and affirm or deny it.

Dates in Final Year

Dated Guidelines. The following dated guidelines are established for use in the tenure review process. These guidelines identify when department chairpersons, deans, the Vice President for Academic Affairs, and the Faculty Senate Tenure Committee must complete their reviews of candidates' files and make their recommendations. Exceptions to these dated guidelines must be approved by the Faculty Senate Tenure Committee, and the candidates must be informed.

Procedural Time Lines. The following steps shall be completed prior to the indicated dates:

January 10	Candidate has file ready
January 15	Candidate requests tenure review using approved form
January 15	Department Chair invites departmental colleague input
January 25	Colleagues' input to file due
February 1	Department's recommendation to Dean/VPAA
February 15	Dean's recommendation to VPAA
March 1	Chair of the Faculty Senate Tenure Committee receives files from VPAA
March 15	Faculty Senate Tenure Committee's recommendation to VPAA
April 1	VPAA's recommendation to President
April 15	President's recommendation to Board of Trustees ;
April	Board of Trustees' decision at its April meeting; President confers or denies tenure to faculty member by letter

Candidates Absent From the institution. All candidates who will be absent from campus during the year shall leave a forwarding address with their department chair. Candidates shall receive written notification of the decision of the Board of Trustees within five working days of the decision.
Candidate Appeals. Any appeal must be made by the faculty member within ten working days of notification of denial of tenure.
Probation Extension. Any extension of the seven-year probationary period must be approved by the Faculty Senate Tenure Committee.

FILES
1. Tenure File.
  1. A tenure review form recording all action and review proceedings by individuals and boards in the tenure process.
  2. Certification indicating the number of years awarded toward tenure at the time of the initial appointment; also certification of applicable time on leave as approved.
  3. Peer and supervisor evaluations which assess all aspects of a candidate's performance. Such data may include assessment of the following: a candidate's knowledge of subjects taught, quality of course materials used and developed, grading policies and procedures, availability to students, supervision of students, maintenance of high academic standards, committee assignments, appropriate professional activity, and a personal commitment to improvement.
  4. Summaries of student evaluations which are representative of the candidate's teaching load; evaluation instruments shall be attached.
  5. Progress reports required during the second, fourth, and sixth years.
  6. Other summarized information consistent with criteria for tenure.
2. Personal File. The department chairperson shall send the faculty member a copy of all items which have been sent to the Office of the Vice President for Academic Affairs for inclusion in the faculty member's tenure file.
3. Annual Update. The faculty member shall annually update the tenure file and complete the tenure review form by January 15. Materials may not be added to the tenure file after the review process has begun in the final year unless it is at the request of reviewers.
4. Access to Tenure File. The tenure file will be made available at any time as requested to the candidate or those involved in the review process. Each person who reviews the file must first sign it; therefore, the table of contents page shall indicate the signatures of all persons who have looked at the file, as well as a record of additions and deletions.
5. Deletions from Tenure File. The removal from the file of any documents must be done according to the following procedure:
  1. The faculty member must submit to the department chairperson a written statement presenting the reasons for excluding the item(s) from the file.
  2. The department chairperson must submit to the Vice President for Academic Affairs a recommendation concerning the faculty member's written statement.
  3. After receiving the recommendation of the department chairperson, the Vice President for Academic Affairs shall confer with the Faculty Senate Tenure Committee to determine whether the challenged material may be deleted from the file.
  4. If material is deleted from the file, the deleted item(s) shall be shown in the table of contents as "deleted" and the date of the deletion shall be recorded.
APPEALS
1. Tenure Board of Appeals. An ad hoc board will be created by the Faculty Senate to hear appeals of tenure decisions. This board will consist of the Faculty Senate President, who will chair the board, the College Equal Employment Officer, an academic administrator appointed by the Vice President for Academic Affairs, and two faculty members appointed by the Faculty Senate Executive Committee.
2. Reasons for Appeals. If, as a result of the seventh- year tenure review, a non-tenured faculty member is denied tenure, the non-tenured faculty member may appeal this decision to the Tenure Board of Appeals on any of the grounds listed below:
  1. The decision was arbitrary or capricious;
  2. The decision was pre-textual, in that it was based upon something other than the non-tenured faculty member's professional qualifications and professional conduct;
  3. The decision resulted from discriminatory or prejudicial treatment during the tenure review process in violation of specific constitutional or statutory rights;
  4. The decision was not made in accordance with established due process procedures; or
  5. The decision resulted from the candidate's exercise of academic freedom.
3. Hearing
  1. Purpose. If the formal charge is deemed to warrant the convening of a formal hearing, the Tenure Board of Appeals will conduct a hearing to determine whether academic due process has been afforded the accuser. The hearing shall be strictly limited to resolving the following issues:
    1. Whether the decision was arbitrary, capricious, or pre-textual. In this regard, it shall not be necessary that the recommendations of the various tenure/ranking committees and administrators all be unanimous. The standard of review shall be whether the evidence preponderates in favor of a finding that the ultimate decision was or was not based upon legitimate, reasonable grounds.
    2. Whether the decision was free from discrimination or prejudice in violation of specific constitutional or statutory rights, or that the decision was based primarily on issues surrounding the candidate's exercise of academic freedom.
    3. Whether the procedural guidelines for the evaluation of non-tenured faculty were followed. If reasonable care is evidenced, then failure to follow the guidelines exactly shall not be construed to be sufficient grounds for a charge of procedural error.
  2. Procedure. The hearing shall be conducted according to the provisions for formal hearings. The Tenure Board of Appeals, however, shall consider only the issues set forth above. The Tenure Board of Appeals shall not attempt to determine the merit of decisions and recommendations made by tenure/ranking committees.
  3. Tenure Board of Appeals Recommendations. The Tenure Board of Appeals shall recommend to the President of the institution that:
    1. The case be dismissed on the grounds that the procedures followed by review board(s) and administrator(s) were fair, reasonable, and afforded academic due process to the accuser;
    2. or The faculty member be reevaluated by the appropriate tenure/ranking review committee(s) and administrator(s) because academic due process was not afforded the accuser. In the event that the recommendation is for reevaluation, the Board will also recommend to the President any corrections in the process (including specifying the addition or deletion of specific individuals in the hearing process) and the precise point in the process at which the rehearing must start. The reevaluation process shall be completed in a timely manner, no later than April 28 of the calendar year in which the recommendation for non-appointment was made.
    3. Formal Hearing. The non-tenured faculty member becomes the accuser and must file a formal charge with the Faculty Senate President. Within ten (10) working days following receipt of a formal charge, the Tenure Board of Appeals may in its discretion decide not to hold a formal hearing on the charge if it is determined to be beyond the scope of the issues set forth above or if it is determined to be an abuse of the intent of academic due process. The decision to dismiss the charge, together with reasons therefore, shall be submitted in writing to both the accuser and the respondent. If a decision is made to dismiss the formal charge, any appeal must be submitted by the accuser to the President within ten (10) working days of receipt of the decision.
    4. Evidence. The non-tenured faculty member shall have the burden of introducing sufficient evidence to support a decision that one or more of the rights set forth above were violated during the tenure review process. The standard of proof in these cases shall be preponderance of the evidence. If the non- tenured faculty member in the role of accuser satisfies this burden on any of the issues set forth above, the burden shall then shift to the institution in its role of respondent to produce sufficient evidence to rebut the allegations. The ultimate burden of persuasion shall remain with the accuser.
    5. Respondent. The Vice President for Academic Affairs or an appointee shall be considered the respondent and therefore shall respond to the formal charge. The respondent shall present competent evidence which addresses the charge that one or more of the accuser's rights set forth above were violated, but only after the accuser has satisfied the initial burden of proof.
    6. Presidential Response.
      1. If the recommendation is for dismissal of the charge, the President of the institution shall be guided but not bound by this recommendation. If, however, the recommendation of the Tenure Board of Appeals is for reevaluation of the faculty member, the President shall be bound by this recommendation.
      2. The President shall make a decision in no less than ten (10) nor more than twenty (20) working days following the date of the recommendation of the Board.
      3. There shall be no appeal or review of the Board's recommendation beyond the President, except as provided in the Utah statutes or the civil courts.
RETIREMENT Upon a faculty member's retirement, that individual may continue to serve without tenure upon invitation of the College; however, service may be terminated at any time following the completion of the faculty member's last (most recent) annual contract.

PERSONNEL REDUCTION
Termination of faculty services to Utah Valley University may occur for one of the following reasons:

- A faculty member is terminated during the probationary appointment at the end of a contract period by administrative action in accordance with the academic tenure policies.
- A faculty member with tenure is terminated for cause as determined by the institution Board of Trustees on recommendation of the President. Confidentiality is to be observed.
-A faculty member initiates the termination by resigning from the position. -A faculty member exercises retirement.
-Appointment to a tenured position is considered permanent and not subject to termination or substantial reduction in status, except under those circumstances discussed herein.
1. RESIGNATIONS AND RETIREMENT
  1. Resignation. The decision to resign shall be submitted in writing by the faculty member to the immediate supervisor at the earliest feasible date.
  2. Retirement. The decision to retire shall be submitted in accordance with the institution Retirement policy. In order to facilitate continued operation of the program, written notification of intention to resign or retire shall be considered binding if not rescinded by the faculty member in writing within five (5) working days of the date of submission. The immediate supervisor will advise the President through normal administrative channels of such a decision.
2. DISCONTINUANCE OF NON-TENURED FACULTY
  1. Any full-time, non-tenured faculty member whose annual appointment the institution wishes not to continue, or whose appointment the institution wishes to continue with substantially reduced status, shall be given advance notice in writing of such intent by the Vice President for Academic Affairs as follows:
    1. For a full-time faculty member who has served more than one academic year, notice shall be given not later than December 15 of the current academic year.
    2. For a full-time faculty member who has served less than one academic year, notice shall be given not later than March 1st of that academic year.
  2. Procedural Due Process. If a non-tenured faculty member alleges that discontinuance or reduction in status is based upon discriminatory or prejudicial treatment in violation of his or her constitutional or statutory rights, the faculty member shall be accorded the procedural due process provided in this policy (see VII.F.). The petitioning faculty member shall have the burden of introducing competent evidence sufficient to support a decision that the non-renewal or reduction was based on discriminatory, prejudicial facts and reasons. Review on appeal shall be limited to a determination of whether the nonprejudicial, nondiscriminatory requirements have been met.
3. TERMINATION FOR CAUSE
  Continuation of academic tenure requires maintenance of reasonable care in the faculty member's performance as a teacher and scholar.
  1. Causes for Dismissal. A faculty member may be dismissed for:
    1. Professional incompetence.
    2. Unethical behavior.
    3. Violation of Board of Regents' or institution rules.
  2. Dismissal Proceedings. Dismissals for cause shall be made only after proper investigation, after recommendation of the President, and approval by the institution Board of Trustees. In any such proceeding, confidentiality is to be observed carefully.
4. TERMINATION FOR MEDICAL REASONS
  A tenured faculty member may be dismissed or given a contract with substantially reduced status if medical incapacity prevents the faculty member from performing usual duties and responsibilities.
  1. Allegation. Proceedings to terminate or to give substantially reduced status to a faculty member for medical reasons shall be initiated by a written statement alleging medical incapacity made to the President or designee, by the faculty member's dean, department chairperson, or supervisor. The faculty member shall be notified in writing of the allegation and informed of the right to a conference.
  2. Physical Examination. In such cases the faculty member shall be informed of the right to be examined (at institution expense) by two physicians. One physical shall be chosen by the faculty member and the other physician shall be chosen by the institution.
  3. Examination Concurrence. Should both examining physicians concur as to the absence of such medical incapacity, no further action shall be taken.
  4. Examination Refusal. If the faculty member refuses to submit to medical examination, or if the complaint of medical incapacity cannot be resolved by administrative disposition during an informal, conciliatory meeting, a written formal charge shall be prepared and submitted to the President of the Faculty Senate who shall convene an ad hoc committee; and a formal hearing procedure shall be initiated.
  5. Decision. The Faculty Senate ad hoc committee may recommend extended suspension or involuntary early retirement. The committee may also recommend, in those cases where the duration of medical incapacity is expected to be relatively short, that the faculty member be only temporarily replaced or be given priority for possible rehire.
5. TERMINATION OF TENURED FACULTY FOR INSTITUTIONAL REASONS
  1. Financial Exigency (See Policy C-7.5, Bona Fide Financial Exigency and Personnel Reduction).
  2. Program or Unit Discontinuation. A tenured faculty member may be dismissed or given a contract with or without substantially reduced status in the event of a bona fide discontinuance of a program or department of instruction.
    1. Conciliatory Actions
      1. Notification. When a faculty member with tenure is terminated or given a renewal contract with a substantially reduced status because of bona fide discontinuance of a program, a department of instruction, or other equivalent tenure-granting academic subdivision, he/she shall be notified no later than March 30 of the previous contract year. After that date, his/her contract shall be renewed at a salary rate not less than his/her current contract or he/she shall be given severance pay equal to his/her current contract salary in lieu thereof.
      2. Reassignment. At the time it is preparing and implementing a plan for personnel reduction, the institution shall make a good faith effort to reassign any faculty member to be laid off to an existing vacant position within the institution for which the faculty or staff member is qualified. A tenured faculty member who is not dismissed and who is appropriately qualified has the right to displace a non-tenured faculty member from his or her position. The reassignment of faculty, including decisions regarding salary, and other rights in the new assignment, shall be negotiated by the dean and the department chairperson with the participation of the faculty of the program to which the proposed reassignment is to be made. Reassigned faculty with tenure carry that tenure to the new program.
      3. Appeals Rights. Unless otherwise required by law or regulation, the institution's grievance procedure shall not delay the effective date of the layoff (see VI.G. Appeals).
      4. Reinstatement Rights.
        
        For Tenured Faculty. In cases of layoff of tenured faculty members, the position concerned may not be filled by replacement within a period of three (3) years from the effective date of the layoff unless the tenured faculty member has been offered a return to employment in that position and has not accepted the offer within thirty (30) calendar days after the offer was extended.
        
        For Non-tenured Faculty. Except as provided in section VII.E.2.a.2. (giving a tenured faculty member to be laid off the right to displace a non-tenured faculty member), in the case of a position from which a non-tenured faculty member has been laid off, the position concerned may not be filled by replacement within a period of one (1) year from the effective date of the layoff unless that position has been offered to the following persons who were laid off, who are qualified therefore, and who have not theretofore been rehired: first, tenured faculty members; second, non-tenured faculty members. Each such offer must be accepted within thirty (30) calendar days after the offer is extended before being offered to anyone else.
        
        For Reinstated Faculty. A faculty member who has been laid off and who accepts reinstatement in the same position will resume the rank and tenure status held at the time of layoff, be credited with any sick leave accrued prior to the date of layoff, and be paid a salary commensurate with the rank and length of previous service.
  3. Discipline and Termination for Cause. The provisions governing termination for Cause shall include the following:
    1. Dismissal for Cause. No faculty member who has achieved tenure shall be dismissed without Cause. Dismissals for Cause shall be made only after proper investigation by the administrative officers of the institution, a hearing by a Due Process Committee (if such is requested), and action by the institution Board of Trustees upon recommendation of the President.
    2. Due Process Committee. A recommendation by the President for termination for Cause of the services of a faculty member who has achieved tenure will be considered by a Due Process Committee. A faculty member shall be permitted to choose an advisor who may act as counsel. A record, stenographic or electronic, shall be provided by the institution for future reference.
6. DUE PROCESS
  In all disciplinary, suspension, or termination proceedings, or proceedings regarding academic freedom, tenure, or promotion, the faculty member shall be subject to the following policy provisions.
  1. Notice. Written notice shall be delivered personally, or by certified mail, return receipt requested, to the faculty member under investigation. Such notice shall contain the following:
    1. Statement of Facts. A concise statement of the facts, conduct, or circumstances reported to constitute failure to comply with the Standards set forth in this policy, including the names of those persons making the charges.
    2. Proposed Action. A statement of the action proposed to be taken, in the event the allegations of noncompliance are sustained by a Due Process Committee.
    3. Statement of Rights. A statement informing the faculty member of his or her rights to be heard in conference with the President, or the President''s designee, and that such conference must be requested in writing to the President or President''s designee by the faculty member, and further, that the faculty member may have an advisor or counsel of his or her own choosing present at such conference, and that such conference must be requested within five days after receipt of the notice by the faculty member, and that such conference must be held within ten days after receipt of such notice by the faculty member. The purpose of the conference is to attempt to reach an agreement or settlement, thereby precluding the necessity of a formal hearing.
    4. Schedule for Hearing. The time and place of the hearing before a Due Process Committee and, as previously stated, that the faculty member may be represented at such hearing by an advisor or counsel of his or her own choosing.
    5. Contest of Charges. Within 20 days of the receipt of the notice of hearing, the faculty member, if he or she wishes to contest such charges, shall file in writing with the President or the President''s designee, an answer to the charges made; and that failure to do so will result in the entry of the faculty member''s default in the proceedings, and appropriate action will be taken to refer the matter to a Due Process Committee for its recommendations.
  2. Procedures Subsequent to Notice.
    1. Time Line. The hearing shall be held not less than 30 nor more than 45 days after the faculty member has received written notice of the hearing, provided, however, that the faculty member''s written answer has been duly filed. The President or designee shall convene a Due Process Committee within the period of time aforesaid.
    2. Pre-Hearing Conference. Prior to the date set for the hearing, a pre-hearing conference will be held before the President or designee and a faculty member elected by the Faculty Senate or the faculty at large. The pre-hearing examiners shall delineate the issue to be examined at the hearing. At this pre-hearing conference, the administration and the faculty member shall make available to each other, upon request, a list of their witnesses to be called and the documentary evidence to be introduced at the hearing.
    3. Hearing. The hearing before a committee may be continued upon good cause shown by either the administration or the faculty member.
    4. Witnesses The Due Process Committee may require the attendance of witnesses, and shall do so at the request of the complainant, of the administration, or of the faculty member. All witnesses called by either side may be examined and cross-examined.
    5. Emergencies. Emergencies may be grounds for a reasonable extension of the time within which an answer must be filed, but such emergencies must be of a serious and compelling nature.
  3. Composition of the Due Process Committee. The Due Process Committee shall be composed of five, seven, or nine members. Said committee, appointed by the Executive Committee of the Faculty Senate, shall consist of faculty and administrators with the majority of the committee being faculty members. A majority vote shall control the action of the committee.
  4. Appeals. An appeal may be taken from the decision of the Due Process Committee to the President, whose decision shall be final, unless the institution Board of Trustees chooses, at its sole discretion, to review a final decision. Any review by the institution Board of Trustees shall be a review of the record only for the purpose of determining if procedural due process has been granted. All appeals shall be made within 15 days of receipt of written notice of the decision to be appealed.
  5. Suspension Pending Action. In the event that a faculty member is charged with a serious offense affecting the public interest, the President may suspend the faculty member from professional duties upon written notification to the faculty member and the institution Board of Trustees. This suspension may remain in effect until such time as the faculty member has resigned, been acquitted, or been dismissed.
  6. Sanctions.
    1. Permissible Sanctions. The following sanctions are permissible:
      1. Verbal censure.
      2. Written reprimand.
      3. Probation.
      4. Suspension without pay (not exceeding one year).
      5. Dismissal.
      6. Fines.
    2. Combinations of Sanctions. Combinations of sanctions may be imposed where appropriate and consistent with the provisions of this policy. When a sanction less than dismissal is imposed, the terms of imposition may include a requirement that the faculty member take reasonable action to make restitution or remedy a situation created by a violation of a Standard of Behavior.
    3. Purpose of Sanctions. Sanctions may be imposed on a faculty member when it has been determined by proceedings pursuant to this policy that he or she has violated a Standard of Behavior, if the imposition of the sanctions will serve one or more of the following purposes:
      1. To induce self-improvement and reform by a faculty member whose conduct demonstrates the need of self-improvement and reform.
      2. To indicate to the faculty member the seriousness of his or her violation and thereby deter him or her from future violations.
      3. To reassure the institution community that violations of the Standards of Behavior which the faculty member has broken will not be tolerated, thereby serving to maintain respect for and commitment to the Standards of Behavior by other members of the institution community.
      4. To remove from institution employment faculty members whose inability to continue in beneficial service to the institution has been clearly demonstrated.
    4. Conditions for Sanctions. Since sanctions are at best a painful necessity, the decision to impose them should be guided by mercy and restraint. Sanctions shall be imposed under the following conditions:
      1. When the purposes set forth in VII.F.6.c. above cannot be adequately served by less severe actions.
      2. When the sanction is not disproportionately severe in relationship to the violation of the Standard of Behavior for which it is imposed.
      3. When the imposition of such sanction is fair and just to the faculty member involved, giving due consideration to his or her situation, to prior service to the institution, and to any relevant matters tending to mitigate the seriousness of the violation.
    5. Use of Non-Punitive Measures. When non-punitive measures such as guidance, counseling, therapy, leave of absence, voluntary resignation, or early retirement are available and will provide reasonable assurance that the faculty member will not repeat the violation of the Standard of Behavior, if the faculty member consents thereto, such measures should be taken in lieu of disciplinary sanctions under this policy, unless substantial institution interests would thereby be undermined.
    6. Rehearing. No faculty member shall be twice subjected to proceedings under this policy for the same violation. A rehearing at the direction of the President following an appeal by the faculty member is not a second proceeding.
    7. Court Conviction. When a faculty member has been tried and convicted in the courts, he or she shall not be subjected to proceedings under this policy for the same acts unless the acts alleged raise serious questions about the faculty member''s ability to perform as a faculty member. When a faculty member has been tried and acquitted, such acquittal shall be conclusively presumed to establish his or her innocence of the acts charged in the criminal case. As used herein, acquittal includes dismissal of charges for insufficient evidence, after trial has commenced.
7. RECORDS
  1. Record Access. Any faculty member shall have the right to examine any institution records which are retrievable in the faculty member''s name, with the exception of legally privileged documents or other documents classified as confidential according to the laws of the State of Utah (See Policy 133, Government Records Access and Management Act.
  2. Record Maintenance. When an informal conciliatory meeting results in an administrative disposition other than dismissal of the complaint, a record sufficient to support that decision shall be maintained by the Vice President for Academic Affairs. The records shall be kept on file until such time that the chairperson of the Due Process Committee determines that no useful purpose would be served by their retention. Copies of all such material, including the written statement of the complaint, informal minutes or descriptive account of the proceedings, and the statement of action taken shall be made available to the respondent upon request.
    Accurate and complete records will be maintained by the chairperson of the Due Process Committee for all formal hearings. With the exception of the respondent's copy, all records pertaining to the formal hearing, including those generated in the process of a preliminary investigation and/or conciliatory meeting, will be sealed and filed in the Office of the Vice President for Academic Affairs. These records may be made available for review by authorized individuals only through and on the decision of the Vice President and the chairperson of the current Due Process Committee, and then only after duly notifying the respondent as to the purpose for such release. The respondent shall have the right, with a representative, to offer arguments as to why such release should not take place.
  3. Resignations. When faculty members resign while proceedings are pending under the procedure of due process, the chairperson of the Due Process Committee shall provide a copy of the charges and any records of meetings to the Vice President for Academic Affairs. The faculty member shall also be notified by his/her chairperson of the right to make a written statement to be included in the file of records.
  4. Record Retention.
    1. After Conciliatory Hearing. When an informal conciliatory meeting results in dismissal of a complaint, all records, letters, material, and information gathered in connection with the complaint shall be destroyed or otherwise disposed of in a manner acceptable to the respondent. The respondent may request copies of letters or other documents for personal retention. Otherwise, no records shall be maintained.
    2. After Formal Hearings. The records of formal hearings shall be kept on file for five (5) years from the date of final disposition by the Vice President for Academic Affairs. At the end of five (5) years the records shall be disposed of in a manner acceptable to the respondent, unless the Vice President in consultation with the University Counsel and the current chairperson of the Due Process Committee determines that a useful purpose would be served by their retention. Retention of the records shall be reviewed no later than five years from the date of the decision. A brief written explanation of the reasons to retain shall be provided to the respondent by the Vice President for Academic Affairs.
  5. Disposal. If the respondent disagrees with the proposed method of record disposal, then the records shall be kept on file by the Vice President for Academic Affairs. If reasonable efforts to locate the respondent are unsuccessful, then the Vice President in consultation with the University Counsel and the current chair of the Due Process Committee shall agree on their disposal.
  6. Due Process Committee Report. The Due Process Committee shall submit an informational report to the Executive Committee of the Faculty Senate.
8. REHIRE
  If the department wants to rehire a faculty member after the faculty member''s services have been terminated by administrative and institution Board of Trustees action, the individual under consideration for rehiring shall be treated as a new faculty member. The faculty member shall not have tenure status unless a specific agreement between the Vice President for Academic Affairs, dean of the school, departmental faculty, and the rehired person is reached, whereby it becomes a condition of reemployment. The institution Tenure Committee may consider previous service as a factor for granting tenure to the rehired person, but is not bound to do so. In all such cases, the President has the final authority of decision.
GLOSSARY
The following definitions have been accepted by the

institution to describe the procedures of academic due process:

Accuser is any individual or group (such as a faculty member, administrator, citizen, student, investigative team) who registers a complaint or files a formal charge. The individual who registers the complaint need not also be the individual who files an associated formal charge.
Administrative Disposition is the resolution of a complaint made at any stage of the proceedings in which a responsible administrator dismisses the complaint or institutes appropriate disciplinary action. An administrative disposition must be acceptable to both the respondent and the accuser and must fall within the range of disciplinary actions.
Administrative Officer is a faculty member, administrator, or other individual designated by the institution President and confirmed by the Executive Committee of the Faculty Senate to represent the institution during the informal (optional) and formal hearing process. This person shall serve as a neutral observer endeavoring to ensure that due process is afforded to all parties in the proceedings. This person need not be the same individual in all cases.
Chair of the Due Process Committee is the individual responsible for conducting the formal hearing process. The chair receives the formal charge, conducts the prehearing conference, conducts the formal hearing, keeps records and minutes, and makes the committee''s recommendation to the institution President.
College Counsel is the lawyer assigned to the institution by the Attorney General''s Office. The institution Counsel will serve as a representative of the institution to provide advice at any stage of the academic due process procedure to the chair of the Due Process Committee in appropriate cases. It should be recognized by all parties, however, that in this assignment the institution Counsel serves to protect the interests of the institution.
Complaint is an informal accusation filed by an accuser (any person or group) to a responsible administrator of the institution (such as a program coordinator, department chair, dean, or Vice President) that a suspected violation of institution policy or procedure has occurred.
Complaints or charges requiring due process may be originated by an individual or group from outside or from within the academic community. It may be initiated in the interest of the academic community or the public to ensure accountability under institution policies.
Due process may be initiated by a faculty member against an administrator(s) or the institution in guaranteeing the protection of the faculty member''s academic freedom and rights. This process presupposes that the accuser has not found acceptable recourse from the respondent or the immediate supervisor of the respondent.
Disciplinary Action includes measures or sanctions imposed as a penalty for the violation of institution policy or procedure by the appropriate administrator following a formal hearing.
Due Process in an academic setting is a system of procedures designed to produce fair and reasonable judgments in those situations in higher education which may yield a serious adverse decision about a faculty member or an administrator (respondent). Due process furnishes the structure for a wise and fair administration of justice in institutions of higher learning. In general, due process seeks a clear, orderly, and fair way of rendering decisions by providing procedural safeguards and procedural guarantees.
Due Process Committee is a committee whose members are appointed by the Executive Committee of the Faculty Senate. The Due Process Committee is principally concerned with, but not limited to, retention of tenured faculty cases of academic due process with regard to granting the tenure/promotion, salary, work conditions, and other pertinent matters of faculty concern.
1. In the event that the accuser is a student of Utah Valley University, one student shall be added to the Due Process Committee.
2. The student representative will be designated by the UVUSA Executive Officers and confirmed by the Executive Committee of the Faculty Senate.
3. The student representative need not be the same individual in all cases.
Formal Charge is a concise statement of the complaint summarizing the facts, conduct, or circumstances. The formal charge is issued to the chair of the Due Process Committee, who in turn informs the respondent.
Formal Hearing is conducted by the Due Process Committee which has been assembled for that purpose. The function of this hearing is to hear and evaluate evidence and to make a recommendation to the appropriate administrator.
Informal Conciliatory Meeting brings together in conference the respondent and a responsible administrator. The meeting is initiated and conducted by a responsible administrator. The purpose of the meeting is to provide enough information to the responsible administrator to determine the validity and/or seriousness of the complaint. The outcome of this meeting may be dismissal of the complaint, an administrative disposition, or the filing of a formal charge.
Prehearing Conference is a meeting held after a formal charge has been filed with the chair of the Due Process Committee. At this meeting, initiated and conducted by the chair, the issues to be examined at the formal hearing are delineated and a preliminary investigation is initiated.
Preliminary Investigation is a fact-finding activity conducted following the receipt of a complaint. The purpose is to determine whether a complaint merits further action.
Procedural Due Process refers to the receiving of adequate notice, right to an impartial forum, meeting of deadlines, completion of committee assignments and deliberative actions in accordance with established policies, and other procedural matters. Reasonable care in the performance of the various established procedures by committees and administrators (allowing for exigencies and unanticipated problems) is sufficient to meet the requirements for procedural due process. Therefore, only cases of prejudicial failure to meet procedural guidelines are to be considered cause for recommendations for rehearings.
Program or Unit is defined as having any one of the following characteristics (1) it contains the word "program" in its title; (2) it leads to a degree or other credential; (3) it is associated with an identifiable course sequence; or (4) it has been identified as a program by formal faculty action.
Reasonable Care is the level of performance recognized in the profession as reasonable in light of obligations one has assumed, competing demands upon energy and time, the nature and quality of the work, and all other circumstances which the academic community, after being fully informed, would properly take into account in determining whether the respondent was discharging responsibilities at an acceptable performance level.
Representative is any individual selected by the respondent to attend the informal conciliatory meeting or the formal hearing, including counsel, if desired.
Respondent is a faculty member or an administrator with a faculty appointment against whom a complaint has been made or a formal charge has been issued.
Responsible Administrator is the person who receives or is otherwise delegated to review a complaint about an individual''s alleged noncompliance with policies set forth in this document. The responsible administrator may be a department chair, program director, supervisor, dean, vice president, or other appointed administrator of the institution. This person is responsible for conducting the informal conciliatory meeting. The responsible administrator may or may not have administrative jurisdiction over the respondent.

Cara O'Sullivan, Policy Officer | mailto:cara.osullivan@uvu.edu | (801) 836-7355

Last Updated 9/14/09