06.025_faculty_misconduct_and_discipline_fr_fs_3-10-21

Policies of the University of North Texas 06.025 Faculty Misconduct and Discipline Chapter Faculty Affairs Policy Statement As members of the community of scholars, we recognize that faculty members have an obligation to perform their duties in a responsible manner and with intellectual honesty Misconduct may occur when a faculty member significantly, repeatedly, and/or deliberately does not fulfill their duties and responsibilities as described in UNT Policy At UNT, the faculty and administration take an active role in developing an atmosphere that promotes academic freedom, protects faculty rights, and affirms disciplinary action in the rare cases when it is determined that a faculty member engages in misconduct This document outlines the procedures that will be followed when addressing alleged faculty misconduct , acts, or matters under this policy The University of North Texas (UNT) expects faculty to abide by the tenets of the UNT Policy 06.035 Academic Freedom and Academic Responsibility Failure to follow faculty responsibilities as outlined in the Academic Freedom and Academic Responsibility Policy diminishes a faculty member’s capacity to effectively perform his or her teaching, research and creative activity, and service Such failure ultimately impacts the ability of the university to carry out its mission When a faculty member engages in inappropriate behavior or misconduct, the university may impose corrective actions Exclusions Certain misconduct allegations are adjudicated under the auspices of a different policy and/or process These include research misconduct as defined in UNT Policy 13.006, fraud or other criminal acts, findings or sanctions related to Title IX as described in UNT Policy 16.007, sexual misconduct as described in UNT Policy 16.005, and discrimination and retaliation as described in UNT Policy 16.004 Application of Policy All fFacultyy members, including academic administrators with faculty appointments Definitions AppealResponse “AppealResponse” means an expression in writing grievance filed by a faculty member or a representative the faculty member delegates concerning an allegationfinding that the faculty member engaged in misconduct resulting in a recommendation of corrective actionor the corrective action recommended or imposed for engaging in misconduct Grievance As described in UNT Policy 06.051, “Grievance” means a faculty member’s formal expression of disagreement or dissatisfaction (through written notice to the appropriate academic administrator) with employment-related concerns, such as working conditions, hours of work, compensation, environment, relationships with supervisors or other employees, or negative personnel decisions A grievance may be made at any level during the process Faculty Member “Faculty Member” means a person who is employed by the University of North Texas as a member of the faculty or staff and whose in a faculty appointment, whose duties include teaching, research, and/or administration, including professional librarianship, and/or the performance of professional services Unit Administrator “Unit Administrator” means an individual with unit supervisory responsibilities Unit administrators include, but are not limited to, directors, chairs, associate deans, and deans Conflict of Interest “Conflict of interest” means an inconsistency between one’s personal or professional interests and the best interests of the University Direct involvement with the substance of the allegation also constitutes a conflict of interest Faculty PeerAdvocate For the purposes of this policy, “Faculty AdvocatePeer” means a member of a unit-level faculty committee UNT faculty member whose role is to clarify aspects of the misconduct process and/or answer questions regarding the accused faculty member’s case ing Procedures and Responsibilities Misconduct Misconduct refers to behavior that significantly impairs the functions of teaching, research and creative activity, or service Examples of of suchfaculty misconduct include, but are not limited to, the following: Gross neglect of duty or failure to perform the terms of employment for reasons other than documented illness or injury Violation of the Board of Regents rules, university policies, or state or federal law 3 Violation of professional and personal conduct related to resource use Examples may include, but are not limited to, unauthorized use of university resources, failure to report potential conflicts of interest, misuse of university documents or identification, and unauthorized entry to a facility or property Action(s) that impair or prevent other members of the university community from fulfilling their responsibilities or that create a clear and present danger to members of the university community Any violation of this policy or related policy by an administrator n administrator with a faculty appointment shall be investigated asing an alleged faculty misconduct A faculty member’s conduct that falls outside the scope of employment shall constitute misconduct when the activity adversely affects the mission or reputation of the university Responsible Partiesy: VP for Academic Affairs; FacultyFaculty, including administrators with faculty appointments Administrative Procedures The following administrative procedures must be followed when a faculty member is alleged to have engaged in behavior or conduct that warrants corrective action or when a unit administrator otherwise learns of faculty misconduct Resolution of the matter may occur at any point in the process Depending upon the severity of the offense, the unit administrator may seek advice from and/or notify the Office of General Counsel and the Provost and Vice President for Academic Affairs throughout the process Administrative procedures shall be used in a manner that is consistent with the protection of academic freedom The faculty member has the right to present evidence on their ownhis or her behalf and may seek advice and assistance from a faculty advocate or other representative, including outside counsel from a faculty advocate The unit administrator is responsible for reviewing allegations of conduct or behavior that may warrant corrective action and determining whether an investigation should be conducted The unit administrator should determine within ten (10) working days of an allegation of misconduct whether an allegation of misconduct lacks merit; the faculty behavior warrants only an oral reprimand; or misconduct has occurred and the matter shall proceed through the disciplinary process outlined below However, if the unit supervisor determines that he or she has a conflict of interest in the case in question supervisor must immediately request that the case be reviewed by a higher level administrator Depending on the type of alleged misconduct, one or more individuals or units may be responsible for conducting the investigation (e.g Internal Audit investigates alleged fraud, Police investigate criminal matters) A faculty member’s immediate unit administrator who receives an allegation of misconduct is responsible for reviewing all allegations of misconduct, must determine the type of misconduct, and must contact the appropriate UNT office to discuss the appropriate process to initiate an investigation Under certain circumstances the length of the investigation may extend the timing of the disciplinary sequence of events Sequence of Disciplinary Procedures for Faculty Members Corrective actions stemming from findings of misconduct investigated under the auspices of the policies listed under Exclusions shall be imposed under the procedures defined in this policy The duty to recuse in the case of a conflict of interestUNT POLICY XXXX all decision-makers at any stage of the process If a faculty member chooses to grieve a finding of misconduct and corrective action, no corrective action shall be taken until the conclusion of the grievance process However, faculty and administrators with faculty appointments may be placed on leave during an investigation, pursuant to UNT Policy 05.066 Unit administrators may make workload adjustments during the investigative process Departmental-level procedures Within ten (10) working days of learning of an allegation, or other credible evidence of faculty misconduct, or a finding of misconduct under the auspices of different policy/process, the unit administrator notifies the faculty member in writing of the alleged misconduct allegation or finding In the case of an allegation, the notification must , clearly identifying, with supporting evidence, which policies/procedures may have been violated The unit administrator may consult with the Office of General Counsel The faculty member and other knowledgeable parties may provide the Unit Administrator with additional information Additional Information received by the Unit Administrator shall be shared with the faculty member A The faculty member has the right to request a meeting with the unit administrator and respond both orally and in writing to the allegations/findings and any evidence presented If the faculty member chooses to issue a response, the response must be presented to the unit administrator within thirty (30) days of being notified of the alleged misconduct/finding B C D Within ten (10) working days of the completion of the faculty member’s response period, /findingthe unit administrator reviews the faculty member’s response (if any was made) and gathers any additional information needed prior to determining if a corrective action is warranted E In the case of a prior finding of misconduct, the unit administrator shall take one of the following steps: i If the unit administrator determines no corrective action within their purview is warranted, the determination is reported to the faculty member and the matter is forwarded to the dean for additional review The dean may consider corrective action ii If the unit administrator determines corrective action within their purview is warranted, the decision is reported to the dean and faculty member The faculty member has the right to grieve this decision at the departmental-level The dean may consider additional corrective action F In the case of an allegation of misconduct, the unity administrator shall take one or more of the following steps: i If the uUnit aAdministrator determines no misconduct has occurred, the decision is reported to the dean and faculty member, and the matter is closed ii If the uUnit aAdministrator determines that misconduct has occurred and corrective action within their purview is warranted, the decision as to corrective action is reported to the dean and faculty member The faculty member has the right to grieve this decision at the departmental-level The dean may take additional corrective action iii If the unit administrator determines that misconduct has occurred and corrective action is warranted by the dean, provost, or president, the unit administrator makes that recommendation known to the faculty member The faculty member may provide a written response to the recommendation within ten (10) working days The unit administrator’s recommendation is reported to the dean and faculty member, accompanied by the faculty member’s response and all other materials related to the allegation iv Actions ii and iii are not mutually exclusive ua that misconduct has occurred andthe unit administrator makes that recommendation known to the faculty member The faculty member may appeal that recommendation in person and by written rebuttal within ten (10) working days The unit administrator’s , accompanied by ua Dean-level procedures In the case of a prior finding of misconduct: If the unit administrator determines no corrective action within their purview is warranted, the matter is forwarded to the dean for additional review If the unit administrator determines corrective action within their purview is warranted, the decision is reported to the dean and faculty member The faculty member has the right to grieve this decision at the departmental-level The dean may consider additional corrective action The unit administrator informs the Dean or other immediate supervisor in writing of the alleged offense or misconduct, indicating with supporting evidence any policies/procedures that may have been violated The unit administrator may consult with the Office of General Counsel The faculty member has the right to respond both orally and in writing to the allegations and any evidence presented If the faculty member chooses to respond, the response must be presented to the unit administrator within ten (10) working days of being notified of the alleged misconduct The unit administrator reviews the faculty member’s response (if any was made) and gathers any additional information needed prior to determine if a corrective action is warranted If additional information is obtained, the faculty member will be informed in writing of the new information and given an opportunity to respond If the faculty member chooses to respond, the response must be presented to the unit administrator within ten (10) working days of being notified of the new or additional information The unit administrator, after reviewing the second response (if received from the faculty member), notifies the Dean of the response and includes a recommendation concerning whether the misconduct occurred This should normally occur within ten (10) working days after receiving the faculty member’s response The unit administrator may recommend an appropriate corrective action WIf the uUnit aAdministrator recommends corrective action on the part of the dean or other administratorhen the unit administrator forwards material related to a finding of misconduct, the dean shall review the finding(s), and uUnit aAdministrator’s recommendation, the faculty member’s response, and all other related materials related to the allegation The dean may accept, reject, or modify the recommendation of the unit administrator, as described below The dDean may consults with the Office of General Counsel The faculty member, unit administrator, and other knowledgeable parties may provide the dean with additional informationuUaA the/or Additional information received by the dean shall be shared with both the uUnit aAdministrator and the faculty member Within ten (10) working days of receiving the referral from the unit administrator, the dean shall take one or more of the following steps A B C D E F If the dean determines no corrective action within their purview is warranted, the decision is reported to the provost, unit administrator, and faculty member The provost may consider corrective action If the dDdean determines corrective action within their purview is warranted, the decision as to corrective action is reported to the provost, unit administrator, and faculty member The faculty member has the right to grieve this decision at the college-level The provost may take additional corrective action If the dean recommends corrective action by the provost or president, the dean makes that recommendation known to the faculty member and the unit administrator The faculty member may provide a written response to that recommendation within thirtyen (3010) working days The dean’s recommendation, the faculty member’s response, and all other materials are reported to the provost, unit administrator, and faculty member G If the dean recommends corrective action by the provost or president, the dean makes that recommendation known to the faculty member and the unit administrator The faculty member may provide a written response to that recommendation within ten (10) working days The dean’s recommendation, the faculty member’s response, and all other materials are reported to the provost, unit administrator, and faculty member H Actions B and C are not mutually exclusive I If the dean does not recommend corrective action by the provost or president, but the unit administrator has recommended corrective action by the provost or president, the unit administrator’s recommendation, along with all materials related to the misconduct allegation shall be forwarded to the provost for further consideration uaand the Provost and Vice President for Academic Affairs The Dean notifies the faculty member and the unit administrator of the corrective action, if any, to be imposed and the timing of such corrective actions Notification is normally given within fifteen (15) working days The faculty member is given ten (10) working days to respond both orally and in writing to the Dean before any corrective action(s) becomes effective The response should indicate any intention to appeal the recommended corrective action(s) to the Faculty Grievance Committee The faculty member has ten (10) working days to respond both orally and in writing to the Dean before any corrective action(s) becomes effective The University provides timely due process for faculty appeals at each level (e.g., unit, college, university); redress of grievances will follow University guidelines and processes through the unit, college, and the appropriate University of North Texas grievance committee 10 Provost-level procedures When the dean forwards material related to a finding of misconduct, If the ddean or unit administrator recommends corrective action to be taken byon the part the the provost or president, the provost shall review the finding(s) and recommendations, from the unit administrator and/or dean as well as all faculty member responses and all materials collected during disciplinary process The provost may accept, reject, or modify the recommendations of the unit administrator and/or dean, as described below greivances The provost may consult with the Office of General Counsel The faculty member, unit administrator, dean, and other knowledgeable parties may provide the provost with additional information Additional information received by the provost shall be shared with the unit administrator, dean, and the faculty member Within ten (10) working days of receiving the referral from the unit administratordean, the provostdean shall take one or more of the following steps the A If If the provost determines no corrective action by the provost or president action is warranted, the decision is reported to the dean, unit administrator, and faculty member, and the matter is closed B C If the provost determines corrective action is warranted by the provost or president, the provost makes that determination known to the president, faculty member, dean, and the unit administrator The faculty member has the right to grieve this decision at the university-level D The faculty member has the right to grieve the decision of the provost through the appropriate faculty grievance body If a faculty member chooses to appeal the decision, no corrective action shall become effective until the appeal process is complete Responsible Partiesy: Faculty member, uUnit aAdministrator, dean, provost and vice president for academic affairs, president Corrective Actions In cases of faculty misconduct, a range of corrective actions may be taken e imposed on a faculty member Depending on the severity of the alleged misconduct, the President or the President's designee may immediately place a faculty member on administrative leave pending further an investigation of the alleged misconduct The leave pending investigation shall commence immediately upon the President or designee providing the faculty member with a written notice of the reasons for the leave Corrective actions may include, but are not limited to, the list below These aActions taken shall only be those within the purview of the administrator taking theose actions, as defined by Regents Rules;, UNT and System policy;, and unit and college charters, bylaws, and procedures and departmental guidelines The corrective actions listed se actions not appear in order of importance, and may be taken imposed in combination The type of misconduct may determine the specific corrective actions A A Oral reprimand; B Written reprimand; C Mandatory counseling; D Reduction in contract period; E F G H I H Loss of summer teaching employment for those on less than twelve-month contracts; ReReassignment to other duties; Reassignment of department; Placement of the faculty member under direct supervision of the unit administrator with a specific plan for remediation for a specific period of time; J I Loss of merit raise(s) for a specified period; K J Suspension with or without pay; K Restitution; L Loss of privileges of rank for a stated period; Reduction in salary for a stated period (the reduction would take place with the next academic year); M N RRevocation of tenure and termination.; L Placement of the faculty member under direct supervision of the unit administrator with a specific plan for remediation for a specific period of time; M Loss of summer teaching employment for those on less than twelve-month contracts; N Loss of privileges of rank for a stated period not to exceed two years; O Loss of merit raise(s) for a period not to exceed one year; P Reduction in salary for a period of one year (the reduction would take place with the next academic year); Q Reduction in contract period Responsible Party: VP for Academic AffairsBoard of Regents, president; Faculty, provost, dean, unit administrator Sequence of Disciplinary Procedures for Administrators in Faculty Roles When an academic administrator or any faculty member with assigned administrative duties who is serving in a faculty role (i.e., teaching, research, and/or service) is alleged to have engaged in misconduct, the procedures listed above will be followed The supervisor of the academic administrator is responsible for ensuring that following the disciplinary procedures are followed Responsible Party: Faculty, including administrators with faculty appointmentsVP for Academic Affairs; Faculty Record Retention Records will be retained in accordance with the university’s records retention policy and procedures The University complies with Texas Government Code Title 5, Open Government; Ethics, Subtitle A Open government, Chapter 552 Public Information Subchapter A General Provisions Responsible Party: VP for Academic Affairs; Faculty References and Cross-references Texas Government Code Title Open Government; Ethics, Subtitle A Open Government, Chapter 552 Public Information, Subchapter A General Provisions Texas Education Code, “Section 51.101 (3), Faculty Member” UNT Policy 05.066, Emergency, Administrative Leave and Leave During an Investigation UNT Policy 06.035, Academic Freedom and Academic Responsibility UNT Policy 06.051, University Faculty Grievance UNT Policy 13.006, Research Misconduct UNT Policy 16.004, Prohibition of Discrimination, Harassment, and Retaliation UNT Policy 16.005, Prohibition of Sexual Misconduct, Including Sexual Harassment, Sexual Assault, Sexual Coercion, Dating Violence, Stalking, Failure to Report and Retaliation UNT Policy 16.007, Title IX Sexual Harassment Forms and Tools None Approved: 10/01/01 Effective: 7/23/15 Revised: 7/23/15