A teaching faculty member may resign effective at the end of an academic year or in December if notice is given no later than the end of the previous spring semester. A non-teaching faculty member may resign no earlier than 30 days after giving notice. A faculty member may resign effective at any other time for good cause shown. Good cause includes serious illness or other incapacity. Notice of resignation should be given at an early time to permit the University to obtain a replacement.
A faculty member may retire at the end of a semester. A faculty member may retire at any other time for good cause shown. Good cause includes serious illness or other incapacity. Except for unplanned retirements, notice of retirement should be given no later than the end of the previous semester. Notice of an unplanned retirement should be given as early as possible.
10.3.1. Purpose
The Phased Retirement Program (PRP) is meant to provide tenured 51AV faculty with an optional voluntary retirement program for a phased approach to retirement.
10.3.2. Eligibility
All full-time tenured faculty, regardless of age, who have completed at least ten (10) years of consecutive service at 51AV may apply for the PRP.
Individuals in the following circumstances are not eligible for participation in the PRP:
• Anyone who has received a written notice of suspension from the University or a notice of termination or non-renewal of appointment
• Anyone who is terminating employment under the provisions of a long-term disability program.
10.3.3. Application
Eligible faculty who are interested in participating in the PRP may apply by forwarding to their department chair/school director and dean a written request for consideration. The application must state clearly the proposed initial year of participation and the number of years of participation requested. Applicants may propose either of the following dates as the initial date for entry into the PRP: August 15 (academic year) or July 1 (fiscal year).
Applications must be accompanied by a signed letter stating that the faculty member agrees to relinquish tenure upon the effective date of participation in the PRP.
The deadline for filing applications for the PRP with the department chair/school director, dean, and program administrator is January 1 unless notice of a revised date is given.
Applications are reviewed by the department chair/school director and dean. Each will send a written recommendation for approval or denial of the request to the program administrator by January 15. The program administrator will in turn summarize these recommendations and send an overall recommendation to the provost for review. The provost will consult with the president on each application and the provost will notify the faculty member, chair/director, and dean of the recommendation by February 10. The provost will then send the applications recommended for approval to the Board of Regents for final review and approval. The Board of Regents final decision will be made at the Board meeting in March (or April if there is not a Board meeting in March). In colleges where there is no department or school, the dean will function as department chair in these processes.
All applications are evaluated on the basis of eligibility and the best interests of the University and its programs. Should a PRP application be denied, it may be resubmitted the following year.
10.3.4. Participation
The terms of participation for each faculty member accepted into the PRP will be set forth in a written agreement stating the initial date of entry into the program, the number of years of participation (2 years maximum), and the level of teaching, scholarship and service responsibility for each year of participation (not to exceed 50% of the normal course load for full-time faculty.) The faculty member will be asked to sign and return the agreement by February 20.
Salary for participants is pro-rated based on the fiscal/academic year salary and the percentage reduction in teaching responsibility (e.g., a participant with a 50% teaching, scholarship, and service load would receive as salary 50% of the annual salary for the year preceding entry into the PRP). Annual salaries for each year of participation will be set forth in the PRP agreement. Participants will have the opportunity to access their TIAA retirement funds. Participants will continue to receive all regular full-time, tenured faculty benefits including the TIAA contribution based on their pro-rated salary.
At the end of the period of participation designated in the PRP agreement, faculty members relinquish any right to continued employment by the University. Nothing in this agreement shall prevent the University or the participant from supplementing the participant’s employment with contracts or grants.
10.3.5. Other
The University, following the guidelines of the Faculty Senate’s 51AV Collegial Governance Agreement, shall have the right to alter or amend this program, in whole or in part, from time to time. In addition, the University shall have the right to terminate this program. Immediate termination of the PRP may occur following a declaration of financial exigency by the Board of Regents as described in Section 10.7 “Financial Exigency” of this Handbook. Otherwise, said termination must first be reviewed by the Faculty Senate and requires a minimum of one year’s notice.
Non-reappointment procedures are specified in Section 3.2 “Procedures for Decisions on Reappointment, Promotion, and Tenure”. The time for giving notice of non reappointment is specified in Section 3.2.12 “Notice Of Non-Reappointment”.
The University may terminate employment of a faculty member for reasons of medical disability only by showing that a medical condition prevents the faculty member from performing their duties. The University shall not pursue termination if a medical leave would provide a sufficient opportunity for the faculty member to resume their duties. The University must attempt to reasonably accommodate employees who are disabled before initiating termination proceedings.
If no reasonable accommodation exists, and the faculty member is unable to perform their duties, the University shall first seek to achieve termination by negotiation with the faculty member or the faculty member’s authorized representative. If the University is not able to achieve termination by negotiation, then non-tenured faculty who are unable to perform their duties shall be terminated. For tenured faculty unable to perform their duties, the University may drop its case or proceed toward termination by initiating a hearing before the Peer Review Hearing Committee, as set forth in Section 14.2 “Peer Review Process”. After completion of the peer review process, the president may ask the Board of Regents to terminate the faculty member’s appointment pursuant to the requirements of the Kentucky Revised Statutes. Termination shall be coordinated, as appropriate, with the University’s disability program.
Given the complex and interlocking nature of University academic programs, it is possible at times that a program will need to be reduced or terminated and provisions made for reassignment, or other arrangements, of the program faculty. This section deals with the initiation of the process and the mechanisms for accomplishing it. For purposes of this section, a program will be defined as any group of courses taught by University faculty. The program can be within an existing department/school or stand as an independent unit.
10.6.1. Basis for Program Reduction or Termination
The basis for recommending program reduction or termination can arise from several possible sources of information including, but not limited to:
• Relevant trends or priorities for program graduate
• Lack of course offerings by the program on a timely basis;
• A history of courses being dropped from the schedule of classes because of low enrollment.
10.6.2. Request to Reduce or Terminate a Program
The initial request to terminate or reduce a program may come from any of several sources, including the program faculty, the department chair/school director, the Faculty Senate, the dean of the program, the provost, the president, or the Board of Regents. Regardless of the initial source of the request to reduce or terminate a program, it will be the dean, the provost, or the president who formulates the request in writing. The originator of the written request will formulate the request after consultation with the program faculty and the department chair/school director. The request will not constitute a decision to terminate or reduce but will be a compilation of the various sources of information used as the basis for the request. The sources of information must include at least the following:
• Reasons for the request, including any data used to support these reasons;
• The procedures for terminating or reassigning faculty;
• The timetable for completing the reduction or termination, taking into account the time necessary to retrain or otherwise adjust the program faculty and to allow any current majors in this program to complete their studies in a reasonable time.
If the request is to reduce or terminate a program, the originator of the request shall include projections as to whether program reduction or termination may be achieved through the normal attrition process of retirement, resignation, or early retirement.
10.6.3. Reassignment of Tenured Faculty
If normal attrition will fail to bring about a sufficient reduction, then the University shall offer economic incentives (e.g., contract buy-outs or paid leave for retraining). The University shall offer reassignment or paid leave for retraining to tenured faculty affected by the program reduction or termination and shall make every reasonable effort in the case of untenured faculty. In both reassignment and retraining, every effort should be made to utilize the past training and expertise of the faculty in question. The duration and term of a paid leave for retraining shall be negotiated with the provost, taking into account such factors as:
• Credentials (education and experience);
• Faculty rank; and
• Consistency in the application of this policy.
In all reassignment decisions, tenure shall be heavily weighed. To maintain the proper balance in curriculum offerings, however, it may be necessary to reassign faculty without regard to tenure.
10.6.4. Termination of Program Faculty
If the desired reduction in the number of faculty is still not achieved, then the dean, in consultation with the program faculty and department chair/school director, shall consider the following factors in preparing a list of faculty to be terminated:
• Tenure, rank, and seniority in that order of importance;
• Faculty performance over the last three years;
• Affirmative-action guidelines;
• Particular specialties of faculty and the continued needs of the program.
Every reasonable effort shall be made to preserve the positions of tenured faculty through reassignment or paid leave for retraining as outlined in Section 10.6.3 and Section 10.6.6. Given the University’s commitment to tenure, tenured faculty will not be terminated except as provided in Section 10.6.6.
10.6.5. College Program Review Committee
The request will be forwarded to the University Curriculum Committee for decision. The University Curriculum Committee shall establish an appropriate College Program Review Committee to study the request and make recommendations for reduction or termination. This committee shall be made up of representatives of the college or colleges in which the program is administered. The committee will consider, in consultation with the program faculty and chair/director, items such as, but not limited to, the program’s contributions to the teacher education and health programs and the general studies requirements of the University. The College Program Review Committee shall include the General Education Committee chair, a representative of the College of Education, and/or a representative from the College of Health and Human Services, if the program under consideration is relevant to these areas.
The recommendation of the College Program Review Committee will be submitted in writing to the University Curriculum Committee for vote. The University Curriculum Committee will then prepare a formal written explanation of its recommendation to be forwarded to the Faculty Senate for final decision and approval. If approved by the provost, the provost will administer the final plan. The decision-making process will at all stages be documented by the completion of a program reduction form similar to those used for the approval of new courses or programs.
10.6.6. Appeal Process for Faculty Terminated Due to Program Reduction or Elimination
The University shall offer reassignment to other academic programs, or offer a paid retraining leave to tenured faculty. If such reassignment or retraining leave is refused, then the faculty so refusing may be terminated. Tenured faculty would be terminated in accordance with the requirements of the Kentucky Revised Statutes.
Terminated faculty shall be notified in accordance with provisions that apply as provided in this Handbook and have the right to appeal the decisions to the Peer Review Advisory Committee (see Section 14 “Grievances”).
10.7.1 Financial Exigency Policy
10.7.1.1. Purposes
At times, certain social and economic conditions affect colleges and universities adversely. Falling enrollments, reduced funding, externally imposed curricular or program restrictions, and other factors induce significant changes in an institution.
Any substantial decline in the state and national economies usually incurs reductions in the financial support of colleges and universities as well as other social institutions and their services. When the economic decline and accompanying reductions in support of an institution reach critical proportions, a magnitude that drastically impairs the operations and functioning of the University, serious measures are demanded to meet the emergency intelligently and effectively.
10.7.1.2. Preparation and Purposes of the Policy
Foresight and preparation before such measures are actually needed to address critical financial conditions help to lessen harmful effects on people and the University and to ensure an orderly and fair process. The fundamental preparation for any emergency measures consists of the formulation of policies and procedures through which a critical cutback in funding can be met. In this formulation, three purposes are to be served:
• To maintain essential instructional and research services at a satisfactory level of quality;
• To protect those faculty and staff who must deliver such services and the students who receive them; and
• To preserve a capability of the University as a whole for continuance of services.
10.7.1.3. Academic Values and Tenure
Beyond these three purposes are certain academic values that must guide both policy and procedure development and their subsequent application when extraordinary financial stringencies are imposed upon the University. Of these academic values, a fundamental one undergirding several others is that of safeguarding tenure.
Tenure protects more than simply the right of individual faculty to a position or a property right. It ensures that ideas, concepts, and doctrines may be examined without fear or favor; that fact and truth may be pursued in research without dictation; that teaching may be done without reprisals. In short, tenure protects the exercise of the basic functions of the University and the reasons for its being.
10.7.1.4. Responsible University Means
Any respectable university will, in its policies and procedures, provide means for faculty to express their personal and professional concerns and have due process. Moreover, any responsible university will invoke a state of exigency only after other means have been taken through the regular organizational and administrative structures to minimize a financial urgency. If dire cutbacks are faced unexpectedly, other appropriate university policies and procedures would be implemented simultaneously for all segments of the university. In the case of 51AV, before the policy and process outlined subsequently are activated, other policies and processes of the University normally will have been exercised, including a review of non-academic programs and termination of non-faculty positions in accordance with NKU policy.
10.7.1.5. Continual and Periodic Analysis
The University maintains continual analyses and periodic examinations of all fiscal matters of the institution. These and other records will be immediately available to the Financial Exigency Committee (as defined in Section 10.7.4 “Establishment and Operation of the Financial Exigency Committee”) should the activation of these policies and procedures become necessary.
10.7.2. Definitions
10.7.2.1. Termination for Financial Exigency
“Termination for financial exigency” means the cessation of employment of a faculty position before the end of the appointment period for reasons of financial exigency. The non-reappointment of a faculty member on a specified term appointment is not a termination for financial exigency, and no objection to a non-reappointment may be filed under this procedure. The use of “termination” in this section (10.7) means termination for financial exigency unless otherwise stated.
10.7.2.2. Financial Exigency
“Financial exigency” means any imminent and extraordinary decline in the University’s financial resources that compels a reduction in the current operating budget to the extent that the University would be unable to meet existing financial obligations that include, but are not limited to, contractual obligations.
10.7.2.3. Financial Exigency Committee
The Financial Exigency Committee is a special committee, the purpose of which is to provide independent guidance and advice to the President and the Board of Regents on a declaration of financial exigency and alternative approaches in alleviating said exigency, to be formed in accordance with Section 10.7.4 below “Establishment and Operation of the Financial Exigency Committee”.
10.7.2.4. Day
Except as otherwise specifically provided herein, “day” means every day including Saturdays and Sundays but shall not include official University holidays.
10.7.3. Determination of Financial Exigency and Board Authorization
If the president determines that circumstances indicate the University faces a financial exigency, the president shall take immediate action to apprise the Board of Regents of the nature and extent of the financial crisis. The president shall also present a general plan for how the exigency can be alleviated. The statement to the Board shall outline in terms as specific as the circumstances permit, the options readily apparent at the time. The president’s statement to the Board shall include a request for authorization to investigate further the necessity for a declaration of financial exigency. The statement shall also include the nature and extent of conditions and an outline of expenditure categories and major department areas to be examined in projecting a course of action that would meet such an emergency. Once Board authorization has been secured, the president shall proceed in accordance with the procedures outlined in this policy.
10.7.4. Establishment and Operation of the Financial Exigency Committee
10.7.4.1. Committee Composition
The president shall, within five (5) days after the Board has authorized such action, establish a Financial Exigency Committee. The committee shall consist of ten (10) members representing various segments of the University and selected in the following manner and consistent with the University’s Affirmative Action policies:
• Five (5) faculty members who are either tenured or tenure-track faculty to be appointed by the president of the University from an existing pool of eight (8) faculty, who shall serve two-year terms (1 July to 30 June), chosen from all eligible faculty by an election conducted according to the schedule of elections developed by the Elections Committee of the Faculty Senate. The president shall in the selection ensure a broad representation of programs and departments/schools. The Faculty Senate is authorized to constitute the eight (8) elected faculty members as a continuing committee of the Senate to study the University’s financial condition when a funding crisis may be imminent and to assess possible ways of meeting such a crisis.
•&Բ;The president shall appoint three (3) administrative employees, one of whom is an academic chair/school director.
• The president shall appoint one (1) staff representative after consultation with Staff Congress.
• The president shall appoint one (1) student representative after consultation with student government.
• A chair of the committee shall be appointed by the president from the ten (10) committee members.
10.7.4.2. Committee Charge
The Financial Exigency Committee shall make recommendations regarding:
• Whether a declaration of exigency is warranted;
• A review of expenditure categories and the major department/school areas as outlined in the president’s statement to the Board of Regents; and
• Alternative considerations in the area of Academic Affairs.
10.7.4.3. Committee Process
Once the committee has been formed, no later than five (5) days subsequent to the Board of Regents’ action, the president shall submit to the committee the statement that outlines the necessity for a declaration of financial exigency, including establishment of a specific dollar amount necessary to alleviate the emergency, and a general plan indicating means by which the emergency can be alleviated. This statement shall include efforts already undertaken by the University in response to the financial emergency. Upon receipt, the committee shall evaluate the statement and plan, and prepare a recommendation for the president’s review.
The committee shall review the information presented by the president and shall recommend whether a declaration of financial exigency is necessary. The committee shall also review the major departments, each department’s percentage of the budget, and any general reductions proposed in the president’s statement. This review may include an examination of alternate approaches to alleviating the emergency including, but not limited to, increases in revenue, reallocation of current revenue, and use of University reserves to phase out activities. The committee may review the various expenditures of the University, including academic and non-academic departments and activities. The committee may also review alternative considerations.
The committee shall present its report and recommendations to the president within fifteen (15) days after receipt of the president’s plan.
10.7.5. President's Action
Upon receipt of the report and recommendations of the committee, the president shall transmit the report and recommendations, any committee minority reports, and any presidential recommendations or comments to the Board of Regents for action. The president shall, upon receipt, also make this report available to the University community.
10.7.6. Board Action
The Board of Regents shall consider such recommendations as it receives from the committee, from any committee minority reports, and from the president. Faculty, students, staff, and others may request in writing permission to address the Board regarding any recommendations concerning financial exigency. The written request to address the Board shall contain a statement of the purpose and reasons for the address.
Within fifteen (15) days after it receives the report and recommendations of the committee, any committee minority reports, and the report and recommendations of the president, the Board shall determine if a declaration of financial exigency is necessary. Upon a declaration of financial exigency, the Board shall direct the president to act.
10.7.7. University Action Upon Declaration of Financial Exigency
Upon receipt of the Board of Regents’ declaration of financial exigency, the president shall submit the decision and the reduction needed to alleviate the exigency through normal channels to the departments to be affected.
The department chair/school director shall recommend to the appropriate dean ways in which the required savings shall be effected in that department/school; the dean shall review this recommendation and submit a recommendation to the provost; likewise, the dean of Steely Library, after consulting with Steely Library staff, submit a recommendation to the provost; the provost shall review all recommendations and shall submit a recommendation to the president; the president shall review this recommendation for submittal to the Board for action.
10.7.8. Termination of Faculty Positions
10.7.8.1. Consideration/Obligation to Faculty
10.7.8.1.1.
If termination of faculty positions becomes necessary, due consideration shall be given to:
• The missions of the University;
• The criteria for faculty evaluation as established in this Handbook;
• Normal attrition of faculty;
• Program review documents;
• Cost analyses; and
• The Affirmative Action policies of the University.
10.7.8.1.2.
51AV recognizes that tenure constitutes a property right. Every effort shall be made to preserve the positions of tenured faculty. Such positions may be terminated only when financial exigency requires degree program reduction or degree program termination.
10.7.8.1.3.
The full teaching load of a terminated faculty position shall not be assumed by part-time faculty.
10.7.8.1.4.
The University shall make reasonable efforts to provide support for retraining, re-education, and/or reassignment within the University of a faculty member identified for termination.
10.7.8.1.5.
At the request of a terminated faculty member, the University shall provide reasonable and timely re-employment assistance.
10.7.8.1.6.
The University may not fill a position in a discipline in which a tenured faculty member who has been terminated is qualified to teach and/or perform the job for a period of three (3) years from the date of the termination, unless the position is first offered to that faculty member. The University may not fill a position in a discipline in which a non-tenured faculty member who has been terminated is qualified to teach and/or perform the job for a period of two (2) years from the date of termination, unless the position is first offered to that faculty member. The offer shall be made in writing with confirmation of receipt, and the acceptance of such offer must be made in writing. Each faculty member is responsible for providing the University with a current address. The address on file in the Office of the Provost shall be deemed the current address for mailing notices required by this procedure. Failure to accept the offer in writing with fifteen (15) calendar days of receipt of the offer or rejection of the position eliminates the re-employment rights of the faculty member to the position. Such acceptance or rejection must be made in writing.
10.7.8.1.7.
A faculty member who is recalled within the specified three(3)-year period for tenured faculty or two(2)-year period for tenure-track faculty shall have restored all sick leave accrued on the effective date of layoff. Tenured faculty shall be recalled with full tenure, and non-tenured faculty shall be recalled with the number of years of prior service at the University counting as part of the probationary period. Further, the salary for such positions filled through recall of terminated faculty shall be negotiable but in no case shall the faculty member receive less than their salary at the time of termination.
10.7.8.2. Notice to Individual Faculty
If the Board of Regents’ final action includes the termination of faculty, the president or designee shall give written notice, with a confirmation of receipt, of that fact to the faculty to be terminated. The notices shall include a statement of the conditions requiring termination of employment, a general description of the procedures followed in making the decision, and a disclosure of pertinent financial or other data upon which the decision was based. A faculty member receiving such notice may request clarification. The president and the Board shall make every reasonable effort to ensure that notice to tenured or tenure-track faculty be given not less than 75 calendar days before the effective date of termination. In addition, reasonable effort shall be made to ensure that no faculty appointment is terminated before the end of the academic year in which the financial exigency occurs.
10.7.8.3. Unemployment Compensation
Any faculty terminated shall be eligible for unemployment compensation if they meet the conditions of qualification for benefits defined in Chapter 341 of the Kentucky Revised Statutes. (See especially .) Benefits are calculated in accordance with et seq.
10.7.9. Review of Individual Terminations
10.7.9.1. Request for a Hearing
Within ten (10) days after receiving a notice of termination, a tenured or tenure-track faculty member may request a review of the action by the Board of Regents. Review may be had solely to determine whether the decision to terminate was made in accordance with established procedures with respect to that individual. The request for review must be in writing and addressed to the chair of the Board with a copy to the president. It must specify the grounds on which it is contended that the established procedures were abridged, and must include a short, plain statement of facts that the faculty member believes supports the contention.
Submission of such a request constitutes on the part of the faculty member, first, a representation that this contention can be supported by factual proof, and, second, an agreement on the part of the faculty member that the University may offer in rebuttal any relevant data in its possession. The Board shall consider the request upon the transmission of the request by the president and shall grant a hearing if it determines that a prima facie case is presented by the statement.
A denial of the request finally confirms the decision to terminate, and the Board shall so notify the faculty member. If the request is granted, a hearing shall be held within ten (10) days after the request is received; the faculty member shall be given at least (5) days notice of the hearing.
10.7.9.2. Conduct of the Hearing
The hearing shall be conducted informally and in private, with only the members of the Board, the faculty member, the president, and such witnesses as may be called, in attendance. During the hearing, the faculty member and/or the president will be permitted to have an adviser who may give advice to that party but may not otherwise represent the party. A quorum for purposes of the hearing is a simple majority of the Board’s total membership. If the faculty member asks for a transcript of the proceeding, the transcript shall be made and one copy provided to the faculty member free of charge. The Board may consider only such evidence as is presented at the hearing, and it need consider only the evidence that it considers fair and reliable. All witnesses may be questioned by the Board members, the faculty member, and the president.
Except as herein provided, the conduct of the hearing shall be under control of the chair of the Board of Regents. The hearing shall begin with the faculty member’s presentation of contentions, limited to those grounds specified in the request for a hearing and supported by such proof as the faculty member desires to offer. The burden is on the faculty member to satisfy the Board by a preponderance of evidence that the procedures used to reach the decision to terminate were abridged. When this presentation is concluded, the Board shall recess to consider whether the proof offered in support of the contention establishes the contention, unless it is not rebutted. If it determines that the contention has not been so established, it shall notify the parties and conclude the proceedings. If it determines that rebuttal is desirable, it shall so notify the parties and the hearing shall proceed. The president may then present, in rebuttal of the faculty member’s contention or in general support of the decision to terminate, such testimonial or documentary proofs desired, including the president’s own testimony. After the president’s presentation is completed, the Board shall consider the matter in executive session.
10.7.9.3. Procedure After Hearing
If the Board determines that the faculty member’s contention has not been established, it shall issue a simple statement to notify the faculty member and the president. If the Board determines that the faculty member’s contention has been established, it shall so notify the faculty member and the president by a written notice that states what corrective action must be taken.
10.7.10. Exclusive Procedure
No other existing procedure for reconsidering or examining an employee or grievance is available for considering an issue that arises from a reduction in force. Similarly, no personnel action other than a reduction in force may be considered under this procedure.
10.7.11. Termination of Financial Exigency
The financial exigency terminates when the University has, under the directions of the Board of Regents given to the president, reformulated the University budget to meet the specified financial constraints that imposed the emergency.
10.8.1. Grounds for Termination
The University may terminate a faculty appointment for cause only by using the grounds permitted by Kentucky Revised Statutes ), as amended. The grounds for termination currently are “incompetency, neglect of or refusal to perform his [or her] duty, or for immoral conduct” (brackets added). Such termination shall never abridge faculty rights set forth in Section 16.3 “Academic Freedom”.
10.8.2. Procedures for Termination
The procedures set forth in shall apply. That section provides that “A . . . faculty member shall not be removed until after ten (10) days’ notice in writing, stating the nature of the charges preferred, and after an opportunity has been given him [or her] to make defense before the board by counsel or otherwise and to introduce testimony which shall be heard and determined by the board.” (brackets added)
10.8.2.1. Cause for Dismissal
Adequate cause for a dismissal will be related, directly and substantially, to the fitness of the faculty member in the professional capacity as a teacher or scholar and as limited by . Dismissal will not be used to restrain faculty in the exercise of their rights under the laws of the United States and the Commonwealth of Kentucky.
10.8.2.2. Process for Dismissal
Dismissal of a faculty member with tenure, or with a special or probationary appointment before the end of the specified term, will be preceded by:
•&Բ;Discussion between the faculty member and appropriate administrative officers, seeking a mutual settlement;
• An informal fact-finding conference with the Peer Review Advisory Committee, which may, failing to effect a resolution, determine whether in its opinion dismissal proceedings should be undertaken, without its opinion being binding upon the president; and
•&Բ;A statement of charges, framed with reasonable particularity by the president or the president’s delegate.
10.8.2.3. Dismissal Hearing Process
With a statement of charges, the faculty member concerned will have the right to a formal hearing by the Peer Review Hearing Committee. Members deeming themselves disqualified for bias or interest will remove themselves from the case, either at the request of a party or on their own initiative.
Pending a final recommendation by the Peer Review Hearing Committee, the faculty member will be placed on mandatory leave, or assigned to other duties in lieu of mandatory leave, only if immediate harm to self or others is threatened by the faculty member’s continuance. Before placing a faculty member on mandatory leave, pending an ultimate determination of the faculty member’s status through the University’s hearing procedures, the administration will consult with the Peer Review Advisory Committee concerning the propriety, the length, and other conditions of the leave. In the event that the Peer Review Advisory Committee is not able to convene a meeting, the president has the right to make a brief suspension of the faculty member’s service before consulting the Peer Review Advisory Committee. A mandatory leave intended to become a termination is a dismissal at the conclusion of the leave period. Salary will continue during the period of the leave.
The Peer Review Advisory Committee may hold joint pre-hearing meetings with the parties in order to:
•&Բ;Simplify the issues;
• Effect stipulation of facts;
• Provide for exchange of documentary or other information; and
• Achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.
Notice of the hearing, with specific charges in writing will be made to the faculty member at least twenty (20) calendar days prior to the hearing by the chair of the Peer Review Hearing Committee. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing, but denies the charges or asserts that the charges do not support a finding of adequate cause, the Peer Review Hearing Committee will evaluate all available evidence and rest its recommendation upon the evidence in the record.
The hearing will be private, except at the request of the faculty member and as provided by law. During the proceedings, the faculty member and/or the University will be permitted to have an academic adviser and/or legal counsel.
A verbatim record of the hearing or hearings will be taken and one typewritten copy will be made available to the faculty member without cost, at the faculty member’s request.
The burden of proof that adequate cause exists rests with the University and shall be satisfied only by clear and convincing evidence in the record considered as a whole. The Peer Review Hearing Committee will grant adjournments to enable either party to investigate evidence for which a valid claim of surprise is made, if substantial prejudice would otherwise result. The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The
administration will cooperate with the Peer Review Hearing Committee in securing witnesses and making available documentary and other evidence subject to the laws of the Commonwealth of Kentucky.The faculty member and the administration will have the right to confront and cross-examine all witnesses.
In the hearing of charges of incompetence, the testimony will include that of qualified faculty members from 51AV or other institutions of higher education.
The Peer Review Hearing Committee will not be bound by strict rules of legal evidence and may admit any evidence of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available. The findings of fact and the decision will be based solely on the hearing record.
Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers will be avoided until the proceedings, including consideration by the Board of Regents, have been completed.
The president, other appropriate academic administrators, and the faculty member will be notified of the recommendation of the Peer Review Hearing Committee in writing with supporting reasons and will be given one copy of the record of the hearing.
If the Peer Review Hearing Committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the president. If the president disagrees with the report, the president will state in writing the reasons for doing so, to the committee and to the faculty member, and will provide an opportunity for response before transmitting the case to the Board of Regents. If the Peer Review Hearing Committee concludes that adequate cause for dismissal has not been established by the evidence, but that an academic penalty less than dismissal would be more appropriate, it will so recommend, with supporting reasons.
