Handbook of Operating Procedures 2-2320 (Interim)

Faculty Discipline

Effective December 1, 2023
Executive Sponsor: Executive Vice President and Provost
Policy Owner: Senior Vice Provost for Faculty Affairs

 

1. Policy Statement

The University of Texas at Austin (“University”) is a university of the first class for many reasons, including the extraordinarily high quality and dedication of its Faculty Members. However, the University, as an employer, may discipline a Faculty Member subsequent to a Good Cause finding to support the discipline or upon a Serious Misconduct determination to support summary dismissal.  This Policy establishes the procedures the University will follow in exercising its right to discipline Faculty Members.

The University urges Faculty Members to take advantage of University resources at any point during the disciplinary process. The Faculty Ombuds Office is one such helpful University resource. The University also urges administrators, including deans, department chairs, and directors, to contact the Office of the Executive Vice President and Provost, including the vice provost for advocacy and dispute resolution or other offices designated by the executive vice president and provost, with questions or concerns regarding a Faculty Member’s conduct, work performance, or other related issues, and to do so as soon as the issue arises.

2. Reason for Policy

This policy describes the process by which the University may take disciplinary action against a Faculty Member subsequent to a Good Cause finding to support the discipline or upon a Serious Misconduct determination to support summary dismissal. Additionally, it provides information regarding the rights of the Faculty Member.

Depending on the nature of the Faculty Member’s alleged conduct, other policies and procedures may govern, in whole or in part, the review of the alleged conduct, potential Discipline of a Faculty Member, and how Discipline is reviewed. Such policies include, but are not limited to, Regents’ Rule 31008 (Termination of a Faculty Member), Handbook of Operating Procedures (HOP) 7-1230 (Misconduct in Science and Other Scholarly Activities), HOP 3-3020 (Nondiscrimination Policy), and HOP 3-3031 (Prohibition of Sexual Assault, Interpersonal Violence, Sexual Exploitation, Stalking, Sexual Harassment, and Sex Discrimination).

3. Scope & Audience

This policy applies to individuals holding an academic title contained in Regents’ Rule 31001 (Section 2), (except for student titles), and HOP 2-2010.
 

4. Definitions (specific to this policy)

Administrator:
A department chair, dean, or director who determines that disciplining a Faculty Member may be appropriate.

Alternative Work Assignment:
The assignment of a Faculty Member to an alternative combination of University employment functions and/or the placement of restrictions on certain employment functions (e.g., removal from campus, limitation on contact with students, etc.). A Faculty Member placed on Alternative Work Assignment is required to be available during normal work hours. An Alternative Work Assignment may be utilized when a Faculty Member is the subject of a University investigation or review and the University determines it is necessary to limit the Faculty Member’s interaction with campus pending resolution of the investigation or review. An Alternative Work Assignment is an interim measure and does not constitute Discipline.

Committee of Counsel on Academic Freedom and Responsibility (CCAFR):
The standing committee of the General Faculty that provides advice on, and investigates allegations of violations of, policies and procedures concerning: promotion and tenure; faculty annual review, mid-probationary review, and comprehensive periodic reviews; and the exercise of academic freedom in teaching, scholarship, and expression.

Discipline:
A sanction the University imposes upon a Faculty Member subsequent to a finding that the Faculty Member has: (a) violated a University, UT System, and/or Board of Regents policy or rule; (b) engaged in conduct that adversely affects the Faculty Member’s performance of employment responsibilities; (c) engaged in conduct outside the scope of employment that adversely affects the mission or reputation of the University (e.g., commission of a crime, etc.); (d) engaged in conduct that constitutes Good Cause to support termination as described in Section VII(B) below; or (e) engaged in conduct that constitutes Serious Misconduct to support Summary Dismissal as described in Section VII(C) below.  Discipline includes, but is not limited to, a written reprimand, professional development/training activities, ineligibility for promotion or salary increases, suspension with or without pay, rescission of endowment, reduction in pay, demotion, and termination. Discipline must be recorded in writing and must become part of the Faculty Member’s personnel file.

The following do not constitute Discipline: Interim measures taken pending resolution of a University investigation or review; administrative actions taken by the University to safeguard the University's own resources; oral reprimands and oral counseling; and the routine assignment of workload responsibilities, such as teaching and committee service, which governed by HOP 2-2170 (Faculty Workload and Reporting Requirements).

Faculty Grievance Committee:
The standing committee of the General Faculty that is authorized to consider and hear or otherwise dispose of individual grievances pursuant to HOP 2-2310 (Faculty Grievance Procedure).

Faculty Member:
Any individual holding an academic title contained in Regents’ Rule 31001 (Section 2), with the exception of student titles, and HOP 2-2010.

Good Cause:
The permissible conduct bases that may support termination of a faculty member who has been granted tenure and all other faculty members before the expiration of the stated period of appointment.

Serious Misconduct:
The permissible conduct bases that may support termination via Summary Dismissal of a faculty member who has been granted tenure and all other faculty members before expiration of the stated period of appointment.

Summary Dismissal:
Expedited due process to effect prompt termination  of tenured faculty or all other faculty before the expiration of their appointment upon a determination of Serious Misconduct. Regents’ Rule 31008 Sec. 4 requires an institution’s faculty policies to include the summary dismissal process.

Suspension:
A temporary removal from the duties of the position to which a Faculty Member is appointed. A Suspension may also be accompanied by placement of certain restrictions on the Faculty Member, such as removal from campus and/or limitation on contact with students. When Suspension with pay is imposed in anticipation of or during a University investigation or review, it is an interim measure and does not constitute Discipline. A Suspension (with or without pay) imposed upon conclusion of a University investigation or review constitutes Discipline.

5. Website (for policy)

https://secure4.compliancebridge.com/utexas/public/getdoc.php?file=2-2320
 

6. Contacts

7. Responsibilities & Procedures

1.  Interim Measures

1. the alleged conduct would, if proven, constitute Good Cause for termination under Regents’ Rule 31008 Summary Dismissal Termination under Section C below,
2. the alleged misconduct is supported by credible evidence, and
3. a Suspension is in the best interest of the institution. Such action is an interim measure and does not constitute Discipline. Unless the president (or designee) determines immediate Suspension is in the best interest of the institution, the president shall consult with CCAFR prior to suspending the Faculty Member.

2. Termination for Good Cause of a Tenured Faculty Member or of a Non-Tenured Faculty Member for Good Cause Before the Expiration of the Stated Period of Appointment

1. exhibiting professional incompetence or failure to maintain credentials or licenses required to perform job duties;
2. continually or repeatedly failing to perform duties or meet professional responsibilities of the faculty member’s position;
3. failing to successfully complete any post-tenure review professional development program;
4. engaging in conduct involving moral turpitude that adversely affects the institution or the faculty member’s performance of duties or meeting of responsibilities;
5. violating laws, or UT System or University policies substantially related to the performance of the faculty member’s duties;
6. being convicted of a crime affecting the fitness of the faculty member to engage in teaching, research, service, outreach, or administration;
7. engaging in unprofessional conduct that adversely affects the institution or the faculty member’s performance of duties or meeting of responsibilities; or
8. falsifying the faculty member’s academic credentials;

3. Summary Dismissal Termination for Serious Misconduct of a Tenured Faculty Member or a Non-Tenured Faculty Member Before the Expiration of the Stated Period of Appointment

1. If the decision is to proceed with Summary Dismissal, the written determination must (a) expressly state that Summary Dismissal is invoked; (b) indicate the effective date of the dismissal; (c) provide notice to the Faculty Member of the right to a post-dismissal appeal of the dismissal determination. Former Faculty Members dismissed pursuant to this Summary Dismissal Section, must be provided the opportunity to submit a grievance for hearing under HOP 2-2310 (VII)(E) (Former Faculty Grievance Policy—Summary Dismissal Termination of Tenured Faculty Member or a Non-Tenured Faculty Member Before the Expiration of the Stated Period of Appointment) regarding the Summary Dismissal.
2. If the decision is against Summary Dismissal, the written determination must expressly state that no Summary Dismissal will occur.

4. When an Administrator Determines that Discipline—Other Than Summary Dismissal—of a Faculty Member May Be Appropriate

5. When the President or Executive Vice President and Provost Determines Immediate Discipline of a Faculty Member is in the Best Interest of the Institution

1. provide the Faculty Member a written explanation for the Discipline imposed, as well as any additional action being contemplated, and
2. without revealing the Faculty Member’s identity, provide a written explanation for the Discipline imposed, as well as any additional action being contemplated, to the Office of General Faculty. The Faculty Member may grieve the discipline as provided under HOP 2-2310 (Faculty Grievance Procedure).

6. Disputes

Subject to the limitations provided in HOP 2-2310 (Faculty Grievance Procedure), a Faculty Member disciplined under a University, UT System, and/or Board of Regents policy or rule may file a grievance with the Faculty Grievance Committee. Faculty members with questions or concerns may consult with the Faculty Ombuds Office.