Committee on Academic Freedom and Tenure

HEARING PROCEDURES

I.                    TYPES OF CASES

A.  Cases not involving dismissal, suspension, or unconstitutional action

All requests for action on the part of CAFT shall be made in writing and such requests shall be made only after it has become apparent that the grievant has been unable to obtain satisfactory solutions or adjustments through the customary administrative. The procedure for consideration of a grievance is:

      1)   The grievance is referred to CAFT by the Grievance Clearinghouse Committee (GCC).

      2)   The Chair of CAFT determines whether a grievance is appropriate for a hearing. The final, accepted grievance must clearly contain an accurate and complete statement of the charges and the essential facts out of which the charges have arisen.

      3)   Once a grievance is accepted by CAFT, the Chair will notify the University President of the grievance.

      4)   The Chair of CAFT will appoint a hearing panel (3-5 members). This panel will normally meet informally with the grievant and with the respondent(s) to discuss details of the hearing process. The burden of proof shall be on the grievant. Each party shall have the right to present witnesses and evidence and to cross-examine witnesses. The grievant may choose to be accompanied by counsel or other advisor who need not be a member of the University community. Upon request by the grievant, the hearings may be open. The hearing shall be recorded and a written transcript produced.

      5)   A grievant is responsible for preparing the case presented to the panel. The grievant must determine the charges and provide copies of all relevant materials to the Faculty Center for distribution to the respondent and panel members. The respondent may submit similar written materials to the Faculty Center. All witness lists will be provided before the hearing and will be distributed to the other participants.

      6)   The chair of the hearing panel shall have the authority to issue subpoenas for the attendance of witnesses. Members of the University community are required to comply with subpoenas unless extraordinary circumstances preclude their appearance.

      7)   At the conclusion of the testimony each party will make a closing statement.

      8)   The chair of the hearing panel will be responsible for writing a panel recommendation to the President based upon the findings of the hearing. The report shall be signed by all panel members and copies will be sent to the President and the Chair of CAFT. This report shall be generated within 30 class days of the conclusion of the hearing.

      9)   The hearing shall be recorded and a written transcript produced. A copy of the transcript will be maintained in the Faculty Center. CAFT’s findings of fact and recommendations will be forwarded to the President.

      10) The President will make a decision, and forward copies of his/her decision and the CAFT panel’s recommendations to the grievant and respondent and to the panel within 45 days.

B.   Cases involving dismissal, suspension, or unconstitutional action, including violations of due process or academic freedom 

A member of the General Faculty alleging a grievance that involves discrimination, violation of constitutional rights (including due process or academic freedom), or improper administrative procedures on the part of the University in the case of performance review, promotion, tenure, sabbatical leave, leave of absence, or non-retention of tenured-eligible or continuing-eligible members of the General Faculty, shall have the right to request a referral from the Grievance Clearinghouse Committee (GCC) for a hearing before CAFT.  A CAFT hearing will be conducted only following such a recommendation by the GCC. The procedures and responsibilities are as outlined above, with the following modifications;

      1)   A denial of tenure or other non-reappointment must have been appealed to the University President and considered by the Committee on Conciliation.

      2)   A five-member, impartial hearing panel shall hold a hearing on the matter within a period of 30 to 45 class days after receiving the written grievance.  The hearing may be delayed or advanced with the consent of the panel and the grievant.

      3)   The hearing may be open to the public upon request of the grievant.

      4)   Each party shall have the right to obtain access to all relevant, non-privileged documents relating to the grievance, which are subject to the other party’s control and which do not violate the privacy rights of non-parties.

 C.   Cases involving early dismissal or suspension

Whenever a member of the general faculty is recommended for dismissal or suspension without pay, the President shall refer such recommendation to the Committee on Conciliation. This committee shall attempt to arrive at a mutually-agreed upon solution.  If conciliation fails, the President shall provide the general faculty member with a written notice of dismissal or suspension which shall: (1) refer to the particular statutes, rules or policies, if any, involved; and (2) contain a statement of the reasons for the recommendation in sufficient detail to enable the general faculty member to prepare a defense. As an alternative to meeting with the Committee on Conciliation, a member of the general faculty may agree to participate in a mediation process to be established by the University. (ABOR 6-201L,3,c) A tenured or continuing member of the general faculty who is recommended for dismissal or suspension, or a tenure-eligible or continuing-eligible member of the general faculty who is recommended for suspension or dismissal before the end of the current contract period, has the right to appeal the suspension or dismissal which will be considered by a CAFT hearing panel. In addition to the general rights and procedures outlined in the previous sections, the following additional conditions apply in these cases:

1)   The burden of proof for the existence of just cause for the general faculty member’s dismissal or suspension shall be on the appointing authorities (respondent).

2)   CAFT will begin the procedure of setting up its formal hearing for the case immediately upon receipt of its copy of the notice of dismissal or suspension. The hearing on the appeal is to take place as soon as possible, but no sooner than 30 calendar days after verified receipt by the general faculty member of the notice of dismissal or suspension. Written notice of the time and place of the hearing shall be given at least 20 calendar days prior to the hearing.

3)   The grievant shall provide CAFT and the President with a statement of his/her position or rebuttal to the charges at least 10 days prior to the hearing date. Failure to provide this statement shall immediately terminate the procedure.

4)   At least 10 days in advance of the hearing, the grievant and respondent(s) have the right to be advised of the names and addresses of witnesses, and exhibits upon which the case for dismissal or suspension is grounded.  During the hearing, adjournments shall be granted to enable either participant to investigate unexpected evidence submitted in the course of the hearing.

II.         Participant responsibilities

A.       Respondent

The following responsibilities of the respondent apply to all types of CAFT hearings.

1)   The respondent(s) named in the grievance will be provided with a copy of (a) the grievance; (b) the respondent(s)’s name(s); (c) the desired outcome; (d) the documentation supporting the grievance; and (e) the list of supporting witnesses that are to be called by the grievant. All of this information is to be prepared by the grievant. All of this information is to be prepared by the grievant in sufficient quantity so that each member of the CAFT panel, each respondent, and the Faculty Center will have a copy.

2)   The respondent may prepare a written defense, copies of which must be provided in sufficient numbers so that each member of the CAFT panel, each grievant, and the Faculty Center will have a copy.

3)   The respondent will provide the CAFT panel with a list of the names of witnesses to be called. The CAFT panel will provide the grievant with a copy of this list.

4)   At the CAFT hearing, the respondent may be accompanied by an advisor. Each principal named as a respondent is to be present at all CAFT hearing sessions.

 B.      CAFT Panel Chair

1.   The CAFT panel chair should thoroughly acquaint him/herself with; (a) the grievance as forwarded by the Chair of CAFT; and (b) the procedures and policies governing hearings as outlined in the Faculty Constitution and Bylaws, University Handbook for Appointed Personnel, and/or the Arizona Board of Regents Policy Manual, Chapter 6-201 (Conditions of Faculty Service Policies).

2.   The Chair of CAFT will submit the names of other panel members to the panel chair: two additional members for three-person hearings, four additional members (plus an alternate) for five-person hearings.

3.   The CAFT panel chair shall schedule a meeting of the panel members to discuss the case and plan the agenda for the hearing. The panel chair will meet with the grievant to clarify the grievance, discuss his/her desired outcome, determine whether the grievant wishes the hearing open or closed, and whether he/she will be represented by counsel.

4.   The grievant is to furnish sufficient copies of all exhibits and witness lists to be considered by the panel so that each panel member has a copy, as well as the respondent(s) and the Faculty Center. The respondent(s) will provide the same for the grievant, each panel member and the Faculty Center.

5.   The Faculty Center (621-1342) will reserve a room and arrange for hospitality and security, and help with scheduling the hearing. All participants shall be notified of the hearing date(s) at least 20 days before the hearing commences.  The notification shall include:

      a.  statement of the time, place and nature of the hearing;

      b.  statement of the authority and jurisdiction under which the hearing is to be held;

      c.  reference to the particular statutes, rules, or policies involved;

      d.  clear and concise  statement of the grievance.

6.   It is important for the CAFT panel chair to keep copies of all written communications concerning the hearing as well as notes of telephone conversations.

7.   The panel chair is in charge, and sets the specific agenda for hearings and sees that the agenda is followed. Frequently, decisions must be made during the hearing; the chair can call a recess to confer with the panel members to help him/her make the decisions.

8.   In all cases, except the dismissal of a tenured party, the burden of proof is on the grievant.   The normal order for the hearing is:

      a.   Opening statement by grievant (can also be written).

      b.   Presentation of grievant’s witnesses’ testimony (may take the form of a prepared testimony or by questions from the grievant or a combination of both.

      c.   Questions from the respondent(s).

      d.   Questions from the panel.

      e.   Opening statement by respondent(s).

      f.    Presentation of witnesses of respondent(s) (see b., above).

      g.   Questions from the grievant.

      h.   Questions from the panel.

      i.    Closing statements by both parties.  Written closing statements can also be submitted to the panel chair within seven class days of the end of the hearing.

9.      All hearings will be recorded. The panel chair is responsible for identifying all participants present as well as the date and location of the hearing. The panel chair must also have each participant (panel member, grievant, respondent, and witnesses) identified when they speak. Copies of the exhibits and transcript will be forwarded to the President along with the panel’s report.  The Faculty Center is the official repository for all documents relevant to every CAFT procedure.

10.    The CAFT panel chair is the spokesperson for the panel. At times, a case before the panel may attract the attention of the newspaper(s) and they may attempt to contact panel members.  All inquiries should be referred to the chair of the panel.

11.    The final task of the panel is to write the report to be transmitted to the President with findings and recommendations.  Although the reports may vary, they normally include:

         a.   A statement of the grievance.

          b.   A summary of the procedures followed by the panel (membership, dates and number of meetings, witnesses heard, etc.).

         c.   A narrative summary of the findings, with reference to appropriate exhibits (attached).

         d.   The panel’s recommendation to the President. A CAFT panel can recommend any course of action it finds appropriate, including the granting of tenure, monetary compensation, apologies, promotions, procedural revisions or whatever seems reasonable.

         e.   The recommendation is delivered to the President and the Chair of CAFT.

12.    The President may respond in one of several possible ways: acceptance of the report, further questions to be answered by the panel, or a request to reconvene the panel.

13.    When the President has accepted the report, a complete copy of the report and recommendation, copies of all evidence submitted, and transcript should be filed with the Faculty Center.

14.    The panel chair will keep the Chair of CAFT advised of any unusual problems such as delays in convening hearings.

III.        DIFFERENCES BETWEEN OPEN AND CLOSED CAFT HEARINGS

Note: Every hearing is closed unless the grievant requests it to be open.

A.   Witnesses in a closed hearing will remain outside the hearing room until they are called, and leave when they are dismissed.

B.  Witnesses in an open hearing will remain outside the hearing room until they are called, but may remain after they are dismissed.

C.  All participants may record an open hearing, but only the panel may record a closed hearing.  A transcript of a court-reported proceeding in a closed hearing will be available only to panel members until the panel’s report is sent to the President. The transcript of the  proceedings of an open hearing will be available through the Faculty Center.

D.  After the CAFT panel has signed its report with recommendations in an open or closed hearing, the panel chair will send a copy of the report along with a copy of the exhibits and transcript of the hearing to the President,

E.  The Faculty Center shall serve as the official repository for all CAFT case files, exhibits CAFT reports and Presidents’ decisions.

F.   Panel members will hold all reports, exhibits, and transcripts of proceedings in confidence, for both closed and open hearings.