PAc-22 Faculty Discipline and Removal for Cause

GENERAL PRINCIPLES

Faculty misconduct may be subject to disciplinary action. Disciplinary actions include oral or written reprimand, written censure, suspension without pay, reassignment of duties, removal for cause, or other action appropriate as a response to the conduct of the faculty member (henceforth, the respondent). The length and nature of the oral or written reprimand, written censure, suspension without pay, reassignment of duties or other discipline will be in accordance with the severity of the misconduct and in consideration of the respondent's work record.

Tenured faculty may be removed only for cause, which shall include incompetence, neglect of or refusal to perform duties, immoral conduct, or failure to meet the university performance and productivity requirements as outlined in KRS 164.360 (henceforth, “cause”).

Disciplinary action against a tenured faculty member will be taken according to the procedures set forth in this policy. Disciplinary action against a fixed-term faculty member will proceed under this policy if the fixed-term faculty member is to be disciplined or removed during the contract year. For tenure-track faculty members, this policy shall apply if the faculty member is to be disciplined or removed during the academic period(s) for which he/she is guaranteed employment under PAc-27.

All individuals involved in the disciplinary process will exercise absolute discretion. Information gathered during the disciplinary process by any individual will be disseminated by that individual only as stipulated by University policy or by law.

All documents that need to be transferred from one party to another shall be delivered by hand or priority mail with delivery confirmation.

REPRESENTATION

At any point in the disciplinary process, the respondent may, at his or her expense, consult with or retain legal counsel to provide representation.

RECONCILIATION

At any point in the disciplinary process, the respondent or representatives of the administration may request a meeting with the other for the purpose of discussing a mutual settlement. A mutual settlement must be in writing and signed by the respondent and the President. A mutual settlement will terminate the disciplinary process.

ALLEGATIONS OF MISCONDUCT

An allegation of misconduct brought to the attention of a supervisor within the respondent’s chain of authority will be forwarded to the Dean of the respondent's college and to the Provost/Vice President for Academic Affairs. If the allegation involves Sexual Misconduct or Sexual Harassment as governed by PG-6 and relevant UARs, then the allegation will be handled in accordance with same. Otherwise, the Provost/Vice President for Academic Affairs will determine if investigation of the allegation is required.

If the Provost/Vice President for Academic Affairs determines that investigation of the allegation is not required, the Provost/Vice President for Academic Affairs will refer the matter to the Dean of the respondent's college. The Dean will determine whether to issue an oral or written reprimand or to dismiss the allegation. The Dean's action will terminate the disciplinary process.

If the Provost/Vice President for Academic Affairs determines that investigation of the allegation is required, the matter will be referred by the President to the appropriate University offices for investigation. The period of investigation shall not exceed 40 business days. (A “business day” is a day during which the University is open regardless of whether academic classes are in session.) If deemed necessary by the President, the respondent may, without prior notice, be placed on leave with pay or have his or her duties reassigned. Leave with pay will not extend beyond completion of the disciplinary process. Reassignment of duties will not extend beyond completion of the disciplinary process except if reassignment of duties is the disciplinary action issued by the President at the completion of the disciplinary process. The President may terminate leave with pay or reassignment of duties prior to completion of the disciplinary process.

At the conclusion of an investigation, a written report will be produced and sent to the President, the Provost/Vice President for Academic Affairs, and the Dean of the respondent's college. After reviewing the report, the Dean will inform the foregoing individuals in a signed, written statement of one of the following conclusions:

• Facts have not been established to support the allegation, and the matter should be dismissed; or
• Facts have been established that warrant an oral or written reprimand by the Dean; or
• Facts have been established that warrant written censure, suspension without pay, or reassignment of duties or other appropriate discipline; or
• Facts have been established that warrant removal for cause.

REMOVAL OF TENURED FACULTY: PERFORMANCE & PRODUCTIVITY EVALUATIONS

In accordance with KRS 164.360, continued employment of faculty, including those with tenure, is contingent upon satisfactory performance and productivity. Failure to meet established university performance and productivity standards may result in removal from employment and the faculty, regardless of tenure status.

To ensure compliance with KRS 164.360 and institutional policy, the University utilizes standardized performance ratings in the annual faculty evaluation process, as outlined in PAc-35 Faculty Evaluation Plans. These ratings include “Above Expected,” “Expected,” and “Below Expected.”

The following process will be implemented when a faculty member receives an Overall Below Expected rating in an annual performance evaluation:

OVERALL “BELOW EXPECTED” ANNUAL PERFORMANCE EVALUATION

If, based on the established Faculty Evaluation Plan (FEP), a tenured faculty member receives an Overall “Below Expected” Annual Performance Evaluation rating beginning with the annual review period from January 1, 2026, through December 31, 2026, or any subsequent review period, the Department Chair will meet with the faculty member to review the overall performance evaluation results. The Department Chair will notify the College Dean of the evaluation outcome. The Dean will review the evaluation and determine whether to concur with the Chair’s assessment. If the Dean concurs with the Chair’s evaluation of a rating of Overall “Below Expected,” then it will stand, and the Dean will provide a written evaluation to the faculty. If the Dean disagrees with the evaluation, a meeting will be held between the Dean and the Department Chair to determine the final evaluation status.

After review by the Dean, the Department Chair, in consultation with the Dean and the Office of Human Resources, will meet with the faculty member in person to initiate a Performance Improvement Plan (PIP). The PIP will be in place for the remainder of the calendar year in which it is initiated and will include required areas of improvement, specific recommendations for addressing deficiencies, clearly defined expectations, outlined measurable benchmarks, and a structured timeline for achieving improvement in addition to meeting existing annual departmental expectations. The faculty member will receive a formal letter detailing these items and the timeline for progress, as outlined in the Personnel Action Calendar (PAC). The faculty member will be placed on Enhanced Performance Improvement Review (EPIR) status for a period of three (3) years following the evaluation year that resulted in a rating of Overall “Below Expected”.

The Dean will notify the Provost/Vice President for Academic Affairs of the final determination and any subsequent actions taken as outlined in the Personnel Action Calendar (PAC).

During the three-year EPIR period, the faculty member and Department Chair will meet in person each semester, before the semester break, to review the faculty’s progress towards addressing the deficiencies. A progress report will be forwarded to the College Dean at the end of each semester. To return to regular status, a faculty member must receive annual overall performance evaluations of "Expected" or higher all three years of the EPIR period.

SUBSEQUENT “BELOW EXPECTED” OVERALL ANNUAL PERFORMANCE EVALUATION

In the event a faculty member receives an additional “Below Expected” overall performance rating while in EPIR status, the procedures outlined under “Overall ‘Below Expected’ Annual Performance Evaluation” shall apply, with the exception that after the Dean notifies the Provost/Vice President for Academic Affairs of the subsequent “Below Expected” overall performance determination and any subsequent actions taken, the Provost will conduct a formal review of the submitted evaluation materials and issue recommendations regarding the faculty member’s contract renewal. If the Provost agrees with the overall “Below Expected” evaluation, then it will stand. If the Provost disagrees with the evaluation, a meeting will be held between the Provost, the Dean, and the Department Chair to determine the final evaluation status.

NOTICE OF INTENT FOR FACULTY MISCONDUCT

After reviewing the Dean's statement, the President—in consultation with the Provost/Vice President for Academic Affairs, the Dean of the respondent's college, the Department Chair of the respondent's department, and the Chair of the University Faculty Rights and Responsibilities Committee—will determine whether to:

• Dismiss the matter altogether, thereby terminating the disciplinary process; or
• Refer the matter to the Dean of the respondent's college for issuance of an oral or written reprimand, in which case the action will terminate the disciplinary process; or
• Proffer charges warranting written censure, suspension without pay, reassignment of duties or other appropriate discipline, in which case the President will issue a signed, written Notice of Intent to Discipline; or
• Proffer charges warranting removal for cause, in which case the President will issue a signed, written Notice of Intent to Remove for Cause.

A Notice of Intent will include (1) a detailed statement of the charges and their basis; (2) the intended disciplinary action, (3) the proposed date of the action, and, if applicable, the proposed duration of the action; (4) the respondent's right to respond to the charges and intended disciplinary action; (5) the respondent's right to request a hearing before a board; (6) the respondent's right to request a meeting with representatives of the administration for the purpose of discussing a mutual settlement, and (7) the relevant policies dealing with faculty discipline.

If a Notice of Intent is issued by the President, the Provost/Vice President for Academic Affairs will provide the respondent with a copy of said Notice.

NOTICE OF INTENT FOR OVERALL “BELOW EXPECTED” RATINGS PERFORMANCE

If a faculty member receives an Overall “Below Expected” rating while in the three-year Enhanced Performance Improvement Review period, the Department Chair will notify the College Dean of the evaluation outcome. The Dean will review the evaluation and determine whether to concur with the Chair’s assessment. If the Dean concurs, the Dean will notify the Provost/Vice President for Academic Affairs of an overall “Below Expected” rating within the three-year Enhanced Performance Improvement Review period. The Provost/Vice President for Academic Affairs will conduct a final review of the evaluation materials and determine whether to concur with the Chair’s and Dean’s assessment. If the Provost/Vice President for Academic Affairs concurs with the evaluation, the Provost may recommend to the President that the faculty member’s contract not be renewed at the conclusion of the current academic year. This recommendation applies regardless of the faculty member’s tenure status. This action reflects the University’s commitment to upholding high standards of faculty performance, productivity, and accountability.

After reviewing the Provost/Vice President for Academic Affairs’ statement, the President, in consultation with the Provost/Vice President for Academic Affairs, the Dean of the faculty member’s college, and the Department Chair, will determine whether to proffer removal for cause, in which case the President will issue a signed, written Notice of Intent to Remove for Cause.

A Notice of Intent will include (1) a detailed statement of the overall performance below expectation evaluations and related concerns; (2) the proposed date of the action, and (3) the faculty's right to respond to the action; (4) the faculty’s right to request a hearing before a Faculty Hearing Board (FHB); (5) the faculty's right to request a meeting with representatives of the administration for the purpose of discussing a mutual resolution, and (6) the relevant policies dealing with faculty removal for cause.
If a Notice of Intent is issued by the President, the Provost/Vice President for Academic Affairs will provide the faculty member with a copy of said Notice.

RESPONSE TO NOTICE OF INTENT

If the respondent receives a Notice of Intent to Discipline, the respondent may elect to:

• 1a. Exercise his or her right to an evidentiary hearing before a Faculty Hearing Board according to the procedures set forth below;
• 2a. Respond to the charges and intended disciplinary action, and decline a hearing; or
• 3a. Neither respond to the charges and intended disciplinary action nor exercise his or her right to a hearing.

If the respondent receives a Notice of Intent to Remove for Cause, the respondent may elect to:

• 1b. Exercise his or her right to an evidentiary hearing before a Faculty Hearing Board according to the procedures set forth below;
• 2b. Respond to the charges and intended disciplinary action, and decline a hearing; or
• 3b. Neither respond to the charges and intended disciplinary action nor exercise his or her right to a hearing.

The respondent will have ten (10) business days from the date of receipt of the Notice of Intent to elect one option (1a, 2a, 3a, 1b, 2b, or 3b) and to inform the President, the Provost/Vice President for Academic Affairs and the Dean of the respondent's college, in writing, of the option elected. If the respondent fails to inform the foregoing individuals of the option elected within the allotted time, then the respondent will have passively elected option (3a) for a Notice of Intent to Discipline or option (3b) for a Notice of Intent to Remove for Cause.

If the respondent elects option (3a), the President will proceed with the intended disciplinary action outlined in the Notice of Intent and so advise the respondent in writing. A copy shall be sent to the Provost/Vice President of Academic Affairs, the Dean of the respondent’s college, and the Office of Human Resources. If the respondent elects (3b) the President shall proceed with issuing a termination letter to the respondent, the Provost/Vice President of Academic Affairs, the Dean of the respondent’s college, and the Office of Human Resources. The respondent’s separation from the University shall proceed as set forth in the termination letter.

If the respondent elects option (2a) or (2b), the respondent may file a detailed written response to the charges and/or intended disciplinary action within thirty (30) business days of receipt of the Notice of Intent. The respondent will send his or her response to the President, the Provost/Vice President for Academic Affairs, and the Dean of the respondent's college. The President will review the respondent's response and may consult with the Provost/Vice President for Academic Affairs, the Dean of the respondent's college, the Department Chair of the respondent's department, and/or the Chair of the Faculty Rights and Responsibilities Committee, among others. If the respondent selects option (2a), the President will determine whether to:

• Dismiss the matter altogether, thereby terminating the disciplinary process;
• Refer the matter to the Dean of the respondent's college for issuance of an oral or written reprimand by the Dean, in which case the Dean's action will terminate the disciplinary process; or
• Proceed with a disciplinary action no greater than the intended disciplinary action outlined in the Notice of Intent. If the disciplinary action that the President decides upon is not Removal for Cause, then the President will issue a signed, written Notice of Disciplinary Action to be sent to the respondent. If the President determines that Removal for Cause should occur, he/she shall convene the Faculty Hearing Board (FHB) and forward the Notice of Intent to Remove for Cause and the respondent's response to the charges and intended disciplinary action outlined in the Notice of Intent and proceed to a hearing before the FHB.

If the respondent selects option (2b), the President will determine whether to:

• Dismiss the matter altogether, thereby terminating the disciplinary process;
• Refer the matter to the Dean of the respondent's college for issuance of disciplinary action other than removal by the Dean, in which case the Dean's action will terminate the disciplinary process; or
• Proceed with removal through the issuance of a letter of termination sent to the respondent, the Provost/President of Academic Affairs, the Dean of the respondent’s college, and the Office of Human Resources. The respondent’s separation from the University shall proceed as set forth in the termination letter.

If the respondent elects option (1a) or (1b), the President will convene the Faculty Hearing Board (FHB).

THE FACULTY HEARING BOARD (FHB)

Membership

The Faculty Hearing Board will consist of the following voting members:

• One member of the Faculty Rights and Responsibilities Committee chosen by that committee’s chair. The member chosen from that committee will serve as Chair of the Faculty Hearing Board; and
• Four tenured faculty members holding an academic rank equal to or higher than that of the respondent who will be selected and agreed upon by the President or his/her designee, the Provost/Vice President for Academic Affairs, the Chair of the Faculty Rights and Responsibilities Committee, and the Chair of the Faculty Senate. If committee membership cannot be determined within five (5) business days, the Provost/Vice President for Academic Affairs (VPAA) reserves the right to appoint members to the FHB.
• The Provost/Vice President for Academic Affairs will select one individual to serve as a non-voting, ex officio member of the Faculty Hearing Board. That individual must be an Academic Dean not of the respondent's college or a Department Chair not of the respondent's department. In addition, the Provost/Vice President for Academic Affairs and the Chair of the Faculty Senate may serve as non-voting, ex officio members of the Faculty Hearing Board.

No member of the Faculty Hearing Board will be a member of the respondent's department.

Faculty Hearing Board members shall be excused due to conflict of interest and may be excused due to health or unavoidable absence from campus. If a member is excused, a replacement will be selected as set out above. Faculty Hearing Board members may be required to convene during the summer.

Pre-Hearing Procedure

The Chair of the Faculty Hearing Board will provide the respondent with a signed, written Notice of Hearing. The Notice of Hearing will state (1) the names of the Faculty Hearing Board members; (2) the respondent's right to challenge the appointment of one or more Faculty Hearing Board members on the grounds of conflict of interest; and (3) the date of the hearing.

The respondent will have five (5) business days from the date of receipt of the Notice of Hearing to challenge the appointment of one or more Faculty Hearing Board members on the grounds of conflict of interest. The challenge must be submitted in writing to the Chair of the Faculty Hearing Board who will rule on the challenge within five (5) business days of receipt of the challenge. If the challenge is to the Faculty Hearing Board Chair, the Chair of the Faculty Rights and Responsibilities Committee shall rule on the challenge. The Chair will inform the respondent in writing of the ruling and the reasons for the ruling. The ruling will be final and may not be challenged by the respondent.

The date of the hearing will be no fewer than 15 business days and no more than 30 business days from the date that the respondent received the Notice of Hearing. The respondent may file a written response to the charges and/or intended disciplinary action outlined in the Notice of Intent with the Faculty Hearing Board chair prior to the hearing with a copy to the administrator proffering the charge (henceforth, complainant).

Hearing Procedure

The respondent will have the option of having a hearing that is open or closed to the public, except as may be required by law.

The respondent may consult with or retain legal counsel at his or her own expense to provide representation during the hearing. The Faculty Hearing Board shall be advised by Morehead State University’s Office of the General Counsel or its designee. The complainant may consult with or be represented by separate legal counsel contracted by the University to provide representation during the hearing.

The hearing proceedings will not be governed by formal, legal rules of procedure and evidence. The Faculty Hearing Board may consider any information that has probative value.

Statements to the Faculty Hearing Board, documentary evidence, and testimony by witnesses will be subject to requirements of civility and relevance.

The complainant or his/her counsel will have the right to call and cross-examine witnesses and to present documents and other evidence supporting the charges in the Notice of Intent to Discipline or the Notice of Intent to Remove for Cause.

The respondent or his/her counsel will have the right to call and cross-examine witnesses and to present documents and other evidence disputing the charges in the Notice of Intent to Discipline or the Notice of Intent to Remove for Cause.

The complainant, or his/her counsel, and the respondent, or his/her counsel, will have the right to confront and cross-examine each other's witnesses.

The Chair of the Faculty Hearing Board may restrict redundant testimony in the interest of ensuring an efficient hearing process.

Any individual scheduled to appear as a witness, with the exception of the respondent and the complainant, will not be present in the hearing room except when testifying.

A written record of appearances and sworn testimony of the concerned parties and witnesses will be maintained.

The written record will include the Notice of Intent to Discipline or the Notice of Intent to Remove for Cause and if applicable the respondent's response to the charges and/or intended disciplinary action outlined in the Notice of Intent.

The hearing will be recorded verbatim by a court reporter and may be transcribed as requested. The recording and transcription will be provided at no cost to the respondent upon request.

The burden of establishing a preponderance of the evidence for the charges rests at all times with the complainant.

The following hearing agenda will apply:

• A reading, by the Chair of the Faculty Hearing Board, of the charges proffered by the complainant and the response to the charges by the respondent;
• Presentation of evidence by the complainant or his/her counsel supporting the charges;
• Presentation of evidence by the respondent or his/her counsel refuting the charges;
• Presentation of rebuttal evidence as may be appropriate;
• Summation or statement not to exceed 30 minutes by the respondent or his/her counsel; and
• Summation or statement not to exceed 30 minutes by the complainant or his/her counsel.

At the conclusion of the hearing, the Faculty Hearing Board will go into closed session to discuss the evidence presented at the hearing and to vote on whether there is a preponderance of the evidence for the charges proffered by the complainant. The Faculty Hearing Board may request the presence of the General Counsel at any time during the deliberations.

The Faculty Hearing Board will produce a written report of the board's "findings of fact" (evidence that the Faculty Hearing Board believes to be true) and "conclusions of law" (application of facts to the legal standard) based upon the record considered as a whole, and recommendations regarding disciplinary action within five (5) business days. The report will also include the vote count regarding the charges. Dissenting minority opinions shall be included in the report.

Copies of the Faculty Hearing Board’s report will be sent to the President, the Provost and Vice President for Academic Affairs, the Dean of the respondent's college, the complainant, and the respondent.

The respondent may elect to respond in writing to the Faculty Hearing Board’s decision and shall file such response with the President within five (5) business days of the Faculty Hearing Board’s decision. Copies shall be sent to the Provost and Vice President for Academic Affairs and to the complainant.

The President will review the Faculty Hearing Board’s report and, if any, the respondent's response, and will determine whether to:

• Dismiss the matter altogether, thereby terminating the disciplinary process; Refer the matter to the Dean of the respondent's college for issuance of an oral or written reprimand by the Dean, in which case the Dean's action will terminate the disciplinary process; or
• Proceed with a disciplinary action no greater than the intended disciplinary action outlined in the Notice of Intent. The President will issue a signed, written Final Determination of Disciplinary Action to be sent to the respondent. A copy shall be sent to the Provost, the Dean of the respondent’s college, and the Office of Human Resources.
• If the disciplinary action is Removal for Cause, the respondent’s separation from the University shall proceed as outlined in the written Final Determination of Disciplinary Action.

BOARD OF REGENTS APPROVAL OF FINAL DETERMINATION TO REMOVE TENURED FACULTY

After issuing a written Final Determination of Disciplinary Action directing the removal of a tenured faculty member, the President shall submit the determination to the Board of Regents for approval at the next regularly called meeting of the Board. The respondent shall have the opportunity to be heard in open session by the Board. To exercise this opportunity, the respondent must request the opportunity to be heard no later than five (5) business days after the issuance of the written Final Determination. If this deadline falls fewer than twelve (12) business days prior to a board meeting, then the matter will be moved to the next regular board meeting.

If the respondent requests to be heard by the Board, the Board will be provided with the preceding documentation that led to the removal determination in open session. The Respondent’s testimony may be given by the respondent or his or her legal counsel and shall last no more than 15 minutes. The President, or their designee, shall be permitted to provide testimony on the determination. The Board of Regents may choose to go into closed session to deliberate without the respondent or the respondent’s legal counsel. The Board will not vote on approval during closed session.

The Board may choose to approve or deny the written Final Determination. Upon approval of the determination, the disciplinary process will be considered closed, and termination will be considered official. If the Board chooses to deny the determination, the disciplinary process will be remanded to the President for a modified disciplinary sanction less than removal. During the time between the issuance of the President’s written Final Determination and approval of the determination by the Board of Regents, the respondent shall be considered terminated from the University and shall not work or receive pay or benefits. In the event that the Board denies the Final Determination, the respondent shall be reappointed as of the date of the Board’s decision. Reappointment in this context does not guarantee the respondent is reinstated in the same role as they previously held.

RESIGNATION

At any point in the disciplinary process, the respondent may submit his or her resignation, thereby terminating the disciplinary process.

EXTENSION OF TIME

Prior to the expiration of any time limit stated in this policy, an extension may be requested of and granted by the President.

EXCEPTIONAL CIRCUMSTANCES

If a situation arises during the disciplinary process that is not covered in this policy, then the Provost/Vice President for Academic Affairs or his/her designee and the Chair of the Faculty Rights and Responsibilities Committee or his/her designee will meet to discuss a mutually acceptable solution. If the situation arises during a hearing, then the chair of the board hearing the case will rule.

DEFINITIONS FOR POLICY

• Complainant: the person claiming to have experienced harm. In the event of a disciplinary process related to a faculty member’s unsuccessful completion of an Enhanced Performance Improvement Review period, the Provost shall serve as the University Complainant.
• Respondent: the person alleged to have committed misconduct or was unsuccessful in completing an EPIR period.
• Business Day: any day in which the University is considered open, regardless of whether classes are in session.