Process for Members of the College of Medicine to Resolve and/or Report Allegations of Faculty or Staff Misconduct
Policy Details
- Effective Date:
- January 4, 2017
- Supersedes:
- COM Administrative Policies Initially Adopted February 28, 2007; amended June 1, 2009; September 30, 2010; January 19, 2011; June 12, 2012; May 10, 2013; July 10, 2014; Code of Conduct and Reporting Policy Amended January 4, 2017.
- Responsible Authority:
- Associate Dean for Finance and Administration and Associate Dean for Faculty Affairs
Policy Statement
Any supervisory employee or other official with authority to institute corrective measures on behalf of the University who receives a report, observes, and/or learns of an alleged violation of Regulation 7.008 (Anti-Discrimination and Anti-Harassment) has an absolute and unqualified duty to immediately report the conduct to the Office of Civil Rights and Title IX (OCR9). Reports may be made in person, by telephone, or online at www.fau.edu/report/. Contact: Office of Civil Rights & Title IX (OCR9), Administration Building, 777 Glades Road, Room 265, Boca Raton, FL 33431-0991; (561) 297-3004; compliance@fau.edu; www.fau.edu/ocr9/
Allegations involving an unresolved dispute regarding the terms and conditions of employment should first be addressed through informal resolution between the faculty or staff member and his/her supervisor. If the issue cannot be satisfactorily resolved by informal resolution, the employee may file a grievance in accordance with Regulation 5.009 (Grievance Procedure). Job-related problems should be resolved, whenever possible, before the filing of a grievance. All grievances shall be filed with the Department of Human Resources on a Florida Atlantic University Request for Grievance form, within seven days following the act or omission, unless an extension is granted in writing by the Human Resources Director or designee for the purpose of facilitating informal resolution. (Suspension or termination begin at Step Two; see Regulation 5.009.)
- General grievances: www.fau.edu/hr/documents/grievance-form-general-grievances.pdf
- Suspensions/terminations (file at Step Two): www.fau.edu/hr/documents/grievance-form-suspension-termination.pdf
- HR forms index: www.fau.edu/hr/hr-forms/
Regulation 5.012 (Employee Standards and Disciplinary Procedures) provides the Standards of Conduct required for all employees. The recommended starting point for resolution of allegations involving an alleged breach of Standards of Conduct and the College of Medicine Code of Conduct for Faculty and Staff is informal one-on-one resolution between colleagues (faculty-to-faculty; faculty-to-staff; or staff-to-staff). First, carefully examine the circumstances of the incident which occurred. Discuss the event with someone else who witnessed it, or with another colleague or individual whose judgment you trust. Often, concerns can be resolved informally or through consultation.
Ideally, concerns should be addressed within the College and through informal one-on-one resolution. When the issue cannot be resolved informally, faculty and staff are advised to consult with the individuals below in sequential order. This order is recommended so as to preserve communication within units and/or departments and facilitate timely resolution. In cases where there are perceived conflicts of interest, however, there are mechanisms for assistance outside of the College to ensure faculty and staff are supported and advised appropriately. In all cases, faculty and staff retain the right to report concerns directly to the Vice Provost for Academic Affairs or Human Resources Employee Relations & Development Division, as applicable, if a matter is not promptly or satisfactorily addressed within the College. The Vice Provost for Academic Affairs serves as the ombudsperson for the College of Medicine faculty (who are not part of the United Faculty of Florida and not subject to the Collective Bargaining Agreement.
*Please note that there are separate processes for Faculty and Staff. Refer to the Process for Faculty to Resolve and/or Report Allegations of Faculty or Staff Misconduct Flowchart (Exhibit A) and the Process for Staff to Resolve and/or Report Allegations of Faculty or Staff Misconduct Flowchart (Exhibit B).
Exhibit A - Process for Faculty to Resolve and/or Report Allegations of Faculty or Staff Misconduct
Faculty reporting an alleged breach of Standards of Conduct by another faculty member (other than unlawful discrimination or harassment of a protected class)
- Consultation with the department chair of the faculty member (unless the concern involves a department chair, in which case the report may be made to the Associate Dean for Faculty Affairs or the Dean); then
- Consultation with the Associate Dean for Faculty Affairs; then
- Consultation with the Dean of the College of Medicine; if not promptly or satisfactorily resolved, then
- Consultation with the Vice Provost for Academic Affairs: The Vice Provost for Academic Affairs will liaise with the Dean, as appropriate, before taking action.
Faculty reporting an alleged breach of Standards of Conduct by a staff member (other than unlawful discrimination or harassment of a protected class):
- Consultation with the staff member’s immediate supervisor and higher level supervisor/faculty/or department chair; then
- Consultation with the Dean of the College of Medicine; if not promptly or satisfactorily resolved, then
- Consultation with Human Resources Employee Relations & Development Division.
Exhibit B - Process for Staff to Resolve and/or Report Allegations of Faculty or Staff Misconduct
Staff reporting an alleged breach of Standards of Conduct by a faculty member (other than unlawful discrimination or harassment of a protected class):
- Consultation with the department chair of the faculty member; then
- Consultation with the Dean of the College of Medicine; if not promptly or satisfactorily resolved, then
- Consultation with Human Resources Employee Relations & Development Division or the Vice Provost for Academic Affairs. (n.b. In some cases, the Dean may advise immediate consultation with Human Resources Employee Relations & Development Division or the Vice Provost for Academic Affairs.)
Staff reporting an alleged breach of Standards of Conduct by another staff member (other than unlawful discrimination or harassment of a protected class):
- Consultation with the staff member's immediate supervisor and higher-level supervisor/faculty/or department chair; then
- Consultation with the Dean of the College of Medicine; if not promptly or satisfactorily resolved, then
- Consultation with Human Resources Employee Relations & Development Division. (n.b. In some cases, the Dean may advise immediate consultation with Human Resources Employee Relations & Development Division.)