Williams College Employee Handbook

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Guidelines for a Formal Hearing in Cases of Alleged Improper Consideration

Guidelines for a Formal Hearing in Cases of Alleged Improper Consideration The guidelines described below apply only to cases in which a review committee (see Appointment Appeals) has arrived at a finding in favor of a faculty member's allegation of improper consideration. These guidelines are modeled on Regulation 10 and Regulations 5 and 6, "Recommended Institutional Regulations on Academic Freedom and Tenure," in the AAUP's Policy Documents and Reports, 2006 ed., p. 28.

In the following text the "parties" are: (1) the "petitioner," who is the faculty member alleging improper consideration, and (2) the President of the College, who represents the College in the formal hearing. The numbers following the hyphens in the parentheses heading each paragraph refer to the numbered corresponding paragraphs in Regulation 5, except where otherwise stated.

(1-2) The Hearing Committee may, with the consent of both parties, hold prehearing meetings, with the parties, jointly or singly, to: (a) simplify the issues, (b) obtain stipulations of facts, (c) provide for the exchange of documentary or other information, and (d) achieve any other appropriate prehearing objectives as will make the hearing fair, effective, and expeditious.

(2-3) The petitioner must present a written statement of specific charges at least twenty days prior to the hearing.

(3-4) The proceedings of the Hearing Committee will be held in private.

(4-5) During the proceedings both parties may be assisted by legal counsel of their choice. The faculty member will also be permitted to have a College advisor present, who may help with the preparation of the case, be present when the case is heard, and confer with the advisee during the hearing. The advisor, however, may not address the hearing committee or question witnesses.

(5-7) A verbatim record of the hearings will be taken and typewritten copies provided to both parties.

(6-Regulation 10) The burden of proof that improper consideration occurred rests with the petitioner and will be satisfied only by clear and convincing evidence in the record considered as a whole.

(7-9) The Hearing Committee will grant adjournments to enable either party to investigate evidence about which a valid claim of surprise is made.

(8-Regulation 10) Both parties will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. Both parties will cooperate with the Hearing Committee in securing witnesses and obtaining available documentary and other evidence.

(9-11) Both parties will have the right to confront and cross-examine all witnesses. Where the witnesses cannot or will not appear, but the Hearing Committee determines that the interests of justice require admission of their statements, the Hearing Committee will identify the witnesses, disclose their statements, and if possible provide for interrogatories.

(10-13) The Hearing Committee will not be bound by strict rules of legal evidence and may admit any evidence that is of probative value in deciding the issues. Every effort will be made to obtain the most reliable evidence available.

(11-14) The Hearing Committee's findings of fact and decision will be based solely on the hearing record.

(12-15) Public statements and publicity about the case by either party will be avoided as far as possible until the proceedings, including consideration by the Trustees, have been completed. The parties will be notified of the decision in writing and will be given a copy of the hearing record.

(13-none) If the Hearing Committee concludes that improper consideration has not been established by the evidence in the record, it will so report to the petitioner and the President. The decision of the Hearing Committee is final and no further appeal is possible within the governing structure of the College.

(14-16) If the Hearing Committee concludes that improper consideration has been established by the evidence in the record, it will so report to the petitioner and the President. If the President accepts the report, he or she will initiate reconsideration of the negative promotion decision, taking all appropriate steps to ensure that the reconsideration will be proper and adequate. If the President rejects the report, he or she will state in writing the reasons for so doing to the Hearing Committee and to the petitioner, and will provide an opportunity for their responses before transmitting the case to the Trustees.

(15-Regulation 6, "Action by the Governing Board") If the case is transmitted by the President to the Trustees, their review will be based on the hearing record. The Trustees will provide opportunity for oral or written argument by the parties or representatives of the parties. The report of the Hearing Committee will either be sustained or the case returned to the Hearing Committee with specific objections. The Hearing Committee will then reconsider, taking into account the stated objections and receiving new evidence, if necessary. The Trustees will make a final decision only after study of the Hearing Committee's reconsideration.

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