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Rule 1-021C: Abusive Conduct Reporting and Resolution Process for Faculty

Revision 1. Effective Date: March 8, 2022

  1. Purpose and Scope

    1. Purpose: To provide a reporting and resolution process that gives employees and University authorities the tools to resolve reports that a faculty member engaged in abusive conduct.

    2. Scope: This rule is applicable to all reports that a University faculty member engaged in abusive conduct.

  2. Definitions

    The definitions provided in Policy 1-021 apply for this rule.

  3. Rule

    1. Process:

      The process for filing and resolving a formal complaint is governed by the Code of Faculty Rights and Responsibilities (6-316) and the Functions and Procedures of the Senate Consolidated Hearing Committee (6-011). Please see the full policies for specifics.

    2. Initial Concern:

      As an initial step, affected persons may report their concerns to the relevant department chair/director and/or dean (unless either is the complainant or respondent). Please see the University directory to determine the appointment home of the faculty member.

      For questions or assistance, please reach out to the appropriate faculty office:

      For Academic Affairs: officeforfaculty@utah.edu

      For Health Sciences: officeforuofuhealthfaculty@hsc.utah.edu

    3. Formal Complaint (if not resolved above)

      After 30 days if initial concerns of abusive conduct have not been resolved, a formal complaint may be filed in the office of the Senior Vice President for Academic Affairs or the Senior Vice President for Health Sciences, depending on the department of the responding faculty member. If either Vice President is the complainant or the respondent, the other Vice President shall act under these rules. The cognizant Vice President or their designee shall provide the responding faculty member with a copy of the complaint.

      Complaint Form: https://regulations.utah.edu/academics/appendices_6/6-316.6.app.php 

      Once received, in consultation with the appropriate dean(s) and chair/director (unless either is the complainant or respondent), the cognizant vice president or designee shall determine whether additional efforts at initial resolution are appropriate and, if so, shall take whatever steps are useful to that end. These steps may include delegation of the process to another person, meetings with the complainant and respondent, or any other processes that the vice president or designee thinks will assist in reaching a resolution.

      If additional efforts at initial resolution are inappropriate or are not successful within 30 days of the filing of the formal complaint, the vice president shall forward the complaint, with a description of efforts at attaining a resolution, to the Consolidated Hearing Committee and notify the respondent, the complainant, and the cognizant department chair/director and dean of the same. From this point forward, the office of the vice president shall be a party to the proceedings.

      If a complaint is referred to the Consolidated Hearing Committee, please see Policy 6-011 for the full hearing process.

      [Note: Parts IV-VII of this Regulation (and all other University Regulations) are Regulations Resource Information – the contents of which are not approved by the Academic Senate or Board of Trustees, and are to be updated from time to time as determined appropriate by the cognizant Policy Officer and the Institutional Policy Committee, as per Policy 1-001 and Rule 1- 001.]

  4. Rules, Procedures, Guidelines, Forms and other Related Resources

    1. Rules.

      1. R1-021A: Abusive Conduct Reporting and Resolution Process for University Staff (non-UUHC), Academic Staff, Educational Trainees, Postdoctoral Fellows and Medical Housestaff.

      2. R1-021B: Abusive Conduct Reporting and Resolution Process for UUHC Staff.

    2. Procedures.
      [reserved]

    3. Guidelines.
      [reserved]

    4. Forms
      [reserved]

    5. Other related resource materials.
      [reserved]

  5. References

    Abusive Conduct Reporting Amendments (“ACRA”) is Utah Code Section 67-26-101 et seq., Utah Public Employees Healthy Workplace Act, as amended

    Utah System of Higher Education (formerly Utah Board of Regents) Rule R831

    School of Medicine Professional Conduct Policy for Faculty Professional Conduct of University of Utah Health Medical Providers Ethical Standards and Code of Conduct Handbook

    Policy 5-001: Personnel Definitions

    Policy 5-106: Equal Opportunity and Nondiscrimination in Employment

    Policy 5-111: Corrective Actions and Termination Policy for Staff

    Policy 5-205: Code of Conduct for Staff

    Policy 1-012: University Non-discrimination Policy

    Policy 6-309: Academic Staff, Educational Trainees, Postdoctoral Fellows and Medical Housestaff

    Policy 6-316: Code of Faculty Rights and Responsibilities

  6. Contacts

    The designated contact officials for this Regulation are:

    1. Policy Owners (primary contact person for questions and advice): Associate Vice President for Faculty-Academic Affairs and the Associate Vice President for Health Sciences.

    2. Policy Officers: Sr. Vice President for Academic Affairs and Sr. Vice President for Health Sciences

      See University Rule 1-001 for information about the roles and authority of policy owners and policy officers.

  7. History

    Renumbering [not applicable]

    Revision History:

    1. Current Version: Revision 1.

      Legislative History of Revision 1

    2. Earlier versions.

      1. Revision 0. Interim Policy 1-021, Revision 0, and the accompanying Interim Rules 1-021A, 1-021B, and 1-021C, were adopted on December 8, 2020, by University President Ruth Watkins, with designated effective date of January 1, 2021.
                   Legislative History Revision 0

Date: March 8, 2022
Last Updated: 3/9/22