11.1 Behavioral Complaints Against Faculty Members
The following sets forth the procedure to be followed upon Mines’ receipt of a report or complaint alleging inappropriate behavior on the part of a faculty member.
For the purposes of this Section 11, a “complaint” is a report made to the Human Resources Leader (HRL) alleging that a faculty member has engaged in inappropriate behavior that falls outside the scope of another university policy or another section in this Handbook. This is distinct from a “grievance” under Section 11.3, which is a formal objection filed by a faculty member in response to an employment action or decision (such as a disciplinary action imposed on the faculty member) that has a tangible adverse professional impact upon that faculty member.
The complaint resolution procedure in this section shall not be utilized to: (1) resolve grade appeals or similar complaints by students against faculty members; (2) resolve allegations of unlawful discrimination, sexual harassment, sexual assault, or interpersonal violence; (3) resolve complaints or appeals related to promotion and tenure decisions, research misconduct, or any other matters governed by other Mines policies and procedures; or (4) provide a duplicative remedy for a single complaint. Any report or complaint filed under this section must be filed within 30 days after the complainant becomes aware of the faculty conduct that is the subject of the complaint.
The HRL shall make the final determination regarding the most appropriate complaint procedure or appeal mechanism to be utilized for resolving the complaint, and whether it is timely filed under this Section 11.
11.1.1 Human Resources Review
A report or complaint alleging inappropriate faculty behavior shall be referred to the HRL to determine the most appropriate complaint procedure or appeal mechanism to be utilized for resolving the complaint. Upon review of the complaint, the HRL will determine if:
a) the complaint is timely filed.
b) the complaint does not properly fall within the scope of this Section 11.1 or it is not timely filed.
c) the complaint requires an investigation pursuant to Section 11.1.3.
d) Disciplinary Action should be taken pursuant to Section 11.2.
Upon review of the complaint, the HRL will inform the complainant in writing of any deficiencies or of the next steps in the process.
11.1.2 Referral to Supervisor and Informal Resolution
If it is determined that this Section 11.1 is the appropriate mechanism for addressing the complaint, the HRL shall refer it to the supervisor of the faculty member against whom the complaint was made. Within 30 days of receipt of the complaint, the supervisor shall review the matter and attempt to seek an informal resolution. The supervisor may partner with HR, as needed and appropriate, to resolve the matter. In the event that the supervisor is not able to resolve the matter, the complaint and all relevant records and information compiled by the supervisor shall be forwarded to the Dean or appropriate vice president.
If the Provost or a vice president is an accused party, the President shall perform the duties assigned to the vice president in this section. If the President is an accused party, the Chair of the Board of Trustees shall perform the duties assigned to the vice president in this section.
11.1.3 Complaint Investigation
If the faculty member’s supervisor is unable to resolve the matter, the Dean or appropriate vice president shall partner with Human Resources to assign or an investigator to conduct a further investigation of the matter. In conducting this investigation, the investigator shall review relevant documents and discuss the matter with all individuals directly involved in the matter. Additionally, the investigator may consult with any individual possessing expertise in the subject matter of the complaint or any member of the Mines community whose assistance is deemed by the investigator to be helpful to resolution of the complaint.
Under normal circumstances, it is expected that the investigation will be concluded within 30 days of the designation of an investigator.
At the conclusion of the investigation, the Dean shall review the investigatory file with the Provost, and the applicable vice president, and shall issue a written decision in the matter, including a statement of Disciplinary Action, if appropriate, and deliver copies of the formal decision to the affected parties. This decision will be issued to the affected parties within 15 days from the receipt of the investigator's report.