Applicability
This policy applies to full-time faculty at the rank of Instructor and higher. Due process relating to disciplinary actions for Associates will be ensured through the House Staff Affairs Committee of the Medical Board, and due process for Research and Teaching Assistants will be overseen by Human Resources.
Purposes and Principles
In the best interests of Icahn School of Medicine, its students, faculty, and those it serves, it may sometimes be necessary to impose disciplinary action on a faculty member.
When disciplinary action is imposed, the faculty member shall have the right to a hearing. It shall be the responsibility of the hearing body to review and consider carefully all evidence properly presented to it and to render its findings in a fair and expeditious manner. The following provisions apply to all members of the faculty of the Icahn School of Medicine.
Definitions
For ease of reference, the term "Department Chair" as used herein shall mean a Department Chair, Institute Director, or equivalent and the term "Department" shall be understood to mean a Department, Institute, or equivalent. The term "Dean" as used herein shall mean the Dean of the School of Medicine or the Dean for Academic and Scientific Affairs.
Grounds for Disciplinary Action
Grounds for disciplinary action against a faculty member during the faculty member's term of appointment include, but are not limited to:
- Neglect of professional duties
- Violation of professional or ethical obligations
- Fraud or misconduct in research or professional activities
- Other grave misconduct
- Conviction of a criminal act
- Violation of campus rules and regulations
Who May Initiate Summary Suspension or Other Disciplinary Action
A Department Chair may initiate disciplinary action by recommending to the Dean suspension, dismissal, or other serious disciplinary action as may be appropriate against any faculty member in his or her Department during the term of the faculty member's appointment.
The Dean may initiate disciplinary action where:
- the charged faculty member is a Department Chair
- the faculty member has an appointment in a Department where there is no designated Department Chair
- the Department Chair fails to act in good faith to investigate allegations made against a faculty member after a direct request to do so by the Dean.
- in extraordinary circumstances, where the Dean has determined that the disciplinary process may be compromised by the participation of the Department Chair, or
- where disciplinary action has been deemed to be appropriate after an investigation conducted under the Policies and Procedures on Ethical Practices in Research.
Notice
- The Dean shall send the faculty member written notice of disciplinary action.
- The Dean shall send the faculty member written notice of summary suspension.
- Written notice shall include a written statement of the reasons for such action. The notice will also advise the faculty member of his/her right to a hearing by the Disciplinary Tribunal. The written notice shall be sent to the faculty member by certified mail, return receipt requested.
Right to Hearing
Any faculty member who has received notice of disciplinary action is entitled to a hearing under the procedures herein set forth. Where the faculty member has been summarily suspended, the summary suspension shall remain in effect until a final determination is made.
Request for Hearing
A faculty member who wishes to request a hearing must do so in writing to the President of the Faculty Council. This request must be sent by certified mail, postmarked no later than five business days following the faculty member's receipt of a notice of summary suspension or other disciplinary action. If no such request is made, the Dean shall impose disciplinary action and the Dean's action shall be final.
Where the President of the Faculty Council has received a timely written request for a hearing, the President of the Faculty Council shall forward a copy of such written request to the Dean.
Composition of the Disciplinary Tribunal
The composition of the Tribunal, appointment to the Tribunal and charge to the Tribunal is detailed in Chapter II in the section on Committees of the Faculty Council.
Hearing
The President of the Faculty Council shall direct the Disciplinary Tribunal to hold a hearing no sooner than ten business days and no later than twenty business days from the date the written request for a hearing is received. The Chair of the Disciplinary Tribunal may grant an extension of time for cause upon request of the faculty member or the party representing the evidence.
The Disciplinary Tribunal is authorized to conduct a hearing and at that hearing to examine all charges and allegations, hear testimony, question witnesses, and inspect records and reports. The rules of evidence shall not apply at the hearing. The Disciplinary Tribunal shall make such additional rules, as it deems necessary to assure prompt, fair and expeditious handling of the matter. All testimony at the hearing shall be under oath and a transcript of the hearing shall be made.
The faculty member shall be entitled to be present at the hearing, to present relevant evidence and witnesses on his or her behalf and to question witnesses appearing in support of the adverse action. The hearing shall be a peer review process. The faculty member and the party presenting the charges may be accompanied by an attorney or other person of choice, but the role of such advisor shall be limited to providing advice and counsel to their client and shall not include the presentation of evidence or examination or cross examination of witnesses.
The right to a hearing may be forfeited if the faculty member fails without good cause to appear. Requests for postponement without good cause as determined solely by the Disciplinary Tribunal shall constitute forfeiture.
If the faculty member has been the subject of disciplinary action under the By-Laws of the Medical Staff of a Mount Sinai Health System hospital (the "Medical Staff By-Laws") and the grounds for such disciplinary action were substantially the same as those set forth in the written notice described above, the faculty member will nonetheless be entitled to request a hearing before the Disciplinary Tribunal. The hearing before the Disciplinary Tribunal shall be limited to determining whether the facts found by the hearing body under the Medical Staff By-Laws are sufficient to sustain disciplinary action by the School of Medicine against the faculty member.
Decision of the Disciplinary Tribunal
Within fifteen business days of the conclusion of the hearing the Disciplinary Tribunal shall issue a written decision setting forth its findings of fact as to whether there was sufficient evidence to find that they disciplinary action was not arbitrary and capricious.
Appeal to Board of Trustees
- The faculty member may appeal the decision of the Disciplinary Tribunal to the Board of Trustees. A request for an appeal must be sent in writing to the Chair of the Board of Trustees by certified mail, return receipt requested, no later than five business days after receipt of the decision. Such request shall set forth the basis for the appeal and include a copy of the transcript of the proceedings.
- The Chair of the Board of Trustees shall refer the appeal to an appeals board comprised of no fewer than three members of the Board of Trustees.
- The appeals board shall convene to consider the matter of the appeal no later than fifteen business days from the date the written request for appellate review is received.
- The appeal shall be limited to the record of the proceedings before the Disciplinary Tribunal and the scope of review shall be limited to determining whether there is a reasonable basis on which to support the findings and conclusions of the Disciplinary Tribunal. The appeals board may at its discretion ask one or more members of the Disciplinary Tribunal to appear before it to advise as to the basis for its decision and to answer any questions. The appeals board shall at any time make such additional rules as it deems necessary to assure prompt, fare and expeditious handling of the appeal.
- Within fifteen business days after the conclusion of the appellate review, the appeals board shall send written notice of its decision to the faculty member, the Dean, and the Department Chair. The decision of the body hearing the appeal shall be final.