PPM 9-13, Rights in Formal Hearing
	Responsible Office: Academic Affairs

1.0    PURPOSE

This policy provides a general statement of the respondent’s and complainant’s rights during a formal hearing.

2.0    REFERENCES

2.1    PPM 9-11, Informal Procedures and Process
2.2    PPM 9-12, Formal Hearing

3.0    POLICY

3.1    Respondent’s Rights 

3.1.1    The respondent has a right to utilize the services of a representative at any and all stages of the proceedings. However, as indicated in PPM 9-11, if either the respondent or the complainant chooses to invoke the right to have a representative present in the informal conciliatory process, that step in the process may be omitted at the discretion of the responsible administrator and the parties will begin formal hearings, if a formal charge is filed.

3.1.2    The respondent has a right to review, with or without a representative present, pertinent information, materials or other evidence relied upon for purposes of disciplinary action as a result of any preliminary investigation conducted, in accordance with PPM 9-11.

3.1.3    The respondent may submit evidence or other material which addresses the complaint or formal charge.

3.1.4    The respondent may request that witnesses be heard at any time in the proceedings. The request will be granted if deemed appropriate or otherwise of value by the responsible administrator or the Faculty Board of Review.

3.1.5    During the formal hearing, the respondent will have the right to present evidence, and to call witnesses to testify on the respondent's behalf. The respondent will also have the right to question the complainant and witnesses or to submit questions to the Faculty Board of Review for its inquiry as decided upon in the pre-hearing conference (PPM 9-12, I, B), consistent with applicable law. The Faculty Board of Review may at any time limit both the nature and duration of such testimony or questioning when it is deemed inappropriate, irrelevant, repetitious or otherwise of little use in the proceedings.

3.1.6    The respondent may elect to remain silent.

3.1.7    The respondent shall have the right, with a representative, to attend meetings of the Faculty Board of Review during the formal hearing process (except those sessions which are closed for the purpose of deliberations and voting).

3.1.8    The respondent has the right of all faculty to examine any University records which are retrievable in the faculty member's name, with the exception of legally privileged documents or other documents classified as confidential, according to the laws of the State of Utah. All procedures outlined in PPM 9-15 apply.

3.1.9    The respondent may appeal, in writing, the recommendation of the Faculty Board of Review, to the President, within ten working days of the date of the recommendation.

3.2    The respondent has the right to expect the following:

3.2.1    The complainant shall bear the responsibility of showing, through a preponderance of evidence, that adequate cause exists to continue the hearings or to find cause against the respondent; such a preponderance of evidence shall be determined from the record when considered as a whole.

3.2.2    Adequate time, including adjournment during formal hearings, shall be granted to enable either party to investigate evidence to which a valid claim of surprise is made.

3.2.3    The decision will be based upon the evidence gathered and heard during the informal and formal procedures.

3.2.4    A record of each formal hearing session shall be kept and a copy (either typewritten or electronically recorded) provided to the respondent upon request as outlined in PPM 9-12. The least costly copy shall be provided without fee.

3.2.5    Reasonable efforts will be made to obtain the most trustworthy and reliable evidence available; however, the responsible administrator and the Faculty Board of Review shall not be bound by strict rules of legal evidence but may admit any evidence which is deemed useful in appropriately addressing the complaint or formal charge.

3.3    Complainant’s Rights

3.3.1    The complainant has a right to utilize the services of a representative at any and all stages of the proceedings. However, as indicated in PPM 9-12, if either the respondent or the complainant chooses to invoke the right to have a representative present in the informal conciliatory process, that step in the process may be omitted at the discretion of the responsible administrator and the parties will begin formal hearings if a formal charge is filed.

3.3.2    The complainant may submit evidence or other material which addresses the complaint or formal charge.

3.3.3    The complainant may request that witnesses be heard at any time in the proceedings. The request will be granted if deemed appropriate or otherwise of value by the responsible administrator or the Faculty Board of Review.

3.3.4    During the formal hearing, the complainant will have the right to present evidence and call witnesses to testify. The complainant will also have the right to question the respondent and witnesses or to submit questions to the Faculty Board of Review for its inquiry, as decided upon in the pre-hearing conference (PPM 9-12, in accordance with applicable law. The Faculty Board of Review may at any time limit both the nature and duration of such testimony or questioning when it is deemed inappropriate, irrelevant, repetitious or otherwise of little use in the proceedings.

3.3.5    The complainant may appeal, in writing, the dismissal of the formal charge or the recommendation of the Faculty Board of Review to the President, within ten working days of the date of the dismissal or recommendation.

3.4    The complainant has the right to expect the following:

3.4.1    Any complaint brought will be reviewed in accordance with the policies outlined herein.

3.4.2    Adequate time, including adjournment during formal hearings, shall be granted to enable either party to investigate evidence to which a valid claim of surprise is made.

3.4.3    The decision will be based upon the evidence gathered and heard during the informal and formal procedures.

3.4.4    A record of each formal hearing session shall be kept and a copy (either typewritten or electronically recorded) provided to the complainant upon request as outlined in PPM 9-12, Formal Hearing. The least costly copy shall be provided without fee.

3.5  Rights and Responsibilities of Others Involved in Complaint and Due Process Proceedings. 

No individual may be retaliated against because of their proper participation in procedures outlined in PPMs 9-11 or 9-12, including providing testimony or evidence. Retaliation includes an action that has a materially adverse effect on the academic or working environment of the person. No person may submit false, distorted, or misrepresented information in a complaint, response, or as evidence in a hearing. Publicity by anyone involved in the proceedings should be avoided. No confidential information may be disclosed outside the hearing process. 

Revision History
Creation Date: 12-1-87
Amended: 5-22-24