2. Objectives of the module:
Train academic affairs staff in:
• Legal issues that affect personnel and
administrators
• Institutional policies and procedures
• Common practices in higher education
institutions
• Rights and protections for faculty and students
3. Introduction to the topic
• Administrators must learn how to recognize and
anticipate legal risks. Janosik (2004) explains
that this can be done by “developing a sense for
scanning the broad legal environment and being
aware of legal issues in other parts of the
education enterprise” (p. 401).
• In academic affairs we have to recognize this
risks in order to act in accordance to the law,
and institutional policies and procedures.
4. Why do we need effective policies and
procedures?
• To take well informed decisions
• To inform faculty, staff and students about
their due process rights
• To avoid litigation
• To promote a healthy campus environment
• To assign responsibilities
• To act in accordance to law
5. Legal Issues in Academic Affairs are
mostly related to:
• Non renewal of faculty contracts
• Affirmative action
• Academic Freedom
• Sexual harassment
• Due process rights
• Non compliance with institutional procedures
• Disciplinary actions
6. Preferred practices
• Circulate extensively with the academic community
faculty, student and employee rights, as well as their
legal protections, and responsibilities.
• Disseminate grievance procedures as well as any
academic or administrative hearing process.
• Consult with the legal advisor any aspect that is not
considered on the norms and regulations of the
institution.
• Discuss the issue with your supervisor before taking
any drastic measure.
7. Policies
Institutional policies are used as guidelines for
administrators. In academic affairs we work
mostly with the following policies:
▫ Universities rules and regulations
▫ Faculty handbook
▫ Student handbook
▫ Human Resources Policy Manual
▫ Sexual harassment Policy
▫ Affirmative Action Policy
▫ Conflict of Interest Disclosure Policy
▫ Copyright Policy
8. Procedures
Bryant (n. d.) explains that “procedures are the steps
employees conduct in day-to-day operations to ensure
that what they do reflects and supports existing policies”
(par. 1). Some examples are:
▫ Grievance procedures for:
Sexual harassment
Administrative and academic hearings
Residence Life hearings
Discrimination claims
▫ Affirmative Action procedures (admissions and hiring)
▫ Selection of personnel
▫ Disciplinary actions
9. Designing effective policies and
procedures
Zweig (1991) presents that “in spite of all a well
designed company policy manual can do for
employees and the firm that published and
distribute it, it can also backfire” (p.252). Some of
these problems are related to:
▫ The lack of information resulting in inconsistent
decision making, management and confusion.
▫ Ambiguous statements resulting in multiple
interpretations of what policies and procedures
means.
10. (continuation)
▫ Poorly worded provisions about who is in charge of
company policies could draw in inconsistent treatment
to employees.
▫ “Lack of clear standards on how part-time and full-
time employees are treated in the areas of benefits,
vacation and sick leave accrual rates, and other
matters could increase liability”(Zweig, 1991, p. 253)
▫ Complex usage of words for describing the type of
contracts, e.g. “permanent” instead of “regular”, this
can be used for the employee to demonstrate a
property interests on the job in the case of non
renewal.
11. Rights and protections
• Constitutional rights
• Title VII of the Civil Rights Act of 1964, 42
U.S.C. § 2000e
• Age Discrimination in Employment Act of 1967
(ADEA)
• Fair Labor Standards Act (FLSA)
• Title IX of the Education Amendments of 1972
• Equal Pay Act
• Title 29 C.F.R. § 1604.11 on sexual harassment.
12. First Amendment
• “Congress shall make no law respecting an
establishment of religion, or prohibiting the free
exercise thereof; or abridging the freedom of
speech, or of the press; or the right of the people
peaceably to assemble, and to petition the
Government for a redress of grievance” (The
Constitution of the United States, Amendment 1).
13. Academic Freedom
“Academic Freedom describes a group of
rights claimed by teachers—the right to
study, to communicate ideas, and to
publish the results of reflection and
research without external restraints—in
short, to assert the truth as they perceive
it…. in the United States, in accordance
with the individualistic bent of its
constitutional law, the claim to academic
freedom is usually associated with an
individual teacher's freedom from
interference with the free play of
the intellect” (Fellman, 2007, par.1).
14. Fourteenth Amendment
• “All persons born or naturalized in the United
States, and subject to the jurisdiction thereof, are
citizens of the United States and of the State
wherein they reside. No State shall make or enforce
any law which shall abridge the privileges or
immunities of citizens of the United States; nor shall
any State deprive any person of life, liberty, or
property, without due process of law; nor deny to
any person within its jurisdiction the equal
protection of the laws” (The Constitution of the
United States, Amendment 14).
15. Elements of procedural Due Process
• Notice
• Legal Right to a Hearing
• Right to legal counsel
• Evidence
• Witnesses
Vergon-Gibbs, n. d.
16. References
Bryant, B. (n. d.). What are the benefits of policies and procedures?
Fellman, D. (2007). “Academic Freedom” , In Gale Encyclopedia of U.S. History:
Government and Politics. Detroit: Gale Group.
Janosik, S.M. (2004). Anticipating legal issues in higher education. Journal of
Student Affairs Research and Practice, 42(4), 401-414.
“The United States Constitution”. (1997). Retrieved from
(http://www.usconstitution.net/const.html#Am1
University of Missouri St. Louis. (2002). Faculty rights, legal protections,
obligations and discipline, In Faculty Handbook: University of Missouri- St.
Louis. Retrieved from
http://www.umsl.edu/services/academic/publications/handbook/chapter6.html
Vergon-Gibbs, A. (n. d.).Disciplinary sanctions and due process rights, In The
Encyclopedia of Law and Higher Education. Retrieved from:
http://lawhighereducation.com/43-disciplinary-sanctions-and-due-process-
rights.html
Zweig, M.C. (1991). Human resources management: the complete guidebook for
design firms. New York: John Wiley & Sons.
