Ganguli v. University of Minnesota

• Decision Date: 15 March 1994
• Docket Number: No. C6-93-1301,C6-93-1301
• Citation: 512 N.W.2d 918
• Parties: 89 Ed. Law Rep. 975 Aparna GANGULI, Relator, v. UNIVERSITY OF MINNESOTA, Respondent.
• Court: Minnesota Court of Appeals

Page 918

512 N.W.2d 918

89 Ed. Law Rep. 975

Aparna GANGULI, Relator, v. UNIVERSITY OF MINNESOTA, Respondent.

No. C6-93-1301.

Court of Appeals of Minnesota.

March 15, 1994.

Syllabus by the Court

1. The University Vice President/Provost must set forth in writing substantive reasons justifying a tenure decision that is contrary to the academic unit's recommendation.

2. The University may not grant summary judgment against a complainant who has been denied tenure if the complainant has raised a genuine issue of material fact.

3. The University must make factual findings supporting a decision to dismiss a tenure complaint. Failure to make findings of fact renders the decision arbitrary and capricious.

4. The University's Senate Judicial Committee violates procedural regularity where the Committee is consulted and announces its views on a tenure dispute and later sits as an appellate tribunal to decide that same dispute.

John H. Gilmore, St. Paul, for relator.

Mark R. Rotenberg, Gen. Counsel, Julie A. Sweitzer, Associate Gen. Counsel, University of Minnesota, Minneapolis, for respondent.

Considered and decided by DAVIES, P.J., and KALITOWSKI and FOLEY, JJ.

OPINION

DANIEL F. FOLEY, Judge ^*.

The University of Minnesota denied tenure to Aparna Ganguli and terminated her probationary appointment. Ganguli obtained a writ of certiorari, seeking review of the University's decision. On appeal, Ganguli claims that the University's actions violated her employment contract, were based upon improper procedures, and were arbitrary and capricious. We agree, and reverse and remand for a complete evidentiary hearing before the full University Senate Judiciary Committee. ¹

FACTS

The University of Minnesota hired Aparna Ganguli in 1985 as an instructor in the General College mathematics department. Ganguli completed her Ph.D. in 1986, and was promoted to a probationary tenure-track position as assistant professor. The University's regulations provide for a maximum tenure process of six years.

Professor David Giese, head of the Science, Business, and Mathematics (SBM) division of the General College, was originally charged with preparing Ganguli's case during the tenure review process. In 1991, five years into Ganguli's tenure process, the Dean of the General College removed Professor Giese from Ganguli's case because of a perception by SBM faculty that Giese's behavior towards Ganguli was negative and judgmental, compromising the integrity of Ganguli's tenure process. The Dean appointed Dr. Thomas Brothen, head of the Social and Behavioral Sciences division of the General College, to replace Professor Giese.

Throughout her six years as an assistant professor, Ganguli received generally positive annual reviews recommending continuation of her probationary appointment. In addition, in the sixth year, the University solicited more than 40 external reviews and received approximately 30 responses, most of which were favorable.

The SBM tenured faculty voted that Ganguli be awarded tenure and promoted to associate professor. The vote was 12 for and 2 against tenure, and 7 for and 2 against promotion.

Dr. Brothen submitted a draft analysis of Ganguli's file to the General College tenured faculty, who discussed Ganguli's case and voted that she be awarded tenure and promoted to associate professor. The vote was 22 for and 10 against tenure, with one abstention, and 18 for and 11 against promotion, with one abstention.

The Non-Health Sciences Promotion and Tenure Review Committee also voted in favor of tenure and promotion. The vote was 3 for and 1 against tenure and promotion, with one abstention. Dr. Brothen then formally transmitted Ganguli's file to the Dean of the General College, along with a letter of recommendation. The letter was, however, generally negative in tone, criticizing Ganguli's research and publication record. Dr. Brothen characterized Ganguli's case for tenure and promotion as "marginal." Ganguli was concerned that Dr. Brothen did not understand the significance of her work in mathematics. SBM faculty members had also expressed criticism of Dr. Brothen's initial analysis of Ganguli's file.

The Dean of the General College supported Ganguli's case for promotion and tenure, although he believed her case was "not the strongest * * * presented by the College." The Dean transmitted Ganguli's file to Ettore Infante, University Provost and Senior Vice President.

Provost Infante discussed Ganguli's file with the Dean of the General College. It was Infante's view that the no-votes and the abstention in the Non-Health Sciences Promotion and Tenure Review Committee reflected a view that Ganguli did not have a "compelling" case for tenure. The University's regulations, however, do not require a "compelling" case for tenure (the University's own regulations prohibit considering an abstention as a negative vote).

Anne Hopkins, Vice Provost, wrote to Provost Infante, recommending that Ganguli be awarded tenure and promoted to associate professor. Notwithstanding, in April 1992, Infante wrote a letter to Ganguli, terminating her appointment and denying tenure and promotion.

Ganguli filed a complaint with the University's Senate Judicial Committee, seeking review of Infante's decision. Infante responded to Ganguli's complaint. The Chair of the Judicial Committee appointed a three-member panel, including hearing officer David Born. For some reason, Born characterized Infante's response to Ganguli's complaint as a motion to dismiss. He initially denied the "motion," however, stating: "The panel felt that the argument put forth in support of the motion did not present a convincing case for dismissal."

Ganguli submitted a motion for summary judgment, and the panel considered the motion at a pre-hearing conference. Large portions of the hearing were apparently inaudible, and the transcript of the conference is therefore incomplete, but it is clear that the parties contemplated that further issues would be addressed at a future hearing on Ganguli's complaint.

Several issues were addressed during the hearing. The University's representative admitted that it was unusual that Dr. Brothen was from a different division than Ganguli. The University's representative also admitted that it was extremely unusual for more than 40 external review letters to have been requested for Ganguli's case; normally six to ten would have been sufficient.

Following the prehearing conference, the panel wrote a letter to Ganguli, dismissing her complaint. Without making any findings of fact, the panel concluded that Infante did not violate the tenure code.

The panel's decision notified Ganguli of her right to appeal to the full Judicial Committee, but cautioned that the Judicial Committee had already been consulted and supported the panel's decision to dismiss Ganguli's complaint.

Ganguli appealed to the full Judicial Committee, which rejected her appeal, voting unanimously to support the panel's "findings." Ganguli and Born submitted materials to University President Nils Hasselmo, who accepted the determination of the full Judicial Committee and its panel that Ganguli's case should be dismissed.

ISSUES

I. Did Provost Infante err by failing to make substantive findings explaining his reasons for denying tenure and promotion?

II. Did the panel err by ruling against Ganguli on her motion for summary judgment, dismissing her complaint, and failing to grant her a hearing?

III. Did the panel and the full Judicial Committee err by failing to make findings of fact?

IV. Did the panel err by consulting the full Judicial Committee before issuing a decision on Ganguli's complaint?

V. Did the University's failure to inform Ganguli of the truthful reasons for her termination violate the provisions of Minn.Stat. Sec. 181.933 (1992)?

ANALYSIS

Ganguli has appealed to this court by writ of certiorari pursuant to Minn.Stat. Secs. 606.01-.06 (1992). See Honn v. City of Coon Rapids, 313 N.W.2d 409, 414 (Minn.1981) (certiorari is appropriate to review judicial or quasi-judicial actions). The University's own procedures, requiring review of Ganguli's tenure complaint by the "Judicial" Committee, are quasi-judicial in nature. Cf. Harford v. University of Minnesota, 494 N.W.2d 903, 906 (Minn.App.1993) (University's grievance procedure was "arguably quasi-judicial in nature"), pet. for rev. denied (Minn. Mar. 30, 1993).

The supreme court has addressed the standard of review in such cases:

Review by certiorari is limited to an inspection of the record of the inferior tribunal in which the court

is necessarily confined to questions affecting the jurisdiction of the board, the regularity of its proceedings, and, as to [the] merits of the controversy, whether the order or determination in a particular case was arbitrary, oppressive, unreasonable, fraudulent, under an erroneous theory of law, or without any evidence to support it.

Dietz v. Dodge County, 487 N.W.2d 237, 239 (Minn.1992) (quoting State ex rel. Ging v. Board of Educ. of Duluth, 213 Minn. 550, 571, 7 N.W.2d 544, 556 (1942) (overruled on other grounds)). In reviewing this matter, we are also mindful of the fact that the University's Regulations Concerning Faculty Tenure are a part of its contract with Ganguli. Univ.Regs., Sec. 2.1.

I.

In his letter denying tenure to Ganguli, Provost Infante stated:

I was not convinced * * * that your scholarship achieved the threshold of quantity or quality that I find acceptable for the awarding of indefinite tenure. Nor was the teaching record so exemplary as to compensate for limitations in the record of scholarship.

The University's regulations provide:

The University may not act contrary to the recommendation of the academic unit which made the initial recommendation except for substantive reasons which must be stated in writing by the Vice President * * *.

Univ.Regs., Sec. 7.63 (emphasis added). The University's regulations do not define the term "substan...