Haviland v. Simmons

• Decision Date: 06 July 2012
• Docket Number: No. 2010–231–Appeal.,2010–231–Appeal.
• Citation: 281 Ed. Law Rep. 626,45 A.3d 1246
• Parties: Beverly HAVILAND v. Ruth J. SIMMONS in her capacity as President of Brown University et al.
• Court: Rhode Island Supreme Court

45 A.3d 1246

281 Ed. Law Rep. 626

Beverly HAVILAND

v.Ruth J. SIMMONS in her capacity as President of Brown University et al.

No. 2010–231–Appeal.

Supreme Court of Rhode Island.

July 6, 2012.

Thomas M. Dickinson, Esq., Woonsocket, for Plaintiff.

John A. MacFadyen, Esq., Providence, for Defendant.

Present: SUTTELL, C.J., GOLDBERG, FLAHERTY, ROBINSON, and INDEGLIA, JJ.

OPINION

Justice GOLDBERG, for the Court.

This case came before the Supreme Court on February 8, 2012, on appeal by the defendant, Brown University (defendant, Brown, or the University), from a Superior Court judgment in favor of the plaintiff, Beverly Haviland (plaintiff or Haviland), in her action for declaratory relief. The defendant contends that there exists no justiciable issue in this case because the plaintiff could not demonstrate an injury in fact, as she does not face any actual or imminent loss of employment. The defendant also asserts that the trial justice erred in determining the existence of an implied-in-fact contract between the plaintiff and Brown because insufficient evidence was presented to establish an enforceable promise of de facto tenure. The defendant further contends that no tenure-like standard of review applies to the plaintiff because only the Brown Corporation was vested with the authority to grant tenure and none of the University administrators who communicated with Haviland were vested with actual or apparent authority to provide the plaintiff with de facto tenure. For the reasons set forth herein, we affirm the judgment of the Superior Court.

Facts and Travel

Aristotle once said that love is composed of a single soul inhabiting two bodies, and herein lies a significant problem for recruitment and contractual relations in the venerable halls of academia. Many colleges and universities are confronted with what can be characterized as the “two-body problem”—a situation where two academics both seek employment in a certain geographical area so that they may live together. Such a situation creates a predicament where an institution that is seeking to recruit one spouse must fashion a second, concomitant position for the accompanying academic spouse. Although the recruitment of dual-career couples is increasingly prevalent in higher education, few universities have implemented formal policies or regulations to govern the recruitment and hiring process—often resulting in unique arrangements, unclear promises, unforeseen changes, and uncertainty for the professors and the recruiting university.¹ We are faced with such a confusing situation in the case before us.

In the spring of 2000, plaintiff's husband, Paul Armstrong (Armstrong), was nominated for the position of Dean of the College at Brown.² After submitting his application and undergoing the interview process, Armstrong was offered the position of dean. There were several conditions that Armstrong attached to his acceptance, however, including that he “would not be able to accept the position of Dean of the College at Brown unless an appropriate position could be found for [his] spouse.” At the time, Armstrong was serving as Dean of the Faculty of Arts and Sciences and as an English professor at the State University of New York at Stony Brook (SUNY–Stony Brook) in Long Island. The plaintiff was a tenured associate professor of comparative studies at SUNY–Stony Brook. She previously had served as a tenured associate professor at Vassar College, where she had been for ten years. Discussions began between Brown's Provost, Katherine Spoehr (Provost Spoehr), and Armstrong as to which academic departments would be suitable for Haviland and what could be done to find a position for her.

In September 2000, Armstrong learned in a phone call from Provost Spoehr “that it was not going to be possible to craft a tenured position for [Haviland].” Armstrong responded that if tenure were not an option for his wife, he would be unable to accept the position with the University. At trial, Armstrong testified that Provost Spoehr responded to this comment by saying, “don't rush, don't be hasty, let's see whether we can work something out.” Armstrong also testified that he and Haviland next received a telephone call from Brown's Interim President, Sheila Blumstein (President Blumstein), who similarly stated, “don't be hasty, let's try to think outside the box.” President Blumstein asked the couple to think about what it would take for them to come to Brown. According to Armstrong, Haviland expressed to President Blumstein that her primary concern, should the family change jobs, was employment security because, at the time, the couple had an eighteen-month-old son. The couple listed the following requirements as necessary criteria for them to come to Brown: (1) that Haviland receive faculty benefits equivalent to those of the regular faculty; (2) recognition of the fact that Haviland had earned the rank of an associate professor and had published various books and articles; and (3) employment security equivalent to tenure. They wanted to ensure that she would receive the same assurances of employment that tenured faculty receive. After these conversations with President Blumstein,Provost Spoehr informed the couple that “they were going to try to work some things out” and that “this would take some time, that things did not move quickly [at Brown], that [they] should be patient, but [they] should not walk away, [they] should not think that things were over if [they] haven't heard.”

Thereafter, a series of communications from Brown's administration to Armstrong and plaintiff, concerning plaintiff's possible employment with the University, ensued. The first was a fax transmission, dated October 16, 2000, sent from the Office of the Provost, that included a cover letter, a pre-hire letter, and a draft “ancillary letter outlining the process and standards for renewal of [Haviland]'s contract.” The pre-hire letter stated that Haviland's position would be as a “Visiting Associate Professor/Senior Lecturer in the Department of Comparative Literature and American Civilization.” The letter also set forth that the position was not a tenure-track appointment, but that plaintiff would receive a renewable contract with a five-year term, and that requirements for reappointment, as outlined in the Promotion Guidelines, were attached to the letter. The draft ancillary letter contained the following language:

“Your appointment shall be renewed for additional five year terms unless the University presents to you in writing adequate cause for non-renewal of your appointment and after you have been afforded the rights of due process as prescribed in Section 10.I.A of The Faculty Rules and Regulations. Adequate cause for non-renewal of your contract shall be understood to be substantially equivalent to adequate cause for dismissal of a tenured faculty member from the University, which is defined by The Faculty Rules and Regulations as the following: demonstrated incompetence, dishonesty in teaching or research, substantial and manifest neglect of duty, or personal conduct which substantially impairs fulfillment of institutional responsibility.”

Armstrong testified that this communication satisfied two of plaintiff's requirements because the Senior Lecturer position provided regular medical, retirement, and sabbatical benefits, and the Visiting Associate Professor position recognized Haviland's standing and rank in the profession. The couple understood the draft ancillary letter as satisfying the third requirement of job security because, although “this is not a tenure-track appointment,” it “provided the security of employment equivalent to tenure by stipulating what the criteria for nonrenewal would be, that [Haviland] would only be dismissed, her contract would not be renewed if the language [regarding nonrenewal for cause] were followed.” Armstrong stated that he and Haviland agreed that these two documents together satisfied their requirements for an employment agreement.³

On October 18, 2000, plaintiff and Armstrong received another fax from the Provost's office and another draft letter for plaintiff, setting forth nearly identical provisions as the October 16 ancillary draft letter, but with the addition of website addresses for the Faculty Rules and Regulations and for the Handbook for Academic Administration.⁴ A final letter stipulating Armstrong's salary and position also was attached. They next received a letter by mail, dated October 18, 2000, that was signed by Dean Mary Fennell (Dean Fennell) and included all the provisions of the October 18 faxed draft letter, but the word “draft” was removed. After reviewing the mailed version of the October 18 letter, Armstrong called Provost Spoehr to accept the offer. Armstrong announced to his department at SUNY–Stony Brook that he would be resigning his position as Dean of Arts and Sciences and that he and Haviland both had accepted positions at Brown. The couple also took steps to put their house on the market, and they contacted a real estate agent and arranged to begin looking at homes in Rhode Island.

While in Providence, searching for suitable housing, Armstrong and Haviland received a letter from Dean Fennell, dated November 6, 2000.⁵ This letter contained new language that caused them concern. In it, Dean Fennell indicated that plaintiff's reappointment would be reviewed according to the standard practices of reviewing a senior lecturer, including provisions for annual reviews of non-tenured faculty, and she stated that “[y]our appointment shall be governed by the regulations pertaining to non-tenured faculty appointments.” Armstrong and Haviland were unnerved by the statement from Dean Fennell that “[t]his supersedes my letter to you of October 18, 2000.” Armstrong testified that he “understood that to mean that Brown was reneging on the promise that had been crucial for me to accept its offer.” Armstrong called Dean Fennell to...