Grievance Procedure For Faculty, Senior
Academic Administrative Officers Tier II (SAAO Tier-II), and EPA Professionals
POL 05.25.1
February 20, 2004 Archived Version (Effective February 20, 2004 through July 11, 2006)
Authority: Board of Trustees
History: First Issued: September 20, 1996; Last Revised: February 20,
2004. Additional History Information.
Related Policies:
UNC Code: Sections 603-605, Appendix I.C
BOG policy
100.3.5 and 101.3.2
Section 5 of
NCSU Policy 05.15.1 "Employees Exempt from the State Personnel Act (EPA)
Mediation
Procedures for Faculty and Staff
Additional References:
Role of University Counsel in the Grievance Process
Definition of Personal Malice (Section 100.3.5)
UNC Policy Manual, Chapter III-I-15
Conducting Faculty/EPA Grievance Hearings: A Guide for Grievance Committees and Grievance Committee Chairs
Contact Info: Vice Chancellor and General Counsel (919-515-3071)
1. Purpose
1.1
The purpose of this grievance procedure is to provide an internal
university process for the good faith resolution of employment grievances
filed by faculty, SAAO Tier-II, and EPA professionals (hereinafter referred
to as "covered employees" ). North Carolina Cooperative Extension
employees employed in county operations are excluded from this procedure and
are governed by North Carolina Cooperative Extension Grievance Procedures
for County Operations Employees.
1.2
Covered employees may also seek to resolve grievances in accordance with the
University Mediation Policy and Procedure. Mediation seeks to achieve a mutually
agreeable settlement of differences; it differs from the grievance procedure
in that it does not impose a decision on the parties.
1.3
A grievance committee has no power to reverse an administrative decision, but
can only recommend a reassessment of that decision if it finds that the decision
was reached improperly.
2. Definition of Grievance and Scope of Grievance Procedure
2.1 In the context of the grievance procedure a grievance is defined
as a formal complaint against an administrator alleging that a decision, which
has adversely affected an individual employee's professional or academic capacity, has been reached improperly or unfairly.
Improperly means in violation of a specific university rule, regulation, policy
or practice pertaining to the employment relationship between the grievant
and the university. Unfairly means in an arbitrary or capricious manner or
in an unlawfully discriminatory manner.
2.2 This grievance procedure
cannot be used for:
a. Dissatisfaction with the general application
of a university or college policy challenged on the grounds that the policy
itself is unfair or inadvisable;
b. Appeals from discharge or the
imposition of serious sanctions (suspension or demotion in rank) for faculty
with academic tenure;
C. Appeals from terminations for faculty
with academic tenure;
d. Complaints of harassment, since
there is a separate procedure for them
(administered by the Office
for Equal Opportunity);
e.
Non-renewal, non-reappointment, or non-extension of a contract upon expiration
of an existing contract for anyone other than tenure-track faculty, SAAO Tier
II employees, and EPA professional employees;
f.
Grievances that are within the jurisdiction of another standing faculty committee.
2.3 A grievance other than an
appeal of non-reappointment filed pursuant to Section 604 of The Code must
be dismissed if the grievant is no longer employed unless the chancellor,
in the chancellor's discretion, determines that it is in the best interest
of the institution to continue the grievance process.
2.4 Non-reappointment of Tenure-track
Faculty, and Non-reappointment or Discontinuation of SAAO Tier-II employees,
and EPA Professional Employees.
2.4.1 A tenure-track faculty member
who has been notified of a terminal appointment
or non-reappointment has the right to have the case reviewed by a grievance
committee only if, after discussions with the individual's department head and dean, the individual concludes that the decision not to
reappoint was based upon one of the following:
a. The employee's exercise of freedom-of-speech rights guaranteed by either
the First Amendment to the United States Constitution or Article I of the North
Carolina Constitution;
b. Discrimination on the basis
of race, color, religion, creed, sex, national origin, age, disability, and
veteran's status;
c. Personal malice as defined in
section 100.3.5 of the UNC Policy Manual (e.g., sexual orientation); or
d.
Material procedural irregularities,
meaning departures from prescribed procedures governing reappointment that
cast substantial doubt on the validity of the decision not to reappoint.
The function of a grievance committee in these cases shall be limited
solely to determining whether or not the non-reappointment decision was based
upon any of the above impermissible reasons. For purposes of this section,
section 9.4 and section 12, a denial of tenure, or a denial of promotion with
tenure constitutes a non-reappointment decision under Section 604 of the Code.
2.4.2 A SAAO Tier-II
employee and an EPA professional employee who has been notified of non-reappointment
or discontinuation has the right to have the case reviewed by a grievance
committee only if, after a discussion with the individual's supervisor, the individual concludes
that the discontinuation or non-reappointment was based upon one of the impermissible
grounds listed in section 5 of NCSU policy 05.15.1, "Employees Exempt from
the State Personnel Act (EPA)."
3. Filing a Grievance
3.1 A formal grievance may be filed
only after the covered employee (hereinafter grievant) has attempted to resolve
the grievance with his or her department head and dean without satisfactory
results. After the grievant has discussed the decision to no avail with his
or her department head and dean, the grievant should review all relevant material,
including his or her personnel files. If the grievant then wishes to file
a formal grievance, a written petition for redress (hereinafter "grievance
petition" or "petition") must be filed with the chair of the faculty.
A copy of the petition must be sent to all parties against whom the
grievance is filed, by certified mail or by another means that provides proof
of delivery. The petition must include the following:
a. The exact nature of the
grievance;
b. The identity of all parties
against whom the grievance is filed;
c. The redress sought; and
d. A statement that members of the grievance committee are designated as properly
authorized agents who may examine documents submitted by the parties from
the grievant's personnel files for the purpose of
resolving the grievance.
3.2
The petition must be filed within sixty calendar days of the decision cited
in the grievance. This filing deadline can be extended only if, in the judgment
of the chair of the faculty, there are significant extenuating circumstances.
In non-reappointment cases, the act of filing a grievance does not constitute
grounds for extension of the contract.
4. Selection and Initial
Convening of the Grievance Committee
4.1 Upon receipt of the written grievance
petition, the chair of the faculty shall within five business days inquire
as to whether the parties wish to engage in mediation. If the parties do not
agree within five business days to pursue mediation of the dispute, the chair
of the faculty shall within the next ten business days select a three-member
grievance committee and a grievance committee chair. (Procedures for selection
of the grievance committee and grievance committee chair are set forth in
Appendix A). If the parties agree to mediate the dispute, the chair of the
faculty shall refer the matter for mediation in accordance with the university's
mediation procedure. If the mediation does not resolve the dispute, the chair
of the faculty shall select the grievance committee and chair within ten business
days of notification that the mediation has not resolved the dispute.
4.3 At the initial meeting of the grievance
committee, the chair of the grievance committee with assistance of the chair
of the faculty shall provide the members of the committee with an orientation
covering the role and responsibilities of the committee and a review of the
grievance process. After the orientation, the chair of the committee shall
review the grievance petition and the committee shall determine whether the
matter as stated is properly grievable or if the grievance should be dismissed
for failure to state a properly grievable matter. Relevant considerations
include, but are not limited to, the personnel status of the employee and
the subject matter of the grievance (see sections 2.1 - 2.4, above), and the
timeliness of the grievance (see section 3.2 above). If the matter is properly
grievable, the committee chair shall promptly forward a copy of the
grievance petition to the person(s) against whom the grievance is filed (hereinafter
respondent or respondents) together with notice that a written response to
the grievance must be provided to the chair and to the grievant within ten
business days. If the matter is not properly grievable, the committee may either:
a.
Allow the grievant to amend the grievance
statement in the pre-hearing conference if this will enable the grievant to
prepare a properly grievable claim; or
b.
Proceed to section 9 below by preparing
a report that dismisses the grievance for reasons stated.
5. Pre-hearing Conference
5.1 The chair of the grievance
committee shall convene a pre-hearing conference with all the parties one
week after the committee and the grievant receive the response(s) to the grievance,
or as soon as practicable thereafter. Prior to convening the pre-hearing
conference the chair shall inquire of the grievant if the grievant
wishes to have an observer present at the grievance hearings, and if so, to
identify that person and state whether the observer is an attorney. After
hearing from the grievant, the chair shall notify the respondent(s) who may
have one observer per respondent attend the hearing if, and only if, the grievant
has elected to have an observer present. Should any of the respondents elect
to have an observer present, their observers must be identified to the committee
chair prior to the beginning of the hearing.
5.2 At the pre-hearing conference, the committee will review the written
response with the grievant and may request modification of the written grievance
statement if such revision would clarify the exact nature of the grievance.
The topics that may be discussed at the pre-hearing conference are the exact
nature of the grievance, the identity of all involved parties, the redress
sought, the hearings procedures, and the rights regarding third-party observers.
The chair shall prohibit the parties from providing evidence or arguing the
merits of the grievance at the pre-hearing conference. The chair shall ensure
that the parties are fully informed as to the nature of the grievance procedures
and the parties shall be provided with a copy of this grievance
procedure.
6. Attorneys and Observers
6.1 Although active participation
by legal counsel during the pre-hearing conference and the grievance hearing
is not allowed, the grievant is entitled to have one third-party observer
of the grievant's
choice present. A third-party observer may be an attorney; however, the attorney,
like other observers, may not participate actively in the hearing process.
6.2 The NCSU Office of Legal Affairs may provide
an attorney to advise and act as an observer for respondent(s) if the grievant
has an observer who is an attorney. The Office of Legal Affairs may also
designate an attorney to provide procedural advice to the committee upon request.
Any attorney who assists the committee may not discuss the merits of the case
with any party, observer, or other attorney and shall not act as an advocate
for or against any party when advising the committee on procedure.
6.3
Any attorney from the NCSU Office of Legal Affairs who advises a party on the
merits of the grievance may not advise the chancellor or board of trustees
on any appeal of that grievance. Any attorney from the NCSU Office of Legal
Affairs who advises the grievance committee on procedures may advise the chancellor
and/or board of trustees on any appeal of that grievance.
7. Grievance Hearings -
Timing and Information Exchange
7.1 Only if the committee chair
is aware of significant extenuating circumstances shall the opening date of
the hearings be delayed beyond four weeks from the pre-hearing conference.
The chair shall notify the grievant and respondent(s) in writing of the dates
and location of the hearings.
7.2 The committee chair may require
the parties to exchange witness lists and copies of exhibits the parties wish
to introduce as evidence, and the committee chair may specify that the exchange
occur a certain number of days in advance of the hearing. If a party wishes
to introduce exhibits at the hearing that were not included in a pre-hearing
exchange, the committee chair shall decide whether there is a good reason
for accepting such evidence. Any pre-hearing exchange of proposed exhibits
shall be between the parties only, and in no case should evidence be provided
to the committee prior to the hearing. Exhibits must be numbered sequentially
and identified by party; e.g., Grievant's Exhibit No. 1, Department Head Exhibit
No. 3, or Committee Exhibit No. 5. The exhibit numbers should be written
on the exhibits, and pages numbered, at the time they are first presented
to the committee. References to documents during the hearing should be by
exhibit number with page references as applicable.
8. Guidelines for the Conduct
of Grievance Hearings
8.1 Notices of Meetings
The chair of the grievance committee shall send notices
of the scheduled meetings to all participants in that meeting and to the Office
of Legal Affairs. The chair must notify all parties and the Office of Legal
Affairs of any amendment to the grievance.
8.2 Committee Participation
Hearings shall be conducted with the
chair and all three committee members present. If the committee is unable
to convene and hear the grievance in a timely manner or is not functioning
effectively, any committee member or party to the proceeding may ask the chair
of the faculty to disband the committee or replace members who are delaying
or otherwise obstructing the committee's progress. The chair of the faculty shall have the discretion to make any
changes to the committee, including replacement of the committee chair, that
are necessary to have it function effectively. The request to disband or
replace members of the committee and/or the committee chair and the decision
of the chair of the faculty must be in writing and be included in the Official
Record.
8.3 Control of Hearings
The chair of the grievance committee
shall exercise complete control over all stages of the hearings, and over
pre-hearing matters. Consistent with the principles of impartiality and equity,
the committee chair shall determine, among other things:
a. The order of testimony presentation;
b. Any additional information
or documentation that should be requested;
c. The order of and procedure
for questioning the parties and witnesses;
d. The admissibility of all
questions, evidence and compliance with procedures; and
e. Who may be allowed to attend
any hearing. With the exception of persons specifically designated as third-party
observers, grievance hearings are not open to spectators.
8.4 Relevance of
Evidence
The strict rules of legal evidence
do not apply. The chair of the committee may admit any information determined
to be pertinent and the committee shall have access to any available information
relevant to the case. If any hearsay evidence is to be admitted, however,
the source of that information must be revealed so that the person(s) can
be requested to appear before the committee for questioning. The committee
chair shall determine whether information or testimony is material and relevant
to the issues involved in the grievance and may rule that certain presentations
not be considered. All materials submitted as evidence, including any written
documents, photographs, audio recordings, and video-materials, shall be retained
by the committee until its final report is complete, at which time both the
evidence and material excluded from evidence shall be incorporated into the
Official Record and forwarded to the chancellor along with the final report.
If material is excluded from evidence, the chair shall make a record of the
reasons.
Parties shall have the right to testify,
to present testimony of witnesses and other evidence, to hear and question
witnesses, and to examine all documents and other information considered by
the committee. If a witness cannot or will not appear, and the committee
chair determines that testimony of the witness should be admitted into evidence,
the committee chair shall identify the witness, disclose the statement of
the witness, and if possible provide for questions.
So long as it does not substantially
delay the hearing process, the committee chair may, at his or her discretion,
call a recess so that reasonable time is provided for the examination of all
evidence and for the preparation of appropriate responses.
(a) In the standard order of presentation,
the grievant makes an opening statement, then the respondent(s) makes an opening
statement if desired. Next, the grievant presents his or her case through
the grievant's own testimony, exhibits, and witnesses. If the committee decides that the
grievant's evidence, is insufficient to support
a grievable matter justifying remedial action that would shift the
burden of presenting evidence to the respondent(s) , then the committee shall proceed
to dismiss the grievance. If the committee decides that the grievant's evidence is sufficient to state a
grievable matter justifying remedial action, then the committee chair will
ask the respondent(s) to present evidence through testimony of parties, exhibits,
and witnesses. Rebuttal testimony from grievant and surrebuttal testimony
from respondent(s) then may be permitted by the committee. If the entire
grievance is dismissed following grievant's case, a report shall be prepared
in accordance with section 9.3 and the report and record of the proceedings
forwarded to the Chancellor in accordance with 9.4. If the grievance is dismissed
only in part, the final report shall address all allegations, including those
dismissed after presentation of grievant's case.
(b) After all evidence has been presented,
the grievant may make a closing statement, followed by the respondent(s),
and a last statement by the grievant. The committee chair should set a time
limit for opening and closing statements, and should prohibit the discussion
of any new information in closing statements. The order of presentation may
be modified at the committee chair's discretion so long as each party
gets an opportunity to testify and ask questions of other parties and witnesses.
8.7 Questioning of
Witnesses
Following each party's
and witness's testimony, the committee chair should allow questions from the other parties.
The committee members may ask questions of the parties and witnesses at any
time. The committee chair shall have the prerogative to determine the appropriateness
of all questions and the method of questioning. The committee chair should
not allow any questioning that is irrelevant, immaterial, unduly repetitious,
or abusive.
8.8 Confidentiality
Members of the grievance committee,
parties and witnesses shall maintain strict confidence concerning all aspects
of the grievance process. This is generally required by state law as well
as university policy. Any breach of confidentiality, which in the judgment
of the committee compromises or substantially affects the process, may result
in a committee decision to terminate the grievance process. In this event,
the committee shall advise the chancellor and chair of the faculty as to whether
or not another grievance committee should be formed to hear the case. Access
to material placed in evidence and to any records of the proceedings shall
be strictly limited for the duration of the hearings procedure to members
of the committee, persons who have a need to know as part of the process (witnesses,
observers, etc.) and the parties.
8.9 Hearings Records
The chair of the committee shall tape
record, or arrange to record through a court reporter, all hearings and maintain
such other written records, as it considers appropriate. No other recordings
of the hearings will be allowed. At any stage prior to submission of the
Official Record to the Office of the Chancellor, any party shall be granted,
under supervision of the committee chair, access to the tapes and other committee
records. After the Official Record is delivered to the chancellor, access
shall be determined in accordance with state personnel records law. Once
the Official Record has been delivered to the Office of the Chancellor, or
a grievance terminated, committee members may destroy extra copies of documents
comprising the Official Record. Any other original or unique records pertaining
to the grievance, including personal notes of committee members, must be retained
in accordance with state public records law and sent to the Faculty Senate
office promptly.
8.10 Withdrawal of
Grievance
At any time prior to submission of
the committee's final report, the grievant shall have the right to withdraw the grievance
by submitting a written request to the committee chair. Receipt of this request
shall cancel the proceedings, and the Official Record of the hearing shall
consist only of the following:
a. Names of committee members and
its chair;
b. Date committee was formed;
c. Dates of pre-hearing conference
and any grievance hearings;
d. Date of withdrawal;
e. The withdrawal request; and
f. The grievance petition.
The committee chair shall promptly
transmit the Official Record and all other documents to the chair of the faculty,
who shall in turn discharge the committee.
Once the grievance hearings begin,
the grievant shall not have the right to amend the grievance without the unanimous
vote of the committee. If any amendment to the grievance is allowed, the
committee chair must promptly notify all parties of this action and defer
subsequent proceedings until the other parties have had the opportunity to
respond to this revision. A respondent shall have two weeks to respond to
any amended grievance.
8.12 Prompt Action
The committee shall attempt to complete
its task within six weeks after the first hearing, excluding the initial meeting
of the committee and the pre-hearing conference.
9. Deliberations and Report
of the Grievance Committee
9.1 Upon the conclusion of the grievance
hearing, the grievance committee shall deliberate and decide whether to sustain
all or any part of the grievance. The chair of the committee shall be present
during the committee's deliberations and may instruct the committee regarding its jurisdiction and
other grievance related matters. The chair may participate in the discussions
but may not vote or veto the decision of the committee.
9.2
The committee's decision must be based solely on material presented in the grievance.
The committee should be careful not to simply substitute its judgment for
that of the respondent(s) (e.g., the committee should not recommend that the
grievant get tenure or a raise simply because it deems that the grievant's professional record could have justified
a tenure appointment, or a greater pay raise). Rather, the committee should
decide if the decision being grieved was reached for improper or unfair reasons
(e.g., was it based on irrelevant factors such as age or race or political
views, or were personnel procedures violated to the prejudice of the grievant).
The burden is on the grievant to establish by a preponderance of the evidence
that the grievant has experienced an injury that would entitle the grievant
to relief and that such injury is remediable. Except in non-reappointment
cases, the committee may recommend a compromise solution not advanced by any
party.
9.3 The chair of the
grievance committee shall be responsible for ensuring that a written report
of the committee's findings and recommendations is prepared. The report should
state a separate finding for each particular issue of the grievance, make
findings that resolve the material issues of fact that have been disputed,
address any minority views and provide a recommendation for disposition of
the grievance. Prior to finalizing the report, the chair will provide
a copy of the report to members of the committee for review, comment, and
approval. Any member who does not concur in the report may submit
a separate minority report, which shall be appended to the committee's report.
9.4
The chair of the grievance committee shall transmit the committee's report and
the Official Record as follows:
9.4.1 For tenure track faculty grievances
appealing non-reappointment, the chair shall forward the grievance committee's
report and the Official Record of the grievance proceedings directly to the
chancellor. A copy of the report shall be provided also to the grievant,
the respondent(s), and the chair of the faculty.
9.4.2
For all other grievances, the following procedure applies:
(a) If the committee's recommended
decision determines that an adjustment in favor of the grievant is appropriate,
the chair of the committee shall send the report first to the grievant and
respondent(s). If the recommended adjustment, or a different adjustment satisfactory
to the grievant is not made by respondent(s) within 20 working days of receipt
of the report, the chair of the grievance committee shall forward the report
to the chancellor, together with the Official Record of the grievance. A
copy of the report shall also be forwarded to the chair of the faculty. If
a mutually agreed upon adjustment is made within 20 working days of receipt
of the report, the respondent(s) shall provide written notice to the chair
of the grievance committee with a copy to the grievant. Upon receipt of the
written notification from respondents, the chair shall notify the committee,
the chancellor, and the chair of the faculty that the grievance has been resolved
by mutual agreement of the parties and forward the Official Record of the
grievance to the chancellor. The chancellor shall thereupon officially discharge
in writing the grievance committee.
(b) If the
committee's recommended decision determines that no adjustment in favor of
the grievant is appropriate, the chair of the committee shall send the committee's
report, along with the Official Record of the grievance to the chancellor.
A copy of the report shall be sent to the parties and to the chair of the
faculty.
9.5 The committee
may write a separate report to the chair of the faculty and the chancellor
recommending any changes within the university that might prevent similar
grievances in the future, or any proposed improvements in the grievance procedure,
including additional circumstances under which it would be appropriate to
hear non-reappointment grievances.
10. Response of the Chancellor
to the Report of the Committee
Upon receipt of the committee's report, the chancellor may accept or reject
any or all findings and recommendations of the grievance committee, may remand
the matter to the committee for further consideration of the grievance, or
may seek clarifying information from the committee. In considering the committee's
report, the chancellor may, with proper respect for confidential matters,
share parts of the report with appropriate administrators (other than parties
or witnesses) for their advice. If the chancellor's
decision rejects any of the findings or recommendations of the committee,
the chancellor shall notify the committee members in writing, with copies
to the parties and to the chair of the faculty, giving his/her specific reasons
for not accepting the committee's
findings or recommendations. The chancellor shall provide the opportunity
for the committee and parties to respond to the chancellor's
decision. The chancellor shall notify the grievant of the final decision
by registered return-receipt mail. Copies of the decision shall be sent to
the respondent, the grievance committee and the chair of the faculty. Upon
receipt of the chancellor's final decision, the grievance committee will have
completed its work and shall be officially discharged in writing by the chancellor.
11. Official Record
11.1 The Official Record of a grievance
hearing shall consist of all correspondence pertaining to the grievance and
every item, piece of information, document and exhibit that was either submitted
to or given consideration by the committee, along with the tape or court reporter's transcript of the hearing. All documentation
relevant to the committee's procedural rulings, factual findings, recommendations, and any other aspects
of its final report should be included in the Official Record.
11.2 If the committee decided that
certain information offered by a party or witnesses should be excluded from
consideration, the decision to exclude should be recorded for the record and
the excluded information should be kept as part of the Official Record but
segregated from the information that was accepted as evidence.
11.3 The Official Record should
include a table of contents so that every document and record can be easily
identified and located. The Official Record should be forwarded to the chancellor
along with the committee's final report.
12. Appeals from the Decision
of the Chancellor
12.1
Appeal of non-reappointment decisions under Section 604 of the Code.
A tenure track faculty member who wishes to appeal the chancellor's decision
must file written notice of appeal with the Board of Governors, by submitting
such notice to the President, by certified mail, return receipt requested,
or by another means that provides proof of delivery, within ten calendar days
of receipt of the chancellor's decision. Appeals may be made to the Board
of Governors only on the following grounds: (a) the campus process or decision
had material procedural errors, (b) the campus process or decision was clearly
erroneous, or (c) the campus process or decision was contrary to controlling
law or policy.
12.2
Appeals in grievances filed pursuant to Section 607 of the Code.
If the grievance committee did not
find that an adjustment in favor of the grievant was appropriate, the decision
of the chancellor is final and may not be appealed. If neither the relevant
administrative respondent nor the chancellor makes an adjustment recommended
by the grievance committee in favor of the grievant, a grievant who wishes
to appeal the chancellor's decision must file a written notice of appeal with
the Board of Trustees, by submitting such notice to the chancellor, with adequate
notice of delivery, within ten calendar days after receipt of the chancellor's
decision. The decision of the Board of Trustees shall be final.
13. Grievance Report of the Chair of the Faculty Senate; Recommendations
for Improvements
The chair of the faculty shall make an annual report
to the faculty senate concerning the grievance process. This report shall
summarize, without disclosing specific details, the types of grievances considered,
findings by categories, and final administrative decisions. As necessary,
the chair of the faculty shall convene a meeting of the Faculty Senate Personnel
Policy Committee and the Faculty Grievance Panel for the purpose of considering
any revisions in the grievance procedure for faculty, SAAO Tier-II employees,
and EPA professional employees that could improve the grievance process.
Any proposed changes in the procedure must be approved by the faculty senate
and the chancellor.
APPENDIX A
Procedures for Selection of Grievance
Committees and Grievance Committee Chairs
1. Composition of Grievance Panel
1.1
A grievance panel from which grievance hearing committees are to be
selected shall be constituted as follows:
Each college annually elects a number of faculty to serve on the panel; the
number from each college is equal to at least one-half of the number of senators
from the college, rounded up when necessary, plus two. The chair of the faculty
may increase the size of the panel, on a proportional basis, if a large pool
of members is needed to meet the demand. Each college elects one panel member
from the combined ranks of tenured professor and tenured associate professor,
one from the rank of untenured associate professor, and one from the combined
ranks of assistant professor, instructor, lecturer and EPA professionals,
with the rank being that held at the time of the election. Those colleges
with more than three panel members elect the additional members without restriction
as to academic rank. These additional members will be those remaining on
the final ballot with the highest number of votes without regard to position
title. The same people eligible to vote in the faculty senate elections are
eligible to vote for members of the panel. Eligibility for membership on
that panel is the same as for serving on the faculty senate except that department
heads may not be elected to panels.
1.2
Members of the panel are elected by the faculty of each college for
two-year terms. They are available for immediate re-election once. After
having served for two terms, they become eligible again after the passage
of two more years. Elections are held annually and terms of members are staggered
whenever possible. The timing and procedures of elections coincide with those
of the Faculty Senate elections.
2. Selection of Grievance Committee Members
The Chair of the Faculty shall select a three-member grievance
committee as follows:
2.1 Selection of Prospective Members from
Grievance Panel
2.1.1. When the grievance does not
involve a decision to confer tenure or to promote to professor, the chair
of the faculty shall convene at least one of the elected officers of the Faculty
Senate for purposes of creating three lists of names, drawn at random and
recorded in the order drawn, as follows:
a. List 1 - Panel members from the grievant's college or from the general constituency if the grievant is a member of the
general constituency. When the grievant is not from the general consistency,
names of general constituency members are allocated at random to lists 2 and
3.
b. List 2 -Tenured
professors and tenured associate professors from other colleges; and
c. List 3 - Untenured
associate professors, assistant professors, instructors, lecturers, and EPA
professionals, from other colleges.
Prospective grievance committee
members shall consist of all persons in list 1 and the first five persons
in lists 2 and 3.
2.1.2
When the grievance pertains to a decision not to confer tenure,
the panel shall include only professors and tenured associate professors and
shall not include any faculty member who has participated in the tenure review
that is the subject of the grievance. When the grievance pertains to a decision
not to promote to the rank of professor, the panel shall include only professors
and shall not include any faculty member who has participated in the promotion
review that is the subject of the grievance. In each case, the chair of the
faculty shall convene at least one of the elected officers of the Faculty
Senate for purposes of creating two lists of names, drawn at random and recorded
in the order drawn, as follows:
(a) List 1 - applicable faculty
from the grievant's college;
(b) List 2 - applicable faculty
from other colleges.
2.2 Peremptory Challenges
and Challenges for Cause
The chair of the faculty
shall meet or consult separately with each party and allow each the opportunity
to remove, without cause, one prospective member from each of the three groups,
or in the case of grievances pertaining to tenure or promotion one member
from each of the two groups of applicable faculty members. The grievant shall
be afforded the last opportunity to challenge prospective members. At the
same time as the opportunity to remove without cause, each party may also
request in writing that prospective member(s) be removed for cause. The request
should specify the cause. The chair of the faculty shall make the decision
whether to disqualify for cause, and that decision along with the written
request will be made a part of the Official Record. The chair may also disqualify
a prospective member for cause, based on written reasons, without a request
from a party.
2.3 Self-Disqualifications
After the challenge process
is complete, the chair of the faculty shall contact the first remaining prospective
committee member on the relevant lists. The chair shall
inform that person of the names of the parties and the nature of the grievance
and ask if they have any reason to disqualify themselves. When persons disqualify,
the chair of the faculty shall contact additional persons in order from each
list until three members willing to serve are identified. In the case of
a grievance involving a promotion or tenure decision, the chair shall select
one member from the grievant's college and two members from other colleges.
In the event that all prospective members from any of the lists disqualify
themselves, the chair shall select an eligible person who is willing to serve
from the relevant group. The chair of the faculty shall allow each party
the opportunity to challenge for cause any person so selected, according to
the process in section 2.1.2. If the chair of the faculty has reason to disqualify
himself or herself from making this selection, the responsibility will be
assumed by the chair-elect or secretary of the faculty senate.
2. Selection and Training of Panel of Chairs for Grievance Committees
3.1 The faculty senate shall elect a panel of 5 individuals to serve
as the presiding officers (Chairs) for individual grievance committees formed
to hear grievances. Persons eligible for election to the panel of chairs
are selected first from among those who have served on a minimum of three
grievance committees and have received training in the grievance procedures.
If the number is short of five (5), then they are selected from among those
who have been trained in the grievance procedures. At least one member of
the panel of chairs must be an EPA professional. Each member of the panel
of chairs shall serve a five-year term. Initial appointments shall be staggered
so as to result in an annual appointment of one panel member each year after
the first panel is appointed.
3.2 The panel of chairs will receive an
annual orientation to the university's grievance process and will be required
to participate in periodic training sessions that will be developed by the
faculty senate and the university general counsel. Training will include
the role and responsibilities of grievance committee members and grievance
committee chairs, general rules regarding the conduct of grievance hearings,
responding to various procedural issues, dealing with conflicts of interest
and the duty to recuse when conflicts are present, effectively organizing
the evidentiary record and compiling the official grievance record, and in
the contents of the committee report and recommendations. The chair
of the faculty shall make sure that there is a sufficient supply of trainees,
including EPA professionals, to satisfy the requirements stated in section
3.1.
3. Selection of Grievance Committee Chair
The chair of the faculty shall select
from the panel of chairs a grievance committee chair to preside over the grievance.
The chair of the faculty shall provide each chair with the opportunity to
disclose any potential conflicts of interest that may preclude the chair from
presiding over the grievance and shall provide each party to the grievance
with the opportunity to challenge any potential chair for cause.
5. Notice to Provost and Vice
Chancellor and Office of Legal Affairs
Once a grievance
committee and chair of the grievance committee have been selected, the chair
of the faculty shall provide the provost and vice chancellor, and the Office
of Legal Affairs with a statement of the grievance and the grievance committee
membership.
