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=== Intended Use of Procedures ===
 
=== Intended Use of Procedures ===
  
These procedures are intended to be used for the review and attempted resolution of the following: ===
+
These procedures are intended to be used for the review and attempted resolution of the following:  
  
 
# Grievances alleging unlawful discrimination (e.g. race, religion, sex, age, disability, national origin and veteran status) when an adverse employment action is taken. The specific protected classes are covered in the University's non-discrimination statement.
 
# Grievances alleging unlawful discrimination (e.g. race, religion, sex, age, disability, national origin and veteran status) when an adverse employment action is taken. The specific protected classes are covered in the University's non-discrimination statement.

Revision as of 18:37, 15 September 2011

Policy 603.25

1 Introduction

The university is committed to fair and equitable treatment for all employees. This policy and procedures provide a means of grievance and/or appeal for those EPA professional employees (including, but not limited to, Senior Academic and Administrative Officers (SAAO), who are not subject to the faculty grievance procedures, to secure a good faith review and attempted resolution of decisions concerning dismissal, or other serious sanctions (disciplinary action that affects compensation), and/or matters specifically enumerated below.

2 Scope

2.1 Intended Use of Procedures

These procedures are intended to be used for the review and attempted resolution of the following:

  1. Grievances alleging unlawful discrimination (e.g. race, religion, sex, age, disability, national origin and veteran status) when an adverse employment action is taken. The specific protected classes are covered in the University's non-discrimination statement.
  2. Grievances alleging violations of the First Amendment of the U.S. Constitution in matters resulting in serious sanctions, except to the extent of limitations on political activity established by Article 5 of North Carolina General Statutes, Chapter 126, Article 5 ("Political Activities of Employees") and by the Board of Governors' policies regarding political activities as they may be revised from time to time.
  3. Grievances to review decisions concerning intent to discharge for cause (includes incompetence, unsatisfactory performance, neglect of duty or misconduct that interferes with the capacity of the employee to perform effectively the requirements of the job).
  4. Grievances regarding the interpretation and application of any provision of the university's employment policies for EPA non-faculty employees.
  5. Grievances to seek the removal of alleged inaccurate or misleading material contained in the employee's personnel file. An employee also has the right to place a statement in his or her personnel file relating to the material considered to be inaccurate or misleading, independent of the grievance process.
  6. Grievances alleging violations of North Carolina General Statutes, Chapter 126, Article 14 ("Protection for Reporting Improper Government Activities").

2.2 Discontinuation or Termination of Employment

Grievances concerning discontinuations or terminations of employment with notice, pursuant to The UNC Policy Manual, Section 300.2.1, subsections III.A., III.B., or III.C., may be brought only upon allegations of violations of applicable notice requirements or sections A.1 and A. 2 above.

2.3 Use of Procedures

The use of these procedures is protected. Covered individuals and any participants in these procedures are to be free from threats or acts of retaliation, interference, coercion, discrimination, or reprisal if they choose to use these procedures or if they participate as a witness, support person, panel member, etc.

2.4 These Procedures Cannot Be Used For:

  1. Dissatisfaction with a general application of university policy challenged on the ground that the policy itself is unfair.
  2. Faculty matters. Individuals employed in faculty positions have separate grievance procedures.
  3. The attempted resolution of a matter that is already being reviewed with another established administrative procedure (e.g. harassment complaints and research misconduct allegations).
  4. Review of or attempts at overturning a duly-made administrative decision (e.g. unit reorganization).
  5. Personal disputes between employees who are not in an employment supervisor/subordinate relationship within the University.

3 Definitions

3.1 Definition phrase or word

4 Policy and Procedure Statements

4.1 Alternative Dispute Resolution

The university encourages informal means of resolution prior to the use of these procedures. Employees and supervisors, as well as individuals in the administrative line such as department chairs, deans, etc., are encouraged to discuss matters fully and freely and attempt resolution of employment disputes subject to these policies and procedures. Such discussions are considered confidential. Further, the university encourages formal mediation, if desired by both parties to a dispute. Requests for mediation should be made in accordance with the University's policies and procedures on mediation ("Mediation Policy"). See http://www.resourcemanual.appstate.edu/humanresource/policy25.htm .

4.2 Procedures for Filing Grievances

  • An employee using these procedures shall file a grievance within ten (10) business days of the receipt of notice of the decision or other action that forms the basis of the grievance. Except as provided in the University's Mediation Policy, the use of an informal appeal as noted above or any other form of resolution does not automatically suspend this time limit. Within the ten (10) business days, the grievant may seek an informal resolution of the grievance. Notwithstanding the foregoing, the failure to file a timely grievance or request for mediation shall constitute a waiver of the employee's right to use these procedures.
  • To file a grievance under these procedures, an employee must provide a signed and dated written statement to the Director of Human Resources within the time limit stated above. This statement must include information concerning any informal attempts made to resolve the matter, the exact nature of the grievance, the identity of the party against whom the grievance is filed, and the desired outcome being sought by the employee.
  • Upon receipt of a timely grievance, the Director of Human Resource Services shall review the grievance statement to determine whether it alleges a grievable matter. If the matter is grievable, the director shall appoint a three person panel of peers to hear and review the matter. The director shall appoint a member of the panel as chairperson. Panel members must pledge to consider the grievance with fairness and impartiality. Panel members are authorized, as a body, to interview all parties deemed necessary in the review of the grievance. All proceedings of the panel are considered confidential. A grievance panel has no power to reverse an administrative decision; it can only recommend a reassessment of that decision on the basis of its evaluation of evidence presented at the hearing. If the grievance statement does not include a statement of permissible grounds as specified in Section II. above, the director shall inform the employee that the matter is not subject to these grievance procedures.
  • All reasonable attempts should be made by the panel to hear the grievance within thirty (30) calendar days. The hearing shall be taped or transcribed by the Director of Human Resource Services or that official's designee. The parties will be allowed to give opening statements, to testify, to provide witness(es) testimony, cross examine witnesses, present documentary evidence, and give closing statements. Strict rules of legal evidence do not apply. The panel may accept hearsay evidence. The panel chair has full control of the hearing and may state who is allowed to testify, and may avoid hearing redundant, irrelevant, and repetitive evidence. In all hearings other than those conducted to review decisions concerning discharge for cause, the grievant bears the burden of proving, by a preponderance of the evidence, the allegations stated in the petition for grievance. In a hearing conducted to review a decision to discharge the grievant for cause, the administrator(s) responsible for that decision shall bear the burden of proving, by a preponderance of the evidence, that good cause supported the decision to discharge.
  • The Director of Human Resource Services, or that official's designee, may be present to assist the hearing panel throughout the grievance process. No attorney is allowed to be present at the hearing. The grievant is allowed to have one third party observer present. If the grievant has an observer, the respondent may also have an observer present. The grievant must notify the Director of Human Resource Services within seven (7) business days prior to the hearing whether he or she intends to bring an observer. No observer may actively participate in the hearing.
  • Upon the conclusion of the grievance hearing, the panel shall deliberate and decide whether to sustain all or any part of the grievance. The panel shall only consider evidence (written and/or oral) presented at the hearing. A report of findings and any recommendations should be provided to the Director of Human Resource Services within thirty (30) calendar days from the conclusion of the hearing. In the event these target times cannot be met, the panel should report progress and the reason(s) for any delay to the director.
  • The Director of Human Resource Services is responsible for forwarding the hearing panel's report to the respective parties.
  • If the unit leader(s) agree(s) with the panel findings and recommendations, they will notify the Director of Human Resource Services as soon as possible. The director, in turn, will communicate with the respective parties and facilitate the implementation of the resolution, if any. At this point, the university has completed its obligation to the grievant.
  • If the unit leader(s) disagree(s) with the panel findings and recommendations, he or she (they) will notify the Director of Human Resource Services as soon as possible. The director, in turn, shall forward the complete grievance file, along with a transcript of the hearing, the documentary evidence, and the hearing panel's report to the chancellor for review. The chancellor may choose to adopt, amend, or dismiss the findings of fact and/or recommendations. The chancellor's decision will be the final university decision in the matter, and the university will have completed its obligation to the grievant. The chancellor's written decision should be made within sixty (60) calendar days of receiving the grievance file or as soon thereafter as may be practicable.
  • At the conclusion of the grievance, all materials reviewed by the panel in preparing the report and any related documents shall be transferred to Human Resources for retention.
  • The grievant has appeal rights in accordance with The Code of the Board of Governors, Section 609C (found in The UNC Policy Manual, Section 100.1), as amended from time to time.

Approved by the Board of Trustees of Appalachian State University June 2, 2006.

5 Additional References

The University of North Carolina Policy Manual, Sections 100.1, 300.1.1, 300.2.1

http://www.northcarolina.edu/content.php/legal/policymanual/contents.htm

N.C.G.S. § 126-25; Chapter 126, Article 5; and Chapter 126, Article 14

6 Authority

7 Contact Information

8 Effective Date

9 Revision Dates

Last modified 05/04/2009 03:23:58 PM by Matt McNaney