Date Passed Senate:________________________
Date of ESU President's
Approval:		_______________________

FSB 98017
GRIEVANCE POLICY

Date of 1st Reading:____6 April 1999_______

Date of 2nd Reading:_____21 September 1999_______

Senate Sponsor:Faculty Affairs Committee
William Simpson, Chair


Version of FSB 98017 passed by Faculty Senate on 20 April 1999

  1. Purpose: To clarify and amend Grievance Policy.

  2. Previous Senate Action: FSB 88009, Proposed Changes in the ESU Grievance Procedure

  3. Definition of Terms: As it is used herein, the term "class days" is defined to include all days that classes are conducted, excluding weekends, legal holidays, vacation periods, the period of final examinations, intersessions, and for the purposes of this document summer school.


GRIEVANCE POLICY

It shall be the policy of the Emporia State University to resolve all problems of the academic community with dispatch, fairness and justice. These procedures are to be interpreted in the faith that only through firm adherence to these principles can the educational mission of Emporia State University be fulfilled.

Resolution of problems within the campus community is preferable to their resolution elsewhere. Therefore, all parties to any grievance, including those unclassified, academic personnel who are chosen to attempt to resolve it, shall consider their participation as one requiring the highest priority, and shall exert their utmost efforts in good faith to secure internal resolution while adhering to the principles of this policy. The complaint must be filed within 12 months from the date on which the grievance occurred or the date on which it became known. Either the grievant or the responding parties may terminate the grievance process at any time. The grievant may do so by withdrawing the petition and the responding parties by reaching a satisfactory accord with the grievant.

It is understood that any time limits in this section are the maximum time allowed and that it is the intent to move the procedure along as fast as is reasonably possible.

It is not intended that a grievance shall fail or succeed upon a technicality. Therefore, all applications of any part of this policy shall be equitable and reasonable.

Section I: Parties

1. The grievance procedure shall be open to all unclassified academic personnel of the university, including all unclassified academic personnel working under the supervision of any agent of the university, whatever the nature or location of their activity. The rank or condition of employment of the faculty member shall not be held to prevent utilization of these procedures.
2. The grievance procedure shall be open to all unclassified administrative personnel of the university holding regular appointments, including all unclassified administrative personnel working under the supervision of any agent of the university, whatever the nature or location of their activity. The rank or condition of employment of the employee shall not be held to prevent utilization of these procedures.

Section II: Subject Matter

These grievance procedures shall be applicable to any perceived violation of the policies, procedures and administrative directives of the university as contained in whatever publication that is in force and effect. Charges or allegations arising from administrative action or for which administrative action could provide remedy are appropriate matters for grievance: academic freedom, reappointment, tenure, dismissal, promotion, salary, working conditions, discrimination, actions taken during an academic appeals process, decisions concerning conflict of time or interest, decisions concerning intellectual property rights, or any other matters related to employment and responsibilities of a faculty member. Early in the process the grievant should be ready to demonstrate that the claims are substantial and deserving of further consideration.

Section III: Selection of the Grievance Policy Panels

1. Identification of Personnel Eligible for Selection to Grievance Policy Panels

At the request of the Chair of the Faculty Affairs Committee the Office of the President of the university shall construct two lists of unclassified personnel who are eligible for selection to Grievance Policy Panels. One list will be comprised of all unclassified academic personnel. The list will identify the tenure status of each individual. The other list will be comprised of unclassified administrative personnel holding regular appointments. Each list will be organized alphabetically and each entry will be assigned a number sequentially beginning with the number one. The finished lists will be transmitted to the Chair of the Faculty Affairs Committee for use in selection of the Ombudspersons and the Grievance Committee Panels.

2. Ombudspersons Panel

Near the end of each Spring semester, the Chair of the Faculty Affairs Committee of the Faculty Senate shall draw five (5) names at random from the names of all tenured full-time unclassified academic personnel. Those tenured full-time unclassified academic personnel whose names are drawn shall be offered the opportunity to serve as Ombudspersons for the next academic year. Should any of the five individuals decline, such additional names as are needed shall be drawn and the process continued until the Chair of the Faculty Affairs Committee has five Ombudspersons.

3. Grievance Committee Panel

Near the end of each Spring semester, the Chair of the Faculty Affairs Committee of the Faculty Senate shall draw fifteen (15) names by lot from the total (tenured and untenured) full-time unclassified academic personnel of the university. The Chair of the Faculty Affairs Committee shall inform the 15 individuals of their selection and unless they cannot serve, due to exceptional circumstances, they shall constitute the Grievance Committee Panel for unclassified academic personnel. Should any of the 15 individuals be unable to serve, they will be replaced in the same manner in which they were chosen. Near the end of each Spring semester, the Chair of the Faculty Affairs Committee of the Faculty Senate shall draw fifteen (15) names by lot from the total full-time unclassified administrative personnel of the university holding regular appointments. The Chair of the Faculty Affairs Committee shall inform the 15 individuals of their selection and unless they cannot serve, due to exceptional circumstances, they shall constitute the Grievance Committee Panel for unclassified administrative personnel. Should any of the 15 individuals be unable to serve, they will be replaced in the same manner in which they were chosen.

Section IV: Conciliation by Means of the Ombudsperson

To reduce the burden any disruption places on upon the university community, all parties to a grievance shall put forth the maximum effort to reach an agreement resolving the problem producing the grievance. To assist them in this endeavor shall be the duty of the Ombudsperson.

The grievant will contact the Chairs of Faculty Affairs who will provide the grievant with the names of current Ombudspersons. The grievant may select to work with an individual or committee of up to 3 members. The grievant may seek assistance from the Chair of Faculty Affairs in selecting and contacting their Ombudsperson. During the consultation period the grievant may choose to replace any or all of the chosen Ombudspersons.

The Ombudsperson/Committee will meet with both the grievant and the responding parties. Upon the completion of the consultations, the Ombudsperson/Committee shall report the success or failure of efforts to reach conciliation to the Chair of Faculty Affairs and to all parties. Upon reaching an accord to the satisfaction of both parties, the process will be terminated. In the event of failure, the Ombudsperson/Committee will concurrently report his/her best judgment as to the validity of the complaint to all parties. These reports shall be sent registered mail.

Section V: Grievance Petition (Submission of a Formal Petition)

If the grievant decides to proceed with a formal petition, it must be submitted to the Chair of the Faculty Affairs Committee within twenty (20) class days of the receipt of the reports. The formal petition shall include: a description of the nature of the complaint, a statement of the alleged improper action, and an explanation of the desired redress. Upon receipt of this petition the Chair of the Faculty Affairs Committee shall within 1 class day send a copy of the petition to the responding parties. Upon receipt of the petition the responding parties shall have five (5) class days to answer in writing to the Chair of the Faculty Affairs Committee. The written response shall include specification of those issues which are affirmed and those which are denied. A copy of the response shall be sent to the grievant. The grievant will then indicate in writing to the Chair of Faculty Affairs, his/her reaction to the responses. If these exchanges provide resolution for the grievant, then the process may end at this point. If not, the grievant will communicate within twenty (20) class days in writing to the Chair of Faculty Affairs her/his intention to continue the grievance process.

In all grievance cases brought by individuals holding appointment as unclassified academic personnel, the Grievance Committee shall be selected from the Grievance Committee Panel for unclassified academic personnel. \smallskip\par\noindent In all grievance cases brought by individuals holding regular appointment as unclassified administrative personnel, the grievant shall have the choice to have the Grievance Committee be selected either from the Grievance Committee Panel for unclassified administrative personnel or from the Grievance Committee Panel for unclassified academic personnel. The grievant must communicate in writing her/his preference at the same time that she/he communicates her/his intention to continue the grievance process.

Section VI: Assembling a Grievance Committee

Within twenty (20) class days, the Chair of the Faculty Affairs Committee shall call each of the fifteen members of the Grievance Committee Panel and each of the fifteen shall be informed of the names of the parties to the grievance and asked if there is any reason for him/her to disqualify himself/herself. Should any individuals disqualify themselves, their names shall be removed from the Grievance Committee Panel for that grievance only. Should any individuals be members of the grievant's division they shall be removed from the Grievance Committee Panel for that grievance only. When the members of the Grievance Committee Panel who believe themselves qualified to serve have been selected by the above procedure, their names shall be presented at a meeting held for the purpose of selecting a Grievance Committee. At this meeting will be: the grievant, the responding parties, the Chair of Faculty Affairs, and the members of the Faculty Affairs Committee.

Each party to the grievance is presented with the entire list of members of the Grievance Committee Panel. Following the order of names on the list, names are presented individually to the grievant and the responding parties for consideration. Each party alternately may strike members of the Grievance Committee Panel for cause. Each party may also strike no more than two members of the Grievance Committee Panel without cause. Challenges for cause shall be made by the parties with the cause stated, and judged by the Faculty Affairs Committee which shall record the reasons for its acceptance or denial of the challenge. This process shall continue until five members are selected to constitute the Grievance Committee. Unless truly unusual circumstances exist, the five members of the Grievance Committee must be chosen from the names submitted under the above procedure.

In those rare instances where five Grievance Committee members cannot be selected from the fifteen-member Grievance Committee Panel the Chair of the Faculty Affairs Committee shall draw by lot from the total full-time unclassified personnel of the University five more names. The method of selecting the five names and their ultimate presentation to the parties to the grievance shall be the same as outlined in paragraph Section VI.1 and paragraph Section VI.2.

Any member of the Grievance Committee Panel who is unable to serve and/or who is not chosen to serve under the above procedure shall remain a member of the Grievance Committee Panel for the remainder of his/her term. Anyone who is selected to serve as one of the five members of a Grievance Committee shall have his/her name removed from the Grievance Committee Panel list and shall be replaced on the panel in the same manner in which he/she was selected. The Chair of Faculty Affairs shall notify members of the Grievance Committee of their selection and arrange for the first meeting of the Grievance Committee.

Section VII: Grievance Committee - Pre-Hearing Actions

When the Grievance Committee has been accepted by both parties through the procedure of challenges above, the Chair of the Faculty Affairs Committee will make arrangements to proceed with the hearing.

1. The Chair of Faculty Affairs Committee convenes the first meeting of the Grievance Committee.

2. The first action of the Grievance Committee will be to elect a chair from among its members. Preferably, the chair would be selected from the tenured members of the committee. The chair shall send and receive all communications on behalf of the committee, and shall preside at the hearing. He/she shall take no action without the concurrence of three of the five members. The chair may be counted as one of the three members.

3. As soon as the Chair of the Grievance Committee has been selected, the Chair of the Faculty Affairs Committee shall file with the Chair of the Grievance Committee two copies of the petition containing the issues composing the grievance and two copies of the answer containing the response.

4. Within five (5) class days after the election of a chair, the Chair of the Grievance Committee shall inform both parties to the grievance that the committee is ready to proceed.

5. Within five (5) class days of the notification that a chair has been selected, each party shall submit to the Chair of the Grievance Committee all evidence in his/her possession in regard to the issues, the name of the person designated to speak for him/her, and a list of the names of the witnesses in support of his/her position. Within five (5) class days of the notification that a chair has been selected, the Chair of the Faculty Affairs Committee and the Ombudsperson or the Chair of the Ombudsperson Committee shall also turn over any and all information they have, concerning this grievance, to the Chair of the Grievance Committee.

6. Both parties shall have the right to submit to the Chair of the Grievance Committee a request for documentary evidence from the other party, and the chair shall exert his/her best efforts to obtain such evidence. Each submission shall be accompanied by a duplicate copy to be retained by the Chair of the Grievance Committee. Any party from whom documentary evidence is sought under this paragraph and for good cause shown, may request that the chair make any ruling which justice requires to protect a party from undue burden and harassment. This section shall not be used in bad faith to restrict the full exchange of information.

7. The Grievance Committee shall meet within no more than ten (10) class days after the submission of the last of the documentary evidence requested and supplied to decide the nature of the grievance, to exclude the issues resolved by the submissions, and to frame the request for arguments on the disputed points remaining for the grievance hearing.

8. The Grievance Committee is to include in its deliberations the refusal or claimed inability to supply any evidence requested. \item When the Grievance Committee has considered the petition and response, and the documentary evidence received, it shall inform both parties of the issues it has excluded, its conception of the issues remaining to be resolved, and the arguments and evidence it wishes to hear. The Grievance Committee shall allow the parties five (5) class days to respond to its decisions.

9. When the Grievance Committee has received the responses of the parties, it will consider the responses, then inform the parties of the issues which remain unresolved, and, therefore, on which it wishes to hear argument and testimony.

10. The Grievance Committee may decide the issues on the submissions to date.

11. At the same time that the Grievance Committee informs both parties of its decisions on the issues, it shall propose tentative dates for the hearing which shall be held on the earliest dates mutually agreeable.

Section VIII: The Grievance Hearing

The purpose of the hearing shall be to resolve all disputed issues with dispatch, in fairness of both parties, and to bring about a just determination of the grievance. The burden of proving any contention shall rest with the party making the contention, unless the evidence is in the exclusive control of the other party. The Grievance Committee shall have the authority, and the duty, to elicit any information necessary to just resolution of the issues through questions to any party on any evidence. All proceedings of the Grievance Committee shall be confidential including the identity of parties and specific elements of the grievance.

1. The arrangements necessary for the hearing shall be made by the Chair of the Grievance Committee.

a. A room or rooms shall be obtained at the location most suitable to a determination of the grievance.
b. A tape recording shall be made of all testimony and argument offered in the hearing by any means that will insure a complete and accurate record of the proceedings.

2. The hearing shall begin with a presentation of the complaints and supporting evidence by the grievant unless the committee has shown by its decisions on the submissions to it that the grievant has moved the burden of proof to the responding parties by his/her evidence. The burden on the grievant to begin the offering of argument and evidence shall not be deemed to relieve the responding parties of their burden to demonstrate the validity of any action they may have taken to the detriment of the grievant.

3. Upon the completion of testimony and the submission of evidence, each party shall be entitled to make a closing summary statement. Neither statement may contain evidence not presented at the hearing. The grievant shall close the hearing with his/her statement.

4. Following the completion of the hearing, the Grievance Committee shall write a report evaluating the major contentions of the parties, its evaluation of the evidence on those contentions, and a recommendation of the issues in dispute. Within ten (10) class days of the completion of the hearing the Chair of the Grievance Committee shall submit the report to the University President. Each party to the grievance shall be given a copy of the report.

5. Parties to the grievance shall have ten (10) class days after receipt of Grievance Committee's recommendations to file with the University President their comments regarding those recommendations.

6. The University President shall inform all parties to the grievance and the Grievance Committee of his/her decision within twenty (20) class days of receipt of the report from the Grievance Committee. It is expected that the University President will give significant consideration to the recommendations of the grievance committee. The grievant will have full access to the information bearing upon his/her case.

7. At the conclusion of the grievance procedure, the Chair of the Grievance Committee shall deposit the evidence, the tapes of the testimony, its recommendations, and the University President's decision in the personnel file of the grievant.

Section IX: Miscellaneous Provisions

1. In computing any period of time prescribed in this grievance procedure, the day of the act from which the designated period of time begins to run shall not be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday or legal holiday, in which event the period runs until the end of the next day which is not a Saturday, Sunday or legal holiday.

2. When by this grievance procedure an act is required or allowed to be done at or within a specified time, the Chair of the Grievance Committee, for cause shown, may at any time in his/her discretion, if a request is made before the expiration of the period originally prescribed, order the period enlarged to a further specified time, but the chair may not extend the times under paragraph Section VII.4 and Section VII.7.

3. Suspension of a faculty member during a grievance proceeding is justified only if, in the judgment of the University President, immediate harm to the faculty member or others is threatened by continuance of service. Such relief from duty shall be without prejudice and without loss of compensation, pending final disposition of the case.

Provide comments about this bill to your Division's Senator or to President Marvin Kuehn at kuehnmar@emporia.edu.
Last updated on 17 September 1999.
Provide comments about format to Dwight Moore at mooredwi@emporia.edu.
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