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Faculty Review/Grievance Panel Training

Faculty Review/Grievance Panel Training. NC State University Office of General Counsel Box 7008 ■ Raleigh ■ NC ■ 27695-7008 3 rd Floor – Holladay Hall (919) 515-3071. Training Overview/Agenda. The 604/607 Committee –why, what, who, etc. Review (604) versus Grievance (607) Panel

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Faculty Review/Grievance Panel Training

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  1. Faculty Review/Grievance Panel Training NC State UniversityOffice of General CounselBox 7008 ■ Raleigh ■ NC ■ 27695-70083rd Floor – Holladay Hall (919) 515-3071

  2. Training Overview/Agenda • The 604/607 Committee –why, what, who, etc. • Review (604) versus Grievance (607) Panel • Roles and responsibilities of panel members • What can be reviewed under section 604 • What can be grieved under section 607 • Overview of the hearing process • Miscellaneous issues

  3. The 604/607 Committee(aka Review/Grievance Committee) A University Standing Committee charged with: • Hearing requests for reviews of non-reappointment decisions (UNC Code Section 604) • Hearing other employment-related grievances (UNC Code Section 607) • Carrying out the duties set forth in the Faculty Grievance and Non-Reappointment Review Policy (POL 05.25.01) andFaculty Grievance and Non-Reappointment Review Regulation (REG 05.25.04) • 604/607 Committee Web Page

  4. Who is on the 604/607 Committee? • Each college elects two members from the General Faculty– at least one must be a tenured associate or full professor • The General Constituency also elects two faculty members to the 604/607 Committee • Two-year term; eligible for re-election to a subsequent term, however, must have at least a one year break if have served two consecutive terms

  5. The 604/607 Committee Chair • Chair of the 604/607 Committee appointed by the Chancellor to serve a two-year term • Chair puts together panels and selects panel chair • Schedules initial meeting of panel • Authority to remove panel member or dissolve panel • Prepares annual report re: reviews and grievances

  6. What is a Panel? • Review Panel – 604 reviews • Grievance Panel – 607 grievances • Panel = 3 members and 1 non-voting chair • Selected by the Chair of the 604/607 Committee when a petition for review or grievance is filed • Members must have attended/completed training as a pre-requisite to serving on a panel **Attorney from OGC appointed to advise the Panel

  7. Panel Chair Responsibilities • Be familiar with NC State POL 05.25.01 and NC State REG 05.25.04 • Oversee all meetings and proceedings • Be a “presider” not a “decider” • Ensure due process for all parties • Seek advice from OGC attorney assigned to the Committee on procedural matters or questions on legal standards • Write final report with findings/recommendations • Compile official record and transmit to Chancellor

  8. Panel Member Responsibilities • Be familiar with NC State POL 05.25.01 and NC State REG 05.25.04 • Be fair and impartial; no favoritism toward either party • Follow due process • Determine if matter is appropriate for review/grievable issue • Collect/hear the evidence; determine credibility; weight • Determine if petitioner/grievant met burden of proof • Make findings of fact/recommendations to Chancellor • Establish official record • Maintain confidentiality • Seek advice from Office of General Counsel representative on procedural issues or questions relating to legal standards

  9. What is the Panel’s authority? • The Panel makes a recommendation to the Chancellor concerning the review or grievance. The panel does not have the authority to reverse an administrative decision, but can recommend a reassessment of that decision if it finds that the decision was reached improperly.

  10. Fair and Impartial Hearing Panel • No actual or perceived bias of panel member(s) toward any party • No “ex parte” communications • No “going rogue” • Avoid/disclose conflicts of interest

  11. Conflicts of Interest • A relationship to a party or particular knowledge of the grievance that would prevent a panel member from deciding the case solely on the basis of the evidence presented at the hearing uninfluenced by matters of personal interest or other factors • If there is a conflict, disclose the conflict • Determine whether the panel member can make a fair, objective decision based solely on the facts, evidence and arguments made during the hearing? • If the panel member cannot objectively decide the case, he/she should disqualify him/herself • Provide the parties an opportunity to object to the panel member’s participation after disclosing the conflict

  12. Due Process • Opportunity for matter to be heard fairly and impartially • Opportunity for parties to present evidence and question witnesses • Panel makes recommendation to Chancellor based only on the evidence presented at the hearing

  13. What is a Section 604 Review? • Procedure by which a tenure track faculty member may seek review of a non-reappointment decision—that is either non-reappointment after initial appointment, or the denial of tenure • May only be filed by tenure-track faculty members

  14. Grounds for a Section 604 Review • Material procedural irregularity • Violation of rights guaranteed by the First Amendment to the US Constitution/Article I of NC Constitution (freedom of religion, speech and association) • Discrimination (race, color, sex-including pregnancy, religion, national origin, age (over 40), disability, genetic information, veteran’s status, or other discriminatory bases prohibited under UNC or BOT policies—i.e. sexual orientation) • Personal malice

  15. Who is the respondent in a Section 604 review? • The Provost is a respondent in all reviews of non-reappointment decisions • A dean/department head can be named as a co-respondent if he/she materially contributed to the violation of rights alleged in the petition • No one else can be named as a respondent unless all parties agree

  16. What is a Section 607 grievance? • Procedure by which a faculty member of any rank may seek redress concerning employment-related decisions • Grievance can be filed for post-tenure review decisions

  17. Grounds for a Section 607 (general) Grievance • Decision by a university administrator that allegedly violates a law, university policy, regulation or rule or commonly shared understandings within the academic community about the rights, privileges and responsibilities attending university employment • Faculty member must be adversely (negatively) affected in his/her professional or academic capacity

  18. Can a faculty member grieve any employment-related matter? No; a faculty member may not grieve the following: • general unhappiness with an administrative decision where there has not been a negative (adverse) effect on the faculty member’s academic or professional status • general dissatisfaction with the application of a PRR on the basis that it is unfair or inadvisable; • non-renewal/non-extension of contract upon expiration of contract (non-tenure track faculty); • complaints, grievances or appeals subject to another university procedure or within jurisdiction of another committee (i.e. research misconduct, trespass); • claims for compensatory/punitive damages that can be filed with the NC Industrial Commission (tort claim, workers’ compensation claim)

  19. Grounds for a Section 607 (Post-Tenure Review) Grievance • “Does Not Meet” Expectations Decision by PTR • Same as grounds for a Section 604 review -Materialprocedural irregularity that casts doubt on the decision - Violation of rights guaranteed by the First Amendment to the US Constitution/Article I of NC Constitution -Discrimination (see above)-Personal Malice • Grievance cannot be used to second guess the academic judgment of PTR Committee

  20. Pre-filing Requirements • Must meet with decision maker first to address the issue (attempt to resolve at lowest level) • Must be timely filed (within 60 calendar days of the decision forming the basis of the petition for review or grievance)

  21. Review/Grievance Procedures • Formation of Review Panel or Grievance Panel • Initial Meeting • Pre-hearing Meeting • Hearing • Closed Session • Record Compiled • Decision and Record sent to Chancellor

  22. Initial Meeting • Review NC State POL 05.25.01 and companion regulation, NC State REG 05.25.04 as well as any other resources (i.e., checklists) • Review petition (for 604 reviews) or grievance (for 607 grievances) and any request by the respondent to dismiss to determine whether the petition or grievance is appropriate for review (“jurisdiction”) • Set potential dates for pre-hearing meeting (if applicable)

  23. Pre-Hearing Meeting • Review hearing procedures with the parties and expectations for the hearing • Set aside date(s) for hearing • Identify any observers • Review proposed witness list • Set date for exchange of proposed exhibits • Other housekeeping matters

  24. Hearing • Chair – opening remarks • Opening statements by parties (may be a time limit) • Presentation of evidence by petitioner/grievant • Dismissal after presentation if burden not met • Presentation of evidence by respondent(s) • Closing Statements

  25. Closed Session • Chair facilitates discussion and guides but does not decide • Burden of Proof on Petitioner/Grievant(“preponderance of the evidence”) • Discussion of facts as they relate to each key issue • Resolution of conflicting evidence • Deciding the ultimate issue • Findings of Fact/Recommendation to Chancellor

  26. Panel Report • Introduction - describing the process followed by the Panel • Brief Description of the review/grievance and the parties to the review/grievance • Findings of Fact and Conclusions (basis for conclusions, how facts support conclusions, resolution of conflicting evidence) • Recommendations • Use report template • OGC attorney assigned to Panel should review

  27. Official Record • Important for all levels of review! • Petition or grievance statement and response • All correspondence sent by the Chair, the parties or committee members that pertains to the petition/grievance (includes e-mail) • All exhibits presented to the Panel by either party • Court reporter’s transcript • Panel’s written report

  28. Miscellaneous Issues • Confidentiality of Grievance Proceedings • Admissible evidence; hearsay evidence • Affidavits from absent witnesses; participation via “Skype” • Failure of a party to exchange documents or witness lists • Failure of a party to appear • Requests to amend the petition/grievance • Separate report to the Chancellor • Withdrawal of grievance or settlement – effect

  29. Questions? • Office of General Counsel 515-3071 • Contact Chair of 604/607 Committee

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