NC State University Office of General Counsel Box 7008 ■ Raleigh ■ NC ■ 27695-7008 3 rd Floor – Holladay Hall (919) 515-3071 Faculty Review/Grievance Panel.

Slide 1

NC State UniversityOffice of General CounselBox 7008 Raleigh NC 27695-70083rd Floor Holladay Hall(919) 515-3071

Faculty Review/Grievance Panel TrainingTraining Overview/AgendaThe 604/607 Committee why, what, who, etc.Review (604) versus Grievance (607) PanelRoles and responsibilities of panel membersWhat can be reviewed under section 604What can be grieved under section 607Overview of the hearing processMiscellaneous issues

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

3Who 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 professorThe General Constituency also elects two faculty members to the 604/607 CommitteeTwo-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

4The 604/607 Committee ChairChair of the 604/607 Committee appointed by the Chancellor to serve a two-year termChair puts together panels and selects panel chairSchedules initial meeting of panelAuthority to remove panel member or dissolve panelPrepares annual report re: reviews and grievancesWhat is a Panel? Review Panel 604 reviewsGrievance Panel 607 grievancesPanel = 3 members and 1 non-voting chairSelected by the Chair of the 604/607 Committee when a petition for review or grievance is filedMembers must have attended/completed training as a pre-requisite to serving on a panel**Attorney from OGC appointed to advise the Panel6Panel Chair ResponsibilitiesBe familiar with NC State POL 05.25.01 and NC State REG 05.25.04Oversee all meetings and proceedingsBe a presider not a deciderEnsure due process for all partiesSeek advice from OGC attorney assigned to the Committee on procedural matters or questions on legal standards Write final report with findings/recommendationsCompile official record and transmit to Chancellor

Panel Member Responsibilities

Be familiar with NC State POL 05.25.01 and NC State REG 05.25.04Be fair and impartial; no favoritism toward either partyFollow due processDetermine if matter is appropriate for review/grievable issueCollect/hear the evidence; determine credibility; weight Determine if petitioner/grievant met burden of proofMake findings of fact/recommendations to ChancellorEstablish official recordMaintain confidentiality Seek advice from Office of General Counsel representative on procedural issues or questions relating to legal standards8What is the Panels 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.

9Fair and Impartial Hearing Panel No actual or perceived bias of panel member(s) toward any partyNo ex parte communicationsNo going rogueAvoid/disclose conflicts of interest

Ex parte communication occurs when the Chair of the Review/Grievance Committee or a member of the committee participates in a conversation with only one of the parties. These types of communications are prohibited. All communications about the petition/grievance, both written and verbal, must include both of the parties.

10Conflicts of InterestA 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 factorsIf there is a conflict, disclose the conflictDetermine 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/herselfProvide the parties an opportunity to object to the panel members participation after disclosing the conflict

11Due ProcessOpportunity for matter to be heard fairly and impartiallyOpportunity for parties to present evidence and question witnessesPanel makes recommendation to Chancellor based only on the evidence presented at the hearing

12What is a Section 604 Review?Procedure by which a tenure track faculty member may seek review of a non-reappointment decisionthat is either non-reappointment after initial appointment, or the denial of tenureMay only be filed by tenure-track faculty membersGrounds for a Section 604 ReviewMaterial procedural irregularityViolation 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, veterans status, or other discriminatory bases prohibited under UNC or BOT policiesi.e. sexual orientation)Personal malice

14Who is the respondent in a Section 604 review?The Provost is a respondent in all reviews of non-reappointment decisionsA dean/department head can be named as a co-respondent if he/she materially contributed to the violation of rights alleged in the petitionNo one else can be named as a respondent unless all parties agree15What should the petition include?Statement that faculty member (petitioner) met with his/her dept. head and dean in an effort to resolve the matter and the meeting was not successful.2) The grounds for the petition. (See Slide #6)3) The name of the person who was responsible for the alleged improper decision (respondent).

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

Grounds for a Section 607 (general) GrievanceDecision 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 employmentFaculty member must be adversely (negatively) affected in his/her professional or academic capacityCan 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 members academic or professional statusgeneral 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)18Grounds for a Section 607 (Post-Tenure Review) GrievanceDoes Not Meet Expectations Decision by PTRSame as grounds for a Section 604 review-Material procedural 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

19Pre-filing RequirementsMust 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)Review/Grievance ProceduresFormation of Review Panel or Grievance PanelInitial MeetingPre-hearing MeetingHearingClosed SessionRecord CompiledDecision and Record sent to Chancellor

21Initial MeetingReview 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)

Pre-Hearing MeetingReview hearing procedures with the parties and expectations for the hearingSet aside date(s) for hearingIdentify any observersReview proposed witness listSet date for exchange of proposed exhibitsOther housekeeping mattersHearingChair opening remarksOpening statements by parties (may be a time limit)Presentation of evidence by petitioner/grievantDismissal after presentation if burden not metPresentation of evidence by respondent(s)Closing Statements

Closed SessionChair facilitates discussion and guides but does not decideBurden of Proof on Petitioner/Grievant(preponderance of the evidence)Discussion of facts as they relate to each key issueResolution of conflicting evidenceDeciding the ultimate issueFindings of Fact/Recommendation to Chancellor

Panel ReportIntroduction - describing the process followed by the PanelBrief Description of the review/grievance and the parties to the review/grievanceFindings of Fact and Conclusions (basis for conclusions, how facts support conclusions, resolution of conflicting evidence)RecommendationsUse report templateOGC attorney assigned to Panel should review

When is the Panels report due?Review - within 14 business days after the hearing, the report and official record shall be provided to the Chancellor and the parties

Grievance - within 14 business days after the hearing, the report shall be provided to the administrator with authority to make the adjustment recommended by the Panel; if the administrator fails to make the recommended adjustment within 14 days after receiving the report, the Chair of the Review/Grievance Panel shall provide the official record to the Chancellor and the parties

Miscellaneous IssuesPanel doesnt have a right to access any partys personnel fileRole of legal counsel NCSU, othersHow the panel should address requests to amend the grievance or to separate grievancesWhat is the effect of withdrawing a grievance?What happens if either party fails to participate in the hearing?

26Official RecordImportant for all levels of review!Petition or grievance statement and responseAll 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 partyCourt reporters transcriptPanels written report27Miscellaneous IssuesConfidentiality of Grievance ProceedingsAdmissible evidence; hearsay evidenceAffidavits from absent witnesses; participation via SkypeFailure of a party to exchange documents or witness listsFailure of a party to appearRequests to amend the petition/grievanceSeparate report to the ChancellorWithdrawal of grievance or settlement effect

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