Policy 1413 – Faculty and Staff Grievance Procedures for Unclassified Personnel

Revision Date: 12/10/2009

Responsible Office: Chair, Grievance Committee

ARTICLE I. GENERAL PROVISIONS

Section 1. Purpose

The purpose of the following procedures is to establish a systematic and orderly method
to consider the grievances of faculty and other unclassified personnel.

Section 2. Definitions

1. An “employee” is an individual faculty member or other unclassified person.

2. A “grievant” or “appellant” is an individual employee who is aggrieved because of
   an administrative decision or action that directly affects the individual employee.

3. A “grievance” is a written complaint formally submitted via a current Notification
   of Grievance Form regarding an administrative decision or action that directly affects
   the aggrieved individual employee.

4. An “appeal” is the written request to have the grievance considered by the initial
   appellate authority (administrative respondent) or by some subsequent appellate authority.

5. An “appellate authority” or “administrative respondent” is an administrative superior
   of an individual employee to whom an initial grievance may be filed (such as a Unit
   Head, School Director, Area Head, or other appropriate administrator) or to whom an
   appeal of a grievance decision may be made (Dean, Vice President, Provost, or President).
   The University Grievance Committee also serves as an appellate authority between the
   Vice Presidential level and the Presidential level.

6. A “division” is Academic Affairs, Research and Innovation, Administration and Facilities,
   Finance and Comptroller, Student Affairs, or University Advancement.

Section 3. Notification of Grievance and/or Notification of an Appeal of a Grievance
Decision

An initial grievance (see Article II, Sections 1 and 2) or an appeal of a grievance
decision (see Article II, Sections 3, 4, and 5) must be made to the appropriate appellate
authority by notification in writing via a current Notification of Grievance Form.
A current Notification of Grievance Form may be obtained from the Department of Human
Resources. A grievance must be submitted and will be considered only on an individual
basis. The grievance must indicate the specific decision being grieved, the specific
resolution requested, and all information that is to be considered during the grievance
process. No employee shall appeal the initial grievance to a higher appellate authority
until an appeal has been made to all lower appellate authorities (administrative respondents).
All administrative personnel who are affiliated with Louisiana Tech University and
who are named in a Notification of Grievance as being individuals against whom a grievance
has been filed should be afforded, in an administratively progressive order, the opportunity
to respond orally as well as in writing to the grievance. Grievances must be appealed
to all administrators as well as the University Grievance Committee in a progressive
order: the Unit Head, Area Head, School Director, or initial administrative respondent
against whom the grievance is being filed, the Dean of the College, the Vice President,
the Provost, the University Grievance Committee, and the President of Louisiana Tech
University. Grievances being initiated or grievances in process at the end of the
spring quarter or during the summer quarter may be held in abeyance at the written
request of the grievant until the fall quarter. The desire to hold a grievance in
abeyance over the summer quarter should be presented in writing by the grievant to
the administrative respondent or appellate authority who will be responding to the
grievance at this particular point in the grievance process. The applicable administrative
respondent or appellate authority should then acknowledge in writing to the grievant
that the grievant has elected to have the grievance held in abeyance until the fall
quarter.

The initial grievance must be filed with the proper appellate authority/administrative
respondent (see Article II, Sections 1 and 2) within thirty (30) calendar days or
twenty (20) Louisiana Tech University “class days” from the date of the announcement
of the administrative decision at issue. Any subsequent appeal to an appellate authority
(see Article II, Sections 3, 4, and 5) relative to the grievance must be filed with
the proper appellate authority within fifteen (15) calendar days or ten (10) Louisiana
Tech University “class days” from the date the employee is notified of an adverse
decision of the appellate authority/administrative respondent. (A Louisiana Tech University
“class day” is a day in which classes are normally conducted and in fact were conducted
at Louisiana Tech University.) Failure to initiate a grievance or to appeal a decision
relative to a grievance within the applicable prescribed time period will result in
waiver of the employee’s right to initiate the grievance or to appeal a grievance
decision to an appellate authority.

Hearings conducted by the University Grievance Committee shall provide for the individual
grievant and the appropriate appellate authority/authorities to be present. Consideration
of the grievance will be limited to the issue(s) identified by the University Grievance
Committee (see Article II, Section 4.A.3) and will be limited in scope to the issue(s)
presented in the initial grievance. Each party (i.e., the grievant and the appropriate
appellate authorities/administrative respondents) shall be given the opportunity to
address the University Grievance Committee relative to the specified grievance issue(s).
The University Grievance Committee hearing record will consist of the written information
initially provided by the employee, any supplemental information requested by an appellate
authority, the written information provided by the University administration, and
the written recommendation and rationale provided by the University Grievance Committee.
Grievances submitted to the University Grievance Committee near the end of the spring
quarter or during the summer quarter will normally be held in abeyance and will not
be considered by the University Grievance Committee until the following fall quarter,
except in situations where holding the grievance in abeyance until the fall quarter
would, in effect, deny the grievance. (Note: The grievant should inform the Chairperson
of the University Grievance Committee in writing whether or not he/she desires the
University Grievance Committee to consider his/her grievance during the summer quarter.
The Chairperson of the University Grievance Committee will acknowledge in writing
the request of the grievant.) The University Grievance Committee shall report to the
President (a) the identified grievance issue(s), (b) an evaluation of the evidence
and findings of fact, (c) the recommended specific course of action, and (d) the rationale
in support of the recommendation.

A Louisiana Tech University employee who is filing a grievance or a Louisiana Tech
University administrator who is responding to a grievance should consult with the
Chairperson of the University Grievance Committee if there is any aspect of the grievance
process that needs clarification.

ARTICLE II. UNIVERSITY APPELLATE AUTHORITIES AND UNIVERSITY GRIEVANCE COMMITTEE

Section 1. Initial Appellate Authority or Administrative Respondent

The initial appellate authority or administrative respondent shall be the individual
against whom the grievance is initially filed and against whose actions or decisions
are being grieved.

The initial appellate authority/administrative respondent has thirty (30) calendar
days or twenty (20) University “class days” to respond orally as well as in writing
to a grievance. The progression of a grievance, assuming the initial appellate authority
is a Unit Head, Area Head, or School Director, would proceed as discussed in the following
sections.

Section 2. Unit Head, Area Head, or School Director as Initial Appellate Authority

An individual employee, as defined in Article I, Section 2.A., would normally initially
present the grievance in writing via the Notification of Grievance Form to the Unit
Head, Area Head, or School Director under whom the individual is employed. Before
rendering a decision in writing and without undue delay (ideally within fifteen (15)
calendar days or ten (10) University “class days” from having received the Notification
of Grievance Form), the initial appellate authority will afford the grievant the opportunity
to meet to discuss the grievance. The initial appellate authority will respond to
the grievant in writing within thirty (30) calendar days or twenty (20) University
“class days” from having received the Notification of Grievance Form. Written responses
by other appellate authorities to appeals of adverse decisions from administrative
personnel should be made within thirty (30) calendar days or twenty (20) University
“class days” after receiving the grievance in writing from the employee. (Note: The
non-granting of tenure to a non-tenured employee is not a grievable decision to the
employee.)

Section 3. Dean of the College and/or Provost

A faculty employee may appeal an adverse decision of the Unit Head, Area Head, School
Director, or initial administrative respondent regarding a grievance to the Dean of
the College. The Dean of the College should then obtain the initially filed grievance
documents and all subsequent responses relative to these documents from the initial
appellate authority. Before rendering a decision in writing and without undue delay
(ideally within fifteen (15) calendar days or ten (10) University “class days” from
having received the Notification of Grievance Form), the Dean of the College will
afford the grievant the opportunity to meet jointly with the Dean and the grievant’s
Unit Head, Area Head, School Director, and/or initial administrative respondent to
discuss the grievance. The Dean of the College will respond to the grievant in writing
within thirty (30) calendar days or twenty (20) University “class days” after receiving
the grievance appeal in writing from the employee. An adverse decision of the Dean
of the College may be appealed to the Provost. The appeal should be accompanied by
a copy of the Notification of Grievance Form initially filed with the Unit Head, Area
Head, School Director, or initial administrative respondent, indicating the date the
grievance was formally filed with the appropriate administrator and subsequently with
the appropriate Dean. The Provost should then obtain the initially filed grievance
documents and all subsequent responses relative to these documents from the Dean of
the College. Before rendering a decision in writing and without undue delay (ideally
within fifteen (15) calendar days or ten (10) University “class days” from having
received the Notification of Grievance Form), the Provost will afford the grievant
the opportunity to meet jointly with the Provost, the Dean of the College, and the
grievant’s Unit Head, Area Head, School Director, and/or initial administrative respondent
to discuss the grievance. The Provost will respond to the grievant in writing within
thirty (30) calendar days or twenty (20) University “class days” after receiving the
grievance appeal in writing from the employee.

A non-faculty employee may appeal an adverse decision of his/her Area Head regarding
a grievance to the Vice President/Provost under whom the grievant is employed. The
appeal should be accompanied by a copy of the Notification of Grievance Form initially
filed with the Area Head or initial administrative respondent, indicating the date
the grievance was formally filed with the appropriate Area Head or administrative
respondent. Before rendering a decision in writing and without undue delay (ideally
within fifteen (15) calendar days or ten (10) University “class days” from having
received the Notification of Grievance Form), the Vice President/Provost will afford
the grievant the opportunity to meet jointly with the Vice President/Provost and the
grievant’s Area Head and/or initial administrative respondent to discuss the grievance.
The Vice President/Provost will respond in writing to the grievant within thirty (30)
calendar days or twenty (20) University “class days” after receiving the grievance
appeal in writing from the employee.

Section 4. University Grievance Committee

1. Procedure

   1. An employee may appeal an adverse decision of the Vice President/Provost of the employee’s
      division to the University Grievance Committee. The appeal should be accompanied by
      a copy of the Notification of Grievance Form initially filed with the Unit Head, Area
      Head, School Director, or other initial administrative respondent, indicating the
      date the grievance was formally filed with the appropriate Unit Head, Area Head, School
      Director, or other initial administrative respondent, the subsequent date(s) of appeal
      with the appropriate Dean and/or Vice President/Provost, and the respective response
      of each appropriate appellate authority. The Chairperson of the University Grievance
      Committee should then obtain the initially filed grievance documents and all subsequent
      responses relative to these documents from the appropriate Vice President/Provost.

   2. The University Grievance Committee is authorized to hear, mediate, and advise on an
      individual employee basis with respect to adjustment or resolution of the grievance
      of a member of the faculty and unclassified staff those grievances that were timely
      filed and had proceeded through the appropriate appellate authorities. The authority
      of the University Grievance Committee shall be solely to hear presentations by the
      grievant and the appropriate appellate authorities, to mediate voluntary adjustment
      or resolution when possible, and to make recommendations to the administration when
      deemed appropriate.

   3. Upon receipt by the Chairperson of the University Grievance Committee of the employee’s
      Notification of Grievance Form, the University Grievance Committee will meet to determine
      if the hearing request identifies a specific grievance issue that warrants a hearing.
      The Chairperson of the University Grievance Committee shall inform the employee in
      writing of the following:

      Approval of hearing. When a hearing is deemed warranted, the Chairperson of the University
      Grievance Committee will provide notification of

      1. the date, time, and place of the hearing, and

      2. the issue(s) to be considered at the hearing.

      Request for clarification. The grievant and/or appellate authorities may be asked
      to provide clarifying information regarding the grievance before the hearing request
      is acted upon.

      Denial of hearing. The employee will receive written notification of the reason for
      the denial of a hearing.

   4. The grievant may be accompanied by legal counsel to the formal grievance hearing should
      the grievant so desire. Likewise, the University may be accompanied by legal counsel
      to the formal grievance hearing should the University so desire. Legal counsel for
      the grievant and/or legal counsel for the University will serve in an advisory capacity
      only; i.e., legal counsel will not be permitted to participate in the proceedings
      of the hearing.

   5. Should there be a member of the University Grievance Committee who either the grievant
      and/or an administrative respondent believes should be recused from the hearing for
      some specific and appropriate reason, the President of Louisiana Tech University should
      be notified by letter of this request (as well as the reason and rationale for the
      request) on or before the date that the grievance petition is presented to the University
      Grievance Committee. The President of Louisiana Tech University should be provided
      with the reason(s) for the request for recusal of any specified University Grievance
      Committee member(s). The President of Louisiana Tech University will notify the Chair
      of the University Grievance Committee of the decision with respect to whether or not
      the University will require the University Grievance Committee member(s) to be recused
      from the specified grievance.

   6. An audio tape recording will be made of all formal grievance hearings, with a transcript
      of the audio tape being provided to the grievant as well as to the University.

2. Composition of the University Grievance Committee

   The University Grievance Committee shall be composed of nine selected/elected members
   and a Chairperson (non-voting) appointed by the President of Louisiana Tech University.
   The Executive Committee of the Louisiana Tech University Senate shall select six tenured
   faculty members (one from each College and one from a designated College on a specified
   rotating three-year basis) to serve on the University Grievance Committee. The six
   divisions of Louisiana Tech University (Academic Affairs, Research and Innovation,
   Administration and Facilities, Financial Services, Student Affairs, and University
   Advancement) shall be represented by three elected representatives to the University
   Grievance Committee, with the Divisions of Academic Affairs and Research and Innovation
   being represented by one elected member, the Divisions of Administration and Facilities
   and Finance and Comptroller being represented by one elected member, and the Divisions
   of Student Affairs and University Advancement being represented by one elected member.
   Only unclassified staff personnel may be elected to represent the divisions.

3. Terms of Office

   The selected/elected members of the University Grievance Committee shall serve three-year
   terms of office. These terms will be staggered, and members may serve successive terms
   up to a maximum of six (6) consecutive years. During the summer quarter, the newly
   selected/elected members to the University Grievance Committee may be asked to begin
   service on the Committee.

Section 5. The President

A written recommendation from the University Grievance Committee will be forwarded
to the President of Louisiana Tech University for the President’s consideration and
action. An adverse recommendation from the University Grievance Committee may be appealed
to the President. This appeal and a possible subsequent Presidential hearing shall
be based on and limited to the written records presented at the University Grievance
Committee hearing, consisting of the written information provided by the grievant
in the Notification of Grievance, the written responses from the appropriate appellate
authorities, any additional information and/or relevant documents previously requested
by an appellate authority/body, and the written report subsequently provided by the
University Grievance Committee following the formal grievance hearing; i.e., with
the exception of the written recommendation of the University Grievance Committee
and the aforementioned documents, no new or revised written records may be introduced
by the grievant or by the previous appellate authorities. The President does have
the right to request additional clarifying information and/or relevant documents should
he believe such information would be beneficial. The President may set a date, time,
and place for a hearing and, if so determined, will notify the parties concerned of
the same. Following receipt of the recommendation from the University Grievance Committee
and any subsequent appeal from the grievant, the President shall take the matter under
advisement and shall render a decision in writing within a reasonable time (if possible,
within thirty (30) calendar days or twenty (20) University “class days” from receipt
of the written recommendation from the University Grievance Committee or from receipt
of a subsequent grievance appeal relative to an appellate decision and/or a University
Grievance Committee recommendation).

ARTICLE III. UNIVERSITY OF LOUISIANA BOARD OF SUPERVISORS

1. Institutional Grievance Procedures. Each institution shall develop and promulgate an internal grievance procedure for
   employees (classified and unclassified). This procedure shall be approved by the Board.
   An employee must exhaust all administrative procedures at the institutional level
   before an appeal can be made to the Board.

2. Board Review. If an employee makes an appeal to the Board, the administrative proceedings from
   the institution will be reviewed. The purpose of this review is to determine if an
   appropriate process has been provided to the grievant, not to review the particular
   outcomes. Following this review, the grievant will be notified of the Board’s decision.
   (Revision 1/5/00)

3. Granting of Hearing. The Board may grant the grievant a hearing and provide a fixed time for each party
   to present his/her case and all arguments shall be confined to the record of the administrative
   proceedings from the institution. However, after the review of the administrative
   proceedings from the institution, the Board may allow additional evidence to be presented.
   The Board will notify both parties of the type of additional evidence it seeks and
   the procedure to be used in its presentation.

4. Board Policy on Grievance. The Board recognizes the necessity and desirability of providing employees a method
   and forum in which to resolve, in an orderly fashion, problems in the work place.
   However, by the adoption of this policy, it is not the intention of the Board to confer
   upon college and university employees any additional rights of substantive or procedural
   due process not mandated by law.