2.15. Faculty Conflict Resolution and Grievance Procedure

The Faculty Conflict Resolution and Grievance Procedures described below have been formulated to ensure fairness and consistency in the University’s relations with its administrative and teaching faculty. No person’s status with Nicholls State University will be adversely affected in any way as a result of using these procedures. Retaliatory actions taken against a person using these procedures will not be tolerated. For retaliation claims including retaliation for whistle blowing, Faculty should refer to the University Policy Prohibiting Workplace Discrimination, Harassment & Retaliation.

The Director of Human Resources is responsible for overseeing implementation of this policy. Questions concerning interpretation or implementation should be directed to the Office of Human Resources.

Exceptions to this policy (such as those due to need for extended time periods or extended absence of significant personnel) may be granted by the President or Human Resources Director.

2.15.1.1 Purpose of Faculty Conflict Resolution Procedures

The purpose of the University Faculty Conflict Resolution and Grievance Procedures is to assure that there are venues where complaints may be heard and resolved at the lowest level possible. The procedures in this document allow for an immediate attempt to resolve all types of conflicts informally at the level where they occur. In addition, these policies also provide for an administrative review at the department, division, college, and university level when requested.

2.15.1.2 General Information

All faculty members are strongly encouraged to work through conflicts informally beginning with the person with whom they have differences.

These procedures assure that any faculty member within the University community who has a complaint will have access to an internal process that provides elemental fairness to all Parties involved and that has as its objective the resolution of the conflict.

These procedures are not intended to discourage faculty from attempting to resolve a conflict themselves through discussion with the involved parties. These procedures should not be interpreted as a means to eliminate or weaken first-level supervisory or administrative roles of individuals or to prevent them from attempting immediate and impartial resolution of conflicts that develop within their areas of responsibility.

The formal grievance hearing procedures will be used only after the aggrieved party has exhausted the administrative review procedures (Section 2.15.3.2) in attempting to resolve a complaint.

2.15.1.3 Timeframe for Filing a Complaint in Preparation for a Formal Grievance Hearing

A formal complaint using a completed Complaint Form, must be filed within 60 calendar days of the occurrence of a grievable action or the last occurrence of a pattern of grievable actions or knowledge thereof.

2.15.1.4 Definitions

Administrative Review Process: procedure in which a Grievant’s complaint is reviewed by those in the Respondent’s chain of responsibility up to and including the appropriate Vice President.

Arbitrary: for the purposes of these procedures, actions and decisions can be considered arbitrary if decisions or actions result from a failure to comply with established policies and/or procedures as adopted by a department, division, college, the University, or the Board of Supervisors of the University of Louisiana System and/or no rational connection between the evidence and the actions and/or decisions can be found.

Calendar Day: a day reflected on any standard calendar.

Complaint: any problem or issue that needs to be resolved between two Parties.

Complaint Form: document used to file a formal complaint to begin the Administrative Review Process. (For copy go to Policy and Procedure Manual Forms and Memoranda Folder on MDrive)

Conflict Resolution File: a hardcopy file that contains all written documentation associated with the complaint or grievance. The completed Conflict Resolution File will be retained as a case file in the Office of Human Resources.

Faculty: any member of the administrative or teaching faculty as defined in Section Two of the University Policy and Procedure Manual.

Grievant: a faculty member who has a complaint or grievance.

Grievance: a complaint that has not been resolved through informal means of the Administrative Review Process and has been judged worthy of a grievance hearing by the Faculty Grievance Committee.

Faculty Grievance Committee: a Standing University Committee that determines whether a complaint warrants a grievance hearing, according to the criteria described in Section 2.15.2 and, if warranted, formally hears the grievance and makes a recommendation to the University President. The committee should also propose changes in these policies and procedures as needed.

Parties: refers to the Grievant and the Respondent(s).

President: refers to the President of Nicholls State University.

Petition for Grievance Hearing Form: document used to formally file a request for a hearing by the Faculty Grievance Committee once the Administrative Review Process has been completed. (For copy go to Policy and Procedure Manual Forms and Memoranda Folder on MDrive)

Resolved: a complaint or grievance is considered resolved by Nicholls when both the Grievant and the Respondent(s) agree to a particular solution or when a final decision is rendered by the President or by the Board of Supervisors in those cases that are appealed.

Respondent(s): individual(s) against whom a complaint is brought.

Review Administrator: person(s) in the chain of command of the respondent to whom the Complaint Form is submitted for review. The completed Complaint Form is first submitted to the respondent(s) immediate supervisor or the next supervisor within the respondent(s) chain of command.

Working Day: a day in which the University is in session.

2.15.2 Grievable and Non-Grievable Actions

Discrimination, harassment and retaliation including retaliation for whistle blowing are prohibited against any individual with respect to all phases of the employment relationship including recruiting, testing, hiring, upgrading, promotion/demotion, lay-off, terminations, rates of pay, benefits, selection for training or any other terms, conditions or privileges of employment because of an individual’s race, color, gender, age, religion, national origin, citizenship, disability, marital status, sexual orientation, or veteran status is illegal and will not be tolerated at Nicholls State University. For discrimination, Harassment and Retaliation claims including retaliation for whistle blowing, Faculty should refer to the University Policy Prohibiting Workplace Discrimination, Harassment & Retaliation.

2.15.2.1 Grievable Actions

The following complaints/grievances by affected faculty are appropriate for review using the Faculty Conflict Resolution and Grievance Procedures:

Complaints/grievances alleging deviation from a policy or procedure as published in the current Nicholls Policy and Procedure manual related to:

the implementation of policies and procedures related to the following:
1. salary
2. promotion
3. performance requirements
4. performance assessment
5. reassignment or suspension (with or without pay);

the denial of access to department, division, college or university resources; and/or
persistent and recurrent patterns of actions that indicate alleged arbitrary assignment of duties and scheduling;

Complaints/grievances alleging abridgment of academic freedom (as defined by the Board of Supervisors RULES).

Note: In the case where a claim of discrimination, harassment or retaliation has been filed in accordance with the Policy Prohibiting Workplace Discrimination, Harassment & Retaliation and either the alleged victim or the alleged violator be unsatisfied with the findings of the investigation, or the non-disciplinary resolution proposed by the Human Resources Director in accordance with that policy, he/she may then pursue the matter by following the grievance process beginning in section of this policy titled Petition for Grievance Hearing.

2.15.2.2 Non-Grievable Actions

Except when such decisions are alleged to be unlawful discrimination or deviation from a stated policy or procedure or retaliation for whistle blowing or infringement of academic freedom, the actions/decisions based on the following are considered to be non-grievable and are not subject to the Formal Grievance Hearing Procedures:

Non-renewal of a contract of a non-tenured faculty member or probationary faculty member;

Decisions based on the Board of Supervisors for the University of Louisiana System Rules, federal or state law, or other state policies;

Tenure and promotion decisions that have been upheld by appropriate application of approved Tenure and promotion policies and procedures;

Dismissal for cause of tenured faculty members in accordance with Board of Supervisors Policy;

Promotions, demotions, appointments or non–reappointments of faculty, Department Heads, Directors, and Deans

Decisions based on budget reductions and decision to retrench as defined in Section 2.14.5.1 in this manual;

Findings of evaluations which are part of the merit pay system

Any action taken under Section titled Separation, in this Manual.

2.15.3 Informal and Administrative Review Procedures

Faculty must utilize the informal and/or administrative review processes outlined below prior to filing for a formal grievance. All faculty members are strongly encouraged to work through conflicts informally beginning with the person with whom they have differences.

2.15.3.1 Informal Conflict Resolution Process

The initial step in this procedure is for the faculty member to attempt to resolve the matter with the Respondent(s). If no means of resolution can be found or if the Respondent is the faculty member’s first line supervisor or some other person that the faculty member does not wish to approach directly the grievant may initiate an Administrative Review of the complaint.

2.15.3.2 Administrative Review Process

Step 1. Complaints that are not resolved informally may be submitted by the Grievant to the individual who has immediate administrative responsibility for the Respondent(s) for review and possible resolution. At this time:

Within 60 calendar days of the occurrence of a grievable action or the last occurrence of a pattern of grievable actions or knowledge thereof, the Grievant must submit a completed Complaint Form (See Policy and Procedure Forms on V drive – Grievance) to the individual(s) who has administrative responsibility for the Respondent(s) (example: department head or dean) (herein after referred to as the “Review Administrator”). The Grievant must also send a copy of the form to the Respondent(s). The Complaint Form is available from the Office of Human Resources or internal M-drive and includes the following:

the name of Grievant,

the name(s) of the Respondent(s),

a description of the nature and effect of the alleged actions/decisions that have resulted in the complaint,

evidence supporting the complaint,

a statement of the desired outcome,

signature of Grievant and date.

Once stated, the content of the subject matter cannot be expanded. No attorneys will be permitted to be present for either party at any point in the administrative review procedure(s).
Within five (5) working days of receipt of the completed Complaint Form, the Review Administrator will create a Conflict Resolution File and notify the Respondent(s) and the Grievant via email, personal delivery or certified letter, that a complaint form has been received.
Within five (5) working days of notification, the Respondent(s) must provide a written response regarding the complaint to the review administrator and send a copy to the Grievant;
Within 10 working days of receiving a response from the Respondent(s), the Review Administrator will:

place the response in the Conflict Resolution File and notify the Grievant via email, personal delivery or certified letter, that a response has been received,

review the Conflict Resolution File,

meet with Grievant and Respondent to develop an understanding of their views,

review appropriate written policies and procedures and consult with officials as needed for clarification of any policies or procedures,

render a written decision to the Grievant and

provide a copy of the decision to the Respondent(s) and the Conflict Resolution File.

Step 2. Upon receipt of the first Review Administrator’s written decision, either party may appeal that decision to the next administrator in the respondent’s chain of responsibility as reflected in the departmental organizational chart. Appeals are allowed at each administrative level up to and including the Appropriate Vice President.

Within 3 working days of receipt of Review Administrator’s written decision, an appeal must be made in writing by the Grievant (as indicated on the Complaint form) or Respondent (as requested in writing by letter) and delivered to the Review Administrator. The Review Administrator will add this document to the Conflict Resolution File and forward it to the next person in the chain of responsibility within two (2) working days.
Within 10 working days of receiving the Conflict Resolution File, the next Review Administrator will:
review the Conflict Resolution File,
meet with the Grievant, Respondent and previous Review Administrator to develop an understanding of their views,
review appropriate written policies and procedures and consult with officials as needed for clarification of any policies or procedures,
render a written decision to the Grievant and provide a copy of the decision to each Respondent and the Conflict Resolution File.
This Administrative Review Process will continue as stated through each administrative level including the Vice President as per the Grievant or Respondent requests.

Step 3. If the complaint advances to and is reviewed by the appropriate Vice President and the complaint is not resolved, the Grievant may request a formal hearing before the Faculty Grievance Committee. The Committee member representing the same academic unit as the grievant shall recuse himself/herself if there is a perceived conflict of interest by either party.

2.15.4 Petition for Grievance Hearing

The Grievant may only petition once per grievance for a formal hearing

Step 1. A Grievant or Respondent may appeal an adverse decision of the Vice President to the Faculty Grievance Committee by submitting a completed Petition for Grievance Hearing to the Vice President within three (3) working days of receipt of the final Administrative Review decision. In the case where a claim of discrimination, harassment or retaliation has been filed in accordance with the Policy Prohibiting Workplace Discrimination, Harassment & Retaliation and either the alleged victim or the alleged violator be unsatisfied with the findings of the investigation, or the non-disciplinary resolution proposed by the Human Resources Director in accordance with that policy, he/she may then pursue the matter by following the grievance process beginning at 2.15.4 of the process. The Director of Human Resources will maintain a file on the alleged violation of policy along with the report of findings and the proposed non-disciplinary resolution if applicable to the Chair of the Faculty Grievance committee. The Vice President will add the updated Complaint Form and completed Petition for Grievance Hearing to the Conflict Resolution File and forward this File to the Chair of the Faculty Grievance Committee within three (3) working days of receipt of the appeal request(s). The Petition for Grievance Hearing Form will include the following information:

Name of Grievant
Name(s) of the Respondent(s)
Basis for Grievance (as referenced in Section 2.15.2)
Signature of Grievant or Respondent and date.

Step 2. The Chairperson of the Faculty Grievance Committee will obtain the Conflict Resolution File from the office of Human Resources or the appropriate Vice President. Within ten (10) working days of receipt of the Petition for a Grievance Hearing, the Chair of the Faculty Grievance Committee will

convene a confidential meeting of the Grievance Committee to determine if the hearing request identifies a specific grievance issue that warrants a formal grievance hearing as per Section 2.15.2: Grievable and Non-Grievable Actions. No committee member who is directly involved in the conflict may participate in these Committee discussions. Faculty members or chairs from the Grievant’s college must recuse themselves if there is an actual or perceived conflict of interest. Alternate committee members will be available to serve for principal committee members who are unable to participate;
inform the Grievant and Respondent in writing of one of the following decisions:
Approval of hearing. When a hearing is deemed warranted by a simple majority of the committee, the Chairperson of the Faculty Grievance Committee will offer to Grievant a formal hearing before the Committee and will provide notification of (a) the date, time, and place of an organizational meeting, and (b) the issue(s) to be considered at the hearing.
Request for clarification. The Grievant and/or Respondent(s) may be asked to provide clarifying information regarding the grievance before the hearing request is acted upon.
Denial of hearing. The Grievant or Respondent will receive written notification of the reason for the denial of a hearing. IF YOUR COMPLAINT IS NOT DETERMINED TO BE A GRIEVABLE COMPLAINT BY THE FACULTY GRIEVANCE COMMITTEE, AS PER SECTION 2.15.2 OF POLICY AND PROCEDURE, THE DETERMINATION OF THE FINAL ADMINISTRATIVE REVIEW IS FINAL.

2.15.5 Formal Hearing Procedure

If the committee decides that the complaint is grievable, then the Grievant will be offered a formal hearing before the Faculty Grievance Committee.

2.15.5.1 Outline of Activities for a Formal Hearing before the Faculty Grievance Committee

Step 1. Within five (5) working days of a recommendation by the Grievance Committee to hear the grievance, an initial organizational meeting of the Grievance Committee, with both the Grievant and Respondent(s) present, will be called to charge the Committee and review procedures for the Formal Hearing.

Step 2. A formal grievance hearing takes place before the Grievance Committee within ten (10) working days of the organizational meeting at a time agreeable to all parties.

Step 3. The Grievance Committee submits written recommendation(s) to the President within five (5) working days of the formal hearing

Step 4. The President considers the recommendation(s) of the Grievance Committee and renders a decision within ten (10) working days.

Step 5. Under policies of the University of Louisiana System, Presidential decisions may be appealed to the Board of Supervisors of the University of Louisiana System. The Grievant may request this review within ten (10) working days of receipt of the President’s decision.

2.15.5.2 Organizational Meeting

The Chair of Faculty Grievance Committee will proceed to make all arrangements for a formal hearing before the Faculty Grievance Committee and assure that all materials submitted are available to the Grievant, the Respondent(s) and Committee members in advance of the formal hearing. The initial organizational meeting of the Committee will be within five (5) working days from the date of the decision of the Grievance Committee in regards to the grievable nature of the complaint. Upon convening, the Grievance Committee Chair, in the presence of both the Grievant and the Respondent(s), will give a brief charge to the Grievance Committee, specifying the allegations and summarizing the university policy. The Chair of the Grievance Committee will preside over all the meetings of the Grievance Committee until the review is completed. The formal hearing will be held and a decision rendered within ten (10) working days of the organizational meeting.

2.15.5.3 General Rules of Hearing

All Committee proceedings are closed and private. Committee members are bound by strict confidentiality. There is no right to a public hearing.

All hearings shall be conducted with a quorum of the Committee present, including a presiding officer.

The Committee shall conduct no ex parte proceedings, i.e., all parties must be present for any hearing. Reasonable non–appearance of the parties will be allowed, but non–appearance of grievant after notice may cause the grievance to be abandoned. Non-appearance of the respondent after notice may result in a default ruling in favor of the grievant.

During the proceedings, both Parties will be permitted to have a personal advisor in attendance. Personal advisors must be chosen from current Nicholls employees. With the approval of the Faculty Grievance Committee Chair, the personal advisor may be called upon to question witnesses. During the hearing the Parties will be given reasonable time to consult with their advisors.

All Committee proceedings are recorded excepting those discussions conducted in executive session by the Committee to arrive at its final decisions. An audio tape recording or complete transcript of the proceedings will be kept and made available, upon request, to both Parties. Tapes and records of the hearings will be deemed confidential but may be subject to disclosure under the Louisiana Open Records Act. These records will be stored in the Office of Human Resources with the Complaint Resolution File. No other recording will be allowed.

The Faculty Grievance Committee may grant breaks to enable either party to investigate evidence if a valid claim of surprise is made or, if in the opinion of the Grievance Committee, an interruption in the proceedings would be desirable. The committee, grievant and respondents should agree on a mutually acceptable time period for resumption of the hearing, not to exceed 3 working days.

Both Parties will be given an opportunity to obtain necessary witnesses, documentation or other evidence. Witnesses will be admitted to the hearing only when their personal participation is required. Witnesses, when summoned to hearings, should be sequestered.

Both Parties will have the right to question all witnesses. When the witness cannot appear and the Grievance Committee determines that the interests of fairness require the admission of his/her statement, the Grievance Committee may, by affidavit, record the sworn testimony of the witness. The Grievance Committee will identify the witness, disclose his/her statement, and if possible, provide for follow-up questions to which the witness may respond.

The Grievance Committee will not be bound by formal rules of legal evidence. However, the Committee may admit any evidence it deems of value.

The Chair of the Faculty Grievance Committee rules on the relevancy of questions.

Neither the Grievant nor persons purporting to represent the Grievant shall approach individual committee members on the Grievant’s behalf.

The findings and the decision of the Grievance Committee will be based solely on the record of the hearing.

There will be no public statements by any persons involved in the hearing until the grievance has been resolved.

Grievance Committee members must be present for hearings and voting. Any recommendation of the Grievance Committee must be based on a majority vote. All votes will be cast by secret, written ballot. The precise Grievance Committee vote will be reported to the President and both Parties.

The Grievance Committee Chair will submit the Committee recommendation(s) to the President in writing with copies to both Parties.

2.15.5.4 Procedural Conduct of Hearing

The Chair will convene and organize the Committee. Parties to the hearing will remain outside the hearing room until summoned.

The Chair will ensure that the Committee hearing room is properly equipped with microphones and tape recording equipment. This equipment will be operated and monitored during the hearing by qualified University personnel.

After the parties to the grievance are summoned into the hearing room, the Chair shall declare the hearing in session and ask the Grievant to present his/her case (30 minutes maximum).

The Chair will not recognize questions by Committee members until the Grievant has completed his/her presentation (which may include witnesses).

Members of the Committee will be recognized individually by the Chair for a maximum of ten minutes per question.

The Chair will recognize the designated Respondent or Review Administrator to make his/her presentation (30 minutes maximum).

The Chair will not recognize questions by Committee members until the Respondent has completed his/her presentation (which may include witnesses).

Members of the Committee will be recognized individually by the Chair for a maximum of ten minutes per question.

The Grievant shall make a final oral rebuttal argument and closing statement (not to exceed 10 minutes).

The Respondent shall make a final rebuttal and closing statement (not to exceed 10 minutes).

The Chair will require the clearance from the hearing room of all parties except members of the Committee during the period of its deliberations.

The Grievant and advisor may await the decision of the Committee in the nearest convenient room at the conclusion of the deliberations.

The Chair will recall the Committee to session to take the final vote on the Committee’s findings (recommendation). A simple majority of the Committee will be used to determine the final recommendation.

The Chair may announce the Committee’s findings to the Grievant and Respondent if present after the Committee’s adjournment. This first announcement shall be oral, with the written findings (recommendation) to follow within five (5) working days.

The written findings (recommendation) shall be added to the Conflict Resolution File and be transmitted to the President of the University and shall include notice of the Grievant’s right to appeal to the Board of Supervisors for the University of Louisiana System.

2.15.6 Presidential Review

The President will review the Grievance Committee recommendation(s) and render a written decision for the institution within ten (10) working days. The President will send a written decision by certified mail to the Grievant and via campus mail and/or personal delivery to the Committee Chair, Vice President and Respondent. A copy of the written decision will be added to the Conflict Resolution File and sent to the Office of Human Resources

2.15.7 Amendment Process

These Grievance Procedures can be altered and/or amended only if presented in writing to the University Faculty Senate and approved by an affirmative vote of the majority of the Senate. The Faculty Grievance Committee has the responsibility of reviewing these procedures and recommending appropriate changes. No amendment or alteration will be in effect until it has been approved by the President.

2.15.8 Appeals

Pursuant to the Rules of the Board of Supervisors for the University of Louisiana System, the Grievant or Respondent may appeal the President’s decision to the Board, if an appeal is possible, within ten (10) working days of receipt of the President’s decision.

Changes to Section of Manual

Effective Date	Origin	Change Form
N/A

Nicholls State University

FACULTY/STAFF POLICY & PROCEDURE MANUAL