SECTION K. MEDIATION, GRIEVANCE PROCEDURES, AND REVIEW PROCESSES
K.1 Purpose of and General Information Pertaining to Mediation and the Grievance Process
K.2 Summary of Mediation Process
K.3.1 Qualifications of University Mediators
K.3.1.1 Qualifications of University Mediators for Academic Faculty
K.3.1.2 Qualifications of University Mediators for Administrative ProfessionalsK.3.2 Selection and Terms of University Mediators for Academic Faculty
K.3.3 Selection and Terms of University Mediators for Administrative Professionals
K.3.4 University Mediators' Training
K.3.5 University Mediators' Risk Management and Governmental Immunity Provisions
K.4 Referral of Grievable Conflicts to University Mediators
K.5 Mediation Procedures/Time Line
K.7 Admissibility of Communications with the University Mediators
K.8.1 Persons Entitled to Grieve
K.8.2 Provision of Due Process to Grievants
K.9 Forms of Grievable Actions
K.10 Exception to Use of the Grievance Procedure
K.11.1 Time and Manner of Initiating a Grievance
K.11.2 Receipt of Complaint by Hearing Committee/Request for Formal Hearings
K.11.3 Conduct of Grievance Hearings
K.11.4 Order of Proceedings for Grievance Hearings
K.11.5 Hearing Committee Decision
K.11.6 Evidentiary Rules for Grievance Hearings
K.11.7 Administrative ReviewK.11.7.1 Provost/Academic Vice President Review
K.11.7.2 Presidential Action
K.11.7.3 Appeals to the Board
K.13 Right to Clerical Assistance
K.14 University Grievance Officer
K.14.1 Selection, Qualifications, and Term of the University Grievance Officer
K.14.2 Oversight of the University Grievance Officer
K.14.3 Service of the University Grievance Officer
K.14.4 Duties of the University Grievance Officer
K.14.5 Temporary Special University Grievance Officer
K.15 Grievance Panel and Hearing Committees
K.15.1 Grievance Panel
K.15.2 Election of Grievance Panel Members
K.15.3 Service on the Grievance Panel and Filling of Vacancies
K.15.4 Organization and Functioning of Hearing Committees
K.17 Timing Limitations Within the Mediation System and the Grievance Review Process
Note: Please click on title to go to Section K.17 table.
K.18 Expectations for Members of the University Community
SECTION K. MEDIATION, GRIEVANCE PROCEDURES, AND REVIEW PROCESSES (last revised March 14, 2000)
K.1 Purpose of and General Information Pertaining to Mediation and the Grievance Process
Mediation is a mechanism by which the University seeks to provide a resolution of grievable conflicts (see Section K.9) among its academic faculty members, administrative professionals, and administrators. Mediation can be requested by either party in a grievable conflict if the grievable conflict is not resolved informally.
Academic faculty members, administrative professionals, and administrators ("Covered Members") shall attempt to mediate their grievable conflicts prior to filing a grievance complaint. Mediation may not be utilized to resolve grievable conflicts involving classified employees.
The purpose of the Grievance Procedure is to assure a rapid and fair process for the resolution of grievable conflicts which are not resolved through mediation. It shall be the responsibility of the University, through the Offices of the Provost and the President, to assure that the grievance procedures, review processes, and mediation provisions herein established are appropriately supported, respected, and enforced. All persons with Grievances shall follow these procedures before pursuing any action with external agents or agencies, except in cases where Federal and state law gives persons the right to institute action without first exhausting internal administrative remedies. This Grievance Procedure replaces and supersedes all grievance procedures found in department or college codes.
K.2 Summary of Mediation Process
The persons responsible for conducting mediation under this section will be referred to as "University Mediators" (hereinafter referred to as "UMs"). The UMs will be responsible for mediating grievable conflicts involving academic faculty members, administrative professionals, and administrators. There will be a pool of UMs. The assigning of UMs is set forth in Section K.14. Upon such assignment, the UM shall meet with the mediation participants. If, after meeting with the mediation participants, the UM reasonably believes that mediation efforts may result in a resolution of the grievable conflict, the mediation participants shall enter into a mediation period with the UM to attempt to resolve the grievable conflict.
An administrator's decision which gave rise to a grievable conflict may be altered through the mediation process. Possible outcomes of the mediation process as regards an administrator's decision are:
a. Acceptance of the decision;
b. Modification of the decision;
c. Rescission of the decision;
d. Proceeding to grievance due to a lack of resolution;
e. Other outcomes as determined by the mediation participants.
If the mediation process does not produce a resolution of a grievable conflict, or if the UM finds that it is unlikely to do so, the Covered Member shall be entitled to file a grievance complaint.
K.3 University Mediators
K.3.1 Qualifications of University Mediators (last revised May 1, 2001)
The individuals nominated and recommended as UMs shall be retired (for three (3) years or less) or presently employed academic faculty members or administrative professionals who have the skills, credibility and commitment that would enable them to discharge their duties effectively as UMs. Currently employed individuals shall obtain prior approval from their department head/supervisor.
K.3.1.1 Qualifications of University Mediators for Academic Faculty
Each UM for academic faculty members shall be a tenured, full-time member of the academic faculty with at least the rank of associate professor or, if retired, shall previously have held such a position, and shall have no administrative duties (see Section K.12.a) throughout the term of service.
K.3.1.2 Qualifications of University Mediators for Administrative Professionals (last revised May 1, 2001)
Each UM for administrative professionals shall be employed at least half-time (0.5) time as an administrative professional at Colorado State University or, if retired, shall have been employed by the University at least half-time (0.5) time as an administrative professional.
K.3.2 Selection and Terms of University Mediators for Academic Faculty
The Chair of Faculty Council and the Provost shall solicit nominations for UMs from the academic faculty members prior to the end of each academic year. In consultation with the Faculty Council Executive Committee, the Council of Deans, and any other appropriate groups, the Chair of Faculty Council and the Provost shall jointly forward recommendations to the President. The President shall appoint at least two (2) academic faculty UMs for the upcoming year. The UMs for academic faculty members normally shall take office by July 1 following their appointment by the President.
As appropriate, individuals appointed as academic faculty UMs may have their effort distributions adjusted, as negotiated with their immediate supervisor, to reflect their involvement in the mediation process or they may receive release time from their academic obligations or compensation if mediation is required beyond their contract periods or if they are retired, as determined by the Provost.
The term of office for a UM shall normally be three (3) consecutive one (1) year appointments on an at-will basis. By agreement of the Chair of Faculty Council and the Provost, with the concurrence of the Faculty Council Executive Committee, UMs may serve beyond three (3) consecutive one (1) year appointments for a maximum of three (3) additional one (1) year terms. If the position becomes vacant before expiration of the term, the Chair of Faculty Council and the Provost will recommend jointly an interim appointment to the President to serve until a new UM is selected and takes office the next July 1.
K.3.3 Selection and Terms of University Mediators for Administrative Professionals
The Chair of the Administrative Professional Council and the Vice President for Administrative Services shall solicit nominations for UMs for administrative professionals prior to the end each academic year. In consultation with the Administrative Professional Council, and any other appropriate groups, the Chair of the Administrative Professional Council and the Vice President for Administrative Services shall jointly forward recommendations to the President. The President shall appoint at least two (2) administrative professional UMs for the upcoming year. The UMs for administrative professionals shall take office on July 1 following their appointment by the President.
As appropriate, individuals appointed as administrative professional UMs may have their effort distributions adjusted by their immediate supervisor, to reflect their involvement in the mediation process or, in the case of retired administrative professionals, shall receive adequate compensation, as determined by the Vice President for Administrative Services.
The term of office shall normally be three (3) consecutive one (1) year appointments on an at-will basis. By agreement of the Chair of the Administrative Professional Council and the Vice President for Administrative Services, with the concurrence of the Administrative Professional Council, UMs may serve beyond three (3) consecutive one (1) year appointments for a maximum of three (3) additional one (1) year terms. If the position becomes vacant before expiration of the term, the Chair of the Administrative Professional Council and the Vice President for Administrative Services will jointly recommend an interim appointment to the President to serve until a new UM is selected and takes office the next July 1.
K.3.4 University Mediators' Training
The UMs must attend periodic mediation training sessions to be eligible to participate in the University's mediation process. Training sessions shall be arranged by the Provost and Vice President for Administrative Services and be held by experienced mediation professionals, as determined by the Provost and the Vice President for Administrative Services.
K.3.5 University Mediators' Risk Management and Governmental Immunity Provisions
The UMs may be covered by the State's risk management and governmental immunity provisions. Such determinations are made by Risk Management and the General Counsel on a case-by-case basis.
K.4 Referral of Grievable Conflicts to University Mediators
Grievable conflicts shall be referred in writing by a Covered Member to the University Grievance Officer (hereinafter referred to as "UGO") (see Section K.14) no later than twenty (20) working days after the date of the decision or action giving rise to the grievable conflict or discovery of the decision or action. "Discovery" is that point in time when the individual could reasonably be expected to have knowledge that a basis for a grievance existed. Thereafter, the UGO shall assign a UM from the pool within five (5) working days after receiving the written grievable conflict referral to mediate the grievable conflict. The mediation participants shall have five (5) working days from the date of the assignment of the UM to object to such an assignment. An objection can be raised based only on the UM's prior or current relationship with the mediation participants or knowledge of previous related grievable conflicts. The UGO shall make the final decision on the assignment of a UM.
K.5 Mediation Procedures/Time Line
a. The UM shall attempt to mediate potential grievable conflicts between Covered Members by meeting with the mediation participants, discussing their respective positions, and reviewing relevant information. Such action shall occur within ten (10) working days following assignment of a grievable conflict to a UM.
b. If, after meeting with the mediation participants, the UM has reason to believe that mediation efforts are likely to produce a resolution of the grievable conflict, the mediation participants shall enter into a twenty (20) working day mediation period with the UM to attempt to resolve the grievable conflict. If the mediation period does not produce a resolution of a grievable conflict, the Covered Member shall be entitled to file a grievance complaint within five (5) working days after the expiration of the twenty (20) working day mediation period, except that the mediation participants may mutually agree to extend the five (5) day filing deadline an additional ten (10) working days if they or the UM believes such action is likely to produce a resolution of the grievable conflict.
c. If the UM believes that mediation efforts are unlikely to produce a meaningful resolution of the grievable conflict, the UM shall immediately notify both mediation participants of this determination. The Covered Member shall be entitled to file a grievance complaint no later than five (5) working days after the date the UM provides such notice.
d. The UM may continue to work with the mediation participants even after a grievance complaint is filed under Section K. The UM's mediation efforts must, however, cease at the time the Grievance Committee commences a hearing to consider the grievance complaint.
e. Grievable conflicts that are not referred for mediation within twenty (20) working days (see Section K.4) or grievance complaints not filed within five (5) working days (see Section K.5.a and b) are not eligible to be heard by a Hearing Committee under Section K's grievance procedures.
K.6 Documentation (last revised May 2, 2007)
a.The UGO and/or the UM assigned to the case may request, and are entitled to receive promptly, any and all materials that either one may deem relevant to the grievable conflict.
b. Any resolution reached during mediation by participants must be in writing and is subject to approval of legal sufficiency by the General Counsel's office and by any other necessary individuals.
K.7 Admissibility of Communication with the University Mediators
Documentation and other communication created specifically in connection with the resolution of a grievable conflict shall constitute a part of the Covered Member's personnel file pursuant to the Dispute Resolution Act, C.R.S. 13-22-301 et seq. Accordingly, such communication is intended to be confidential to the full extent permitted by law and not be disclosed, except as may otherwise be required by law or by agreement of the mediation participants. When a resolution is reached, documentation and other communication created during the mediation process shall be forwarded to the UGO, who shall retain the materials. For purposes of admissibility in a grievance hearing, records created by a Covered Member or a Responsible Administrator prior to a Covered Member's initiation of the mediation process are not considered confidential communication.
K.8.1 Persons Entitled to Grieve
Any Covered Member may initiate a Grievance, subject to the requirements set forth above (Mediation) and as further provided below. Grievances by more than one (1) Covered Member from a single administrative unit or department or committee thereof may be joined in a common grievance if, in the discretion of the UGO, their Grievances have sufficient commonality to be heard collectively. Persons entitled to grieve under the terms and conditions of this policy are referred to as "Grievants." Matters that can be subject of Grievances are described in Section K.9 and are called "Grievable Actions."
K.8.2 Provision of Due Process to Grievants
a. No action that may deprive a Covered Member of a constitutional right shall be taken unless such a member has first been accorded due process of law.
b. University employees not designated pursuant to state law as having "at will" status, including tenure and tenure-track academic faculty members and persons having preexisting rights of contract extension under such law, shall, before any such action is taken, have the right to grieve under Section K.
c. Covered Members who have "at will" status shall have those procedural rights set forth in b above except with respect to termination of employment. In such cases, any due process required shall be provided administratively in such manner as may be determined by the President and vice presidents of the University.
K.9 Forms of Grievable Actions
Grievable Actions will be in the form of three (3) separate classes of Grievances. Class A and B Grievances, as more fully described below, must involve a complaint by a Covered Member that a Grievable Action has occurred because a decision, recommendation, or action of an administrator is unfair, unreasonable, arbitrary, capricious, and/or discriminatory and that it does or will adversely affect the Grievant in his or her academic and/or professional capacity, excepting those matters set forth in Section K.10. Issues that do not directly affect a Class A or B Grievant in such capacity, such as dissatisfaction with a University policy of general application, are not Grievable Actions. Class C Grievances, as more fully described below, must involve a complaint by an "at-will" employee whose employment was terminated by the University. The determination of whether a Grievance is considered a Class A, Class B or Class C Grievance shall be made by the UGO, based upon legal advice from the appropriately assigned legal advisor.
Class A Grievances are those that involve complaints about the following actions: termination of contractual rights, reduction of salary, demotion, actions violative of academic and intellectual freedom, or assignment of unreasonable work loads. Class A Grievable Actions do not include a decision to terminate the employment of an "at-will" employee. The burden of proof in Class A Grievances falls upon the administrator initiating the decision ("Responsible Administrator"). (For description of burden of proof, see Section K.12.)
Class B Grievances pertain to a term or condition of employment other than those that may be the basis for a Class A or Class C Grievance, such as reappointment, amount of salary, denial of promotion, denial of tenure, abuse of discretion, lower evaluation than deserved on annual review, or denial of sabbatical leave. The burden of proof in Class B Grievances falls upon the Grievant. Class C Grievances involve a claim by an "at-will" employee that the vice president's recommendation to the President regarding an employee's termination was due to discrimination prohibited under Federal or State law or University policy, or a claim that an "at-will" employee is entitled to post-termination due process. The UGO, based upon legal advice from the State Department of Law (Attorney General), shall determine whether such due process rights are in question and whether review by a Hearing Committee regarding such due process rights is warranted. The burden of proof in Class C Grievances shall fall upon the Grievant.
K.10 Exception to Use of the Grievance Procedure
The decisions reached in Section E.10.7 Disciplinary Action for Tenured Faculty are final, except for the appeal procedure described in that section.
The Covered Member is required to participate in the mediation process set forth above prior to initiating a Grievance. If a satisfactory resolution is not achieved through the mediation process, or if the UM determines that mediation will not be successful, the Covered Member may then file a Grievance using the procedure below.
K.11.1 Time and Manner of Initiating a Grievance (last revised June 17, 2003)
A Grievance must be initiated by submitting a written complaint to the Responsible Administrator and the UGO no later than five (5) working days after the expiration of the mediation period, as described in Section K.5. If the UM determines that a grievable conflict will not be resolved through mediation, the Covered Member may initiate a Grievance by submitting a written complaint to the Responsible Administrator and the UGO no later than five (5) working days after the UM notifies the Covered Member of such a decision.
The written complaint ("the Complaint") shall:
a. Identify the nature of the Grievable Action.
b. Name the parties to the grievable conflict.
c. Describe how the action being complained of is unfair, unreasonable, arbitrary, capricious, or discriminatory.
d. Identify how the decision or action adversely affects the Grievant in his or her present or future academic and/or professional capacity.
e. Summarize the evidence that the Grievant is prepared to submit to support the claim.
Upon receipt of the Complaint from the Grievant, the Responsible Administrator shall prepare a written response ("the Response") to the Complaint and submit it to the Grievant and the UGO no later than five (5) working days after receiving the Complaint. This Response should be limited to addressing the claim made in the Complaint.
K.11.2 Receipt of Complaint by Hearing Committee/Request for Formal Hearings(last revised June 17, 2003)
The UGO shall forward the Complaint and the Response (see Section K.11.1) to the Hearing Committee (hereinafter referred to as "the Committee").
The Committee may, either at the request of a party, or on its own initiative:
a. Instruct the parties to file further written statements.
b. Direct the parties to produce additional documents relevant to the Complaint to the extent permitted by law, and to identify possible witnesses and the relevance of these witnesses.
The Committee may decide a Class B grievance without a hearing if the Committee determines that the Complaint lacks substantive merit under the criteria specified in Section K.9. The Faculty Member or Administrative Professional shall have the right to appeal to the Provost a decision rendered by the Committee without a hearing.
K.11.3 Conduct of Grievance Hearings
Evidentiary rules that are applicable to all hearings are given in Section K.11. The rules and procedure outlined below shall apply in all formal hearings conducted by a Hearing Committee.
a. The hearings of a Grievance shall begin no later than ten (10) working days following a Grievant's request for a formal hearing. Each party has the right to request a delay of no more than ten (10) working days upon showing a necessity to allow the proper development of the evidence and arguments, and the UGO shall have the authority to delay hearings to facilitate joining of complaints as provided for in Section K.8.1. Grievance hearings are closed to the public.b. Parties to the Grievance shall have the right to legal and/or peer counsel (see Section K.12.d). Parties shall identify their counsel at the initiation of the proceedings under this Section K and shall not have the right to delay their proceedings because of the lack of counsel, except when emergencies occur.
c. Once initiated, the hearings shall continue on a daily or nightly basis depending on the convenience of the parties and in all cases shall be concluded within ten (10) working days.
d. Parties to a Grievance have the responsibility to attend all scheduled hearings. No substitutes for the parties shall be allowed. If a party is unable or unwilling to attend any hearing, the proceedings may be held ex parte.
e. Parties to Grievances and counsel for such parties are responsible for abiding by the procedures herein established. Those parties failing to adhere to the procedures, or failing to assure that their counsel adhere to the procedures, may be excluded from participation in the hearings by a majority of the Hearing Committee and shall have judgment rendered without the presence of those parties.
f. The Hearing Committee chairperson (see Section K.15.4) shall open the hearing by determining that the parties are present and by identifying the legal and/or peer counsel chosen by the parties. Such advisors or counsels are free to fully advise respective clients throughout the proceedings, to assist in formulating any required written documentation, and to help prepare for any oral presentation but may not actively participate in the proceedings such as making objections or attempting to argue the case. Only the committee members, UGO, parties to the Grievance, and witnesses called shall have standing to speak.
g. The Hearing Committee chairperson shall provide the opportunity to all members of the Hearing Committee to excuse themselves from service prior to a hearing on grounds of such intimate involvement in or with the original decision of the parties (one or both) as to be incapable of rendering an impartial judgment concerning the alleged Grievance.
h. The Hearing Committee chairperson shall provide the opportunity to both parties to challenge for cause members of the Hearing Committee sitting to hear the Grievance.
1. Challenge for cause shall be defined to mean a showing that the challenged member of the Hearing Committee, either through involvement with the original decision or involvement with the parties (one or both), may be incapable of rendering an impartial decision.
2. The Hearing Committee chairperson shall have the authority to decide all such challenges other than those involving the chairperson. Such latter decisions shall be made by the UGO. Members successfully challenged shall be excused from hearing the Grievance.
3. If, because of challenge or excuse, a member of a Hearing Committee is unable to sit the next succeeding Grievance Panel member in the rotation order shall sit to hear the Grievance.
K.11.4 Order of Proceedings for Grievance Hearings
The sequence during the hearings shall vary in accordance with the allocation of the burden of proof. In all instances, the party having the burden of proof shall have the right and responsibility to speak first. Subject to Section K.11.3.e above, the following persons are entitled to be present during the hearings:
a. The parties and their advisors and representatives (see Section K.12.d).b. The UGO, Committee members, and their counsel.
c. Witnesses when testifying.
d. Such other persons as are specifically authorized by the Hearing Committee, unless their presence is objected to by either party and sustained by the UGO.
The hearing process normally should proceed as follows:
a. Statement by the party having the burden of proof.
b. Statement by the other party.
c. Presentation of evidence, either through direct testimony or in authenticated documentary form, by the party carrying the burden of proof (see Section K.11.6 for Evidentiary Rules). The opposing party shall have the right to challenge the relevancy of testimony and written evidence, or to impugn the authenticity of the testimony or evidence presented, and to cross-examine the parties and all witnesses following their original testimony and questioning by the party calling them. All decisions on challenges shall be rendered by the Committee chairperson. Challenges of procedural decisions rendered by the chairperson shall be decided by a majority vote of the remaining members of the Hearing Committee, with all tie votes sustaining the chairperson.
d. Presentation of evidence, as described immediately above, by the opposing party with the same rights and arrangements as outlined immediately above for both parties.
e. Members of the Hearing Committee sitting to hear the Grievance shall have the right to direct questions to witnesses called or to the parties during the presentation of evidence.
f. Summary arguments by the party having the burden of proof, followed by summary arguments of the opposing party.
g. The members of the Hearing Committee shall have the authority to direct any further questions to either or both parties following argument and summary, to schedule further hearings to develop points not yet clarified or call additional witnesses requested by the Hearing Committee if the Committee feels the need to do so. A decision to require further hearings shall be made by the majority vote of the Committee, and such decision shall be announced by the Committee chairperson to the parties with instructions as to the points of evidence or argument requiring further clarification.
K.11.5 Hearing Committee Decision
a. Following the hearing, the Hearing Committee shall retire for the purpose of discussion, conference, and decision. These deliberations shall remain confidential to the full extent permitted by law. The Hearing Committee shall not substitute its judgment on the substantive merits of the decision which is the basis of the Grievance but will review the decision of the Responsible Administrator solely to determine whether the action is unfair, unreasonable, arbitrary, capricious, or discriminatory. If the Hearing Committee concludes that there was a procedural deficiency which materially inhibited the review process, it may specify the nature of such defects and refer the matter back to the appropriate administrator for correction and subsequent return to the Committee.
b. When a majority decision has been attained, the Committee chairperson shall have the responsibility to oversee the formulation of a written statement of the decision that summarizes the relevant evidence and explains the reasoning that supports the decision. It also shall state specifically any action necessitated by the decision and identify any proposed relief to be provided. Should the Committee chairperson not concur in the majority decision, the members of the majority shall choose from among their number a person to oversee the formulation of the written statement of the decision.
c. In all cases, the written decision of the Committee shall be rendered within ten (10) working days of the adjournment for discussion and conference. Dissenting opinions, if any, shall follow the same guidelines and shall be rendered within the same time limits. The Committee chairperson shall transmit the written decision(s) of the Committee to the UGO.
d. The UGO shall notify both parties when a decision has been reached. Within two (2) working days after notice of a decision has been given, the UGO shall announce the decision to both parties. Written copies of the decision or decisions shall be provided to the parties and to the administrator next in line for administrative review.
e. Upon request, any party to the conflict is entitled at no cost to a copy of all written or documentary evidence introduced at the hearing.
K.11.6 Evidentiary Rules for Grievance Hearings
The following rules shall apply in all hearings before a Hearing Committee:
a. It shall be the responsibility of the party seeking to introduce the evidence to demonstrate to the satisfaction of the Committee chairperson the pertinency, legitimacy, and relevance of the evidence presented.
b. Witnesses called to testify shall have direct and personal knowledge of the points attested to and shall be subject to challenge on the ground that they lack such knowledge. Parties seeking to introduce the testimony of witnesses shall first establish the credibility (access to pertinent evidence) and the relevancy of the testimony of witnesses.
c. Written evidence introduced by either party shall be accompanied by a showing of authenticity and relevance to the Grievance.
d. Either party also may object during the questioning or cross questioning of witnesses to the relevancy of the line of questioning pursued. In such an event, the questioner shall show the relevance of the questioning to the Grievance to the satisfaction of the Committee chairperson. All hearings shall be recorded and upon request either party shall have the right to a copy of the record.
e. Communications and documents prepared and produced solely for carrying out the Mediation process shall not be admissible at the Hearing.
f. The UM, for a specific case, cannot attend or be called as a witness in a grievance hearing for that case.
K.11.7 Administrative Review (last revised May 5, 2005)
Decisions of the Hearing Committee adverse to the Grievant are final unless the Grievant chooses to appeal the committee decision. All other decisions of the Hearing Committee must be reviewed by the Provost and President before they become final, unless the Provost or the President is a party to the Grievance. If the Provost is a party to the Grievance, but the President is not, the review shall be made only by the President. If the President is a party to the Grievance, the review shall be made only by the Board.
K.11.7.1 Provost Review(last revised January 27, 2006)
The Provost shall consider the recommendations of the Hearing Committee concerning a Grievance only on the basis of the written record accumulated to that point, together with an appeal, if any, by the Grievant. An appeal by the Grievant must be submitted to the Provost within five (5) working days after receipt of the written decision of the Hearing Committee and must provide reasons for the appeal. Failure of the Grievant to file an appeal within this time frame shall constitute acceptance of the Hearing Committee decision. No party may introduce new substantive issues. The Provost shall overturn a decision of the Hearing Committee only if there is a finding that the decision of the Hearing Committee was unfair, unreasonable, arbitrary, capricious, or discriminatory.
Within ten (10) working days of an appeal from the Grievant or a Hearing Committee decision that was not appealed, the Provost shall respond by providing to all parties to the Grievance and the UGO a written statement of the decision rendered with a summary of relevant evidence and the reasoning that sustains the decision.
K.11.7.2 Presidential Action(last revised May 5, 2005)
The President shall consider the recommendations of the Hearing Committee and the Provost (unless the latter was a party to the Grievance) and any appeals by the Grievant. An appeal by the Grievant must be submitted to the President within five (5) working days after receipt of the written statement from the Provost (or the written decision of the Hearing Committee if the Provost was a party to the Grievance) and must provide reasons for the appeal. Failure of the Grievant to file an appeal within this time frame shall constitute acceptance of the decision of the Provost (or the decision of the Hearing Committee if the Provost was a party to the Grievance). Appeals to the President shall include a written summary of the basis for the appeal, not to exceed two (2) pages, and include copies of the Complaint, the original decision upon which the Grievance was based, the decision of the Hearing Committee, and all administrative decisions made with respect to the decision of the Hearing Committee. The UGO shall assist the Grievant in obtaining any such documentation, if necessary.
Appropriate action by the President refers to the President's decision to accept or reject the decision of the Provost (or Grievance Hearing Committee if the Provost was a party to the Grievance).
a. A decision to accept a Hearing Committee decision in favor of a grievant shall require that the President issue the appropriate instructions through the administrative chain leading to the administrator with whom the grievance initially was filed to make the appropriate redress of the grievance.
b. A decision to reject the Hearing Committee's decision shall be based upon a determination that the decision was unfair, unreasonable, arbitrary, capricious, or discriminatory. The President shall issue a written statement of the decision, complete with a recounting or summary of the pertinent evidence, a recitation of the relevant policy or policies, and an explanation of the reasoning behind the refusal to accept the Hearing Committee decision. To provide redress in cases where the Presidential decision favors the Grievant, the President shall issue the appropriate instructions through the administrative chain leading to the administrator with whom the grievance initially was filed.
c. A decision to accept the Hearing Committee's decision against the Grievant shall require a statement to that effect, with or without further elaboration.
The President shall issue a decision to all parties and the UGO within twenty (20) working days after receipt of all relevant material. The decision of the President is final.
K.11.7.3 Appeals to the Board (last revised May 5, 2005)
If the President was a party to the Grievance, the Grievant may appeal the decision of the Hearing Committee to the Board. An appeal to the Board must be made in accordance with its Grievance Review Policy ("Review Policy"). Such policies are attached as Approved Policy XI-14 to the Board of Governors/Colorado State University System Manual of Policies and Procedures. Copies of this Policy may be obtained either from the UGO or the Secretary or Assistant Secretary of the Board. The Review Policy describes the scheduling of Board review requirements for submission of written statements, including a statement by the Grievant that must be filed thirty (30) days prior to the scheduled review proceeding, and the process by which the Board conducts its review and makes its decisions. Reference must be made to the Review Policy in its entirety for a complete understanding of the Board's requirements for review of Grievances.
The Board may adopt its own rules and procedures for considering grievance appeals. Board decisions in favor of the Grievant shall include an appropriate remedy for the Grievance, whether through special Board action or in the form of instruction for appropriate administrative relief. Decisions by the Board, whether to approve or disapprove recommendations by the Hearing Committee or to sustain or reject appeals made by Grievant, are final.
K.12 Description of Terms (last revised June 22, 2006)
a. Administrative Duties
With respect to qualification to serve on the Grievance Panel, administrative duty or duties refers to the service of those members of the academic faculty acting as the administrators responsible for the various administrative units, departments, colleges, and the University, and responsible for budgets and supervising and evaluating personnel other than state classified personnel. The term shall cover persons having the title "Assistant" or "Associate" Dean. However, service by members of the academic faculty as chairs of faculty committees, as the administrators responsible for the various interdisciplinary programs existing on or off-campus, or as Principal Investigators on contracts and grants shall not be considered to be administrative duties.
b. Burden of Proof
Refers to the responsibility of one (1) or the other of the parties to a Grievance to show that the allegations made in pursuance of or in defense against a formally filed Grievance are more likely than not to be accurate.
c. Decision
A decision is not final until it has been approved officially. The Board has delegated the authority for official approval of most personnel matters to the President, and the President has further delegated the authority to approve appointments to the Provost and vice presidents for the administrative units under their authority. For purposes of Section K, a decision includes recommendations made by an administrator which affect the employment status, including terms or conditions of employment, of an academic faculty member.
d. Right to Counsel
Parties to Grievances may seek the aid and assistance of counsel, either legal and/or peer, but no party shall have more than two (2) counselors present during any of the discussions, hearings, or proceedings. Legal counsel refers to those counselors selected by the parties who are licensed to practice law, whether members of the academic faculty or not. Peer counsel refers to those counselors selected by the parties who are not licensed to practice law. Counselors shall not have standing to speak or to present written briefs.
e. Working Day
Any day of normal University operations during the employment year (academic or fiscal) of the Grievant. It is based upon the five (5) day, Monday through Friday week, except all official University holidays.
K. 13 Right To Clerical Assistance(last revised June 17, 2003)
Any person entering the Grievance procedure has the right to clerical support from University personnel for preparation of documents for use in the Grievance process. Because maintenance of confidentiality is an important element of the procedure, the clerical support should come from a unit at the next higher level than the one in which the Grievant is housed (e.g., from the dean, for an academic faculty member; from a vice president, for a dean; etc.). The UGO reserves the right to question and determine the applicability, reasonableness, and relevance of any material to the Grievance. This right may include the refusal by the UGO to forward the Complaint, the Response, and/or any supporting document(s) to the Hearing Committee until the UGO judges that the documents are in compliance with the requirements of Section K. Failure by either party to bring documents into compliance with Section K requirements by a deadline set by the UGO shall result in forfeiture by that party of the right to pursue the matter through Section K, or, at the discretion of the UGO, the forwarding by the UGO of redacted documents to the Hearing Committee.
K.14 University Grievance Officer
The UGO is responsible for coordinating and facilitating the activities of the UMs, the Grievance Panel, and the Hearing Committees (see Section K.14.4 and 15). The UGO also assures that the procedures herein established are followed reasonably and accurately and decides procedural issues as set forth herein. Any departure from these procedures shall occur only with the written approval of the UGO.
K.14.1 Selection, Qualifications, and Term of the University Grievance Officer (last revised June 22, 2006)
A subcommittee of the Grievance Panel shall solicit nominations for the UGO in November of the third year of the UGO's term of office and shall recommend two (2) or three (3) qualified people to the President through the Provost. The UGO shall be selected by the President, after consultation with the subcommittee members of the Grievance Panel, during the second week of February. The selection must be confirmed by a majority vote of those cast by the Faculty Council and the Administrative Professional Council in April, such confirmations being conducted separately. In the event that a majority vote of those cast is not attained by both the academic faculty members and administrative professionals, another candidate shall be proposed by the President. The UGO shall take office on July 1 following the vote and shall report to the Provost. The Provost shall keep the President informed regarding the activities of the UGO.
The UGO shall be a tenured, full-time member of the academic faculty with at least the rank of associate professor and shall have no administrative duties (see Section K.12.a) throughout the term of service. The term of office shall be three (3) consecutive one (1) year appointments. The UGO shall be evaluated annually. In November, the Executive Committee of Faculty Council and the Executive Committee of the Administrative Professional Council shall each send a written performance evaluation to the Provost. Based on these two (2) evaluations, the Provost prepare the official evaluation of the UGO and submit it to the President preceding each reappointment. If the position of UGO becomes vacant before expiration of the term, the Grievance Panel shall recommend an interim appointment to the President, through the Provost, to serve until a confirmed UGO, selected the following February, takes office on July 1.
K.14.2 Oversight of the University Grievance Officer
The UGO shall be responsible to the Grievance Panel (see Section K.15.1) which shall be authorized to adopt procedural guidelines necessary to implement provisions of Section K as well as to assure that the UGO meets his or her responsibilities under Section K.14.
K.14.3 Service of the University Grievance Officer
The UGO shall be appointed part-time, depending upon the work load. The appointment fraction and associated funds shall be negotiated at least annually among the UGO, the Provost, and the UGO's department head and may be reviewed as necessary during the year. Adequate secretarial and expense support shall be provided by the Provost.
K.14.4 Duties of the University Grievance Officer
The UGO shall be responsible for:
a. Maintaining a record of actions taken with the Grievance process.
b. Coordinating and facilitating the activities of the Grievance Panel by maintaining the records of the Panel, scheduling all meetings of the Panel for informational and organizational purposes, scheduling meetings of its Hearing Committees, calling individuals to appear before the Hearing Committees, and establishing the rotation order for service by the members of the Panel on Hearing Committees.
c. Overseeing the grievance procedures, review processes, and mediation system hereby established to insure its effectiveness and to prepare reports to the Grievance Panel, including recommendations for improving the system.
d. Assuring that academic faculty members and administrative professionals are familiar with the provisions, components, purposes, and procedures of the Grievance Procedures, review processes, and mediation system.
e. Making recommendations to the Committee regarding guidelines for the Committee to operate under pursuant to Section K.
f. Advising potential and active parties to a Grievance of their prospects for sustaining a Grievance, including their responsibilities for following the procedural rules of Section K.11.
g. Facilitating the conduct of Hearings and decision.
h. Preparing an annual report with the Grievance Panel each June for the Faculty Council and Administrative Professional Council, which summarizes activities and recommendations during the previous year.
i. Maintaining and updating the list of UMs.
j. Appointing appropriate UMs to mediate grievable conflicts involving academic faculty members, administrative professionals, or administrators.
K.14.5 Temporary Special University Grievance Officer
In the event of a conflict of interest by the UGO in a Grievance, or in the event that the UGO becomes a Grievant or requests to be recused, the Provost shall appoint, after consultation with the Grievance Panel and the President, a Special UGO for that Grievance. The Special UGO shall have all the duties herein of the UGO for the duration of the specific Grievance for which he/she is appointed.
K.15 Grievance Panel and Hearing Committees
The Grievance Panel shall be a pool of eligible Hearing Committee members consisting of twenty-one (21) tenured academic faculty members with at least one (1) from each college and the University Libraries and twenty-one (21) administrative professionals, representing at least four (4) administrative areas. Administrative professionals shall have had at least five (5) years employment at half-time (0.5) or greater at Colorado State University. No person having administrative duties, as described in Section K.12, shall be qualified to serve on the Grievance Panel. The UGO and Hearing Committee shall be advised by a representative from the Office of the University General Counsel or the State Department of Law (Office of the Attorney General). The Grievance Panel shall operate under a set of bylaws that describes the operating procedures of the Grievance Panel and Hearing Committees. These bylaws shall be prepared by the Grievance Panel in consultation with the UGO, or subcommittee thereof, and shall be reviewed annually and modified as appropriate. The Grievance Panel shall elect an ad hoc chairperson for each meeting. The UGO shall be an ex officio and non-voting member of the Grievance Panel during its meetings.
K.15.2 Election of Grievance Panel Members
Academic faculty members shall be nominated by the Faculty Council Committee on Faculty Governance who shall provide a full slate of nominees for election by the Faculty Council. Administrative professionals shall be elected by the Administrative Professional Council. Nominations for candidates shall be opened on February 15, annually, and election shall be held in April, those elected taking office on the first (1st) day of fall semester.
K.15.3 Service on the Grievance Panel and Filling of Vacancies
Service on the Grievance Panel shall be for a three (3) year term, the staggering of terms having been established by lot when the Panel began. Panel members who have served two (2) consecutive terms shall be ineligible for reappointment for a period of two (2) years. When vacancies occur, the Faculty Council Committee on Faculty Governance or the Administrative Professional Council shall fill the vacancy, according to the constituency of the vacant member, by appointment unless the vacancy occurs within one (1) month before the regular election. The unexpired term shall then be filled at the next regular election.
K.15.4 Organization and Functioning of Hearing Committees
The UGO shall establish a rotation schedule for the members of the Grievance Panel to serve on Hearing Committees which shall consist of five (5) persons. All members of Hearing Committees shall have the same appointment classification (administrative professional or academic faculty) as the Grievant. Each Hearing Committee scheduled to hear a Grievance shall select from its membership a chairperson who shall be a voting member of the Committee, preside over the hearing, maintain orderly procedures, and supervise the preparation of the written decision concerning the Grievance. When the chairperson shall be in the minority in a divided vote, the person who supervises the preparation of the written decision shall serve as the spokesperson for the Hearing Committee in the event of rejection or appeal of the decision rendered.
If, because of absences or successful challenges, the five members required for Hearing Committee functioning cannot be attained or maintained, the next succeeding persons in the rotation order shall sit to hear the Grievance. If the chairperson shall be challenged and excused, the members sitting to hear the Grievance shall select another from among their number. In the event it is impossible to establish a full Committee from the remaining membership of the Grievance Panel, the parties shall nominate two (2) persons each for every vacant position, and the UGO shall name the replacements from among those names submitted by the parties, subject to further challenge for cause as provided in Section K.11.3.h.
By agreement of the parties, or in the event of pressing emergencies, subject to the written approval of the UGO, the time limits set forth in Section K may be extended for reasonable periods.
K.17 Timing Limitations Within the Mediation System and the Grievance Review Process
Note: Please click on title to go to Section K.17 table.K.18 Expectations for Members of the University Community (last revised December 14, 2004)a. Cooperation and participation by the members of the University community in the resolution of a complaint under these procedures is necessary.
b. All witnesses shall be truthful in their testimony. Failure to comply with this expectation may result in the imposition of University sanctions
c. No person shall restrain, interfere with, coerce, attempt to intimidate, or take any reprisal against a participant under these procedures. Failure to comply with this expectation may result in the imposition of University sanctions.