Appendix G - Faculty Grievance Procedures

1. Purpose
   The purpose of these procedures is to promote prompt and efficient investigation and resolution of grievances. Whenever possible, all problems should be resolved before filing a grievance. Open communication between administrators and faculty is encouraged so that resort to formal procedures will not be necessary.
2. Definitions
   1. Grievance. The term “grievance” shall mean an allegation that the grievant’s employment rights and entitlements have been adversely affected due to a violation, misapplication or misinterpretation of College policies, regulations, or procedures.
      1. The term “major grievance” shall mean
         1. a grievance involving academic freedom, and/or inadequate consideration by the department or the Committee on Academic Rank and Tenure resulting in non-reappointment, denial of promotion or tenure, dismissal for adequate cause, or
         2. a grievance involving termination because of a financial exigency or termination because of discontinuance of a program or department not mandated by financial exigency. (See Appendix D .)
      2. The term “minor grievance” shall mean a grievance on any other matter.
   2. Business Day. The term “business day” shall mean a day when the business offices of the College are open.
3. Other Procedures
   In recognition of the fact that the commitment of the College and the grievant to this process is necessary in order to achieve its designed objectives, if the grievant seeks resolution of the subject matter of a pending grievance in any forum or by any set of procedures other than those established here, whether administrative or judicial, the College shall be under no obligation to proceed any further with the grievance procedures below.
4. Confidentiality
   Grievance proceedings shall be maintained as confidential subject only to the need of the grievant and the College to comply with the processes specified herein and to present evidence concerning the grievance in other administrative or judicial proceedings. All hearings shall be held in closed sessions.
5. Time Limitations
   When any action which is required to be taken within a specified time period is not taken in time, the following shall apply:
   1. If the grievant fails to act within the time limits provided herein, the College shall have no responsibility to process the grievance and it shall be deemed waived and dismissed.
   2. If the College fails to act within the time limits provided herein, the grievant may proceed to the next review level and any subsequently issued decision on the matter at the by-passed level shall be moot. Nothing in a. or b. above precludes extension of time limits herein contained when mutually agreed upon by the grievant and the administration.
6. Procedure for Handling a Minor Grievance
   1. The grievant must present the grievance in writing to the department chair. If the grievance involves the department chair, then the grievant must present the grievance in writing to the provost. The grievance must be filed within twenty-five (25) business days of the date on which the grievant knew or should have known of the action or condition which occasioned the grievance. The department chair or the provost, upon receiving written notice of the grievance, shall investigate the matter as deemed appropriate and respond to the grievant in writing within twenty (20) business days of the date the grievance was filed with the department chair or the provost.
   2. If the grievance is not resolved (6.a.) and the grievant desires to pursue the matter, the grievant shall file it in writing with the provost within ten (10) business days of the part 6.a. decision. The written submission shall state the specific policy, regulation, or procedure alleged to have been misinterpreted, misapplied, or violated, and the relief requested. The provost (if he or she is not the subject of the grievance) shall investigate the grievance as deemed appropriate and respond to the grievant in writing to the grievant’ s residential address within ten (10) business days from the date the written grievance was filed. The provost (if he or she is not the subject of the grievance) may investigate the grievance on his/ her own, may assign a designee to investigate and to make a recommendation and/or may request an investigation and recommendation from the Appeals Committee of the Faculty Senate. In the event the provost is the subject of the grievance, the president of the College shall appoint a member of the administration to investigate and hear the grievance in accordance with procedures established in this appendix. At any time prior to the issuance of a decision, the provost shall hold an informal conference with the grievant in an attempt to effect a settlement. If no settlement is reached at that meeting, the provost shall proceed to issue a decision. The provost shall, within thirty (30) business days after the grievance was filed with his/ her office, notify the grievant of his/her decision. The decision shall include a statement of the findings and conclusions supporting the decision and shall be in writing to the grievant’s residential address. The decision of the provost shall be final.
7. Procedure for Handling a Major Grievance
   1. Grievances Concerning Alleged Violation of Academic Freedom
      If a faculty member alleges that a violation of academic freedom significantly contributed to a decision not to reappoint him/her, or a decision not to tenure him/her, this allegation shall be given a preliminary consideration by the Appeals Committee of the Faculty Senate. The three primary functions of the Appeals Committee of the Faculty Senate in reviewing the petition are the following:
      1. To determine whether or not the matter on its face involves a violation of academic freedom that significantly contributed to the decision not to reappoint, or the decision not to tenure. Should the Appeals Committee so determine, the committee shall recommend that the matter shall be treated as tantamount to a dismissal of a tenured faculty member, and the faculty member shall have the opportunity to avail himself/herself of a hearing before a hearing board as described in Section 8, below. In such cases, the burden of proof rests with the faculty member.
      2. To seek to settle the matter by informal methods.
      3. To decide whether or not the evidence submitted in support of the petition warrants a recommendation that the matter be treated as a dismissal and subject to the formal procedures in Section 9, below.
   2. Grievances Concerning Alleged Inadequate Consideration by the Department or the Committee on Academic Rank and Tenure
      If a faculty member alleges that inadequate consideration by the department or the Committee on Academic Rank and Tenure contributed to a decision not to promote or tenure him/her, this allegation shall be given a preliminary grievance hearing by the Appeals Committee of the Faculty Senate. The appellant faculty member’s grievance petition shall set forth, in detail, the nature of the grievance and it shall contain any factual or other data which the appellant deems pertinent to the case. Submission of the petition does not automatically entail further investigation or detailed consideration. The Appeals Committee will have the right to decide whether or not the facts merit a detailed investigation. If so, the Appeals Committee chair or the chair’s designee, who shall be a member of the Appeals Committee, will appear before the Committee on Academic Rank and Tenure to review and discuss the Appeal Committee’s report. Submission of the petition does not automatically entail further investigation or detailed consideration. The primary functions of the Appeals Committee of the Faculty Senate in reviewing the petition shall be the following:
      1. To determine whether the recommendation of the department or the Committee on Academic Rank and Tenure was the result of inadequate consideration in terms of the relevant norms and standards of the College, with the understanding that the Appeals Committee shall not substitute its judgment on the merits of the case for that of the Committee on Academic Rank and Tenure.
      2. To request reconsideration by the department or the Committee on Academic Rank and Tenure when the Appeals Committee concludes that adequate consideration was not given to the faculty member’s qualifications. In such instances, the Appeals Committee shall indicate the respects in which it believes the consideration may have been inadequate.
      3. To provide copies of its report and recommendations to the faculty member, the department, the school dean, the Committee on Academic Rank and Tenure, and the president of the College. After receiving the report and recommendations of the Appeals Committee, the department may reconsider its previous assessment of the candidate or decide to take no action. The department shall forward its decision to the school dean and the Committee on Academic Rank and Tenure. After receiving the report and recommendations of the Appeals Committee and the decision of the department, the Committee on Academic Rank and Tenure will invite the Appeals Committee chair or the chair’s designee, who shall be a member of the Appeals Committee, to appear before The Committee on Academic Rank and Tenure to discuss the Appeals Committee’s assessment, and the accompanying rationale, that there was inadequate consideration. The Appeals Committee chair (or the chair designee) will be present for the entire deliberation and vote.The Committee on Academic Rank and Tenure shall then report its final recommendations to the president, whose decision after receiving the reports and recommendations of both the Appeals Committee of the Senate, and the Committee on Academic Rank and Tenure, shall be final.
          
   3. Grievances Concerning Dismissal for Adequate Cause
      1. A dismissal for adequate cause as defined in Appendix C shall be related directly and substantially to the fitness of the faculty member in his/ her professional capacity. Dismissal will not be used to restrain the faculty member in his/her exercise of academic freedom or other rights afforded by federal, state, and local law.
      2. In cases of a recommendation of the Committee on Academic Rank and Tenure and/or a decision of the president to dismiss a tenured faculty member with continuous tenure or with a term or probationary appointment before the end of a specified period, said dismissal will be preceded by:
         1. An informal meeting and discussion between the faculty member, the provost, and the department chair. At this meeting, a written statement of charges, framed with reasonable particularity by the provost, will be presented to the faculty member.
         2. If no mutually acceptable agreement can be reached, the Committee on Academic Rank and Tenure shall hold a preliminary administrative hearing within the ten (10) business days following the informal hearing. The faculty member and all concerned parties may present such evidence and witnesses as they may deem necessary and appropriate. At the conclusion of this hearing, the Committee on Academic Rank and Tenure will present its findings to the faculty member, the department chair, and the president.
         3. If these findings are not acceptable to the faculty member, the faculty member concerned shall have the right to be heard by a hearing board.
   4. Grievances Concerning Issues of Criteria and Procedures for Removal of Faculty by Reason of Financial Exigency
      If a faculty member removed by reason of financial exigency alleges misapplication of the established criteria and procedures used in, and applied to, the removal, this allegation shall be given a preliminary grievance hearing by the Appeals Committee of the Faculty Senate. The grievance petition shall set forth in detail the nature of the grievance and it shall contain any factual or other data which the grievant deems pertinent to the case. The Appeals Committee will have the right to decide whether or not the facts merit a detailed investigation. Submission of the petition does not automatically entail further investigation or detailed consideration. The primary functions of the Appeals Committee of the Faculty Senate in reviewing the petition shall be the following:
      1. To determine whether the removal was the consequence of the adequate and appropriate application of the criteria and procedures for removal, with the understanding that the Appeals Committee shall not substitute its judgment on the merits of the case for that of the president.
      2. To request reconsideration by the president when the Appeals Committee believes evidence exists that the criteria and procedures may have been misapplied in the removal. In such instances, the Appeals Committee shall indicate the respects in which it believes the criteria and procedures may have been misapplied.
      3. To provide copies of its report and recommendations to the faculty member, the school dean, the provost, the Committee on Academic Rank and Tenure, and the president of the College, whose decision, after receiving the report of the Appeals Committee of the Senate and any recommendation from the Committee on Academic Rank and Tenure, shall be final. This decision shall be presented in writing by the president to the faculty member.
   5. Grievances Concerning Issues of Criteria and Procedures for Removal of Faculty by Reasons of Program Discontinuance
      If a faculty member removed by reasons of program discontinuance, as described in Appendix D, alleges misapplication of the established criteria and procedures used in, and applied to, the removal, this allegation shall be given a preliminary grievance hearing by the Appeals Committee of the Faculty Senate. The grievance petition shall set forth in detail the nature of the grievance and it shall contain any factual or other data which the grievant deems pertinent to the case. The Appeals Committee will have the right to decide whether or not the facts merit a detailed investigation. Submission of the petition does not automatically entail further investigation or detailed consideration. The primary functions of the Appeals Committee of the Faculty Senate in reviewing the petition shall be the following:
      1. To determine whether the removal was the consequence of the adequate and appropriate application of the criteria and procedures for removal, with the understanding that the Appeals Committee shall not substitute its judgment on the merits of the case for that of the president.
      2. To request reconsideration by the president when the Appeals Committee believes evidence exists that the criteria and procedures may have been misapplied in the removal. In such instances, the Appeals Committee shall indicate the respects in which it believes the criteria and procedures may have been misapplied.
      3. To provide copies of its report and recommendations to the faculty member, the school dean, the provost, and the Committee on Academic Rank and Tenure, and the president of the College, whose decision, after receiving the report of the Appeals Committee of the Senate and any recommendation from the Committee on Academic Rank and Tenure, shall be final. This decision shall be presented in writing by the president to the faculty member.
8. Hearing Board
   1. A faculty hearing board shall be established by request of the concerned faculty member to the president of the Faculty Senate and shall be established no later than 21 days after receipt of the request by the president of the Faculty Senate.
   2. The hearing board shall be elected by the enfranchised members of the Ordinary Faculty at large, the election to be conducted under the auspices of the Faculty Senate. The ballot shall contain the names of the tenured members of the Ordinary Faculty in the ranks of assistant professor, associate professor, and professor who have been associated with Providence College for at least two consecutive years immediately prior to the election. The seven faculty members having the highest number of votes in descending order shall be declared elected. Ties shall be broken by considering the faculty member with the longer service at the College to be in the higher position. A member will remove himself/herself from the case, either at the request of a party or on his/her own initiative, if he/ she deems himself/herself disqualified because of bias or interest. Each party (the faculty member and the president or his delegate) shall have a maximum of two challenges without stated cause. Vacancies on the hearing board resulting from disqualification, challenge without stated cause, illness, resignation, or other reason, shall be filled by selection of the faculty member(s) receiving the next higher number of votes, until the board is fully constituted.
   3. The chairperson of the hearing board shall be chosen from and by its members by a majority vote.
9. The Dismissal Hearing
   The hearing board shall conduct the hearing according to the following:
   1. Service of hearing notice with specific charges shall be made in writing at least twenty (20) business days prior to the hearing. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing but denies the charges against him/ her or asserts that the charges do not support a finding of adequate cause, the hearing board will evaluate all available evidence and rest its recommendation upon the evidence in the record.
   2. The hearing board, in consultation with the president and the faculty member, shall exercise its judgment as to whether the hearing should be public or private.
   3. During the proceedings, the faculty member shall be permitted to have an academic advisor and may engage counsel of his/her own choice at his/her own expense.
   4. A stenographic record of the hearing or hearings shall be taken and a transcript made available to the faculty member upon request without cost.
   5. The burden of proof that adequate cause exists rests with the College, and shall be satisfied by a preponderance of evidence in the record considered as a whole.
   6. The hearing board shall grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
   7. The faculty member shall be afforded an opportunity to obtain witnesses and documentary evidence. Witness requests and requests for documentary evidence may be made by either party up to fifteen (15) business days prior to the hearing. The parties will have three (3) business days to object to the appearance of any witness and any documentary production request. All requests and objections must be submitted in writing to the chair of the hearing board with adequate reasons for the requests. The chair shall rule on the requests and objections thereto at least three (3) days prior to the hearing date. Requests that are granted will be honored within three (3) days of the chair’s ruling.
   8. The faculty member and the Administration, represented by the provost, shall have the right to confront and cross-examine all witnesses.
   9. In the hearing of charges of incompetence, the testimony may include that of qualified faculty members from this or other institutions of higher education familiar with the qualifications and performance of the grievant.
   10. The hearing board shall not be bound by strict rules of legal evidence, and may admit any evidence which it deems to be of probative value in determining the issues involved.
   11. The findings of fact and the decision shall be based solely on the hearing record.
   12. Except for such simple announcements as may be required concerning the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers shall be avoided insofar as possible until the proceedings have been completed, including consideration by the Board of Trustees. The president and the faculty member shall be notified of the decision in writing and shall be given a copy of the transcript of the hearing.
   13. If the hearing board concludes that adequate cause for dismissal has not been established by the evidence in the record, it shall so report to the president. If the president rejects the report, he shall state his reasons for doing so, in writing, to the hearing board and to the faculty member, and provide an opportunity for response before transmitting the case to the chairman of the Board of Trustees. If the hearing board concludes that adequate cause for a dismissal has been established, but that an academic penalty less than dismissal would be more appropriate, it shall so recommend, with supporting reasons. The president, based on the record, shall impose the penalty, and his decision as to the severity of penalty is final. If dismissal or other penalty is recommended by the hearing board, and the president concurs with that recommendation, then the decision of the president is final. If the president does not concur with the recommendation of the hearing board, the faculty member may appeal the president’s decision in accordance with the Executive Committee of the Board of Trustees’ resolution adopted September 9, 1999, and affirmed October 5, 1999.
10. Suspensions
    Until the final decision upon termination of an appointment has been reached, the faculty member shall be suspended, or assigned to other duties in lieu of suspension, at the discretion of the president of the College. Suspension is appropriate only pending a hearing. A suspension which is intended to be final is a dismissal, and shall be dealt with as such. Salary will continue during the period of suspension except in cases involving moral turpitude.