East Carolina University Faculty Manual

APPENDIX X.

GRIEVANCE PROCEDURES FOR COMPLAINTS OF SEXUAL OR RACIAL HARASSMENT OR DISCRIMINATION OR CONFLICTS OF INTEREST BROUGHT AGAINST EAST CAROLINA UNIVERSITY FACULTY MEMBERS OR ADMINISTRATORS HOLDING FACULTY STATUS.*

VII.      Level Two Grievance Procedures

Level Two grievance procedures are initiated at the request of complainants and require that complainants submit written complaints to the Grievance Officer.  Written complaints of harassment, discrimination, or conflicts of interest submitted to the Grievance Officer by the complainants will contain (at least) the following: (a) the complainants' description of the alleged events, including times, dates, places, and witnesses, if possible; (b) the complainants’ description of the effects, if any, of the alleged events; (c) the names of the individuals alleged to have subjected the complainants to harassment or discrimination, or alleged to be in violation of the University's conflict of interest policy . (d) the names of the complainants; (e) the signatures of the complainants; and (f) the signature of the Grievance Officer, with the date of receipt of the complaint.

 

Within ten working days of receiving written and signed grievances, the Grievance Officer will supply the respondents with copies of the complaints brought against them.  When the identity of the complainants has been made known to the respondents, every effort will be made to protect all parties and witnesses from retaliatory action by the respondents.

 

1.   If no previous attempt at a Level One resolution of the grievance has been made, within ten working days of providing the respondents with a copy of the complaints against them, the Grievance Officer will request the complainants to initiate a Level One resolution of the grievance.  If the complaints do not agree then the Grievance Officer will proceed with the Level Two grievance procedure.  If a Level One resolution of the grievance is attempted and complainants remain unsatisfied after fifteen working days from submitting their written grievance, they will indicate this in writing to the Grievance Officer.  Within ten working days after receiving such notification from complainants, the Grievance Officer will submit the notification and the complainants' original written grievance to the Chair of the Grievance Board. 

 

2.   If a Level One resolution was attempted prior to the submission of a written grievance by the complainants, within ten working days of receiving written notification from complainants that they are unsatisfied with attempts to affect a Level One resolution of their complaints, the Grievance Officer will submit the grievance to the Chair of the Grievance Board.

 

Communications pertaining to sexual, racial or ethnic harassment or discrimination, or conflict of interest cases are maintained by the Chair of the Grievance Board.  Such communications include, when appropriate, the following: copies of all written communications, the time, date, names of participants, witnesses, the contents of any interaction or meetings held with regard to a Level Two harassment, discrimination. or conflict of interest case, a summary of the course of action, and the findings of the Committee.  Any of the above records or communications maintained by the Chair of Grievance Board are confidential and can not be released unless such release is compelled by law.

 

A.   Composition of the Grievance Board

The Grievance Board (hereafter, "the Board") ordinarily shall be composed of seven faculty members and five alternates each of whom is a permanently tenured voting faculty member holding no administrative title.* The University encourages sexual and ethnic diversity on the Board.  The initial election of members and alternates to the Board shall take place at the Faculty Senate meeting immediately after this provision is adopted.  The Committee on Committees will nominate a slate of candidates to the Faculty Senate.  Members of the Faculty Senate may nominate candidates from the floor of the Faculty Senate.  At the initial election, the Faculty Senate will elect three members and two alternates to one‑year terms, two members and two alternates to two‑year terms, and two members and one alternate to a three year term.  When these and successive terms expire, members and alternates on the Board shall be elected for two‑year terms.  Elections will be held yearly at the second regular meeting of the Faculty Senate.  Members of the Board whose terms have expired are ineligible for membership on the Board for a period of three years after the expiration of their terms.  Members leaving the Board between elections will be replaced by alternates.  If at anytime between elections the number of alternates falls below two due to alternates replacing members who have resigned from the Board, the Committee on Committees will nominate candidates for the alternate positions.  Members of the Faculty Senate may nominate candidates from the floor of the Faculty Senate.  The Senate will elect new alternates at the first regular Faculty Senate meeting subsequent to the number of alternates falling below two.  

 

The members of the Board shall elect annually a chair, a vice‑chair, and a secretary.  The business of the committee shall be conducted according to the most recent edition of Robert's Rules of Order, Newly Revised, except as described below.  The quorum for the Board of seven members during any hearing shall consist of seven members.  Should fewer than seven Board members be present at the beginning of a hearing, the Board shall elect a replacement from the alternates.  This alternate shall serve for the duration of the hearing. 

 

When the Board is convened to consider a grievance those Board members who hold an appointment in the complainants' or respondents' academic unit, those who reasonably expect to be called to provide evidence during the hearing, and those who have a conflict of interest are disqualified from participation in the hearing.  In addition, both complainants and respondents may disqualify one member of the Board without cause.  If any members of the Board are disqualified, the remaining members will elect replacements from the alternates.  If no further alternates are available the Chair of the Faculty will select additional alternates to allow the Board to conduct its business.

 

B.  Purposes of Hearing

The purposes of a hearing are (i) to render findings of facts and recommendations as to whether evidence presented to the Board during the hearing sustains the complainants' allegations against the respondents, (ii) to communicate in the Board's report to the Chancellor (a) the Board's finding and the reasons that support this finding, and (b) the Board's recommendations regarding resolution of the complaint.  Given the avenues of appeal provided to faculty members in the ECU Faculty Manual, Appendix D. and in the UNC Code, actions by the University based upon the findings of the Grievance Board are final only when the Chancellor renders her or his opinion, and the respondents fail to challenge either the Board's findings or the Chancellor's concurrence or actions based on the Board's findings in the manner provided in the ECU Faculty Manual, Appendix D.

 

C.  Conduct of Hearing

It is important to note at the outset that in cases where the Grievance Board's findings constitute part or all of the basis for a faculty member's being reduced in rank, suspended, or terminated from employment, the faculty member holding the protection of permanent tenure can require a hearing before the Due Process Committee.  A hearing before the Due Process Committee affords faculty members the right to be represented by attorneys who participate in the hearing procedure. 

 

Similarly, in cases where the Grievance Board's findings are part or all of the basis for the Chancellor's taking disciplinary actions against a faculty member that do not include reduction in rank, suspension, or termination of employment, the faculty member has the right to a hearing before the Faculty Grievance Committee. 

 

The hearing before the Grievance Board shall be conducted in private.  Attendance at the hearing is limited to: members of the Board; the complainants and one person who may advise the complainants but shall not take an active part in the proceedings; the respondents and one person who may advise the respondents but shall not take an active part in the proceedings.  Witnesses shall not be present throughout the hearing, but will be available at a convenient location, and will be called to appear before the Board at times specified by the Board.  Any witnesses willing to testify who were made known to the Board either by the complainants or by the respondents will be allowed to testify before the Board.

 

In conducting its hearing the Board may call witnesses.  The Board may seek the assistance of the University attorney in obtaining statements from persons who will not be present at the hearing.  Such statements will be submitted to the Board for consideration during the hearing.  In making its determination, the Board shall consider only such evidence as is considered during the hearing.  The Board may use its own judgment in deciding the admissibility and/or relevance of any testimony of any person before the Board, and the admissibility and/or relevance of any evidence whatsoever.

 

D.  Hearing Procedure

Within ten working days of receiving a complaint from the Grievance Officer, the Board chair shall notify respondents by registered mail, return receipt requested of the time and place the Board will convene, and shall provide respondents with a copy of the complaint against them.* The Board shall initiate a hearing no later than thirty working days after the date notification was received by respondents.  Complainants or respondents may request in writing a thirty day postponement of the Hearing.  The postponement shall be granted if a majority of the Board agrees that exceptional circumstances justify postponement.  Having set a date, time and place for the hearing, the Board shall within twenty‑five working days before the hearing notify the complainants, respondents, known witnesses and Grievance Officer of the time, date, and place of the hearing.

 

Fifteen working days prior to the Board's convening, complainants and respondents shall identify in writing individuals who may provide evidence to the Board, and shall provide the Board with any written or other material they wish entered as evidence.  Ten working days prior to the hearing, the Board shall provide respondents with a copy of the list of witnesses for the complainants, and with a copy of any depositions or other written material, and/or a description of any other evidence the complainants have submitted to the Board.  Seven working days prior to the hearing, the Board shall provide the complainants with a copy of the list of witnesses for the respondents, and with a copy of any depositions or other written material, and/or a description of any other evidence that respondents have submitted to the Board.  At any time prior to the presentation of closing statements by complainants and respondents, complainants and respondents may request in writing that the Board allow new witnesses to testify, or new evidence be submitted to the Board.  Such requests shall be granted if they are deemed relevant by a majority of the Board.  When the Board votes to accept new witnesses or evidence, the names of these witnesses and/or copies or descriptions of evidence shall be supplied to the complainants or respondents as soon as possible.  

 

The hearing shall begin with an opening statement by the Chair of the Board.  This statement shall identify the purpose of the hearing, the contents of the complaint, the identity of  complainants, respondents, and witnesses to be called, and the procedures to be followed during the hearing.  The Board shall specifically note that only testimony and other information clearly bearing on the grievance at hand shall be admissible as evidence.  It shall be the Chair's responsibility to reject immediately, stop the presentation or introduction of, or question the relevance of information having no clear bearing on the grievance.  However, at any time during a hearing the Board may, by a majority vote, override the Chair's decision regarding admissibility and/or relevance of testimony, written evidence, or other material presented to the Board.  It shall also be the chair's responsibility to maintain control of the Hearing so that an orderly exchange of information can be accomplished.  For any hearing from which an appeal may be taken, a court reporter must be used to record and transcribe the hearing.  (Faculty Senate Resolution #03-37, October 2003)

 

Following the opening statement by the Board Chair, the Board shall then call upon both parties to present their opening statements, beginning with the complainants.  After both parties have presented their opening statements, the Board shall allow each party, beginning with the complainants, to submit evidence to the Board.  The Board shall call witnesses, beginning with witnesses for the complainants.  When a witness has presented her or his statement, if any, the Board may question the witness.  After the Board has exhausted its initial questions for the witness, the complainants, and then the respondents may further question the witness.  After this questioning, the Board may ask further questions of the witness.  When neither the complainants, respondents, nor the Board has further questions for a witness, that witness shall be excused.  If deemed appropriate by a majority of the Board, dismissed witnesses may be recalled.  After all witness have been dismissed, members of the Board may direct questions to complainants and respondents.  Complainants and respondents may present rebuttal to any and all depositions, written documents and other evidence submitted to the Board.  When all witness have been dismissed, and the Board has no further questions for either complainants or respondents, and neither party has any further questions for one another or for the Board, or the Chair or Board determines that the two parties should discontinue questioning one another, each party shall be allowed to present a closing statement, beginning with the complainants.  After both parties have made closing statements, the Board shall dismiss both parties.  At this time either the Board shall begin its deliberations on whether it sustains or does not sustain the grievance brought before it,  or will adjourn for no more than two working days, at which time it will meet to determine whether it sustains or does not sustain the grievance.

 

In reaching its decisions the Board shall consider only the testimony and other materials entered or presented as evidence during the hearing.  The complainants shall have the burden of proof by the greater weight of the evidence that sexual, racial, or ethnic harassment or discrimination, or a conflict of interest as defined in university policies has occurred.

 

Determination by the Board that sustains the grievance of sexual, racial, or ethnic  harassment or discrimination, or conflict of interest brought before the Board requires a four‑sevenths vote by members of the Board.  (The exact vote of the Board will be reported to the Chancellor along with the Board's summary stating the basis for its determination.) 

 

E.  Disciplinary Action

Within ten working days of the Board's reaching a determination to sustain or not to sustain a grievance of sexual, racial, or ethnic harassment or discrimination, or conflict of interest against East Carolina University faculty members, or administrators with faculty status, the Board's determination and a summary of the basis for its decision will be communicated in writing to the complainants, the respondents, the Grievance Officer, the relevant unit administrator, the University attorney, and the Chancellor.  The Board shall provide the faculty member and the chancellor with a copy of the court reporter’s transcript of the hearing.  (Faculty Senate Resolution #03-37, October 2003)

 

Within thirty working days of receiving the Board's report, the Chancellor shall notify the complainants, respondents, Grievance Officer, relevant unit administrator, and University attorney of the Chancellor's concurrence or nonconcurrence with the findings of the Board, and of the disciplinary action, if any, being taken against the respondents.

 

F.   Appeal of a Level Two Grievance Finding

If the Board does not sustain the complainants' grievance, and the Chancellor concurs with the Board's findings, the Chancellor's decision shall be final, except that the decision may be appealed pursuant to Section 501 (C) (4) of the UNC Code.

 

If the Board sustains the complainants grievance, and the Chancellor does not concur with the Board, the complainants may appeal the Chancellor's decision pursuant to Section 501 (C) (4) of the UNC Code.

 

If the Chancellor sustains the complainants' grievance:

1.      when the disciplinary actions taken by the Chancellor, if any, do not include reduction in rank, suspension, or dismissal, the respondents may request a hearing before the Faculty Grievance Committee, in accordance with the procedures specified in the ECU Faculty Manual, Appendix D.

 

2.   when the disciplinary actions taken by the Chancellor, if any, include reduction in rank, suspension, or dismissal, the Chancellor or his or her delegate shall send the faculty member by register mail, return receipt requested, a written statement of the disciplinary actions taken by the Chancellor.  The statement shall include notice of the faculty members right, upon request, to both written specification of the reasons for the intended action and to a hearing before the Due Process Board, in accordance with the procedures specified in the ECU Faculty Manual, Appendix D.

 

 


*Hereinafter, the term "administrative title" refers to appointment as department chair in a professional school, unit administrator, dean, assistant or associate dean, vice chancellor, assistant or associate vice chancellor, chancellor, assistant or associate chancellor.

 

* The office of the appropriate Vice Chancellor shall provide financial support to the Board.