3.3.8B Types Of Cases & Procedures For Cases

Referrals, Complaints, and Grievances

I.  GENERAL PROCEDURES FOR COMPLAINTS AND REFERRALS

Complaints and referrals will be filed with the Chairperson of the AFEGC, or in his/her absence or if the complaint or referral arises from the department/school of the Chairperson, with the Vice-Chairperson. 

Throughout this policy, a business day shall not include winter break or spring break.  Activity and timelines between May 15 and August 16 will be at the discretion of the AFEGC Chairperson according to 3.3.8A.II.

In all AFEGC matters, members of the AFEGC shall use only phone calls and confidential campus mail to communicate and transmit items related to complaints and referrals, unless the Chairperson of the AFEGC has received written notification from all of the principal parties (complainant, respondent, referring FRC or CFSC committee chairperson) that email or another electronic communication/transmission mode is acceptable.  The AFEGC Chairperson may reasonably extend deadlines should use of electronic transmission be denied by any of these parties.

II.  Referrals

A referral to the AFEGC shall be defined as a referral either from the FRC, as described in 3.3.8II.A.1 (Jurisdiction), or a referral from a CFSC, as described above in3.3.8 II.A.2 (Jurisdiction). A referral shall at a minimum include:

A.  A written statement by the FRC or CFSC describing the basis for the referral;

B.  Forwarding of any documentation from the FRC or CFSC pertinent to the referral;

C.  Indication from the FRC or CFSC as to the timelines by which the AFEGC is to submit its report back to the FRC or CFSC.

Within five (5) business days of receipt of the referral, the Chairperson (or Vice-Chairperson acting as Chairperson) shall confirm in writing to the referee receipt of the referral and the date of filing.  The Chairperson (or Vice-Chairperson) shall also transmit a copy of the referral and all accompanying documentation to the faculty member and to the appropriate respondent(s), generally within five (5) business days of receipt, or within one (1) day of final determination as to the appropriate respondent, whichever is later.

III.  Procedures in Referral Cases

Where a case is referred to the AFEGC by the FRC or a CFSC, the Chairperson of the AFEGC shall call a meeting of the tenured members of the AFEGC - except for any members from the department(s) from which the case originates or having other conflicts of interest - to determine, by majority vote, whether a hearing is warranted.  If no hearing is warranted because a decision can be rendered with the materials at hand, the AFEGC reports its decision to the original referring committee - FRC or CFSC - as well as to the faculty member and the appropriate respondent(s).

If a hearing is warranted in the case, the AFEGC shall proceed directly to an appeal hearing.  The Chairperson of the AFEGC (or the Vice Chairperson if the Chairperson is from a department from which the case originates) shall form an Appeal Hearing Panel (AHP).The AFEGC Chairperson shall transmit the AHP's report to the original referring committee, the faculty member and the apporpriate respondent(s).

Whether a hearing is held or not, as outlined in ASPT, XVII.G.3, XVII.I.1, XVII.J.1, or XVII.L7, the report from the AFEGC, shall offer recommendations to the FRC or CFSC so that they may exercise their ASPT responsibilities. 

In the case of an appeal in a referral case of a decision by the AFEGC committee-of-the-whole or the Appeal Hearing Panel (AHP) by either the faculty member or the relevant ASPT committee or other respondent(s) against which a finding has occurred, copies of the decision by the AFEGC or AHP will be forwarded both to the original referring committee and to the Chairperson of the Academic Senate.

The elected members of the Executive Committee of the Faculty Caucus - except for any members from the department(s) from which the case originates or having other conflicts of interest - will then review the decision within five (5) business days of receiving the referral decision on appeal.  The Executive Committee of the Faculty Caucus may decide that a referral decision warrants a hearing by the Faculty Caucus of the Academic Senate or it may file a report directly to the original referring body, the faculty member, the respondent(s) and in tenure and/or promotion cases to the Provost. 

If a hearing is held by the Faculty Caucus of the Academic Senate, it must be held within ten (10) business days unless the Senate Chairperson requests and receives an extension; the Faculty Caucus submits its decision to the original referring body, the faculty member, the respondent(s) and in tenure and/or promotion cases to the Provost.  Members of the Faculty Caucus from the department(s) from which the case originates or having other conflicts of interest shall not participate in the hearing or receive materials regarding the case.

If the deadline for action by the original committee has passed during any part of this process, the chairperson of the AFEGC or its Appeal Hearing Panel (AHP) or the chairperson of the Faculty Caucus will forward the decision by the Executive Committee or Faculty Caucus to the President, the Provost, the original referring committee, the faculty member, and any other respondent(s) (for tenure and/or promotion cases) or to both the CFSC and DFSC, the faculty member, and any other respondent(s) (for performance evaluation or cumu8lative post-tenure review cases).  They will give these parties notice by that deadline that an appeal is still pending.

IV.  Complaints and Grievances

A complaint shall be defined as a written statement alleging a matter within the jurisdiction of the AFEGC, as defined by 3.3.8II.A.3-II.A.7 (Jurisdiction).

A grievance shall be defined as a written statement alleging a matter within the jurisdiction of the AFEGC, as defined by 3.3.8II.A.8 (Jurisdiction).

Within five (5) business days of receipt of the complaint, the Chairperson (or Vice-Chairperson acting as Chairperson) shall confirm in writing to the complainant receipt of the complaint and the date of filing.  The Chairperson (or Vice-Chairperson) shall also transmit a copy of the complaint and all accompanying documentation to the appropriate respondent(s), generally within five (5) business days of receipt, or within one (1) day of final determination as to the appropriate respondent, whichever is later.

     A.  Through the Chairperson of the AFEGC, a complainant must provide the respondent(s) with:

• A written position statement detailing the basis of the complaint, including a narrative of the facts which the complainant believes could be proven if a formal hearing were to take place;
• Any documentation the complainant deems relevant.
• A list of proposed witnesses, if relevant, and a rationale for each.  (If not supplied by the complainant, written statements may subsequently be requested from witnesses if deemed appropriate by the FHP, and will be transmitted to all parties upon receipt.);
• Notification of intent to bring a technical or informal advisor who in rare circumstances may be an attorney, and notification of the name, relationship to the parties, and role at the University, if any, of that advisor.
• Any other information requested by the AFEGC as part of its uniform procedures.

A complaint or grievance shall at a minimum also include:

1. The jurisdictional basis of the complaint or grievance, by specification of the subsection 3.3.8II.A (Jurisdiction) which provides for the jurisdiction of the AFEGC;
2. For complaints, a statement of the section(s) of the Code of Ethics the complainant believes has been violated, if applicable;
3. For grievances, a statement of the policy or past practice the complainant believes has been violated;

Complaints and grievances should also include as attachments any documentation believed to be relevant to the complaint.

V.  Procedures in Complaint Cases

In cases of complaints, the AFEGC Chairperson shall consult the Vice Chairperson as to the appropriate respondent, who shall be designated by agreement of the AFEGC Chairperson and the Vice Chairperson.  In the absence of an agreement between the AFEGC Chairperson and the Vice Chairperson, the Senate Chairperson shall determine the appropriate respondent. If the AFEGC Chairperson, AFEGC Vice Chairperson, and Senate Chairperson have named three distinct respondents, the Executive Committee of the Faculty Caucus shall determine the appropriate respondent.

Members of the Faculty Caucus Executive Committee from the complainant's and respondent's own department(s) shall recuse themselves from these decisions and shall not be made aware of the case.  For cases from the Senate Chairperson's own department, the Senate Chairperson will recuse him/herself and hand over the case documentation and the chairing of the decision to the Senate Secretary (if from a different department) or the senior member of the Executive Committee (first in years of service on the Executive Committee and then years of service on the Senate).

In cases of complaints alleging ethics violations, the appropriate respondent is the person accused of the ethics violation.  In appropriate cases, such as where discrimination or sexual harassment is alleged, the AFEGC Chairperson shall notify the Office of Equal Opportunity and Access.