University of Tulsa Faculty Senate

PROCEDURE
for
THE UNIVERSITY COMMITTEE ON FACULTY GRIEVANCES
of
THE UNIVERSITY OF TULSA 

July 29, 1997

The University Committee on Faculty Grievances is a collegial committee composed of nine faculty - - two elected from each college and one appointed as chair by the Faculty Senate Steering Committee or its successor. (Statement on Academic Freedom, Responsibility, and Tenure VI.A.3.a [subsequently referred to as Statement]). The Committee shall conduct its business as a collegial committee and its hearings shall be informal in nature.

This document includes the procedures spelled out in the Statement and additional operating procedures necessary for the operation of the University Committee on Faculty Grievances. They may be amended by the University Committee Faculty Grievances as the need arises to conform the Committee’s procedures to amendments in the Statement and as the Committee refines procedures to improve the process.

I.      Jurisdiction

The University Committee on Faculty Grievances has two areas of jurisdiction:

(1) a petition for redress of a grievance by a faculty member alleging
professional, personal or administrative misconduct governed by the Statement (see Statement VI.A.3.c); and
(2) a petition by a faculty member who believes that a minor sanction has been
incorrectly imposed under Statement VIII.B. (“Minor Sanctions”) by the administrative head or dean who has supervisory responsibility concerning the faculty member (see Statement VIII.B.).

II.    Confidentiality

The members of the Committee shall preserve the confidentiality of any grievance, including the written statements, charges, deliberations, findings, or recommendations, except when such disclosures are reasonably necessary in the investigation, hearing, and final disposition of the case. (See Statement VI.B.1)

III.   PETITION for REDRESS of PROFESSIONAL, PERSONAL, or
       ADMINISTRATIVE MISCONDUCT GOVERNED by the STATEMENT

The Committee on Faculty Grievances shall consider a petition for redress of a grievance by a faculty member alleging professional, personal or administrative misconduct. (See Statement VI.A.3.c.) The grounds for professional or personal misconduct include, but are not limited to:

(1)   professional incompetence;
(2)   willful neglect of duty;
(3)   gross professional misconduct; and
(4)   gross personal misconduct. (See Statement VII.A.)

The grounds for administrative misconduct include, but are not limited to, the failure to adhere to:

(1)   appointment and tenure regulations and procedures;
(2)   the commitment to academic freedom;
(3)   the expressed and implied terms of the faculty member’s contract, including the published
       policies of the University approved by appropriate faculty governing bodies; and
(4)  legal guarantees concerning impermissible discrimination as defined in the Statement or that
       is otherwise unlawful. (See Statement VII.A. & I.B.)

When circumstances arise that may justify the dismissal of a faculty member for cause, the procedures under Statement VII.A. apply and the Committee on Rights and Responsibilities and the University Faculty Appeals Board has jurisdiction. That procedure begins with the filing of a petition by the dean to the Committee on Rights and Responsibilities.

A.     Informal Consultation with the Chair of the Committee Prior to the Filing
        of a Petition Seeking Redress of the Grievance.

A faculty member considering filing a grievance should consult informally with the Chair of the Committee concerning common understandings about the obligations of the University, standards of review applied by the Committee in prior grievance cases, and possible alternative approaches to the resolution of the grievance. The Chair shall attempt to effect an informal resolution of the grievance. (Statement IX.A.)

B.    Initiating a Faculty Grievance

To initiate a grievance, a faculty member must file a written statement with the Chair of the Committee stating the basis for the Committee’s jurisdiction (see Statement VI.A.3.c) and detailing the nature of the grievance (see Statement IX.B.1.). The statement shall contain any information or documentation that the faculty member deems pertinent to his or her grievance. (See Statement IX.B.1.)
 

C.    Initial Review by the Committee

The Committee shall hold an initial meeting to consider whether the written statement submitted by the faculty member to the Committee presents a claim worthy of consideration. (See Statement IX.B.2.) In reaching its determination, the Committee shall rely on the faculty member’s written statement and any supporting documents submitted by the faculty member. (See Statement IX.B.2.)

The Committee, at this stage, shall consider the written statement of the faculty member in a light most favorable to the faculty member bringing the grievance to determine whether the allegations, if proven at a hearing, would establish misconduct. (See Statement IX.B.2.)

The submission of a petition by a faculty member to the Committee does not automatically entail an investigation or detailed consideration of the charges made by the faculty member. (See Statement IX.B.2.)

D.   The Hearing by the Committee

1.   General Nature of the Hearing

The Committee shall at all times follow the generally accepted standards of a fair and equitable hearing, but it is not to be restricted by the technical rules of evidence or the formality of the adversary proceedings as in a court of law. With the exception of the following stated procedure, the procedure may very from case to case depending on the equity of the situation.

2.   Burden of Proof

The burden of proof rests with the faculty member who presented the grievance. (See Statement IX.B.3.) The burden of proof is a preponderance of the evidence.

3.   Legal Counsel for the Faculty Member Filing the Grievance

A faculty member filing a grievance may elect to be represented by legal counsel of his or her own choosing. (See Statement VI.B.3) If a faculty member elects to be represented by counsel, the faculty member shall be responsible for compensating his or her own legal counsel. (See Statement VI.B.3) This counsel shall not be the University’s Legal Counsel.

Legal counsel may be present at the hearing to advise the faculty member pursuing the grievance. (See Statement VI.B.3) The role of counsel is as an advisor to the faculty member and not as a participant in the hearing itself. The faculty member may consult with his or her counsel throughout the hearing.

If a faculty member elects not to attend with legal counsel, he or she may elect to be accompanied by another member of the faculty who could act as his or her advisor.

4.   Legal Counsel for the Person Against Whom the Grievance Has Been Brought

A person against whom the grievance has been brought may elect to be represented by legal counsel of his or her own choosing. (See Statement VI.B.3) If he or she elects to be represented by counsel, he or she shall be responsible for compensating his or her own legal counsel. (See Statement VI.B.3.) This counsel shall not be the University’s Legal Counsel.

Legal counsel may be present at the hearing to advise the person against whom the grievance has been brought. (See Statement VI.B.3.) The role of counsel is as an advisor to that person and not as a participant in the hearing itself. He or she may consult with his or her counsel throughout the hearing.

If the personal against whom the grievance has been brought elects not to attend with legal counsel, he or she may elect to be accompanied by another member of the faculty who could act as his or her advisor.

5.   Legal Counsel to Assist the Committee

The Committee may, at times, deem it important to consult with the University’s Legal Counsel, or his or her designee. The Committee may, at its discretion, invite the University’s Legal Counsel, or his or her designee, to be present at an executive session, but then only in an advisor capacity. The University’s Legal Counsel shall not be present at the Committee’s deliberation of the grievance.

The Chair of the Committee may consult with the University’s Legal Counsel as the need arises. (See Statement VI.B.3)

6.   Response to the Allegation

The person whose actions are the subject of the petition shall respond in writing, explaining each action questioned in the petition. (Statement IX.B.3) A copy of these responses shall be given to the faculty member filing the petition prior to the hearing.

7.   Participants at the Hearing

The parties to the grievance shall be given an opportunity to appear before the Committee to add to or explain the written record in the case. (Statement IX.B.3) The Committee may, on its own initiative, request the parties involved to appear to answer questions and may request other persons who may have information concerning the matter to appear at the hearing to answer questions directed to them by members of the Committee, by the faculty member alleging the grievance, or by the person whose actions are the subject of the petition. (See Statement IX.B.3.).

As the hearing progresses, the Committee may recall any person who has given testimony to answer additional questions.

8.   Those Present at the Hearing, Executive Sessions, and Deliberation

Only the members of the Committee, the faculty member alleging the grievance, and the person whose actions are the subject of the petition, and their advisors, shall be present throughout the hearing.

The Committee may, from time to time during the hearing, meet in executive session. Only the members of the Committee and the University’s Legal Counsel, or his or her designee, if so invited by the Committee, shall be present at an executive session.

Only the members of the Committee shall be present at the deliberation of the grievance.

9.   Oath

Before any person testifies before the Committee, he or she shall be given the following oath by the Chair of the Committee: “I solemnly swear (affirm) that the testimony that I am about to give will be the truth, the whole truth, and nothing but the truth.”

10.  Audio or Other Form of Recording

An audio or other form of recording shall not be made at the hearing or at an executive session or of the deliberations of the Committee.

11.  Expeditious Resolution of the Grievance

The hearing shall be conducted expeditiously.

12.  Basis for Deciding the Grievance

The grievance shall be decided upon the written statement and documents provided to the Committee by the faculty member filing the grievance and upon information presented to the Committee during the hearing. Written information that comes before the Committee from sources other than the faculty member bringing the grievance shall be shared with the faculty member bringing the grievance and the person against whom the grievance has been brought.

13.  Findings and Recommendations of the Committee

The Committee shall submit a written report including findings of fact conclusions and recommendations to the faculty member filing the grievance, to the person against whom the grievance has been brought, and to the president. (See Statement IX.C.1.)

14.  Storage of the Materials Relating to the Hearing

After the grievance procedure has been completed, the information submitted to the Committee shall be sealed by the Chair of the Committee and delivered to the Office of the President for storage under the custodial care of the President’s designee.

IV.     Petition by a Faculty Member Concerning a Minor Sanction Imposed by an Administrative Head or Dean
         Who Has Supervisory Responsibility

The Committee on Faculty Grievances shall consider a petition by a faculty member who believes that a sanction has been incorrectly imposed under Statement VIII.B. (“Minor Sanctions”) by the administrative head or dean who has supervisory responsibility concerning the faculty member. (See VIII.B.)

The procedures outlined in Statement IX govern such a proceeding. (See Statement VIII.B.) The procedures of section III of this document supplement the procedures outline in Statement IX.

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