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Tennessee Technological University recognizes the right and responsibility of each employee (faculty and non-faculty) to discuss all matters of concern, including grievances, complaints, differences of opinion and constructive suggestions, with appropriate university personnel, including administrators and committees, councils and other university bodies responsible for ensuring the effective functioning of the University in a manner which is consistent with its mission and with all local, state and national laws, statutes, regulations, and citizens' rights. The University also recognizes its responsibility to provide formal processes through which the most serious of cases can be handled so as to ensure that all aspects of such cases will be heard impartially and fairly, that appropriate resolution will be achieved and that all processes will be completed in a timely fashion.
The procedures described in this policy for discussion of matters of concern apply to all employees and are designed to be applicable to most matters. Employees should be aware, however, that for some matters there are alternate hearing processes and procedures, such as the Tennessee Board of Regents policy concerning Uniform Procedures for Cases Subject to the Tennessee Uniform Administrative Procedures Act (TUAPA) (TBR Policy 1:06:00:05, and the various processes and procedures such as those concerning tenure and promotion of faculty, financial exigency, or those governing various committees, councils and other official university bodies. Employees should become knowledgeable of processes and procedures that apply to them; information on policies may be obtained from administrative, academic or line supervisors.
The following guidelines separate matters of concern into various categories and specify and describe procedures for each category. The following guidelines are in compliance with the Tennessee Board of Regents guidelines on Employee Grievance/Complaint (P-110) and embody all provisions, definitions, and stipulations of the Board guidelines.
3.2 Definitions
The following are general definitions of words and terms used in this policy which are not herein specifically defined; however, the words and terms are subject to further qualifications and clarification in the relevant sections of this policy.
3.2.1 Affirmative Action/Equal Employment Opportunity Officer/Affirmative Action Officer/EEO/AA Officer/EEO/AA
The University administrator assigned the overall responsibility for planning, monitoring and reporting the University's progress in implementing policies of equal employment opportunity and affirmative action and for promoting and assuring the University's compliance with TBR Policy No. 5:01:02:00.
3.2.2 Board/Board of Regents/Tennessee Board of Regents/TBR
The Tennessee Board of Regents of the State University and Community College System of Tennessee.
3.2.3 Complaint
A complaint is a matter of concern which does not violate Human Resource Services Policies and Procedures Section 3.2.7 below, does not involve a personnel action (as defined in Human Resource Services Policies and Procedures, Section 3.2.11 below), has not been reconciled (corrected or remediated) through informal discussions,and for which an employee desires a formal process. Examples of matters of concern that might be the subject of a complaint are class assignments, changes in work shifts or inconsistent application of discipline procedures. The complaint process (as specified in this policy) is to be used as the formal process for reconciliation of a complaint.
3.2.4 Complaint Process
The process by which a complaint is resolved. The process is described in Human Resource Services Policies and Procedures, Section 3.7.
3.2.5 Employees
All references to the term "employee(s)" contained in this policy include only those individuals defined in this paragraph. Employees shall include administrators, faculty (including full-time faculty on specific term appointments), professionals, clerical and support personnel. Probationary employees are also included in this definition. Student workers, graduate assistants, graduate instructors, adjunct faculty and temporary workers are not included in the definition of employees.
3.2.6 Financial Exigency
The formal declaration by the Tennessee Board of Regents that the University faces an imminent financial crisis, that there is a current or projected absence of sufficient funds (appropriated or non-appropriated) for the University as a whole to maintain current programs and activities at a level sufficient to fulfill its educational goals and priorities, and that the budget can be balanced only by extraordinary means which include the termination of existing and continuing academic and non-academic appointments (see "Financial Exigency Procedures," Tennessee Technological University Faculty Handbook, II-11).
3.2.7 Grievance
A grievance is the most serious category of matters of concern. A grievance can result only from action or actions the University has taken against an employee which:
A. violate University or TBR policy or involve an inconsistent application of these same policies:
B. violate state or federal discrimination statutes in that the adverse action is based on race, sex, national origin, age, disability, or veteran's status; and/or
C. violate any constitutional right (the most likely areas of concern are the First, Fourth or Fourteenth Amendments of the federal constitution when that action hampers free speech, freedom of religion, or the right to association; provides for improper search and seizure; or denies constitutionally required notice or procedures); and which has not been reconciled (corrected or remediated)through informal discussions; and for which an employee desires a formal hearing.
3.2.8 Grievance Committee
The committee constituted by the President which is responsible for hearing a grievance and making a written recommendation relative to it to the President. Details of the committee are described in Human Resource Services Policies and Procedures, Section 3.8.
3.2.9 Grievance Hearing
The process by which a grievance is resolved. The process is described in Human Resource Services Policies and Procedures, Section 3.6.
3.2.10 Matters of Concern/Matters
All problems or suggestions of an individual nature which an employee may wish to discuss with appropriate responsible university personnel and for which the employee is seeking some form of corrective action or remediation. Matters of concern include, but are not limited to, grievances, complaints, differences of opinion and constructive suggestions.
3.2.11 Personnel Actions
Performance evaluations, rate of pay, position reclassification, position terminations due to reduction in force and other similar matters.
3.2.12 President
The President of Tennessee Technological University.
3.2.13 University
Tennessee Technological University.
3.2.15 University Personnel
Refers to both individual employees of the University and to committees, councils and other duly constituted bodies of the University.
3.3 Applicability of Procedures
3.3.1 This Grievance and Complaint Policy applies to all university employees; all have access, when applicable, to the complaint and grievance procedures described herein.
3.3.2 Employees are encouraged to utilize informal discussions to resolve any matters of concern. Such discussions should begin at the lowest level appropriate to the situation, and all parties should attempt to resolve each matter through this informal process prior to utilizing the formal complaint or grievance processes.
3.3.3 When an employee has a complaint, he/she shall file the complaint with his/her immediate supervisor. If the nature of the complaint is such that this would be inappropriate, then the employee shall file the complaint with the next highest supervisor in the chain of responsibility.
3.3.4 When an employee has a grievance, he or she should file the grievance with the President.
3.3.5 This guideline does not apply to the pre-review process prior to a termination procedure initiated against a tenured faculty member under TBR Policy No. 5:02:03:00, Section III.P.4 or TTU Policy on Academic Freedom, Responsibility, and Tenure, Faculty Handbook, II.07, Section III.16.a.
3.3.6 The grievance committee established pursuant to this policy shall be utilized when an employee requests an institutional hearing in the following situations:
A. Actions relating to the suspension of employees for cause or termination in violation of an employment contract which fall under TBR Policy No. 1:06:00:05 (cases subject to TUAPA), or TBR Policy No. 5:02:03:00, Section III.P.2 (suspension of tenured faculty pending termination for cause) or TTU Policy on Academic Freedom, Responsibility, and Tenure, Faculty Handbook, Section II.07. Section III.16.b.1(suspension of tenured faculty pending termination for cause).
B. Actions involving harassment hearings requested pursuant to TBR Guideline P-080, Section III.B.2.
3.4 Responsibility for Implementation
3.4.1 The President provides the final decision, at the university level, when a grievance or complaint is involved.
3.4.2 No employee shall retaliate or discriminate against another employee because of the latter employee's filing of a grievance or complaint, or discussing a matter of concern. In addition, no employee shall coerce another employee or interfere with the action of another employee in the latter employee's attempt to file a grievance or complaint or to discuss a matter of concern.
3.5 Grievance and Complaint Processes
3.5.1 Grievances
A. Matters of concern which cannot be resolved through informal discussion and which can be categorized as grievances (as defined in Section 3.2.7 above) shall, upon request of the grievant, be referred to a grievance committee as set out in Section 3.6 below. The grievant has the option of choosing committee review when he or she has attempted to resolve the matter through informal discussions without success, or it is apparent that such an attempt would be futile.
B. Grievances which are processed through the grievance committee are appealable to the Chancellor only when they fall within the parameters set out in TBR Policy No. 1:02:11:00 (Appeals and Appearances Before the Board). This generally includes all grievances defined in Human Resource Services Policies and Procedures, Section 3.2.7 except those when the grievant has filed a lawsuit or appeal with a state or federal administrative body.
3.5.2 Complaints
As part of the complaint process, the University is at a minimum, required to: 1) allow the employee to present facts and/or materials; 2) investigate the matter of concern; and 3) attempt to find a solution. The President or his or her designee shall make the final decision. Complaints do not include a right to any type of hearing, adversarial proceeding, nor the right to appeal to the Chancellor.
3.5.3 Matters of Concern Which Are Not Grievances or Complaints
An employee who has a matter of concern which has not become a grievance or complaint has the right to initiate informal discussions about said matter with individuals or university bodies for purposes of resolution of the matter; and the University has a responsibility to attempt to resolve the matter impartially, fairly and expeditiously; but such processes are considered informal and do not include a right to any type of hearing or adversarial proceeding, or a right to appeal to the Chancellor.
3.6 Processes Applicable to Grievances Only
3.6.1 The grievance procedure normally starts with informal discussions of the matter of concern. If such discussions do not resolve the matter, or if it is apparent that such attempt would be futile, the grievant shall file a written grievance with the President who will refer it, within ten working days, to the University's Affirmative Action Officer (EEO/AA), Director of Human Resource Services or other appropriate university official of the President's choosing. This official becomes the hearing officer and is responsible for carrying out the grievance process appropriately.
3.6.2 A grievance which is the subject of an action filed with an external body shall not be processed through the grievance procedure described herein. The term external body includes a court, or federal or state administrative body such as the Equal Employment Opportunity Commission, Office of Civil Rights or Tennessee Human Rights Commission.
3.6.3 Grievances must be filed within 180 days after the date of the occurrence giving rise to the grievance. If the grievance arises from a repeated or continuing occurrence, the time limit is from the date of the last such occurrence. Any grievance not presented within the time limit is waived. Once a final determination is made, the employee may not present the same grievance again in an attempt to gain a more favorable decision.
3.6.4 The grievance should be stated in reasonable and temperate terms and should contain, at a minimum, the following information:
A. The grievant's name and job title.
B. The department or office in which the grievant is employed.
C. Explanation of grievance.
D. Names of persons to whom the grievance has previously been presented and date on which the grievance was presented to each.
E. Corrective action desired.
F. Date the written grievance is filed.
G. Signature of the grievant.
3.6.5 A written grievance may be returned to the grievant by the President and/or hearing officer for additional information or restatement in clearer terms.
3.6.6 The hearing officer shall inform the grievant that he or she is entitled to be accompanied by an advisor at each step of the grievance procedure; however, the advisor may not act as an advocate but may act as an advisor only.
3.6.7 The hearing officer is responsible for the coordination and administration of the grievance procedure.
3.6.8 The hearing officer shall provide all parties to the grievance with a copy of this TTU Grievance and Complaint Policy, shall notify all parties that there will be a hearing and shall supply all parties with a copy of the grievance.
3.6.9 The hearing officer, in consultation with members of the grievance committee, the grievant and all other parties involved, will set the date of the hearing. Service of notice of hearing, with a statement of the time and place of the hearing and with the specific grievance in writing, will be made by the hearing officer at least twenty working days prior to the hearing.
3.6.10 The hearing committee may hold pre-hearing meetings with the parties in order to: (a) define and clarify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, and (d) achieve other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.
3.6.11 A verbatim, i.e., tape recorded, record of the hearing shall be taken and made available at cost to the grievant if such is requested; and a synopsis will be made available to the grievant without cost, at the grievant's request.
3.6.12 The grievant shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration shall cooperate with the hearing committee in securing witnesses and making available documentary or other evidence. Efforts to pursue a grievance shall not unduly interfere with the normal work flow of the institution.
3.6.13 Ordinarily the committee will hear witnesses separately; however, in cases when the committee is being used to hear a sexual harassment matter, the committee will provide the parties the right to confront and cross- examine witnesses. The committee should conduct an independent and thorough investigation. In order to do so, it will have the power to receive evidence from the grievant, gather evidence from other sources and call witnesses.
3.6.14 The hearing committee shall not be bound by strict rules of legal evidence and may admit any evidence which is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
3.6.15 The findings of fact and the decision shall be based solely on the hearing record.
3.6.16 At the conclusion of the hearing, the committee shall notify the grievant and the President of its findings and recommendations. Both will be given a summary of the proceedings.
3.6.17 If the grievant disagrees with the findings and recommendations of the hearing committee, he or she may submit written comments to the President within ten working days of receiving notification of the findings and recommendations.
3.6.18 The President will make the final decision and recommendation(s). The President shall notify the grievant of his or her decision and recommendation(s) within twenty working days of being notified of the hearing committee's decisions.
3.7 Process Applicable to Complaints Only
3.7.1 An employee who has a complaint should state that complaint (orally or in writing) to his or her immediate supervisor or other appropriate person, as described in Human Resource Services Policies and Procedures, Section 3.3.3.
3.7.2 The complaint must be resolved within ten working days. If the complaint cannot be resolved at the primary level to the satisfaction of complainant within ten working days of receiving an oral decision or written final response or the expiration of the initial ten-day period (which ever occurs first), then the complainant may submit the complaint (orally or in writing) to the next individual in the administrative or managerial chain.
3.7.3 Should a satisfactory resolution of the complaint not occur at this level within ten working days, the complainant may refer the complaint to the Vice- President for Academic Affairs or the appropriate administrator reporting to the President (for non- academic considerations). This referral must be made within ten working days of receiving an oral or written response or the expiration of the ten-day period, which ever occurs first.
3.7.4 Should a satisfactory resolution of the complaint not occur at this level within ten working days, the complainant may refer the complaint in writing to the President. This referral shall be made within ten working days of receiving an oral or written response or the expiration of the ten-day period, which ever occurs first. The President shall respond to the complainant about the complaint within twenty working days of receiving the complaint.
3.8 Grievance Committee
3.8.1 For each grievance the President shall select, from among either the faculty or non-faculty pool of committee members, five members who will make up the grievance committee for that grievance. The pool from which the President selects is determined by the status of the grievant, i.e., faculty or non-faculty. Members deeming themselves disqualified by reason of bias shall recuse themselves. The hearing officer shall decide whether to remove any member who is challenged by the grievant. Any vacancy created by recusal shall be filled by another appropriate pool member selected by the President.
3.8.2 If, due to recusals and/or the lack of ethnic minorities or women in the pool, there is not an adequate pool of committee members from which the President is to select the hearing committee of five, the President may request either the Faculty Senate President or the Director, Human Resource Services (dependent upon whether the grievant is faculty or non-faculty, respectively) to add additional persons to the pool. The advice and consent of the Senate is required before the President of the Faculty Senate adds any additional persons to the faculty pool. The advice and consent of the Staff Advisory Committee is required before the Director, Human Resource Services adds any additional persons to the non-faculty pool.
3.8.3 The faculty pool shall be constituted as follows:
A. The pool shall be composed of two representatives from the College of Arts and Sciences (one from the Humanities and Social Sciences and one from the Natural and Mathematical Sciences), one representative from each of the University's other five colleges and schools (faculty members in the Library and the School of Nursing shall select one representative from their combined membership), and five at-large members. All members of the pool shall be tenured members of the faculty. No officer of the Administration shall be a member of the pool. The members of the pool will serve three-year staggered terms.
B. Pool members from the various colleges and schools shall be elected during spring semester by secret ballot (unless a candidate is unopposed). Elected pool members may also be, but are not required to be, members of the Faculty Senate. The term of office of these pool members starts at the beginning of the fall semester following their election. At-large pool members shall be appointed by the President of the Faculty Senate from among the members of the Faculty Senate, with the advice and consent of the Senate, at the first Senate meeting of the fall semester.
C. If an at-large pool member's term of office as a Senator ends prior to his or her term as a pool member, the Faculty Senate President shall appoint another Senate member to complete that person's term in the pool.
3.8.4 The non-faculty pool shall be constituted as follows:
A. The pool shall be composed of three members from each non-faculty equal-employment-opportunity (EEO) group; i.e., executive, administrative and managerial; professional non-faculty; clerical and secretarial; technical and paraprofessional; skilled crafts; and service and maintenance. The three members of each EEO group shall serve three- year staggered terms.
B. Pool members shall be appointed by the Director, Human Resource Services, with the advice and consent of the Staff Advisory Committee. The pool shall not include any employees who are in probationary status.
3.8.5 Any person who is a member of a body that is regularly involved in the informal discussion of matters of concern, such as the faculty affairs committee, cannot become a pool member because of potential bias on his/her part.
3.8.6 The hearing officer shall serve as the chairperson of the grievance committee.
3.8.7 A grievance committee is to conduct an independent and thorough investigation. It has the power to receive evidence from the grievant, gather evidence from other sources and call witnesses.
3.8.8 A grievance committee shall seek all relevant facts. The committee may allow all witnesses to be present at one time or, in the alternative, may hear each witness, including the grievant, separately. In any event, the grievant shall be allowed to present any pertinent evidence to the committee and to have the committee call those witnesses who have testimony pertinent to the decision.
3.8.9 The committee shall make a written report of its recommendation and reasons to the President and the grievant. The President may adopt the Committee's recommendation, in whole or in part, or may make his or her decision independent of the committee's findings.
3.8.10 The grievant shall be provided a copy of the President's decision.
3.9 Maintenance of Records
3.9.1 Copies of written grievances, complaints and accompanying responses and documentation shall be maintained by the Human Resource Services Office.
3.9.2 Copies of grievances and complaints, and accompanying responses and documentation should be maintained for at least seven years.