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Original   X   Revised ___

Approved by:

Russell L. Moore, Provost and Executive Vice Chancellor for Academic Affairs

Authors:

Senior Vice Provost for Academic Planning and Assessment and Vice Provost for Faculty Affairs

Policy Contact:

Vice Provost for Faculty Affairs      

Effective Date:

Feb. 11, 2022

I. Purpose

The purpose of this policy is to establish the role and processes of the Provost’s Advisory Committee on Faculty Grievance (PAC) at the ���񱦵� (“���񱦵�”); to specify the types of faculty grievance that are and are not eligible to be heard by the PAC; and to integrate the role and processes of the PAC with the role and processes of the Academic Affairs policy on Professional Rights and Responsibilities of Faculty Members and Roles and Professional Responsibilities of Academic Leaders and its procedures (jointly, “the PRR”).

II. Definitions

Academic Leader: A senior faculty member who takes on extra administrative service responsibilities and holds one of a variety of titles, such as chair, director or head. An academic leader is appointed by the Dean with faculty input. The academic leader traditionally manages the day-to-day operations of a departments, unit, program, or institute; liaises between the unit and its Dean; and is responsible for both representing the unit and implementing campus missions and policies within the unit. In some units, the academic leader may have broad authority for independent action; in others, many functions are delegated (to differing extents) to standing or ad hoc committees that may be appointed or elected. Where unit rules delegate such responsibility to such committees, the Academic Leader has the ultimate responsibility of ensuring that the committees carry out their functions in an equitable, efficient, and timely manner.

At-will: A term of Faculty appointment that is for an indefinite period and can be lawfully terminated at any time with or without cause and with or without notice, as defined by University Administrative Policy Statement (APS) 5060: “Faculty Appointments.”

Dean: An officer of the administration of ���񱦵� as defined in Regent Law Article 3.C who supervises a school, a college, libraries and/or other types of Primary Units employing Regular Faculty.

Respondent: The Dean whose decision, action, or failure to act is the basis of the grievance.

III. Policy

A. General Principles

1. Concerns should be resolved at the lowest appropriate administrative level.
2. Normally, the resolution of a Concern should take place at an administrative level no higher than the level of the Dean of the faculty member’s school or college. However, resolution may require action at the Provost level in one of three cases:
   1. An Academic Leader or other faculty member has received a Sanction from their Dean acting in the role of Supervising Administrator in accordance with the PRR, and the Academic Leader or other faculty member wishes to appeal the Sanction to the Reviewing Administrator, who in this case is the Provost.
   2. A faculty member has received a Sanction from their Dean acting in the role of Reviewing Administrator in accordance with the PRR that either (a) provides for reassignment to another academic unit, withholds or suspends raises or privileges, reduces salary or privileges, or suspends without pay; or (b) is a Sanction of termination, if the faculty member appealing is an instructor-track or clinical-track faculty member and wishes to appeal that Sanction.
   3. A faculty member believes that their Dean, in taking or failing to take some action that affects the faculty member, has violated college or school policy, ���񱦵� policy, University of Colorado policy, University of Colorado Board of Regents (“Regent”) Law or Regent Policy; or has failed to rectify the improper conduct of a grievance process at the college, school or Primary Unit level. When such a dispute arises, as a prerequisite step, the faculty member and the Dean must work promptly in good faith toward Informal Resolution. If, after ten (10) working days of the faculty member attempting Informal Resolution with the Dean, Informal Resolution is not achieved, the faculty member may submit a request for a hearing of a grievance by the PAC.
3. Even after a faculty member submits a request for a hearing by the PAC, as well as during the time that the PAC is reviewing the grievance, the faculty member and the Dean are encouraged to continue to engage in attempts at Informal Resolution.
4. To the extent that this policy and its procedures address the unprofessional conduct of faculty members and Academic Leaders, they are intended to function in conjunction with the processes of the PRR.
5. This policy and its procedures are intended to comply with and implement Regent Law, Regent Policies, and University of Colorado Administrative Policy Statements (APS) as they apply to faculty grievance, including Regent Law Article . Any conflict between this policy and its procedures and applicable law, Regent Law and Policy, or University of Colorado APS will be resolved in accordance with the hierarchy established in Regent Law 1.C, in favor of the superseding directive.

B. Structure, function, and responsibilities

1. The PAC is convened on behalf of the Provost by the Vice Provost for Faculty Affairs.
2. The PAC is composed of five tenured faculty members who have served on the Vice Chancellor’s Advisory Committee and are appointed by the Vice Provost for Faculty Affairs on behalf of the Provost. The Vice Provost for Faculty Affairs is not a member of the committee and does not take part in committee deliberations. There are no non-voting or ex officio members of the committee.
3. The PAC determines whether each grievance submitted for its review is eligible for review according to the eligibility criteria in this policy and submits a recommendation to the Provost on each grievance it reviews.
4. The PAC assists and is advisory to the Provost by taking on actions delegated by the Provost and making recommendations to the Provost. However, in this regard, the PAC may not make any final decisions. The Provost has the discretion to reject or adopt PAC recommendations in whole or in part.
5. In any discussions or consultations made or proposed to be made in regard to any hearing requests, members of the PAC must comply with Regent Law and Policy and System policy regarding ethical behavior, confidentiality, and retention of records, including Regent Law Article 8.B, “Ethical Conduct of the University of Colorado Community”; Regent Policy 8.A.7, “Privacy and Confidentiality”; and APS 2006, “Retention of University Records.”

C. Faculty eligibility to submit a grievance to the PAC

Only Regular Faculty members who do not have an At-will appointment are eligible to submit a grievance to the PAC. Grievances by faculty members appointed At-will are not addressed by the PAC and are typically handled at the Primary Unit level, at the Dean level, or through processes defined by ���񱦵�’s Department of Human Resources.

D. Matters eligible for submission to the PAC

1. An Academic Leader’s or other faculty member’s appeal of a Sanction, imposed by a Dean acting in the role of Supervising Administrator in accordance with the PRR, to the Reviewing Administrator, who in this case is the Provost.
2. For faculty members who are not described by III.D.1 above, an appeal of a Sanction, the process through which the Dean concluded that unprofessional conduct occurred and warranted a Sanction, or both, that was imposed by a Dean acting in the role of Reviewing Administrator in accordance with the PRR and that falls into one of the following categories:
   1. A Sanction that provides for reassignment to another academic unit, withholding or suspending raises or privileges, reduction of salary or privileges, or suspension without pay.
   2. A Sanction of termination, if and only if the faculty member appealing is an instructor-track or clinical-track faculty member.
3. An Allegation by the Grievant that an action taken by their Dean or the failure of their Dean to take action violates an applicable school, college, ���񱦵�, University of Colorado, or Regent Policy or applicable Regent Law.
4. An Allegation by the Grievant that a Grievance process employed at the Primary Unit or school/college level was conducted improperly and that their Dean has failed to rectify the process.

E. Concerns about unprofessional conduct by a faculty member or Academic Leader

A Concern regarding unprofessional conduct on the part of a Regular Faculty member or an Academic Leader must be handled according to the PRR. To the extent that a Grievance submitted to the PAC for a hearing includes a Concern about unprofessional conduct on the part of a Regular Faculty member or an Academic Leader that has not yet been reviewed by that faculty member’s or Academic Leader’s Supervising Administrator under the PRR, it will be referred to the Supervising Administrator for review under the PRR.

F. Matters determined and resolved by separate and special procedures

Any Concern or Grievance for which there is a separate and special procedure must be determined and resolved in accordance with that procedure and is ineligible for submission to the PAC. Special procedures include but are not limited to:

1. Grievances and appeals regarding faculty reappointment, promotion, and nonrenewal of appointment
2. Grievances regarding termination of a tenure-track faculty member
3. Salary equity appeals
4. Allegations of sexual misconduct, intimate partner violence, stalking, or related violations
5. Allegations of protected class discrimination, harassment, or related violations
6. Allegations of research misconduct
7. Allegations of fiscal misconduct or violation of the fiscal code of ethics

IV. History

This policy had its basis in the Provost’s Grievance Procedure (last updated on July 17, 2008), which is superseded by this policy and the procedures associated with this policy.

End of policy.

Appendix A: Policy Resources

• ���񱦵� Discrimination and Harassment Policy
• ���񱦵� Academic Affairs policy on Professional Rights and Responsibilities of Faculty Members and Roles and Professional Responsibilities of Academic Leaders and its procedures (collectively, “the PRR”)
• ���񱦵� Academic Affairs policy on Titles, Roles, Appointment, Evaluation and Promotion of Non-Tenure-Track Faculty in Teaching and Librarian Positions

Procedures for Provost’s Advisory Committee on Faculty Grievance

1. Committee membership and staffing

a. The Provost’s Advisory Committee on Faculty Grievance (PAC) is composed of five members of the Regular Faculty who have served on the Vice Chancellor’s Advisory Committee. PAC members are appointed by the Vice Provost for Faculty Affairs in consultation with the Provost. If fewer than five faculty who meet the criterion of service on the Vice Chancellor’s Advisory Committee are available to serve on the PAC, additional members will be appointed by the Vice Provost for Faculty Affairs in consultation with the Provost. Members of the PAC may also serve simultaneously on the Provost’s Salary Equity Appeals Committee.

b. The PAC thus constituted will elect one of its members as chair.

c. The PAC will be staffed by a member of the Office of Faculty Affairs staff, as designated by the Vice Provost for Faculty Affairs.

2. Disclosure of information by the PAC

​a.&�Բ�����;Information received or considered by the PAC and the deliberations of the PAC are confidential.

b. Members of the PAC may disclose information internally to other university personnel, or their designees, only in the following circumstances: (1) when there is a need to know in order to fulfill their roles and responsibilities for the university; (2) when conducting an inquiry into a Grievance that has been submitted for a hearing; or (3) when updating a Grievant or Respondent on the resolution of the Grievance.

c. Members of the PAC may disclose information to third parties outside of ���񱦵� only in the following circumstances: (1) when the Respondent has granted permission; (2) when and to the extent necessary to conduct an inquiry into a Grievance that has been submitted for a hearing; (3) when permitted by Regent Laws or Policies, University policies, ���񱦵� policies, or contractual provision; or (4) when required by law (e.g., court order, subpoena, statute or government regulation).

d. Members of the PAC must not disclose personally identifiable information as part of an inquiry and hearing unless it is necessary to fulfill the purpose of the disclosure.

3. Procedures when the Provost is the Reviewing Administrator of a PRR appeal

a. If an Academic Leader or other faculty member has received a Sanction from a Dean acting in the role of Supervising Administrator in accordance with the PRR, and if this Academic Leader or other faculty member wishes to appeal the Sanction to the Reviewing Administrator, who in this case is the Provost, the appeal process must follow the procedures and deadlines for such an appeal outlined in Part IV of the PRR, and the procedures and deadlines outlined in section 4 below do not apply.

b. The Academic Leader or other faculty member must submit the request for review of the Sanction in writing to the Provost, in care of the Vice Provost for Faculty Affairs.

c. The Provost, acting as Reviewing Administrator, may use the PAC to assist or advise on some or all of the appeal processes and procedures as described in the PRR, in accordance with the ���񱦵� Academic Affairs policy on Professional Rights and Responsibilities of Faculty Members and Roles and Professional Responsibilities of Academic Leaders and its procedures (collectively, “the PRR”).

4. Procedures in the case of any matter eligible for submission to the PAC other than as described in section 3 above

a. Informal resolution and preliminary consultation

A faculty member who believes they have reason to file a Grievance through the PAC procedures regarding (a) an Allegation by the Grievant that an action taken by their Dean, or the failure of their Dean to act, violates an applicable school, college, ���񱦵�, University, or Regent policy or applicable Regent Law or (b) an Allegation by the Grievant that a Grievance process employed at the Primary Unit or school/college level was conducted improperly and that their Dean has failed to rectify the process must first work promptly in good faith with the Dean toward Informal Resolution. If, after ten (10) working days of the faculty member attempting Informal Resolution with the Dean, Informal Resolution is not achieved, the faculty member consult with the Vice Provost for Faculty Affairs (or designee) to make them aware of the situation and discuss paths to resolution. The faculty member must request this meeting in writing within ten (10) working days of when the Grievant knew or should have known that a grievable action occurred.

A Grievance that is an appeal of a Sanction that was imposed by a Dean acting as a Reviewing Administrator in accordance with the PRR is not subject to the requirements of prior informal resolution attempt or preliminary consultation.

b. Request for hearing

A faculty member seeking redress of a Grievance through the PAC procedures must submit a request for a hearing by the PAC in writing to the Provost, in care of the Vice Provost for Faculty Affairs.

1. To the extent that the request is an appeal of a Sanction that was imposed by a Dean acting as a Reviewing Administrator under the PRR and that is eligible for submission to the PAC, the faculty member must submit the request within twenty (20) working days of receiving the Sanction.
2. If the request concerns an allegation that requires a preliminary consultation with the Vice Provost for Faculty Affairs (or designee) as described in section 4.a above, the faculty member must submit the request within ten (10) working days of the meeting.

The request must include all of the following:

1. A statement specifying the circumstances under which the Grievance is eligible for consideration according to the Provost’s Advisory Committee on Faculty Grievance Policy.
2. If an appeal of a Sanction imposed by a Dean acting as a Supervising Administrator according to the PRR, a specific and detailed statement of an Allegation of one or more of the following:

1. Procedural errors prevented the Grievant from receiving a fair process.
2. The Sanction was disproportionate to the unprofessional conduct.
3. New information has arisen that the Grievant could not have reasonably produced during the PRR process and that the Grievant believes materially changes the Sanction.

3. If an Allegation by the Grievant that an action taken by their Dean, or the failure of their Dean to act, violates an applicable school, college, ���񱦵�, University, or Regent policy or applicable Regent Law, or that a Grievance process employed at the Primary Unit or school/college level was conducted improperly and that their Dean has failed to rectify the process, a specific and detailed statement of the Grievance, including a description of:

1. Any policy or policies alleged to have been violated by the Dean.
2. Any Grievance process at the Primary Unit or school college/level that was conducted improperly and that was not rectified by the Dean.
3. The Grievant’s attempts to resolve the Grievance.

4. If desired by the Grievant, a request for the BFA Grievance Committee to advise the PAC on whether applicable policy or policies, including PRR procedures if relevant, were followed in relation to the grievable action.
5. Supporting documentation.

c. Advisors to Faculty Members

Faculty members may utilize support with their Grievance from an advisor such as a colleague, a member or members of the BFA Grievance Committee, or an advocate. However, all Grievance-related communications must be directly to and from the faculty member. Advisors must not participate in any Grievance-related meeting.

d. Preliminary review

Within ten (10) working days of receipt of a request for review, the Provost, via the Vice Provost for Faculty Affairs, will refer the Grievance to the PAC for preliminary review. The purpose of the preliminary review is to determine whether the PAC accepts or declines to consider the Grievance for a formal review.

If the Grievant has requested that the BFA Grievance Committee advise the PAC on whether applicable policy or policies, including PRR procedures, were followed in relation to the grievable action, the PAC must honor that request as part of the preliminary review.

The PAC will decline to hear the Grievance if, in the judgment of a simple majority of the committee, one or more of the following conditions applies:

1. The Grievance does not meet the eligibility requirements specified in the policy associated with these procedures.
2. The Grievance does not raise a substantive concern about a violation of policy or process and resulted in no identifiable harm or prejudice to the faculty member.
3. The Grievance is not timely.

Within fifteen (15) working days of receiving the request for a hearing from the provost, the PAC will inform the Grievant whether it has accepted or declined the Grievance for a formal review. If the PAC declines to hear the Grievance, the notice to the Grievant will explain its reasons for doing so. The decision of the PAC to decline the Grievance for a formal review is final and may not be appealed.

e. Formal review

1. If the PAC does not decline to hear the Grievance as a result of the preliminary review, it will conduct a formal review.
2. The PAC will conduct whatever inquiries it deems necessary to supplement the materials submitted by the Grievant. The inquiry process may include, but is not limited to, conducting interviews with the Grievant and Respondent; interviewing others who can contribute to the PAC’s understanding of facts and issues; receiving and reviewing documents.
3. If the Grievance regards the process through which a Sanction was imposed by a Dean acting as a Reviewing Administrator under the PRR, the Sanction imposed by a Dean Acting as a Reviewing Administrator under the PRR, or both, the PAC will review the case to determine whether the Dean:

1. followed the procedures set forth in the PRR;
2. acted without bias or partiality;
3. conducted a thorough investigation;
4.  imposed a Sanction that was proportional to the unprofessional conduct; and
5. found the facts were sufficient to support the finding.

4. In regards to an appeal of a Sanction imposed by a Dean acting as a Reviewing Administrator under the PRR, the PAC will not make any new factual findings or recommendations about new findings of fact.

f. Recommendation to the Provost

Following its formal review, the PAC may make one of the following recommendations to the Provost:

1. The Grievance should be dismissed with no further action required.
2. The matter should be sent back to the Dean for reconsideration and potentially for re-investigation.
3. The matter should be re-investigated by the Office of Faculty Relations or another office.
4. A disproportionate Sanction should be reduced or increased.

The PAC must complete its work within twenty-five (25) working days of its initial meeting. In unusual circumstances, the PAC may request that the Provost permit an extension of time to complete its work. When an extension is granted, the PAC, the Grievant, and the Respondent must be informed promptly of the new deadline.

Upon completion of its deliberations, the PAC will submit a written report to the Provost. The report will include the Committee’s findings and recommendations for disposition of the Grievance. The PAC’s findings and recommendations will require the support of a simple majority of the PAC’s members. Members of the PAC who dissent from the majority report may submit a minority report to the Provost.

g. Provost’s decision

The Provost will consider the recommendations of the PAC (as well as any minority reports) in making a decision. The Provost’s decision will be rendered in writing within ten (10) working days of receipt of the PAC’s report.

h. Informal Resolution

At any point during the preliminary or formal review process, the Grievant and Respondent may agree to engage in Informal Resolution. In that case, both parties will notify the Vice Provost for Faculty Affairs of their intent to engage in Informal Resolution. Preliminary or formal review procedures and time limits for those procedures will be suspended until the parties notify the Vice Provost for Faculty Affairs either that the matter has been resolved or that efforts to resolve the matter informally have failed.

i. Appeal

The decision of the Provost is final and may not be appealed to any other officer of ���񱦵�. This provision does not interfere with the right of a faculty member to file a grievance with the University of Colorado Faculty Senate grievance committee as provided in Regent Law Article 5.D and Regent Policy 5.G.

j. Modification or waiver of deadlines

If the deadlines stated in these procedures impose an undue burden on the Grievant, the Respondent or the PAC, the Provost may waive or otherwise modify them. When a modification or waiver is granted, the Grievant, the Respondent and the PAC must be informed promptly of the new timeline.