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Handbook of Operating Procedures
  • Policy Process

    • Handbook of Operating Procedures
    Chapter 2 - Faculty and Academics
    Previous Publication Date: October 26, 2020
    Publication Date: August 1, 2023
    Policy Reviewed Date: August 1, 2023
    Policy Owner: VP for Academic Affairs


    2.34 Faculty Grievance Procedure

    I. POLICY STATEMENT

    The University of Texas at San Antonio (UTSA) provides faculty a procedure through which grievances related to the employment relationship can be pursued. This procedure supports UTSA’s core values of integrity (adhering to a standard core of values and ensuring that one acts in a fair and ethical fashion) and respect (treating others with civility and openness, recognizing the dignity inherent in each individual).

    II. RATIONALE

    This policy establishes a procedure for faculty to bring grievances to the attention of administration. The University of Texas System Board of Regents' Rules and Regulations, Series, Rule 30602 encourages fair and equitable solutions for problems arising out of the employment relationship and to meet the applicable requirements of State and federal law.

    III. SCOPE

    The grievance procedure as described in this policy is available to all faculty members to address Grievable Actions or Decisions, as defined in VII. A faculty member (the Grievant) may seek redress of any such Grievable Action or Decision through the following procedures that are intended to ensure a timely and thorough consideration.

    IV. WEBSITE ADDRESS FOR THIS POLICY

    http://www.utsa.edu/hop/chapter2/2.34.html

    V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS

    1. University of Texas System Policies or the Board of Regents' Rules & Regulation
      1. The University of Texas System Board of Regents' Rules and Regulations, Series, Rule 30602

    VI. CONTACTS

    If you have any questions about HOP 2.34, Faculty Grievance Procedure, contact the following office:

    Academic Affairs
    210-458-4110

    VII. DEFINITIONS

    1. Business Days:  weekdays during which normal university business is conducted. This excludes weekends and holidays.
    2. Committee:  the Faculty Grievance Committee (described in Section IX.C)
    3. Complaint:  the written record of the Grievable Action or Decision under dispute, and all supporting written materials submitted by the Grievant
    4. Grievant:  a faculty member who disputes a Grievable Action or Decision.
    5. Grievable Action or Decision:  Those administrative actions or decisions that are subject to these Grievance Procedures. Specifically, those actions or decisions that relate to the terms and conditions of faculty employment. To be a Grievable Action of Decision, it must include one of the following:
      1. Administrative actions or decisions that result in:
        1. a denial of or reduction in merit award, or a reduction in salary or rank;
        2. assignment or reassignment of duties. The routine assignment of work responsibilities, such as teaching and committee service, is not considered disciplining. Oral reprimands and oral counseling are not considered discipline;
        3. the denial or withdrawal of a university benefit or privilege, including the use of university facilities, equipment, or support staff;
        4. suspension without pay;
        5. performance evaluations (note that an Annual Performance Evaluation grievance begins at the Formal Grievance Procedure stage and bypasses the Informal Resolution Process); or
        6. other disciplinary actions.
      2. Actions or decisions that the Grievant deems to be a violation of contractual rights or an infringement upon the exercise of rights guaranteed by the laws or constitution of this state or the United States.
    6. Faculty Member: any individual holding an academic title as defined in policy 2.02, Faculty Appointments and Titles, in the UTSA Handbook of Operating Procedures (HOP).
    7. Materials:  the Complaint, the Response, and the written proposed resolution that comprise the written evidence to be reviewed by the Review Panel in an electronic format.
    8. Respondent: the individual or supervisor whose administrative action or decision is in dispute.
    9. Response: the written response and all supporting written materials submitted by the Respondent.
    10. Review Panel:  a three-member panel from the Committee who participate in a hearing of the grievance.
    11. Senior Vice Provost:  the Senior Vice Provost for Academic Affairs.   

    VIII. RESPONSIBILITIES

    1. Chair of the Committee
      1. Provides copies of all records pertaining to the grievance to the various parties involved in the grievance process.
      2. Selects Committee members to serve on Review Panel.
      3. Provides Academic Affairs and the Faculty Senate an annual report summarizing the Committee's work.
    2. Committee  
      1. Delegates review functions on cases to a Review Panel of three members selected at random, as outlined in Section IX.E.3.3.1
    3. Senior Vice Provost for Academic Affairs (Senior Vice Provost)
      1. Assists the Review Panel in the process of implementing this policy.
      2. Responds to all procedural questions from both faculty and administrators regarding this policy.
      3. Annually summarizes the past year’s grievance processes for the Faculty Senate.
      4. Maintains original grievance records which can be reviewed by the Chair of the Committee.
      5. Keeps a record of the date for various actions to be taken so that the grievance proceeds in a timely manner in accordance with the time limitations expressed in this policy. 
      6. Reviews and responds to requests for extension of indicated deadlines including the deadline for initial filing of a formal grievance.
      7. Forwards the grievance file to the Grievant’s department for retention in the Grievant’s department file at the conclusion of the grievance process.
    4. Dean
      1. Provides a written response if Administrative Resolution is requested by Grievant.
    5. Provost’s Designee
      1. Provides a written response if Administrative Resolution is requested by Grievant when the dean is the respondent.
    6. Provost
      1. Provides final resolution to all parties if grievance is not resolved during Administrative Resolution.

    IX. PROCEDURES


    1. Grievance Parameters
      1. A faculty member (the Grievant) may seek redress of any Grievable Action or Decision through the following procedures that are intended to assure a timely and thorough consideration.
      2. The grievance procedure as described in this policy is available to all faculty members and is the only authorized grievance process available to address Grievable Actions or Decisions.
      3. Grievants are accorded the following under this policy:
        1. A Grievant shall not be penalized, disciplined, or in any manner retaliated against for exercising his/her right to make a complaint or file a formal grievance. A faculty member shall likewise not be penalized, disciplined, or in any manner retaliated against for assisting another faculty member in the presentation of that complaint.
        2. The Grievant may present any documentary evidence to the Respondent, Respondent’s supervisor, and/or Committee that he/she considers relevant to the grievance and the resolution of the complaint.
        3. The Grievant may seek the advice of the Senior Vice Provost on procedural matters regarding the informal and the formal grievance process.
      4. A faculty member cannot grieve the actions or decisions proposed during, or resulting from, the informal grievance process.
      5. Steps in the grievance process, as described below in IX.D and IX.E, must be followed in their sequential order before progress to the next step can occur.
      6. The administration has the right to discipline members of the faculty. It also has the right to terminate faculty members for good cause. The University of Texas System Board of Regents' Rule 31008, "Termination of a Faculty Member,” shall govern termination of a tenured faculty member and a non-tenured faculty member who is terminated before the expiration of his or her appointment. These grievance procedures do not apply to matters that are reviewable pursuant to other procedures provided by the University or that are addressed in other provisions of the University of Texas at San Antonio Handbook of Operating Procedures or the University of Texas System Policies.

        Actions or Decisions that are subject to this Grievance policy are defined as Grievable Action or Decision (See Section VII). 

    2. Actions or Decisions that Limit Academic Freedom
      1. Disputes involving administrative actions or decisions which limit the academic freedom of an individual faculty member shall be subject to interpretation under Regents’ Rule 31004 “Rights and Responsibilities of Faculty Members,” and consistent with the American Association of University Professors’ 1940 Statement on Academic Freedom. All disputes involving academic freedom are governed solely by the process outlined in the informal grievance process in Section (D).
        1. Such disputes shall be reviewed by the Senate Committee on Academic Freedom, Evaluation and Merit Committee (AFEM) to determine whether the complaint involves a limitation of academic freedom, as it is specified above.
        2. If the AFEM affirms a finding of academic freedom infringement, it shall forward a recommendation for resolution to the Dean within 20 Business Days of receiving a complaint. If the Dean is the Respondent in an academic freedom complaint, the recommendation shall be forwarded to the Senior Vice Provost.
        3. The Dean or Senior Vice Provost shall review the recommendation of the AFEM and make a final decision concerning resolution of the complaint. Such resolution shall be communicated in writing to both the Grievant and Respondent within 15 Business Days and shall conclude the complaint.
        4. If the AFEM does not affirm a finding of academic freedom infringement, it shall notify the Grievant in writing why the complaint does not meet the applicable standard. This shall conclude the complaint review process.
    3. The Faculty Grievance Committee
      The Committee is authorized to review individual grievances, governed by the following provisions and responsibilities:
      1. Committee Membership: The Committee consists of:
        1. One voting member from each department chosen from the tenured faculty according to the department’s written procedures and voting faculty members subject to approval by the president or designee. These members shall serve two-year overlapping terms, with half elected each year; and
        2. Eight voting members appointed by the president from the faculty at large, four new members each year serving two-year overlapping terms.
      2. Committee Chair
        1. The Chair of the Committee shall be appointed by the Senior Vice Provost and serve for a term of two years as chair. The appointment of the chair is subject to the approval of the president and is renewable. The chair’s membership on the Committee shall be extended until completion of the term as chair.
      3. Review Panels
        1. Review Panels review cases.
        2. Committee members are not precluded from filing their own grievances simply by virtue of their membership on the Committee. However, Grievants may not serve on the Review Panel for their own grievances.
        3. Unless authorized by applicable law, all members of the Committee and Review Panel shall not disclose or discuss the facts related to any and all grievances with third parties who are not directly involved in the processing or resolution of the grievance or who do not otherwise have a legitimate need to know.
    4. Informal Resolution Process 
      The faculty member shall first discuss the administrative action/decision in question with the administrator who took that action or made that decision in an attempt to resolve the issue. Requests for exceptions to the timeline outlined below should be submitted to the Senior Vice Provost who will make the decision on approval of such expectations.

      Because the Annual Performance Evaluation process includes steps which parallel those in the Informal Resolution Process (discussion between the chair and faculty member, review by a faculty peer review committee, and the opportunity to provide written objections to the Dean), grievances concerning Annual Performance Evaluations bypass the Informal Resolution Process and begin with the steps described in Section IX.E. Formal Grievance Procedure.
      1. Informal Dialog
        1. It is the obligation of the Grievant to make a serious effort to resolve the grievance with the respondent through direct conversations. The Grievant can request that their department chair/school director, Dean and/or university ombudsperson be included in the conversations. This dialog between the Grievant and the Respondent should be initiated within 30 Business Days from the date that the Grievant is notified of an administrative action or decision grievable under this policy.
        2. If a resolution has not been achieved within 15 Business Days, the informal dialog period may be considered complete.
      2. Written Complaint
        1. Only after the informal dialog period is complete should a written grievance be filed.
        2. The Grievant shall present the Complaint in writing to the Respondent for discussion, consideration, and resolution within 10 Business Days from the date that the informal dialog stage is complete. A copy of the Complaint should be sent to the Chair of the Committee.
        3. This Written Complaint shall be the same Written Complaint that will be submitted to initiate the Formal Grievance Procedure if the Complaint advances to that stage.
        4. The Respondent must respond in writing within 10 Business Days after receipt of the Complaint. If the Respondent is the Grievant’s immediate supervisor, the Grievant may alternatively address the Complaint to the Respondent’s immediate supervisor who will then request a written response from the Respondent.
        5. After receipt of the written response from the Respondent, the Grievant may decide that the issue has been resolved or may request Administrative Resolution. The request for Administrative Resolution must be made within five Business Days of receipt of the written response from the Respondent.
      3. Administrative Resolution
        1. Once the Complaint request Administrative Resolution, the Chair of the Committee shall forward the written materials to the Dean, who shall then provide a written proposed resolution to the Chair of the Committee within 10 Business Days of receipt of the materials forwarded by the Chair of the Committee.
        2. If the Dean is a Respondent, the Chair of the Committee shall forward both the Complaint and the Response to the Provost’s Designee, who shall provide a written proposed resolution to the Chair of the Committee.
        3. The written proposed resolution may either recommend dismissal of the Complaint outright, or recommend a solution to resolve the dispute. The 3.3 Administrative Resolution shall complete its work within 30 Business Days of the Materials being received and notify the Chair of the Committee of the results.
        4. The Complaint (and supporting materials), Response (and supporting materials), and written proposed resolution then comprise the Materials that form the official documentation of the case to be reviewed by a Review Panel if proceeds to a Formal Grievance.
        5. The Chair shall forward the written proposed resolution to both the Grievant and the Respondent. If both parties agree to the written proposed resolution, then the Chair of the Committee shall notify the Senior Vice Provost in writing of the resolution and conclude the grievance procedure.
        6. If the grievance has been successfully resolved by the Administrative Resolution to both parties’ satisfaction, that resolution shall be documented in writing by the Provost’s designee and submitted to the Chair of the Committee and the Senior Vice Provost, thereby concluding the grievance process.
        7. If there is no informal resolution to the Complaint, the Chair of the Committee shall then inform the Grievant that he/she may initiate the Formal Grievance Procedure.
    5. Formal Grievance Procedure
      1. Initiation of the Formal Grievance by Grievant
        1. If the grievance is not resolved in the steps outlined above for the Informal Resolution Process, the Grievant may initiate the Formal Grievance Procedure within 15 Business days following the notice to the Grievant by the Chair of the Committee. Grievances regarding Annual Performance Evaluations begin at this stage.
        2. The Grievant initiates the Formal Grievance Procedure by the submission of the Written Complaint, with supporting materials, to the Chair of the Committee. This will be the only opportunity for the Grievant to present electronic materials related to the grievance.
        3. If the grievance concerns an Annual Performance Evaluation, the Grievant must initiate the Formal Grievance Procedure by December 15 following the conclusion of the evaluation period. If the grievance concerns a matter other than an Annual Performance Evaluation, the Grievant has 15 Business Days following the notice by the Chair of the Committee that the formal process may be initiated to initiate the Formal Grievance Process.
        4. The materials submitted by the Grievant may include documentary or other evidence. Any request for documents by the Grievant is to be submitted to the UTSA Public Information Officer or designee and addressed in accordance with the Texas Public Information Act.
        5. Upon submission of the Complaint, the Grievant shall be advised by the Chair of the Committee of the grievance procedure as outlined in this section.
        6. The burden of proof shall rest with the Grievant to prove, by a preponderance of the credible evidence, that the administrative decision or action he or she is grieving under this policy:
          1. is not in substantial compliance with established university criteria or procedures;
          2. has no rational basis;
          3. was made for reasons that are unlawful under the state or federal constitution, laws, or court decisions; or
          4. violates a written agreement signed by the faculty member and an authorized representative of the university, with all the necessary approvals by the university and the UT System.
      2. Respondent's Notification of Grievance and Response
        1. Within five business days of the Chair of the Committee being notified of the filing of a formal grievance, the chair shall notify the Respondent that a formal grievance has been filed and provide the Respondent with a copy of the Complaint along with the supporting materials submitted by the Grievant.
        2. The Respondent shall be given the opportunity to file a written response to the Complaint, with any relevant supporting materials (hereafter, the “Response”), within 15 Business Days of receipt of notification of the Complaint and the Complaint materials by the Chair of the Committee. These materials may include documentary or other evidence. This will be the only opportunity for the Respondent to submit materials related to the grievance. The Chair of the Committee shall provide the Grievant with a copy of the Response and the associated supporting materials within five Business Days.
      3. Review of Grievance by Review Panel and Final Administrative Decision (the timeline referenced below may be reasonably altered to accommodate university schedule and extenuating circumstances such as during the summer months or between the fall and spring semesters, contingent upon the availability of faculty to serve on a Review Panel)
        1. If the informal dialog, written complaint, and administrative resolution is not accepted by both parties, the Chair of the Committee shall notify both parties and the Senior Vice Provost. Within five Business Days of such notification, the Grievant may request that the Review Panel consider the matter. If the Grievant does not do so within this period, the Grievance is considered withdrawn and cannot be refiled. If the Grievant requests a review by a Review Panel, the Chair of the Committee shall choose an independent panel of three faculty Committee members to serve as the Review Panel selected within ten Business days of receiving a request by a Grievant for a panel review. The Review Panel members are to be selected by the Chair of the Committee through a random process that minimizes any potential conflict of interest among its members and the parties in the Complaint.
        2. The Review Panel is to review solely the record before it. The Review Panel must review the Materials provided by the Chair of the Committee which were submitted by the Grievant and Respondent. A decision to interview witnesses is within the sole discretion of the Review Panel is final.
        3. The Review Panel shall select its own chair and no member of the panel shall have been involved in the grievance in any way. Review panel membership is defined further by the following:
          1. If any member of the Review Panel is of the view that he or she cannot serve with fairness and objectivity, that person shall not participate in the review of the grievance from whatever time that member becomes aware of the impediment to continued service.
          2. Either party may move to disqualify a Review Panel member whose service is alleged to be in violation of these provisions. It shall be up to the Chair of the Committee to determine whether the challenged member can serve with fairness and objectivity in the matter.
          3. If a Review Panel member must be replaced, the Chair of the Committee shall assign a substitute chosen from the membership of the Committee, in accordance with Section IX E.3.3.1
          4. Either party may challenge the overall composition of the Review Panel. Such challenges must be made within five Business Days of the appointment of the Review Panel. If the challenge is upheld by the Chair of the Committee, a new Review Panel will be selected by the Chair of the Committee in accordance with Section IX.E.3.3.1
        4. The Review Panel may meet and conduct interviews for its review as it deems necessary. The Review Panel shall ensure that all parties are afforded a fair and objective review of the case.
        5. The Panel may submit written questions to the Grievant, the Respondent, and any witnesses identified by the Grievant or the Respondent if it needs clarification regarding any items in the Materials. Additionally, the Review Panel may interview any of these parties regarding those specific items. The decision to seek additional information or to interview witnesses is left to the Review Panel. The Review Panel can seek more information or conduct interviews even if this is not recommended by the Grievant and/or Respondent as indicated in Section IX.E.2.
        6. Within 30 Business Days of the review panels initial meeting and after review of the Materials, the Review Panel shall provide their findings and shall recommend one of the following actions:
          1. dismiss the Complaint due to failure to state a claim upon which relief may be granted;
          2. dismiss the Complaint due to failure to meet the burden of proof;
          3. accept the written proposed resolution of the Complaint;
          4. suggest a modified resolution for the Complaint; or
          5. schedule a limited hearing for the sole purpose of clarifying the written evidence through verbal testimony.
        7. All findings and recommendations of the Review Panel shall be determined by a majority of its total membership and shall be forwarded by the Chair of the Committee to the Grievant and the Respondent and to the Provost, along with the Materials and any additional information, if offered, for final resolution.
        8. If none of the actions in IX.E.3.6 are taken by the Review Panel within the allotted time period (30 Business Days), the Materials and any additional information collected by the Review Panel, shall be forwarded by the Chair of the Committee to the Provost for final resolution.
        9. The Provost shall provide a final written resolution to all parties (Grievant, Respondent, Dean, Senior Vice Provost, and Chair of the Committee) within 20 Business Days of receipt of the Materials provided by the Chair of the Committee.
          1. The Provost may endorse, modify, or reject the recommendations of the Review Panel.
          2. The Provost’s decision shall conclude the grievance process for all those grievances on matters for which he or she has final authority.
          3. If the Provost is a Respondent to the Complaint, then the President, or President’s designee shall provide the final written resolution in place of the Provost.

    X. SPECIAL INSTRUCTIONS FOR INITIAL IMPLEMENTATION

    None

    XI. FORMS AND TOOLS/ONLINE PROCESSES

    None

    XII. APPENDIX

    None

    XIII. Dates Approved/Amended

    08-01-2023
    10-26-2020
    04-07-2017