POL 01.05.08 Faculty and EPA Non-Faculty Appeals to Board of Trustees

Authority: Board of Trustees

History: First Issued: November 10, 1979. Last Revised: November 19, 2010.

Related Policies: 
BOG Policy 101.3.2 - Grievances Filed Pursuant to Section 607 of The Code
BOG Policy 300.1.1- Senior Academic and Administrative Officers
BOG Policy 300.2.1 - Employees Exempt from the State Personnel Act 
UNC Code, Section 607 - Faculty Grievance Committee for Constituent Institutions
UNC Code, Section 611 - Review of Personnel Actions Affecting Specified Employees Exempt from the State Personnel Act (EPA) 

UNC REG 300.1.1.1[R] – Regulations Concerning Senior Academic and Administrative Officers 
NCSU POL01.05.12 – Review and Appeal Processes for EPA Non-Faculty Employees 
NCSU POL05.25.01 - Faculty Grievance and Non-Reappointment Review Policy

Contact Info: Vice Chancellor and General Counsel (919-515-3071)


1. INTRODUCTION

1.1 These appeal procedures apply to grievances or review requests filed by faculty, SAAO-Tier II employees or other EPA non-faculty professionals pursuant to UNC Code Sections 607 and 611 Board of Governors Policy 300.1.1 III.C and Board of Governors Policy 300.2.1, which have been decided by the Chancellor pursuant to NCSU POL05.25.01 - Faculty Grievance and Non-Reappointment Review Policy and to NCSU POL01.05.12 – Review and Appeal Processes for EPA Non-Faculty Employees. By delegation of the Board of Trustees, these appeals are heard by the Academic Affairs and Personnel Committee of the Board of Trustees.

1.2 The Office of the Provost and Executive Vice Chancellor, in consultation with the Office of General Counsel, shall be responsible for scheduling all appellate hearings before the Academic Affairs and Personnel Committee.

1.3 The Office of General Counsel is responsible for compiling and forwarding the record on appeal to the Academic Affairs and Personnel Committee, notifying the individual who has filed notice of appeal of (a) the schedule for submission of documents related to the appeal and (b) the opportunity to comment upon the record prior to submission to the Academic Affairs and Personnel Committee; ensuring that the administrator whose decision is being appealed is provided an opportunity to respond to the appeal; and notifying the parties of the scheduled hearing date.

2. NOTICE OF APPEAL

2.1 An individual appealing the disposition of his or her grievance or review by the Chancellor or Chancellor's designee must file written notice of appeal with the Board of Trustees, by submitting such notice to the Provost and Executive Vice Chancellor, with adequate evidence of delivery, within 10 business days after the individual’s receipt of the Chancellor's decision.  The notice shall contain a brief statement of the basis for the appeal.

2.2 If the notice is received in a timely manner, the individual will be notified in writing of the time period within which he or she must file a clear and concise written statement specifying the policy and specific sections of the policy under which the appeal is made, the precise remedy sought, the grounds for appeal, and a summary of facts supporting the grounds for appeal.  If the individual  has failed to submit the statement within the time frame provided the Chair of the Academic Affairs and Personnel Committee in his or her discretion may extend the time for compliance or may dismiss the appeal.

3. DETERMINATION OF JURISDICTION AND STANDARD FOR REVIEW

3.1 Review of an appeal by the Board of Trustees is not automatic.  Before agreeing to consider an appeal, the Academic Affairs and Personnel Committee will determine whether the subject matter of the appeal is within the Board's jurisdiction as defined by the UNC Code and NC State University's grievance or review procedures, and whether the individual has alleged facts which, if proven to be true, would constitute grounds for relief.  This determination will be made solely by reference to the appeal statement submitted by the individual.

3.2 No review will be granted unless the individual alleges facts supporting one or more of the following grounds:

3.2.1 The process used in deciding the grievance or review was materially flawed, meaning there were departures from prescribed procedures that cast substantial doubt on the validity of the decision being appealed;

3.2.2 The decision of the Chancellor or Chancellor's designee violated applicable state or federal law or University policies or regulations; or

3.2.3 The decision of the Chancellor or Chancellor's designee was clearly erroneous, meaning the decision was unsupported by substantial evidence in view of the entire record.

4. SUBMISSION OF RECORD AND OTHER DOCUMENTS

4.1 Notice of the contents of the Official Record shall be sent to the individual who may submit written objections to the exclusion or inclusion of material in the Record.  The Chair of the Academic Affairs and Personnel Committee will resolve all disputes concerning the Record.  The Chair of the Committee's decision is final.

4.2 The Chancellor or Chancellor's designee may submit a written response to the individual’s appeal statement.  The individual  shall receive copies of any response to the appeal statement that may be submitted.

4.3 The Academic Affairs and Personnel Committee may consider any information it deems relevant to disposition of the Appeal.  If the Committee considers information other than that submitted by the parties, such information will be included within the record of the proceedings and provided to the parties.

5. CONSIDERATION OF THE APPEAL

5.1 The individual shall be notified of the date when the Board of Trustees will consider the appeal.

5.2 The Academic Affairs and Personnel Committee shall decide the appeal based upon the appeal statement and response, if any, and the record of the grievance or review.  A personal appearance by the individual with or without legal counsel is not a matter of right; an individual, however, may make a written request for an opportunity to address the Committee either personally or through counsel.  If the request is granted, a verbatim transcript of the appearance will be made.

5.3 The Academic Affairs and Personnel Committee's decision shall be final except in cases where the decision of the Committee is to reverse the decision being appealed.  If the Committee's decision is to reverse the decision being appealed, the Committee shall submit to the Board of Trustees a report including its findings and recommendations and the Board of Trustees shall make the final decision.

5.4 The Academic Affairs and Personnel Committee and the Board of Trustees shall conduct all proceedings relating to hearing and deciding the appeal in closed session.

6. DISPOSITION OF THE APPEAL

6.1 The individual will be notified in writing of the decision of the Academic Affairs and Personnel Committee or the Board when its review of the case is completed and a decision has been rendered.  The notification will be sent by certified mail, return receipt requested.