University Procedure
Title
University of North Carolina at Chapel Hill Procedure for SHRA Employee Grievances
Introduction
Purpose
The purpose of this Procedure is to outline the process for a prompt, impartial, and effective response to grievances submitted pursuant to the UNC System University SHRA Employee Grievance Policy (“the Policy”). This Procedure should be read in conjunction with the Policy, and the provisions of both apply to SHRA employee grievances.
Scope
This Procedure applies to the resolution of grievances that meet the requirements of the Policy.
Procedure
A. Grievance Submission
Grievants may submit completed grievance forms by email, in-person, or by mail. Grievants may also complete the online form. The Grievance Coordinator will review all grievance form submissions to determine if the information submitted is an eligible grievance under the Policy and has been filed in a timely manner.
SHRA employees must submit an SHRA Grievance Form within 15 calendar days of an eligible action or event. Grievances submitted outside of this window will not proceed through the grievance process.
The Policy defines which actions or events are eligible to proceed only through the Informal Discussion process, UCO inquiry, or other alternative dispute resolution processes within the University. The Policy also defines which actions or events are eligible to proceed through the formal internal grievance process, as outlined in these Procedures.
Pursuant to the Policy, grievances submitted alleging harassment, discrimination, or related retaliation will be forwarded to the University Compliance Office (UCO) for an initial inquiry. Consistent with the applicable UCO procedures, the UCO will assess whether, if true, the allegations could violate the University’s Policy on Prohibited Discrimination, Harassment, and Related Misconduct. If the UCO determines that the allegations would not violate that policy even if true, the UCO will refer the matter back to the grievance process, which may include a jurisdictional assessment. If the UCO determines that the allegations could violate that policy if true, the UCO will initiate an investigation under the applicable procedures or take other appropriate steps to address the allegations. The UCO will refer the matter back to the grievance process upon completion of those steps.
The formal internal grievance process must conclude within 90 calendar days from either the date the grievance is filed or, if applicable, the completion of the UCO initial inquiry.
B. Informal Discussion
Grievances that are only eligible to be addressed at the University level or grievances that are not eligible to bypass to a Step 1 Mediation will first be addressed through the Informal Discussion process.
EMR will facilitate the Informal Discussion process. EMR will serve as an impartial resource to the Grievant and Respondent during the discussion and will work with both parties to achieve a resolution of the grievable issue(s).
1. Time Frame
The Informal Discussion should be completed within 15 calendar days after an employee files an eligible grievance. Both parties may agree to an extension if necessary.
2. Participants
The Grievant, Respondent, and EMR representative(s) are the only parties permitted to participate in the Informal Discussion.
3. Agreement
If the Informal Discussion ends in an agreement between the involved parties, EMR will confirm the agreement in writing with the parties and the Grievance Coordinator. If parties reach an agreement, the grievable issue(s) related to that agreement will be closed.
If the Informal Discussion is unsuccessful in resolving the grievable issue(s), then the Grievant may elect to proceed to the formal internal grievance process, beginning with a Step 1 Mediation for any remaining eligible grievable issue(s). The Grievant must confirm this request in writing by submitting a Grievance Declaration Form to the Grievance Coordinator.
C. Step 1 Mediation
Mediation provides the Grievant and the Respondent an opportunity to openly discuss the grievance, with the assistance of a trained mediator(s), in a neutral environment with the goal of reaching a mutually acceptable resolution.
1. Time Frame
The Grievance Coordinator, or designee, will submit the request for mediation within 3 business days of receipt of the grievance filing or Declaration Form. The mediation process should be concluded within 35 calendar days unless the Grievant and the University mutually agree in writing to extend the deadline due to extenuating circumstances. Any extension of Step 1 will not extend the 90-calendar day timeline for the formal grievance process.
2. Participants
Trained Mediator(s) from outside the University will be assigned to facilitate the mediation. The Grievant, Respondent, and Mediator(s) are the only parties permitted to participate in the mediation.
3. Mediation
The procedures for the mediation process are set out in the Policy. Respondents must notify and seek approval from the Grievance Coordinator regarding any potential mediation terms before the Respondent signs a mediation agreement.
D. Step 2 Mediation
The hearing process provides a meaningful opportunity for parties to present their grievances to a Hearing Officer. The primary goal of a hearing is to establish findings based on the Preponderance of the Evidence and to make a recommendation to the University Chancellor or designee.
1. Time Frame
The Hearing process should generally be concluded within 35 calendar days of the Step 2 filing and must occur before the 90-day deadline of the formal internal grievance process.
The Hearing Officer will provide the parties with reasonable deadlines for submissions of evidence and/or witness lists.
2. Participants
Attendance at the hearing is limited to the parties, witnesses, and necessary University staff, as determined by the Grievance Coordinator. Grievants may consult with an attorney at their own expense but may not be represented by an attorney in any part of the SHRA grievance process.
3. Hearing Officer
The Hearing Officer is an impartial and appropriately trained individual designated by the University to conduct the hearing, review all the relevant evidence, and submit a proposed recommendation with documentation for a Final University Decision addressing all matters raised by the Grievant.
The Hearing Officer will be provided or may request fact-specific materials that the Hearing Officer deems potentially relevant. The Grievant and the Respondent are responsible for securing any supporting documentation they want the Hearing Officer to consider in reaching their decision. The Hearing Officer may request additional documentation and/or witnesses as necessary, including requesting supporting documentation directly from the University’s Office of Human Resources, or other offices as appropriate. The Hearing Officer may be given access to additional confidential materials that may not be available to the parties.
4. Hearing Notices
The Grievance Coordinator or designee will send a Pre-Hearing Notice to the parties promptly after a Respondent has been identified. The Pre-Hearing Notice will outline the anticipated date(s) of the hearing, the identity of the Hearing Officer, and relevant procedural information.
The Pre-Hearing Notice will inform the parties that they have the opportunity to challenge the appointed Hearing Officer if the party believes the Hearing Officer cannot render an unbiased recommendation due to a real or perceived conflict of interest. The parties must submit the basis for the challenge in writing within 5 calendar days of receiving the Pre-Hearing Notice. The Associate Vice Chancellor for UCO or designee will assess the facts and circumstances to determine whether the alleged bias or conflict of interest would prevent the Hearing Officer from fulfilling their duties in an impartial manner and, if so, will take appropriate steps to ensure an impartial process, including replacement if appropriate.
After the deadline to object to the Hearing Officer has passed and promptly after identifying the hearing date, the Hearing Officer will send a Notice of Hearing to the parties. The Notice of Hearing will outline:
- the hearing date, location, and other logistical details;
- information about the Hearing Officer and their role;
- details about the pre-hearing meeting, including date and topics;
- hearing protocols, including questioning, decorum standards, and expectations;
- information about deadlines and procedures related to the Hearing; and
- any other relevant information related to the hearing process.
5. Pre-Hearing Meeting
The Hearing Officer will meet separately with each party to resolve pre-hearing concerns. At this pre-hearing meeting, the parties will have the opportunity to address questions about the hearing process. The Hearing Officer will also review expectations for hearing participants.
6. Hearing Procedures
Hearings will be conducted live and in closed session. At the discretion of the University, a hearing may be conducted with the parties physically present in separate locations with technology enabling the Hearing Officer and parties to simultaneously see and hear the party or witness while that person is speaking. With approval of the Chancellor or designee, the University will record the hearing by audio or audiovisual means for purposes of creating a transcript for the Hearing Officer. The parties and witnesses are prohibited from recording the hearing in any manner.
The Hearing Officer will preside over the hearing. Each party will be given an opportunity to present any evidence, including witnesses, beginning with the Grievant and followed by the Respondent. The Hearing Officer may, in their discretion, alter this order to accommodate availability of witnesses or to otherwise avoid undue delay in the hearing.
During the hearing, the Grievant and Respondent will both have the opportunity to give an opening and closing statement, present evidence and witnesses, question or refute any testimony and witnesses, and request an opportunity to consult with an attorney or advisor. Breaks, including those to consult with an attorney or advisor, may not unduly delay the hearing.
Each party will be limited to a total of two (2) hours to present their case, including statements, questioning of the other party and/or witnesses, the introduction of evidence, closing statements, and any other statements, arguments, or participation by that party. Questions from the Hearing Officer will not be charged against this time. The Hearing Officer has the discretion to modify this time limit if extenuating circumstances require. Any modification to the time limit must be applied equally to both parties.
Parties and witnesses may be directly questioned. The Hearing Officer has the discretion to modify the procedures at any time if the Hearing Officer determines questioning by the parties will be unduly intimidating or burdensome to a party or witness.
The Hearing Officer will objectively evaluate all relevant evidence and policies and will make a determination using the Preponderance of the Evidence standard.
7. Hearing Report and Final University Decision
The Hearing Officer will prepare and submit a Hearing Report and recommendation to the Chancellor or designee, as set out in the Policy. The Chancellor or designee will prepare and issue a Final University Decision, as set out in the Policy.
Definitions
- EMR: The Employee and Management Relations unit in the Office of Human Resources.
- Grievant: An applicant for an SHRA position, a probationary State employee, a former probationary State employee, or a career or former career State employee who initiates a grievance, including EHRA Law Enforcement Officers and applicants for EHRA Law Enforcement Officer positions.
- Hearing Officer: An officer appointed by the Chancellor or designee to oversee the proceedings of a hearing and submit a proposed recommendation for a Final University Decision.
- Respondent: A designated University representative who will have the authority to make decisions on behalf of the University to resolve a grievance. The Respondent is typically, but is not required to be, an individual in the Grievant’s supervisory chain. The Grievance Coordinator will identify the Respondent at each stage of the grievance process and may seek input from the Office of Human Resources or other appropriate offices to identify the appropriate individual. The Respondent may, but is not required to, be the same individual at each stage of the grievance process.
- Preponderance of the Evidence: An evidentiary standard that means more likely than not.
- UCO: The University Compliance Office.
This Procedure also incorporates all defined terms in the Policy.
Related Requirements
External Regulations
University Policies, Standards, and Procedures
Contact Information
Primary Contact
Office: University Compliance Office
Telephone: 919-966-3576
Email: uco@unc.edu