UAMS COLLEGE OF MEDICINE
FACULTY GRIEVANCE PROCEDURE AND AHEC ADDENDUM

Purpose

 It is a declared objective of the College of Medicine that an individual faculty member may have prompt resolution of his/her personal grievance(s) and that this be accomplished under orderly procedures.  This policy replaces the "Academic Employee Grievance Procedure” which appears in the UAMS Faculty Handbook, section G-3, and shall be used for College of Medicine faculty, as defined below.

The grievance process shall not be used to question a rule, procedure, or policy established by an authorized faculty or administrative body. It shall be used as due process by a faculty member who believes that a rule, procedure, or policy has not been followed or has been applied in an inequitable manner.

 Definitions

Faculty:    For purposes of this policy, "faculty" includes those holding the rank of Instructor, Assistant Professor, Associate Professor, Professor, or Distinguished Professor, in the UAMS College of Medicine.

College of Medicine Appeals Board:  A group of faculty members appointed annually by the Dean of the College of Medicine to hear formal grievances.

Grievance: An expression of dissatisfaction when a faculty member believes that a rule, procedure, or policy has been applied in an unfair or inequitable manner, or that there has been unfair or improper treatment by a person or persons.   Such grievance may concern, but is not limited to, the following: duties assigned to a faculty member; application of College of Medicine or UAMS policies; and discrimination because of race, national origin, gender, religion, age, disability, or status as a disabled or Vietnam-era veteran; subject to the exception that complaints of sexual harassment will be handled in accordance with the specific published policies of the University of Arkansas for Medical Sciences.  (See UAMS Administrative Guide No. 3.1.05.)  (Specifically not included in this grievance procedure are matters of non-reappointment, dismissal, tenure or promotion decisions for which other policies and procedures exist.  See UA Board Policy 405.1.)

 Grievance Panel: Those members of the College of Medicine Appeals Board selected, by a drawing, to hear a grievance in accordance with Step II of the grievance procedure.

 Grievant: Any faculty member submitting a grievance as defined above.

Respondent: A person or persons alleged to be responsible for the violation(s) alleged in a grievance. The term may be used to designate persons with direct responsibility for a particular action or those persons with supervisory responsibility for procedures and policies in those areas covered in the grievance.

Working Days: Monday through Friday, excluding official UAMS holidays.

 Policy

When an incident forming the basis for a grievance arises, the grievant must follow the procedure outlined below. Each grievance shall be handled promptly and impartially, without fear of coercion, discrimination, or reprisal.  Each participant in a grievance procedure shall do his/her part to protect this right.

 No student, resident, faculty member, member of the Grievance Panel or College of Medicine Appeals Board, administrator, or witness shall suffer loss of compensation or leave time for the time spent in any step of this procedure.

Records shall be kept of each grievance process. These records shall be confidential to the extent allowed by law, and shall include, at a minimum: the written grievance complaint filed by the grievant, the written response filed by the respondent, the recording and documents of the hearing, the written recommendation of the Grievance Panel, the results of any appeal, the decision of the Dean, and any other material designated by the Dean or the Dean’s designee. A file of these records shall be maintained in the office of the Associate Dean for Faculty Affairs for four years.

Procedure

Step I: Initial Attempt of Resolution

            A.      The grievant must submit a written statement to his/her department chair identifying the respondent, specifying the violation(s) alleged, the basis for the grievance, and the remedy sought. This written statement must be submitted within fourteen (14) working days following the incident which forms the basis for the grievance.  The grievant shall provide a copy of this written statement to the Associate Dean for Faculty Affairs.  If the grievance is against the chair, the written statement must be submitted to the Associate Dean for Faculty Affairs instead of to the chair. 

 B.      Within ten (10) working days of receipt of the written statement, the department chair will attempt to resolve the grievance by a discussion with the   grievant. Following discussion with the grievant, the department chair may, at his/her discretion, discuss the grievance with the respondent in an effort to resolve the grievance.  If the grievance is against the department chair, the Associate Dean for Faculty Affairs will attempt resolution of the grievance.

 C.      If the grievance is satisfactorily resolved by this discussion, the terms of the resolution shall be written and signed by the grievant, the department chair,  and the respondent (if the respondent has participated in any discussions in an effort to resolve the grievance and is affected by the resolution). A copy of this document shall be sent to and maintained by the Associate Dean for Faculty Affairs.  If the grievance was against the chair, and is satisfactorily resolved by this discussion, the terms of the resolution shall be written and signed by the grievant, the Associate Dean for Faculty Affairs and the chair (who is the respondent, if the chair has participated in any discussions in an effort to resolve the grievance and is affected by the resolution). 

 D.      This initial attempt of resolution must conclude within ten (10) working days of the initial discussion with the grievant. At the end of this ten-day period, if the grievance cannot be resolved, the grievant can immediately proceed to Step II, presentation of a formal grievance to the Dean of the College of Medicine.

Step II: Formal Grievance to the Dean

A.      Filing a grievance:

  1.      Grievances submitted to the Dean of the College of Medicine shall be in writing and shall provide the following information: name and address of the grievant; nature, date, and description of the alleged violation(s); name(s) of person(s) responsible for the alleged violation(s); requested corrective action or remedy sought; and any background information the grievant believes to be relevant.

2.      A grievance must be submitted to the Dean within ten (10) working days of the completion of the initial attempt of resolution, outlined in Step I above.

B.         Immediately upon receipt of a formal grievance, the Dean will give the respondent a copy of the grievance and will direct the respondent to submit to the Dean a written response to the charges within ten (10) working days. The respondent will be specifically warned not to retaliate against the grievant in any way. Retaliation will subject the respondent to appropriate disciplinary action.

C.         Following receipt of the written response, the Dean may elect to review and decide the issue, or the Dean may refer the issue to the Appeals Board for a hearing. If the Dean decides the issue, the decision shall be final, and there shall be no appeal. If the Dean refers the issue to the Appeals Board, the grievance will be heard pursuant to the Pre-Hearing Procedures and Hearing Procedures listed below.

D.         Pre-Hearing Procedures:  

1.         Selection of Grievance Panel: When a grievance is referred to the Appeals Board, a Grievance Panel, composed of five (5) faculty members shall be selected as follows: The Dean, or the Dean's designee, and the grievant will meet to review the members of the College of Medicine Appeals Board, removing from consideration any member who may with reason be considered inappropriate for the hearing.(e.g., a faculty member directly involved in the issue being appealed should not sit on the panel for that complaint). The names of the remaining members will then be written on tabs of paper, folded, and randomized by mixing. The grievant will draw names from the container. The first five names will constitute the Grievance Panel, provided they are available to attend the hearing. The sixth name drawn is the first alternate, the seventh name drawn is the second alternate, respectively, etc., until all faculty names are listed in a sequence of priority.

2.         Scheduling of Hearing: The Hearing will be conducted no sooner than ten (10) working days and no later than twenty (20) working days after the drawing unless the Dean, or the Dean’s designee, determines there is a specific reason why another time must be selected.

3.         Representation: The grievant and the respondent may each have one (1) person, who may be an attorney, to assist in the initiation, filing, processing, or hearing of the formal grievance; however, these people may not address the Grievance Panel, speak on behalf of the grievant or respondent, question witnesses, or otherwise actively participate in the hearing. The Grievance Panel may also be assisted and advised by University counsel at its discretion.

 4.         Evidence: No later than five (5) working days prior to the hearing, the grievant and the respondent shall provide the Dean, or the Dean’s designee, with seven (7) complete sets of documents to be used and relied upon at the hearing and, also, with the name, address, and telephone number of any representative and witnesses. On the same day the evidence is received, or no later than the following day, there will be an exchange of this information between the parties, which will be facilitated by the Dean, or the Dean’s designee.

5.         Information to the Grievance Panel and Election of Chairperson: No later than three (3) working days prior to the Hearing, the Dean, or the Dean’s Designee, shall assemble the five members of the Grievance Panel. The Grievance Panel will be supplied with the documents and information submitted by the parties (as specified in paragraph 4 above), and the date of the hearing will be confirmed, and procedural matters related to the hearing and panel's report of the hearing will be discussed.  The Dean or the Dean’s Designee will then withdraw from the room. The Grievance Panel should convene briefly for the sole purpose of electing a faculty member as chairperson and deciding whether the Grievance Panel requests the assistance of University counsel.  It is the responsibility of the chair to conduct the hearing in an orderly and efficient manner.  The substance of the grievance shall not be discussed at this initial meeting, and neither the grievant, the respondent, nor their respective representatives are permitted to attend.

E.         Hearing Procedures:

1.         Record of the Hearing: The hearing will be recorded by recording devices supplied by UAMS. These recordings shall be maintained for a period of four (4) years after resolution of the grievance in the office of the Associate Dean for Faculty Affairs. The grievant or respondent may obtain a copy of the tapes from any recorded hearing, at the requesting party’s expense. The deliberations of the Grievance Panel will not be recorded.

2.         Attendants:  Attendants at the beginning of the hearing are limited to the Dean or the Dean’s designee, the members of the panel, the grievant and the grievant’s representative, the respondent and the respondent’s representative, and counsel representing the panel.

3.         Dean’s Announcement: At the beginning of the hearing, the Dean, or his/her designee, will announce the date, time, place, and purpose of the hearing, and will ask the members of the Grievance Panel to identify themselves by name and department. The grievant and the respondent will then identify themselves by name and department. Finally, any representative accompanying the grievant, the respondent, or the panel shall identify himself or herself by name and title. The Dean or his/her designee will then give the Grievance Panel its charge. Following the charge, the Dean (or designee) will withdraw from the room.

4.         Private Hearing: The hearing shall be conducted in private. Witnesses shall not be present during the testimony of any party or other witness. Witnesses shall be admitted for testimony only and then asked to leave. The grievant and the respondent may hear and question all witnesses testifying before the Grievance Panel.

5.         Presentation of Case: The grievant and respondent shall be afforded reasonable opportunity for oral opening statements, closing arguments, their own testimony, and presentation of witnesses and pertinent documentary evidence, including written statements.

6.         Grievance Panel Rights: The Grievance Panel shall have the right to question any and all witnesses, to examine documentary evidence presented, and to summon other witnesses or review other documentation as the Grievance Panel deems necessary. The Grievance Panel has the right to limit testimony and presentation of other evidence to that which is relevant to the violation(s) alleged and to further limit testimony and other evidence that is cumulative and unnecessary.

7.         Grievance Panel Deliberation: After the hearing is concluded, the Grievance Panel shall convene to deliberate in closed session and arrive at a majority recommendation. The Grievance Panel shall make its determination of whether or not a rule, procedure or policy was not followed or was applied in an inequitable manner based upon the evidence presented at the hearing, which is relevant to the issue(s) before the Grievance Panel. The Grievance Panel may make recommendations for resolution of the dispute. Neither the grievant, the respondent, nor their representatives may be present during the Grievance Panel deliberations.

8.         Transmittal of the Recommendation: Within four (4) working days after the hearing is concluded, the Grievance Panel shall transmit a written copy of its recommendation to the Dean (or Designee). The Dean (or Designee) will then mail, by certified mail, return receipt requested, a copy of the written document to the grievant and respondent and the Assistant Dean for Faculty Affairs at addresses previously provided by the grievant and the respondent.

 9.         Appeal of Recommendation of the Grievance Panel:

If either the grievant or the respondent wish to appeal the recommendation of the Grievance Panel, the grievant or respondent shall, within five (5) working days of the receipt of the recommendation, appeal the grievance recommendation to the Dean. The appeal shall be in writing, and it shall be based on one of the following: a substantial mistake of fact occurred, a fundamental misinterpretation of official policies is evident, or a significant procedural defect took place. These are the only grounds for contesting the determination of the Grievance Panel. Within five (5) working days of the receipt of the appeal, the Dean may, at his/her discretion, order the Grievance Panel to reconvene, in private, to consider whether there is merit to the appeal, review its previous determination, and revise it if appropriate. No new evidence or testimony shall be introduced at this time. Neither the grievant, the respondent, nor their representatives may be present during this Panel deliberation. Within two (2) working days of its having reconvened, the Grievance Panel will present its determination, revised or unchanged, in writing to the Dean. Within five (5) working days of receipt of the determination from the Panel, the Dean may accept it, amend it, reverse it, or refer it back to the Panel for reconsideration. The grievant and the respondent shall be notified in writing of the Dean’s decision by certified mail, return receipt requested. The decision of the Dean shall be final, and there shall be no appeal.

If the Dean receives no appeal, by either the grievant or the respondent, within the five (5) working day period described above, the Dean may consider the recommendation at the end of that time period. The Dean may accept the Grievance Panel recommendation, amend it, reverse it, or refer the grievance back to the Grievance Panel for reconsideration. The decision of the Dean shall be final, and there shall be no further appeal.

 Approved by the Executive Committee of the UAMS College of Medicine May 22, 2006.  Procedural revision September 21, 2006

Addendum to the Faculty Grievance Procedure – for use by AHEC-based faculty members.  Approved April 3, 2007

ADDENDUM: PROCEDURE FOR GRIEVANCES INVOLVING AHEC-BASED COM FACULTY
 All references to the Dean and Associate Deans within this addendum refer to individuals who hold those titles within the UAMS College of Medicine.

 Step I:  Initial Attempt at Resolution

 Paragraphs A – D within the body of this policy shall be pursued, with the following modifications for AHEC-based faculty:

The required documentation must be submitted by the grievant to the appropriate College of Medicine department chair, the AHEC center director, and the Associate Dean for Faculty Affairs.  The department chair and AHEC center director will work together, as they deem appropriate, to try to resolve the alleged grievance through discussions with the grievant.  Discussions may include the respondent. 

If the grievance is against the department chair or the AHEC center director, the documentation will be submitted to the Associate Dean for Faculty Affairs and the Executive Director of the AHEC Program, who will work together, as they deem appropriate, to try to resolve the alleged grievance through discussions with the grievant.  Discussions may include the respondent.

 Every reasonable effort will be made to follow the same time line specified within the body of this procedure for the submission of the required written documentation, for holding the needed discussions, and for documenting the outcome of the discussions.  Time intervals may be extended due to the complexity inherent in having increased numbers of individuals participating in the attempt to resolve the grievance and if travel between the AHEC and UAMS campus is required.     

Step II:  Formal Grievance to the Dean and the Executive Director of the AHEC Program

 Grievances that are not satisfactorily resolved using Step 1 of this Procedure may be filed formally with the Dean and the  Executive Director of the AHEC Program.

 Copies of the required documentation must be submitted to the Dean, the Associate Dean for Faculty Affairs and the Executive Director of the AHEC Program.  The Associate Dean for Faculty Affairs will act as the Dean's designee for purposes of arranging for the grievance hearing and maintaining records as specified in the body of this procedure. 

Upon notice of the need to seat a Grievance Panel, the Executive Director of the AHEC Program will promptly designate and submit to the Associate Dean for Faculty Affairs a list of at least ten AHEC-based College of Medicine faculty members who will constitute the AHEC Appeals Board.  Each of the AHECs should be represented by at least one person.  The Executive Director of the AHEC Program will be responsible for communicating with these ten AHEC faculty members about their designation as members of the AHEC Appeals Board, and their responsibilities to serve on the Grievance Panel, if called upon to do so.  The Associate Dean for Faculty Affairs will follow the process specified within the body of this procedure for identifying the Grievance Panel.  Two Appeals Board "lists" will be handled identically – one from the COM and one from the AHECs.  The Associate Dean for Faculty Affairs and the grievant will review both of these Appeals Board lists, removing from consideration any member who may with reason be considered inappropriate for the hearing (e.g., a faculty member directly involved in the issue being appealed should not sit on the panel for that complaint).  Thereafter, the Associate Dean for Faculty Affairs and the grievant will first use the AHEC Appeals Board.  Those names, noted on individual pieces of paper, will be randomly selected by the grievant.  The first two names so selected will be the 1st and 2nd members of the Grievance panel.  The subsequent eight names drawn will be listed in order as the alternates for the AHEC Grievance Panel members.  Thereafter, the COM Appeal Board names will be similarly handled to identify Grievance Panel members #3, #4, and #5, with the remaining names drawn to identify the COM Grievance Panel alternates.  Thus, the Grievance Panel will be composed of two AHEC-based COM faculty members and three UAMS campus-based COM faculty members.   

Every reasonable effort will be made to follow the subsequent time line for the grievance hearing as specified in the body of this procedure, however time intervals may be modestly extended due to the complexity inherent with greater numbers of people participating in the grievance hearing and the necessity of travel between the AHECs and the UAMS campus in Little Rock.    

 The Grievance Hearing will be held on the UAMS campus, unless the Dean and the Executive Director of the AHEC Program determine that circumstances require holding the meeting elsewhere.  Timelines may be extended for off-campus hearings.

 Findings of the Grievance Panel shall be transmitted - according to the body of this procedure – to all parties specified therein and also to the Executive Director of the AHEC Program.

 If the decision of the Grievance Panel is appealed, the Dean and Executive Director of the AHEC Program will make the final determination.  Should these two individuals disagree about the final determination, the UAMS Chancellor shall hear the appeal.  The decision of the Chancellor shall be final. 

 Approved by the Dean's Executive Committee – April 3, 2007.