E.7 Employee Relations

E.7.1 Informal Complaint Resolution.

The university encourages open communication between employees and supervisors. Ongoing communication gives employees regular feedback of performance expectations. If an employee has performance problems, they should be counseled and coached to facilitate improvement. This discussion is not part of a corrective action procedure. The intent is to provide an informed discussion to help employees identify and correct problem areas.

Employees should make every attempt to resolve problems encountered at work informally, through discussion with the persons involved and in a spirit of goodwill and cooperation. When potential problems are addressed early they are less likely to escalate into grievances. Supervisors may be able to help resolve employee complaints and other  problems informally and with as little disruption and distress as possible. If that is not successful, the employee should seek help from the person (or persons) their supervisor reports to, first seeking to resolve the problem within the chain-of-command. In the event that a problem cannot be resolved informally, employees should follow the appropriate grievance procedure.

E.7.1 Reorganized January 2021

E.7.2 Grievance Procedure.

It is important that employees feel they have been treated fairly and that they receive proper responses to problems and complaints. For this reason the university provides a grievance procedure to promote prompt and responsible resolutions to disagreements arising from working relationships, working conditions, employment practices, or differences of interpretation of policy that might arise between the university and its employees. Employees can use this procedure freely without fear of coercion or retaliation.

The director of Human Resources is available throughout the process to assist employees and supervisors in resolving problems and to provide appropriate assistance in preparing the complaint.

Any regular full-time or part-time employee may process a grievance regarding any of these matters upon completion of their probationary period. Probationary and temporary employees have no redress to this procedure except for matters of discrimination/ harassment.

E.7.2.1 Definitions.

Day - A regularly scheduled workday, excluding holidays and other days when the university is closed for business, unless otherwise specified.

Grievance - Unless excluded in Section E.7.2.2, a grievance is a complaint by an employee against the university concerning the interpretation, application, or claimed violation of a specific term or provision of university policy or other matters that affect the employment relationship of the employee to the university.

Grievance Officer - The individual(s) responsible for assisting all employees during the grievance process and for overseeing all procedural matters and paperwork pertaining thereto. The grievance officer will be the director of Human Resources or a Human Resources employee designated by the director to serve in that capacity. In the event the grievant is a Human Resources employee, the vice chancellor for finance and administration will name an alternate grievance officer.

Grievance Record - A file shall be maintained by the grievance officer that shall include documentation pertaining to all stages of a grievance. The director of Human Resources will be the custodian of the grievance record. The grievance record shall be treated as confidential, subject to applicable law. In particular, whether a grievance record is subject to disclosure under the Arkansas Freedom of Information Act shall be determined on a case-by-case basis consistent with governing law. The record will be retained based on state guidelines.

E.7.2.2 Matters Excluded from the Grievance Procedure.

Matters excluded from the Grievance Procedure are complaints related to wages and salaries; falsification of application materials; retrenchment of employees; matters involving reappointment, performance evaluation, and promotion that do not concern a claimed failure by the university to follow established policy; job classifications; job assignments; verbal warnings (since no punitive action is taken); staff termination with 30 days’ notice or within probationary period; contractual terminations following policy; and university policies.

Matters involving illegal harassment/discrimination including sexual harassment, race, creed, color, national origin, age, gender, religion, veteran status, gender identity, or disability should be addressed to the director of Human Resources and are initially excluded from the Grievance Procedure. See Section E.2.8.24 Discrimination and Harassment not Covered Under Title IX Policy, for more information on this process. If either party is not satisfied with the resolution process regarding harassment/ discrimination claims, they may follow up on the matter through the university’s formal grievance procedure.

E.7.2.3 Timelines.

All disputes, excluding discharge, must begin at the first step within 15 working days of the incident/event that gave rise to the grievance or of the date the employee became aware of the incident/event that gave rise to the grievance. Disputes concerning an employee’s dismissal from employment will begin at the first step within 10 working days of dismissal from employment and will then advance to the step applicable, eliminating the dismissing supervisor from the grievance process. This does not apply to tenured faculty.

If a representative of the university fails to observe the time limits required, the grievance may be advanced to the next step in the process at the request of the employee. If the employee fails to observe the time limits required, the grievance shall be closed. However, the time limits may be extended at any time by the director of Human Resources with the approval of the appropriate vice chancellor under unusual circumstances when such extension is deemed to be in the best interest of the employee and/or the university. Unusual circumstances include, but are not limited to, absence from work due to work-related travel or other approved leave, e.g., sick leave, bereavement leave, military leave, legal leave, and/or annual leave arranged in advance of receipt of the grievance. In this case the director of Human Resources will notify all parties of the need for an extension and the number of days requested/approved.

E.7.2.4 Informal Complaint Resolution.

Prior to initiating the formal grievance procedure, the employee must attempt to resolve the grievance informally through their chain-of-command when possible. When appropriate the director of Human Resources will work with the parties involved to attempt to resolve the grievance informally. If the process fails to bring about a satisfactory resolution, the employee (referred to in the formal grievance procedure as “grievant”) may initiate the formal grievance procedure.

E.7.2.5 Steps of Formal Grievance Procedure.

Step 1: Human Resources

1. The grievant must contact Human Resources and speak to the grievance officer to initiate the formal grievance procedure. The grievant has 15 working days from the date of the incident/event that gave rise to the grievance, or of the date the employee became aware of the incident/event that gave rise to the grievance.
2. The grievance officer, in consultation with the director of Human Resources, will determine if there is a grievance as defined by this policy. The employee will be informed if the matter is not grievable. If the matter is grievable, the grievance officer will advise the employee of the steps to follow in the formal grievance procedure and provide them with the required Grievance Form (consult with the Human Resources department to obtain a copy of this form). The complaint must be submitted in writing and include the following information:

• State the specific issue in dispute;
• Provide facts in support of the employee’s position; and,
• State the remedy/resolution requested.

3. Within 10 working days of the receipt of the completed and signed Grievance Form (consult with the Human Resources department to obtain a copy of this form), the grievance officer shall transmit a copy of the grievance to the grievant’s immediate supervisor.

Step 2: Immediate Supervisor

1. Within 10 working days of receipt of the grievance statement, the supervisor shall either set a date for a formal meeting to discuss the matter or respond to the grievant in writing. (A written response is required with or without a meeting.)
2. If Step 2 results in satisfactory redress of the employee’s grievance, the matter ends here. The supervisor will submit a written statement to the grievance officer containing the item(s) agreed upon and the supervisor’s proposal for resolution of the grievance. The grievance officer will follow up with the grievant and close the file.
3. If Step 2 does not result in satisfactory redress of the employee’s grievance, the grievant may appeal the dispute in writing to the third step within five working days of receipt of the second step response. The appeal must include the following information:

• specific issue in dispute
• facts in support of the employee’s position
• reasons the second step response is unsatisfactory
• remedy requested
• a copy of all correspondence, including the supervisor’s response

4. The supervisor and the grievant must provide the grievance officer with copies of all correspondence.
   NOTE: If the chain-of-command includes an additional supervisor at this level, all supervisors should be involved and work in conjunction preparing the response to the grievant, with the senior supervisor taking the lead role. The director of Human Resources is available to assist in this process.

Step 3: Next Supervisory Level (If not applicable, proceed to Step 4.)

1. The director/dean/next level supervisor will consider the facts and circumstances of the dispute, and will, in writing, grant, deny, or propose a modification to the requested remedy within 10 working days following receipt of the employee’s written appeal. This response will include notice of the employee’s right to appeal the dispute to the next step.
2. If Step 3 results in satisfactory redress of the employee’s grievance, the matter ends here. The supervisor will submit a written statement to the grievance officer containing the item(s) agreed upon and the supervisor’s proposal for resolution of the grievance. The grievance officer will follow up with the grievant and close the file.
3. If Step 3 does not result in satisfactory redress of the employee’s grievance, the employee may appeal the dispute in writing to the next step within five (5) working days of receipt of the third step response. The appeal must include the following information:

• specific issue in dispute
• facts in support of the employee’s position
• reasons the third step response is unsatisfactory
• remedy requested; and
• a copy of all applicable correspondence (first, second, and third steps).

4. The supervisor and the grievant must provide the grievance officer with copies of all correspondence.

Step 4: Vice Chancellor (When a vice chancellor is the immediate supervisor, skip Steps 2 and 3.)

1. The vice chancellor will consider the facts and circumstances of the dispute and will, in writing, grant, deny, or propose a modification to the requested remedy within 15 working days, following receipt of the employee’s written appeal. This response will include notice of the employee’s right to appeal the dispute to the next step.
2. If Step 4 results in satisfactory redress of the employee’s grievance, the matter ends here. The supervisor will submit a written statement to the grievance officer containing the item(s) agreed upon and the supervisor’s proposal for resolution of the grievance. The grievance officer will follow up with the grievant and close the file.
3. If Step 4 does not result in a satisfactory redress of the employee’s grievance, the employee may appeal the dispute in writing to the fifth and final step within five (5) working days of receipt of the fourth step response. The appeal must include the following information:

• specific issue in dispute
• facts in support of the employee’s position
• reasons the fourth step response is unsatisfactory
• remedy requested; and
• a copy of all applicable correspondence (first, second, third, and fourth steps).

4. The supervisor and the grievant must provide the grievance officer with copies of all correspondence.

Step 5: Chancellor (Final Step)

The chancellor will prepare a written statement addressed to the grievant containing the chancellor’s decision for resolution of the grievance and the reasons for the decision. The chancellor may request that the vice chancellor clarify their recommendation or review additional aspects of the matter. The chancellor will respond to the employee in a timely manner. The decision of the chancellor will be considered final, and no further administrative review shall be available to the grievant.

A copy of the chancellor’s decision will be submitted to the director of Human Resources, who will inform the grievant’s immediate supervisor, director/dean/next-level supervisor, and vice chancellor as applicable of the action required to carry out the decision of the chancellor.

E.7.2 Reorganized January 2021

E.7.3 Corrective Action Procedures.

The university has adopted a procedure of progressive corrective action steps in an effort to enable an employee to resolve job performance problems and retain employment at the university. Supervisors retain the right to utilize this process at their discretion.

Generally, a supervisor initiates corrective action procedures, which can progress from one step to the next, when a specific infraction is repeated or when an employee fails to change a specific job behavior after having received a warning concerning the behavior. In some cases the seriousness or frequency of the infraction may warrant a stricter penalty than the normal action steps. Because of the great variety of situations that may arise, the university may need to make decisions related to employment in a manner other than as provided in this section.

In the event the infraction warrants suspension or termination from employment, the supervisor must consult with the director of Human Resources before any action is taken. All corrective action must be documented and, when appropriate, placed in the individual’s personnel file.

E.7.3.1 First-Level Warning.

The first-level warning is used as a formal method of informing an employee of a relatively minor violation of university or departmental rules and regulations or other work-related problems. Generally, the first-level warning occurs after an employee has received counseling from the supervisor related to the problem behavior. The purpose of issuing the first-level warning is to help the employee change the behavior. A first-level warning typically follows a verbal warning and must be written. However, the documentation does not have to become part of the employee’s personnel file unless subsequent disciplinary action is necessary.

E.7.3.2 Second-Level Warning.

The second-level warning may be used when any of the following occur:

• a work-related violation or performance problem is repeated.
• a similar violation occurs after a first level warning has been issued.
• an infraction of a more serious nature has occurred and action more severe than a first level warning is warranted.

A second-level warning must be written and will be included in the employee’s personnel file. Examples of when an immediate second-level warning might be appropriate include, but are not limited to, the following: unsatisfactory job performance, failing to report to work and not contacting the supervisor, horseplay, threatening or intimidating another employee, or improper use of university property. At the discretion of the supervisor, stricter discipline could also be applied for any of the behaviors noted.

Corrective action procedures are used at the discretion of the supervisor. The process does not have to progress to a third-level warning. A final warning can follow a first- or second-level warning, depending on the circumstances. A final warning can be followed by dismissal for cause.

E.7.3.3 (Optional) Third-Level Warning: Suspension without Pay.

A suspension without pay is the third level in the corrective action procedure. A suspension of three (3) or more scheduled working days is issued when any of the following occurs:

• a violation or performance problem is repeated or a similar violation occurs after the employee has received a first and second level warning.
• a suspension is issued when the offense is of such seriousness that a first and/or second level warning is not appropriate.

A third-level warning must be written, will be included in the employee’s personnel file, and will result in a loss of pay. Examples of when an immediate suspension might be appropriate include, but are not limited to, the following: unsatisfactory job performance, being under the influence of alcohol or drugs, failure to report to work with no contact being made, any unauthorized release of confidential data, or sleeping while on duty. Stricter discipline, including termination or immediate dismissal, could also be applied for any of the behaviors noted.

E.7.3.4 Termination.

If prior disciplinary action does not result in the employee correcting their behavior or if the nature of the violation is so serious that a first-, second-, or third-level warning would not be appropriate, then the employee is subject to termination or immediate dismissal.

E.7.3 Reorganized January 2021

E.7.4 Dismissal of Tenured Faculty for Cause.

Dismissal of a tenured faculty member may occur for cause. Dismissals for cause include but are not limited to unprofessional conduct, incompetency, insubordination, immorality, or neglect of professional duties, obligations, and responsibilities

Dismissal of a tenured faculty member before the end of the specified term will be preceded by:

1. discussions between the faculty member and appropriate administrative officers looking toward a mutual settlement;
2. informal inquiry by the Faculty Senate which may, failing to effect an adjustment, determine whether, in its opinion, dismissal proceedings should be undertaken, without its opinion being binding upon the chancellor;
3. a statement of the basis for dismissal, framed with reasonable particularity, by the chancellor or the chancellor’s delegate.

If resolution cannot be achieved by informal means, dismissal proceedings will begin. The individual concerned will have the right to be heard by an ad hoc Faculty Hearing Committee. This committee will be composed of three (3) faculty members elected by the faculty and two (2) administrators appointed by the chancellor and will be formed upon written request from the Faculty Senate and/ or the chancellor. The chairman of this committee will be chosen by the members. Members will remove themselves from the case, either at the request of a party or on their own initiative, if they deem themselves disqualified for bias or interest. Each party will have a maximum of two (2) challenges without stated cause. Vacancies on the Hearing Committee resulting from disqualification challenge without stated cause, illness, resignation, or any other reason will be filled by alternates using the same selection process as was used for the original members. The three-to-two (3-2) faculty/administrator balance will be retained as alternates are selected.

• Service of notice of hearing with specific charges in writing will be at least 20 days prior to the hearing. The faculty member may waive a hearing or may respond to the charges in writing not less than five (5) days before the hearing. If the faculty member waives a hearing but denies the charges or asserts that the charges do not support a finding of adequate cause, the hearing tribunal will evaluate all available evidence and rest its recommendation upon the evidence in the record. Failure to answer the charge(s) in writing five (5) days prior to the hearing is deemed to be an admission to the charge.
• The committee, in consultation with the chancellor and the faculty member, will exercise its judgment as to whether the hearing should be public or private.
• A verbatim record of the hearing or hearings will be taken, and a copy will be made available to the faculty member upon request.
• The burden of proof that adequate cause exists rests with the institution and will be satisfied only by a preponderance of the evidence in the record considered as a whole.
• The hearing tribunal may grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
• The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence at their expense, and the administration will, insofar as it is possible for it to do so, secure the cooperation of such witnesses and make available necessary documents and other evidence within its control.
• The faculty member and the administration will have the right to confront and cross-examine all witnesses. Where the witness cannot or will not appear, but the committee determines that the interests of justice require admission of their statement, the committee will determine an appropriate procedure.
• In the hearing of charges of incompetency, the testimony will include, but need not be limited to, that of qualified faculty and administration from the institution.
• The Hearing Committee will not be bound by strict rules of legal evidence and may admit any evidence which is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
• The findings of fact and the decision will be based solely on the hearing record.
• Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers will be avoided as far as possible until the proceedings have been completed. The chancellor and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing.
• If the Hearing Committee concludes that adequate cause for dismissal has not been established by a preponderance of the evidence in the record, it will so report to the chancellor. If the chancellor rejects the report, they will state the reasons for doing so, in writing, to the Hearing Committee and to the faculty member, and provide an opportunity for response time before taking final action. If the committee finds that adequate cause for dismissal has been established, it will so recommend to the chancellor who will take final action. If the Hearing Committee concludes that adequate cause for dismissal has been established, but that an academic penalty of less than dismissal would be appropriate, it will so recommend to the chancellor with supporting reasons.

Action by the Chancellor. If the chancellor rejects the report, they will state in writing the reasons for doing so to the Hearing Committee and to the faculty member and provide an opportunity for response time before taking final action. The decision of the chancellor is binding upon all.

Suspensions. Until the final decision about termination of an appointment has been reached, the faculty member will be suspended or assigned to other duties in lieu of suspension at the discretion of the chancellor. Salary will continue during the period of suspension. Terminal Salary Notice. If appointment is terminated, the faculty member will receive their salary for five and one-half months following notice. This provision for terminal notice or salary need not apply when it has been found that the conduct which justified dismissal involved moral turpitude.

Timeframe for Conducting Dismissal Proceeding. Dismissal proceedings will be conducted so as to complete the process by the end of the next regular spring or fall semester.

E.7.4 Reorganized January 2021