ARTICLE 9
GRIEVANCE AND ARBITRATION
Grievance Procedure | Definitions | Level I--Meeting | Level II--Meeting | Level III--Grievance Panel | Level IV--Meeting | Level V--Arbitration | General Provisions
The parties recognize and endorse the importance of establishing a prompt, fair and efficient mechanism for the orderly resolution of complaints and agree to make every effort to encourage the prompt settlement of such matters. Both parties encourage the resolution of complaints before they become formal grievances. All grievances concerning the application of this Agreement shall be settled in strict accordance with the procedures set forth in this article, and this procedure shall be the sole and exclusive method of disposing of such grievances. <<top
A. Grievance: A grievance is a complaint or allegation by a member of the bargaining unit that there has been a violation of a specific provision(s) of this Agreement. A grievance may be a group grievance if, in the opinion of the Administration and the CSU-AAUP, an individual's grievance alleges a violation which affects a substantial number of employees as it relates to certain provisions of this Agreement. Through the mechanism of the group grievance, the related grievances of similarly situated employees, whether filed or not, will be consolidated into one proceeding, the outcome of which will be binding on all parties, actual or potential. Once classified as a group grievance, the dispute will be handled pursuant to the existing procedure. A grievance may also be a complaint or allegation by the CSU-AAUP that there has been (1) a violation of the rights of the CSU-AAUP as set forth in this Agreement, or (2) an act or failure to act by the Administration which violates this Agreement. Examples of a chapter Grievance by the CSU-AAUP shall include, but not be limited to, a violation of Section 12.2 D (Term Faculty), Section 12.3 (Visiting Appointments), Section 16.2 (Faculty -- Student Ratio), Section 17.10 (Financial Exigency and Academic Reorganization), Section 29.3 or 29.4 (Parking Facilities), Section 32.2 or 32.3 (Recreation Facilities), Article 38 (Chapter Rights), Section 42.3 (Contract Implementation Committee), and other Articles regarding the Administration's obligation to provide the Chapter with information.
B. Grievant: A Grievant(s) is defined as a member(s) of the bargaining unit alleging in a grievance that he or she has been directly and individually wronged by a violation of the specific provision(s) of this Agreement. The term "grievant," as used in this Article, may refer to the CSU-AAUP only in the event of a group grievance or where alleging a violation of the rights of the CSU-AAUP as set forth in this Agreement, or as set forth in the Section A above.
C. Respond and File: The terms "respond" and "file," as used in this article, refer to personal delivery or deposit in the U.S. mail or campus mail. The calendar date of receipt shall establish the date of response for filing. Notifications will be sent to the Grievant at the Grievant's home address as it appears on the grievance notification, or at the Grievant's University address as it appears on the grievance notification as indicated by the Grievant at the time of the filing of the grievance. Copies of all notifications will be sent to the CSU-AAUP. All correspondence shall be sent return receipt requested.
D. Time Limits: Time limits referred to in this article as "University working days" shall be defined to be Monday through Friday, exclusive of Saturdays, Sundays, formal holidays recognized by the University, and periods when the University is officially closed for business.
E. Basic Provisions: All applicable steps of the Grievance Procedure set forth in this Agreement will be pursued to completion before any application for arbitration will be made, unless the parties hereto enter into a written waiver of such step or steps and agree to proceed directly to arbitration.
F. Unless extended by mutual consent, in writing, the time limits specified herein will be the maximum time allowed. Requests for extensions of the time limits shall not be unreasonably denied by either party. Failure of the Grievant(s) or the CSU-AAUP to comply with the time limits of this Article shall render the grievance null and void. In the event of failure to comply with the time limits on the part of the administration, the grievance may be advanced to the next step of the procedure. In this latter instance, the Grievant(s) is responsible for advancing the grievance by sending a letter of notification to the administrator at the next step not later than the time for appeal set forth in this procedure.
G. Designee: The term "designee," as used in this Article, shall be an individual authorized to act on behalf of the grievance officer identified in this Article to resolve the dispute. <<top
LEVEL I MEETING -- INFORMAL RESOLUTION
9.3 Faculty members are encouraged to pursue informal resolution of any grievance. To this end, faculty members are encouraged to present an alleged violation to the Department Chair, or to the administrative level (below Provost) which is alleged to be responsible for the violation, as soon as reasonably practicable for purposes of resolving the dispute. A discussion of the alleged violation between the Grievant and the Chair (or the appropriate Administrator) shall occur at a mutually agreeable reasonable time not later than ten (10) University working days after the request for a discussion regarding the grievance. Any resolution must be in conformity with the provisions of the Contract. The CSU-AAUP shall be notified of any Level I meeting and any subsequent adjustment. The Department Chair (or other appropriate Administrator) must provide a written statement of any resolution within three (3) working days after the Level I meeting. Such written statement, once agreed to by the grievant, may not be altered or withdrawn by either party, except by mutual consent. <<top
9.4 A faculty member /or the CSU-AAUP if eligible to grieve pursuant to this article may file a Level II grievance through the CSU-AAUP with the Dean or designee not later than twenty-five (25) University working days after the event giving rise to the alleged violation or no later than twenty-five (25) University working days after the grievant knew or reasonably should have known of the event giving rise to the alleged violation. The Grievant and the CSU-AAUP shall state clearly and concisely on a grievance form provided by the CSU-AAUP:
A. the provision(s) of the agreement alleged to have been violated;
B. a detailed description of the grounds of the grievance, including names, dates, places and times necessary for complete understanding;
C. a proposed remedy;
D. the name, department, or equivalent unit, of the Grievant and his/her signature. If the grievant is the CSU-AAUP, the grievance form shall so state and the President, or designee, of the CSU-AAUP shall be the CSU-AAUP's representative;
E. the name of the Grievant's CSU-AAUP representative;
F. the date of submission;
G. the Grievant's preferred mailing address.
Failure to technically comply with the above grievance form requirements shall not void the grievance. Copies of this form shall be provided at the time of filing to the Vice Provost for Academic Affairs or designee. The Dean or designee shall hold a meeting, unless mutually agreed otherwise, with the Grievant and the Grievant's CSU-AAUP representative at a mutually agreeable time and location within five (5) working days of the Level II filing. The Dean or designee shall respond in writing to the Grievant, with a copy to the Grievance Officer, no later than twenty-one (21) University working days after the Level II filing. Such written statement, when agreed to by the CSU-AAUP, may not be altered or withdrawn without the mutual consent of the CSU-AAUP and the administration. The Dean's designee at a Level II meeting may not be the same individual who heard the Level I grievance. <<top
LEVEL III -- GRIEVANCE PANEL (OPTIONAL)
9.5 In the event a grievance is not settled at Level II, within ten (10) University working days of receipt of the Level II response, the CSU-AAUP, on behalf of the Grievant, may, at its sole option, submit the grievance to the Provost or designee who shall convene a grievance panel to review the grievance. The Grievance Panel shall begin its review within fifteen (15) University working days following receipt of the request by the CSU-AAUP to appeal the Level II response.
9.6 The Grievance Panel shall be composed of three (3) bargaining unit members selected by the CSU-AAUP and three (3) individuals who are not members of the bargaining unit but hold tenured faculty rank selected by the University Administration. All panel members shall be full time University employees.
9.7 The Grievance Panel shall hold informal and non-adversarial meetings to review the grievance materials. The Grievance Panel may call upon witnesses to present materials but shall not have subpoena authority. Such individuals may or may not appear in front of the panel at their option. At a minimum, the panel shall request testimony from the grievant and the grievance officer, who may appear together at the request of the grievant.
9.8 In reaching its recommendation and in preparing its report, the Grievance Panel shall review only materials presented pursuant to and in accordance with this Article; (e.g., grievance procedures must be strictly adhered to).
9.9 The meeting, deliberations and voting of the Grievance Panel shall be confidential. Panel members who are absent from any scheduled meetings shall forfeit their votes.
9.10 The recommendation of the Grievance Panel shall be by a minimum simple majority of the total Panel membership only. The recommendation shall be given within twenty (20) University working days after the Grievance Panel begins its review.
9.11 The panel shall submit the recommendation to all parties. The recommendation shall not include the manner in which Panel members voted, only the recommendation and its rationale. The Provost shall advise the Panel, the Grievant, and the CSU-AAUP of the Administration's decision to accept or reject the recommendation of the Panel within ten (10) University working days of the date of the Panel's recommendation. In cases where the panel reaches impasse, its chair shall notify the parties in writing.
9.12 Upon filing this recommendation, the Grievance Panel shall be discharged of its duties.
9.13 If there is a question of whether or not a grievance is appropriately filed or meets the grievance definition, the Panel shall have the authority to deny the grievance.
9.14 The standard of review for the Panel is whether the Administration violated a specific term(s) of this Agreement.
9.15 The parties may agree to bypass the Grievance Panel step. Such agreement shall be mutual and reduced to writing. <<top
9.16 In the event the grievance is not resolved at Level II or by the Grievance Panel, the CSU- AAUP, at its sole option, may file the Level IV grievance with the Provost or designee no later than ten (10) University working days after the Level II response or, if the panel is utilized, ten (10) University working days after the conclusion (written answer or decision) of the panel. If a settlement was proposed at Level II, the faculty member must include a written statement indicating specific reason(s) the proposed settlement was unsatisfactory. The Provost or designee shall hold a meeting with the grievant(s) and the CSU-AAUP representative at a mutually agreeable time and location within twenty-one (21) University working days of the filing of the Level IV grievance. The Provost or designee shall respond in writing no later than twenty-one (21) University working days after the Level IV meeting. <<top
9.17 Within ten (10) University working days following receipt of the Level IV written response, the CSU-AAUP may proceed to arbitration by requesting, in writing, a panel of no fewer than fifteen (15) arbitrators from the American Arbitration Association. A copy of the request shall be sent to the Provost or designee at the time of the mailing of the request to the American Arbitration Association.
9.18 The Voluntary Labor Arbitration Rules of the American Arbitration Association shall apply regarding the selection of the arbitrator and during the arbitration hearing, except when the specific language of this Agreement is in conflict, in which case the specific language of this Agreement shall apply.
9.19 The arbitrator's award and/or decision shall be in writing and shall set forth findings, reasoning, and conclusions on the issue(s) submitted. The arbitrator shall render a timely decision.
9.20 It shall be the function of the arbitrator to rule on the specific grievance. The arbitrator shall be subject to the following limitations:
A. No matter other than a grievance alleging a violation of a specific provision as written and expressed in this Agreement can be reviewed by the arbitrator. If the grievance does not meet the aforementioned standard and involves a matter outside the expressed terms of this Agreement and is not specifically covered by a written provision of this Agreement, and the matter is submitted to the arbitrator, the arbitrator shall refrain from reviewing the merits of the grievance. In such cases, the arbitrator shall deny the grievance on the basis of the Administration's last answer in the grievance procedure as set forth in this Agreement.
B. The arbitrator shall have no authority to add to, subtract from, modify, change, alter or ignore in any way the provisions of this Agreement or any expressly written amendment or supplement thereto, or to extend its duration, unless the parties have expressly agreed in writing to give the arbitrator specific authority to do so, or to make an award which has that effect. The award of the arbitrator so made shall be final and binding on the parties.
C. Pending the raising, processing and settlement of the grievance and the award of the arbitrator and during the term of this Agreement, the parties agree to abide by all of the provisions of Article 7 (No Strike/No Lockout) of this Agreement.
D. An arbitrator may not award tenure or promotion, except as set forth in Article 12 (Faculty Appointment, Promotion and Tenure) at paragraph 12.11 F.
E. An arbitrator may not amend the bargaining unit.
F. The arbitrator shall not consider any issue not raised by the parties at Level II or during the hearing conducted by the Grievance Panel, or at Level IV consistent with Section 9.28 of this Article.
G. Under no circumstances may an arbitrator substitute personal judgment for financial or academic determinations reserved to the University. In such cases, these decisions shall be returned to the parties for final review and determination. An arbitrator's award may or may not be retroactive as the equities of each case demand but in no case shall an award be retroactive to a date earlier than thirty (30) days prior to the date the grievance was initially filed in accordance with this Article or the date on which the act or omission occurred.
H. The standard of review for the arbitrator is whether the Administration violated a specific term(s) of this Agreement.
9.21 Copies of the arbitrator's award shall be provided to the Administration, the CSU-AAUP and the grievant.
9.22 Each party shall bear the expense of preparing and presenting its own case. The cost for the services of the arbitrator shall be borne equally by the parties.
9.23 Upon mutual agreement by the Administration and the CSU-AAUP, the arbitration may proceed under the expedited rules of the American Arbitration Association. <<top
9.24 In cases where it is necessary for the grievant or a representative to have access to information for the purpose of investigating a grievance, the grievant or a representative shall make a written request for such information to the Administration. Absent such request, the Administration shall have no obligation to provide data. Such request must be made to the Provost. The grievant or a representative may have access to information, exclusive of information lawfully defined as confidential, which would assist in adjusting the grievance. The Administration shall provide such information to the requesting party within a reasonable amount of time after the written request to the Provost. Failure to provide information properly requested under this provision in a timely manner will be reasonable grounds to request an extension of the time limits specified in this procedure and such request shall not be unreasonably denied.
9.25 Decisions of arbitrators and settlements reached by the Administration and the CSU-AAUP in any step of the grievance procedure shall be final and binding on the CSU-AAUP, the Administration and the grievant. However, a grievance settled prior to arbitration shall be binding only as to that particular grievance and shall not be precedent setting in any context unless mutual agreement of the parties is received.
9.26 A grievant may withdraw a grievance at any time. The same grievance may be refiled at the same level only in cases where the grievant acts within the time limits specified in this Article; otherwise, the grievant shall not file any subsequent grievance on the same alleged incident. The time limits set forth in this procedure may be extended by mutual agreement, but in all such cases, the agreement must be in writing.
9.27 A grievant may present a grievance(s) and have such grievance(s) adjudicated without the intervention of the CSU-AAUP, as long as adjudication is reached prior to Level II and provided such adjudication is not inconsistent with the terms of the written Agreement.
9.28 Under no circumstances may any amendments and/or modifications to the grievance be made after the Level IV filing date and then only to amend or modify the specific pending grievance based upon information revealed during the processing of that grievance and directly related to that grievance.
9.29 Pending final disposition of the grievance, the grievant shall comply with the lawful directions of the Administration.