For any questions please send e-mail to: NDSU.Policy.Manual@ndsu.edu
SECTION 231: APPEAL PROCEDURE FOR DISCIPLINARY AND REDUCTION IN FORCE ACTIONS
SOURCE: NDUS Human Resource Policy Manual, Section 27
- A Staff Personnel Board shall be appointed by the President to hear employee
appeals and employee grievances pursuant to NDSU policy 230. This Board shall
consist of three appointed members. The three members shall appoint a chairperson
who shall conduct the hearing, unless the Staff Personnel Board appoints a
hearing officer pursuant to Section 231.3.
- 1.1
- The Staff Senate Executive Committee shall recommend to the President,
on an annual basis, a pool of nine employees for potential appointment to
the Board for a specific hearing. Members must have a minimum of 5 years of
employment at NDSU and should be generally representative of different banded
categories. Pool members can serve a maximum of three consecutive years. Vacancies
in the 9 member pool do not have to be filled during the year, but may be
at the discretion of the Executive Committee.
- 1.2
- The President shall assign three members from the pool to be on the Staff Personnel Board for a specific grievance hearing. If a conflict arises and less than three members of the pool are available for a grievance hearing, the Executive Committee shall recommend a replacement for that hearing to the President for approval.
- Any regular staff employee who has been suspended without pay, dismissed
for cause, changed to a lower pay rate, or dismissed due to a reduction in
force may request a hearing with the Staff Personnel by filing a written notice,
accompanied by a specification of the reasons or the grounds upon which the
appeal is based and the remedy being sought with the Director of Human
Resources/Payroll. Such appeal must be filed with the Director of Human Resources/Payroll
within five (5) working days following such action. The Staff Personnel Board
shall hear both sides of the appeal and, after weighing all evidence presented
to the Board, consider whether adequate cause for the institution's action
existed, reporting its decision to the President.
- The Staff Personnel Board may appoint a qualified, institutionally recognized
person as a hearing officer with authority to conduct pre-hearing meetings,
supervise discovery, advise the Staff Personnel Board or preside over the
hearing.
- 3.1
- The Staff Personnel Board may hold joint pre-hearing meetings with the
parties in order to (a) simplify issues, (b) effect stipulations of facts,
(c) provide for the exchange of documentary or other information, or (d)
achieve such other appropriate pre-hearing objectives as will make the
hearing fair, effective and expeditious. The employee, NDSU and their
representatives shall participate in pre-hearing meetings upon request
and comply with the directives of the Staff Personnel Board or its representative.
- 3.2
- The Staff Personnel Board shall serve written notice of hearing on the
employee, the department head and the President, or their representatives,
at least twenty calendar days prior to the hearing.
- 3.3
- The employee and NDSU may stipulate to a decision on the basis of the
written statements, in which case the Staff Personnel Board shall make
its decision on that basis.
- 3.4
- During the proceedings, NDSU is entitled to have counsel or a representative
and the employee is entitled to have counsel or a representative of their
choice at their own expense. Proceedings concerning the appointment or
removal of an employee shall be closed, unless the employee requests that
the proceedings be open. Either party of the Staff Personnel Board may
invite up to two observers each to attend the proceedings.
- 3.5
- A record of the hearing or hearings shall be made at NDSU's expense
and shall be accessible to both parties. The record shall be made by a
reporter or a stenographer, or by the use of an electronic recording device.
The Office of Human Resources/Payroll shall maintain the official hearing
record and the hearing file. A party shall be provided a copy of the record,
or part of the record, at the requesting party's expense.
- 3.6
- The findings of fact, conclusions and the decision shall be based soley
on the evidence received by the Staff Personnel Board. The burden of proof
that grounds for NDSU's actions exist shall rest with NDSU and be satisfied
by a preponderance of the evidence in the record considered as a whole.
- 3.7
- The Staff Personnel Board may admit any evidence which is of probative
value in determining the issues or if the interests of justice will best
be served by admitting the evidence. Every reasonable effort shall be
made to obtain the most reliable evidence available. The Staff Personnel
Board shall grant adjournments to enable either party to investigate evidence
as to which valid claim of surprise is made.
- 3.8
- The employee shall be afforded an opportunity to obtain necessary witnesses
and documentary or other evidence. The institution shall cooperate with
the Staff Personnel Board in securing witnesses and making available documentary
and other evidence. The employee and the institution shall have the right
to confront and cross-examine all witnesses. Testimony may be taken by
deposition, including deposition by telephone or witnesses may testify
by telephone, facsimile, video or other electronic means, as long as such
use does not substantially prejudice the rights of any party. Affidavits
may be received into evidence upon stipulation of the parties.
- 3.9
- The Staff Personnel Board's findings of fact, conclusions, and recommendations with supporting reasons, shall be reported, in writing, to the President, the department head, the employee or their representative. The Office of Human Resources/Payroll shall transmit the official hearing record and file to the President. If the institution's action was a notice of dismissal and if the Staff Personnel Board concludes that adequate cause for dismissal has been established, but that a lesser penalty would be more appropriate, it may be recommended with supporting reasons. The President shall make a final decision and provide written notice of the decision to the Staff Personnel Board, the department head and the employee within fifteen calendar days of receiving the report.
HISTORY: April 1992; Amended September 1994; August 1997; February 1998; October 1999; May 2005; December 2005.