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LOCAL PPSM POLICY 60 LAYOFF AND REDUCTION IN TIME

B. SCOPE

  1. Indefinite layoff and indefinite reduction in time.
  2. Temporary layoff and temporary reduction in time.

C. RESPONSIBILITY

  1. The director of Human Resources is responsible for administering these procedures including designation of layoff units, in consultation with the associate vice chancellor of Administrative Services.
  2. Department heads are responsible for determining when layoffs are necessary due to lack of funds or lack of work, including lack of work due to reorganization.
  3. Department heads are required to consult with the applicable control point and Employee & Labor Relations prior to implementing an action covered by UC PPSM 60 and these procedures.

D. PROCEDURES — TEMPORARY LAYOFF OR REDUCTION IN TIME

A decision to temporarily layoff or reduce the time of employees must be reviewed by the manager of Employee & Labor Relations and approved in consultation with the applicable control point. The department head will provide written notice to regular status professional and support employees fifteen (15) calendar days prior to their effective date of temporary layoff or reduction in time.

E. PROCEDURES — INDEFINITE LAYOFF OR REDUCTION IN TIME

Determining Order of Layoff or Reduction In Time. When determining the order of layoff or reduction in time, department heads will consider skills, knowledge and abilities necessary for the department to carry out its functions, documented performance, and length of service. Employees with greater seniority will be given priority for retention when skills, knowledge and abilities are equivalent and they are performing equally.

  1. Documented Performance. Department heads may consider written performance evaluations and any documented corrective action or progressive disciplinary actions that are part of the employee’s official personnel record.  Satisfactory performance will be presumed in the absence of a written performance evaluation.
  2. Seniority Calculation Seniority is calculated on the basis of an employee’s full-time-equivalent months (or hours) of total service. Employment prior to a break in service will not be counted. Employees are responsible for self-reporting to their department any prior service at another University of California location, campus, medical center or national laboratory.
  3. Waiver of Seniority. An employee may choose to waive seniority in order to be designated for layoff, subject to approval by the department head. The employee’s request must be made in writing to the department head.
  4. Review and Approval. A decision to lay off employees must be reviewed by the manager of Employee & Labor Relations and approved in consultation with the applicable control point.
  5. Notice. A department head must provide the employee at least 30 calendar days’ advance written notice prior to indefinite layoff or indefinite reduction in time. A department head may provide notice up to 60 days in advance, where feasible.

F. RIGHTS TO SEVERANCE OR RECALL AND PREFERENCE FOR REEMPLOYMENT

A regular status employee who is subject to indefinite layoff or indefinite reduction in time may elect right to recall and preference for reemployment, in lieu of severance pay, in accordance with UC PPSM Policy 60. An employee must elect recall and preference for reemployment rights within fourteen (14) calendar days of receiving a notice of layoff or reduction in time. In the event an employee does not make an election within fourteen (14) calendar days, the employee shall receive severance pay. UC PPSM 60 governs severance calculation and the terms of repayment.

G. RECALL AND PREFERENCE FOR REEMPLOYMENT

Where an employee subject to indefinite layoff or reduction in time has elected right to recall and preference for reemployment, in lieu of severance, the following provisions will apply:

  1. Right to Recall. A regular status employee who has been indefinitely laid off or whose time has been reduced indefinitely may be recalled into employment when an active and vacant career position opens for which the employee is qualified and the position is in the same department, in the same classification and at the same or lesser percentage of time as the position the employee held at the time of layoff.
    1. A regular status employee will have the right to recall for three years from the effective date of the layoff.
    2. Prior to advertising or posting a career vacancy, the department is to verify with Human Resources that no employee has recall rights to the vacant position. Human Resources will coordinate the reemployment process with the department and the recalled employee
  2. Preference for Reemployment. A regular status employee who has been indefinitely laid off or whose time has been reduced indefinitely may receive preferential consideration for any active and vacant career position when the position is at the same campus, at the same or lower salary grade, and at the same or lesser percentage of time, provided the employee is qualified to perform the duties and responsibilities assigned to the position.
    1. The employee’s preference for reemployment begins as of the date of the notice of layoff.
    2. A regular status employee’s eligibility for preference for reemployment will continue for one to three years, based on years of seniority, in accordance with UC PPSM 60.
  3. Non-Selection. If an employee eligible for recall or preference for reemployment is not selected for the position after the department head considers the employee’s relevant skills, knowledge and abilities, documented performance and length of service, the department head is to provide the reasons for non-selection in writing to the Director of Human Resources.
  4. Trial Employment. Employees who are re-employed on the basis of recall or preference for reemployment shall, upon written notice, serve a trial employment period of six (6) months. An employee who is returned to layoff status at management’s discretion shall be given written notice of the effective date of the return to layoff status.& A department head must consult with Human Resources prior to returning an employee to layoff status during trial employment.
  5. Termination of Right to Recall and Preference for Reemployment. An employee’s right to recall and preference for reemployment will terminate in accordance with UC PPSM 60.

 

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LOCAL PPSM POLICY 62 CORRECTIVE ACTION (EFFECTIVE FEBRUARY 2018)

Complete text of Local PPSM Policy 62 is available as a PDF

I.  Summary

UC Santa Barbara’s Local Personnel Policies for Staff Members (LPPSM) provide additional guidance and implementing procedures for the Systemwide PPSM. This local procedure provides additional information or procedural steps not included in the corresponding systemwide policy. 

II.  Definitions

Not applicable.

III.  References

PPSM 62- Corrective Action

IV.   Responsibility

The Director of Human Resources is responsible for administering this procedure, in consultation with the Vice Chancellor of Administrative Services.

V.  Procedures Text

A. Approval of Corrective Actions. Prior to taking formal corrective action, managers and supervisors shall review the need for corrective action with Employee & Labor Relations. 

B. Response Extension.  An employee may request an extension of the response period for a notice of intent by submitting a written request for extension to Employee & Labor Relations.  The request for an extension must be made before the end of the response period.  The decision to approve or deny the request will be provided to the employee in writing. 

C.  Records. Records of corrective action and counseling memos are retained in the employee's personnel file.  Upon the employee’s written request, corrective action and/or counseling memos may be removed from the employee’s personnel file after a period of two years from the date of the document’s issuance if there have been no other corrective action or counseling memos on or relating to the same or similar issue.  If the employee’s request for removal of the document is approved, the document is removed from the employee’s personnel file and transferred to Employee & Labor Relations for the remainder of the applicable University document retention period.

D.  Applicability.  This procedure applies to regular status career Professional and Support Staff who have passed probation. This policy does not apply to employees who hold positions in Limited, Contract, Casual/Restricted or Management & Senior Professional or Senior Management Group appointment types.

 

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LOCAL PPSM 63 INVESTIGATORY LEAVE

POLICY

  1. Written Notice. Employees placed on Investigatory Leave shall be notified in writing, within three calendar days from commencement of the leave, of the reasons for the leave and its probable duration. Such leaves may be extended by written notice to the employee. At the conclusion of the University's investigation, the employee shall be notified in writing of the results of the review, any action intended to be taken, and whether or not the leave, or any part of it, shall be with or without pay.
  2. Approval. Prior to placing an employee on Investigatory Leave, the supervisor or manager shall review the reasons for the leave with Labor Relations.

Applicability: All Staff Members

 

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LOCAL PPSM POLICY 64 TERMINATION AND JOB ABANDONMENT (EFFECTIVE FEBRUARY 2018)

Complete text of Local PPSM Policy 64 is available as a PDF

I.  Summary

UC Santa Barbara’s Local Personnel Policies for Staff Members (LPPSM) provide additional guidance and implementing procedures for the Systemwide PPSM. This local procedure provides additional information or procedural steps not included in the corresponding systemwide policy. 

II.  Definitions

Not applicable.

III.  References

PPSM 64 Termination and Job Abandonment

IV.  Responsibility
The Director of Human Resources is responsible for administering this procedure, in consultation with the Vice Chancellor of Administrative Services.

V.  Procedure Text

A.  Approval of Termination Actions. Prior to issuing a notice of intent to terminate, the department supervisor or manager intending to take such action shall review the need for termination with Employee & Labor Relations. 

B.  Response Extension.  An employee may request an extension of the response period for a notice of intent by submitting a written request for extension to Employee & Labor Relations.  The request for an extension must be made before the end of the response period.  The decision to approve or deny the request will be provided to the employee in writing.

 

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LOCAL PPSM POLICY 70 COMPLAINT RESOLUTION (EFFECTIVE FEB 2018)

Complete text of Local PPSM Policy 70, Complaint Resolution available as a PDF.

Appendix C- PPSM 70 Complaint Form

SUMMARY

UC Santa Barbara’s Local Personnel Policies for Staff Members (LPPSM) provide additional guidance and implementing procedures for the Systemwide PPSM. This local procedure provides additional information or procedural steps not included in the corresponding systemwide policy for resolving complaints made by employees in the Professional & Support Staff (PSS) and Managers & Senior Professionals salary grades A-F (MSP A-F) personnel groups pursuant to Systemwide Personnel Policies for Staff Members Policy 70 Complaint Resolution.  This procedure should be read in conjunction with the systemwide policy

II.  DEFINITIONS

Not applicable.

III.  REFERENCES

PPSM 70 - Complaint Resolution

IV. RESPONSIBILITY

The Director of Human Resources is responsible for administering this procedure, in consultation with the Vice Chancellor of Administrative Services.

V.  PROCEDURES TEXT

In general, employees are encouraged to resolve issues informally with their immediate supervisor.  However, attempts at informal resolution do not waive time limits to file or appeal formal complaints under this implementing procedure. Such time limits may be waived only by prior written agreement between the employee, supervisor and Employee and Labor Relations.

A.  Administration of Procedures. Employee and Labor Relations is the office designated to administer this procedure, including establishing the time limits for filing and appealing complaints, and for official receipt of written complaints and appeals. Pursuant to PPSM 70, Employee and Labor Relations determines whether a complaint is timely, whether its claims are within scope, and whether the complaint qualifies for review through Step II or Step III.  Employee and Labor Relations is the office of record for documentation related to all complaints and appeals.

B.  Informal Resolution.   When the employee and the University agree to pursue informal resolution, the University may suspend deadlines during these efforts.  Employee and Labor Relations will provide written confirmation to the employee of any suspension of deadlines.  If the employee or the University wishes to terminate informal resolution and resume formal processing of the complaint, written notification must be provided to the other party by mail, personal delivery or email. Formal processing of the complaint will resume 10 calendar days after the issuance of such written notification. 

C. Right to Representation. An employee is entitled to be represented by the person of her/his choice at every stage of the complaint process. When an employee decides to become represented, s/he shall furnish the name, business address, email address and telephone number of the representative in writing to Employee and Labor Relations.  

D. Pay Status. An employee shall be afforded reasonable time on pay status for actual meeting time to attend meetings convened by the University and to attend hearings under PPSM 70, provided the meeting(s) and/or hearings(s) take place during the employee’s regularly scheduled work hours. An employee is required to obtain prior approval from the applicable supervisor(s) for any absences from work.  The following shall occur during an employee’s non-working hours:  preparation of a complaint, preparation for meetings, meetings with a representative, and/or preparation for hearing.  

E.  Retaliation.  It is a violation of University policy to retaliate against any employee for using or participating in the complaint resolution process.

VI. COMPLAINT REVIEW PROCESS- ALL COMPLAINTS

At each step of the complaint procedure, the parties are encouraged to resolve the complaint. Employee and Labor Relations is responsible for coordinating all aspects of the complaint resolution process. 

A.  Initial Assessment.  An employee’s complaint must be filed with Employee and Labor Relations using the form provided in Appendix C.   The written complaint must include an original signature and all the information required in PPSM 70, Section V.B.  The complaint is considered “filed” on the date and time it is postmarked or the date and time it is personally delivered, faxed or emailed.

1. Supplemental Information.  An employee may be provided up to an additional 15 calendar days to provide supplemental information required to process a timely filed complaint or appeal, with prior approval of Employee and Labor Relations. If the supplemental information is not provided in the timeframe established by Employee and Labor Relations, the incomplete claims will not be accepted for review.

2. Consolidation of Complaints. Multiple complaints regarding or arising out of the same or related action or issues, in the same department, may be consolidated by Employee and Labor Relations into one complaint for review.

B.  Sexual Violence and Sexual Harassment Complaints.  The review of the Office of the Title IX and Sexual Harassment Policy Compliance Office (Title IX Office) will serve as the Step I response under this procedure. The Title IX Office will send its final report to the employee and Employee and Labor Relations. Employee and Labor Relations will then notify the employee that Step I of this procedure has been completed.

If the employee believes that any of the claims alleged in the complaint are not resolved after issuance of the Step I response, the employee may submit a written appeal to Step II, pursuant to the applicable section of PPSM 70. An employee's request to move the complaint to Step II must be filed with Employee and Labor Relations within 15 calendar days from the date of the notice from Employee and Labor Relations that Step I of this procedure has been completed. 

VII. COMPLAINT REVIEW PROCESS – PROFESSIONAL & SUPPORT STAFF

A.  Step I – Formal Review.  If eligible for processing, the employee's written complaint shall be forwarded to the department head by Employee and Labor Relations.  The department head may or may not elect to hold a Step I meeting. If a Step I meeting is held, the department head’s written response shall issue to the employee within 15 calendar days of the Step I meeting.   If a Step I meeting is not held, a written response shall issue to the employee within 15 calendar days of the department head’s receipt of the complaint.

B.   Step II – Appeal.  Where eligible, an employee's written request for review of the complaint at Step II must be received by Employee and Labor Relations within 15 calendar days following issuance of the Step I response. Appeals must be received and time stamped in Human Resources during business hours to be considered timely filed. The employee’s written request for review must state which claims alleged in the complaint were not satisfactorily resolved at Step I, the reasons the claims were not satisfactorily resolved, and specify the remedy requested.  The requested remedy cannot exceed the remedy requested in the original complaint.  At the time of appeal, employees must select one of the following options:

1.  Administrative Review.  If eligible for processing, the employee's request for administrative review shall be forwarded by Employee and Labor Relations to the campus divisional Vice Chancellor or designee.  The Vice Chancellor or designee may or may not elect to hold an administrative review meeting. If a meeting is held, the Vice Chancellor or designee’s written response shall issue to the employee within 15 calendar days of the meeting.   If a meeting is not held, a written response shall issue to the employee within 15 calendar days of the Vice Chancellor or designee’s receipt of the request for review.
2. Factfinding.  If eligible for processing, the employee’s request for factfinding will be conducted in accordance with the following procedures:

a. The department and employee will be notified in writing of the selection of the Factfinder by the Director of Human Resources.
b. If either the department or the employee has concerns about a possible conflict of interest on the part of the Factfinder, those concerns must be submitted in writing to the Director of Human Resources within 10 days of the date of written notification of the appointment of the Factfinder.  The Director of Human Resources will determine whether an actual conflict of interest exists. If it is determined that an actual conflict of interest exists, a different Factfinder will be appointed pursuant to these procedures. 
c. The procedures for the campus factfinding process are provided in Appendix A.
d. At the conclusion of the factfinding, the Factfinder shall submit a written report to the Vice Chancellor or designee.  The factfinding report, with findings of fact regarding the issues in the complaint, must be issued to the Vice Chancellor or designee within 45 calendar days of the appointment of the Factfinder.  The Factfinder may request extensions of time to complete the factfinding from Employee and Labor Relations.
e. Upon consideration of the employee's written complaint, the employee’s request for review at Step II and the Factfinder's report, the Vice Chancellor or designee shall notify the employee and the department head in writing of the Step II decision.
f. The Step II decision shall be made within 15 calendar days of the Vice Chancellor or designee’s receipt of the Factfinder's written report.

C.   Step III Hearing

1. Request for Hearing.  An employee's written request for a hearing must be received by Employee and Labor Relations within 15 calendar days of issuance of the Vice Chancellor or designee’s Step II decision. Requests must be received and time stamped in Human Resources during business hours to be considered timely filed. 
2. Hearing Officer. The employee may elect to have his/her case heard by either a University hearing officer appointed by the Director of Human Resources, or a non-University hearing officer who will be mutually selected and agreed to in writing by the employee and the Vice Chancellor or designee.  The costs for a non-University hearing officer shall be shared equally by the employee and the department.
3. Conflict of Interest.  If either the department or the employee has concerns about a possible conflict of interest on the part of the hearing officer, those concerns must be submitted in writing to the Director of Human Resources within 10 days of the date of written notification of the appointment of the hearing officer.  The Director of Human Resources will determine whether an actual conflict of interest exists. If it is determined that an actual conflict of interest exists, a different hearing officer will be appointed pursuant to these procedures.
4. Hearing Procedures. The procedures for the campus’ hearing process are provided in Appendix B. 
5. Written Decision.  At the conclusion of the hearing, the hearing officer shall submit a written decision to both the Vice Chancellor or designee and the employee. The decision of the hearing officer is final and binding on the University and the employee, and concludes the review of the complaint under University policy.

VII. COMPLAINT REVIEW PROCESS- MANAGERS & SENIOR PROFESSIONALS

A.  Step I – Formal Review.  If eligible for processing, the employee's written complaint shall be forwarded to the department head by Employee and Labor Relations.  The department head may or may not elect to hold a Step I meeting. If a Step I meeting is held, the department head’s written response shall issue to the employee within 15 calendar days of the Step I meeting.   If a Step I meeting is not held, a written response shall issue to the employee within 15 calendar days of the department head’s receipt of the complaint.

B.  Step II – Appeal. Where eligible, the employee's written request for review of the complaint at Step II must be received by Employee and Labor Relations within 15 calendar days following issuance of the Step I response. Appeals must be received and time stamped in Human Resources during business hours to be considered timely filed.  The employee’s appeal to Step II must state which claims alleged in the complaint were not satisfactorily resolved at Step I and specify the remedy requested.  The remedy requested cannot exceed the remedy requested in the original complaint. 

If eligible for processing, the employee's request for review shall be forwarded by Employee and Labor Relations to the campus divisional Vice Chancellor or designee.  The Vice Chancellor or designee may or may not elect to hold an administrative review meeting. If a meeting is held, the Vice Chancellor or designee’s written response shall issue to the employee within 15 calendar days of the meeting.   If a meeting is not held, a written response shall issue to the employee within 15 calendar days of the Vice Chancellor or designee’s receipt of the request for review.

C.  Step III -  Factfinding- Career Employees Only.  If the employee selects factfinding, the written appeal must state which claims alleged in the complaint were not satisfactorily resolved at Step I or Step II, the reasons the claims were not satisfactorily resolved, and specify the remedy requested, which cannot exceed the remedy requested in the original complaint.   

1. Factfinder Selection. The department and employee will be notified in writing of the selection of the Factfinder by the Director of Human Resources.
2. Conflict of Interest. If either the department or the employee has concerns about a possible conflict of interest on the part of the Factfinder, those concerns must be submitted in writing to the Director of Human Resources within 10 days of the date of written notification of the appointment of the Factfinder.  The Director of Human Resources will determine whether an actual conflict of interest exists. If it is determined that an actual conflict of interest exists, a different Factfinder will be appointed pursuant to these procedures. 
3. Factfinding Procedures.  The procedures for the campus factfinding process are provided in Appendix A.
4. Factfinder Report.  At the conclusion of the factfinding, the Factfinder shall submit a written report to the Vice Chancellor or designee.  The factfinding report, with findings of fact regarding the issues in the complaint, must be issued to the Vice Chancellor or designee within 45 calendar days of appointment of the Factfinder.  The Factfinder may request extensions of time to complete the factfinding from Employee and Labor Relations.
5. Written Decision.  Upon consideration of the employee's written complaint and request for review at Step II and the Factfinder's report, the Vice Chancellor or designee shall notify the employee and the department head in writing of the Step III decision. The Step III decision shall be issued within 15 calendar days of the Vice Chancellor or designee’s receipt of the Factfinder's written report. The Step III decision is final and binding and concludes the review of the complaint under UCSB policy.

 

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LOCAL PPSM POLICY 70 APPENDIX A FACTFINDING

Complete text of Local PPSM 70 Appendix A Factfinding available as a PDF.

I. FACTFINDING PROCESS

The Factfinding process is designed to provide additional information from a neutral investigator to a Vice Chancellor or designee responsible for a final appeal decision in a complaint. The factfinder's role is to report the facts in a dispute through a review of documents and interviews of the parties and other witnesses. The factfinder does not determine the outcome in a dispute, nor does the factfinder recommend a solution to the Vice Chancellor or designee.

The factfinder is entitled to have access to any documents or witnesses which s(he) believes to be necessary to complete a thorough investigation of the issues in a formal complaint under University policy.

The factfinder should interview parties and witnesses separately. The University policy does not intend for the factfinder to conduct a hearing. The factfinder, however, should attempt to resolve conflicts in the information provided on important issues through discussions with the parties, separately.

The factfinder may share documents with the parties to the complaint, that is, the employee and department manager, but should not disclose the written complaint to other witnesses interviewed. However attachments to the complaint may be shared with all witnesses. The factfinder should share all documents reviewed with the complainant and the Department representative, so that each side in the dispute has the opportunity to address all documents considered by the factfinder.

The factfinder does not have the authority to add to, delete from, or otherwise modify personnel or other University policies, plans, or benefit regulations, or local implementing procedures. University policy interpretations shall be provided to the factfinder by the assigned Employee and Labor Relations representative, and shared with the parties to the dispute.

II. FACTFINDING REPORT

At the conclusion of interviews of the parties to the complaint and other witnesses, if any, and reviews of relevant documents, the factfinder shall prepare a written report to the Vice Chancellor or designee, which shall include the following:

a. statement of the position of the parties in the dispute;
b. statement of the issues under review by the factfinder;
c. listing of the documents reviewed and names of the employees interviewed;
d. summary of the information received;
e. statement of findings of fact based on the review, which relate to the issues of the case and the positions of the parties. The factfinder shall not recommend a decision in the dispute; and
f. all written documentation of the factfinder's review shall be attached to the factfinder's report.

 

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LOCAL PPSM POLICY 70 APPENDIX B UNIVERSITY HEARINGS

Complete text of Local PPSM Policy 70 Appendix B University Hearings available as a PDF.

I. INTRODUCTION

PPSM 70 provides for administrative hearings to resolve certain employee complaints. Hearing officers are asked to conduct fair, impartial, and orderly hearings, to determine facts and policy violations (if any), and to submit a written report of their final and binding decisions.

II. HEARING OFFICER'S AUTHORITY

The hearing officer's authority arises out of, and is limited by, the provisions of University policy. The hearing officer is authorized to direct restoration of any University pay, University benefits, and/or rights provided under University policy lost as a result of management action.
Hearing officers do not have the authority to:

• Order that the hearing be recorded by stenography or order transcripts from the hearing,
• Issue subpoenas, or
• When rendering a decision, add to, delete from, modify, nullify or ignore in any way personnel or other University policies, plans, or benefit regulations, or local implementing procedures.

III. HEARING GUIDELINES

The following guidelines shall assist hearing officers conduct hearings and prepare written reports of their final and binding decisions.

A. Identification of Issues and Applicable Policy(ies). The hearing officer must determine:

1. The issues to be decided, the issues in the complaint accepted for processing by the University or the issues stipulated by the parties which are within the scope of the complaint; and
2.  The applicable University policies listed in the complaint, if any, which have been allegedly violated.

B. Findings of Fact. The hearing officer is required to make findings of fact based on the evidence presented at the hearing. This means that, except with the consent of both parties, the hearing officer may not secure information concerning the complaint from sources outside the hearing, nor consult with persons other than in the regular course of the hearing.

C. Relevant Material and Witness Lists. Prior to the start of the hearing, each party must provide the other party with all relevant material to be introduced at the hearing and the names of all witnesses who will testify at the hearing, with the exception of rebuttal materials and witnesses.  Each party should provide this material at least seven (7) calendar days prior to the hearing, to the extent possible. If a party’s delay in providing this information would prejudice the other side, the hearing officer can decide to delay the hearing or exclude the information. The party who caused the delay is responsible for any costs associated with this delay.

D. Limitation on Submissions to Hearing Officer Before Hearing. Only applicable policies, the complaint, the response to the complaint, briefing per paragraph 6 below, and other material to which the parties have stipulated in writing may be submitted to the hearing officer in advance.

E. Pre-hearing Briefs. Either or both parties may, at their discretion, submit pre-hearing briefing. The parties may mutually agree on when the brief(s) will be filed.  If the parties cannot mutually agree on a filing date, the hearing officer will set the date.

F. Closed Hearings.  Unless both parties otherwise agree, hearings shall be closed to everyone other than the employee, the employee’s representative, the department representative, the University's representative, a Human Resources Department representative, and the person designated to record the hearing (if other than a Human Resources representative). Unless both parties otherwise agree, witnesses are present only when they are testifying.

G. Standard of Proof. The standard of proof will be the preponderance of the evidence. Preponderance of the evidence is a term which means that the evidence on one side outweighs the evidence on the other side, not necessarily in number of witnesses or quantity, but in its effect on the hearing officer. Where the evidence is evenly balanced, the party who has the burden of proof has failed to prove it. In cases of corrective action or termination by the University, the University will bear the burden of proof and will present its case first. In all other cases, the employee will bear the burden of proof and present his/her case first.

H. Settlement Discussions or Offers. Offers of settlement are not admissible, nor are documents prepared for mediation or other informal resolution efforts.

IV. HEARING PROCEEDINGS

A. Issues for Review.  Except by mutual agreement of the parties, the only issues that were accepted for review by the University and still remain at the time of the hearing may be introduced at the hearing. The hearing officer should attempt to have the parties stipulate as to the issues in the case and prepare a joint statement of the issues. After going on the record, the hearing officer should:

1. Identify the individuals present;
2. State what documents have been submitted in advance by the parties; and
3. Define the issues to which the hearing will be limited.

B. Examination of Witnesses.  During the hearing, the parties shall each have the opportunity to present evidence, examine and cross-examine witnesses under oath or affirmation. Evidence may be oral or documentary. The hearing officer should ensure the record of the hearing is clear, that testimony and statements are identified, and that procedural rulings are understandable to the parties and their representatives. The hearing officer is free to ask questions of the witnesses or the parties and should do so if policy intent or significant facts remain unclear and are necessary to a resolution of conflicting views. The parties may be asked to submit additional evidence which is available to them and which the hearing officer considers relevant to the case.

C. Hearing Order.  The hearing officer shall conduct the hearing in the following order:

1. A brief opening statement by party bearing burden of proof followed by a similar opening statement by responding party;
2. Presentation of evidence by party bearing burden of proof;
3. Cross-examination by the responding party (Redirect and re-cross-examination as appropriate);
4. Presentation of evidence by responding party;
5. Cross-examination by party bearing burden of proof (Redirect and re-cross-examination as appropriate);
6. Rebuttal evidence by each party; and
7. Brief summation by each party, following the same order as in the opening statement. 

D. Evidence.  The hearing shall not be conducted according to the technical rules of evidence used in judicial proceedings. Any oral or documentary evidence may be received if it is reliable. The hearing officer may exclude irrelevant or unduly repetitious evidence or testimony. Although hearing officers may receive hearsay evidence and give it the weight or consideration they believe it deserves under the circumstances, hearsay evidence alone is usually insufficient to support a finding of fact. No evidence other than that received during the hearing proceedings should be considered by the hearing officer.  Evidence outside and unavailable to present in the hearing room (e.g. a work location) may be viewed by the hearing officer during the formal hearing proceedings with the presence and consent of both parties. Although the production of witnesses and documents is encouraged, University policy does not provide the hearing officer with subpoena power.

E. Recording. Hearings may be recorded by a method determined by the University. If the University decides not to record the hearing by stenography, the employee may choose to do so. The party choosing to record the hearing by stenography (if any) will be responsible for the stenographer’s appearance fee unless the employee and the University agree to an alternate arrangement in advance and in writing. Any party requesting a transcript will be responsible for the fee for that transcript.

V. HEARING REPORT

Hearing reports must be written and must provide, at a minimum, certain key information to support the conclusions and final determination. Reports must include:

A. A clear identification of the issues properly before the hearing officer;
B. A summary of the evidence and testimony received, including the positions of the parties;
C. Findings of fact;
D. A determination as to whether University policies have been violated or, in disciplinary cases, whether the corrective action or dismissal was reasonable under the circumstances; and
E. A decision as to the resolution of each issue in the complaint accepted for review.

 

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