Faculty and Professional Staff Grievances

Article 1 – Policy Statement

The University establishes a structured grievance framework to ensure:

1. Fairness in employment-related decision-making.
2. Due process protection for Faculty and Professional Staff.
3. Consistency in institutional decision-making.
4. Protection against retaliation.
5. Transparency and accountability.

The grievance process supports institutional integrity and good governance.

Article 2 – Purpose

This policy establishes:

1. A formal mechanism for resolving employment-related concerns.
2. Clear procedural safeguards for employees.
3. Structured escalation of grievances.
4. Independent review of complaints.
5. Institutional consistency in grievance resolution.

Article 3 – Scope

This policy applies to:

1. Faculty members.
2. Professional Staff.
3. Academic administrators acting in employment capacity.

Grievances may relate to:

1. Workplace treatment.
2. Administrative decisions.
3. Professional relations.
4. Procedural irregularities.

This policy does not apply to:

1. Student grievances.
2. Academic grade appeals.
3. Disciplinary proceedings initiated by the University.
4. Matters governed by specialized procedures unless procedural violations are alleged.

Article 4 – Definitions

Terms used in this policy shall have the meanings assigned in: AUM-PPM-GOV-1.20 Institutional Definitions and Glossary.

For the purpose of this policy:

1. Grievance means a formal written complaint alleging unfair treatment or violation of institutional policy.
2. Grievant means the Faculty or Professional Staff member submitting a grievance.
3. Respondent means the individual or unit against whom the grievance is filed.
4. Grievance Committee means the institutional committee responsible for investigating grievances and issuing recommendations.

Article 5 – Governance Structure

Grievance handling shall follow the institutional authority hierarchy:

1. Immediate Supervisor.
2. Dean or Director.
3. Human Resources Department.
4. Grievance Committee.
5. University President.
6. Council of Deans.

• The Council of Deans shall issue the final institutional decision.
• The University President shall ensure implementation of decisions.
• President Assistant(s) may support coordination and procedural monitoring.

Article 6 – Grievance Committee

A standing Grievance Committee shall be established by decision of the University President. The Committee shall consist of no fewer than five members, including:

1. Chairperson.
2. At least two Faculty members.
3. At least one Professional Staff member.
4. One member with administrative or legal expertise.

The Committee shall:

1. Operate independently.
2. Ensure impartiality.
3. Avoid conflicts of interest.
4. Members with conflict of interest shall be recused and replaced.
5. Quorum shall be two-thirds of members.
6. Decisions shall be made by majority vote.
7. In case of tie, Chairperson shall have casting vote.

Committee structure shall comply with:

AUM-PPM-GOV-1.06 Committee Governance.

AUM-PPM-GOV-1.13 Institutional Committees Structure Schedule.

Article 7 – Institutional Safeguards

Grievance procedures shall ensure:

1. Due process.
2. Confidentiality.
3. Non-retaliation.
4. Impartial review.
5. Timely resolution.

Participation in grievance procedures shall not negatively affect employment status.

Article 8 – Admissibility

A grievance shall be admissible when:

1. Submitted in writing.
2. Submitted within thirty calendar days of the incident.
3. Supported by sufficient factual information.
4. Within policy scope.

A grievance may be dismissed if:

1. Anonymous.
2. Malicious.
3. Previously resolved without new evidence.
4. Outside jurisdiction.
5. Governed by another formal procedure.

Article 9 – Grievance Procedures

Stage 1 – Informal resolution

• The employee may seek informal resolution through supervisor or Dean.
• Timeline: within two (2) working days from the date of raising the concern.
• If not resolved within this period, the employee may proceed to the formal grievance stage immediately after the date mentioned above.

Stage 2 – Formal submission and Preliminary assessment

• The grievance shall be submitted to the Human Resources Department.
• HR shall acknowledge receipt
• HR shall assess completeness and admissibility.
• Timeline: Two (2) working days from the date of submission.

Stage 3 – Investigation and Recommendations

The case shall be referred to the Grievance Committee to:

• Collect evidence.
• Review documentation.
• Interview relevant parties.
• Committee recommendation: written report with findings and recommendations submitted to University President
• Timeline: three (3) working days from the date of referral.

Stage 5 – Institutional decision

1. University President reviews recommendation.
2. Recommendation submitted to Council of Deans.
3. Council of Deans issues final decision within three (3) working days from the date of President’ recommendation. Whole process must not exceed 14 days.

• Failure to meet timelines shall trigger escalation.
• Interim administrative measures may be implemented when necessary.
• Interim measures shall not constitute final decision.

Article 10 – Decision Authority

• Grievance Committee provides recommendation.
• University President reviews recommendation.
• Council of Deans issues final decision.
• Decision shall be binding. 

Article 11 – Appeals

Appeal may be submitted within two (2) working days from the date of Council of Deans decision. Appeal must be based on:

1. New evidence.
2. Procedural irregularity.

• Appeal review shall exclude individuals involved in original decision.
• Council of Deans issues final decision within three (3) working days from the date of submission of the appeal.

Article 12 – Confidentiality

• All grievance information shall remain confidential.
• Access restricted to authorized personnel.
• Records retained minimum ten years.
• Records shall be auditable.

Article 13 – Roles and Responsibilities

Human Resources Department:

1. Administrative coordination.
2. Case registration.
3. Documentation management.
4. Procedural compliance monitoring.

Grievance Committee:

1. Independent investigation.
2. Evidence-based review.
3. Recommendation submission.

University President:

1. Institutional oversight.
2. Implementation authority.

President Assistant(s):

1. Procedural coordination support.
2. Tracking grievance process milestones.
3. Ensuring procedural consistency.

Council of Deans:

1. Final decision authority.
2. Institutional consistency oversight.

AQA:

1. Monitoring effectiveness.
2. Trend analysis.
3. Risk analysis.
4. Institutional reporting.

Article 14 – Key Performance Indicators

• ≥ 90% cases resolved within timelines.
• Average resolution time ≤ 15 working days.
• Appeal rate ≤ 15%.
• 100% procedural compliance.
• Annual reporting completion rate 100%. 

Article 15 – Risk Management Integration

Grievances shall be classified as:

• Operational risk.
• Legal risk.
• Compliance risk.
• Reputational risk.
• High-risk cases shall be escalated to President.