Procedures for the Formal Resolution of Employment-Related Grievances (Formal Petition Process)

I. Introduction and Purpose

This procedure describes the formal petition process as outlined in Administrative Policy: Conflict Resolution for Faculty, P&A, Civil Service, and Student Employees. The goal of this procedure is to provide a fair and impartial hearing process that facilitates the resolution of certain employment-related grievances.

II. Scope of this Procedure

This procedure only applies to the adjudication of eligible employment-related grievances that were addressed but not resolved via the Office for Conflict Resolution’s informal services and that allege a violation of a specific written University rule, policy, or procedure pertaining to employment. See Administrative Policy: Conflict Resolution for Faculty, P&A, Civil Service, and Student Employees. The formal petition process is initiated by the submission of a petition requesting the resolution of an eligible employment-related grievance and includes a hearing, a hearing panel decision on the employment-related grievance, and an opportunity to appeal the panel’s decision on limited grounds.

Not all employment-related grievances are eligible for the formal petition process. Please see policy Appendix: Exclusions, Limitations, and other Jurisdictional Considerations for additional information regarding eligibility.

III. Parties

The parties are the petitioner and the unit-appointed respondent as defined in Administrative Policy: Conflict Resolution for Faculty, P&A, Civil Service, and Student Employees.

IV. Advisors & Attorneys

A party may be assisted throughout the formal petition process by one advisor. A list of University employees who volunteer to serve as advisors is available from the Grievance Process Manager. If a petitioner is an attorney (a person with a J.D. law degree) or chooses to be represented in proceedings by an attorney, the unit-appointed respondent may choose to be represented by an attorney from the University’s Office of the General Counsel. If the petitioner is not an attorney and is not represented by an attorney, then the unit-appointed respondent cannot be an attorney or be represented by an attorney.

V. The Grievance Process Manager, Employment Grievance Hearing Committee, and Hearing Panel

The Grievance Process Manager (Manager) is the University employee who facilitates the formal petition process. The Manager has discretion to make reasonable adjustments to any deadline set forth in this policy.

In addition, the Manager provides administrative and scheduling support to the Employment Grievance Hearing Committee (EGHC). The EGHC consists of University members who serve as hearing officers, panelists, and advisors in the formal petition process. Current non-labor-represented faculty and staff (including civil service and academic professional and administrative (P&A) employees) from all five University campuses are eligible to serve on the EGHC.

Hearing panels are appointed by the Manager to decide whether it is more likely than not that the alleged conduct outlined in the formal petition constitutes a violation of a specific written University rule, policy, or procedure pertaining to employment. Each hearing panel includes a hearing officer and two panel members. All members of a hearing panel, including the hearing officer, are voting members. To the extent possible, at least one panel member will be the same employment classification as the petitioner and at least one panel member will be the same employment classification as the unit-appointed respondent. Panelists serve as neutrals, not advocates, and none will have a direct interest in the petition. Panelists will give the petitioner’s and the unit-appointed respondent’s case open-minded, fair consideration. Panelists will not have private conversations about the petition with the parties or their advisors.

VI. Reasonable Accommodations

Any participant who needs reasonable accommodations for disability, religion, or pregnancy or related conditions should notify the Manager as soon as possible. A participant who needs accommodations for a disability should also request accommodations through the campus disability resource services office and follow the process established by that office. In addition, any participant who may need a language interpreter should notify the Manager as soon as possible.

VII. Standard of Proof

The standard of proof in all hearings governed by this procedure is “preponderance of the evidence,” which means that it is more likely than not that the allegation(s) outlined in the petition constituted a violation of a specific written University rule, policy, or procedure pertaining to employment.

VIII. Good Faith Participation

Individuals are expected to participate in good faith in the formal petition process. Individuals who knowingly provide false or misleading information in connection with the formal petition process may be subject to disciplinary action up to and including termination of employment or expulsion.

IX. Scope of Adjudication

The scope of adjudication is limited to the specific allegation(s) outlined in the petition. The hearing panel must determine whether a violation or violations of a specific written University rule, policy, or procedure pertaining to employment occurred.

X. Settlements

Settlements of petitions may occur at any point in the formal petition process. Settlements may be contingent on the final approvals required by Board of Regents Policy: Legal Claims and Settlements. Notice of a settlement agreement should immediately be provided to the Manager, followed by the petitioner’s voluntary written withdrawal of the formal petition.

XI. Petition Submission

Following the unsatisfactory resolution of an eligible employment-related grievance via the Office for Conflict Resolution’s (OCR) informal services, a petitioner may file a petition to begin the formal petition process.  A petition is filed by completing and submitting a Petition Form.

1. Time restrictions

   To be eligible for the formal petition process, the petitioner must: (1) have identified their eligible employment-related grievance to the OCR within six weeks from the occurrence of, or notice of, the action being challenged, whichever is later, and (2) file a petition within 60 calendar days following the petitioner’s identification of the eligible employment-related grievance to the OCR.

   Time limits set forth in the formal petition process can be modified by the mutual agreement of the parties involved and the Manager, or by the Manager, if there are compelling reasons for modification. Compelling reasons for modification include, but are not limited to, absences due to sickness, disability, vacation, family leave, military service, business travel, or University recess during holidays.

   If the petitioner or the unit-appointed respondent fails to participate in the formal petition process in a timely manner, the Manager will decide whether a party has unreasonably delayed the process and, if so, what the result should be. If the Manager’s decision results in a dismissal of the petition, the decision to dismiss will be forwarded to the petitioner in accordance with the procedures in Section XI.4. “Dismissal of a petition” below.

2. Required Content

   A formal petition must include the following information:

   • Petitioner identification information including name, title and/or position, University employment classification status (civil service, P&A, faculty, etc.), and college, department and/or unit.
   • Description of the action(s) being challenged, including corresponding date(s) and the identification of the person(s) responsible for the action(s), if known, and their college, department, and/or unit if known.
   • Citation to at least one specific written University rule, policy, or procedure pertaining to employment that is alleged to have been violated.
   • Proposed remedy that is permitted under this Policy. Please see the section entitled “Remedies Available” below.
   • Date of the identification of the eligible employment-related grievance to the OCR.
3. Petition examined for jurisdiction

   Jurisdictional guidelines for formal petitions are detailed in Appendix: Exclusions, Limitations, and other Jurisdictional Considerations. Upon receipt of a petition, the Manager will review it for eligibility and will strive to provide notice to the petitioner of a jurisdictional deficiency, if any, within 14 calendar days of the date of filing. However, the Manager has authority to identify and provide the petitioner with notice of a jurisdictional deficiency that is discovered at any time during the petition process. If a jurisdictional deficiency exists, the Manager will contact the petitioner with more information.

4. Dismissal of a petition

   The Manager may dismiss a petition if the Manager determines that:

   • a petition is not filed in accordance with the time restrictions outlined above;
   • a petition is ineligible for the formal petition process as outlined in Appendix: Exclusions, Limitations, and other Jurisdictional Considerations;
   • a petitioner has unreasonably delayed the process; or
   • the conduct alleged in the petition, even if proven, would not constitute a violation of a specific written University rule, policy, or procedure pertaining to employment. The Manager will make reasonable efforts to clarify the allegations with the petitioner before dismissing a petition on this ground.

   The Manager will provide the petitioner with prompt written notice of their assessment, if any, that the petition should be dismissed, the basis for their assessment, and an opportunity to provide a written response before the Manager makes a decision on whether to dismiss the petition.

   The petitioner may submit a written response to the Manager within 7 calendar days of receiving notice of the Manager’s assessment that the petition should be dismissed. Absent good cause, written responses received after 7 calendar days will not be considered. The Manager will review the written response, if any, and provide the petitioner with notice of the decision to dismiss or not to dismiss. If this occurs after the Senior Administrator has been notified of the petition, the Manager will also provide the Senior Administrator or the unit-appointed respondent, if one has been appointed, with notice of this decision.

5. Appeal of a dismissal of a petition

   A petitioner may appeal the Manager’s decision to dismiss a formal petition on the following bases: 1) the Manager had a conflict of interest or bias for or against petitioners or unit-appointed respondents generally, or the individual petitioner or unit-appointed respondent that would change the decision to dismiss; or 2) the decision to dismiss is not based on substantial information.

   Appeals must be submitted to the Manager in writing within 7 calendar days of the petitioner’s receipt of the final notice of the decision to dismiss. Absent good cause, appeals received after 7 calendar days will be denied. Appeals must include a statement of the ground(s) for the appeal and information supporting the ground(s) for appeal, and must be submitted on the Petition Form.

   If a timely appeal occurs after the Senior Administrator has been notified of the petition, the Manager will also provide the Senior Administrator or the unit-appointed respondent, if one has been appointed, with a copy of the petitioner’s appeal of the dismissal. The unit-appointed respondent may submit a response to the appeal to the Manager in writing within the following 7 calendar days.

   If a timely appeal occurs, the Manager will send the following to the appellate officer:

   • a copy of the petition,
   • a copy of the unit-appointed respondent’s written response to the petition, if any,
   • the Manager’s written notice and basis for dismissal,
   • the petitioner’s written response to the decision to dismiss, if any,
   • the Manager’s final notice of the decision to dismiss,
   • the appeal of the dismissal, and
   • the unit-appointed respondent’s written response to the appeal of the dismissal, if any.

   The Appellate Officer may, at their discretion, request and review additional information.

   The Appellate Officer’s review is limited to the following grounds: 1) the Manager had a conflict of interest or bias for or against petitioners or unit-appointed respondents generally, or the individual petitioner or unit-appointed respondent that would change the decision to dismiss; or 2) the decision to dismiss is not based on substantial information. Substantial information means relevant and not otherwise impermissible information that a reasonable person might accept as adequate to support a conclusion.

   The Appellate Officer will issue a written decision that affirms, in whole or in part, the decision to dismiss or overturns, in whole or in part, the decision to dismiss and provides a rationale for the result. The Appellate Officer will strive to issue a decision within 14 calendar days of receipt of all appeal materials from the Manager. The Manager will send the petitioner and the Senior Administrator or the unit-appointed respondent, if one has been appointed, a copy of the Appellate Officer’s written decision.

XII. Appointment of Unit-Appointed Respondent and Submission of Written Response

If upon receipt of a petition, the petition is not dismissed for a jurisdictional deficiency, the Manager will promptly forward the petition to the Senior Administrator. The Senior Administrator will appoint a unit-appointed respondent who will participate in the formal process on behalf of the college, department, or unit and must notify the Manager and the unit-appointed respondent of the appointment within 7 calendar days of receipt of the petition. The unit-appointed respondent may or may not be the same individual who participated in the OCR’s informal services.

The unit-appointed respondent must submit a written response to the petition to the Manager within 14 calendar days of the notice of their appointment by the Senior Administrator. Promptly upon receipt of the written response, the Manager will share the identity of the unit-appointed respondent as well as the unit-appointed respondent’s written response with the petitioner.

XIII. Written Notice of Hearing

The Manager will strive to schedule a hearing within 90 calendar days of sharing the unit-appointed respondent’s written response to the petition.

At least 70 calendar days prior to the hearing, the Manager will send the parties a written notice of hearing that includes the following:

Purpose of the Hearing. The purpose of the hearing is to determine whether it is more likely than not that a violation or violations of a specific written University rule, policy, or procedure pertaining to employment occurred.

Hearing. The written notice of hearing will include the hearing date and time. Hearings will take place virtually. The University can provide a private room for any party or witness who needs a private space from which to participate in the hearing. Any party or witness who needs a private space from which to participate should alert the Manager no later than 7 calendar days prior to the hearing.

Hearing Officer and Panel Members. The written notice of hearing will identify a hearing officer and panel members. Each party has up to 3 calendar days from the date of the written notice to submit an objection to the hearing officer or any panel member on the basis of bias or conflict of interest, along with a short statement of the basis for the objection. If an objection is made, the Manager will decide if the hearing officer or panel member should be excluded from the panel and replaced and, if so, the Manager will arrange for the replacement. The Manager will send notice of the name of the replacement hearing officer or panel member to each party, who will have 1 calendar day from the date of the Manager’s notice to submit an objection.

If an appointed hearing officer or panel member will be unavailable for the hearing, a replacement hearing officer or panel member will be named. The Manager will send notice of the name of the replacement hearing officer or panel member to each party, who will have 1 calendar day from the date of the Manager’s notice to submit an objection. However, if a hearing officer or panel member becomes unavailable for a hearing 7 or fewer days before the hearing or does not appear at the start of the hearing, and a substitute panel member cannot be identified, the Manager will consult with the parties about the available options for proceeding with the hearing, if possible, or rescheduling the hearing.

Witnesses. The written notice of hearing will state that each party must submit to the Manager a list of all witnesses the party intends to question at the hearing. The deadline for submission will be 28 calendar days from the date of the written notice of hearing.

The list of witnesses must include, for each witness listed, a short description of the witness’s relationship to the parties, their expected testimony, and their email address. Based on this information, the hearing officer will determine whether the witness’s expected testimony is relevant and not otherwise impermissible. If the hearing officer determines that the witness’s expected testimony is relevant and not otherwise impermissible, the witness is considered approved and the Manager will contact the witness and invite the witness to the hearing. If the hearing officer determines that the witness’s expected testimony is not relevant or is otherwise impermissible, the witness is considered not approved and the Manager will provide notice to the appropriate party of the hearing officer’s decision to not approve a witness on their witness list.

The Manager will strive to make the approved witness list available to the hearing panel and any other party within 35 calendar days from the date of the written notice of hearing.

During the hearing, parties may choose to call or not to call any witness they have previously identified, at their discretion. However, parties may not call any witness who was not previously approved by the hearing officer.

Written witness statements may also be submitted to the Manager. The deadline for submission of written witness statements will be 28 calendar days from the date of the written notice of hearing. The hearing officer will, for each submitted witness statement, determine if the witness statement is relevant and not otherwise impermissible, and, if so, the Manager will strive to make the witness statement available to the hearing panel and any other party within 35 calendar days from the date of the written notice of hearing. If the hearing officer determines that a witness statement is not relevant or is otherwise impermissible, the Manager will provide notice to the appropriate party of the hearing officer’s decision to not approve a witness statement that they submitted.

Evidence. The unit-appointed respondent is expected to provide digital copies of relevant documentation regarding the action(s) being challenged in the petition to the Manager within 14 calendar days of receipt of the written notice of hearing. Examples of such documentation may include, but are not limited to, the following:

• In cases involving the imposition of discipline on the petitioner, copies of any oral warnings, written warnings, action plans, etc., as well as any relevant documentation that led to the discipline.
• In cases alleging other violations of a specific written University rule, policy, or procedure pertaining to employment, copies of relevant documentation pertaining to the action(s) being challenged.

The Manager will make this documentation available to the hearing panel and parties within 17 calendar days from the date of the written notice of hearing.

Each party must submit to the Manager any additional evidence the party intends to submit to support their case. The deadline for submission will be 28 calendar days from the date of the written notice of hearing. The hearing officer will determine if the submitted evidence is relevant and not otherwise impermissible, and, if so, the Manager will strive to make the evidence available to the hearing panel and any other party within 35 calendar days from the date of the written notice of hearing. If the hearing officer determines that the submitted evidence is not relevant or is otherwise impermissible, the Manager will provide notice of the hearing officer’s decision to exclude the evidence to the party who submitted it.

Each party may also submit a request to the Manager for copies of specific relevant documents that are believed to be in the possession of, or could reasonably be obtained by, the other party within 42 calendar days from the date of the written notice of hearing. The request must include identification of the specific documents as well as a short rationale explaining the purpose and relevance of the requested documents. The hearing officer will review the request and determine if the requested documents are relevant and not otherwise impermissible and therefore should be provided to the requesting party and the panel.

The Manager will provide notice to the parties of the hearing officer’s decision within 3 calendar days. The deadline for submission of the requested document(s) will be 14 calendar days from the date of the Manager’s notice of the hearing officer’s decision. The Manager will strive to make the submitted documents available to the hearing panel and parties within 4 calendar days of their receipt. If the hearing officer determines that the requested document is not relevant or is otherwise impermissible, the Manager will provide notice of the hearing officer’s decision only to the party who submitted the request.

Panel members will receive access to the same evidence as the parties. Prior to the hearing, the hearing officer and panel members will review the petition, the unit-appointed respondent’s written response to the petition, and the evidence.

XIV. Party and Witness Participation

The petitioner and unit-appointed respondent are expected to participate in the formal petition process. If a petitioner fails to attend the hearing without prior notice, the hearing will be cancelled and the petition will be dismissed. Except in extraordinary circumstances, as determined by the Manager, the petitioner will not have the opportunity to resume the formal petition process. If a unit-appointed respondent fails to attend the hearing without prior notice, the hearing will proceed and the panel will base their decision-making on the written materials and testimony provided. The Manager has discretion to reschedule a hearing or resume a formal petition process in extraordinary circumstances.

Witnesses are not required to attend the hearing, though employee witnesses who have been invited to participate are encouraged to do so, if possible.

XV. Advisor Participation In A Hearing

A party’s advisor is permitted to ask questions and follow-up questions to parties and witnesses, and to participate in other ways during the hearing, such as by making opening and closing statements. An advisor may not provide testimony on behalf of a party.

XVI. Hearing Decorum

All hearings are governed by the following rules of decorum:

• All electronic devices, other than devices necessary for participation in the hearing must be turned off or silenced during the hearing.
• All participants must ensure that they are in a private, secure space for the duration of the hearing. Participants must mute their microphones unless they have an active speaking role (e.g., making opening or closing comments, conducting examinations, answering questions). Parties and witnesses must have their cameras turned on while they are speaking during the hearing and are encouraged to keep their cameras on throughout the hearing.
• All participants must conduct themselves in a respectful manner at all times during a hearing. For example, participants may not yell, badger hearing participants, use profanity, engage in personal attacks, ask the same question repeatedly, or otherwise ask questions in a manner that is harassing, intimidating, or abusive.
• If a participant needs to leave the hearing for any reason, the participant should alert the hearing officer so that the hearing officer can determine whether a break in the proceedings is appropriate.

The hearing officer has authority to ensure that the hearing is conducted in accordance with these rules of decorum. If a hearing participant, including a party, does not comply with the rules of decorum after being given a warning and opportunity to comply, the hearing officer will remove the participant and the hearing will continue. If a party’s advisor is removed, the hearing will continue.

XVII. Accommodations for the Hearing

A participant who needs reasonable accommodations for disability, religion, or pregnancy or related conditions or a language interpreter for the hearing should notify the Manager about the need for accommodations no later than 28 calendar days from the date of the written notice of hearing, or as soon as reasonably practicable under the circumstances.

XVIII. Record of Hearing

Hearings are closed to the public. In certain limited circumstances, a third party may be permitted to attend a hearing, such as to provide reasonable accommodations for a participant with a disability or as otherwise deemed appropriate by the Manager. The Manager will record the hearing. No other participant is permitted to create an audio, visual, or other recording of the hearing.

The Manager will make available an audio recording of the live hearing to the parties for inspection and review until the formal petition process is over.

The University will maintain the record of the hearing, the petition, the unit-appointed respondent’s written response to the petition, all evidence presented at the hearing, and all other related documentation for the longer of seven years or the retention period required by Administrative Policy: Managing University Records and Information.

XIX. Hearing Process

The parties should prepare for a clear, complete, and concise presentation of their cases. The hearing panel will carefully review all written documentation in advance of the hearing; therefore, it is not necessary to repeat information found in the written record. Instead, case presentations should focus on points of contention or confusion and should seek to clarify inconsistencies. Except in exceptional cases as determined by the hearing officer, each party will be limited to two hours for the presentation of the party’s case. The hearing officer may increase or decrease the time limit if appropriate.

Each party, either personally or through the party’s advisor, may present brief opening comments. The parties will be given the opportunity to present relevant and not otherwise impermissible testimony and information by answering direct and cross-examination questions. Direct and cross-examination questions of parties and witnesses should be intended to elicit relevant information and may seek to assess or challenge credibility. Questioning at the hearing may be conducted either by a party or through the party’s advisor and by the hearing panel.

Witnesses must have been identified in advance of the hearing and approved by the hearing officer. After a party questions a witness, the other party and the hearing panel will have the opportunity to question that witness. Witnesses are only allowed to attend a hearing during their testimony.

Finally, each party can make brief closing comments, either themself or through their advisor.

XX. Impermissible Evidence

The following types of evidence, and questions seeking that evidence, are excluded as impermissible. These types of evidence will not be considered, disclosed, or otherwise used, regardless of whether the evidence at issue is relevant.

• Disclosure of information that is inconsistent with law, particularly the Minnesota Government Data Practices Act and the Family Educational Rights and Privacy Act.
• Evidence that is protected under a legally recognized privilege, or evidence provided to a confidential employee, unless the individual to whom the privilege or confidentiality is owed has voluntarily waived the privilege or confidentiality.
• A party’s or witness’s records that are made or maintained by a physician, psychologist, or other recognized professional or paraprofessional in connection with the provision of treatment to the party or witness, unless the University obtains that party’s or witness’s voluntary, written consent for use in the formal petition process.
• Evidence of statements made and actions taken by either party in the OCR informal services process.

XXI. Panel Decision  

At the close of the hearing, the hearing panel will deliberate in a closed session. Only the hearing panel and the Manager attend this session.

The panel must determine, based on a preponderance of the evidence, whether each rule, policy or procedure alleged to be violated was in fact violated. The hearing panel need not be unanimous in its decision, but a majority of two panelists must agree for the panel to make a decision. 

After the hearing, the panel will prepare a written determination. See section XXIII. “Written Determination” below.

XXII. Remedies Available

Where a decision has been made that a specific written University rule, policy, or procedure pertaining to employment has been violated, remedies may be available to the petitioner. Remedies are designed to correct or otherwise redress the violation of a rule, policy, or procedure. Depending on the circumstances of the case, remedies may include: modification or removal of discipline, provision of benefits previously withheld, reinstatement of employment, back pay, and/or restoration of benefits lost as a result of the violation of a rule, policy, or procedure. Remedies do not include, for example: attorneys’ fees, damages for pain and suffering, damages for emotional distress, punitive damages, disciplinary action against any University employee, or actions that would be inconsistent with, or require the University to make changes to, its policies or practices.

XXIII. Written Determination

The Manager will simultaneously provide the parties and their advisors with the hearing panel’s written decision on the allegations outlined in the petition and written decision on remedies, if any. Together, these written decisions will constitute the “Written Determination.”

The Written Determination will include:

• a statement of the allegations asserted in the petition,
• a summary of the parties’ accounts,
• findings of fact,
• for each allegation asserted in the petition, a decision of whether a specific written University rule, policy, or procedure pertaining to employment was violated and a rationale for the decision,
• the panel’s decision regarding remedies, and
• a description of the procedures, including the permissible bases, to appeal the panel’s decision.

The Manager will strive to deliver the Written Determination simultaneously to the parties and their advisors within 14 calendar days of the hearing.

XXIV. Appeal

Any party may appeal the Written Determination. Appeals must be submitted to the Manager in writing within 7 calendar days of receipt of the Written Determination. Except in extraordinary circumstances, appeals received after 7 calendar days will be denied.

Submitted appeals must contain the ground(s) for the appeal from the list below and information in support of the ground(s) of the appeal, and must be submitted on this form. The Manager will forward the appeal to any other party, who then has 7 calendar days to submit a written response to the appeal. The Manager will forward the written response to the appeal, if any, to the appellant. The appellant may not submit additional information in response to the appellee’s written response. Either party may review the recording of the hearing for purposes of the appeal.

Appeals are limited to the grounds set forth below.

• Procedural irregularity that would change the outcome.
• New evidence that was not reasonably available when the hearing panel made its decision about whether a specific written University rule, policy, or procedure pertaining to employment was violated and that would change the outcome of this decision.
• The remedies awarded to the petitioner: 1) are disproportionate to the rule, policy, or procedure found to have been violated; or 2) are unavailable under this Policy.
• The decision about whether a specific written University rule, policy, or procedure pertaining to employment was violated was not based on substantial information. Substantial information means relevant and not otherwise impermissible information that a reasonable person might accept as adequate to support a conclusion by a preponderance of the evidence.
• The hearing panel members, hearing officer, and/or Manager had a conflict of interest or bias for or against petitioners or unit-appointed respondents generally or the individual petitioner or unit-appointed respondent that would change the decision about whether a University rule, policy, or procedure pertaining to employment was violated or the decision about remedies.

The Manager will forward the Written Determination, the appeal, and the written response to the appeal, if any, to the Appellate Officer. The Appellate Officer will review the parties’ written submissions and the Written Determination and, as necessary, the entire record of the formal petition process. The Appellate Officer has discretion to ask for additional information from a party or to request information from the hearing panel or the Manager.

The Appellate Officer will issue a written decision that (1) affirms, in whole or in part, the decision of the panel, (2) overturns, in whole or in part, the decision of the panel, (3) affirms, overturns, or adjusts the decision on remedies, or (4) remands the matter to remedy procedural errors or consider new evidence. The written decision must state the reasons and rationale for the Appellate Officer’s decision. The Appellate Officer will strive to issue a decision within 21 calendar days of receipt of the Written Determination, appeal, and written response to appeal, if any. The decision of the Appellate Officer is the final University decision.

XXV. Privacy and Confidentiality

The University is committed to protecting the privacy of all individuals involved in the formal petition process to the greatest extent legally permissible. In order to carry out the formal petition process and/or to otherwise comply with legal obligations, it is often necessary for the University to share the identities of the parties and/or witnesses, as well as information provided by the parties and/or witnesses, with the parties and other participants in the process. The identities of these individuals and the information provided during these processes also may be included in documentation relating to the case, which may be provided to senior administrators and others as appropriate. Hearing panel members will not disclose documents or individually identifiable information related to the formal petition process except as necessary to comply with procedures for conducting the hearing, or as required by law.

The University and the participants in the formal petition process have a compelling interest in protecting the integrity of the formal petition process, protecting the privacy of parties and witnesses, and protecting parties and witnesses from harassment, intimidation, or retaliation during a formal petition process. To further these goals, witnesses and parties are encouraged to limit their sharing of information about a matter (including the allegations and the identities of the parties and witnesses) while the formal petition process is ongoing. Parties and witnesses are also cautioned not to discuss the allegations in a manner that constitutes retaliation or unlawful conduct. Further, parties and their advisors are not permitted to disseminate the evidence provided to them under Section XIII above.