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Northern Illinois University

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Division of Academic & Student Affairs > Academic Policies and Procedures > Personnel Policies and Procedures for Members of the Supportive Professional Staff

Personnel Policies and Procedures for Members of the Supportive Professional Staff

Section II. Item 15.

Preamble
In accordance with the governing policy for Northern Illinois University and the regulations of the Board of Trustees, Supportive Professional Staff are those administrative and professional employees on appointment as faculty, exempt from Civil Service, without academic rank. Such policies and procedures are developed in accord with University and Board Policies (see Section II). These Personnel Policies and Procedures are applicable to all supportive professional staff as herein defined, employed at Northern Illinois University; however, internal units may develop personnel practices for their respective operations as long as such practices are not contradictory to these Personnel Policies and Procedures.

Retaliation against any individual(s) utilizing these procedures or providing information under these procedures is strictly prohibited. Reports of violations of this policy shall be directed to the Assistant Vice President of Human Resources and violators will be subjected to disciplinary action.
Definitions
Supportive Professional Staff (SPS) -- For the purposes of these policies and procedures, this term is defined to include all faculty, administrators, and professional staff whose primary responsibilities are administrative or professional support (as opposed to teaching), who are exempt from Civil Service as approved by the University Civil Service Merit Board, and who are under appointment by the Board of Trustees without academic rank.

Internal Units -- departments, colleges, divisions, or like bodies as determined by the current organization chart(s) within which SPS have reporting responsibilities.

Administration -- administrators of departments, colleges, divisions or like internal units, including Vice Presidents, Deans, Directors, and Department Chairs.
Appointments
Appointments to SPS positions shall be in accord with appropriate and applicable provisions of University and Board Policies (see Section II).
Personnel Reviews and Performance Evaluations
In accordance with University Policy, each internal unit shall develop and implement written annual evaluation procedures, consistent with university-wide protocols, designed to assist the unit and SPS member is strengthening performance. The supervisor and SPS member shall develop mutually acceptable procedures for conducting the evaluation(s). In the event that a consensus regarding the evaluation format or procedure can not be achieved, either party may request, within 10 days that the specific procedures be reviewed by the appropriate Vice President or in the case of areas not reporting to a Vice President by the President or his/her designee. This Vice President shall make a final written determination within 10 days.
Conditions of Employment and Benefits
Members of the SPS are employed in accordance with and are subject, insofar as they may be applicable, to the "Conditions of Employment" referred to in University and Board Policies (see Section II). Members of the SPS are entitled to those "Benefits" outlined in University and Board Policies (see Section II, Subsection D).
Travel Regulations
Members of the SPS are subject to the "Travel Regulations" outlined in University and Board Policies (see Section V, Subsection C).

Appointment Periods and Notification of Non-Reappointment
Appointments to SPS positions shall be for a specified term. Such appointments shall guarantee the following notice of non-reappointment except (a) for members of the President's staff, all of whom serve at the pleasure of the President and (b) administrators and coaches within the Athletics Department, all of whom serve at the pleasure of the President and the Director of Intercollegiate Athletics. See other university policies for SPS positions wherein specific contractual terms waive these notice requirements.

No.	Length of Consecutive Full-Time Service with the University at Time of Notification (in years of appointment completed)	Minimum Notice of Non-Reappointment
1.	Temporary	Temporary appointments carry no implication of renewal or need for notice, but termination should not occur before the end of the current contract period, if any, except for cause.
2.	1 year or less	4 months with the provision that termination not occur before the end of the current contract period, except for cause.
3.	More than 1 year and less than 3 years	6 months with the provision that termination not occur before the end of the current contract period, except for cause.
4.	3 years or more	12 months from the date of notice except for cause.

Every appointment for a specified term must be accepted by members of the SPS with the understanding that such an appointment entails no assurance or implication, except for the provisions for notification set forth above, that it will be renewed. In the event of financial exigency or insufficient funds to continue an appointment, notice must be given as soon as possible. Upon bona fide reduction or elimination of an internal unit or any part thereof employing SPS, the university, (as soon as possible after the decision is made to reduce or eliminate the unit or part thereof), shall give notice to the individual or individuals being displaced. (Such decisions will be made by the President in accordance with University and Board Policies.)

All notices of contract nonrenewal must be in writing. A copy of the notice shall be served on the individual by certified mail addressed to the last known address, or by personally delivering the notice to the individual.

Grievance Procedures

Type A

Dismissal for cause (see specific procedures under SPS Hearing Board)

Type B

Affirmative Action Charges/Appeals
Official Reprimand Placed in personnel File
Administrative Suspension
Non-Disciplinary Situations and Allegations of Arbitrary or Capricious Treatment, such as:
*Application of Benefits
*Working Conditions
*Harassment (for Sexual Harassment, see section on Affirmative Action Appeals)
*Personnel Reviews and Performance Evaluations

Type C

Non-renewal of Contract, pursuant to notice
Irreconcilable Salary Disagreements

In Type A grievances, the burden of proof for dismissal for cause shall lie with the university. In Type B and Type C grievances, the burden of proof that there has been a violation of university rules or procedures, or that the grievant has been treated in an arbitrary/capricious manner, shall lie with the grievant. He/She shall have the responsibility for presenting and/or documenting the case in accordance with and through the available procedures. Type A and Type B grievances are appealable to the Special Hearing Board. Type C grievances are appealable to the President.

Except in unusual circumstances the individual grievant should initiate informal discussions with his/her supervisor. If the problem is not satisfactorily resolved the grievant should follow the procedures outlined below. At any step in the process the grievant and/or the administrator may consult with or otherwise enlist the aid of individuals such as, but not limited to, the ombudsman or faculty personnel advisor in filing the grievance and/or in seeking a resolution of the grievance. Those holding these positions may be able to provide assistance and consultation in the drafting and filing of the grievance. During any stage of a Type A, Type B, or Type C grievance, the grievant may be accompanied by a faculty or administrative employee of his/her choosing. The presence and participation of attorneys is limited to Type A proceedings before the SPS Hearing Board. The university reserves the right to also have an attorney present in the event of such participation.

Cases to be Considered by the Supportive Professional Staff Hearing Board -- Type A Appeals
1. This section provides principles and procedures for the resolution of concerns resulting from the dismissal for cause of a member of the SPS before the expiration of that individual's contract period. These principles and procedures do not apply to members of the Supportive Professional Staff whose contracts are not renewed or expire, or to temporary staff members whose appointments are not renewed at the end of their contract period.
2. Statement of Principles
  - Established and orderly procedures insuring fairness afford the best protection of the rights and welfare of both the individual and the university. Such procedures are also indispensable for safeguarding public interest in the integrity of the university as a center of learning.
  - If it is recommended that a member of the SPS be dismissed before the expiration of the contract period, a hearing must be requested within 7 working days of receipt of notification of dismissal. Within 5 working days of receipt of the request for a hearing, the Assistant Vice President of Human Resources (AVPHR) will schedule the hearing for a date no less than 30 days and no more than 45 days. During this period, efforts of conciliation can be initiated by either party. The burden of proof that such action is justified shall be satisfied only by clear and convincing evidence in the record considered as a whole.
  - Adequate cause for dismissal must be related, directly and substantially, to the fitness of the member of the SPS in the member's professional capacity within the university community. Dismissal will not be used to restrain members of the Supportive Professional Staff in their exercise of their constitutional and legal rights.
3. Statement of Procedures
  A member of the SPS notified of dismissal shall be provided a dated written statement of notification summarizing cause for the dismissal and effective date, and shall be provided of the available due process in accordance with the following procedures:
  1. Informal Efforts at Conciliation
    It is appropriate for the university, including the appropriate administrative officers, to seek to resolve differences without recourse to a formal hearing. In an effort to secure such resolution, both the university administration and the SPS member should consider inviting the assistance of additional parties such as but not limited to the Ombudsman, and/or the Faculty Personnel Advisor. In informal discussions involving the SPS member and representatives of the university, the member shall have the right to be accompanied by an adviser of the member's choice. Since these discussions look toward conciliation, no transcript or recording shall be made of such meetings. The SPS member may waive informal discussions.
  2. Preliminaries to a Hearing
    At least twenty (20 working days in advance of a scheduled hearing in which the university administration will attempt to substantiate charges against a member of the SPS, the Assistant Vice President of Human Resources (AVPHR) shall send the member:
    1. A copy of pertinent policies and procedures from relevant sections of University and Board policies along with the University Constaitution and Bylaws, and such other statements which concern the rights of the member;
    2. A copy of specific charges against the grievant constituting cause for dismissal;
    3. A summary of the principal evidence presented in support of the charge, and a preliminary list of witnesses the university administration plans to call;
    4. The names of the SPS members comprising the Hearing Panel;
    5. Notice of the date of the hearing;
    6. A formal invitation to attend the hearing and notice of the right to be accompanied at the hearing by an NIU colleague and legal counsel.
    7. The date by which each party shall submit to the other a list of witnesses and copies of documents which each party anticipates will be used or presented at the hearing. Sufficient time should be provided to review the documents and to prepare for the hearing.
  3. The Hearing
    1. The affected member of the SPS may request the hearing be open; however, the Hearing Board may, upon its own initiative, close the hearing. Ordinarily, a Hearing Board will meet in closed session.
    2. The Assistant Vice President of Human Resources shall arrange to have a verbatim record kept of the hearing, and shall make a copy of this record available in identical form and at the same time to the member (without charge) and to the president of the university.
    3. The Hearing Board will grant adjournments to enable either party to investigate evidence concerning issues which the committee deems a valid claim of surprise has been made.
    4. The member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The university will, insofar as possible, secure the cooperation of such witnesses and make available requested documents and other evidence possessed by the university and will provide the SPS member with sufficient time to review requested evidence and to prepare for the hearing.
    5. The member and the university will have the right to confront and question all witnesses. Where a particular witness cannot appear, but the Board determines that the interests of justice require admission of that witness' statement, the committee will identify the witness, disclose the statement, and (if possible) provide for written responses by the witness to questions posed by the parties to the dispute.
    6. The Hearing Board will not be bound by strict rules of legal evidence, and may admit any evidence which may be of probative value in determining the issues involved. Every effort shall be made to obtain all such evidence. The Hearing Board may request that particular items of evidence/testimony be submitted to the Board that have not been presented by either party. Copies of such evidence shall be submitted to both parties.
    7. The findings of fact and the decision will be based solely on the hearing record. Deliberations of the Hearing Board are confidential and may not be recorded.
    8. Except for such simple announcements, as may be required, relating to the time of the hearing and similar matters, public statements or other publicity about the case by the member, the university, or members of the Hearing Board will be avoided. No information will be released, so far as possible, until the proceedings, including any consideration by the Board of Trustees, have been completed. Upon the completion of the proceedings, the president, grievant, and the respondent(s) shall be notified in writing of the decision by the chair of the Hearing Board within five (5) working days. A copy of the documentary evidence in support of the finding(s) of the hearing shall also be furnished at this time.
    9. If a majority of the Hearing Board concludes that adequate cause for dismissal has not been established by the evidence of the record, it will so report to the president. If the president rejects the report, the reasons for the rejection shall be stated in writing to the Hearing Board and to the member within ten (10) working days, with an opportunity for response provided before any transmission of records involving the case to the Board of Trustees. If the Hearing Board concludes that adequate cause for dismissal has been established or that any violation(s) of university policies and procedures have occurred but that a penalty less than dismissal would be more appropriate, it should so recommend, with supporting reasons.
    10. All materials related to appeal proceedings will be retained in the Assistant Vice President of Human Resources' office for a period of five (5) years.
  4. Appeal to the Board of Trustees
    If dismissal or other penalty is recommended, the SPS member must request within five (5) working days, of receipt of the President's decision that the President transmit the record of the case to the Board of Trustees. If the Board of Trustees agrees to consider the case, the following procedure is recommended. If the SPS member fails to respond to the President, the President shall not be obligated to forward the record to the Board of Trustees and the matter shall be considered closed.
    
    The Board's review should be based on the record of the committee hearing, and it may provide opportunity for argument, oral or written or both, by the principals at the hearing or by their representatives. Either the decision of the hearing committee shall be sustained, or the proceeding shall be returned to the committee with specific objections. The committee should then reconsider, taking into account the stated objections and receiving new evidence if necessary. It is recommended that the Board of Trustees make a final decision only after study of the committee's reconsideration.
Initial Procedures for Type B & C Grievances
1. The grievant shall initiate discussion with his/her immediate supervisor no later than ten (10) working days after the discovery of the occurrence of the alleged incident(s) or within ten (10) working days of notice of nonrenewal. The supervisor will attempt to resolve the matter within five (5) working days after receiving the complaint.
2. After completing step A above, the grievant may submit a written appeal, citing any alleged violation of University and/or Board Policy, to his/her immediate supervisor's supervisor within five (5) working days of receipt of supervisor's response. The grievant's supervisor's supervisor will attempt to resolve the matter and report the results in writing to the parties within five (5) working days of receiving the complaint.
3. If the grievant feels that the appeal has not been resolved or explained fully, he/she may submit a written appeal either to the standing committee established for that purpose within the division if such exists; otherwise to the grievant's Vice President (or designee) within five (5) working days of receipt of response of supervisor's supervisor. The Vice President (or designee) or committee will attempt to resolve the matter with a written response within five (5) working days after receiving the appeal, but in no case later than twenty (20) working days after receiving the appeal. If a violation of university policy, plan, or law is found to have taken place, the Vice President shall (within 5 working days) take or direct necessary administrative steps to resolve the matter through enforcement of the pertinent policy, plan, law or other actions.
4. If circumstances of the appeal prevent using steps A., B., and/or C. above; that is, if the grievance is related to the actions of these supervisors, or if the immediate supervisor(s), or vice president does not resolve the appeal within the time frame specified above, the grievant should submit a written appeal to the Assistant Vice President of Human Resources (AVPHR). This appeal must be submitted to the AVPHR within ten (10) working days of the Vice President's (or standing committee's) response, or the deadline date for such a response.
  
  In Type B grievances, the AVPHR within ten working days of receipt of the appeal shall initiate convening of the Hearing Board. If the grievance is filed by an SPS member who reports directly to a Vice President or the President or whose supervisor reports to the President and circumstances prevent using steps A., B., and/or C. above; then the grievant may submit a written appeal directly to the President under the procedures set forth in step c.
  
  Type C grievances shall be forwarded within ten working days, by the AVPHR to the President for final review. The President shall advise all parties of his/her decision in writing within ten (10) working days of receipt of the appeal. All materials related to the appeal proceedings will be retained in the AVPHR office for a period of five (5) years.
5. Following the submission of a written grievance appeal, failure on behalf of the grievant to comply with time limitations as established within the grievance procedure shall allow for a dismissal of the grievance. Failure on behalf of the respondent and/or related parties to comply to the time limitations as established within the grievance procedure shall allow for advancement of the grievance to the next step of the grievance procedure. Failure of the grievant to appear or present the case before the Hearing Board shall result in a dismissal of the matter.
Cases to be Considered by the Supportive Professional Staff Hearing Board -- Type B Appeals
1. When a Type B appeal is forwarded to it, the Hearing Board shall first make an inquiry to determine whether there are sufficient grounds to justify a hearing. In all cases where the Hearing Board votes that there are insufficient grounds, the Hearing Board shall report this to the head of the employing unit and the AVPHR and provide the complainant and the consulted affirmative action officer (if any) with a summary of its conclusions. When an appeal is found to have sufficient grounds to warrant a hearing, the Hearing Board shall schedule a hearing. The following procedures are to be used.
2. Statement of Procedures
  1. Preliminaries to a Hearing
    After the AVPHR is notified that the Hearing Board has agreed to entertain an appeal, at least twenty (20 working days in advance of a hearing, the AVPHR shall send the member
    1. The names of the members comprising the Hearing Board which will hear the case. (Ordinarily, this will be the same Board which originally considered the grievance or appeal);
    2. Notice of the date, time and location of the hearing;
    3. A formal invitation to attend the hearing and notice of the right to be accompanied to the hearing by an NIU colleague;
    4. The date by which each party shall submit to the other a list of witnesses and copies of all the documents which each party anticipates will be presented or used at the hearing.
  2. The Hearing

Supportive Professional Staff Hearing Board

The Hearing Board (hereafter, the "Hearing Board") is constituted to hear both Type A and Type B appeals, and shall consist of five (5) supportive professional staff members to be selected from a panel equivalent to the composition of the SPS Council and representative of the divisional proportion contained therein. The Panel shall be elected ever two (2) years. The election will be conducted by the Supportive Professional Staff Council and will occur in the spring in even-numbered years. In nominating individuals for the panel from which Hearing Boards will be drawn, all groups should endeavor to insure that women and minority groups are appropriately represented. In the event of inadequate representation of these groups, as considered by the SPS Council, the Council shall recommend two additional members to the President to serve on the panel. For the Hearing Board, two (2) individuals shall be selected by the grievant, two (2) by the appropriate area of administration, and one (1), chosen by the four (4) provided for above. The AVPHR, or designee, shall notify the parties as to the composition of the Hearing Board. This Board shall elect a voting chair whose responsibility it will be to conduct the hearings. A member of the Board is ineligible to be chosen if s/he is a primary party in the matter. Board members ill be advised of the office in which the case arose and its general nature so that they can decline to serve if biased in any way. Parties will be notified by telephone by the AVPHR if any Board member(s) recuse themselves. If a party chooses a member who simultaneously or thereafter recuse her/himself, that party will be notified and asked to choose another Board member. If a party wishes to challenge the presence of any member of the Hearing Board, after the Board has been selected and notified as to the composition of the Board, s/he may, submit a written challenge within 2 working days to the AVPHR. The unchallenged Board members shall decide the issue. Any Board member removed (or resigning) after such a challenge, will be replaced by choice exercised by the party or body which originally selected him/her.

In the event of an appeal by a member of the SPS who reports directly to a Vice President, he/she may request that no more than one (1) supervisor of similar rank in the division or like internal unit be included on the Hearing Board for the duration of the appeal proceedings in that case. This additional member shall be mutually agreeable to the Vice President and the appealing party.

Affirmative Action: Charges/Appeals

Any complaint by a member of the SPS alleging discrimination on the basis of race, sex (including sexual harassment), age, marital status, sexual orientation, national origin, religion, handicapped condition, or status as a Vietnam-era veteran or disabled veteran may be filed with the Affirmative Action Office. The Affirmative Action Office will investigate the charge and attempt to resolve the problem informally; however, if such resolution cannot be effected, the affirmative action officer will make a recommendation to the President concerning disposition of the case. In cases potentially involving violation of the spirit and intent of the university affirmative action policies, the Affirmative Action Office may recommend to the President that the implementation of a personnel decision be suspended, pending resolution of the issue.

The affirmative action officer or the aggrieved member of the Supportive Professional Staff may file charges/appeals involving allegations of discrimination with the Assistant Vice President of Human Resources who will convene the Supportive Professional Staff Hearing Board. In all cases the detailed allegation must be forwarded in written form over the signature of the person making the charges/appeal.

It is suggested that a person pursue one avenue such as the Affirmative Action Office or this grievance procedure at a time. However, all relevant time lines and procedures must be compiled with as noted in this procedure.

Amendments

Should the university wish to amend or change any portion of these Policies and Procedures, the SPS Council shall be given the opportunity to meet and consult to discuss the proposed amendments or changes. The SPS Council may, at any time, propose amendments or changes to this document. Nothing herein shall prevent the university from amending or changing this document when required by enactment of state or federal law or regulation. Any amendments or changes to this document shall be communicated, as soon as practical, to the members of the Supportive Professional Staff.

Approved by Executive Cabinet, September 7, 1996

Last Updated: 9/7/96