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I. STATEMENT ON ACADEMIC FREEDOM
The Statement on Academic Freedom, as adopted by the Senate of the Academic
Council April 18, 1974; approved by the Board of Trustees September 10,
1974 upon the understanding that, as stated by the President of the University
in his written recommendation to the Board, "The University’s
processes of search and evaluation are designed to produce the best possible
persons for membership on the faculty. The Statement on Academic Freedom
would in no way change that goal or the practices used to reach it";
and amended by the Senate of the Academic Council on April 16, 1998 shall
apply to members of the Academic Staff in a manner appropriate to their
role and responsibilities (See Chapter 4 of this
handbook)
II. GRIEVANCE PROCEDURES FOR
THE ACADEMIC STAFF AT STANFORD UNIVERSITY
I. Definitions and Coverage
A. Grievance. A grievance is a complaint in writing
made to an administrative officer of the University concerning a decision,
made by a person or group of persons acting in an official University
capacity, that directly or adversely affects the grievant as an individual
in his or her professional academic capacity. A grievance does not include
dissatisfaction with a University policy of general application challenged
on the ground that the policy is unfair or inadvisable.
B. Coverage. A grievance may be filed and the appeal
procedure hereunder may be utilized by any member of the Academic Staff-Teaching
or Academic Staff-Research (as defined in Chapter
6 of the Stanford University Faculty Handbook and Chapter
9 of The Research Policy Handbook).
II. Grievance Structure
A. The Grievance Structure consists of an Administrative
Structure.
B. The Administrative Structure includes, in order and
as applicable, the following administrative officers of the University:
head of administrative unit; department chair; dean of school; Provost
and President.
C. The President shall devise a set of standing rules
of procedure which will govern proceedings for the filing and appeal
of grievances in the Administrative Structure, provided that:
1. The set of standing rules of procedure, and any
amendments thereof, shall be valid upon promulgation;
2. The rules shall provide that any communication
or material solicited and received with the understanding that it
would be kept in confidence shall be kept confidential and shall not
be revealed to any person, including the grievant, who was not a party
to the confidential communication or material, except that such communication
or material may be revealed to any person(s) consulted by the administrative
officer for guidance on that grievance.
III. Grievance Procedures
A. Filing of Grievance.
1. A grievance arising out of a decision at the administrative
unit or department level shall be filed with the dean of the school.
2. A grievance arising out of a decision at the dean’s
level shall be filed with the Provost.
3. A grievance arising out of a decision at the Provost’s
level shall be filed with the President.
4. A grievance arising out of a decision at the President’s
level shall be filed with the President. The President shall make
a determination on the grievance, and such determination shall be
final. The decision of the President, with the reasons therefor, shall
be given to the grievant in writing.
B. The grievant shall file his or her complaint in writing,
setting forth a statement of the decision that constitutes the subject
matter of the grievance and all ground(s) on which it is being challenged.
The written grievance shall also include the grievant’s statement
that he or she has made informal efforts to resolve the dispute at each
administrative level (including, as applicable, with his or her principal
investigator and with the department chair) below the level at which
the grievance is filed, and shall describe those efforts in detail.
C. The administrative officer with whom the grievance
is filed shall consider the grievance. The administrative officer may
attempt to resolve the matter informally or make whatever disposition
of the grievance he or she deems appropriate. The administrative officer
may refer the grievance, or any issue therein, to any person(s) who
shall consider the matter and report to the administrative officer as
the latter directs. The administrative officer may also, in appropriate
cases, remand the grievance to a lower administrative level (including
to the original decision maker) for further consideration. The administrative
officer shall notify the grievant in writing of the disposition made
of the grievance.
IV. Appeal Procedure
A. A grievant who is dissatisfied with the disposition
of the grievance by the administrative officer with whom the grievance
was filed may appeal the decision in order to each of the higher administrative
officers within the Administrative Structure as follows:
1. For a grievance filed with and decided by the dean,
a grievant may appeal the decision in writing to the Provost. The
Provost will follow the procedure for appeals set forth in Sections
IV(D) and (E) and V below.
2. For a grievance (or an appeal) filed with and decided
by the Provost, a grievant may appeal the decision in writing to the
President. The President will follow the procedure for appeals set
forth in Sections IV(D) and (E) and V below.
3. No appeal shall be available for a grievance (or
an appeal) filed with the President. (See Section III(A)(4) above.)
B. The determination by any administrative officer of
any grievance appealed to him or her shall be appealable by the grievant
to the next higher administrative officer within the Administrative
Structure, except that the determination of the President shall be final.
C. An appeal shall be made in writing and shall contain
the following information:
1. a statement of the decision that constitutes the
subject matter of the grievance and all ground(s) on which it is being
challenged;
2. the names and positions of all administrative officers
with whom the grievance has been filed or appealed and a copy of thedetermination
made by each of those administrative officers.
D. Each administrative officer within the Administrative
Structure who considers a grievance appealed to him or her shall make
a determination on the matter and shall inform the grievant in writing
of the determination.
E. The administrative officer may attempt to resolve
the matter informally, or refer the appeal, or any issue thereof, to
any person(s) who shall consider the matter and report to the administrative
officer as the latter directs. The administrative officer may also,
in appropriate cases, remand the matter to a lower administrative level
(including to the original decision maker) for further consideration.
F. In considering a grievance that arises out of a negative
decision on appointment, reappointment, or promotion, an administrative
officer may consult with the same body, if any, that makes recommendations
on decisions involving appointment, reappointment, or promotion.
V. Standards for Review and Procedural Matters
A. The review of a grievance or of an appeal by the
dean, the Provost or the President shall usually be limited to the following
considerations:
1. Were the proper facts and criteria brought to bear
on the decision? Were improper or extraneous facts or criteria brought
to bear that substantially affected the decision to the detriment
of the grievant?
2. Were there any procedural irregularities that substantially
affected the outcome of the matter to the detriment of the grievant?
3. Given proper facts, criteria, and procedures, was
the decision one which a person in the position of the decision maker
mightreasonably have made?
B. Standing rules of procedure for the handling of grievances
under the Statement on Academic Staff Grievance Procedures, which include
time limitations for the filing of grievances and appeals, as well as
other procedural matters, are available in the Office of the Academic
Secretary, the Office of the Provost and on-line in the Portfolio Collection.
Note that a delay in filing a grievance may, taking all circumstances
into account, constitute grounds for rejection of the grievance by the
administrative officer with whom it is filed. Similarly, appeals should
be filed without delay.
C. Questions concerning the filing and appeal of grievances
should be directed to the Office of the Provost or to the Office of
the Vice Provost for Research and Graduate Policy.
Standing Rules of Procedure for the handling of grievances
under the Statement of Grievance Procedures for the Academic Staff at
Stanford University, which include time limitations for the filing of
grievances as well as other procedural matters, are available in the Faculty
Affairs Group in the Provost’s Office. (Note that an unreasonable
delay in filing a grievance may constitute grounds for rejection of the
grievance by the administrative officer with whom it is filed.)
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