Section 3: Grievance Procedure

Submitted by Guest on 24 July, 2009 - 10:24

1. The Purpose of the Grievance Procedure is to provide structure and guidance for responding to evident violations. The procedure may be applied only to grievances between members of the SCE, that is, to members of the SCE aggrieved by the conduct of fellow members in the context of meetings and activities directly connected with the Society's work.[fn]SCE employees are expected to know and abide by these standards as well, but it should be noted that they are protected by state and federal employment laws, including laws against harassment and discrimination. Guests, including guest speakers, will be encouraged to hold themselves accountable to these standards by means of a brief summary of this document, supplied to them in their registration packets.[/fn]

The procedure is intentionally flexible, allowing considerable scope for discretionary exercise of its provisions in response to morally relevant differences in particular cases, such as the gravity of the alleged misconduct and whether or not it was intentional. The overarching goal is to reestablish a respectful and just environment for inquiry and discourse at SCE meetings. Where possible, the procedure should aim at achieving reconciliation on fair terms. In some cases, the duty to maintain the values and commitments of the SCE may require the application of sanctions (e.g., suspension or expulsion). Any intervention should aim at supporting and strengthening the SCE's efforts to safeguard respect for difference, personal integrity and intellectual integrity.

2. The Professional Conduct Committee is the sole body authorized to interpret and apply the grievance procedure; evaluate complaints brought under it; and make recommendations to the Board of Directors in response to such complaints.

Members of the PCC are appointed by the President for staggered three-year terms, to ensure continuity of experience on the Committee. Since respect for intellectual integrity requires vigilance, sensitivity and courage to identify and remedy infractions, the members of the PCC should be chosen for their practical wisdom. They should be seasoned members of the SCE, who possess sound and sober judgment, as well as tact, discretion, and skill with people. In aggregate, they should represent the SCE community in all its diversity. If possible, the SCE should look into sending them to a relevant training program.

The PCC will review cases arising out of the formally constituted activities of the SCE if it deems the procedure of peer investigation and judgment to be an appropriate forum to address the alleged misconduct, and if it deems the SCE's resources to be adequate to yield a fair judgment. The PCC will not accept complaints it deems capricious or principally vindictive, nor will it attempt to obviate or preempt civil or legal proceedings, nor will it, except in unusual circumstances, pursue a case while the dispute is pending in another forum. Review of a complaint by the PCC should not be regarded as substitute for legal action.

3. The Grievance Procedure is designed for use during or soon after a formally constituted event of the SCE, normally the annual meeting. The swift passage of such events imposes limitations on the PCC’s ability to obtain information, provide due process, protect confidentiality, and resolve the case with effective mediation or retributive justice, as the case warrants.

A member should bring a grievance directly to the chair of the PCC, who ensures that all inquiries and complaints are properly undertaken and concluded. If any member of the PCC is named in the complaint, he or she will be replaced for that case by Presidential appointment. No person who has been accused in a complaint will participate in the investigation or resolution of the complaint.

When a grievance is brought to the chair of the PCC, the chair shall promptly assign a member of the PCC to handle the case as its representative.

In some situations, the PCC representative may find that an informal conversation with the complainant and the respondent members suffices to determine what happened and then to resolve a hurtful misunderstanding or repair an unintentional offense through mediation. If the mediation is successful, no written record shall be generated. The PCC member shall orally inform the chair of the PCC of the successful resolution of the incident.

For example, under Respect for Difference, if a member of the SCE uses a derogatory racial term in a conversation at the hotel bar, but doesn’t realize the term is offensive, the PCC member may explain its offensiveness and a sincere apology may be all that is required. Under Respect for Personal Integrity, a request for some form of sexual intimacy that was honestly but mistakenly believed to be welcome might be settled with a sincere apology. Under Respect for Intellectual Integrity, using material from the writings of another member without proper citation, but unintentionally and in a minor way, might be resolved with a sincere apology and a correction in the next issue of the JSCE.

A more formal procedure will be required if mediation fails or if the PCC representative judges that the offense was deliberate and/or serious enough to require more attention. The PCC representative shall ask the complainant whether he or she wishes to proceed further, and shall respect the complainant’s wishes in this regard.

For example, if a derogatory term was applied maliciously (a serious violation of respect for difference), or if sexual favors were requested in exchange for preferment or professional help (a serious violation of personal integrity), or if a citation was deliberately omitted (a serious violation of intellectual integrity)

If the complainant chooses to proceed, the PCC representative should inform the PCC chair, who should promptly convene the committee, by telephone if need be, to evaluate the complaint. By majority vote, the PCC may decide either to accept the complaint for full review or to decline to consider it. This decision should be based upon:

  • a judgment of its resources and competence to handle the matter;
  • the seriousness of the complaint;
  • the degree to which the complaint alleges specific violations of the SCE Code of Conduct;
  • the likelihood that the SCE will be able to make a positive contribution to resolving the problem; the availability of a more suitable forum, such as a university grievance procedure or the AAUP.

If the PCC decides to decline consideration of the complaint, the PCC representative will explain the decision to the complainant, and the respondent if aware of the complaint. No written record will be kept of the complaint or the PCC’s decision not to consider the case.

If the PCC decides to pursue the complaint, it will ask the PCC representative promptly and impartially to solicit 1) a written statement from the complainant. The statement will be furnished to the respondent, with a request for 2) a written response. The PCC representative also will solicit additional relevant evidence. The solicitation of comments from witnesses needs to be done delicately and with circumspection. The PCC representative will write 3) an investigatory report detailing additional evidence in the case.

(Note: The PCC will protect the privacy of both the complainant and the respondent in every way possible during the process of the complaint and thereafter. However, all parties should realize that the confidentiality of the SCE proceeding is not protected against legally mandated disclosure if it falls within the scope of a subsequent lawsuit.)

The PCC will then meet in person or by conference call to consider the case, including the statements by the complainant and the respondent, and the investigatory report by the PCC representative.

  1. The PCC might conclude that there is insufficient evidence of violation to warrant any action, and therefore officially close the investigation. The chair of the PCC shall so notify the complainant and the respondent. No written record will be maintained of the incident.
  2. The PCC might conclude that a violation has occurred and impose a sanction, if it deems a sanction to be warranted. Sanctions are imposed by a majority vote of the PCC (excluding the investigating PCC member).
  3. Possible sanctions include:
    • Sending a letter of reprimand to the respondent.
    • Requiring the offender to undergo some sort of education regarding the Society's professional commitments and appropriate and inappropriate behaviors, and to provide documentation to the PCC that this training has been completed. Failure to comply may result in the rescinding of membership.
    • Recommending to the Board to suspend, restrict, or terminate the membership of the respondent, in accordance with Article III, Section 7 of the By-laws.
  4. If a sanction is imposed, the chair of the PCC shall prepare a written report justifying the action taken. This report should include, as appendices, the statements of the complainant and respondent, as well as the PCC representative’s investigatory report.
  5. If the recommendation to the Board is made to suspend, restrict, or terminate membership (3c), the following additional procedures must be followed.
    • The PCC shall provide the Board with copies of the PCC chair’s report, including all appendices.
    • The complainant and respondent will be provided a copy of the chair’s report, including all appendices. They will be offered an opportunity to make a written response to the PCC’s decision.
    • The sanction of suspension or restriction requires a majority vote of the Board of Directors. The sanction of expulsion requires a two-thirds (2/3) vote of the Board. The vote of the Board is final. 4) The President shall notify the complainant and the respondent of the Board’s decision in writing.
  6. Records
    • For each case in which a violation has been found to have occurred, the Executive Director shall maintain in the office file one copy of the complete case file, which includes the PCC chair’s report, including all appendices. If applicable, it shall also include additional materials submitted to the Board, and the written decision of the Board. 2) These documents shall be made available only to those who serve in the office of President, the Executive Director, and the Chair of the PCC, and shall be destroyed in five year’s time. 3) All other copies shall be destroyed immediately after the PCC or Board meetings dealing with the case have concluded.

4. After the Grievance procedure.

The decisions rendered by the PCC are final, and may not be appealed by the complainant, respondent or a third party to the Board or to the entire membership. The only exception is a PCC recommendation for suspending, restricting or terminating membership as set forth in 3)c above, which may be appealed to the Board. However, further action by the PCC may be needed if the PCC learns, after investigating a complaint, that the grievance procedure has been misused:

a. If a complainant knowingly made a false complaint or knowingly provided false information regarding a complaint. The SCE prohibits the use of false testimony, and the PCC or the Board may take disciplinary action.

b. If retaliation is taken against any member, or against an employee of SCE filing a complaint against a member, or against the person accused. The SCE prohibits such retaliation, and the PCC or the Board may take additional disciplinary action.

c. If the confidences of the complainant, the respondent, or other parties directly involved are abused by the members of the PCC or the Board. The SCE prohibits disclosure of confidential material unless required by law or to protect the safety of a party or a third person. Violations of confidence may warrant additional sanctions by the PCC or the Board. Whether or not these misuses of the grievance procedure exacerbate the original complaint, they are themselves violations of respect for personal and intellectual integrity, and so are subject to the same disciplinary standards.

5. Report to the Board

The PCC chair is the official liaison to the Board, President, and Executive Director and must report every inquiry and formal complaint. The PCC Chair shall prepare a written annual report to the Board, describing the cases it has dealt during the previous year in the following way:

  • The PCC chair shall identify the number and general type of cases resolved by a PCC member on an informal basis.
  • The PCC chair shall describe in general terms, which omit all direct and indirect identification of the parties, each case which the PCC declined to consider.
  • The PCC chair shall prepare an abbreviated version of the case report of each case to which the PCC has decided to give full consideration, omitting all direct and indirect identification of the parties.

6. Report to the Membership

The PCC Chair shall prepare a short oral report, to be given at the annual meeting, summarizing the annual report to the Board, but identifying cases, resolved or declined, only according to the kind of violation involved (regarding disrespect for difference, personal integrity, or intellectual integrity).