PROFESSIONAL-SCIENTIFIC PERSONNEL
POLICIES AND PROCEDURES
VIII. COMPLAINTS AND GRIEVANCES
C. Miscellaneous Provisions through J. Representation
VIII. COMPLAINTS AND GRIEVANCES
The Professional and Scientific Grievance Form is available in both Microsoft Word 97 and Adobe Acrobat Formats. Click on an icon for the desired format.
Complaints and grievances by professional-scientific personnel will be resolved in accordance with the procedures set forth below. A professional-scientific staff member has the right to present a matter or concern or dissatisfaction relating to:1. interpretation, application or alleged violation of written university or Board of Regents policies and/or procedures governing conditions of employment, work schedule, compensation (other than general salary schedule and general salary adjustments); and
2. administrative action involving employer discrimination based on age, national origin, physical disability, race, religion, sex or other criteria prohibited by law.
(This process is not designed to resolve professional-scientific position classification matters; such conditions are undertaken with Position Classification Review proceedings.)
A professional-scientific staff member (or group of professional-scientific personnel) alleging a policy misinterpretation and/or misapplication, discrimination, or taking objection to a disciplinary action will seek, initially, to resolve such complaint by informal means and/or through administrative channels. Such informal procedures (e.g., Personnel Services Department inquiry, contact with supervisor, department head, and/or division vice-president, etc.) must be initiated within thirty (30) working days following the time the staff member(s) first became aware or should have become aware of the condition necessitating the complaint.
Failing resolution by informal means, the formal grievance procedure may be initiated. Such procedure must be initiated no later than forty-five (45) working days following the date the grievant(s) first became aware of, or should have become aware of, the occurrence of such grievance; however, under no circumstances shall a grievance be considered timely after six (6) months from the date of occurrence.
A formal grievance statement is to be prepared and submitted on an established grievance form (
) which will be maintained with the original copy of documents related to the grievance and will serve as the grievance file. The grievance form shall contain a statement as to the description of the grievance with pertinent circumstances and date(s) of occurrence(s) noted. Such statement is to identify the policy allegedly violated, the grievance issue, and cite the relief sought.
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Grievance actions will be resolved in conformity with the following review levels:
1. Level I.
The grievance statement shall be dated and filed with the grievant's immediate supervisor who shall conduct an investigation, give the aggrieved and/or a representative of his/her choosing the right to present the matter in question orally and respond in writing within ten (10) working days indicating his/her disposition and reasons for same. (This level is waived if the person to whom the staff member is immediately responsible is also the department head.)
2. Level II.
If the grievant is not satisfied with the decision rendered at Level I, or if a decision is not rendered in a timely manner, he/she may, within five (5) working days of receipt of this decision, appeal in writing to his/her department head (dean, as applicable) and the University personnel director. The department head and the personnel director shall, within ten (10) working days of receipt of the grievance file, investigate the conditions cited with same, give the aggrieved and/or a representative of his/her choosing the right to present the case orally and provide a response in writing.
3. Level III.
If a disposition is not issued within the prescribed period or if the grievant finds the decision as rendered at Level II to be unsatisfactory, he/she may, within five (5) working days, appeal in writing to his/her division vice-president. Such appeal will include all of the information contained in the initial grievance and subsequent reviews, all decisions related thereto, and any other pertinent information the aggrieved staff member may wish to submit. The appeal will be signed and dated by the staff member. Within twenty (20) working days of receipt of an appeal the division vice president or his/her designee will complete an investigation of the grievance, which shall include an oral hearing. Notification as to the time, date and place of the hearing shall be provided to the aggrieved staff member within five (5) working days following receipt of the appeal at Level III. Such hearing shall be scheduled not earlier than ten (10) nor more than fifteen (15) working days following receipt of the appeal at Level III. Within five (5) working days following conclusion of the hearing and completion of the investigation the division vice president or his/her designee will submit his/her findings in writing to the aggrieved. The vice-present or his/her designee may affirm, reverse, or modify the decision rendered at Level II.
4. Level IV.
If the grievant finds the decision at Level III to be unacceptable or if a decision is not rendered in a timely manner within the prescribed period, he/she may within five (5) working days appeal to the President of the University to initiate advisory arbitration proceedings.
Except where the University and the aggrieved agree to an alternative selection procedure, a joint written request for a list of arbitrators shall be made to the Federal Mediation and Conciliation Service. Such list is to contain the names of seven (7) potential arbitrators. The parties will within ten (10) working days of receipt of the list select the arbitrator to hear the case by alternately striking a single name until one name remains. The grievant will be the first to strike a name. The person whose name remains shall be the arbitrator. The arbitrator so selected shall hold a hearing promptly and issue a report to the President no later than thirty (30) days from the date of the close of the hearing. Such report shall be in writing and shall set forth findings of fact, reasoning, and conclusions on the issue(s) submitted.
The President or his/her designee will review the report of the arbitrator, vice-president's disposition, the hearing officer's report and other pertinent information submitted with the case record. After reviewing such materials, the President or his/her designee may complete a further investigation, conduct an oral hearing, or take other appropriate action. A decision will, on the basis of information compiled with such actions, be rendered within fifteen (15) working days following receipt of the arbitrator's findings and recommendation(s).
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The following general conditions will be applicable with grievance proceedings.
D. Alternate Procedures
The University shall not be required to process the same or a substantially equivalent claim or complaint through the grievance procedure when such a complaint has been filed or if it has been adjudicated in any other form other than under the procedures described.
E. Settlement Offers
No offer of settlement of a grievance by an aggrieved staff member or a University administrator will be admissible as evidence in later grievance proceedings or elsewhere. No settlement of a grievance shall constitute a binding precedent in the settlement of a similar grievance.
F. Grievance Review Standards
If a grievance concerns non-reappointment, salary, denial of promotion, denial of continuing service status, or placement rejection with continuing service, the review standard will be limited to determining whether the action taken failed to follow procedures.
The staff member holding continuing service status who is serving with a provisional appointment shall not have the right to grieve reassignment to a former or comparable position. Neither shall the University administration's decision to return a staff member holding a probationary appointment to a former Regents Merit System assignment or comparable position be subject to grievance proceedings.
G. Open or Closed Arbitration Hearings
Unless the grievant requests otherwise, grievance arbitration hearings will be open. Should the aggrieved staff member request that the hearing be closed, same shall notify the arbitrator and the university of such interest at least two (2) working days in advance of a scheduled hearing.
H. Burden of Proof
Except in cases involving the dismissal of a staff member with continuing service status, the grievant shall have the burden of proving by clear and convincing evidence that the action grieved is improper under one or more of the standards cited above. In the case involving the dismissal of a staff member with continuing service status, the University will have the burden of proving grounds exist to justify termination of the appointment of the aggrieved. The party with the burden of proof will present evidence first.
I. Time Standards
If an aggrieved employee does not appeal a decision rendered at a level of the grievance procedure within the time prescribed, the decision will become final. If a University representative does not reply to an employee' grievance or appeal within the prescribed time, the employee may proceed to the next level. With the consent of bother parties, designated time limits may be extended.
J. Representation
A professional-scientific employee may be represented by a representative of his/her choosing at each level of the grievance procedure. The name of such representative is to be noted with the initial grievance filing and at each subsequent appeal level. Presentations, reviews, investigations, and hearings held under the grievance procedure may be conducted during working hours without loss of regular earnings.
No retaliatory action shall be taken against a staff member because he/she utilized the grievance procedure, served as a representative, or acted as a witness with such proceedings.