Staff Complaints and Grievances

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TOPIC: Staff Complaints and Grievances
EFFECTIVE DATE: 1 September 2003
UPDATED:
 30 May 2008
Approved By: B. Reissenweber, VP for Finance
Policy Number: 400

POLICY

The university has created a purposeful process to address staff concerns in an effort to support staff members in their roles within the university. Since there can be a wide variety of situations that may need attention there should also be a number of avenues available to utilize in resolving these matters.

Aurora University seeks to promote efficient and prompt investigation and resolution of grievances in those instances where informal procedures have proven ineffective. This shall be the sole university procedure for the submission of staff grievances for formal resolution. A complaint procedure is available for issues that do not fall under the Grievance Procedure.

FORMS/RELATED POLICIES

Forms and Policies:
Human Resource Policies
HR-101, Anti-Harassment and Anti-Sexual Harassment
Grievance Form

DEFINITIONS AND GENERAL GUIDELINES

  1. The term "grievance" shall mean an allegation that the grievant has been or is being adversely affected by an improper or arbitrary and capricious application of one or more specific university rules, regulations, policies related to the terms and conditions of the grievant's employment with the university.

    For purposes of this Policy, the term "grievance" shall not include allegations of harassment, sexual harassment or discrimination on the basis of protected status, which will be investigated utilizing the guidelines in policy HR-101, Anti-Harassment and Anti-Sexual Harassment. Any questions about whether a complaint is properly addressed through this Policy or HR-101 should be brought to Human Resources for consultation.

  2.  

  3. Complaints or questions relating to issues which are not grievable and which do not fall under HR-101, such as those arising from performance appraisals, scheduling, the establishment or revision of university rules, regulations or policies or their substantive content, may be handled through informal communication lines or the Complaint Procedure.

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  5. Questions regarding whether a specific issue falls under the grievance or complaint section of this policy should be addressed to Human Resources.

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  7. In addition to normal day-to-day supervisory contacts and channels, the grievant may, at any step of the grievance process, discuss problems with a representative of the Staff Executive Council (see http://www.aurora.edu/au/gov/staff/ for list) or Human Resources for information regarding the interpretation of rules, regulations or policies. The Staff Executive Committee member list may be found in Human Resources or on the Staff Executive Committee Web Page.

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  9. In recognition of the fact that the university is committed to this process, the grievant is required to exhaust all steps of the grievance procedure prior to commencing any legal action or other proceeding.

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  11. The Grievance Procedure in an internal process. Third party representation is not permitted. If a situation exists requiring a translator, Human Resources will obtain an appropriate individual from either within the University or through an outside agency.

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  13. Time Limitations:
    1. If the grievant fails to act within the time limits stated in each Step, the grievance shall be deemed to be settled or withdrawn.
    2. In the case where the supervisor or Vice President/Provost fails to act within the time limits provided by the policy, the grievant may proceed to the next level within the process.
    3. . If unusual circumstances prevent timely action (on the part of either employee or supervisor/VP/Provost), the reason for the delay will be reviewed and time limits may be extended by Human Resources on an exception basis.

    4.  

  14. Confidentiality is maintained in the grievance and complaints processes as much as possible but cannot be guaranteed in certain situations. The university and all parties to a grievance or complaint should limit discussion of a grievance or complaint only to those with a strict “need to know.”

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  16. This policy covers regular staff, that is, full and part time employees who are not covered by the Faculty Handbook and who are not part of the Student Work Corps.

FORMAL COMPLAINT PROCEDURE

Employees may utilize this procedure without being subject to retaliation or harassment by any supervisor, department head, or other persons with administrative control and responsibility, related to the complaining employee's employment with the university.

STEP I – Complaint Procedure 
The complaint must be made in writing by the employee to his/her immediate supervisor within eight working days of the time when said employee first had knowledge or would reasonably have been expected to have knowledge of the event(s) constituting or giving rise to the complaint.

  1. The employee must indicate that this is a formal complaint under the complaint procedure.
  2. The employee and supervisor shall discuss the events involved with a mutual effort being made to clarify and if possible to resolve the complaint.
  3. The supervisor shall give an answer to the employee within five working days from the receipt of the complaint, in written form. A copy should be sent to Human Resources.
  4. If the complaint is being made against the supervisor, the employee may, but need not, proceed directly to Step II – Complaint Procedure.

STEP II – Complaint Procedure 
If the employee is not satisfied with the immediate supervisor's answer as submitted in Step I – Complaint Procedure, the employee may present the complaint, in written form, to the VP of the employee's area within five working days after the receipt of the answer from the supervisor.

  1. The VP or designee will, within ten working days after the receipt of the complaint, meet separately with the employee, the supervisor, human resources staff member and any other individuals who may be involved in the events giving rise to the complaint.
  2. The VP shall discuss the facts and issues involved in the complaint and shall prepare and submit a response to the employee, in writing, within five working days after completion of the review of documents, meetings or discussions. The VP’s response shall be final and binding.

A copy of the final and binding decision will be placed in the employee’s Personnel folder, and in the Supervisor's Personnel Folder in Human Resources.

GRIEVANCE PROCEDURE

Employees may utilize this procedure without being subject to retaliation or harassment by any supervisor, department head, or other persons with administrative control and responsibility, related to the grieving employee's employment with the university.

STEP I. The grievance must be made in writing by the employee to his/her immediate supervisor within eight working days of the time when said employee first had knowledge or would reasonably have been expected to have knowledge of the event(s) constituting or giving rise to the grievance. The written grievance must include what issue is being grieved and the requested resolution. A copy of the grievance should be sent to Human Resources.
The employee and supervisor shall discuss the events involved with a mutual effort being made to clarify and if possible to resolve the grievance.

  1. The supervisor shall give an answer to the employee within three working days from the receipt of the grievance. Grievances shall be answered in written form. A copy should be sent to Human Resources.
  2. If the grievance is being made against the supervisor, the grievant may, but need not, proceed directly to Step II.

STEP II. If the employee is not satisfied with the immediate supervisor's answer as submitted in Step I, the employee may present the grievance, in written form, to the VP of the employee's area within five working days after the receipt of the answer from step I.

  1. The VP or designee shall, within eight working days after the receipt of the grievance, meet separately with the grievant, the supervisor, and any other individuals who may be involved in the events giving rise to the grievance. The employee may have a member of the Staff Executive Committee present if he/she wishes.
  2. The VP shall discuss the facts and issues involved in the grievance and shall prepare and submit the decision or answer to the grieving employee, in writing, within five working days after completion of the meeting or discussion.
  3. If the grievance is being made against the Vice President, the grievant may, but need not, proceed directly to Step III. In cases of termination of employment, the process will immediately begin at Step III.

STEP III. If the employee does not accept the decision offered in Step II, the employee may present the written grievance documentation and a request a review of the documentation by the President. Documentation must be submitted within five working days after the receipt of the answer from Step II.

In the case of a termination of employment, when the grievant may proceed immediately to Step III, documentation would include the disciplinary paperwork for the termination and a letter explaining why the termination is being grieved. The termination will remain in effect unless reversed by the President.

  1. The President, at her discretion, may choose to meet with the grievant or other parties involved in the grievance, or to request additional information regarding the situation leading to the grievance.
  2. The President will render a final and binding decision within twenty (20) work days. A letter regarding the decision shall be mailed to the grievant, copied to the supervisor and Human Resources.
  3. A copy of the final and binding decision will be placed in the Grievant's Personnel folder, and in the Supervisor's Personnel Folder in Human Resources.

A separate confidential file will be maintained, with all background documentation for each formal complaint and grievance filed, in Human Resources. The university President and Human Resources will have access to these files. Others may have access on a “need to know” basis only.

Questions regarding this policy should be directed to Human Resources.