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HUMAN
RESOURCE POLICY MANUAL
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I. Introduction
The Staff Dispute Resolution Policy applies to regular full-time and regular part-time staff who have successfully completed their initial six-month introductory period. It does not apply to individuals whose employment with the University is governed by a written contract, whether or not such individual has a current, signed contract in effect.
The dispute resolution process is an internal mechanism designed to ensure prompt and impartial consideration of concerns by UA staff employees who allege a misapplication of a policy, procedure, or practice of the University.
No employee shall be retaliated against for raising concerns of this nature brought forward with a good faith belief that a problem exists. This procedure is intended to supplement, rather than discourage or replace informal discussion between a supervisor and an employee. Employees and supervisors should make every reasonable effort to resolve concerns prior to accessing the formal dispute resolution process.
A staff employee should first address work-related concerns or complaints with their immediate supervisor by submitting in writing their specific complaint/concern on the Record of Grievance Form. After discussing the concern with their supervisor, if the employee believes the dispute has not been resolved, they should pursue their concern through the appropriate administrative chain of command (requires reaching an administrator who reports to a Vice President by the third level in the administrative chain.) If they still believe the dispute has not been resolved, they may ask Human Resources for information on voluntary mediation of their dispute or they may contact the Chair of the Staff Dispute Resolution Council and ask that a hearing panel be established to consider any remaining issue(s).
It is strongly recommended that the employee first seek mediation. Both the employee and the supervisor must agree to voluntary mediation. If an employee is not pleased with the results of the mediation, they may then move forward with a request for a hearing panel.
The Staff Dispute Resolution Council shall decide whether or not a hearing panel is to be formed and that decision shall be final. As an alternative to mediation, the employee may go directly to the Staff Dispute Resolution Council to request a hearing panel.
It is also the responsibility of the Staff Dispute Resolution Council to determine if an employee's complaint meets the requirements for a hearing panel. An employee may withdraw their request for a hearing panel at any time. Once withdrawn, however, the request may not be reinstituted. Group appeals are not permitted.
These procedures are not designed for appeals questioning employment decisions, work assignments, promotions, pay raises, employee performance evaluations or other non-arbitrary decisions made in the exercise of legitimate management rights, including elimination of an employee's position.
These procedures are not to be used for discussing concerns and/or receiving complaints regarding illegal harassment or discrimination. Concerns of this type should be directed to the University's Office of Equal Opportunity Programs.
The deadlines outlined herein are intended to ensure that the process is carried out in an efficient and timely manner. Both the employee and the institution have an interest in a decision that is made as early as is practicable. While it is expected that these deadlines will be observed, the fact that a specified action is late shall not support a claim that the process is inadequate or defective unless the employee can show that the delay was unreasonable and that it has caused serious prejudice or disadvantage.
II. Structure of the Staff Dispute Resolution Council
The Staff Dispute Resolution Council shall consist of 12 persons. The composition of the membership shall be three members from the Administrative/Professional staff; three members from the Office, Clerical and Technical staff; three members from the Maintenance staff; and three at-large staff members from the University community. These 12 members shall serve staggered three-year terms and be selected by eligible members of the Staff Development Committee. (Eligible members of the Staff Development Committee do not include ex officio-members or student members.) Names of potential members for the council shall be requested by the Department of Human Resources through the Chair of the Staff Development Committee each October. Each year replacements will include four members (one from each of the groups previously mentioned) whose terms have ended. Newly appointed members begin their terms on November 1. After new members have been selected, the council shall meet in November to elect one of its members as chair. The chair shall have at least one year of prior service on the council. A list of the names of the current Staff Dispute Resolution Council can be obtained from the Human Resources website at www.hr.ua.edu or from the Department of Human Resources at 348-7732. It shall be the responsibility of the Chair of the Staff Dispute Resolution Council to disseminate the names of the members to appropriate University offices.
If a hearing panel is requested and/or granted during the transition of membership of the Staff Dispute Resolution Council, the previous years' council members will serve as needed to prevent any delay in meeting the required deadlines for the staff dispute process.
Elected members of the Staff Dispute Resolution Council who have completed a term on the council shall not be eligible for re-election until two years have passed. Any vacancy on the council may be filled on a temporary basis by a majority vote of the elected members remaining on the council. The Staff Development Committee will select a member to fill the remainder of the unexpired term.
The proceedings of the Staff Dispute Resolution Council are confidential and all members of the council will be required to sign confidentiality agreements.
III. General Guidelines for Employee Dispute Resolution
A member of the University staff who believes that he or she has a dispute with the University should begin by completing the Record of Grievance Form (copies are available on the Human Resources website) and scheduling a meeting with their immediate supervisor to thoroughly discuss the dispute. This discussion must be initiated by the employee within 10 work days (a work day is any day on which the University is open, excluding weekends and holidays; a work week is five work days) after the employee becomes aware of the action or other matter which is the subject of the dispute.
The employee should clearly state on the Record of Grievance Form what the issues are, what policies, procedures or practices were misapplied and what solution is desired. The employee should attach supporting documentation to the form and submit it to their supervisor prior to the meeting. The supporting documentation will be attached to the form at each step of the dispute resolution process and, if applicable, submitted to the Staff Dispute Resolution Council as part of the request for a hearing panel. No additional information may be submitted once the process begins unless agreed to by both the employee and the supervisor.
The supervisor should respond in writing to the employee within five (5) work days after the meeting. The written decision should include the name of the individual at the next level to whom an appeal may be made. If the supervisor does not provide a timely response, or if the employee believes the dispute has not been resolved, the employee may appeal through the second level of the administrative chain or their designee as indicated in the supervisor's written response within 10 work days of receipt of the response.
A copy of the original Record of Grievance Form, the date when the employee met with his immediate supervisor and the supervisor's response must be submitted by the employee to the next level in his administrative chain of command. The next level administrator should contact the employee and set up a meeting with the employee to thoroughly discuss the dispute and to review any documentation submitted. Failure of the employee to pursue the matter to the second administrative level within 10 work days from receipt of the immediate supervisor's written response shall be interpreted as an end to the dispute. The second level administrator should give a written response within five (5) work days of their meeting with the employee and the response should include the name of the individual at the next level to whom an appeal may be made, if applicable.
The same process should be followed for the third step in the administrative chain if a third step is necessary. The response from this level should include the next option of seeking mediation or requesting a hearing panel.
The sequence in an employee's chain of command will vary in different divisions of the University, but employee disputes should reach an administrator who reports to a vice president after no more than two steps. Thus, disputes may, if necessary, bypass assistant directors, assistant chairs, etc.
There may be unusual cases where both the employee and the administrator who reports to a Vice President agree to request the Vice President to consider the employee's concern as part of the employee's chain of command. If the Vice President agrees to hear the concern and renders a decision, then the report of any subsequent hearing panel shall go to the President, rather than to the Vice President, and the President shall make the final decision.
The administrative complaint process normally ceases after an administrator who reports directly to a Vice President makes a decision. An employee who still feels the dispute has not been resolved, is strongly advised to ask for mediation of the dispute. If mediation does not result in a satisfactory resolution, the employee may request that the matter be reviewed by the Staff Dispute Resolution Council in order to determine if the matter meets the criteria for a hearing panel. If it is the decision of the Staff Dispute Resolution Council that the dispute is not appropriate for further consideration, then the dispute resolution process is considered ended and no further actions may be taken by the employee.
IV. Dispute Resolution Options
A. Mediation Resolution
As an alternative to requesting a hearing panel, the employee may seek mediation. Both the employee and the supervisor must agree to voluntary mediation and be willing to enter into a voluntary mediation agreement. The employee should contact the Department of Human Resources to initiate mediation. The Department of Human Resources will contact the University's Employee Assistance Program to arrange for a facilitator for the mediation process.
Normally, mediation sessions will involve only the employee, the supervisor and the facilitator. While the employee may obtain advice from anyone of his or her choosing before or after mediation sessions, the mediation sessions will be closed. Only the facilitator may include additional parties if he or she feels it is appropriate. All information that is provided by parties during mediation is and shall remain confidential. The facilitator may not be called as a witness in unresolved grievances that proceed to a hearing panel. The parties will have 30 calendar days to work with the facilitator to resolve the dispute. Exceptions to the 30 calendar days limitation will be granted by the Department of Human Resources on a case-by-case basis depending on the recommendation of the facilitator. Only in exceptional cases will mediation be allowed to extend beyond 45 calendar days.
If mediation is conducted and the parties reach an agreement, the facilitator will prepare a formal written document outlining the terms of the agreement and securing the appropriate signatures. If a signed agreement is reached through mediation the dispute is considered ended.
If the facilitator finds that the parties are unable to voluntarily resolve their dispute, the employee may then request that the matter be reviewed by the Staff Dispute Resolution Council in order to be determined if the matter meets the criteria for a hearing panel. If it is the decision of the Staff Dispute Resolution Council that the dispute is not appropriate for further consideration, then the dispute resolution process is considered ended and no further actions may be taken by the employee.
B. Hearing Panel Resolution
If an employee chooses to have his complaint reviewed by the Staff Dispute Resolution Council, he should submit the Record of Grievance Form with attachments, including responses received from the chain of command during the administrative appeal process, to the Staff Dispute Resolution Council and request that a hearing panel be formed. The employee has 10 work days after receiving the facilitator's decision or after receiving the last decision in his administrative chain of command appeal process in which to request a hearing panel. Before requesting a hearing panel, the employee is expected to have made a good faith effort to resolve the grievance through full discussion with his or her supervisor and through each step in the administrative appeal process up to an administrator who reports to a Vice President.
The Staff Dispute Resolution Council will determine whether or not the submitted grievance meets the criteria (contained within this policy) for the formation of a hearing panel. The Staff Dispute Resolution Council will, when a quorum is present and by majority vote, determine if a hearing panel will be formed or if the employee request will be denied. This decision will be based on whether or not a policy, procedure, or practice was violated. The decision will be communicated to the grievant and respondent(s) in writing. This decision will be final. If it is decided that a formal hearing is to be held, then a liaison from the Department of Human Resources will coordinate the formation of a hearing panel. All efforts will be made to conduct the hearing within 30 calendar days of the date the Staff Dispute Resolution Council communicates to the employee that a hearing panel has been granted.
If it is determined that the grievance does not meet the criteria for a hearing panel, the Chair of the Staff Dispute Resolution Council will send a letter to the grievant, with copies to the respondent(s) and to Human Resources, stating that the request for a hearing panel was denied and why, and that the process is ended.
The hearing panel shall consist of two (2) members of the Staff Dispute Resolution Council; one chosen by the grievant and one by the respondent and a third staff member chosen from the University community at large by mutual agreement between these two members of the Staff Dispute Resolution Council.
The Department of Human Resources will coordinate with the Staff Dispute Resolution Council to determine who is available to serve on the hearing panel. Recusals should be based on strong reasons such as recent service on other hearings, prior commitments that make service difficult to arrange, or knowledge of the parties or issues which makes it difficult to be impartial. An employee must meet the following criteria to be eligible to be selected for or serve on a hearing panel: (1) must not have had any disciplinary actions taken against them for the 12 months immediately prior to being selected or while serving on the panel; (2) must not have filed a grievance against UA during the 12 months immediately prior to being selected or while serving on the panel; (3) must not have an active EEOC charge pending against UA; and (4) must not have any pending litigation against UA. The University reserves the right to remove any name from the list of eligible Staff Dispute Resolution Council members if that person may be impacted by the decision requested by the employee.
A list of those who have not recused themselves or otherwise been removed will be supplied to the parties. Each party shall then have two (2) work days to select one (1) person from this list to be a member of the hearing panel. In the event that both parties select the same person, the grievant shall have an additional two (2) work days to select the second member. The two members of the panel then choose by mutual agreement a third staff member from the University community at large. If the two members selected are unable to agree on a third member, they shall meet with a liaison from the Department of Human Resources who will assist them in selecting a third member. The third member of the hearing panel shall chair the panel.
Each member of the hearing panel should avoid discussions of the case prior to the hearing. Panel members are obligated, when considering the evidence, to restrict their attention to evidence presented at the hearing. All proceedings of the hearing panel are confidential and hearing panel members will be required to sign confidentiality agreements.
A representative from the Department of Human Resources will normally serve as a liaison for the hearing panel. The representative from Human Resources may not be a party in the grievance or be called as a witness. A person appointed by the Staff Dispute Resolution Council will serve as the liaison if the representative from the Department of Human Resources is a party in the grievance or is to be called as a witness. The liaison will arrange the time and place for the hearing and for any facilities needed by the hearing panel, arrange for witnesses to be available, etc. If witnesses or members of the hearing panel are non-exempt employees, the liaison will arrange for them to be excused from work, or to receive appropriate compensatory time or remuneration so that their participation in these important services will not require personal sacrifices. The liaison should be present during the hearing but should play no role other than providing necessary support services.
The parties in the hearing shall have the right to have persons of their choice attend the hearing with them. However, the respondent shall not have an attorney or professional advocate present unless the grievant has an attorney or professional advocate present.
Hearings will be closed unless both parties consent to an open hearing. No witnesses (except the parties themselves) will be allowed to hear the testimony of any other witnesses. No student witnesses or non-employee witnesses will be allowed to participate in the hearing. The hearing panel, with the consent of the parties, may hold joint prehearing meetings in order to (1) simplify the issues, (2) effect stipulations of facts, (3) provide for the exchange of documentary or other information, or (4) achieve other pre-hearing objectives designed to make the hearing fair and expeditious. Pre-hearings will also be arranged by and attended by the liaison from the Department of Human Resources.
The grievant will supply the respondent and the hearing panel with a written statement at least two (2) weeks before the hearing stating whether or not the grievant will have someone attending with them and if that individual is an attorney or a professional advocate. A record (tape recorded or otherwise) of the hearing will be made by the representative from Human Resources and each party may be given a copy of the recording upon request. Each party may also make an independent record of the hearing.
The hearing will be informal, rather than formal as those used in courts of law. The hearing panel may admit any evidence that it considers to be of value. The hearing panel may ask the parties to produce evidence on specific issues, may question witnesses, and may call and question its own witnesses.
Each party will have the right to question all witnesses appearing at the hearing. Each party will have the right to rebut any evidence heard by the hearing panel. Witnesses will not be required to testify under oath, but the chair of the hearing panel shall inform each witness who is an employee of the University that any deliberate falsehood can result in disciplinary action. The hearing panel may grant adjournments of reasonable length to enable either party to investigate evidence if the hearing panel believes a valid claim of surprise is made concerning that evidence.
Both of the parties, and the University administration, will cooperate with the hearing panel in obtaining witnesses and making available documentary and other evidence needed by the parties or the hearing panel.
The hearing panel's findings of fact and recommendation should be based only on the material presented to the hearing panel. The hearing panel will make findings of fact on each of the issues which it determines to be material to its recommendation(s), deciding whether the allegations have been established by a preponderance of the evidence.
The hearing panel will report its findings and recommendations in writing to the appropriate Vice President or, if the Vice President chose to be involved in the administrative appeals of the case, to the President. This document will include the justification for their recommendation and list any applicable policies, procedures, or practices which have been violated. The grievant, the respondent and the appropriate administrators will also be notified of the hearing panel's findings and recommendations in writing and will be given a copy of the hearing panel's report within 10 work days of the completion of the panel hearing.
The Vice President will review the findings and recommendations from the hearing panel. This may include any documentation submitted by the panel, any disciplinary action documentation, the administrative appeal process documentation, etc. The Vice President should issue a final and binding written decision within 10 work days of receiving the panel's recommendation.
In all cases, the Vice President or the President, if applicable, may affirm, modify or reverse the recommendation of the hearing panel. The Vice President or President may return the recommendations(s) to the hearing panel with specific questions. The hearing panel will then reconsider, taking into account the stated questions and receiving new evidence, if the hearing panel deems necessary. In such cases, there will not be a final decision made until the hearing panel's reconsideration has been received by the Vice President or the President.
V. Final Decision by the Vice President or President
The Vice President or, if the Vice President chose to be involved in the administrative chain of command process of the case, the President shall make the final decision. The Vice President or President will communicate their decision in writing to the hearing panel members and send a copy to the grievant and respondent(s) and to Human Resources.
Regardless of the outcome of this process, an employee shall not be retaliated against for raising concerns of this nature brought forward with a good faith belief that a legitimate problem exists.
Note: The University has the right to modify stated deadlines and the
general procedures as well as in a particular case when, in its sole discretion,
it deems such modifications appropriate.
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