Policy No.ULC.2003.018

GRIEVANCE AND APPEAL POLICY FOR
NON-FACULTY EMPLOYEES

1. PURPOSE

1.1 The University of Houston-Clear Lake (UHCL) has a formal commitment to the establishment and maintenance of a constructive problem solving mechanism for the resolution of employee grievances. The purpose of this policy is to provide a means whereby any employee who feels that he or she has been subjected to unfair, discriminatory, or abusive treatment may be assured of a prompt, orderly, and fair response to his or her grievance or appeal.

1.2 This policy applies to all complaints by any regular, non-faculty employees of UHCL. Faculty acting in a supervisory or administrative capacity are subject to this policy when acting in their supervisory or administrative roles and a grievance is brought against them by a non-faculty employee. This policy excludes faculty not acting in a supervisory or administrative capacity, part-time employees, or student workers whereby student status is a condition of employment. All employees, regardless of status, have access to the Office of Human Resources for assistance in addressing employment related issues.

2. DEFINITIONS

2.1 Regular employees -one employed to work at least 20 hours per week for a period of a least four and one-half months, excluding students employed in positions which require student status as a condition of employment.

2.2 Informal complaints -a grievance or complaint that is brought to the attention of the supervisor and or department head in an effort to resolve without a hearing.

2.3 Formal complaint -a grievance or complaint that is presented in writing to the executive director of Human Resources and Affirmative Action after efforts to resolve the problem informally have been unsuccessful.

2.4 Grievant -the person initiating the grievance or complaint.

2.5 Respondent -the individual who has decision-making authority related to the personnel action that is affecting the grievant.

2.6 Faculty acting in supervisory or administrative capacity -Faculty who supervise non-faculty employees, and have the authority to hire, fire, and determine merit pay (e.g., deans, associate deans, or directors of academic centers).

2.7 Faculty -includes tenure track and tenured faculty and those appointed to non- tenure track academic positions. The positions are defined in the Faculty Handbook.

3. POLICY

3.1 UHCL requires that all employees be treated fairly and consistently in all matters related to their employment. Most problems or complaints can be resolved through discussions between the employee and the immediate supervisor. If this does not produce a satisfactory result, the employee may present a grievance under the provisions of this policy.

3.2 The executive director of Human Resources and Affirmative Action ("executive director") will be responsible for the administration and interpretation of this policy. The executive director is authorized to appoint representatives to perform any or all of the duties described in this policy. All references in this policy to the executive director include any such representatives.

3.3 The executive director is responsible for reviewing all informal and formal complaints to assess whether or not there is compelling evidence to warrant convening a grievance panel. If allegations of illegal discrimination are made, the executive director will conduct a complete and thorough investigation of such allegations in accordance with the UHCL NON-DISCRIMINATION POLICY or the UHCL SEXUAL HARASSMENT POLICY.

3.4 The UHCL will provide both informal and formal avenues of resolution for employee job-related problems, or for any perceived violation of University of Houston System ("UHS") policies or procedures, or state or federal employment laws.

3.5 The grievance policy has been established in the interest of due process. It is a means to ensure that employees have a method of redress in those instances where they feel they have been treated unfairly. Grievances may include, but are not necessarily limited to, policy violation, involuntary transfer, and demotion. Assignment of duties, determination of work hours/schedule, and other management responsibilities are reserved as management rights and are not subject to grievance. Appeals regarding reduction in force decisions will be processed in accordance with the UHCL REDUCTION IN FORCE POLICY. The employee must provide evidence to the executive director that a violation of policy, unfair employment practices or illegal behavior has occurred before the grievance process will be employed.

3.6 This policy is intended to provide prompt consideration of sensitive problems while preserving an atmosphere of productivity and accord throughout the work groups of the university. Therefore, time constraints described by the policy should be strictly observed.

3.7 A complete file copy of the documentation of each grievance considered under this policy shall be maintained under separate cover by the executive director and will not be placed in the personnel file of the parties involved.

3.8 The following acts on the part of the employee may constitute abandonment of a grievance:

3.8.1 Failing to respond or take an action required by this policy within a time limit specified in this policy;

3.8.2 Failing to appear for a scheduled meeting without adequate cause; or

3.8.3 Otherwise failing to advance the grievance in a timely manner as determined by the executive director. The executive director may unilaterally declare a complaint to be abandoned and close the file, or may undertake a review of the status of the complaint upon request of the department head or complainant. No further action or appeal will be allowed following such determination of abandonment and closure of the file.

3.9 A grievant or respondent may submit to the executive director a written request for a delay or extension of time because of inability to appear for a scheduled meeting, or inability to comply with an established deadline. The executive director will approve such delay only when the request is reasonably justified.

3.10 Intimidation, harassment, coercion or reprisal against any employee for good faith presentation of a grievance is strictly prohibited.

4. INFORMAL COMPLAINTS

4.1 A grievant should first discuss a complaint with his or her immediate supervisor or, if the grievant does not feel comfortable discussing the complaint with his or her supervisor, the grievant may request a meeting with the executive director. The executive director may take a statement from the grievant and provide the statement to the supervisor. In addition, the executive director may provide information and assistance to the grievant concerning policies and procedures including an explanation of available options, and may assist the grievant with any other step in the complaint and appeal process.

4.2 If the complaint is not resolved through informal discussions with the supervisor, the grievant may request a meeting with his or her department head. The purpose of the meeting will be to seek a mutually satisfactory resolution through discussion. The grievant may request the meeting personally or may request that the executive director make  the arrangements.

4.2.1 The executive director may attend the meeting to serve as a facilitator and/or to provide assistance in interpreting policies and procedures. The executive director may not serve as advisor to either party at the meeting.

4.2.2 The supervisor may attend the meeting if agreeable by both parties.

4.2.3 The department head may advise the grievant of the decision at the time of the meeting. A written decision must be provided to the grievant and copies sent to the executive director and the supervisor soon after the meeting (usually within 5 working days).

5. FORMAL COMPLAINTS

5.1 Following completion of the informal complaint process, the grievant may elect to pursue a formal complaint. The formal process begins when the grievant completes a complaint form (FORM A) and delivers the form to the executive director notifying the respondent of the complaint. Delivery may be by telefax, personal delivery, campus mail or U.S. Mail (certified, return receipt requested). This form must be received within 5 working days following the receipt of the written decision as stated in 4.2.3, or the most recent occurrence of the objectionable behavior or treatment.

5.2 The executive director is available to answer questions regarding the complaint form and policies and procedures and to provide assistance as needed.

5.3 If the formal complaint alleges illegal discrimination, the executive director will complete a thorough investigation in accordance with the UHCL NON-DISCRIMiNATION POLICY or the UHCL SEXUAL HARASSMENT POLICY. If the formal complaint is for issues other than illegal discrimination, the executive director will continue with the grievance process.

5.4 The executive director will retain the original complaint form and within a reasonable time following receipt of the formal complaint, (usually within 5 working days), contact a panel to hear and consider the employee's grievance.

5.5 The panel will consist of five full-time employees selected from the panel of employees who are appointed by the president at the beginning of each fiscal year and who have not been factually involved in any of the events related to the grievance. Three of the panel members will be drawn from the status (either faculty or non-faculty) of the respondent; two of the panel members will be drawn from the status (either faculty or non-faculty) of the grievant.

5.6 The executive director will arrange a time and place for the hearing and will notify both the grievant and the respondent of these arrangements. The hearing will be conducted in accordance with the procedures outlined in this policy.

William A. Staples

Title: President
University of Houston-Clear Lake

Approval Date: April 10, 2003

Sunset Date: April 10, 2013