PPSM 70

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General

Complaint Review Procedure

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Complaint Resolution
Section 70, Complaint Resolution
Approved: 12/18/06
Supersedes: 12/21/99

Responsible Department: Human Resources
Source Document: UC PPSM 70

Exhibit A, Employee Complaint Form

GENERAL

1. Informal Resolution. It is in the interest of everyone--staff members and the University-- to resolve differences as quickly and as informally as possible. Employees shall attempt to resolve problems through informal discussion with their supervisors. Resources available include the Employee Relations Unit, the Sexual Harassment Program, the Staff Affirmative Action/Equal Employment Opportunity and Diversity Office, and Mediation Services.

Mediation Services is a voluntary program through which a mediator can help employees resolve a complaint in the workplace. If all parties to a complaint agree to mediation at any step in Policy 70, Mediation Services will obtain a written extension of the time limits in this policy until the end of the mediation process or for 30 calendar days, whichever comes first. If the complaint is resolved during mediation, both parties will sign an agreement that the complaint under this policy is resolved. Contact Mediation Services at (530) 752-9257 (campus) or (916) 734-5335 (UCDHS). Information on the mediation process is available at http://www.hr.ucdavis.edu/Mediation.

2. Administration of Policy. Employee & Labor Relations is the office designated to administer this policy, including responsibility for the time limits for filing and appealing complaints, and for official receipt of written complaints and appeals. Employee & Labor Relations is the office of record of the maintenance of documentation related to all complaints and appeals.

3. Consolidation of Complaints. Multiple complaints regarding the same or related action or issue, arising out of actions taken or events occurring in the same department, may be consolidated into one complaint for review under this policy at the discretion of E&LR.

4. Right to Representation. An employee is entitled to be represented by the person of her/his choice at every stage of the Complaint Resolution process.

5. Pay Status. Employees shall be afforded reasonable time on pay status to attend meetings called by the University, and for attendance at hearings under the Complaint Resolution policy. Employees are required to obtain prior approval for their absences during normal work hours for attendance at meetings related to complaint resolution.

6. Time Limits. Initial complaints and appeals to Step II or Step III must be filed within the time limits as stated in the Complaint Review Procedure below. An appeal that is not received within the time limits will be considered resolved on the basis of the last University response. Time limits that fall on a Saturday, Sunday, or University holiday are extended to the next business day.

COMPLAINT REVIEW PROCEDURE

Step l-Initial Review

1. To file a request for formal review, the complaint must be submitted on the Employee Complaint Form, Exhibit A. The complaint must be filed with the Office of Employee & Labor Relations within 30 calendar days after the date on which the employee knew, or reasonably should have known, of the event or action giving rise to the complaint, or within 30 calendar days after the date of separation from University employment, whichever is earlier.

2. The Office of Employee & Labor Relations determines whether the complaint is eligible for Step I review and sends an acknowledgment letter to the complainant or her/his representative specifying what issues, if any, have been accepted for review. If eligible for review, the complaint is sent to the department head for response. The department head may elect to review the complaint or may designate a Step I reviewer.

3. The Step I reviewer prepares a written response to the complaint which should include any relevant facts and reasons for granting, in whole or in part, or denying, in whole or in part, the requested remedy. The University's written response will be issued to the complainant along with instructions for further appeal within 15 calendar days of the complaint being filed. A copy of the response shall be provided to the complainant's representative, if any.

Step II-Review by Complaint Resolution Officer

1. If the decision at Step I does not resolve the grievance, the complainant may appeal the decision to Step II. The written appeal must be received in the Office of Employee & Labor Relations within 15 calendar days from the date the Step I written response was issued. Employee & Labor Relations will determine whether the complaint is eligible for Step II review.

2. If eligible for Step II review, a Complaint Resolution Officer (CRO) is selected by the Employee & Labor Relations Assistant Director/Manager or designee to review the complaint. The Complaint Resolution Officer must convene a Step II meeting within 20 calendar days of the appeal to Step II. The meeting, at which the CRO presides, is held with the complainant and other individuals the CRO determines would be helpful to obtain sufficient facts to render a fair decision. The purpose of the Step II meeting is to provide the complainant and his/her representative with a fair opportunity to present evidence in support of the employee's complaint.

3. Fact finding: For Professional and Support Staff complaints that are eligible for fact finding (see Policy 70.F), the Complaint Resolution Officer or the complainant may request a fact finder. The University will be responsible for selecting a fact finder. The fact finder investigates and writes a report of the facts relevant to the complaint. The fact finder's report is sent to the complainant, her/his representative, and the Complaint Resolution Officer. The Complaint Resolution Officer renders a decision based on the facts in the fact finder's report. If the employee elects to request a fact finding review at Step II, the Step II decision is final and binding.

4. Within 15 calendar days after the conclusion of the Step II meeting, or within 15 calendar days after the receipt of the fact finder's report, whichever is later, the Complaint Resolution Officer shall issue a written response to the complaint.

Step III-Hearing

1. An employee's written request for a hearing must be filed in the Employee & Labor Relations office within 15 days of the date that the Step II written decision was issued. Employee & Labor Relations determines whether the complaint is eligible for a hearing.

2. Eligibility criteria for a hearing for Professional and Support Staff (PSS) are set forth in Complaint Resolution Policy 70. (See Policy 70.F ) Managers and Senior Professional complaints are not eligible for Step III, but may request a fact-finding. (See Policy 70.F for a list of types of complaints eligible for fact-finding.)

3. Hearing: The complainant may elect to have her/his case heard by a UC Davis hearing officer, or a non-University hearing officer.

If she/he elects a University Hearing Officer (UHO), the Director of Employee & Labor Relations, or a designee, assigns the UHO to the case.

If she/he elects a non-University hearing officer, a representative from the E&LR office contacts the complainant within 45 calendar days from the date the appeal was received, to mutually select the hearing officer. A list of available non-University hearing officers is obtained and the employee and a designee from E&LR alternately strike names, with the employee striking first, until one remains who will be the Hearing Officer.

University hearing officers and fact finders serve without cost to the complainant. Costs of non-University hearing officers are split equally between the complainant and the University. Costs related to cancellation or postponements are borne entirely by the requesting party.

Subject to the availability of the Hearing Officer, the E&LR designee shall attempt to schedule the hearing within 180 calendar days of the complainant's request for hearing. The hearing officer renders a decision and provides a written report to all parties within 30 calendar days from the close of the hearing.

4. Fact finding- Managers and Senior Professionals (MSP): If a complainant requests fact finding, the University selects a fact finder. The fact finder investigates and writes a report of the facts relevant to the complaint. It is recommended that the fact finder ask the parties to review a draft of the report. The fact finder's report is sent to the complainant, the complainant's representative (if represented), and complainant's department head. The University renders a decision based on the facts in the fact finder's report.