70 Complaint Resolution
A. REFERENCES
PPSM 70 - Complaint Resolution
PPSM 63 - Investigatory Leave
B. POLICY
1. Informal Resolution. If an employee covered by this policy files a written complaint with Labor Relations, a mediation representative may contact the employee with information regarding the availability of voluntary mediation services. Mediation may be requested by the employee or the supervisor at any stage of an informal or written complaint. However, mediation does not automatically waive time limits to file or appeal formal complaints under this policy. Such time limits may be waived only by prior written agreement between the employee, supervisor and Labor Relations.
2. Administration of Policy. Labor Relations shall be 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. Labor Relations is the office of record for 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 by Labor Relations, in consultation with the parties to the dispute, into one complaint for review under this policy.
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 procedure.
5. Pay Status. Employees shall be afforded reasonable time on paid status to attend meetings called by the University to investigate and review complaints, 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
a. An employee may file a written complaint in the Labor Relations office requesting review of any action which the employee believes adversely affects any term or condition of her/his employment at UCSB. The complaint must be received within 30 calendar days following the action or decision upon which the complaint is based. The 30 calendar day period to file complaints may be extended only with prior written agreement between the employee/complainant and the Labor Relations Office.
b. An employee may be provided up to an additional 15 calendar days to provide supplemental information required to process a timely filed complaint or appeal, with prior approval of Labor Relations.
c. Any time limit for filing or appealing a complaint may be suspended by written agreement of the employee, supervisor or manager, and Labor Relations, for the purpose of exploring a mediated resolution of the complaint. Attempts at mediation or informal resolution of a complaint do not automatically suspend any time limits to file or appeal a written complaint.
7. Complaint Review Procedure. This procedure provides for a systematic method to address a written complaint through administrative levels in an organization. At each step of the procedure, the parties are encouraged to resolve the complaint. Written responses will be issued to the complaint at STEP I and II, by the department head and campus divisional Vice Chancellor, or their designees, respectively. While it is the employee's option to request review of the complaint at higher administrative levels, the employee may elect to consider the supervisor's, department head's or Vice Chancellor's response to the complaint as having addressed and resolved the issues in the complaint.
a. STEP I. An employee's initial written request for review under the Complaint Resolution policy shall be filed in the Labor Relations office. The complaint shall be forwarded to the employee's department head by Labor Relations for a written response by the department head or designee, within 15 calendar days of the department head's receipt of the complaint. At the employee's request, a complaint filed in a timely manner under this policy, which alleges sexual harassment, may be processed under the Campus Policy on Sexual Harassment and Complaint Resolution Procedures which shall replace STEP I of this policy. Upon completion of review under the sexual harassment complaint procedure, the employee may proceed with the complaint at STEP II of this policy. However, at any time during the consideration of the complaint by the Sexual Harassment Complaint Resolution Officer, the employee may request that the complaint proceed to STEP II of this policy. An employee's request to move the complaint to STEP II of this policy shall be filed in the Labor Relations office within 15 calendar days after the Sexual Harassment Complaint Resolution Officer has completed her/his assessment of the complaint.
b. STEP II. An employee's written request for review of the complaint at STEP II must be filed in the Labor Relations office within 15 calendar days following receipt of the STEP I written response. Review at STEP II is performed by the campus divisional Vice Chancellor or designee. The review at STEP II may include Factfinding, provided the complaint does not qualify for a hearing under STEP III of this policy. Therefore, a complaint eligible for Factfinding at STEP II is not also eligible for a hearing at STEP III, and the decision at STEP II will conclude the review of the complaint under this policy.
1. Factfinding.
a. Either the employee or the Vice Chancellor has the right to request Factfinding, upon an employee's written request for consideration of a complaint at STEP II. For an eligible complaint, failure to request Factfinding is deemed a waiver by the employee of the Factfinding process.
b. Factfinders shall be appointed by the Director of Human Resources, and shall be UCSB career employees, unless the complainant and the Vice Chancellor mutually agree to the appointment of a non-UCSB Factfinder. The costs for a non-UCSB Factfinder shall be shared equally by the employee and the department.
c. If a complaint alleging sexual harassment is eligible for Factfinding under this policy, the Sexual Harassment Complaint Resolution Officer may be appointed as the Factfinder.
d. The Factfinding Procedure (appendix A) shall authorize the Factfinder to interview witnesses and review documents and other materials considered relevant to the complaint.
e. The Factfinder shall submit a written report to the Vice Chancellor, or designee, with findings of fact regarding the issues in the complaint, within 30 calendar days of appointment, unless extensions of time to complete Factfinding have been approved by Labor Relations.
2. Decision.
a. Upon consideration of the employee's complaint and request for review at STEP II, and the Factfinder's report, if any, the Vice Chancellor, or designee, shall notify the employee and the department in writing of the STEP II decision.
b. The STEP II decision shall be made within 15 calendar days of the Vice Chancellor's receipt of the request for review at STEP II, or if there has been Factfinding, within 15 calendar days of receipt of the Factfinder's written report.
c. If there has been Factfinding, the decision at STEP II is final, and concludes the review of the complaint. The Factfinder's report shall be forwarded to the employee and the department with the written notice of the final decision. If the complaint alleged sexual harassment, notice of the STEP II decision shall be provided to the Sexual Harassment Complaint Resolution Officer.
c. STEP III. An employee's written request for a hearing must be filed in the Labor Relations office within 15 calendar days of receipt of the Vice Chancellor's STEP II written decision.
1. Eligibility criteria for a hearing for Professional and Support Staff (PSS) at STEP III are set forth in Complaint Resolution Policy 70. Managers and Senior Professionals (MSP) are not eligible for a hearing.
2. The employee may elect to have her/his case heard by either a UCSB hearing officer, appointed by the Director of Human Resources, or a non-University hearing officer, selected mutually by the employee and the department from a list of hearing officers provided by the American Arbitration Association. Costs for a non-University hearing officer are shared equally by the employee and the department.
3. Hearing Officers do not have the power to subpoena documents or require the attendance of any witness in a hearing.
4. The University shall provide for the tape recording of the hearing, and ensure that the employee receives a copy of the tape recording. The employee or the University may elect alternate means of recording the hearing, the costs for which shall be borne by the requesting party, unless there is agreement to share the costs of the alternate recording.
5. The hearing procedure (appendix B) shall provide or the presentation of documentary evidence, the testimony and cross examination of witnesses chosen by the employee and the University, and the issuance of a written decision by the hearing officer which decides the issues in the complaint.
6. The decision of the hearing officer is final and binding on the University and the employee, and concludes the review of the complaint under University policy.
7. The authority of the hearing officer is derived from and limited by University policy.
Applicability: All Staff Members except Senior Managers and Per Diem