Policy

            The University of Dayton is committed to enhancing the dignity of the individual, enforcing the rights and responsibilities of employees, and providing a safe and healthy workplace.  A grievance procedure is available to employees to assist them in resolving difficulties or disagreements which arise from their employment.  Grievances should be resolved fairly, humanely, and as quickly as possible.  Retaliation against anyone filing a grievance in good faith is a violation of University policy, as is the specious, bad faith filing of a grievance.

Definitions

            The Employee Grievance Procedure is a mechanism of dispute resolution available to full and part-time employees (including student employees) not covered by another University policy or agreement. Thus, the following classes of employees are excluded from this grievance policy:

1. Employees covered by a collective bargaining agreement.

2. Members of the faculty having a grievance about matters covered by the faculty grievance procedure as described in the Faculty Handbook.  Note, though, that a Faculty member acting in an administrative capacity (e.g., department chairpersons) may be a party to a grievance brought by a person covered by this procedure (e.g., departmental secretary).

        A grievable issue is one in which an employee has a complaint regarding wages, hours, or other terms and conditions of employment. Examples of areas in which a grievance might arise include the recruitment and selection of employees, discipline, and discrimination. 

Enforcement

            Administrative officers are responsible for the enforcement of this policy within their jurisdictional areas. They shall make full and part time employees (including student employees) aware of this grievance procedure and they shall take appropriate action to correct improper conditions or to discipline offenders.

Procedure

            Employees who have a grievance must first follow the informal procedure outlined below. If that procedure fails to provide satisfactory resolution the complainant must follow the formal procedure.

A.             Informal Process

1. A complainant shall discuss the potential grievance with his/her immediate supervisor. If the problem is not satisfactorily resolved, the complainant must attempt to make the issue known to the next level supervisor(s) up to the divisional vice president. Before the divisional vice president makes a determination he/she reviews the matter in question with the vice president for human resources. If the problem is unusually sensitive and the complainant has concerns about discussing it with the line administrators, the complainant may instead seek consultation from one of the University grievance officers. Grievance officers are members of the University community appointed by the President's Council to serve in their capacity for three year terms. While their orientation and activities are coordinated by the vice president for human resources, the grievance officers act on individual cases in an independent and confidential manner. At the end of this document is a list of the names, phone numbers, and offices of the current grievance officers.

2. If the complainant wishes assistance in the pursuit of an informal resolution, the grievance officer will immediately attempt to resolve the complaint through a meeting or other form of contact with the accused or other person(s) the grievance officer deems appropriate. If the complainant and the grievance officer agree that such meetings would not be effective or advisable under the circumstances, then they immediately initiate the formal procedure. 

3. Even if the complainant does not wish to pursue a resolution, the grievance officer may determine that the issues raised by the complainant are sufficiently serious that he/she must address them. In such a case, the grievance officer will endeavor to maintain the confidentiality of the identity of the complainant.

B.        Formal Process

1. The complainant who wishes to initiate formal process must file with a grievance officer a written and signed complaint specifying the name(s) of the person(s) involved, the date(s) of the incident(s)in question, and a description of the offending conduct.  This formal complaint must be filed within six (6) months of the most recent incident.

2. Within seven (7) calendar days of the receipt of a formal complaint, the grievance officer will initiate an investigation, of the facts and circumstances of the alleged incident.  In this investigation, the grievance officer may contact one or more offices of the University and ask to review portions of their record.  University officials are to make a good faith effort to comply with such requests in a timely manner.  In such investigation, the grievance officer seeks to determine that: (a) the incidents described in the complaint cannot be dismissed as incredible on their face, and; (b) the incidents as described would constitute a violation of University policy.  At the conclusion of this review the grievance officer prepares a report which either calls for a formal hearing or dismisses the complaint.  While there is no set time in which an investigation must be completed, the grievance officer will attempt to conclude it as promptly as possible.  The report will be sent to the complainant, the University employee against whom the grievance was brought, the vice president for human resources, and the appropriate vice president.  A good faith effort shall be made to assure that this report is treated confidentially. 

3. Grievances will be heard by a three (3) member panel, the Hearing Board, selected from the University's Grievance Board.  The Grievance Board is a group of approximately thirty (30) persons representative of all sectors of the University community.  They are appointed by the vice president for human resources and, prior to service on a Hearing Board, have received training in serving on a hearing panel and generally in the methods of dispute resolution and the University's grievance process.  The composition of the three-person Hearing Board will vary depending on the classification of the parties to the dispute as follows:

1. If both parties are faculty members, the Hearing Board will be composed of three faculty members.

2. If one party is a faculty member and the other, a student, the Hearing Board will be composed of one faculty member, one staff member, and one student.

3.  If one party is a faculty member and the other, a staff member, the Hearing Board will be composed of one faculty member, one staff member, and a third person from a class mutually agreeable to both parties.

4. If both parties are staff members, the Hearing Board will be composed of three staff members.

5. If one party is a staff member and one party is a student, the Hearing Board will be composed of one faculty member, one staff member, and one student.

In cases above, if one party to the grievance is a secretary (and hence a staff member), then at least one of the staff members called for as a member of the Hearing Board will be selected from among the secretaries serving on the grievance board.

4. If the grievance involves sex discrimination, (including sexual harassment), the three members of the Hearing Board may not be of the same sex.

5. The properly configured Hearing Board shall be appointed by the vice president for human resources upon receipt of a report calling for a formal hearing from a grievance officer.  Prior to the appointment of persons to the Hearing Board, the vice president for human resources will inquire of the prospective members of the Hearing Board and the parties to the grievance to ascertain that no conflict of interest or other disqualifying relationship exists.

6. The work of the Hearing Board will be directed by the hearing officer.  The hearing officer is a member of the University community appointed to this position by the vice president for human resources with the concurrence of the President's Council.  This person is to be knowledgeable in the conduct of procedures which are a part of dispute resolution techniques, monitoring the conduct of a hearing, and in advising a panel reviewing a complaint about the proper disposition of its work.  If the hearing officer does not already possess these skills at the time of appointment, the University will provide this person with the necessary training.  The hearing officer is not a voting member of the Hearing Board.

7. While the University strongly encourages members of the community to participate in this grievance resolution process, it cannot require members to do so.  In the event that an accused person refuses to participate, he or she should make this known to the vice president for human resources.  In such a case, the matter will be resolved by administrative or civil means, as determined by the University and/or complainant.  The person who refused to participate may not make use of this special grievance resolution procedure in the future for any matters related to the original charges.

8. The formal hearing shall be held expeditiously, but in any event not more than forty-five calendar (45) days after the filing of the formal complaint.  Both the complainant and the accused shall receive notice of the hearing date at least five (5) working days in advance.

9. Each party may have an advisor from the University community present at the hearing.  The parties are free in their choice of an advisor provided that she or he is not of a relationship closer than a second cousin, a legal guardian, or currently in an employment supervisory relationship to this person.  These restrictions are made to attempt to ensure that the advisor maintains an appropriate emotional and/or administrative distance from the hearing and its outcome.  In cases of doubt, the hearing officer will determine the eligibility of an advisor.  In requesting an individual to serve as an advisor, a party to the complaint agrees that: (a) the advisor is only asked and expected to make a best effort; (b) the advisor will be held harmless for his or her participation; and (c) the results of the hearing may not be appealed based on a claim of inadequate performance on the part of an advisor.  The advisor may participate in the hearing, subject to the reasonable limitations imposed by the hearing officer.  While the advisor is to be an aid, each party retains primary responsibility for establishing the validity of a complaint or present a defense.  It may be the case that one or both parties to the grievance will have sought counsel outside the University and, perhaps, retained legal counsel.  While a person is free to acquire any assistance deemed appropriate, since this hearing is a part of an internal resolution procedure and is of a non-judicial nature, such other assistants are not permitted to attend or participate in the hearing.

10. In grievances which involve administrative policy (e.g., promotion, rate of pay) the Hearing Board ordinarily invites the vice president of human resources to the hearing to review with it his/her understanding of the application of University policy to the matter of the grievance.

11. The hearing officer will determine all procedures to be followed prior to and at the formal hearing and serve as its moderator.  At the discretion of the hearing officer, a pre-hearing meeting of the parties and/or their advisors may be convened to consider such things as possible resolutions, hearing procedures, persons to appear and the like.  The judgment of the hearing officer determines the manner in which the evidence is presented and the hearing is conducted.  While the hearing procedures are to respect ordinary standards of fairness, they are not intended to be equivalent to those employed in a civil judicial process.  They are set with an aim of providing the Hearing Board with the best opportunity for determining the truth of the matters in dispute.

12. Within ten (10) working days after the conclusion of the formal hearing, the Hearing Board shall prepare a written report indicating its findings of fact, whether or not it believes University policy has been violated, and if a violation has occurred whether it is sufficiently serious that it believes some corrective action should be taken, its decision, and if appropriate, a recommended sanction and/or remedy.  This report will be sent to the complainant, the accused, the grievance officer, the vice president for human resources and the vice president responsible for implementing any sanction and/or remedy.  The goal of the Hearing Board is to establish the facts of the matter in question, whether or not it believes University policy has been violated, and if a violation has occurred whether it is sufficiently serious that it believes some corrective action should be taken.  While the vice president for human resources or the president is responsible for taking any corrective action in the case itself, the Hearing Board is encouraged to report any suggestions for the clarification or development of University policy which it believes would be helpful based on the circumstances of the case.  Unless the parties to the grievance are members of units supervised by the vice president for human resources,  the report of the Grievance Board is directed to the vice president for human resources.  Otherwise, the report is directed to the president. 

13. A good quality audio tape recording of the formal hearing will be made and retained for one year in the office of the vice president for human resources  before being erased.

14. Efforts shall be made to assure confidentiality regarding the identity of parties and information provided.  Once a formal hearing is conducted, though, many persons may need to know in more or less detail of the nature of the charges so that evidence may be gathered, witnesses called and the like.  Records shall be kept by the grievance officer and shall be unavailable except by order of the president.  In the event of a finding that the accused was guilty of a violation of University policy a brief statement of the finding will become a part of the offending party's personnel or student file.

C.        Minor Deviations

Minor deviations from these prescribed procedures shall not render a decision invalid unless it is found on appeal that the deviation caused substantial prejudice to one of the parties.

Resolution, Sanctions, or Remedies

If the Hearing Board finds that a University policy has been violated in a manner sufficiently serious that it believes corrective action should be taken, this is reported to the vice president for human resources (or president) as described B.10.  When the matter is reported to the vice president for human resources he/she confers with the vice president of the unit in which the grievance originated.  If they agree on a course of action, it is taken as the resolution of the grievance.  If they are unable to agree on a course of action, they present the matter to the president who makes a final determination.  The administrative resolution determined is communicated to all parties to the grievance.  (In the case that the Hearing Board's report was sent to the president, the formulation and communication of the administrative resolution is as above with the exception that it is made by the president after consultation by the vice president for human resources.)

The administrative resolution as provided for in the preceding paragraph may involve an adjustment of the terms of employment of the person who brought the grievance and/or the disciplining of any persons found to have seriously violated University policy.  Any disciplinary action will be taken in accordance with the University's policies and procedures.  Depending on the severity of the offense, such sanctions or remedies may include a letter of reprimand, a formal warning, suspension, demotion, termination of employment, or dismissal as a student.  In the case that a member of the faculty is to be disciplined for his/her role as a supervisor, the provost is consulted to determine whether the matter should be referred to another body as described in the Faculty Handbook.

D.        Appeal Process

1. For the Dismissal of Complaint

A complainant may appeal the grievance officer's decision to dismiss her or his complaint by writing to the vice president for human resources within ten (10) working days of the date of the notification letter.  The vice president for human resources will review the record and either confirms the decision of the grievance officer, or orders a formal hearing.

2. Formal Hearing

The findings of fact by the Hearing Board are final and not appealable.  An appeal claiming a prejudicial deviation from prescribed procedures, arbitrary and capricious behavior during the hearing, or a Hearing Board recommendation clearly unsupported by the record must be submitted in writing to the vice president for human resources within ten (10) working days of receipt of the board's report.  The vice president for human resources may uphold the board or order a new hearing before a new board.  If either party is a member of the division of human resources, the appeal must be made to the president.

This site is maintained by the Office of Human Resources.  Direct questions to Stefanie.Rich@notes.udayton.edu.

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