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| PPS Table of Contents : HR Questions : Official University Policies & Procedures : UC Irvine |
PERSONNEL PROCEDURES FOR UC IRVINE STAFF MEMBERS |
UCI Administrative Policies & Procedures
The Manager, Consulting Services and Labor Relations, Campus Human Resources, is responsible for the administration of these procedures for employees in campus departments. The Manager, Labor and Employee Relations, UCI Medical Center Human Resources, is responsible for developing and administering procedures for employees in Medical Center departments. Managers, supervisors and employees at the Medical Center may obtain a copy of the procedure from UCI Medical Center Human Resources.
b. If attempts to resolve an issue are unsuccessful, a formal written complaint may be filed. Complaints must be filed within 30 calendar days of knowledge of the event or action that gave rise to the complaint. A written decision from the department head will be provided to the employee.
c. If the issue remains unresolved, the employee may request further review by the appropriate Vice Chancellor. Either party may request that a factfinder be appointed to investigate the complaint and issue a report. A written decision from the Vice Chancellor will be provided to the employee.
d. Eligible issue(s) remaining unresolved may be submitted for review by a hearing officer.
b. The following options are available if the parties agree to a more structured process prior to filing a formal complaint:
2) The UCI Campus Mediation Program, administered by the Office of the University Ombudsman (949-824-7256) is an informal, voluntary program through which a mediator can help staff resolve a complaint in the workplace. Participation in the UCI Campus Mediation Program does not extend the time limits of this procedure.
b) The employee may request a written extension of the time limits for processing a Step I complaint that has been timely filed until the end of the mediation process or for 30 calendar days, whichever comes first.
c. Upon receipt of a formal complaint, Human Resources will determine:
2) Whether the complaint is timely; and/or
3) Whether the complaint provides the required information. If the complaint has been filed within established time limits, Human Resources shall grant up to 15 calendar days in order to permit an incomplete but timely complaint to be corrected and resubmitted.
d. If a complaint is rejected, based upon Human Resources' determination above, the employee will be notified in writing, including the reason for the rejection. If the employee decides to appeal this decision, the appeal must be received by the Assistant Vice President-Human Resources, Office of the President, within 20 calendar days of the date of the campus decision.
e. Once a complaint has been filed on a timely basis and accepted by Human Resources, requests to extend subsequent timelines may be granted by Human Resources in accordance with E. Timelines. Requests for extensions must be in writing and must state the reason for the extension and the number of days requested.
f.Complaints of two or more employees, or two or more complaints on the same incident, issue, or course of conduct may, at the sole discretion of the Manager, Consulting Services and Labor Relations, be included in one review.
b. Human Resources will arrange for the selection and training of panel members. Special attention will be given to establishing a panel that represents a broad cross section of the UCI community.
2) The following will be excluded from panel membership:
b) Vice Chancellors, Deans, and Directors
c) Employees who report directly to the Chancellor or the Executive Vice Chancellor
d) Employees who are exclusively represented
c. Factfinders will be appointed by Human Resources.
d. A Hearing Committee will be comprised of three members selected from the hearing panel.
2) The chair of the hearing committee will be selected by Human Resources.
e. Individual Campus Hearing Officers will be selected from the Hearing Panel. Unless there is mutual agreement on a campus hearing officer, the selection procedure will be by strike off. The parties will alternately strike names off the list until three names remain, one of which will be designated by Human Resources to be the campus hearing officer.
f. Non-University Hearing Officers will be selected by mutual agreement between the parties.
2) The procedure for selection will be the same as is used for selecting a campus hearing officer.
3) The non-university hearing officer's fee and all fees incurred in obtaining a list of hearing officers shall be borne equally by the University and the employee, except that costs related to cancellation or postponement shall be borne entirely by the requesting party.
b. In addition to the requirements stated in Policy 70, F. Review Process, Step I, the employee must:
2) list the name, address, and telephone number of the employee's representative, if any;
3) list the date(s) of attempted informal resolution, except as provided under Policy 70, D. and under D.1.c. below;
4) sign the complaint form.
c. When a complaint alleges sexual harassment, an employee may elect to substitute the campus Sexual Harassment Complaint Resolution Procedure for attempted resolution with the employee's immediate supervisor. This procedure is administered by the Office of Equal Opportunity and Diversity (949-824-5594).
2) When both parties mutually agree, a complaint previously filed under the Sexual Harassment Complaint Resolution Procedure may proceed directly to Step II of Policy 70, F.
d. The complaint and requests for extension of time shall be filed in one of the following ways:
2) via United States mail to:
3) by fax to:
e. If the complaint is accepted, it will be forwarded to the department head. If the department head is also the immediate supervisor, the complaint will be forwarded to the next higher level of authority.
f. The department head or next higher level has 15 calendar days from the date of the letter transmitting the complaint to respond in writing. The department head's response shall be addressed to the employee via Human Resources.
b. For issues not subject to hearing at Step III:
2) If a factfinder or evidentiary factfinding is requested, the appropriate Vice Chancellor will provide a written decision, with copies of any relevant documents that were not part of the original complaint, to the employee via Human Resources within 15 days of receipt of the factfinder's report. The Vice Chancellor's decision shall be final for all issues not subject to hearing at Step III.
3) If a factfinder is not requested, the appropriate Vice Chancellor will provide a written decision, with copies of any relevant documents that were not part of the original complaint, to the employee via Human Resources within 30 days of the receipt of the appeal to Step II.
c. For issues subject to hearing at Step III:
b) If the employee has requested a factfinding review or evidentiary factfinding at Step II, the Vice Chancellor's decision shall be final and binding, and not subject to a Step III hearing.
2) If a factfinder is not requested, the appropriate Vice Chancellor will provide a written decision, with copies of any relevant documents that were not part of the original complaint, to the employee via Human Resources within 30 days of the receipt of the appeal to Step II.
a. The factfinder will conduct a review and will present the findings in writing. Each party to the complaint will be given the opportunity to present all information relevant to the complaint directly to the factfinder.
Note: Evidentiary factfinding is limited to allegations involving violations of Policy 12, Nondiscrimination in Employment, when the allegations of harassment/discrimination include termination or medical separation issues.
b. Evidentiary Factfinding: Should either party to the complaint request it, or should the factfinder deem it necessary, the factfinder shall conduct an evidentiary factfinding. Each party to the complaint has the following rights:
2) to present evidence; and
3) to be present when witnesses testify and to examine and cross-examine witnesses.
c. The factfinder shall determine the facts based on the written submissions of each party and the evidentiary review sessions, if any were conducted.
d. The factfinder's written report shall include:
2) the alleged violations of policy, if any,
3) the positions of the parties,
4) a brief summary of the information received,
5) the findings of fact, and
6) the applicable personnel policies
e. The factfinder's written report shall not include any recommendations or remedies.
f. The factfinder's written report will be presented to the appropriate Vice Chancellor via Human Resources, within 45 calendar days of the date of appointment as a factfinder.
g. The appropriate Vice Chancellor will provide a written decision, with copies of any relevant documents that were not part of the original complaint, to the employee via Human Resources within 15 calendar days from the date of the letter of transmittal of the factfinder's report.
Reprisal for using the complaint resolution process
b. The employee may appeal a Step II decision on an eligible issue to a University hearing officer or committee, or a non-University hearing officer for a final and binding decision.
c. The Step III, Request for Hearing form must be received in Human Resources within 10 calendar days of the date of the letter transmitting the Vice Chancellor's decision. The request shall set forth the issues of the original complaint not resolved at previous levels of review.
d. Human Resources will make the necessary arrangements for selection of a hearing panel, campus hearing officer, or non-University hearing officer.
e. The hearing shall be recorded by the University if no stenographic record is agreed to by the parties in advance.
2) Expenses for stenographic services shall be borne by the party requesting such services, unless both parties agree otherwise in advance.
f. Unless both parties otherwise agree, the hearing shall be closed to everyone other than the University hearing officer/committee/non-University hearing officer, the employee, the employee's representative, the department head/designee and/or supervisor, the department's representative, a Human Resources representative, and the person designated to record the hearing
g. Witnesses will be excluded from the hearing except when testifying.
h. Except by written mutual agreement of the parties, only issues that were accepted for review in the formal complaint may be introduced at the hearing. In addition, the parties shall attempt to stipulate in writing to the statement of the issues to be submitted for review at the hearing.
i. Each party shall, upon request, provide the other with copies of material to be introduced at the hearing and names of witnesses who will testify on the party's behalf. To the extent possible, such materials and names of witnesses shall be exchanged at least seven calendar days prior to the hearing.
j. The hearing committee/officer shall provide a written decision to the employee, via Human Resources, within 30 calendar days of the close of the hearing. The written decision shall be final and binding.
k. The hearing committee/officer is limited to restoring the pay, benefits, or rights lost as a result of the policy violation described in the complaint, less compensation from any sources that mitigate the loss. A hearing officer may not award interest. The hearing committee/officer may not add to, delete from, or otherwise modify the provisions of Staff Policies. The hearing committee/officer does not have the authority to issue subpoenas or order a stenographic record.
l. Human Resources will provide each party a copy of the decision and a copy of the materials upon which the decision was based.
b. An employee may have only one representative.
c. An employee/agent of an employee organization that represents non-confidential employees shall not participate in the handling of complaints on behalf of confidential employees.
d. Supervisors shall not represent non-supervisory staff members. Non-supervisory staff members shall not represent supervisory staff members.
e. Time spent by the employee and/or the employee's representative in preparing a case shall be during non-working hours and without pay.
f. Requests by an employee and/or the employee's representative for reasonable amounts of paid time off to resolve or present a formal complaint shall be submitted in writing to the appropriate University official. Approval to participate in hearings and meetings convened by the University shall be made on an operational needs basis and shall not be unreasonably denied.
Settlement Agreements must be approved in advance by the Manager, Consulting Services and Labor Relations, as well as other appropriate University officials.
2. The employee has 30 calendar days from the date on which the employee knew, or reasonably should have known, of the event or action that gave rise to the complaint, to request a formal review at Step I.
3. The department head has 15 calendar days from the date of the letter of transmittal of the Step I formal review to respond to the employee.
4. The employee has 10 calendar days from the date of the letter of transmittal of the department head's response to file an appeal to Step II.
5. The factfinder has 45 calendar days from the date of appointment to file a written report.
6. The Vice Chancellor has 30 calendar days from the date of the letter of transmittal of the appeal to Step II, or 15 calendar days from the date of the letter of transmittal of the factfinder's report, to issue a written decision.
7. The employee has 10 calendar days from the date of the letter of transmittal of the Vice Chancellor's decision to request a hearing, if eligible.
8. The hearing committee/officer has 30 calendar days from the date of the close of the hearing to issue a written decision.
9. The above timelines shall be adhered to, unless the employee or the University has requested an extension and the extension has been approved in writing by Human Resources.
b. More than one extension may be granted for each timeline.
c. Complaints not appealed within the time limits at any step will be considered resolved on the basis of the preceding University response.
d. Failure of management to respond within the time limits shall be a basis for the employee to appeal to the next step.
This procedure applies to Professional and Support Staff. For Managers and Senior Professionals, see Procedures 71 and 70-2. Employees in a bargaining unit that has an exclusive representative (union) are covered by the applicable provisions of the collective bargaining agreement.
| PPS Table of Contents : HR Questions : Official University Policies & Procedures : UC Irvine |