UPPS 04.04.41 - Staff Employee Mediation and Grievance Policy

POLICY STATEMENT

Texas State University is committed to providing a fair process through which staff employees may raise work-related concerns.

1. SCOPE

   1. The intent of this policy is to establish procedures for staff employee mediation and grievances, excluding staff discrimination, harassment, and sexual misconduct complaint which are handled in accordance with the provisions of UPPS No. 04.04.46, Prohibition of Discrimination and The Texas State University System (TSUS) Sexual Misconduct Policy.

2. DEFINITIONS

   1. Business Day – any day the university is open for business excluding energy conservation days, closure for dates noted on the official university academic calendar, closure of school due to emergencies, or closure by order of state or federal government officials.

   2. Conditions of Work – physical or psychological conditions that employees encounter in the workplace which may give rise to a grievance, under this policy, if such conditions violate university or TSUS policies or laws and regulations, or where such conditions result in an adverse employment action.

   3. Department Head – the person with line authority for the employee involved in the action or condition against which the grievance is filed.

   4. Employment At-Will – Staff employees serve without fixed terms and at the pleasure of the president while the president serves at the pleasure of the TSUS Board of Regents. As at-will employees, either the university or the staff employee may terminate the employment relationship at any time with or without cause and without liability for failure to continue the employment.

   5. Fair Process – Department heads and decision-makers should strive to be fair and objective in rendering decisions.

   6. Grievance (Formal Grievance) – an appeal of a disciplinary action or a disagreement affecting an employee’s wages, hours of work, or conditions of work. Appeals of written reprimands, demotions, suspensions without pay, reductions in pay, and all involuntary terminations (disciplinary and non-disciplinary) will also be addressed through the grievance process (see The TSUS Board of Regents Rule, Chapter V.2 General 2.15 for more information).

   7. Grievant – staff employee who submits a grievance.

   8. Hearing Officer – the department head, divisional vice president, or president’s designee.

   9. Investigator – a person assigned to interview relevant witnesses, grievant, and respondent; acts as an independent fact-finder; and prepares investigation reports for hearing officer’s review.

   10. Mediation – a form of alternative dispute resolution outside of the university’s formal grievance process in which an impartial person, a mediator, facilitates communication between disputing parties to promote reconciliation, settlement, and understanding.

   11. Respondent – the employee named by a grievant as a subject of a grievance.

   12. Staff Employee – any employee other than a student employee or a faculty employee, as defined in the TSUS Rules and Regulations.

   13. Vice President – the person with line authority for the employee involved in the action or condition against which the grievance is filed and identified as vice president in the University Pay Plan.

3. MEDIATION PROCEDURES

   1. Mediation Process – The mediation process will follow the procedures contained in the Mediation Guidelines for Staff. Both regular and non-regular staff employees may use mediation (see UPPS No. 04.04.03, Staff Employment, for a definition of non-regular employees).

   2. Voluntary Participation – While the university encourages mediation, participation is voluntary, and both parties must agree to the process.

   3. Confidentiality – Human Resources (HR) will respect information pertaining to mediation but may share it with supervisory officials managing the employees involved, as well as any other university official HR deems appropriate.

   4. Mediator – When mediation is requested and agreed to by the mediating parties, HR will secure certain administrative record data and the services of a trained mediator to facilitate the mediation of the conflict or dispute at no expense to the mediating parties.

   5. Time-Limits – The staff member has 10 business days to file a grievance after HR receives written notification from the mediator that mediation has failed. Either party may notify HR that they wish to decline participation in the mediation process.

4. GRIEVANCE PROCEDURES

   1. Staff employees may use the grievance procedures as appropriate within the time-limits noted below when there is an issue regarding workplace conditions.

   2. Informal Resolution – Staff employees should discuss work-related problems with their supervisor or department head. Employee and supervisor or department head should cooperate to resolve problems efficiently and informally. An employee may use these grievance procedures only if they have first discussed the problem with the supervisor or department head, and they are unable to resolve the problem informally. The employee should begin informal resolution as soon as possible, and supervisors or department heads need to respond promptly to the employee’s request for resolution.

   3. Within 10 business days after learning of the action or condition giving rise to the grievance, the grievant must complete and submit a Staff Employee Grievance Form to HR. The form must be completed in full and include the relevant details of the workplace condition the employee is requesting to grieve, including evidence supporting the claim. HR will review the information presented and may request that the grievant provide additional clarifying information. HR will provide the employee with information related to policy and procedure, explain the grievance process, and determine whether the concern qualifies as a formal grievance under the policy. If the grievant disagrees with HR’s determination, they may resubmit their concern for review to the Chief HR Officer, who will have the final decision in making this determination.

   4. If HR determines that the concern qualifies as a formal grievance, HR will assign the concern to an investigator. The primary investigator for employee grievances will be a member of HR. HR will also maintain a pool of trained Texas State staff employees from various divisions who will be used to investigate cases on an as needed basis. Where an employee outside of HR serves as an investigator, they will be overseen by HR. HR will send notification of investigator assignment to both the grievant and respondent. The investigator will follow Texas State’s investigation protocol and provide a summary report, including findings to HR within a reasonable period of time. While many reports will be completed within five business days, the complexity and nature of any individual matter may result in a longer investigatory period. HR will review the summary report and findings with the appropriate hearing officer within the respondent’s chain of command. A copy of the findings will also be provided to the grievant and respondent.

   5. If the hearing officer determines that the grievance is substantiated, the grievant and respondent will receive written notification to that effect. The grievant may or may not be informed of the specific responsive action taken against the respondent. Any responsive action involving disciplinary measures shall follow the process outlined in UPPS No. 04.04.40, Disciplining and Terminating Staff Employees.

      If it is determined that the grievance is unsubstantiated, the grievant and respondent will receive notification to that effect. This decision will be considered final subject to HR initiated discretionary review/audit overseen by the Chief HR Officer.

   6. If the respondent in a grievance is a member of the President’s Cabinet, HR will consult with the president to identify an appropriate investigator.

      If the respondent in a grievance is the president, HR will consult with the TSUS Office of General Counsel to identify an appropriate investigator.

5. ORGANIZATIONAL ASSESSMENTS

   1. In cases where an issue does not meet the criteria for a formal grievance or upon the request of the department head, HR may conduct various forms of interventions to assess and address items such as interpersonal communication, conflict management, and organizational effectiveness. An organizational assessment may result in recommendations including, but not limited to implementation of communication plans, clarifications of roles/boundaries, additional trainings, and other means to improve culture, interpersonal dynamics, and team functionality. HR staff will work with the appropriate leader on the assessment and proposed outcomes, and partner with other HR staff/resources to implement any agreed upon measures.

6. RULES FOR GRIEVANCES

   1. Time Off for Grievances – Involved parties (e.g., grievants, witnesses, respondents) are permitted time off from their regular duties with pay to attend meetings under this process. These meetings include conferences with HR representatives, investigators, or supervisors. Employees should notify their supervisors in writing in advance of any meetings.

      Grievants may take annual leave, compensatory leave, or leave without pay under normal leave procedures, as outlined in UPPS No. 04.04.30, University Leave Policy, to research or otherwise prepare for grievances.

   2. Retaliation Prohibited – No person may penalize, discipline, or otherwise retaliate against an employee with respect to a term or condition of employment for:

      1. presenting a grievance;

      2. testifying on behalf of another employee; or

      3. representing or assisting another employee with a grievance, as outlined in UPPS No. 04.04.56, Non-Retaliation Policy.

   3. Confidentiality – Those involved in the process should maintain confidentiality to the extent permitted by the Texas Public Information Act.

   4. Records – HR and the administrators involved will maintain records of grievances per the Records Retention Schedule.

   5. Notifications – All notifications to involved parties are considered complete when the notice is sent via email, given directly, sent to the department via campus mail, or sent via U.S. mail to the home address on file in HR.

   6. Investigation Meetings --The grievant and respondent may have a non-attorney advisor present at meetings with the investigator, hearing officer, or other university administrator related to the grievance. An Advisor Certification Form must be submitted to HR at least one business day prior to the first meeting that the advisor will attend. The advisor may provide support, guidance, or advice to the grievant or respondent, but may not directly participate in the meetings. In limited situations where a substantiated family member, spouse or partner, or close family friend also holds a law degree they may be permitted to serve as a non-litigious advisor subject to approval by the Chief HR Officer or designated head of the Employee Relations function.

7. FORMS

   1. All forms referred to within this document are available on the HR website.

8. REVIEWERS OF THIS UPPS

   1. Reviewers of this UPPS include the following:

      Position	Date
      Associate Vice President for Human Resources and Chief Human Resources Officer	April 1 E5Y
      Chair, Staff Council	April 1 E5Y

9. CERTIFICATION STATEMENT

   This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedure from the date of this document until superseded.

   Associate Vice President for Human Resources and Chief Human Resources Officer; senior reviewer of this UPPS

   Executive Vice President for Operations and Chief Financial Officer

   President