Procedure 70 – Complaint Resolution | Campus Human Resources

Effective Date: July 20, 2016

I. Policy Summary

Refer to University of California - PPSM Policy 70 (Complaint Resolution) Section I

II. Definitions

Refer to University of California - PPSM Policy 70 (Complaint Resolution) Section II

III. Policy Text

Refer to University of California - PPSM Policy 70 (Complaint Resolution) Section III

III.D. Timeliness

To qualify for formal review, a written complaint as defined in policy must be received by the Campus Human Resources Employee and Labor Relations Director (CHR ELR Director) or the equivalent Health System Director (HS ELR Director) within thirty (30) calendar days after the date on which the employee knew or could reasonably be expected to have known of the event or final management action which gave rise to the complaint, or within thirty (30) calendar days after the date of separation from University employment, whichever is earlier. In case of layoff, a written complaint must be filed within thirty (30) calendar days after the effective date of the layoff. The employee must complete and file the written complaint using the designated PPSM Complaint Form which is available at CHR Employee & Labor Relations (10920 Wilshire Blvd., Suite 200) or HS Human Resources (10920 Wilshire Blvd., Suite 400).

III.E. Appeal

The CHR ELR Director or the HS ELR Director shall administer this policy and shall determine whether a complaint is timely and qualifies for review at any step of this process. The CHR ELR Director or the HS ELR Director may extend the deadlines contained in this procedure.

An employee may appeal certain local decisions to the Office of the President, Human Resources (see PPSM Policy 70 - III.E - Appeal).

A complaint that is not resolved at Step I may be appealed in writing to the CHR ELR Director or the HS ELR Director for an Administrative Review using the Request for Further Review Form and must specify the reason(s) the complainant is requesting further review and must specify the requested remedy. The Step I decision must be appealed within ten (10) calendar days from the issuance of the Step I response.

A complaint that is not resolved at Step II may be appealed in writing using the Request for Hearing form. The Step II decision must be appealed within ten (10) calendar days from the issuance of the Step II response.

III.F. Informal Complaint Resolution

At any stage in the process either the employee or the University may attempt to resolve the complaint informally. However, attempts at informal resolution do not extend the time limits for the initial filing of the complaint.

When the employee and the University agree in writing to pursue informal resolution, the CHR ELR Director or the HS ELR Director shall confirm in writing the suspension of deadlines during informal resolution. If either the employee or the University wishes to stop pursuing informal resolution at any time, written notification must be provided to the other party. The employee must provide written notification to the CHR ELR Director or the HS ELR Director. Any suspension of deadlines will end 10 calendar days after that notification is provided and then the formal complaint resolution process will resume where it left off.

III.J.1. Request for Formal Review

Formal Review-STEP I

If an issue alleging violation of one or more of the PPSM policies has not been resolved at the informal level, a Step I formal review may be requested.

However, if an employee chooses to file a complaint regarding sexual harassment under both this policy and the local Sexual Harassment Complaint Resolution Procedures, the investigation conducted under the local Sexual Harassment Complaint Resolution Procedures will serve as Step I under this policy. After that process has concluded, the employee may submit a written appeal to Step II under this policy if the employee believes that there are sexual harassment claims that were not satisfactorily resolved. The investigative report issued under the local Sexual Harassment Complaint Resolution Procedures may be used as evidence in proceedings under this policy.

Filing

The PPSM Complaint Form is available from and must be filed with CHR Employee & Labor Relations (10920 Wilshire Blvd., Suite 200) or HS Human Resources (10920 Wilshire Blvd., Suite 400).

Specificity-The Formal Complaint must be submitted on the complaint form and must be specific, containing sufficient information for the reviewing party to adequately investigate and respond to the complaint. The form must identify the specific action(s) that are requested for review; any provisions of policy alleged to have been violated; the manner in which they were violated; how the employee was adversely affected; and the remedy requested. If the complaint involves a written document, a copy of that document must be attached to the Formal Complaint. If no informal discussion has taken place, the employee shall state the reason(s) why with specificity and the CHR ELR Director or the HS ELR Director shall determine whether the complaint shall proceed to formal review without the informal discussion.

If the complaint has been filed within established time limits, the CHR ELR Director or HS ELR Director shall grant up to fifteen (15) calendar days extension of time in order to permit a defective or flawed but timely complaint to be corrected and resubmitted.

Time Limits-Deadlines which fall on a day which is not a business work day will automatically be extended to the next business work day. Any time limit that expires on a Saturday, Sunday or University-observed holiday shall be extended to the next normal business work day.

Acceptance of the Complaint

The CHR ELR Director or HS ELR Director shall determine whether a complaint is timely and whether it qualifies for review. The CHR ELR Director or the HS ELR Director shall acknowledge receipt of the complaint and specify what issues have been accepted for review. The acknowledgment letter shall be sent to the employee and the employee's representative, if any, no later than ten (10) calendar days after receipt of the complaint. If the complaint is considered untimely or some issues have not been accepted for review, the acknowledgment letter shall inform the employee of his/her appeal rights. If the employee appeals the local decision regarding timeliness or scope of the complaint as set forth in UC-PPSM Policy 70 (Complaint Resolution), Section III.E (Appeal), it shall be the employee's sole responsibility to provide the Office of the President with the documents referred to in said section.

Department Response

The CHR ELR Director or the HS ELR Director shall request a written Departmental response from the person at the next higher level of authority in the reporting hierarchy of the person whose action(s) gave rise to the complaint. The response may not be delegated to or written by the person whose action(s) gave rise to the complaint.

The written response 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 CHR ELR Director or HS ELR Director shall forward the department's written response to the employee along with instructions for further appeal, if any, within fifteen (15) calendar days after the date the complaint was accepted for processing. A copy of the response shall be provided to the employee's representative, if any.

III.J.2.a. Administrative Review

A Step II decision will be issued to the complainant within twenty (20) calendar days from receipt of the appeal to Step II. This response shall be issued by the person at the next higher level of authority in the reporting hierarchy of the person who responded at Step I. The Administrative Review response is final and binding for issues that are only eligible through Step II.

Proceed Directly to Step III (Career Employees Only)

If the University agrees, a career employee may select the option to proceed directly to Step III for hearing, provided that the complaint alleged a policy violation eligible for review at Step III (Section J.3.). All other issues not eligible for Step III will be considered resolved on the basis of the Step I decision.

III.J.2.b. Factfinding

If the employee selects factfinding, the appeal must state which claims alleged in the complaint were not satisfactorily resolved at Step I and specify the remedy requested.

A factfinding is a review of the allegations in a complaint by an independent party who then issues a non-binding report. The next higher level of authority in the reporting hierarchy at the University makes the final and binding decision.

If the employee selects factfinding, the employee is not eligible to appeal the Step II decision to Step III, even if the complaint alleged a policy violation that would otherwise be eligible for review at Step III.

When the employee requests a Factfinder, the CHR ELR Director or HS ELR Director shall appoint one and notify the parties of the appointment.

Scheduling and Rescheduling Factfindings

Subject to the availability of the Factfinder, the CHR ELR Division or the HS ELR Division shall attempt to schedule the Factfinding within 180 days of the employee's Request for Factfinding. Requests to reschedule Factfinding meetings must be in writing at least thirty (30) calendar days prior to the scheduled meeting. The written request is filed with the CHR ELR Director or the HS ELR Director who decides whether to reschedule the Factfinding. Requests submitted less than thirty (30) calendar days from the date of the meeting must be for compelling reasons. If no compelling reason exists, the Factfinding meeting will convene as scheduled.

The Factfinding

The Factfinder shall meet separately with the parties and may question witnesses, request additional documents or records, and make findings as to credibility. The Factfinder will have access to specific information from personnel records, as provided in UC-PPSM 80 (Staff Personnel Records).

Factfinder's Report

The Factfinder shall file a report containing his/her non-binding findings with the CHR ELR Director or the HS ELR Director within thirty (30) calendar days following the Factfinding. The Factfinder may request a time limit extension through CHR or HS. The CHR ELR Director or HS ELR Director then forwards the report to the person at the next higher level of authority in the reporting hierarchy for a final and binding decision. The Factfinder's report shall contain the following information: statement of the issues being reviewed; positions of the parties; findings of fact; and policy violations, if any.

Step II Final Decision

The final and binding decision by the person at the next higher level of authority in the reporting hierarchy shall take into consideration the Factfinder's report and provide the reason(s) for granting, modifying, or denying the requested remedy. The CHR ELR Director or HS ELR Director shall forward the final and binding decision along with the Factfinder's report to the employee, the employee's representative, if any, and the department head within thirty (30) calendar days of receipt of the Factfinder's Report.

The Step II final and binding decision concludes the process for complaints processed through Factfinding.

III.J.3.B. Hearing

Issues Subject to Step III Hearing (Career Employees Only)

An eligible complaint that is not resolved at Step II may be appealed in writing using the Request for Hearing form, provided that the employee did not select the factfinding option at Step II. The Step II decision must be appealed within ten (10) calendar days from the issuance of the response.

The appeal to hearing must specify the portion(s) of the complaint that were not resolved by the decision at the preceding step in the process. The appeal should also indicate if the complainant will be self-represented or represented by another. If represented by another, the request shall include the representative's name, address, and telephone number. The complainant may also request the appointment of a Hearing Officer selected by the University or a mutually agreed upon Hearing Officer.

Hearing Officer Selection

If the complainant or the complainant's representative, if any, elects a Hearing Officer selected by the University, the CHR ELR Director or the HS ELR Director shall appoint one and notify the parities of the appointment. Election of a Hearing Officer selected by the University is final.

If the complainant or the complainant's representative, if any, elects a mutually agreed upon Hearing Officer, the parties shall attempt to select said Hearing Officer. If no agreement can be reached, the CHR ELR Director or the HS ELR Director shall obtain a list of seven (7) hearing officers from the American Arbitration Association (AAA). Upon receipt of the list, the parties may agree to select someone from the list as the Hearing Officer. If no such agreement occurs, the complainant or the complainant's representative and a designee from CHR ELR or HS ELR alternately strike names, with the complainant or the complainant's representative striking first, until one remains who will be the Hearing Officer.

Election of a mutually agreed upon Hearing Officer may be revoked at any time prior to the incurring of fees to obtain a selection list of the mutually agreed upon Hearing Officers.

Scheduling and Rescheduling the Hearing

Subject to the availability of the Hearing Officer, the CHR ELR Director or the HS ELR Director or designee shall attempt to schedule the hearing within 180 calendar days of the complainant's request. Requests by either party to reschedule hearing meetings must be in writing at least thirty (30) calendar days prior to the scheduled meeting. The written request is filed with the CHR ELR Director or the HS ELR Director who decides whether to reschedule the Hearing. Requests submitted less than thirty (30) calendar days from the date of the hearing must be for a compelling reason. If no compelling reason exists, the hearing shall convene as scheduled.

Fees

If the complainant elects a Hearing Officer Selected by the University, there shall be no charge to the complainant for the Hearing Officer's fees, unless the complainant requests to reschedule the hearing more than once, in which case the Hearing Officer's fees shall be split equally between the University and the complainant.

If the employee elects a mutually agreed upon Hearing Officer, the cost of obtaining the list of Hearing Officers from AAA and the Hearing Officer's fees shall be split equally between the University and the complainant.

Hearing Process

Except by mutual agreement of the parties, only issues that were initially accepted for review in the formal complaint may be introduced at the hearing. The parties shall attempt to stipulate in writing to the Statement of the Issues to be submitted for review at the hearing.

Each party shall provide the other with copies of material(s) 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 (7) calendar days prior to the hearing.

The hearing shall be closed unless both parties agree to an open hearing. In the absence of such an agreement, the hearing shall be closed to all persons other than the principal parties to the complaint, (i.e., the supervisor or department head or designee, the complainant, and one representative for each party). In addition, one other Human Resources representative may also be in attendance.

During the hearing, the parties shall each have the opportunity to appear personally before the Hearing Officer to present evidence, examine and cross-examine witnesses under oath or affirmation. Evidence may be oral or documentary. Offers of settlement of the complaint or statements made in the course of settlement discussions shall not be admissible.

Either or both parties may, at their discretion, file briefs or written closing arguments with the Hearing Officer. The order and time limits for submitting a brief or written closing arguments shall, on a case-by-case basis, be as mutually agreed upon by the parties or as specified by the Hearing Officer. Time limits may be extended by mutual agreement.

The University, at its discretion, shall either tape the hearing or have a stenographic record made. The employee may purchase a copy of the tapes or stenographic record, if any, at half the cost paid by the University. The parties may agree in advance to equally share the expense of a stenographic record.

Hearing Officer's Authority

The Hearing Officer shall not add to, delete from, or otherwise modify the provisions of Personnel Policy for Staff Members. The Hearing Officer shall not have the authority to subpoena documents, witnesses or require a stenographic record. However, the Hearing Officer shall have broad discretion regarding the admissibility and weight of evidence and shall be guided by generally accepted standards regarding admissibility of evidence.

Remedy

The remedy in a complaint hearing shall not exceed restoring to the complainant the rights, pay and benefits lost as a result of the action, less any compensation from other sources.

Decision

The Hearing Officer's final and binding written decision shall be forwarded to the CHR ELR Director or HS ELR Director within thirty (30) calendar days from the conclusion of the hearing. The Hearing Officer may request a time limit extension through CHR or HS. The hearing officer is limited to restoring any University pay, University benefits, and/or rights provided under University policy lost as a result of the management action. The CHR ELR Director or HS ELR Director shall then forward a copy of the final and binding decision to the complainant and the complainant's representative, if any, and the Department Head.

The final and binding decision by the Hearing Officer concludes the process for complaints eligible for processing through Hearing.

III.J.3.C. Paid Time Off for Factfinding and Meetings

Pay Status

Upon advance request of no less than three (3) working days, an employee and the employee's representative (if the representative is a UCLA employee who is also covered by these policies and is not being paid for such representation) shall be entitled to reasonable release time with pay for time spent in informal resolution of an employee's complaint and in presenting a complaint at a factfinding or formal hearing.

Upon advance request of no less than three (3) working days, an employee who serves as a witness (who is covered by these policies) shall receive release time with pay while testifying at a factfinding or hearing. In addition, the employee shall be entitled to reasonable release time with pay for other meetings convened by the University related to resolution of an employee's complaint. Release time shall include travel time only when (a) the hearing, factfinding, MSP factfinding or meeting takes place away from the campus or (b) the employee works at an off-campus location.

III.K.1. Request for Formal Review (MSP)

Filing

If an issue alleging violation of one or more of the PPSM policies has not been resolved at the informal level, a formal review may be requested.

The PPSM Complaint Form is available from and must be filed with CHR Employee & Labor Relations (10920 Wilshire Blvd., Suite 200) or HS Human Resources (10920 Wilshire Blvd., Suite 400).

If the complaint has been filed within established time limits, the CHR ELR Director or HS ELR Director shall grant up to fifteen (15) calendar days extension of time in order to permit a technically flawed but timely complaint to be corrected and resubmitted.

Time Limits-Deadlines which fall on a day which is not a business work day will automatically be extended to the next business work day. Any time limit that expires on a Saturday, Sunday or University observed holiday shall be extended to the next normal business work day.

Acceptance of the Complaint

Department Response

The CHR ELR Director or the HS ELR Director shall request a written Departmental response from the person at the next higher level of authority in the reporting hierarchy of the person whose action(s) gave rise to the complaint. The response may not be delegated or written by the person whose action(s) gave rise to the complaint.

III.K.2. Appeal

Alternatively, if the University agrees, a career employee may elect to proceed directly to Step III for MSP factfinding, provided that the complaint alleged a policy violation eligible for review at Step III (Section K.3.). All other issues not eligible for Step III will be considered resolved on the basis of the Step I decision.

III.K.3.B. Factfinding

MSP Factfinding Review Process (Career Employees Only)

Issues Subject to Factfinding (Managers and Senior Professionals – Salary Grades I through VII)

The MSP Factfinding process is only available to employees who hold appointments in Manager and Senior Professional (MSP) classifications at Salary Grades I through VII. An MSP factfinding is a review of the allegations in a complaint by an independent party who then issues a non-binding report. The next higher level of authority in the reporting hierarchy at the University makes the final and binding decision. An MSP employee may request the appointment of a Factfinder only for alleged violations of Policy 12 (Nondiscrimination in Employment), provided that the complaint alleged a discriminatory application of Policy 64 or Policy 66, Policy 64 (Termination and Job Abandonment), Policy 66 (Medical Separation) or Retaliation in violation of the complaint resolution policy.

All other alleged Policy violations are not eligible for Factfinding, but may still be reviewed through Step II Review (See Request for Further Review –MSP form).

If the complaint is not eligible for Factfinding or the employee did not request Factfinding, the CHR ELR Director or HS ELR Director shall request a final and binding decision from the person at the next higher level of authority in the reporting hierarchy of the person who issued the previous response. The final and binding decision shall provide the reason(s) for accepting, modifying, or denying the requested remedy. The CHR ELR Director or the HS ELR Director shall forward the final and binding decision to the employee, the employee’s representative, if any, and the department head within twenty (20) calendar days of the Request for Further review.

A complaint that is not resolved at Step I or Step II may be appealed in writing, using the Request for MSP Factfinding.

The request for MSP Factfinding must specify the portion(s) of the complaint that were not resolved in the previous response. The employee should indicate if he/she will be self-represented or represented by another. If represented by another, the request shall include the representative's name, address, and telephone number.

When the employee requests the appointment of an MSP Factfinder, the CHR ELR Director or the HS ELR Director shall appoint one and notify the parties of the appointment.

Scheduling and Rescheduling MSP Factfinding

Subject to the availability of the Factfinder, the CHR ELR Director or the HS ELR Director shall attempt to schedule the MSP Factfinding within 180 days of the employee's request. Requests by either party to reschedule MSP Factfinding meetings must be in writing at least thirty (30) calendar days prior to the scheduled meeting. The written request is filed with the CHR ELR Director or HS ELR Director who decides whether to reschedule the MSP Factfinding. Requests submitted less than thirty (30) calendar days from the date of the meeting must be for compelling reasons. If no compelling reason exists, the MSP Factfinding meeting will convene as scheduled.

MSP Factfinding

In the MSP Factfinding, each party shall have the right to appear personally before the Factfinder, to present evidence, and to examine and cross-examine witnesses under oath or affirmation. Evidence may be oral or documentary. Offers of settlement of the complaint or statements made in the course of settlement discussions shall not be admissible.

Each party shall, upon request, provide the other with copies of material to be introduced at the MSP Factfinding and the 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 (7) calendar days prior to the MSP Factfinding.

Either or both parties may, at their discretion, file written closing statements with the Factfinder. The order and time limits of submitting written closing statements shall, on a case-by-case basis, be as mutually agreed upon by the parties or as specified by the Factfinder. These time limits may be extended if mutually agreed upon by the parties.

The University shall either tape the MSP Factfinding or have a stenographic record made. The employee may purchase a copy of the tapes or the stenographic record, if any. The parties may agree in advance to share the expense of a stenographic record.

Factfinder's Report

Within thirty (30) calendar days after the MSP Factfinding, unless otherwise extended at the request of the Factfinder, the Factfinder shall file a report with the CHR ELR Director or the HS ELR Director who then forwards the report to the person at the next higher level of authority in the reporting hierarchy of the person who issued the Department Response. The MSP Factfinding report shall contain the following information: statement of the issues being complained about; position of the parties; findings of fact; and policy violations, if any.

Step III Final Decision

The final decision shall be provided by the person at the next higher level of authority in the reporting hierarchy of the person who issued the previous response and shall take into consideration the Factfinder's report and provide the reason(s) for accepting, modifying or denying the requested remedy. The CHR ELR Director or the HS ELR Director shall forward the final and binding decision and the Factfinder's report to the employee, the employee's representative, if any, and the department head within thirty (30) calendar days of the receipt of the Factfinder's Report.

The Step III final and binding decision concludes the process for complaints eligible for processing through MSP Factfinding.

III.K.3.C. Paid Time Off for Factfinding and Meetings

Pay Status

Upon advance request of no less than three (3) working days, an employee who serves as a witness (who is covered by these policies) shall receive release time with pay while testifying at a factfinding or hearing. In addition, the employee-witness shall be entitled to reasonable release time with pay for other meetings convened by the University related to resolution of an employee's complaint. Release time shall include travel time only when (a) the factfinding or hearing, or meeting takes place away from the campus or (b) the employee works at an off-campus location. When an employee is required to attend factfindings or hearings involving the University, that attendance shall be counted as time worked.

III.M. Conflict of Interest

If an employee has concerns about a conflict of interest on the part of the factfinder, University hearing officer, and/or decision-maker, the employee should raise those concerns with the CHR ELR Director or the HS ELR Director within 10 calendar days on which the employee knew or could reasonably be expected to have known of the designation. The CHR ELR Director or the HS ELR Director will determine whether an actual conflict of interest exists. If it is determined that the factfinder, University hearing officer, and/or decision-maker has an actual conflict of interest that would prevent him or her from serving impartially, the CHR ER/LR Director or the HS ELR Director will designate someone else to serve in that role. This designation is final and is not subject to review under PPSM Policies.