Personnel Policies for Police Staff Employees
Represented by AFSCME, Local 683 at South Bend

6.3 Problem-Grievance Resolution Procedure

Revised July 1, 2009
Changes indicated in red font.

Staff covered by this policy
This policy applies to appointed Service Maintenance Staff at South Bend.

A. Philosophy

This policy sets forth the policy and procedural requirements for employees to present grievances and obtain a hearing and decision concerning such grievances.

B. Application

This policy applies to Indiana University appointed Service-Maintenance employees who work on the South Bend campus excluding employees who have not successfully completed their probationary period.

C. Policy

The University and the Union acknowledge the desirability of ensuring the fair resolution of disputes in the work place. Whenever possible the dispute or problem should be resolved at the work unit level. However, in some instances it is recognized that this may not be possible. Nevertheless, it is the philosophy of the parties that issues that arise in the employment setting should be discussed as early as possible. The Union is encouraged to come forward with ideas and discussion in an effort to effectuate resolution of problems prior to filing a formal grievance and even before corrective action is taken, where possible. In situations where an employee may be subject to potential termination of employment, if the Union engages the University in a dialogue prior to filing a grievance, and preferably before a final decision is made to discharge an employee, and where the circumstances are appropriate, the University will consider alternatives to termination of employment (such as resignation in lieu of discharge, last chance agreement, etc.). Neither party is required to meet and confer as described above, but it is highly encouraged. This policy provides an effective method and dependable problem resolution procedure.

D. Provisions

  1. Definitions. The following meanings apply in interpreting and utilizing the procedures in this policy.
    1. "Grievance" means a specific complaint initiated by a non-probationary employee, group of such employees or such employee’s (s’) authorized representative alleging that his or her employment has been, or is being, adversely affected by an improper application or interpretation of a University rule, regulation, policy, procedure, or practice or by a specified action of a supervisor that is contrary to University policy. Excluded are those topics described in Paragraph D.2.a.

      The grievance must contain a description of the alleged violation with the pertinent facts, the specific law or University policy or procedure that was violated, and the requested resolution.
    2. "Grievant" means an appointed Service-Maintenance employee who has successfully completed the probationary period, group of such employees, or such employee’s (s’) authorized representative and has filed a grievance in accordance with this Policy.
    3. "Work Days" mean days that the South Bend campus offices are open and available to conduct business. Excluded days include weekends and holidays recognized by the University.
  2. Jurisdiction and Exclusions
    1. This grievance procedure shall not apply and may not be utilized in regards to any issues arising either in whole or in part concerning:
      1. Salary increases, job assignments, and work standards. Concerns regarding the latter shall be resolved by the Director of Human Resources.
      2. Any disciplinary matter or termination during the probation period.
    2. Grievances that may be appealed to arbitration are limited to disputes alleging a violation of a promulgated University rule, regulation, policy or grievance alleging that an employee has not been terminated for just cause. Specifically excluded are grievances involving performance evaluations and disciplinary actions that do not include discharge or suspension.
    3. The campus human resources office, with the agreement of the Affirmative Action Officer, will defer any grievance that primarily alleges a violation of the University's nondiscrimination or sexual harassment policy to the Affirmative Action Office for investigation and recommendations. The time limits set forth in this Policy for processing grievances shall be held in abeyance for such cases until the Affirmative Action Office has completed its investigation.

      If the Affirmative Action Office is unable to resolve the dispute or if the grievant is unsatisfied with the conclusion, the grievant retains the right to appeal to the next level of the grievance procedure within ten (10) work days of the notification of case closure by the Affirmative Action Office.
  1. Time Limits
    1. An initial grievance must be filed in writing within ten (10) work days of the event giving rise to the grievance or the time the grievant should have first become aware of the event. In the case of a reduction in force (RIF), the 10 work day period begins when the employee is notified of the RIF or when the employee first becomes aware of or should have become aware of the violation of the RIF procedure.
    2. The time limits set forth in the various steps may be extended by mutual agreement of the parties. All such extensions shall be in writing.
    3. A grievance not submitted within the specified time limit or other time limit as mutually agreed is considered waived or settled.
    4. If the University fails to respond to a grievance within the specified time limit or such other additional period of time as mutually agreed to, then the grievant may treat the grievance as denied and appeal the grievance to the next level.
  1. Determination of Appropriate Grievance Steps
    1. The grievance shall be filed at Level One except in those cases listed below.
    2. Grievances concerning the involuntary termination of an employee shall be directly appealed to the Level 2 - Dean, Director, Department Head, or his/her designated department representative or Level 3 – Director of Human Resources, as appropriate. The ten (10) work day time limit provided to an employee for filing an initial grievance shall apply. An employee suspended pending discharge and/or designated representative may appeal within ten (10) work days of the incident that led to the suspension.
    3. A grievance alleging sexual harassment by the person designated at that level to respond to the grievance should be filed at the next higher level. The ten (10) work day time limit provided to an employee for filing an initial grievance shall apply.
  2. Waiver of Union Representation
    1. The grievant has the right at any level of the grievance to represent him/herself. However, the grievant must notify the University that Union representation is being waived at the time the written grievance is filed at Level 3. This waiver is irreversible. If the grievant waives the right to Union representation, the grievant is responsible for the grievant's share of all mediation and arbitration costs. The Union retains the right to attend all arbitration meetings and to receive copies of all responses and other documents related to the substance of the grievance. In no event may the grievant be represented by another employee union or organization, either directly or indirectly by someone affiliated with another employee union or organization, that is not the exclusive representative.
  1. Meetings Between Union Representatives and University Administrators will be held according to the Release Time for Union Activities in Appendix 7.7.

E. Grievance steps

  1. It is the intent of this Policy that grievances be resolved at the earliest step of the grievance procedure. Grievances shall be processed in accordance with the following procedure:
  2. Level One
    1. The aggrieved employee(s) and/or his/her authorized Union representative shall present the initial grievance in writing to the aggrieved employee’s immediate supervisor (or, in the event of a transfer or promotion, the supervisor where the opening exists) within ten (10) work days of the event that gave rise to the grievance or the time the grievant should have first become aware of the event.
    2. The grievance must be submitted on University Human Resource Services approved forms and must contain 1) the specific University policy or procedure allegedly violated; 2) a clear and concise description of the nature of the grievance and how the action allegedly violated policy; and 3) the specific remedy requested for resolution.

      The employee and the supervisor shall make every attempt to resolve the grievance at this level. The supervisor shall respond in writing to the employee and his/her Union representative (with a copy to campus human resources office and Department Head) within five (5) work days after receipt of the grievance. The supervisor is encouraged to consult with the campus human resources office prior to issuing his/her response.
  1. Level Two
    1. If the grievant is not satisfied with the supervisor’s response, then s/he may appeal the outcome to the Dean, Director, Department Head, or his/her designated department representative within five (5) work days of receipt of the supervisor’s response or within ten (10) work days of the supervisor’s receipt of the Level One grievance if no response is given by the supervisor. Grievances initiated at this Level such as terminations are provided a 10-work day time limit as noted in Paragraph D.4 of this Policy. The appeal must be submitted on approved forms and contain the information as specified in Level One of the grievance procedure including the Level One response.
    2. The grievant or Union representative may request a meeting and the department shall whenever possible accommodate such request to discuss the grievance. The Dean, Director, Department Head, or his/her designee shall respond in writing within five (5) work days, including the grievance meeting, of receipt of the grievance. The Department Head is encouraged to consult with the campus human resources office prior to issuing his/her response.
  2. Level Three: Joint Conference
    1. If the grievant is not satisfied with the Level Two response or if no response is received from the department within the prescribed time limits, then the grievant may appeal to the campus human resources office within five (5) work days of receipt of the Level Two response or within fifteen (15) work days of the supervisor’s receipt of the Level One grievance if no response is given by the supervisor.
    2. The Level Three appeal shall be submitted by the grievant or Union representative in writing to the campus human resources office on approved forms and containing the information as specified in Level One of the grievance procedure including Level One and Two responses. The grievant also must indicate on the grievance form whether s/he is waiving his/her right to Union representation and will be presenting his/her own grievance at each of all the subsequent steps. This waiver is irreversible.
    3. Within five (5) work days of the receipt of the appeal, the campus human resources office will promptly schedule a joint conference to further discuss and attempt to resolve the grievance. Such joint conferences shall be attended by not more than three (3) representatives for each of the parties in addition to the grievant. The University will provide the grievant and the authorized Union representatives with a written summary of the University's position within five (5) work days after the date of the joint conference unless the parties jointly agreed to extend the time limits to conduct further investigation. The University will provide the Union Staff Representative for AFSCME, Local 1477-01, a list of prospective witnesses.

  1. Mediation
    1. In conjunction with the grievance procedure, if the grievance has not been settled at the conclusion of Level Three, then either the University or Union, or the grievant if Union representation has been waived, may request mediation. This is intended to be an optional step in the grievance procedure that requires the mutual agreement of both parties. The time limits for appealing the grievance to the next level are held in abeyance until the mediation process is completed. The mediation will be conducted in accordance with the following guidelines. These guidelines shall be provided to mediators selected by the parties. Nothing in the agreement shall be interpreted or construed to modify any other provisions of the grievance procedure.
    2. Notification and Time Limits
      1. The University or AFSCME Local 1477-01 may request mediation of a pending grievance by notifying the other party in writing within five (5) work days of the Level Three response.
      2. If both sides are agreeable to take the matter to mediation, as soon as possible after the written request for mediation, the parties shall jointly select a mediator and schedule a mediation meeting at the earliest possible date.
      3. If no settlement is reached as a result of the mediation meeting, the grievance may proceed to arbitration, provided that the grievance issue is not excluded from arbitration by any other policy provision. The time limit for requesting arbitration shall apply effective from the date of the grievance mediation session
    3. Jurisdiction and Exclusions
      1. Any grievance under the parties' grievance procedure that has been discussed at Level Three and that is eligible for arbitration may be mediated with the exception of cases involving an employee termination.
      2. By agreeing to schedule or participate in the mediation meeting, the University does not acknowledge that the case is properly subject to arbitration and reserves the right to raise this issue.
    4. Mediation Hearing Procedures, Rules, and Outcome
      1. The proceedings before the mediator will be informal, and the rules of evidence do not apply. No record, stenographic or tape recording of the mediation meeting will be made. The mediator's notes are confidential, and the content shall not be revealed.
      2. All written material that is presented to the mediator or the other party shall be returned to the party presenting the material at the end of the mediation meeting.
      3. The issue mediated will be the same as the issues the parties have failed to resolve through the grievance procedure.
      4. The mediator shall conduct the mediation meeting by utilizing any of the customary techniques associated with mediation, including the use of separate caucuses.
      5. Attendance at the mediation meeting shall be limited to the Local Union President of AFSCME, Local 1477-01, or designee; AFSMCE Representative; Director of Human Resources; the grievant; and other individuals chosen by AFSCME Local 1477-01 or the University that are directly involved in the grievance and whose presence is required. Neither party will be represented by an attorney at the mediation meeting.
      6. The mediator has no authority to compel resolution of the grievance. The mediator may be requested by either party to issue an advisory recommendation or decision that shall be provided to both parties. The University and AFSCME may accept the resolution proposed by the mediator, and the settlement or any settlement resulting from the mediation meeting shall not be precedent setting unless there is a written understanding that it will be a precedent.
      7. Neither at the arbitration hearing concerning the grievance that was mediated nor at any other arbitration hearing, may either party refer to the presentations made at any mediation meeting by the other party, the fact that a mediation meeting was held concerning the grievance, or any statement by a mediator at any mediation meeting.
      8. The mediator's fees and expenses shall be shared equally by the University and AFSCME. All other expenses shall be the responsibility of the party incurring the expense.
      9. The parties shall meet and develop a panel of mutually agreeable mediators and agree upon a method of selecting mediators for specific cases.

F. Arbitration

  1. If the Union or grievant is not satisfied with the Level Three response, or the University does not provide an answer within the time limits, and if the grievance involves a violation of the University rule, regulation, policy or a charge of unfair employment termination, the Union or grievant may give notice of the intent to proceed with a formal arbitration hearing.
    1. Notification and Time Limits
      1. The notice for a formal hearing in accordance with this step of the procedure must be submitted to the Human Resources Department not more than five (5) work days following the date of the Level Three response or the final mediation session, whichever is later.
      2. The written request must be submitted on approved forms and contain the information as specified in Level One including the responses from other Levels.
    2. Selection of Arbitrator
      1. Twenty (20) work days after receipt of the notice to arbitrate, the Union International Representative or grievant, if Union representation has been waived, and the representative of the University will select an arbitrator:
        1. from a panel of arbitrators jointly agreed upon by the University and the Union, or, if such a panel of arbitrators does not exist,
        2. from a panel of five (5) arbitrators, provided by the American Arbitration Association, who are not currently or previously employed by Indiana University.
      2. An arbitrator shall be selected by alternately striking names with the Union, or grievant if Union representation has been waived, making the first strike until one name remains. The remaining person shall be designated as arbitrator, and the University shall advise the American Arbitration Association of the selection.
    3. Pre-Arbitration Hearing Conference
      1. After the selection of the arbitrator and the scheduling of the hearing date, the Union International Representative or Union Counsel, or grievant if Union representation has been waived, and the University counsel or the Director Human Resources and/or a member of the University Employee Relations staff shall meet and attempt to reduce the issue to writing, stipulate facts, authenticate proposed exhibits, exchange witness lists and reach any other understandings that will expedite the hearing process.
    4. Final Decision
      1. The arbitrator shall make a written report of findings and advisory recommendation to the appropriate Chancellor or Vice President responsible for the organizational unit where the grievance originated or the grievant is assigned. A copy of the arbitrator’s report shall be provided to the grievant.
      2. The Chancellor or Vice President will accept, modify, or reject the recommendation. This decision is final and binding on all parties.
    5. Formal Grievance and Hearing Rules
      1. The following rules and procedures apply to this grievance procedure.
      2. All arbitration expenses shall be split equally between the parties. Each party is responsible for the expenses of preparing and presenting its own case.
      3. If either party requests a stenographic record of the proceedings, the cost of the transcript for the arbitrator shall be equally split between the parties. Each party may order a copy at its own expense.
      4. The Arbitrator shall not rule on any matter that is specifically excluded from the grievance procedure or make any recommendation that conflicts, overturns, or modifies in whole or in part, a policy, practice, or procedure approved by the Board of Trustees of Indiana University or with any Indiana state law or federal law or any administrative regulation issued under the law by the appropriate statutory authority.
      5. By mutual agreement of the Human Resources Department and the Union, or the grievant if union representation has been waived, a grievance may be submitted to Expedited Arbitration, in accordance with the rules and procedures established by the American Arbitration Association. If Expedited Arbitration is utilized, legal counsel will represent neither party

 

 

 

Last updated: 30 July 2009

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