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Grievance/Complaint Resolution
AFSCME 6.5
Revised July 1, 2008
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Employees are encouraged to use the procedure described in the paragraphs below for settlement of grievances concerning any dispute over the interpretation or application of university personnel policies.
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Disputes alleging discrimination that is in violation of the university non-discrimination policy or state or federal law may also be filed directly with the Affirmative Action Office. Section K of this policy describes the jurisdiction of the Affirmative Action Office.
During the probationary status of an appointed employee, no matter concerning the discipline, layoff or termination of such employee shall be subject to the Grievance Procedure.
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At all settlement stages, matters may be presented in person by the employee, or in company of a recognized union's designated steward from within his/her department or area. If the designated steward is not available or if the employee does not want the designated steward, the president or vice president of the Union will be contacted and asked to assign the chief steward or another Union official familiar with the department in which the problem-grievance arose to handle the grievance.
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The employee may select a representative of his/her own choosing provided it is not either directly or indirectly a representative of another employee organization or a person directly or indirectly related to another employee organization when an exclusive representative has been recognized.
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Regardless of choice of representative, if any employee organization has exclusive representation of a unit covering the employee, such organization shall be provided copies of written charges and responses in Settlement Stage I, II and III and shall be notified of the time of the hearing, if any is called, in Settlement Stage IV, and shall be allowed to have a representative present at any such hearings.
Regardless of the stage at which the grievance is initiated, the problem or complaint must be made within ten working days from the time of knowledge of the incident or discriminating practice causing the grievance.
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An attempt will be made to settle a problem or complaint at this stage by an informal meeting between the grievant and/or a union representative and management at the level at which the complaint arose. If a resolution is reached at this stage, the union may request the settlement in writing.
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If the problem or complaint involves more than one employee, it may be presented by a single spokesperson or representative of the group.
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If the informal meeting does not result in a resolution, the problem or complaint shall be taken to the management level at which the complaint arose within ten (10) workdays of the event or knowledge of the event.
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A termination shall be regarded as a final decision of Settlement Stage I and subject to the conditions of Settlement Stage II (if the employee desires to appeal). The grievance may be filed at a higher stage with the mutual agreement of the parties.
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Either the employee(s) or management is obligated to put the complaint or answer in writing if requested by the other, to be signed by the person(s) providing the complaint or answer. A response to the complaint is due within ten workdays (Saturdays, Sundays, and holidays excluded) of the informal meeting or, if no meeting is held within ten workdays of receipt of the grievance.
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Management is encouraged to consult with Employee Relations prior to issuing a formal response to a grievance. Copies of written answers or decisions must be forwarded to Employee Relations of University Human Resource Services.
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If the employee regards the response at Stage I as unsatisfactory, or if no response is given within the ten-day period, the employee is entitled, during his/her next ten working days (Saturdays, Sundays and holidays excluded), to appeal the outcome of Stage I to the dean or director.
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If the appeal is on behalf of more than three employees, one person, and no more than two, must be designated as a spokesperson or representative for the group.
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Both the employee(s) and management must put their responses in writing at this stage.
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The grievant or union representative may request a meeting and the department will, whenever possible, accommodate such a request to discuss the grievance. Such meeting will be scheduled within five workdays of receipt of the grievance. The dean or director will respond in writing within ten workdays of the conclusion of the grievance meeting or within ten workdays of receipt of the grievance, if no meeting is held.
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Management is encouraged to consult with Employee Relations prior to issuing a formal response to a grievance. Copies of written answers or decisions must be forwarded to Employee Relations of University Human Resource Services.
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If the employee regards the response of the dean or director as unsatisfactory, or if no response is given within the ten-day period, the employee is entitled, during his/her next five working days (excluding Saturdays, Sundays and holidays) to appeal in writing to the Employee Relations director for assistance in obtaining a fairly regarded settlement of the complaint or grievance.
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If the appeal is on behalf or more than three persons, one person and no more than three must be designated as spokesperson or representative of the group.
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The Employee Relations director will require the complaint or grievance be stated in writing and will assist with the written statement if desired. A copy will be provided to the supervisor and dean or director. The Employee Relations director will attempt to resolve the grievance satisfactorily and will require the final decision of the supervisor and dean or director in writing.
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If the Employee Relations director does not resolve the matter within ten working days (Saturdays, Sundays and holidays excluded), he/she shall advise the originating party of his/her, or their rights to Settlement Stage IV.
If the grievance has not been settled at the conclusion of Stage III, 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.
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Notification and Time Limits
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The University or AFSCME may request mediation of a pending grievance by notifying the other party in writing within fifteen (15) work days of the Level Three response.
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As soon as possible after the written request for mediation and mutual agreement to mediate the grievance, the parties shall jointly select a mediator and schedule a mediation meeting at the earlier possible date
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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.
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Jurisdiction and Exclusions
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Any grievance under the parties’ grievance procedure that has been discussed at Level Three may be mediated with the exception of cases involving an employee termination.
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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.
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Mediation Hearing Procedures, Rule and Outcome
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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.
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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.
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The issue mediated will be the same as the issues the parties have failed to resolve through the grievance procedure.
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The mediator shall conduct the mediation meeting by utilizing any of the customary techniques associated with mediation, including the use of separate caucuses.
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Attendance at the mediation meeting shall be limited to the Local Union President of AFSCME 832, or designee; AFSCME International Representative; Employee Relations director; Employee Relations Manager; the grievant; and other individuals chosen by AFSCME 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.
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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.
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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.
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The mediator’s fees and expenses shall be shared equally by the University and AFSCME, or the grievant if AFSCME representation waived. All other expenses shall be the responsibility of the party incurring the expense.
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If the originating party is not satisfied with the decision of Settlement Stage III, and if the grievance involves a violation of personnel policies of the University or a charge of unfair employment termination, he/she shall be entitled during the next fifteen (15) work days (excluding Saturdays, Sundays and holidays), to request through Employee Relations of University Human Resource Services, an investigation and hearing by one of the following:
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A single arbitrator selected from a panel of five, named by the American Arbitration Association, by the process of both the aggrieved, or his/her representative and the University representative striking off names, singly and alternately, starting with the aggrieved, until one is selected. All arbitration expenses of the American Arbitration Association and subsequent member involvement shall be shared equally by both the aggrieved employee or any employee organization representing the employee and the University.
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A mutually agreed upon local arbitrator. A mutually agreeable list of local arbitrators will be established and made available to use. This list may contain arbitrators within the state as well as from Chicago, Cincinnati and Louisville. All expenses of the arbitrator including the fee of the local arbitrator, if any, shall be shared equally by both the aggrieved employee and the University. If the parties are not able to agree upon a local arbitrator within ten working days of the request to advance the grievance to Stage IV, the originating party may elect to proceed under paragraph one.
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Within 15 days, if possible, the chosen hearing body or arbitrator will investigate the grievance, conduct necessary hearings, make a written report of findings and make advisory recommendation to the provost, president, or appropriate vice president for approval. Such recommendations are advisory in nature. A copy of the written report of findings and recommendations shall be provided the aggrieved employee.
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The provost, president, or appropriate vice president will inform, in writing, the parties of the acceptance or rejection of the recommendations of the panel or arbitrator. This will conclude the problem-grievance procedure.
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Grievances that may be appealed to arbitration are limited to disputes alleging a violation or application of a promulgated university rule, regulation, policy, or a grievance alleging that an employee has either been suspended with loss of pay or terminated without just cause. Specifically excluded are grievances involving judgement concerning salary increases, ranges, job classifications, and disciplinary actions that do not include a suspension with a loss of pay or discharge.
J. Additional items relative to problem-grievance procedure
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Before, during or following any of the Settlement Stages listed below, any staff member, supervisor, dean, or director may feel free to consult with the Affirmative Action Officer if the complaint is of discrimination on the basis of reasons stated in the opening paragraph.
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When an employee organization has been accorded exclusive recognition of a representation unit, stewards may be designated by the employee organization in accordance with work areas and shifts so that employees will have access to a steward in their working area. Names of stewards and assigned areas must be furnished to the Employee Relations, who in turn shall advise all unit management personnel concerned.
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Employees and stewards shall be allowed reasonable opportunity for discussion of complaints or grievances subject to approval of the supervisor of each as to the earliest practical time when they both can be spared from the job.
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A grievance may be filed at a higher stage with the mutual agreement of Employee Relations and the grievant and/or the union.
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Time limits identified in the various stages may be extended by mutual agreement of all parties.
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Eligibility for pay is extended to the following persons for regularly scheduled time away from the job in order to attend fourth-stage grievance hearings for SM employees on the Bloomington campus: The local's President or designated replacement; the union steward who handled the grievance at the first three stages; the grievant providing there are no more than two (if more than two, then one or two representatives may be selected by the group); witnesses for the time they testify and a reasonable waiting period (15-20 minutes normally is sufficient time to come from any part of campus to a hearing).
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Supervisory written reports of unsatisfactory work or job conduct of an employee in the representation unit, of which the employee was not made aware, shall not be used against the employee to support a disciplinary action. The employee's signature or initials on a copy of the report shall be acceptable evidence that the employee was made aware of such reports.
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Effective July 1, 1982, a copy of all Staff Incident Reports will be made available to the Executive Board of Local 832 for all appointed SM employees. This will eliminate the requirement that the form be sent to the employee by certified mail if the employee refuses to sign it.
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A supervisor of a staff member on an SM position must take disciplinary action or a staff member must file a grievance for a specific incident, or notify the other in writing that an investigation of the alleged incident is in progress, within ten (10) work days of knowledge by the supervisor or employee of the incident. Investigations must take place in an expeditious fashion and not be used as simply a method to delay action. This policy does not preclude the use of past records and documents of incidents of a related nature to support either party's case.
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Appointed employees may make use of all stages of the grievance procedure if they feel the qualifications listed for an SM position vacancy are inconsistent or significantly greater than the realistic demands of the position.
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In the event of a grievance involving a pay differential filed against the university, unless the parties otherwise agree or unless the Arbitrator otherwise directs, if the grievant prevails he or she shall be entitled to the differential for the period of time that the higher rate should have been received until he or she is actually placed on the higher rated job.
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The union president and the union steward most immediately involved in a grievance shall be allowed to attend Stage III grievance meetings.
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Apprenticeship employees are allowed to file grievances and the grievances may be processed through this problem-grievance procedure.
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To encourage the use of local arbitrators, for grievances reaching the fourth stage, it is agreed that an attempt will be made to select a mutually agreeable local arbitrator before requesting AAA
arbitration. It is further agreed that the Administrator and the exclusive representative will attempt
to agree upon a list of such arbitrators to expedite the selection process. -
In a promotion or transfer grievance, if the grievant prevails, the unit seniority date will reflect the date upon which the grievant should have been placed in the position.
K. Affirmative Action complaints
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The Indiana University Equal Opportunity Affirmative Action Policy states:
Indiana University pledges itself to continue its commitment to the achievement of equal opportunity within the university and throughout American society as a whole. In this regard, Indiana University will recruit, hire, promote, educate, and provide services to persons based upon their individual qualifications. Indiana University prohibits discrimination based on arbitrary considerations of such characteristics as age, color, disability, ethnicity, gender, marital status, national origin, race, religion, sexual orientation, or veteran status. -
Formal charges of discrimination for reasons stated in this policy may be filed directly in the Campus or University Affirmative Action Office, and processed through affirmative action procedures pursuant to affirmative action policy.
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In accordance with Indiana University policy, the Affirmative Action Office's jurisdiction includes the investigation and resolution of discrimination that is in violation of university's policy or state or federal law. The Affirmative Action processes are not a substitute for the grievance procedure for resolving disputes over the application or interpretation of university policies. Such issues must be handled through the grievance procedure. The filing of a complaint with Affirmative Action does not waive the time limits set forth for filing a grievance and advancing it the next level that are set forth in this policy.
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Complaints initiated with the Employee Relations alleging claims of discrimination may be deferred to the Affirmative Action Office if the primary dispute concerns an allegation of discrimination.
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No employee shall be retaliated against in any way for filing a complaint with the Affirmative Action Office.
