HR Policies: 6.11.4
Staff Complaint and Grievance Procedure
Subject: Resolving Staff Concerns
Number: 6.11.4
Issued: 10/1/80
Revised: 2/9/07
Purpose
The purpose is to establish a procedure for the fair, orderly, and
speedy resolution of disputes that sometimes arise between supervisors
and staff. This shall serve as the exclusive university procedure
for the resolution of job-related complaints and grievances.
Applies To
All regular full-time and part-time exempt and nonexempt, nonacademic
Cornell University staff except:
| • | members of a collective bargaining unit, |
| • | unclassified employees, and |
| • | employees in Puerto Rico or the Cornell University Medical College. |
Probationary staff will have access to this procedure, except for matters involving termination and extension of the probationary period.
Usage
A staff member may utilize this procedure to review an alleged violation
or misapplication of university policies or rules pertaining to employment
in the department involved, or applicable laws or regulations which directly
and adversely affects the staff member.
Prohibited Discrimination, Protected Status (Including Sexual) Harassment
and Bias Activity
The Office of Workforce Diversity, Equity and Life Quality (WDELQ) is
responsible, under Policy
6.4, Prohibited Discrimination, Protected Status (Including Sexual) Harassment
and Bias Activity, for the enforcement of the university's non-discrimination
obligations and has the exclusive responsibility of accepting and processing
complaints of prohibited discrimination and protected status harassment
and resolving them in accordance with Policy
6.4. Time limits in this grievance procedure may be modified in order
for WDELQ to process such complaints.
Informal Resolution of Complaints
Regular and forthright communication between staff and supervisors
reduces the likelihood of the need for more formal review and is
in the mutual best interest of both the university and staff. Written
reference materials and guidelines to assist supervisors are available
upon request from the local hr representative or designee.
Therefore, staff should bring to the attention of their supervisors any work-related problems as soon as possible after they arise, and discuss the concern with the objective of resolving it.
Supervisors should discuss with staff their concerns in a timely fashion in an effort to resolve the matters.
Should informal attempts at resolution not be satisfactory, staff may then utilize the formal grievance procedure.
Staff Relations Assistance
The local hr representative or designee or a Staff
and Labor Relations consultant is available for assistance in the
informal resolution of such matters. The local hr representative or designee
or a Staff and Labor Relations consultant may be contacted for informal
counseling if the staff member believes he or she cannot approach the
supervisor with the problem. The local hr representative or designee or
a Staff and Labor Relations consultant will meet with the staff member,
the supervisor, or both as may be appropriate, to assist in amicably resolving
their differences.
The local hr representative or designee or a Staff and Labor Relations consultant can also provide advice on:
- matters of policy interpretation,
- rights of staff and supervisors, and
- information concerning the formal grievance procedure.
Other university offices available for assisting employees with the informal resolution of such matters are the Office of the Ombudsman and the Office of Environmental Health and Safety in matters involving health and safety issues, and, in cases involving alleged discrimination based upon a staff member's race, sex (including sexual harassment), ethnic or national origin, religion, or disability, the Office of Workforce Diversity, Equity and Life Quality (formerly the Office of Equal Opportunity). (See Policy 6.4, Prohibited Discrimination, Protected Status (Including Sexual) Harassment and Bias Activity for all categories of prohibited discrimination and applicable complaint procedures.)
Representation
A staff member may choose to act as his or her own representative
in any step of this procedure. If representation is desired, the
staff member may select an employee representative, provided the
employee who is selected does not have a direct interest in the
outcome. The Office of the Ombudsman is also available to assist
staff in obtaining representation.
Protection Against Retaliation
Staff may not be discriminated against for exercising rights under
this grievance procedure. When a staff member alleges he or she
has been discriminated against for exercising rights under this
procedure, or for participating in a grievance as a witness or grievant
representative, a complaint may be initiated directly at Step II
of the formal grievance procedure. The university considers such
acts of discrimination by a supervisor against any staff member
as a result of her or her involvement in this procedure as unacceptable
supervisory conduct and a violation of university policy.
Time Limits
The time limits included in this procedure have been established
to facilitate a speedy resolution of the problem while providing
ample time to prepare and present arguments.
The time limits may be modified by mutual written agreement of the parties
If a staff member should fail to observe the time limits in any particular step, the grievance will be considered to have been resolved to the staff member's satisfaction. If the university should fail to observe the time limits in any particular step, the staff member may take the complaint to the next step.
Grievance Procedure:
Step I.
Department Head
In the event that informal attempts to resolve staff grievances
are not successful, a staff member may then file a formal grievance.
The grievance must be in writing, signed by the staff member, and
submitted to the department head within ten working days of the
occurrence which gave rise to the grievance, or within ten working
days of the date the staff member had reason to know of the occurrence.
The written grievance:
- should identify the policy or rule which is alleged to have been violated,
- should contain a concise statement of the facts surrounding the grievance, and
- should contain the remedy sought.
Any grievance which does not include these essential elements may be rejected.
Within five (5) working days from receipt of the written grievance, the department head or his or her designated representative will schedule a meeting with the staff member, the staff member's representative, the immediate supervisor, and any other individuals the department head determines will assist in the investigation and resolution of the problem. Such meeting shall be held within fifteen working days from receipt of the written grievance.
The department head or his or her designated representative will provide the staff member with a written answer within five working days after the completion of this meeting and forward a copy of the grievance and answer to the local hr representative or designee.
Step II.
Review by Staff and Labor Relations
In the event the grievance is not resolved at Step I, the grievant may,
within five working days from receipt of the Step I answer, file a written
appeal with Staff and Labor Relations in the Office of Human Resources.
The director of Staff and Labor Relations or such other official as designated by the vice president for human resources in the Office of Human Resources, will, within five (5) working days from receipt of the written appeal, schedule a meeting with the parties involved. Such meeting shall be held within fifteen working days of the receipt of the written appeal.
The director of Staff and Labor Relations will provide a written decision to the staff member and other necessary individuals within ten working days from the close of the meeting. Except as outlined in Step III, this answer shall be final and not subject to review or further appeal.
Step III.
Special Review: Suspension Without Pay and Discharge Cases
In the event the staff member's complaint results from his or her
suspension without pay or discharge, and the staff member is not
satisfied with the Step II written decision, the staff member may,
within five working days from receipt of the Step II decision, appeal
in writing to the vice president for human resources for special
review.
Arbitration of Nonexempt Staff Grievances
Special review of nonexempt staff grievances shall consist of final
and binding arbitration conducted by either a three-member panel
from the university community or an arbitrator selected in accordance
with the procedures of the American Arbitration Association. The
staff member shall state in the written appeal for special review
the option he or she has selected.
The panel list of university arbitrators, which shall be comprised of tenured university faculty, and the rules of procedure of the American Arbitration Association are available in Staff and Labor Relations for review by the staff member. If the staff member chooses an American Arbitration Association arbitrator, the arbitrator's fees and expenses shall be shared equally by the university and the staff member. In the event the arbitrator fully upholds the staff member's grievance, without modification, the university will pay the entire cost of arbitration.
Within five (5) working days from the date the vice president for human resources receives the written appeal for special review, the grievant shall meet with the director of Staff and Labor Relations or his or her designated representative to either:
1. File a Demand for Arbitration with the American Arbitration Association, or
2. Select the three-member panel as set forth below:
a. The department head and the staff member shall each select a member of the panel from the university community.
b. The two members designated will select a third member from a list of tenured university faculty, prepared by the vice president for human resources, to be chairperson of the panel.
c. If the members of the panel selected by the department and the staff member cannot agree on a third member, each will number their choice for chairperson in ascending order from the most 1, to the least 10. All 10 must be numbered.
d. The individual receiving the lowest sum shall be appointed as chairperson of the panel. All of the above selections must be made within ten days.
e. The individual selected as chairperson of the panel must not have prior knowledge of the issues in dispute or the parties involved.
The arbitrator or chairperson of the Arbitration Panel, as applicable, shall schedule a date for the arbitration as soon as practical for all the parties. The rules of the American Arbitration Association shall apply to the conduct of the hearing, and the arbitrator shall be requested to render a decision within thirty days after its completion. This decision shall be final and binding on all parties.
The arbitrator or chairperson of the Arbitration Panel, as applicable, shall have only the authority to decide the issues of whether just cause for the discharge or suspension exist and if the level of discipline was appropriate for the violation. In rendering a decision the arbitrator(s) shall have no authority to add to, subtract from, alter, or modify any policies, procedures and or practices of the university, substitute his or her judgment for that of any university administrator who has discretion in interpreting university policy, or make an award which provides the staff member with compensation greater than would have resulted had there been no violation of university policy. In addition, the arbitrator or chairperson has no authority to grant a regular appointment or any extension of employment beyond the current expiration date of employment.
Special Review of Exempt Staff Grievances
Special review of exempt staff grievances in cases of suspension
without pay or discharge shall be conducted by either the university
provost or the senior vice president.
Either the university provost, or senior vice president, or designee shall review the facts and the previous actions on the grievance and if he or she deems it appropriate, may schedule a meeting on the grievance.
Either the university provost, or senior vice president, or designee shall render a written decision on the grievance within thirty days after receipt of a written appeal or the conclusion of the meeting on the grievance, if conducted, whichever is later. The decision shall be final and binding on all parties.
Contact the local hr representative or designee or Staff and Labor Relations (607) 255-4652 for more information.