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How-To Guide
The following are some specific questions and answers related to
grievance procedures:
What kinds of problems can be submitted as grievances?
How does Informal Resolution work?
How does Mediation work?
How does the Advisory Hearing work?
How does a Formal Hearing work?
What kinds of problems can be submitted as
grievances?
Generally, all
problems may be resolved through these procedures except for those
relating to matters that fall under the University’s statutory
requirements; matters that relate to resource allocation decisions;
or issues that relate to promotion or non-reappointment.
Furthermore, APs may not grieve questions relating to employee job
evaluations.
Allegations of
discrimination may be handled through the Grievance Resolution
Procedure or may be referred to the Campus Affirmative Action
Officer. Any complaint or grievance alleging sexual harassment
brought under these Grievance Resolution Procedures is also reported
to the Campus Affirmative Action Officer by the Ombudsperson
(hereafter referred to as the Ombuds). The UIS Sexual Harassment
Policy and grievance procedures may be found at:
http://www.uis.edu/aeo/sexual_harassment_policy.htm
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How does Informal Resolution work?
A. How does
one initiate Informal Resolution?
Informal
Resolution begins when a Faculty member or AP contacts the Office of
the Ombudsperson (hereafter referred to as Ombuds Office), to
schedule an appointment for an initial interview. At this interview,
the Ombuds describes the different options available for resolving
problems. If the Faculty member or AP chooses to initiate Informal
Resolution, he or she must describe the problem to the Ombuds and
indicate how he or she would like to see the matter resolved. The
Faculty member or AP also must authorize the Ombuds to contact the
other individual(s) involved. The Ombuds can then attempt to
facilitate an acceptable resolution/solution by making inquiries to
see if the matter can be resolved without moving on to proceedings
that are more formal.
B. What
kind of information does the Ombuds need to know begin the Informal
Resolution Process?
If an
individual opts for Informal Resolution, nothing must be in writing
and no formal grievance need be filed. However, the Ombuds must know
what, when, and in what sequence the action or event occurred; the
results or consequences of that action or event; and how the action
or event has caused a problem. In addition, the Ombuds needs to know
what the Grievant wants to happen -- and the minimum the Grievant
will accept -- to resolve the matter.
C. Are
there time limits for Informal Resolution?
There are no
specified time limits for the Ombuds to affect an Informal
Resolution. However, the timing and extent to which the Informal
Resolution effort continues is up to the Ombuds. The results are
reported to the Grievant within whatever time period the Grievant
and the Ombuds agree upon.
D. What are
the possible outcomes of the Informal Resolution Process?
The Informal
Resolution Process may result in: a) a resolution that satisfies all
involved; b) an offer of possible resolution which is rejected by
the Grievant; or c) refusal by the Respondent to be responsive to
the Ombuds' efforts to resolve the matter in a way acceptable to the
Grievant. Both Grievant and Respondent may be asked to sign a
statement reflecting the resolution of the matter; this is optional.
E. If the
result is not satisfactory or acceptable, what options are left?
If the
Respondent rejects an offer of possible resolution or is not
responsive to the resolution efforts, the Grievant then has several
options. He or she can: a) file a written grievance with the Ombuds
Office in order to initiate other options under the Grievance
Resolution Procedure; b) let the matter drop; or c) pursue personal
options outside of the Grievance Procedure.
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How does Mediation work?
In Mediation,
an individual -- chosen to serve as a Mediator -- meets with
Grievant and Respondent, together and separately, as many times as
is necessary, to facilitate and obtain a voluntary, mutually
achieved resolution of the problem.
A. How does
one initiate the Mediation process?
The Grievant
must prepare a written statement detailing the problem or grievance
and file this statement with the Ombuds Office. The Ombuds may
facilitate in the drafting of this statement. The statement is then
sent to the Respondent for his or her reaction. The Respondent is
also asked whether he or she would agree to participate in the
Mediation Process. If he or she agrees, a mediator is selected and
the process begins.
B. What
kind of information does the Ombuds need to know begin the Mediation
Process?
If all an
individual opts for Mediation, the Ombuds must know what, when, and
in what sequence the action or event occurred; the results or
consequences of that action or event; and how the action or event
has caused a problem. In addition, the Ombuds needs to know what the
Grievant wants to happen -- and the minimum the Grievant will accept
-- to resolve the matter.
C. What is
the general time frame of Mediation?
The grievant
must submit a written statement of the problem to the Ombuds Office
within 60 calendar days of the event that precipitated the problem
or from the point at which it was known or should have been known
that a problem existed. The Respondent has 10 days from receipt of a
copy of the grievance from the Ombuds Office to agree to or decline
Mediation. If an agreement to mediate is reached, the Ombuds has 10
days in which to provide a list of potential Mediators to the
Grievant and Respondent. The Grievant and Respondent then have 10
days from receipt of this list to select a Mediator. If a Mediator
is not selected within 10 days, the Ombuds can appoint a Mediator.
The procedure anticipates that once begun, the Mediation itself
shall be resolved within 15 days from the date on which it began. If
it is not resolved within this time, an administrative determination
is made that an impasse has been reached, and the Mediation
procedure is considered ended without settlement resolution. All
time limits are flexible and may be extended or waived by mutual
agreement of the parties.
In short, the
Mediation process itself should be initiated within about a month or
a little less from the time of filing of the initial grievance. If
it takes the full fifteen days allotted to come to resolution, the
whole process should take no more than 55 days from the filing of
the grievance with the Ombuds Office.
D. Who are the
Mediators, where do they come from and how are they chosen?
Mediators are
drawn from a pool of active or retired Faculty members or APs who
have been trained as Mediators in this process. To serve as Mediator
in a particular Mediation procedure, the Faculty member or AP: a)
must meet the qualification requirements set forth in the procedures
themselves; b) must be chosen and agreed upon by the parties to the
dispute; and c) must not otherwise be involved in the specific
grievance at issue.
E. What is
the Mediation Process?
A Mediator
usually initially meets with both parties present so he or she can
be fully informed -- in the parties own words -- about the nature of
the dispute and the concerns of the individuals involved. Subsequent
meetings may be with one party or with both parties, which ever is
most appropriate. The mediator may ask to see pertinent materials
and/or places (if locale is pertinent to the problem). A mediator
may proffer suggestions to ascertain if a proposed solution could
resolve the problem or make the situation more problematic. When the
Mediator believes a resolution is achievable, he or she usually
brings the parties together to present the offer of settlement that
Mediation has disclosed should be acceptable to resolve the matter.
If the offered settlement is accepted, the Mediator writes up the
settlement in the form of separate agreements or promises of action
to be signed by all of the parties; the Mediator signs the agreement
as a witness.
F. What is
the optimum outcome of Mediation?
Mediation is
the least formal of the alternative dispute resolution processes and
the one best situated for good future relations between the parties.
Unlike all other grievance processes, including the Informal
Resolution Process, Mediation encourages open communications between
the parties and requires that such communications exist both
initially, when the problem is raised, and at the end, when the
problem is resolved. Mediation, therefore, both allows and helps
people develop and maintain a workable relationship for the future.
G. If the
result of Mediation is not satisfactory or acceptable, what options
are left?
If the parties
are unable to come to an acceptable agreement, the Grievant may: a)
pursue other options set forth in the Grievance Resolution
Procedures; b) let the matter drop; or c) pursue personal options
outside of the Grievance Resolution Procedures.
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How does the Advisory Hearing work?
The Advisory
Hearing is a mixed process whereby the parties ask a Hearing Officer
to listen to their respective presentations, in summary form, of the
evidence and arguments they would present fully in a Formal Hearing
context. The Hearing Officer then tells the parties what she or he
believes the resulting decision would be if the same material had
been presented in full at a Formal Hearing. This advisory opinion
then can be used as the basis for a negotiated settlement or for a
mediated settlement.
A. How does
one initiate an Advisory Hearing?
The Grievant
must prepare a written statement detailing the problem or grievance
and a request for an Advisory Hearing and file this statement and
request with the Ombuds Office. The Ombuds may facilitate in the
drafting of this statement. The statement is then sent to the
Respondent for his or her reaction. The Respondent is also asked if
he or she would agree to participating in an Advisory Hearing. If he
or she agrees, a Hearing Officer is selected and the process begins.
B. What
kind of information does the Ombuds need to begin the Advisory
Hearing Process?
If an
individual opts for an Advisory Hearing, the Ombuds must know what,
when, and in what sequence the action or event occurred; the results
or consequences of that action or event; and how the action or event
has caused a problem. In addition, the Ombuds needs to know what the
Grievant wants to happen -- and the minimum the Grievant will accept
-- to resolve the matter.
C. Who is
the Hearing Officer, where does he or she come from, and how is he
or she chosen?
The Hearing
Officer is a person external to the University who regularly serves
as an independent contractor for such purposes. Names of Hearing
Officers can be found on the State of Illinois panel of arbitrators
or on national panels of arbitrators. Hearing Officers are selected
from these lists by the Ombuds.
D. What is
the general time frame of an Advisory Hearing?
The Grievant
must submit a written statement of the problem to the Ombuds Office
within 60 calendar days of the event that precipitated the problem
or from the point at which it was known or should have been known
that a problem existed. If there was a prior proceeding conducted
under this same grievance procedure, then the Grievant has 15 days
from the end of the last process to initiate this one. The
Respondent has 10 days from receipt of a copy of the grievance from
the Ombuds Office to agree to or decline an Advisory Hearing.
Assuming an agreement to use this process is reached, the Hearing
Officer is then chosen and the Advisory Hearing process begins.
The hearing
itself is set on a mutually agreeable date for the parties and the
Hearing Officer. All time limits are flexible and may be extended or
waived by mutual agreement of the parties.
E. How does
the Advisory Hearing process actually work?
The Hearing
Officer conducts the Advisory Hearing like a simplified trial
without all the trappings, such as witnesses or elaborate documents.
The presentations are usually summaries of what would be shown or
presented if there was a full trial. The parties must attend, even
if they have counsel or other persons there to represent them. The
hearing is carried out in a quasi-judicial manner: the Hearing
Officer has final authority to decide how to conduct the hearing,
but shall be responsive to agreements between the parties as to what
and how they want to handle a particular point or contention. No
record of the hearing is made.
F. How much
time does the Advisory Hearing process take?
From the time
of filing of the initial grievance, the Advisory Hearing process
itself should be initiated within about a month or a little less,
although it sometimes takes a while for the parties to come to
agreement on an acceptable time and date for the hearing. Disputes
about dates and times are decided by the Hearing Officer. The
hearings usually take no more than a day, although this may depend
on the complexity of the matter and problems inherent in presenting
it to the Hearing Officer. Within 10 days of the close of the
hearing, the Hearing Officer issues an Advisory Recommendation that
includes a written summary of the Hearing Officer’s findings and
recommendation of how the matter should be resolved, including a
possible remedy.
G. What can
be expected to happen if the Advisory Hearing process is successful?
If the parties
agree to accept the Advisory Recommendation, they sign a settlement
agreement incorporating its recommendations. Or, the parties may use
the Advisory Recommendation as the basis for further negotiations or
mediation of the core issues of the dispute in an effort to achieve
a mutually acceptable remedy and settlement. There is no time limit
set for these further proceedings.
H. If the
result is not satisfactory or acceptable, what options are left?
If the parties
are unable to accept the recommendation or unable to negotiate or
mediate a settlement thereafter -- i.e., they have reached impasse
-- The Grievant may request a Formal Hearing.
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How does a Formal Hearing work?
A Formal
Hearing procedure involves a full evidentiary hearing run by an
external Hearing Officer. The presentations are made to a Hearing
Panel, which ultimately renders a decision as to the outcome of the
dispute and the appropriate remedy, if any. The Hearing Officer
assists the Hearing Panel in evaluating the evidence presented;
makes sure the Hearing Panel’s findings and decision are reflective
of the evidence presented; and ensures that its formal conclusions
are written in such a way as to actually resolve the matter
consistent with those findings. The Hearing Panel then sends its
findings, conclusions and recommendations to the Chancellor for
final review and approval.
A. What is
a Hearing Panel, who can serve on it and how are its members chosen?
A Hearing
Panel is a group of individuals of the same status -- either APs or
Faculty -- as the individual requesting the Formal Hearing. The
persons that make up the pool of potential Hearing Panel members are
chosen from a list of acceptable individuals who meet the
qualifications set forth in the grievance procedures. The Ombuds
complies a list of nine names from the Hearing Panel pool and
submits this list to the Grievant and Respondent. The Grievant and
Respondent then alternately strike names from the list until five
names remain. These 5 persons compose the Hearing Panel.
B. How does
one initiate a Formal Hearing?
The Grievant
must submit a written request for a Formal Hearing to the Ombuds
Office: a) within 60 calendar days of the event that precipitated
the problem or from the point at which it was known or should have
been known that a problem existed; or b) within 15 days of reaching
impasse in the Mediation process; or c) within 15 days following
issuance of an Advisory Recommendation. The Respondent has 10 days
from receipt of a copy of the grievance from the Ombuds Office to
respond.
C. Who is
the Hearing Officer, where does he or she come from, and how is he
or she chosen?
The Hearing
Officer is a person external to the University who regularly serves
as an independent contractor for such purposes. Names of Hearing
Officers can be found on the State of Illinois panel of arbitrators
or on national panels of arbitrators. Hearing Officers are selected
from these lists by the Ombuds.
D. How does
the Formal Hearing actually work?
The Formal
Hearing itself is set on a mutually agreeable date for the parties
and the Hearing Officer. All time limits are flexible and may be
extended or waived by mutual agreement of the parties.
At least three
days prior to the Formal Hearing, each side is asked to provide to
the Hearing Officer, in writing, a full statement summarizing the
issues, a list of witnesses proposed, and copies of all documents
they intend to present.
The Hearing
Officer conducts the Formal Hearing like a simplified trial,
allowing each party full and fair opportunity to present evidence,
cross-examine witnesses, and make arguments. The parties may have
counsel or other persons there to represent them. The Formal Hearing
is carried out in a quasi-judicial manner: the Hearing Officer has
final authority to decide how to conduct the hearing, but shall be
responsive to agreements between the parties as to what and how they
want to handle a particular point or contention. If a Hearing Panel
member has questions, he or she gives them to the Hearing Officer
who asks them on the panel member’s behalf.
Formal
Hearings are closed to the public. The Hearing Officer makes a tape
recording of the proceeding.
E. How much
time does the Formal Hearing take?
From the time
of filing of the initial grievance, the Formal Hearing process
itself should be initiated within about a month or a little less,
although it sometimes takes a while for the parties to come to
agreement on an acceptable time and date for the hearing. Disputes
about dates and times shall be decided by the Hearing Officer. The
Formal Hearing usually takes no more than a day, although this may
depend on the complexity of the matter and problems inherent in
presenting it to the Hearing Officer. Within 25 days of the close of
the Formal Hearing, the Hearing Officer drafts a written decision
based on the findings and conclusions of the Hearing Panel.
The decision
includes a written summary of the Hearing Panel’s findings and a
full recommendation of how the matter should be resolved, including
a possible remedy. Any written dissents are included with this
statement and appropriately signed as well.
The decision,
findings, and recommendations are submitted to the Chancellor, with
copies to the parties and to the Ombuds Office. The Chancellor must
accept or reject the decision in writing within 20 days from receipt
of the Hearing Panel’s written submission.
F. What can
be expected to happen at the conclusion of the Formal Hearing
process?
If the
Chancellor agrees with the Hearing Panel’s recommendations, the
result is transmitted to the parties for implementation. If the
Chancellor disagrees with the Hearing Panel’s recommendations, the
Chancellor’s decision is mailed to the individual.
G. If the
result is not satisfactory or acceptable, what options are left?
The Formal
Hearing is the last option available in the internal Grievance
Resolution Process. If the Grievant disagrees, he or she has the
option of using any available external to the University, including
judicial process.
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