5.07 Grievance Procedure

Effective Date: April 1, 2010 (revised)

Purpose:

Trinity College is committed to fair and consistent application of policies across the institution, and believes that employee concerns regarding the application of policies are best and most effectively dealt with in an employee’s work-group or department. However, in those instances when resolution of an employee concern is not achieved at that level, this Grievance Procedure provides a more formal mechanism for addressing the employee’s concerns.

Procedure:

Definition of Grievance

A grievance may be filed related to work problems or conditions which an employee believes to be unfair, inequitable, discriminatory, or a hindrance to the effective fulfillment of responsibilities. Specifically, grievances which may be addressed are:

• the interpretation and application of the provisions of the handbook,
• disciplinary actions,
• terminations, or
• matters related to environmental and work safety conditions at the College.

An employee who has a complaint relating to sexual, racial, ethic, or other harassment should refer to 3.03 Discrimination and Harassment Policy.

The following matters are not subject to the Grievance Procedure. Employees affected by or concerned about such matters are, however, encouraged to discuss their concerns with the Director of Human Resources:

• regular performance reviews;
• issues regarding salary administration including those related to classification and compensation;
• changes in benefits or policy;
• termination of a position due to a reduction in staff;
• departmental reorganizations;
• terminations during a probationary period;
• or failure to extend employment beyond a previously established term.

In the event there is a question as to whether a particular matter is subject to the formal grievance procedure, the determination will be made by the Director of Human Resources in conjunction with the Vice President for Finance & Operations and Treasurer.

Issues that have been presented to any court or external agency are also prohibited from the Grievance Procedure in order to avoid possible conflict. If at any point during the process the College becomes aware of such action, the grievance procedure immediately will cease without a finding.

Informal Grievance Stage

An employee with a grievance (a “Grievant”) should first bring the issue to the attention of his/her supervisor. Supervisors are expected to engage in open discussion, to be responsive to the Grievant’s felt needs, and to make a sincere and earnest effort to mediate an expressed grievance.

The College recognizes that in certain situations an employee may feel reluctant to express dissatisfaction to a supervisor. In these circumstances, employees are advised to consult with the Director of Human Resources or the College Ombudsperson. Once a complaint has been registered either with the Director of Human Resources or the Ombudsperson, the designated administrator may wish to converse with the person complained against in order to determine the facts from that individual’s perspective. If appropriate and if possible this should be accomplished without divulging the complainant’s name. If the person complained against has inadvertently violated College policy, the complaint will be satisfied by clarification of the policy and an agreement that the violation will cease.

If a conflict cannot be resolved through informal discussions, an employee may use the formal grievance procedure; however reference to specific violations of College policy or practice, state or federal regulations must be cited in writing at this stage by the employee in order for the grievance to be considered valid. The Director of Human Resources serves as facilitator for the formal process and, when circumstances warrant, may allow reasonable extensions at the Step Two, Three or Four stages. Such extensions may be for compelling, unavoidable reasons only.

Formal Grievance Stage

Step One:

• Within ten working days of the occurrence of the event or condition prompting the grievance, or within ten working days of the time when an employee knew or reasonably should have known of such occurrence, the Grievant must submit the grievance in writing to the immediate supervisor citing the basis for the grievance. If the complaint is against the supervisor and the Grievant is reluctant to present the complaint directly to the supervisor, the Grievant can begin the grievance procedure with Step Two providing it is submitted within the ten working-day time frame.
• A written reply to the grievance will be given to the Grievant by the supervisor within five working days after presentation of the complaint. The reply will include a designation of the appropriate individual to whom an appeal may be addressed.
• The grievance will be considered settled if, within five working days from receiving the response, the Grievant has not appealed in writing to the person indicated in Step One B. Failure to file the appeal within the required time limit shall mean that the Grievant is barred from proceeding further.

Step Two:

• If the Grievant considers the answer received under Step One B to be unsatisfactory, or if the Grievant’s complaint is against the immediate supervisor and the Grievant is reluctant to present the complaint directly to the supervisor, the Grievant may present the grievance in writing, citing the basis for the complaint, to the next level of management. Written grievances under this Step must be submitted within five working days from the receipt of the answer received under Step One B. Or, if the grievance is first submitted at Step Two, such action must take place within ten working days of the occurrence of the event or condition giving rise to the grievance, or from the time when an employee knew, or reasonably should have known, of such occurrence. Failure to file the appeal or initial Grievance at Step 2 within the required time limit shall mean that the Grievant is barred from proceeding further.
• Within five working days after receipt of the written appeal or initial Grievance at Step 2, the recipient will schedule and hold a meeting with the Grievant. For the purposes of a review of the case, the views of the supervisor and other appropriate parties will be solicited and considered.
• Within five working days following such a meeting, a written response to the complaint will be prepared and given to the Grievant.
• The complaint will be considered settled if, within five subsequent working days, the Grievant has not appealed in writing to the President requesting continuation of the process at the Step Three level. Failure to file the appeal within the required time limit shall mean that the Grievant is barred from proceeding further.

Step Three:

• The Grievant may file a written appeal within five working days of receipt of the written decision rendered at Step Two. Such appeal is submitted to the President of the College who will appoint an ad hoc Grievance Appeal Committee (“Committee”).
• The Committee will consist of three College employees in good standing, each to be appointed by the President within ten business days of the President’s receipt of the appeal. This time frame may be amended if the President’s schedule or other extenuating circumstances indicate that an extension is warranted.
• The Committee will establish reasonable guidelines, schedules and timetables in order to ensure a fair, effective and efficient process. They will maintain strict confidentiality regarding the hearing throughout the proceedings and thereafter.
• The Committee will convene a hearing within ten working days of their appointment. If work or vacation schedules conflict, the Director of Human Resources may authorize that the hearing be postponed to a later date.
• The Committee will review the written decisions from Steps One and Two, as applicable, the written complaint filed by the Grievant, and any written materials filed either by the Grievant or supervisor or other individual against whom the complaint was lodged. The Grievant and supervisor/other individual (if applicable) will have access to all information received by the Committee except that protected from disclosure by applicable laws or College policies.
• The parties involved will have the right to be present at the hearing along with one other College employee of their individual choice, provided such employee does not have any formal legal training.
• The Committee, the complaining employee, and supervisor or other involved party each may call a reasonable number of College employees as witnesses in the hearing and receive testimony from any employee so called, however individual witnesses shall be present at the hearing for their testimony only. The complaining employee and the supervisor or other involved party each will have the right to question any employee giving testimony.
• The complaining employee and supervisor or other involved party may attend the hearing during regularly scheduled work hours without loss of pay. Reasonable provisions will be made for other employees to appear as witnesses without loss of pay if deemed necessary by the Committee.
• At the hearing’s conclusion, the Committee will review the entire written record and will consider all oral testimony. They also will review all applicable College policies, practices, state and/or federal regulations, in order to determine whether a violation occurred, and will be responsible for rendering final judgment on all grievance decisions properly appealed to it either by the complaining employee or by the supervisor or other involved party.
• The Committee will issue a written decision to the President of the College within five working days of the conclusion of the hearing. A copy of the written decision also shall be submitted to the Director of Human Resources who shall be responsible for notifying the involved parties and, if required, following through on any required action.
• The decision of the Committee will be final.

Presidential Review

The President of the College reserves the right to review any decision at any level of the grievance procedure with respect to its impact on institutional policies or federal and state laws governing College actions, and, in unusual cases or under extraordinary circumstances, to modify or rescind any such decision.

No employee shall be subject to adverse treatment due to participation in the Grievance Procedure.

See the following policies for additional relevant information:

3.03 Discrimination and Harassment 25

5.06 Ombudsperson 112