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32.01.02.I1 Complaint and Appeal Process for Non-faculty Employees

A Supplement To System Regulation 32.01.02 PDF document - For best results, view PDF files with the most recent version of the Adobe Acrobat Reader

1.00 GENERAL

The purpose of this rule is to establish responsibilities and timing for each of the steps outlined in System Regulation 32.01.02. The timelines established throughout this rule are preferred yet are not intended to discourage an employee from relaying a complaint to the designated administrator within a reasonable timeframe.

All employees of the Texas Transportation Institute are encouraged to resolve problems in an open manner through normal administrative channels without the fear of reprisal for seeking such resolution. This rule does not apply to temporary and wage employees, but they will have access to the TTI Human Resources Office for assistance in addressing employment-related issues.

Every TTI employee will have free access through proper channels to the offices of immediate and higher supervisors and/or his/her human resources representatives to discuss problems and complaints with which he/she is concerned. Most problems or complaints can and should be resolved within the employee's program/division through discussions between the employee and their immediate supervisor, Program Manager or Division Head.

Any retaliatory action, including a reprimand, taken against an employee for exercising this right is prohibited and may be considered a separate and distinct cause for complaint.

2.00 PROCEDURES FOR COMPLAINT AND APPEAL

It is the responsibility of the employee to comply with the time requirements specified in this procedure. These requirements are established to provide the employee with an adequate opportunity to formulate a complaint while ensuring that factual matter is reviewed in a timely manner while memories are most accurate and witnesses may be available. If an employee reports possible sexual harassment, sexual discrimination, or any other interference at any time during the complaint and appeal process, a prompt investigation will be undertaken.

An employee who has a complaint may choose to follow the procedures for an informal complaint, which seeks remedy through the process of discussion, or to follow the procedures for a formal complaint, which seeks remedy through the submission of a written complaint for the Director, or his/her designee's review. If an employee follows the procedures for an informal complaint and the complaint is not resolved to the employee's satisfaction, the employee may also pursue a formal complaint.

2.1 INFORMAL COMPLAINTS

Informal complaints are, by their nature, handled less rigidly than formal complaints. The following process is suggested:

2.1.1 An employee who has a complaint should first discuss it with his/her immediate supervisor. The meeting to discuss the complaint should be requested within fifteen (15) working days of the occurrence of the action(s) that is the subject of the complaint.

If the solution from the supervisor is unsatisfactory, the employee may request a meeting with the next level unit head to seek a satisfactory resolution. The request for this meeting should be made within a reasonable time after the supervisor's decision. If possible, the meeting between the employee and the next unit head should be held within fifteen (15) working days of the date the unit head was contacted unless circumstances require a longer period and all parties are notified in writing of the reason for the delay.

The employee will be advised of the unit head's decision in writing within fifteen (15) working days of the meeting, unless all parties are notified in writing of the reason for the delay.

If the decision of the unit head does not satisfy the employee, he/she may file a formal complaint (see Formal Complaints, 2.2.2). The formal complaint must be filed within seven (7) working days of the receipt of the unit head's decision.

(1) In the event the employee does not feel comfortable discussing a complaint with his/her supervisor, the employee may request a meeting with the unit head or other manager to discuss the complaint. The request for a meeting with the unit head must be made within fifteen (15) days of the occurrence of the act that is the subject of the complaint

The meeting between the employee and the unit head will be held within fifteen (15) working days of the date the unit head was contacted, unless all parties are notified in writing of the reason for the delay.

The employee will be advised of the unit head's decision in writing within fifteen (15) working days after the meeting, unless all parties are notified in writing of the reason for the delay.

If the decision of the unit head is not satisfactory to the employee, he/she may file a formal complaint (see Formal Complaints 2.2.2). The formal complaint must be filed within seven (7) working days of the receipt of the unit head's decision.

(2) In the event the employee does not feel comfortable discussing a complaint with his/her supervisor or unit head, the employee may contact the TTI Human Resources Office at (979) 845-9538 to obtain guidance or information concerning policies and procedures; to discuss available options; or to request that the HR Officer or designee take a statement and communicate it to the supervisor or unit head on the employee's behalf.

If a statement is given to the HR Officer or designee, the HR Officer will, within seven (7) working days of the discussion, refer the statement to the unit head and/or arrange a meeting between the employee and the employee's unit head.

If a meeting between the employee and unit head is arranged, it will be held within fifteen (15) working days of the date the unit head was contacted, unless all parties are notified in writing of the reason for the delay.

The employee will be advised of the unit head's decision in writing within fifteen (15) working days after the meeting or after receipt of the statement, unless all parties are notified in writing of the reason for the delay.

If the decision of the unit head does not satisfy the employee, he/she may file a formal complaint (see Formal Complaints, 2.2.2). The formal complaint must be filed within seven (7) working days of the receipt of the unit head's decision.

(3) As long as the parties are meeting and working toward a resolution, the time requirements may be extended upon mutual agreement or if deemed appropriate by the HR Officer.

(4) The employee and/or the supervisor/unit head may request the services of a trained mediator at any time during the informal complaint and appeal process. (See Section 4.00, Mediation.)

2.2 FORMAL COMPLAINTS

2.2.1 If the complaint is not resolved to the employee's satisfaction through the informal process, or if the employee chooses to bypass the recommended informal complaint procedure, the employee may pursue a formal complaint. The formal process begins when the employee delivers a complaint form (See attachment) or a written statement to the HR Officer that requests the complaint be forwarded to the Director, or his/her designee. The complaint form or written statement must be completed, signed, dated, and include a requested resolution.

(1) Upon request, the HR Officer or designee will assist the employee in completing the complaint form. Examples of circumstances where assistance may be provided by the HR Officer are (1) where the employee's first and primary language is not English or where the employee is concerned that he/she may not be able to adequately communicate the nature of the complaint and the related facts; (2) where the employee needs clarification of the System regulation or TTI procedure; or (3) where a disability might make it difficult for an employee to complete an effective complaint or appeal in a timely manner.

(2) The complaint form must be mailed (campus mail or U.S. mail, certified with a return receipt) or delivered (including fax and personal delivery) to the TTI Human Resources Office, Texas A&M University, College Station, TX 77843-3135, phone (979) 845-9538 or fax (979) 862-3474 within seven (7) working days of the receipt of the unsatisfactory decision from the informal process or fifteen (15) working days after the occurrence if the informal process is not followed.

(3) After receiving the formal complaint, the HR Officer will, within seven (7) working days, provide a copy to the unit head's supervisor and request a response. The supervisor may conduct a fact-finding investigation where appropriate and will provide a response to the HR Officer within fifteen (15) working days of receipt of the formal complaint.

The HR Officer may provide an information copy of the complaint to the Director, or his/her designee when it is forwarded to the unit head for a response.

(4) Upon receipt of the unit's response, the HR Officer will retain the originals of the complaint, the unit head's response and all supporting documents and forward a copy to the Director, or his/her designee within ten (10) working days of receipt. If the Director, or his/her designee is not available to receive the complaint or other extenuating circumstances prevent delivery of the complaint to the Director, or his/her designee within ten (10) working days, the complainant will be notified in writing of the delay, the reason for the delay and the expected date for a decision.

(5) The Director or his/her designee may consult with the HR Officer or designee, the unit head, a member of the legal staff, or other appropriate personnel in reaching a decision. The Director, or his designee, will notify the complainant of the decision in writing within fifteen (15) working days after receipt of the formal complaint.

(6) The Director or his/her designee may extend the review period with a written notice to the complainant and the HR Officer for up to ninety (90) calendar days to conduct additional fact-finding.

(7) The employee and/or the supervisor/unit head may request the services of a trained mediator at any time prior to the Director, or his/her designee's decision during the formal complaint process. (See Section 3.00, Mediation.)

The Director, or his/her designee's decision is the final stage of the complaint and appeal procedure and shall be final and binding.

3.00 MEDIATION

3.1 Mediation is a confidential approach to resolving work-related conflicts or disputes. It is a fair, non-adversarial approach to resolve conflict while maintaining good working relations among the parties involved in the conflict.

In mediation, parties to a dispute participate in a discussion facilitated by a trained, neutral mediator. The mediator listens to each person's view of the situation, assists the parties in discussing their concerns with each other, and encourages them to develop realistic options and solutions to the dispute. Once a solution is reached, the mediator may assist the parties in writing an agreement.

The mediator always remains neutral. They do not determine who is right or wrong, rule on the facts, make decisions, or give advice. Additionally, the parties are not required to agree to anything they consider unsatisfactory.

Mediation is voluntary and will be used only when both parties to a dispute agree to mediate. Mediations are confidential and are not open to the public. To help ensure the confidentiality of the mediation, notes made by the mediator during the mediation will be destroyed. Only the signed agreement will be retained.

3.2 At any point in the complaint and appeal process before the Director, or his/her designee has made a decision, an employee, supervisor, and/or unit head may request the services of a trained mediator (subject to the limitations contained in System Regulation 32.01.02 Sections 4.2 and 4.3) by contacting the TTI Human Resources Office at (979)845-9538. However, both parties must agree to mediate.

The HR Officer or designee will assist with the selection of a mediator to perform the mediation. Individuals who serve as mediators must have met the requirements listed in System Regulation 32.01.02(4.6). At the option of the HR Officer, individuals external to the System may also serve as mediators.

When applicable, unit heads will be designated to represent the TTI during the mediation process.

3.3 As long as both parties are participating in mediation, the time requirements of this procedure will be suspended.

4.00 TIMELY RESOLUTION OF A COMPLAINT AND EXTENSION OF TIME LIMITS

4.1 Questions about the actual date of submission of any complaint or appeal shall be resolved by verifying objective proofs such as: certified mail with return receipt, internal date stamps, etc.

4.2 A complainant processing a complaint under the provisions of this procedure who fails to respond or act within a specified time limit, who fails to appear for a scheduled meeting or who otherwise fails to advance the complaint in a timely manner at any stage of the complaint and appeal procedure, may be deemed to have abandoned the complaint. The HR Officer may declare a complaint abandoned and close the file on the complaint unilaterally or as a result of a request from a unit head or complainant.

4.3 A complainant who is unable to respond to or act within a specified time limit, who is unable to appear for a scheduled meeting, or who is otherwise unable to advance a complaint in a timely manner due to circumstances beyond his/her control may submit a written request for extension to the HR Officer for consideration. (A verbal request for extension will be accepted when circumstances make it impractical for a written request.) Such request will be approved only when the extension is clearly justified. The employer (unit head, supervisor, or director) may also request a delay for travel commitments, opinions from legal counsel, or other job-related commitments.

5.00 ADMINISTRATION OF PROCEDURES

It is the responsibility of the Human Resources Officer or designee to administer and interpret the complaint and appeal procedure for the TTI.

Because the Program Manager, Division Head, HR Officer or designee, and/or the Director or designee may be informed of a complaint or appeal in various ways, the HR Officer is delegated the authority to administer the complaint and appeal procedures in a manner deemed appropriate by the facts of a particular complaint or appeal.

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