Complaint Resolution Procedures

The objective of the complaint resolution procedure is to provide a mechanism that is easy to use, that enables staff members to resolve complaints in a timely manner, and that addresses both the complainant's and the respondent's interests in fairness and objectivity. Staff members are encouraged to raise and to respond to complaints early. When complaints are raised at the time they arise, they can often be resolved informally.

Another principle of the complaint resolution process is that no assumptions should be made and no conclusions should be drawn about either the complainant or the respondent simply because a complaint has been raised. It is against university policy for a staff member to be disciplined, harassed, discriminated against or retaliated against for using the complaint resolution procedures or for assisting others to use the procedures. Likewise, it is against university policy for a staff member who is responding to a complaint to be disciplined, harassed, discriminated against or retaliated against because a complaint has been made about his or her action or inaction. The complaint process itself may, however, affirm corrective action already taken or result in corrective action being taken against the respondent or the complainant as part of the resolution of the complaint.

The complaint resolution procedure is available to staff members in regular positions who have completed the initial evaluation period to address actions that arise out of the administration of a specific university or departmental policy or practice. This procedure shall not apply to harassment complaints which are to be handled using the university's Campus Policy Prohibiting Harassment. The complaint resolution policy is also not designed to address differences of opinion or judgment. For example, a staff member might use the complaint resolution procedure to address his or her belief that the supervisor is not distributing overtime according to university policy ("The supervisor should try to distribute any required additional work equitably among staff members."). But the supervisor's decision that overtime is required is not subject to appeal.

Presentation of the Complaint

Complaints are best resolved at the earliest possible time by the persons directly involved. The first step in the complaint resolution process is for the staff member (the complainant) to present his or her complaint to the respondent within 30 calendar days of the incident. Although most complaints are raised by one person, more than one staff member may together work to resolve a complaint that they share. A staff member may also name more than one person as respondents to his or her complaint.

In addition to describing the specific action(s) or inaction(s) which gave rise to the complaint, the complainant may identify for the respondent what she or he believes to be an appropriate resolution. The Director of Human Resources is available upon request to help a staff member to present the complaint (e.g., helping to arrange a meeting between the complainant and respondent).

Response to the Complaint

The respondent should try to respond to a staff member's complaint within seven calendar days of receiving the complaint. The Director of Human Resources is also available upon request to help a respondent to address a complaint (e.g., helping to arrange a meeting between the complainant and respondent).

If the complaint is not resolved by the persons directly involved, the complainant has seven calendar days from receiving a response to present his or her complaint to the Director of Human Resources. The complainant has the option at this point to (a) request that a facilitator meet with the complainant and the respondent or (b) request a panel review of the complaint.

Facilitated Resolution of the Complaint

If the staff member chooses the meeting with a facilitator, the Director of Human Resources will try to schedule such a meeting within seven working days of the date when the complaint was presented to the Director of Human Resources. Staff and faculty members trained in the resolution of complaints are available to serve as facilitators. The role of these persons is to facilitate process, communication, and discernment of the facts, not to make decisions. Facilitators will be selected in the order they appear on the list. If either party to the complaint or the Director of Human Resources questions the use of a specific facilitator, the next facilitator in line will be selected.

If the facilitated meeting between the complainant and the respondent does not resolve the complaint, the complainant has the option to request a panel review of the complaint. Such a request must be presented to the Director of Human Resources within seven calendar days of the meeting with the facilitator.

Panel Review of the Complaint

If a panel review is selected, the complainant must present his or her complaint in writing to the Director of Human Resources (see Complaint Resolution form). The Director of Human Resources is available to assist the complainant to put the complaint in writing. The Director of Human Resources will ask the respondent to (and is available to assist the respondent to) put her or his response to the complaint in writing.

A three-person panel will be selected by the Director of Human Resources from a list of persons elected by the staff who have been trained in complaint resolution. Both the complainant and the respondent will be asked to identify potential panel members for whom serving on the review panel might be perceived by the complainant or the respondent to constitute a conflict of interest. The Director of Human Resources will provide panel members with the written complaint and response and the panel will determine whether or not the complaint merits a meeting with the complainant and respondent. If the panel determines that a meeting is warranted, the Director of Human Resources will try to schedule a meeting of panel members, complainant and respondent within 14 calendar days after the complainant has made the request for a panel review and will provide panel members with copies of the complaint and the response in advance of the meeting.

At the meeting with panel members both the complainant and the respondent will present their positions and panel members may ask questions of both the complainant and the respondent. The panel will present its recommendation as to how the complaint might best be addressed to the area vice president. The panel will try to make its recommendation within seven working days of the panel meeting with the complainant and the respondent.

Vice Presidential Action on the Complaint

The recommendation of the panel is reviewed by the area vice president if both the complainant and the respondent are staff members in the same vice presidential area. When the complainant and the respondent are not in the same vice presidential area or when the area vice president has a conflict of interest, the Director of Human Resources will select a vice president to review the panel's recommendation. The vice president issues a finding within seven calendar days of receiving the panel's recommendation.

Other considerations

Although the time periods provided in the complaint resolution process are to be followed whenever possible, the Director of Human Resources can adjust (either extend or shorten) time limits as extenuating circumstances may require.

The complainant and the respondent have the opportunity to have a support person (from among the University of Puget Sound staff and faculty) present throughout the process. The support person may not, however, speak for the complainant or the respondent. Legal counsel are not permitted to participate in the complaint resolution process.

All staff members and all faculty members who supervise staff members are eligible for election to the list of potential facilitators and review panel members. All who are eligible for election will be advised of their eligibility and asked whether or not they would be willing to serve, if elected, in such a capacity. The names of those responding affirmatively will be placed on a ballot to be distributed every other year to all members of the staff. A list of twenty names, drawn in the order of votes received in the staff election process, will include a proportional number of persons from faculty supervisory positions, staff supervisory and managerial positions, non-supervisory exempt staff positions, and non-supervisory non-exempt staff positions as well as a proportional number of persons from each vice presidential area of the University. The twenty people elected will participate in complaint resolution training prior to serving as facilitators or complaint resolution panel members.

Persons who have information relevant to the complaint or to the response to the complaint may be interviewed, as needed, at any stage in the process.

A written record of the panel review meeting may be prepared by the Director of Human Resources so as to provide panel members and the reviewing vice president with information to assist them in developing their recommendation and finding, respectively. The complaint resolution process is confidential (see Corrective Action policy).

The Director of Human Resources may prepare a report annually of complaints that were handled under these procedures. General information about such complaints will be provided in such a way that individuals cannot be identified. In addition, the Director of Human Resources may prepare management reports for each vice president summarizing complaints in his or her area of responsibility.