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Policy No: 2121
Responsible Office: Human Resources
Last Review Date: 09/20/2024
Next Required Review: 09/20/2029
Policy No: 2121
Responsible Office: Human Resources
Last Review Date: 09/20/2024
Next Required Review: 09/20/2029

Grievances and Appeal Process

1. Purpose

The purpose of this policy is to provide regular employees with the means for voicing constructive criticism or dissatisfaction with working conditions which result in inequities, or to other situations which have a negative effect on morale.
 
A regular employee who has completed the probationary period may appeal disciplinary actions, as applicable, and submit grievances for any inequitable working condition or other situation which negatively affects morale. 

2. Applicability

This policy applies to all staff employees of the University, including the University General Division, and USA Health.   

3. Definitions

Grievance: A grievance is an allegation by an employee that there has been a violation, misinterpretation, discriminatory application, or unreasonable application of a University policy, procedure, rule, or regulation regarding the employment conditions affecting the subject employee.
 
Appeal: An appeal is a way to challenge a decision made. The process is used to review whether a decision that has been made should be upheld or overturned. The following issues may not be challenged using the appeal process. This list is not all inclusive:
    • Salary
    • Performance evaluation
    • Verbal counseling
    • Written Warnings
    • Voluntary resignation
    • Position elimination due to restructuring or funding
    • Resignation in lieu of immediate dismissal 
    • Dismissal as a result of a violation of University policy when an internal investigation concludes the employee violated policy
    • Termination from employment based on felony conviction or unavailable for work due to incarceration
    • Termination from employment for failure to use proper reporting procedure for three consecutive work days (no-call-no-show)

4. Policy Guidelines

4.1  A regular employee who has completed the probationary period may appeal disciplinary actions, as applicable, and submit grievances for any inequitable working condition or other situation which negatively affects morale.
 
4.2  The University and USA Health, each in their sole discretion, reserve the right to determine whether an action is a management right as outlined in Section 2.1.3 of the Staff Employee Handbook.  In certain instances, a grievance or appeal may be dismissed or administratively closed following a review by executive HR leadership.  In such instance, all parties will be notified in writing.
 
4.3  Additionally, this process may not be used for claims of discrimination based on race, color, national origin, sex, pregnancy, sexual orientation, gender identity, gender expression, religion, age, genetic information, disability, protected veteran status or any other applicable legally protected basis, as these are matters addressed through University policy including but not limited to the Discrimination and Harassment policy and the Sexual Misconduct & Complaint Resolution. All employees, including employees serving the probationary period, may submit a complaint of alleged discrimination. Refer to the Discrimination and Harassment policy for instructions on how to file a complaint.
 
4.4  If the individual submitting the appeal or grievance alleges discrimination, harassment, or retaliation in his or her appeal or grievance, then the grievance or appeal process will be held in abeyance pending a review of the new complaint of discrimination, harassment, or retaliation.

5. Procedures

5.1  First Step
    
5.1.1  Any eligible staff employee may initiate a grievance or appeal by discussing the matter with their Supervisor. The employee, at this time, shall present, in writing to the Supervisor, the specific details of the allegations and also the adjustment desired. A grievance or appeal must be presented to the Supervisor in writing within ten (10) working days after the occurrence of the event claimed to have given rise to the grievance. Any claim not presented within the time provided shall be deemed to be null and void.
     
5.1.2  The responsible Supervisor of the employee shall consider the facts. If the requested adjustment is within the Supervisor’s authority, the Supervisor will provide the employee with the decision to grant or deny the request, in writing, within ten (10) working days following its receipt, with a copy to Human Resources:
 
For General Division Employees (Campus): Send copy via email to hrmaincampus@southalabama.edu or via regular mail to:
 
Human Resources
Employee Relations
USA Technology & Research Park
Bldg III, Suite 2200
650 Clinic Drive
Mobile, AL 36688-0002
 
For USA Health Employees: Send copy via email to hr@health.southalabama.edu, or via regular mail to:
 
USA Health Human Resources
Employee Relations
251 Cox Street Suite 1570, CWEB 1.5
Mobile, AL 36604
 
If the requested adjustment is not granted, or if the Supervisor does not have the authority to grant the request, the Supervisor shall inform the employee of the right to carry the grievance or appeal to the Department Head or Dean to which  the employee is assigned.         
 
5.2  Second Step
 
5.2.1  Should the employee desire to pursue the grievance or appeal to the second level, the employee shall present the grievance or appeal, in writing, to the Department Head or Dean within ten (10) working days from the receipt of the response to step one. Any claim not presented within the time provided shall be deemed to be null and void.
 
5.2.2  The Department Head or Dean will consider the grievance or appeal of the employee and will investigate claims as deemed necessary. A decision will be rendered within ten (10) working days. The reply to the employee must be in writing with a copy to Human Resources (see First Step for email address and mailing address).
 
5.2.3  If the requested action is denied by the Department Head or Dean, or if the requested action is not within their authority to grant, the Department Head or Dean shall inform the employee of the right to pursue the grievance or appeal to the third step.
 
5.3  Third Step
 
5.3.1  If the employee elects to pursue the grievance or appeal to the third step, the employee must, within ten (10) working days after receiving the action of the Department Head or Dean, request the Division Head or Hospital Administrator to initiate a review of the case. The grievance or appeal must be presented in writing, clearly stating the specific reasons or sources of the grievance or appeal and the corrective action desired. Any claim not presented within the time provided shall be deemed to be null and void.
 
5.3.2  The Division Head or Hospital Administrator will review the case and respond in writing within ten (10) working days following the receipt of the grievance or appeal, with a copy to Human Resources (see First Step for email address and mailing address).
 
5.3.3  If the requested action is denied by the Division Head or Hospital Administrator, he/she shall inform the employee of the right to pursue the grievance or appeal to the final step.
 
5.4  Final Step
    
5.4.1  If the employee elects to pursue the grievance or appeal to the final step, the employee must, within ten (10) working days after receiving the response from the Division Head or Hospital Administrator, request their claims be assessed for a possible hearing before the Staff Grievance and Appeal Committee. See section 3.2 of this policy for additional details. Any claim not presented within the time provided shall be deemed to be null and void.
 
The request for a hearing must be presented,  in writing, to:
 
For General Division Employees (Campus): the CHRO/Associate Vice President, Finance & Administration at hrmaincampus@southalabama.edu or via regular mail at:
 
Human Resources
Employee Relations
USA Technology & Research Park
Bldg III, Suite 2200
650 Clinic Drive
Mobile, AL 36688-0002
 
For USA Health Employees: the USA Health Chief Human Resources Officer at hr@health.southalabama.edu, or via regular mail at:
 
USA Health Human Resources
Employee Relations
251 Cox Street Suite 1570, CWEB 1.5
Mobile, AL 36604
 
5.4.2  The Staff Grievance and Appeal Committee consists of fourteen (14) employees who are appointed by the President. Appointments to the Staff Grievance and Appeals Committee are made at the beginning of the fiscal year (October 1) if at all possible.
 
5.4.3  Upon receipt of notice that a hearing has been requested, the employee and Department Head, or his/her designee, will select a panel of three (3) members from the full committee membership. The employee shall select one (1) member of the panel, the Department Head or his/her designee will select one (1) member, and the employee and Department Head or his/her designee will select and jointly agree upon one (1) member who will act as Chair of the Panel. If the employee and the Department Head, or his/her designee, are unable to agree on a third panel member, the:
 
For General Division Employees (Campus): CHRO/Associate Vice President, Finance & Administration, or his/her designee
 
For USA Health Employees: USA Health Chief Human Resources Officer, or his/her designee
 
will select the third member from the full Committee membership. Members of the Panel shall not be related to or work in the same department as the employee.
 
Panel member selection must be submitted directly to the representative of the office of Employee Relations working with employee and the respondent, within ten (10) working days of notification in order to continue grievance/appeal rights.
 
5.4.4  The Office of Human Resources will arrange a hearing date with the selected Chair of the Staff Grievance and Appeal Committee and will notify all concerned parties, including such witnesses as may be called. Only individuals who are directly involved in the grievance or appeal will be allowed to attend the hearing.
 
5.4.5  Dates for hearing grievances and appeals will be established at the first opportunity agreeable to all parties and within a reasonable period of time.
 
5.4.6  The hearing is a non-adversarial proceeding and attorneys will not be allowed to participate for either side. The Office of Human Resources shall inform each side of the right to call as witnesses such persons who have direct knowledge of pertinent facts and to question witnesses called by the opposing side. The witness list must be submitted, in writing, to the Human Resources representative working with the employee and the respondent within ten (10) working days of notification in order to continue grievance/appeal rights.
 
5.4.7  The employee and the respondent will ensure their witnesses are aware of the date, time and location of the hearing. Witnesses will also receive an email reminder sent by the Office of Human Resources from the listings, supplied in advance by each side. The CHRO/Associate Vice President, Finance & Administration or the USA Health Chief Human Resources Officer, or his/her designee, as applicable, shall serve as technical advisor on the conduct of the hearing to the Chair of the Staff Grievance and Appeals Committee and to the employee.
 
5.4.8  The Chair will conduct hearings in a manner which will permit both sides to present facts in support of their respective positions, and to examine the statements and/or witnesses of the other side.
 
5.4.9  The Chair of the Staff Grievance and Appeals Committee is responsible for ensuring each side has the opportunity to impart its position to the Committee and for submitting the Committee's recommendation to:
 
For General Division Employees (Campus): The Chief Administrative Officer, or his/her designee
 
For USA Health Employees: The Chief Operating Officer, or his/her designee
 
for a final determination.
 
5.4.10  Members of the Staff Grievance and Appeals Committee shall evaluate the facts surrounding the grievance action and are responsible for developing additional facts which may be required by posing questions, requiring demonstrations, or other means.
 
5.4.11  The Committee shall, after all information is presented, meet in executive session, to prepare its recommendation. The recommendation of the committee will include but may not be limited to:
      • A summary of the hearing;
      • A brief history of the case, including copies of disciplinary action notices, termination notices, or other sources of the grievance or appeal; a summary of opposing positions and the justification presented by each; the Committee's majority recommendation; specific reasons for the recommendation; and detail as to the method of achieving the recommended action.
5.4.12  The CHRO/Associate Vice President, Finance & Administration, or his/her designee or the USA Health Chief Human Resources Officer, or his/her designee, will serve as an advisor to the Committee to provide technical guidance in the preparation of the Committee's recommendations.
 
5.4.13  After considering the Committee's recommendations and arriving at a decision, the General Division Chief Administrative Officer or the USA Health Chief Operating Officer, as applicable will issue the decision to the concerned parties through the CHRO/Associate Vice President, Finance & Administration, or the USA Health Chief Human Resources Officer, as applicable, who will advise the concerned parties and assist in any personnel action required.
 
5.4.14  When warranted by unusual circumstances (illness, extended absences, etc.) the CHRO/Associate Vice President, Finance & Administration or the USA Health Chief Human Resources Officer, as applicable may extend or modify the time limits indicated in the grievance and appeal procedure so as not to be unduly restrictive to either side.

6. Enforcement

The University’s Human Resources department is responsible for implementing and enforcing this policy. Persons found to be in violation of this policy will be subject to disciplinary actions up to and including termination.
 
Staff employees with questions should contact their HR Employee Relations office:
 
For General Division Employees:  at 251-461-6133 or hrmaincampus@southalabama.edu
 
For USA Health Employees: at 251-415-1604 or hr@health.southalabama.edu
 
For questions regarding the problem resolution procedures for students please review the Student Handbook - The Lowdown. For questions regarding the problem resolution procedures for Faculty please review the Faculty Handbook.

7. Related Documents

7.4  Fair and Just Culture (Applicable to USA Health Employees)