| University of Washington Administrative Policy Statements |
May 1, 2002 | 46.3 |
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Table of Contents |
Resolution of Complaints Against University Employees(Approved by the Executive Vice President 1. OverviewIn the course of their education, employment, or use of University services, individuals may have complaints about the behavior of University employees, including complaints alleging violations of University policies against discrimination on the basis of race, color, creed, religion, national origin, sex, sexual orientation, age, marital status, disability, or status as a disabled veteran or Vietnam era veteran (University Handbook, Volume 4, Part V, Chapter 1). This policy statement describes the processes the University will follow in responding to such complaints, referred to here as "complaints against employees." It is against University policy to penalize or retaliate against any party for his or her participation in these complaint processes. Employees will be given reasonable release time from their regular work schedules to participate in these processes, following notification of appropriate administrative personnel. Note: This policy statement does not address, and the expression "complaints against employees" does not encompass, claims for which other specific administrative or contractual procedures exist, such as collective bargaining contract grievances, the professional staff complaint process, whistleblower complaints, or patient complaints. Further, this policy statement does not affect the following:
2. Internal Complaint ProcessesComplaints against University employees may be addressed using the following internal processes:
The University encourages resolution of complaints at the lowest local level. Although these processes will generally be followed in the order described below, no one process is required before another may be utilized. However, these internal processes are not undertaken simultaneously. Individuals with disabilities requiring accommodations in order to participate in these complaint processes should contact the Disability Services Office. a. Local Investigation and ResolutionAll individuals are encouraged to discuss complaints against University employees with the appropriate supervisor or, if the supervisor is the source of the conflict, with the administrative head of the employing organization. When the complaint concerns a staff employee, Human Resources Consultants are available to facilitate discussion and, when appropriate, to assist in implementing informal complaint resolution. Complaints may be concluded by mutual consent at this point. Human Resources Consultants are assigned to each department at the University. b. University Ombudsman ServicesThe offices of the University Ombudsman and the Ombudsman for Sexual Harassment (hereafter referred to as "Ombudsman") are available to students, staff, faculty, and others who use University facilities. In responding to complaints, the Ombudsman may use education, consultation, conciliation, or mediation in an effort to reach a mutually satisfactory resolution of a dispute. Active participation is necessary for all relevant parties to the conflict. Often at this level, the conflict is resolved. If resolution does not occur at this level, appropriate referral options are identified and discussed. In addition, the Ombudsman may find that the dispute raises issues of concern to the University and may refer the matter for an institutional investigation. (For more information about the Ombudsman, see University Handbook, Volume 2, Part I, Chapter 12, Section 12–25, Subsection II). c. UCIRO Internal Investigation and ResolutionA UCIRO (University Complaint Investigation and Resolution Office) internal investigation may be requested either by an individual with a complaint about a University employee or by the administrative head of a University organization. In addition, the University may initiate a UCIRO internal investigation in order to uphold University policies. These investigations are conducted by investigators in the University Complaint Investigation and Resolution Office. Generally, UCIRO internal investigations are concluded within 60 days. When an individual makes a matter the subject of an adjudicative process under "Adjudicative Proceedings for the Resolution of Differences" (University Handbook, Volume 2, Part II, Chapter 28), pending UCIRO internal investigations into the same matter will be administratively closed and subsequent requests for UCIRO internal investigations into the same matter will not be accepted. When an individual makes a matter the subject of a complaint to a state or federal agency, pending UCIRO internal investigations into the same matter will be completed as indicated in Section 3 of this policy statement, and subsequent requests for UCIRO internal investigations into the same matter will not be accepted. When an individual makes a matter the subject of a tort claim or lawsuit, pending UCIRO internal investigations into the same matter will be administratively closed and subsequent requests for UCIRO internal investigations into the same matter will not be accepted. Matters which occurred more than 365 days prior to a request for investigation by an individual will not be accepted for a UCIRO internal investigation. In conducting a UCIRO internal investigation, the investigator acts as a neutral, objective fact-finder, and will interview the individual submitting the complaint, the employee(s) whose behavior is the subject of the complaint, and other appropriate persons in order to determine the facts. When warranted, resolution teams composed of appropriate staff may be convened to attempt to resolve the complaint. While resolution activities are underway, the UCIRO internal investigation is usually suspended. The investigator or resolution team may recommend appropriate corrective action to the administrative head of the organization. If, during the course of the UCIRO internal investigation, the complaint is withdrawn or resolved, the investigation will be terminated and the matter administratively closed. When a UCIRO internal investigation requested by an individual is completed, the investigator will provide the individual, the employee(s) whose behavior is the subject of the complaint, and the supervisor or administrative head of the organization with a written report summarizing the allegations investigated, the facts determined, and any corrective actions taken by the administrative head of the organization. There is no internal appeal mechanism; individuals who are not satisfied with the results of the UCIRO internal investigation may contact state or federal agencies. 3. External Complaint InvestigationIndividuals have a right to file complaints alleging discrimination or retaliation with state or federal agencies within the prescribed time periods, and these complaints are referred to investigators in the University Complaint Investigation and Resolution Office (UCIRO) for investigation and preparation of the University's response. State and federal agencies establish the time frame for concluding investigations of external complaints. 4. Responsibility to Report and CooperateUniversity faculty and staff members are encouraged to inform their supervisors or the administrative heads of their organizations and their Human Resources Consultant of inappropriate or discriminatory workplace behavior. All faculty and staff members are required to report to their supervisors or the administrative heads of their organizations any complaints of discrimination they receive and to participate, provide information as requested, including official personnel or student files and records and other materials recorded in any form, and otherwise fully cooperate with the processes described in this policy statement. All complaints of sexual harassment must be reported by the supervisor or administrator to the Office of the Ombudsman for Sexual Harassment. Faculty and staff members who fail to report complaints received or to cooperate with these complaint processes are subject to disciplinary action by their supervisors or the administrative heads of their organizations. If a supervisor or the administrative head of an organization disciplines a faculty or staff member as a result of information obtained in the course of these processes, he or she may appeal such disciplinary action through the mechanisms appropriate to his or her status as either a faculty or staff member. 5. Additional InformationFor additional information, contact the following:
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