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Policies and Procedures for Supervising University Employees
PART ONE: POLICIES OF THE UNIVERSITY OF MAINE SYSTEM
Accommodating Employees and Job Applicants with Disabilities
Equal Opportunity Policy
Non-Discrimination Notices
Equal Opportunity Complaint Procedure for the University of Maine System
Excerpts: Guidelines for Implementation of the Revised Equal Opportunity Policy
Sexual Harassment
Guidelines Regarding Consenting Relationships
Additional Policies and Procedures
Political Activity
Personnel Actions
Shared Appointments (Summary of Policy)
Employee Transfer
Grievance Procedures for Non-Represented Employees
Safety in the Workplace
Substance Abuse
Conflict of Interest
Tenure
Student Evaluation of Faculty (Summary of Policy)
Free Speech and Assembly
Advanced Degrees for Faculty
Patents and Copyrights (Summary of Policy)
Smoking in the Workplace
Guidelines for the Implementation of the Workplace Smoking Act of 1985
INTRODUCTION
This manual was produced by the System Office of Human Resources for all those within the University of Maine System who have supervisory responsibilities. Before you read further, you may find the answers to the following questions helpful.
Why did I get this manual?
Regardless of the University where you work, or the specific nature of your job, all those who supervise share some common functions. You received this manual, and will continue to periodically receive new material for the manual, because your University position includes supervisory responsibilities. The information in this manual applies to all those who supervise at least one other employee.
How does this information relate to University policy and procedure?
Each University has unique policies and procedures in a number of very important areas. These are communicated to employees in a variety of ways, including manuals. This book contains systemwide polices and procedures. In some cases, these have served as the basis for more specific University guidelines. In other instances, the information covered in this manual is treated in an identical manner by each university. The policies included here have been approved by the University Board of Trustees, or have been issued by System administrators and therefore apply to all universities.
Aren’t there different policies for the academic and the non-academic areas?
Certainly, many University policies apply to specific functional areas. We have attempted here, to the maximum extent possible, to include policies that cut across those functions and apply to all those who supervise. Nevertheless, you will find some parts of this manual more relevant to the work that you do than other parts. Perhaps the best way to use the manual is to browse through it and become familiar with all the topics. Thoroughly read those sections that are most relevant to the work that you do. Then use the manual as a reference, looking up information as the need arises.
Does this manual contain all the policies and procedures I need to know as a supervisor?
Certainly not! In addition to university-specific policies and procedures that were referred to above, there are other resources that you should have. It is essential that you have copies of the collective bargaining agreements and employee handbooks that affect the staff you supervise. A list of these resources appears in Section III. Most of the specific questions that you will be asked as a supervisor can be answered by the appropriate agreement or handbook.
There are also several booklets that explain University benefit programs. Although summaries of the benefits available to employees are included here, the lengthier documents provide more complete information. Each university Human Resources Office has copies of these specific booklets.
There are other publications that are designed to inform employees about systemwide policies in areas such as conflict of interest, sexual harassment, and use of drugs and alcohol, or to educate employees about University compliance with federal and state laws, such as the Family Medical Leave Act and the Americans With Disabilities Act. We suggest that you keep those publications with this manual.
Changes to this Manual will be made periodically and distributed accordingly. If you have questions or need more information about any of the policies or procedures in this manual, contact your university Human Resources /Personnel Office.
I. POLICIES OF THE UNIVERSITY OF MAINE SYSTEM
This section of the Supervisors’ Manual contains policies adopted by the University’s Board of Trustees or issued by System administrators. The policies included here are those that most directly affect supervisors. A separate manual, kept in the President’s Office at each university, contains all Board polices approved since 1968, when the University of Maine System was formed. All Board policies are also available online at http://www.maine.edu/system/policy_manual/policy_manual.php.
This manual includes most of the policies in the Human Resources and Labor Relations section of the Board manual as well as the policies on Patents and Copyrights, Free Speech and Assembly, and Advanced Degrees for Faculty. In several cases, where the original policy is quite lengthy, we have provided a summary instead of the entire policy.
The System Office of Human Resources has developed guidelines for the implementation of Board policies on equal opportunity and sexual harassment. These guidelines have been included in this section, immediately following the policy to which they relate. All Board Policies in this handbook have been italicized in each section to assist you with recognition.
ACCOMMODATING EMPLOYEES AND JOB APPLICANTS WITH DISABILITIES
Hiring and Supervising Employees with Disabilities
The following University policies and procedures will help assure compliance with federal and state equal opportunity laws, including the Americans with Disabilities Act (ADA). They will help your department select the most qualified applicant for position vacancies, help the University achieve its goal of providing accessibility, and avoid potential challenges to your decisions.
The following terms are used in this section:
• Person with a disability
a person who has a physical or mental impairment that affects a major life activity (such as seeing, hearing, walking, or working), or has a record of such an impairment, or is perceived as having such an impairment; people who are not themselves disabled but who are associated with someone who has a disability are also protected by the law
• Essential functions
the fundamental duties of a job
• Non-essential functions
less important job duties that are part of the job but that are not absolutely necessary
• Qualified
able to perform the essential functions of a job, with or without a reasonable accommodation
• Reasonable accommodation
a change in the work environment or in the way the job is customarily done that enables someone with a disability to perform the job and have equal employment opportunities.
Filling a Vacancy; Identifying Essential Functions
The University will provide reasonable accommodations to enable a person with a disability to perform essential job functions. An employee or applicant who cannot perform the essential functions even with an accommodation is not considered to be qualified. In contrast, if a person with a disability is not able to perform non-essential functions of the job because of the disability, the University must either provide accommodations or reassign the duties. Consequently, it is necessary that we be able to distinguish between essential and non-essential functions. It is highly unlikely that all duties on current job descriptions would be considered essential functions.
The ADA defines essential functions as the fundamental duties of a job. A job function may be considered essential if: the position exists in order to perform that function; the function can be assigned only to a limited number of employees; or the function is highly specialized (the employee was hired because of the expertise to perform this function). In addition to these general criteria, any task that is performed at least 10% of an employee’s time would probably be considered essential.
Once your department has identified the essential functions of a job, the job description for the position should be revised accordingly. The essential functions should be listed first and labeled as such, followed by the non-essential functions. This approach will replace the separation of major duties from secondary duties where that distinction currently exists. For classified positions, this may mean preparing a job description identifying the specific duties of the position to supplement the generic system-wide job description for the classification.
Making the Application Process Accessible
People with disabilities are entitled to equal access to the job application process. This may require some modifications in the process itself or in the interview arrangements. All interviews must be scheduled in an accessible location (wheelchair accessible). In addition, an applicant with a hearing or visual impairment may need accommodation to participate in the application or interview process. You could become aware of the need for accommodation through the application or resume, or the applicant may have disclosed the information while making arrangements for the interview.
The applicant is responsible for requesting accommodations, but as an employer we must provide the opportunity for the applicant to make the request. For example, a hearing impaired applicant may arrive at the scheduled interview time with an interpreter, or may have requested in advance that you provide the interpreter; or a telephone interview may need to be done through a text telephone usable by people with hearing impairments. Contact your university ADA Coordinator if you have any questions regarding accommodations for applicants with disabilities.
Pre-employment Testing
If a pre-employment test is given to all applicants, an applicant with a disability may request a reasonable accommodation in the testing process or the test itself.
Interviewing
Assess the candidate’s qualifications for the position without regard to the disability. It is impermissible to ask any questions about whether an applicant has a disability prior to the offer of employment. The question is whether the individual is otherwise qualified, with or without an accommodation. To determine this, the interview should focus on informing the applicant of the essential functions of the job and then determining whether the applicant meets the qualification standards (educational background, work experience, skills, etc.) that are applied to all applicants.
If a disability is apparent or if the applicant voluntarily discloses this information and you have concerns about the person’s ability to perform the essential functions of the job, you may ask the applicant to describe or demonstrate how he or she would accomplish the job. Keep the following points in mind:
1. Do not assume that a person’s disability will interfere with his or her ability to perform the job – now or in the future.
2. Describe the job responsibilities in terms of outcomes, rather than focusing on the way a duty is normally performed. There may be alternate ways that a person with a disability could accomplish the tasks that will meet your expectations about quantity and quality.
3. Do not let the disability be a barrier to your communication with the applicant. If you have discussed the qualifications for the position and think that the person closely matches those needed to perform the job, but you have concerns about the effect the disability may have on job performance, the applicant may be able to address your concerns by explaining how he or she performed similar tasks in other work or school experiences.
4. If the applicant requests an accommodation or if his or her response to the above questions reveals the need for special equipment or procedures, do not make assumptions that these accommodations would be too costly or difficult. Once the applicant has requested or described the necessary accommodations, you should determine whether he or she is still qualified – that is, can the person do the job. If you conclude that the applicant is qualified, contact your university ADA Coordinator or the Human Resources Office for assistance in determining whether the accommodations are reasonable.
If the applicant’s disability is unrelated to performance of job duties – for example, someone who has an artificial leg applies for a job as a secretary – the person may only be asked to describe how he or she would perform the job if this is required of all applicants for the position.
Responding to Requests for Accommodation
An accident, illness, or ongoing medical condition may result in an employee with a disability needing an accommodation to perform the job or perhaps no longer being able to perform an essential function of the job. The significant investment that the University has made in training the employee and the legal obligations toward people with disabilities combine to create compelling reasons for working with the employee to explore how we can help him or her remain productive.
Supervisors should contact the appropriate campus ADA resource (see page 5) when a request to accommodate is received. An employee or job applicant may make such a request during the search process or at any time after hiring. All requests should be documented and processed as quickly as possible. It is essential to involve the individual with a disability in identifying and evaluating potential accommodations. Although final responsibility for selecting the most appropriate accommodation rests with the University, the preferences of the individual making the request should be determined and considered.
The university ADA Coordinator must be consulted if a mutually acceptable accommodation cannot be found or if requested accommodations involve more than a minimal cost or affect the assignments of other employees. No request should be denied before review by the designated university ADA Coordinator.
Handling Job Performance Problems
Anytime that non-reappointment or other adverse action involving an employee is being considered, a review should be conducted to determine whether the employee may have a disability that is affecting job performance. If the supervisor has reason to believe that a disability may be involved, the supervisor should ask the employee if an accommodation is needed. If no disability exists or if it is not affecting job performance, the University may proceed with the disciplinary or non-reappointment process. If an employee’s disability is affecting the performance of non-essential functions of the job, a reasonable accommodation should be made to enable the employee to perform these functions, or the functions should be eliminated from the job. If a disability makes an employee unable to perform essential functions of the job even after all possible accommodations have been considered, the University must reassign the employee to a vacant position if the employee is qualified for the job and the job is available within a reasonable amount of time. If no job is available for which the employee is qualified, the University may proceed with the termination or non-reappointment process.
Accommodating the Public
All programs or events which are open to the public must be held in accessible locations. Public events or programs include, for example, public meetings or hearings, non-credit courses, conferences, and workshops. Brochures, press releases, and posters announcing such programs should include a statement such as:
Any persons with disabilities who need accommodations for this program should contact (name and phone/TDD number of program staff member) to discuss their needs.
Registration forms may state:
If you are a person with a disability and will need any accommodation for this program, please check this box and a representative of the sponsoring department will contact you to discuss your accommodation needs.
DISABILITY ACCOMMODATION RESOURCES
Please contact the office listed below for your university if you receive a request to accommodate an individual with a disability and if:
1. you have questions or concerns about services for a person with a disability, means of accommodating someone with a disability, verification of a disability, or your responsibility for responding to the needs of individuals with disabilities; and/or
2. you believe that accommodation would or might alter the essential functions of a job or the essential requirements of an academic course or program; and/or
3. funding outside the departmental budget would be needed to pay for an accommodation; and/or
4. you believe the request should be denied.
*Denial of a request requires consultation with the Director of Equal Opportunity
| EMPLOYEE/JOB APPLICANT NEEDS (OTHER THAN PHYSICAL FACILITY MODIFICATIONS) | STUDENT/APPLICANT NEEDS (OTHER THAN PHYSICAL FACILITY MODIFICATIONS) |
PHYSICAL FACILITY MODIFICATIONS |
| University of Maine Mary Knowlton* Rehabilitation Specialist 581-2368 |
University of Maine Ann Smith* Counselor/Coordinator of Services for Students with Disabilities 581-2319 |
University of Maine Evelyn Silver Director of Equal Opportunity 581-1226 |
| Univ. of Maine at Augusta Sheri Stevens Equal Opportunity Officer 621-3110 |
Univ. of Maine at Augusta Sheri Stevens Equal Opportunity Officer 621-3110 |
Univ. of Maine at Augusta Sheri Stevens Exec. Dir. of Admin. Services 621-3110 |
| Univ. of Maine at Farmington Laurie Gardner Asst. to VP Administration/Coordinator of Personnel Services 778-7272 |
Univ. of Maine at Farmington Claire Nelson Coordinator of Academic Services 778-7295 |
Univ. of Maine at Farmington Robert Lawrence Dir. of Facilities Management & ADA Compliance Officer 778-7009 |
| Univ. of Maine at Fort Kent Tamara J. Mitchell Bradley G. Ritz EO Co-Coordinators 834-7533 Mitchell 834-7616 - Ritz |
Univ. of Maine at Fort Kent George A. Diaz Director of Academic and Counseling Services 834-7532 |
Univ. of Maine at Fort Kent Richard Bouchard Director of Facilities Management 834-7671 |
| Univ. of Maine at Machias Sheryl Lambson Director of Equal Opportunity 255-1349 |
Univ. of Maine at Machias Jean Schild Coordinator of Student Resource Ctr. 255-1228 or 255-1362 |
Univ. of Maine at Machias James Miner Director of Physical Facilities 255-1315 |
| Univ. of Maine at Presque Isle Carolyn Cheney Director of Personnel 768-9551 |
Univ. of Maine at Presque Isle Myrna McGaffin Director of Student Support Services 768-9613 |
Univ. of Maine at Presque Isle Charles Bonin Vice President for Administration and Finance 768-9550 |
| Univ. of Southern Maine Linda Rousseau Manager of Benefits & Injury Management 780-5175 |
Univ. of Southern Maine Joyce Branaman Director of Academic Support for Students with Disabilities 780-4706 |
Univ. of Southern Maine Erika Anderson University Ombudsperson 780-5562 |
| System Wide Services/UNET Sally Dobres Equal Opportunity Coordinator 973-3372 |
System Wide Services/UNET Not Applicable |
System Wide Services/UNET David Wilson Director of Facilities 973-3335 |
EQUAL OPPORTUNITY POLICY
The University is committed to equal employment opportunity and affirmative action in every aspect of employment policy and practice, including selection, placement, training, and advancement of University employees. The Board of Trustees Equal Opportunity Policy states as follows:
In complying with the letter and spirit of applicable laws and in pursuing its own goals of diversity, the University of Maine System shall not discriminate on the grounds of race, color, religion, sex, sexual orientation, including transgender status or gender expression, national origin, citizenship status, age, disability, or veterans status in employment, education, and all other areas of the University System. The University provides reasonable accommodations to qualified individuals with disabilities upon request
The University will regard freedom from discrimination and discriminatory harassment as an individual employee and student right which will be safeguarded as a matter of policy. Any employee or student will be subject to disciplinary action for violation of this policy. Retaliation against anyone who makes a complaint of discrimination or harassment or who is involved in a complaint process will not be tolerated.
Revised OHR 05/06
Non-Discrimination Notices
The University is required to include a non-discrimination notice in a wide variety of its publications to comply with federal regulations. Any department or unit that publishes and distributes newsletters, brochures, reports, catalogs, applications, or bulletins that are made available to students, employees, applicants, or program beneficiaries must put the non-discrimination notice in the publication. Following is the language for the notice.
NON-DISCRIMINATION NOTICE
(Short Form)
(To be printed in brochures, application forms, newsletters, and other short publications.)
In complying with the letter and spirit of applicable laws and in pursuing its own goals of diversity, the University of Maine System shall not discriminate on the grounds of race, color, religion, sex, sexual orientation, including transgender status or gender expression, national origin, citizenship status, age, disability, or veterans status in employment, education, and all other areas of the University System. The University provides reasonable accommodations to qualified individuals with disabilities upon request.
Questions and complaints about discrimination in any area of the University should be directed to (name, title, address, phone and TTY number of campus Equal Opportunity Director).
Revised OHR 05/06
Non-Discrimination Notice
(Long Form)
(To be printed in undergraduate and graduate catalogs, employee and student handbooks, and other lengthy publications.)
In complying with the letter and spirit of applicable laws and in pursuing its own goals of diversity, the University of Maine System shall not discriminate on the grounds of race, color, religion, sex, sexual orientation, including transgender status or gender expression, national origin or citizenship status, age, disability, or veterans status in employment, education, and all other areas of the University. The University provides reasonable accommodations to qualified individuals with disabilities upon request.
Questions and complaints about discrimination in any area of the University should be directed to the university Equal Opportunity Director or to the Equal Opportunity Coordinator for the University of Maine System, currently Sally Dobres, who can be reached at (207) 973-3372 (voice) or (207) 973-3300 TDD, 16 Central Street, Bangor, Maine 04401.
Inquiries or complaints about discrimination in employment or education may also be referred to the Maine Human Rights Commission. Inquiries or complaints about discrimination in employment may be referred to the U.S. Equal Employment Opportunity Commission.
Inquiries about the University’s compliance with Title VI of the Civil Rights Act of 1964, which prohibits discrimination on the basis of race, color, and national origin; Section 504 of the Rehabilitation Act of 1973 and Title II of the Americans with Disabilities Act of 1990, which prohibit discrimination on the basis of disability; Title IX of the Education Amendments of 1972, which prohibits discrimination on the basis of sex; and the Age Discrimination Act of 1975, which prohibits discrimination on the basis of age, may also be referred to the U.S. Department of Education, Office for Civil Rights (OCR), Boston, MA 02109-4557, telephone (617) 223-9662 (voice) or (617) 223-9695 (TTY-TDD). Generally, an individual may also file a complaint with OCR within 180 days of alleged discrimination.
Revised OHR 05/06
EQUAL OPPORTUNITY COMPLAINT PROCEDURE FOR THE UNIVERSITY OF MAINE SYSTEM
The University of Maine System is committed to maintaining a respectful, fair educational and work environment, free from discrimination or harassment. The goal of the University is to prevent discrimination or harassment from occurring and to provide a means of raising and resolving complaints. The Equal Opportunity Complaint Procedure may be used by any employee or student of the University of Maine System who believes that he or she has been discriminated against or harassed based on race, color, religion, sex, sexual orientation, national origin or citizenship status, age, disability, or veterans status. Sex discrimination complaints alleging discrimination based on marital status, pregnancy, or parental status may also be raised through this procedure.
These procedures provide a mechanism for employees and students to file complaints and for investigation and resolution of such complaints. The University is responsible for providing an environment free of discrimination and harassment whether or not an employee or student chooses to file a complaint using these procedures. Nothing in this document should be construed to limit the University’s ability to take corrective action when the University’s Non-Discrimination policy is violated.
GENERAL INFORMATION
Who may file a complaint:. Any employee or student with a concern about discrimination or harassment should contact the university Equal Opportunity Officer or other person designated by the university as soon as possible after the alleged incident. (In providing this procedure to the university community, each institution shall specify the title(s), addresses, and telephone numbers of the persons designated. For the purposes of this System-wide procedure the title Equal Opportunity Officer will be used.) This contact information is available from the University Equal Opportunity Office. Any person may bring information or a concern about discrimination or harassment to the Equal Opportunity Officer. A complaint may be initiated by an employee or student who feels he or she has experienced discrimination or harassment or by anyone with knowledge of an incident. When the complainant is not the person who may have experienced discrimination or harassment, the University’s ability to investigate and resolve the situation may depend on that person’s willingness to participate in the investigation.
The Equal Opportunity Officer will provide information about University policy and relevant laws, suggest ways to handle the complaint either informally or formally, and provide referrals to counseling or other support services, as needed. In any situation in which the person accused of discrimination or harassment is a student and a formal complaint is filed, the investigation will be conducted by the Student Judicial Officer under the Student Conduct Code. In such cases the Equal Opportunity Officer may serve as a consultant.
Alternate investigator: The university shall also provide a qualified alternate investigator in certain circumstances. (In providing this procedure to the university community, each institution shall specify the title(s), addresses, and telephone numbers of the persons designated as alternate investigators or of the office or individual to whom a request for an alternate investigator should be made.) This contact information is available from the University Equal Opportunity Office. Complaints may be made to the alternate investigator if the Equal Opportunity Officer is the subject of the complaint. A request that the alternate investigator handle a complaint may be made if there is a concern that the Equal Opportunity Officer has a substantial conflict of interest in connection to the complainant or the person accused. If the Equal Opportunity Officer files a complaint, it shall be investigated by the alternate investigator.
Confidentiality: Investigations will be conducted as confidentially as possible to protect the privacy and due process rights of both the complainant and the individual accused. Consultation with and involvement of other employees, supervisors and others will be strictly limited to those who may have information about the alleged incident, who need to know that a complaint has been made, or whose job responsibilities include equal opportunity matters. All those involved in a complaint process are strongly encouraged not to discuss information about the complaint within the University in order to protect their privacy, the privacy of others, and the effectiveness of the process. The complainant and the person accused may discuss the matter with family and others outside the University as necessary for support and guidance and may obtain assistance from University counseling professionals.
Supervisor’s responsibility:. If a supervisor becomes aware of a discrimination or harassment concern, the supervisor should consult with the Equal Opportunity Officer. The Equal Opportunity Officer and the supervisor will discuss the situation and together decide how to proceed.
Time limits: The people responsible for this process will seriously attempt to meet all deadlines, but failure to do so will not prevent the process from continuing. Deadlines in this procedure are intended to serve as outside limits for actions to occur. In the interest of everyone concerned, all matters should be handled as expeditiously as possible. All deadlines refer to calendar days.
Retaliation: Retaliation against anyone who makes a complaint of discrimination or harassment, or who is involved in a complaint process is illegal and is a basis for a separate complaint under these procedures.
INFORMAL COMPLAINTS
The University’s experience is that most complaints can be resolved through an informal process. By its nature an informal process is less procedurally detailed than a formal process. The informal process provides the maximum privacy and an opportunity for the earliest possible resolution for everyone concerned.
If the complainant wishes to explore an informal resolution of the problem, the Equal Opportunity Officer will provide assistance without fully investigating the allegation. The objective of the informal process is to seek a resolution to which all parties involved can agree. The Equal Opportunity Officer may suggest that the complainant speak directly to the accused person or may act as an intermediary. A complainant may request that the person accused not be informed of the complainant’s identity if this is not essential to resolve the complaint informally. The Equal Opportunity Officer may also gather information from other sources in an effort to resolve the complaint.
If the person accused elects not to participate in an informal process, the non-participation will not be considered as damaging evidence. Failure of the accused person to participate does not change the University’s responsibility to investigate and to make decisions based on available information.
Attempts to resolve an informal complaint will be completed within thirty (30) days from the date of the complaint. The complainant and the person accused will be informed of the outcome of the informal process. This notification may be oral. At the completion of the informal process if a formal complaint will not be filed, the complainant or person accused may request a letter from the Equal Opportunity Officer regarding the status of the complaint. If a complaint cannot be resolved informally, the complainant or the Equal Opportunity Officer may request a formal investigation.
FORMAL COMPLAINTS
Filing a complaint: An employee or student who wishes to file a formal complaint should contact the Equal Opportunity Officer, who will conduct an investigation. The complaint should be filed as soon as possible after the alleged incident or unsuccessful efforts to resolve the situation informally. A formal complaint must be put in writing and signed by the complainant. The complaint shall specify the incidents giving rise to the complaint. When possible, dates and location of incidents and potential witnesses shall be identified.
The University will attempt to balance the wishes of a complainant who does not want to file a formal complaint with the University’s responsibility to investigate serious allegations and take prompt corrective action. A complainant who decides not to proceed with a formal complaint may be asked to state that preference in writing.
Notifying the person accused: The person accused of discrimination or harassment in a formal complaint will be informed in writing by the Equal Opportunity Officer within seven (7) days of both the allegations and the complainant’s identity.
Investigative process:. The Equal Opportunity Officer will meet with the complainant and the person accused and may request to meet with them together. The Equal Opportunity Officer may also interview witnesses, supervisors, or other persons who have information about the alleged incident, and may review personnel or other records relevant to the complaint. Prior allegations, or findings about prior incidents of discrimination or harassment, shall not be considered in determining whether the present allegation has been substantiated.
Findings and remedies: The Equal Opportunity Officer will assess whether a violation of the University’s non-discrimination or harassment policy has occurred and will submit findings in writing to the responsible administrator, the complainant, and the person accused within thirty (30) days of receiving the formal complaint. If the finding is that discrimination or harassment occurred, the Equal Opportunity Officer may discuss or provide information about appropriate remedies to the responsible administrator. The responsible administrator is the line administrator (for example, the dean, director, vice president, or president), who is responsible for acting on the findings and for making a decision regarding discipline of the person accused.
Appropriate discipline may range from an oral reprimand up to and including termination, or any other appropriate remedial action.
In making a decision regarding discipline, the responsible administrator may consider properly established records of previous conduct and the seriousness of the violation. A complaint made more than twelve (12) months after the incident shall not be the basis for disciplining any person accused of discrimination or harassment. However, where there are allegations of discrimination or harassment made within the twelve (12) month period and a longer pattern or practice of discrimination or harassment exists, the responsible administrator shall consider the totality of events in determining appropriate discipline.
Before any disciplinary action is taken the responsible administrator shall discuss the findings and recommendations with the Equal Opportunity Officer, shall meet with the accused person, and shall offer to meet with the complainant. The responsible administrator may also interview other witnesses and review other relevant evidence. The accused person and the Equal Opportunity Officer will be notified of the decision of the responsible administrator in writing within fourteen (14) days. The complainant will be notified at the same time whether the allegations have been substantiated, what corrective action, if any, will be taken, and in general, whether any discipline will be imposed. An employee who is disciplined after a complaint has been substantiated may grieve the discipline by filing a grievance according to the procedures in the appropriate collective bargaining agreement or non-represented employee’s grievance procedure.
Appeals of formal complaints: Either the complainant or person accused may file an appeal if: (1) the findings include relevant factual errors or omit relevant facts, (2) relevant procedural errors are alleged, or (3) relevant issues or questions concerning interpretation of University policy are raised. An appeal must be made in writing to the Equal Opportunity Coordinator for the University System within seven (7) days of being notified of the responsible administrator’s decision. The appeal must state the reason(s) for the appeal. The Equal Opportunity Coordinator will review the written record and may request additional information from the Equal Opportunity Officer, complainant, person accused, responsible administrator, or others with direct knowledge about the complaint. The Equal Opportunity Coordinator’s review will be completed within fourteen (14) days and will be reported in writing to the complainant, person accused, Equal Opportunity Officer, responsible university administrator, and university president. The final decision on an appealed complaint rests with the university president. During an appeal, the university shall not impose any discipline on a respondent for the behavior which is the subject of the appeal.
At any point in the complaint process, if the University believes that the accused person represents a danger to individuals or to operations of the University, the accused may be placed on a leave with pay.
Right to Representation:
General:. The complainant and the person accused have the right to representation as specified below. Any representative may attend any inquiry with the employee or student and may receive copies of documents, notice of proceedings, and copies of findings, but may not participate in the inquiry.
• Bargaining unit members:. The University shall inform a bargaining unit member who is the subject of a complaint of the member’s right to be accompanied by a grievance representative. Any employee who files a complaint and who is a bargaining unit member may also be accompanied by a union representative.
• Students and non-represented employees: A student or non-represented employee, as either complainant or accused, shall also have the right to be accompanied by another student or employee at the university or other person.
• Attorneys: Either the complainant or the accused may be accompanied by legal counsel when a formal complaint has been made.
Written records: The kinds of written records relating to a charge of discrimination or harassment that may be placed in an accused employee’s official personnel file include: any document that has been mutually agreed to by the University and the employee; a letter issued by the responsible administrator to the employee at the conclusion of a formal investigation, which notifies the employee about discipline to be imposed or other remedies; a settlement agreement between the parties. Inclusion of such information in the personnel file shall be in accordance with the relevant collective bargaining agreement.
Other written records of informal or formal complaint investigations will be marked "CONFIDENTIAL" and will be retained in a separate and secure (locked) confidential file by the Equal Opportunity Officer.
Alternative procedures: Employees are encouraged to use the Equal Opportunity Complaint Procedure to address any complaints of discrimination or harassment based on protected class status. However, an employee may elect to file a grievance under the provisions of the applicable collective bargaining agreement or non-represented employee’s grievance procedure, if the alleged incident is also in violation of the collective bargaining agreement or non-represented employees’ handbook. This action may be in addition to, or in place of, the procedures described above. An employee who wishes to use the Equal Opportunity Complaint Procedure but also to preserve his or her right to file a grievance must ask for, and normally will be granted, an extension of the initial deadline for filing a grievance. Such a request shall be made in writing before the initial deadline for filing a grievance passes by the bargaining agent or other non-represented employee to the University administrator with authority to grant an extension.
Any complaint of discrimination or harassment filed under these procedures shall be processed even if the complainant also files a complaint or suit with an outside agency, including the Maine Human Rights Commission, U.S. Equal Employment Opportunity Commission, or U.S. Department of Education Office for Civil Rights.
Academic Freedom: Harassment based on sex, race, or other protected characteristics includes verbal conduct which has the purpose or effect of unreasonably interfering with an individual’s work or academic performance or creating an intimidating, hostile, or offensive work or educational environment. However, harassment does not include verbal expression which is relevant to course subject matter, and university procedures for handling harassment complaints shall not abridge academic freedom.
Dissemination of Procedure: A summary of the Equal Opportunity Complaint Procedure will be provided to all employees and students. Periodic notices sent to students, employees, and supervisors about the University’s equal opportunity and sexual harassment policies will include information about the complaint procedure and will refer individuals to the Equal Opportunity Officer for additional copies.
February 22, 1994
GUIDELINES FOR IMPLEMENTATION OF THE REVISED EQUAL OPPORTUNITY POLICY
(Excerpts regarding citizenship status and sexual orientation)
1. To implement the prohibition of discrimination based on citizenship status:
a. No interview questions may be asked of or assumptions made about the citizenship status of applicants for employment. Job offers and other employment decisions may not be based on an applicant’s or employee’s citizenship status. A U.S. citizen may be preferred over an equally qualified alien only if: (i) the alien is not authorized to work in the United States, or (ii) the preference is based on a nondiscriminatory reason other than citizenship status or national origin.
b. You should ask finalists if they are legally authorized to work in the United States and can produce the documents required to complete the I-9, but if the question is asked of one, it must be asked of all finalists (avoid asking only applicants with an accent).
c. To comply with the Immigration Reform and Control Act, it is still necessary to verify an individual’s identity and authorization to work in the U.S. within three (3) days of hire (one day in the case of temporary employees). In practice, it is often advisable to verify this information before making an offer of employment to ensure that the preferred candidate is legally able to work.
d. Members of the campus community who have questions or complaints about discrimination based on citizenship status should be referred to the university Equal Opportunity Officer.
2. The following definitions and guidelines shall apply in implementing the prohibition of discrimination on the basis of sexual orientation.
a. Sexual orientation refers to an individual’s sexual preference or sexual interest in another person. The prohibition against discrimination based on sexual orientation means that the University and its agents may not discriminate against anyone in employment, tenure, discharge, or similar actions based on that individual’s sexual orientation, in the same way that a person may not be discriminated against based on sex, race, religion, age or other protected characteristic(s). In addition, the policy should be interpreted to prohibit physical and verbal assault, harassment, and intimidation based on an individual’s sexual orientation.
b. Members of the university who have questions or complaints about discrimination based on sexual orientation should be referred to the university Equal Opportunity Officer.
3. As in the case of any other kind of discrimination, discriminatory acts by a faculty, staff member or student, based on another individual’s citizenship status or sexual orientation, are a violation of University policy. The University is legally obligated to promptly and impartially investigate all complaints of discrimination. An employee or student who violates the equal opportunity policy is subject to disciplinary action under applicable collective bargaining agreements, University regulations, or the Student Conduct Code.
SEXUAL HARASSMENT
The University of Maine System is committed to maintaining a positive, fair work and educational environment, free from sexual harassment. In addition to being illegal, sexual harassment interferes with morale and productivity. The University policy on Sexual Harassment adopted by the Board of Trustees is as follows:
Board Policy:
Sexual harassment of either employees or students is a violation of federal and state laws. It is the policy of the University of Maine System that no member of the University System community may sexually harass another. In accordance with its policy of complying with non-discrimination laws, the University System will regard freedom from sexual harassment as an individual employee and student right which will be safeguarded as a matter of policy. Any employee or student will be subject to disciplinary action for violation of this policy.
In conformance with this policy, the University of Maine System will ensure fair and impartial investigations that will protect the rights of the person(s) filing sexual harassment complaints, the person(s) complained against, and the institution or unit. Retaliation against anyone who makes a complaint of sexual harassment or who is involved in a complaint process will not be tolerated.
Consenting relationships may constitute sexual harassment under this policy. When a professional power differential exists between members of the University of Maine System and a romantic or sexual relationship develops, there is a potential for abuse of that power, even in relationships of apparent mutual consent. Faculty and staff members are strongly advised not to engage in such relationships. Further, the University System prohibits the abuse of power in romantic or sexual relationships.
To assure that power is not abused and to maintain an environment free of sexual harassment, a faculty or staff member must eliminate any current or potential conflict of interest by removing himself or herself from decisions affecting the other person in the relationship. Decisions affecting the other person include grading, evaluating, supervising, or otherwise influencing that person’s education, employment, housing, or participation in athletics or any other University System activity.
Definitions:
Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:
1. submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment or education;
2. submission to or rejection of such conduct by an individual is used as the basis for academic or employment decisions affecting that individual; or
3. such conduct has the purpose or effect of interfering with an individual’s academic or work performance or creating an intimidating, hostile or offensive employment, educational, or living environment.
Procedures:
University presidents are directed to take appropriate steps to distribute this policy statement, to educate the University community to recognize and assertively confront sexual harassment, and to inform students and employees of procedures for raising complaints.
Concerns about possible sexual harassment may be raised and are addressed through the Equal Opportunity Complaint Procedure (see p. 9 of this handbook).
March, 1990
GUIDELINES REGARDING CONSENTING RELATIONSHIPS
The Board of Trustees policy on sexual harassment clarifies its application to consenting romantic or sexual relationships between members of the University of Maine System community. These guidelines explain the policy, the responsibilities of faculty or staff who may become involved in a relationship of the type covered by the policy, and the responsibilities of university administrators, supervisors, and Equal Opportunity Officers once there is a reasonable basis to believe that a consenting relationship may exist.
Relevant Portion of the Sexual Harassment Policy
"Consenting relationships may constitute sexual harassment under this policy. When a professional power differential exists between members of the University of Maine System and a romantic or sexual relationship develops, there is a potential for abuse of that power, even in relationships of apparent mutual consent. Faculty and staff members are strongly advised not to engage in such relationships. Further, the University prohibits the abuse of power in romantic or sexual relationships."
"To assure that power is not abused and to maintain an environment free of sexual harassment, a faculty or staff member must eliminate any current or potential conflict of interest by removing himself or herself from decisions affecting the other person in the relationship. Decisions affecting the other person include grading, evaluating, supervising, or otherwise influencing that person’s education, employment, housing, or participation in athletics or any other University System activity."
Types of relationships covered:
To fall within the consenting relationship portion of the policy, a relationship must:
1. Appear to be consensual, and
2. Be romantic or sexual in nature, and
3. Develop between two individuals one of whom has power or authority over the other.
A consenting relationship is one between two adults, both of whom appear to freely choose to enter into and continue a romantic or sexual relationship. The policy strongly discourages consenting relationships when one of the participants has power or authority over the other, but does not prohibit them outright. The University discourages such consenting relationships because the power differential creates a strong possibility that the relationship may not be truly consensual, or if consensual may not permit a later decision by the person with less power to discontinue the relationship out of concern for the possible effect on his or her employment or educational status.
If one of the individuals involved does not welcome the relationship, it should be regarded as potential sexual harassment based on the unwelcome nature of the sexual conduct. Relationships which are not consensual are prohibited under other sections of the sexual harassment policy.
Consenting relationships that may result in complaints of sexual harassment or sexual favoritism and that create a conflict of interest include, for example, those between:
• A faculty member and student who is enrolled in the faculty member’s course, who is enrolled in a program for which a course taught by the faculty member is a requirement, who is an advisee of the faculty member, or whose academic work is being supervised by the faculty member;
• A faculty or staff member and a student if the faculty or staff member is in a position to evaluate or otherwise influence the student’s education, employment, housing, or participation in athletics or any other University activity (staff members include, for example, graduate assistants, administrators, coaches, advisors, program directors, counselors, health center staff, and residential life staff);
• A supervisor and an employee under that person’s supervision; a department chair and a faculty member in the same department; an administrator and a faculty or staff member in a department under that administrator’s direction;
• A tenured faculty member and an untenured faculty member if the tenured person participates in peer recommendations about the untenured person.
Consenting relationships between two co-workers, two faculty or staff members in different departments, two students, and a faculty or staff member and student between whom no professional power differential exists and which are welcomed by both parties involved are not subject to the sexual harassment policy.
Why consenting relationships are regulated:
Positive relationships between faculty and other staff and students, and between supervisors and their employees enrich the University environment and should be strongly encouraged. It is also natural that academic or employment-related interactions between some individuals may lead to personal friendships, which do not pose problems as long as they do not create a conflict of interest that could cloud academic or employment decisions. The policy on consenting relationships is in no way intended to chill the development of constructive relationships between individuals one of whom has power or authority over the other. However, romantic or sexual relationships are fundamentally different and raise serious concerns.
A consenting romantic or sexual relationship between a faculty or staff member and a subordinate student or employee may be exploitative in nature, leads to a conflict of interest for the person who is in the position of power, and can affect the environment for other students, faculty, or staff members, or the manner in which they are treated. The sexual or romantic relationship, per se, is not the problem; rather the problem is the conflict of interest and the potential discriminatory or damaging impact of the relationship when a power differential is involved.
Codes of ethics for most professional associations forbid professional-client sexual relationships. These codes offer guidance in the University setting. Student respect for and trust in faculty and other staff greatly restrict their actual freedom to reject sexual advances, and make them vulnerable to unintentional sexual exploitation. The power of faculty and other staff to give or withhold rewards such as praise, grades, and recommendations further limits the extent to which a sexual relationship between faculty or staff and student can be considered consensual. Even if a subordinate student or employee does not appear to object to participation in a sexual relationship, this does not mean that the individual welcomes the relationship. The student fearing adverse consequences from noncompliance may feel compelled to enter into or to continue an undesired intimate relationship with a faculty or other staff member. There are similar problems with an apparently consenting relationship between supervisor and employee.
Consenting relationships involving a power differential also pose serious liability for the University under the standards used by the courts in judging cases of quid pro quo sexual harassment. (In quid pro quo harassment, a supervisor or faculty member who makes unwelcome sexual demands of a subordinate employee or student bases tangible job or educational rewards or penalties on whether the subordinate submits to the sexual request.) Additionally, a third party may claim that the participant in a consenting relationship received preferential treatment and may file a complaint of sex discrimination against the faculty member or supervisor.
Policy Implementation
1. Responsibilities of Faculty and Staff:
Faculty and staff are strongly encouraged to avoid any romantic or sexual relationship with a student or employee over whom they have any authority. If a faculty or staff member does become romantically or sexually involved with a subordinate student or employee, the faculty or staff member must remove himself or herself from any decisions affecting the other person as soon as practicable in order to avoid a conflict of interest and the potential for sexual harassment or sexual favoritism. The faculty or staff member may consult with the university Equal Opportunity Officer and should speak with his or her supervisor about appropriate ways to transfer such responsibilities. Even if the relationship is terminated, it may be necessary for the faculty or staff member to avoid any role in future decisions affecting the other person to avoid a perceived or actual conflict of interest or sexual harassment.
A faculty or staff member who fails to disclose his or her involvement in a consenting relationship with a subordinate student or employee to his or her supervisor, or who fails or refuses to remove himself or herself from decisions affecting the other person will be subject to disciplinary action.
Evidence of a pattern of consenting relationships between a faculty or staff member and subordinate students or employees may subject the faculty or staff member to disciplinary action.
Faculty and staff members are urged to be sensitive to the possibility that a consenting relationship which presently involves no power differential becomes problematic if they are unexpectedly placed in a position of responsibility for the student or employee with whom they have become involved.
2. Responsibilities of Administrators, Supervisors and Equal Opportunity Officers:
Universities should make reasonable efforts to ensure that all faculty and staff members receive a copy of the sexual harassment policy.
In each situation involving an apparent consenting relationship, a determination about what measures are appropriate should be made on a case-by-case basis from the facts of the particular situation. However, the following guidelines should normally be followed.
In general, the law holds the University responsible for sexual harassment about which it knew or should have known. Consequently, information about apparently consenting relationships that comes to the attention of a supervisor, administrator, or Equal Opportunity Officer must be investigated to protect the University from a potential charge that it knew or should have known about unwanted sexual conduct or a relationship which turned out to be nonconsensual. Although it is not necessary to explore every rumor alleging a consenting relationship, rumors which form a reasonable basis for believing that an alleged relationship exists that is subject to University policy should be investigated.
An administrator or supervisor who has a reasonable basis to believe that an alleged romantic or sexual consenting relationship is occurring that is covered by University policy must therefore immediately consult with the university Equal Opportunity Officer. The purpose of this consultation is to allow for a joint assessment of the situation and a decision about who will be responsible for reviewing it. If there is any indication that the alleged relationship may not be welcome to either of the participants, the Equal Opportunity Officer should normally conduct the review to determine whether sexual harassment may have occurred. If the alleged relationship appears to be consenting but presents a conflict of interest for one of the participants, an appropriate supervisor, administrator, or Human Resources staff member should normally conduct the review to determine whether a conflict of interests exists. An appropriate university official should meet with the faculty or staff member to:
a. Determine to the extent possible whether a romantic or sexual relationship exists, explore whether it appears to be consensual, and determine whether a conflict of interest exists,
b. Inform the faculty or staff member of his or her responsibilities under University policy,
c. Explore and assist with options for the appropriate transfer of responsibility for the subordinate student or employee,
d. Encourage the faculty or staff member to terminate the current relationship, if appropriate, and/or to avoid such relationships in the future, and
e. Follow-up to ensure that the transfer of responsibility occurs.
A university official who is reviewing an alleged consenting relationship that poses a conflict of interest and who receives information that the relationship may not be welcome to one of the participants should immediately contact the Equal Opportunity Officer. If there is a reasonable basis to believe that the relationship is not consensual for one of the individuals, the Equal Opportunity Officer should meet with that person.
If a faculty or staff member fails to promptly disclose a relationship or fails or refuses to remove himself or herself from decisions affecting the other person as soon as practicable, the Equal Opportunity Officer, administrator, or supervisor will review whether disciplinary action may be necessary and will make his or her recommendation to the appropriate university administrator.
November, 1990
Board Policy:
It is the intent of the University of Maine System to encourage its employees to fulfill their obligations as citizens to participate in the political process at the local, state, and national level. Such participation may, at times, include the holding of elective or appointive positions. No employee shall be compensated by the University System for actual time which the employee devotes to seeking public office or to fulfilling responsibilities of public office.
Prior to deciding to run for elective office or to accept an appointment to public office, an employee shall apply for an adjustment in employment conditions that would make it possible to discharge the duties of the office. These adjustments may include, but shall not be limited to, leaves-of-absence without pay for the period of service or days off on a weekly or monthly basis with due regard for the needs of the unit.
The specific conditions and agreements for the adjustment of the employee’s status with the University System shall be worked out by the employee with his or her immediate supervisor and shall be subject to the final approval of the President or of the Chancellor for staff members in System-wide Services.
January, 1975
Policy Statement:
The Board of Trustees delegates to the Presidents final responsibility for personnel actions, except for those which the Board of Trustees has reserved to itself and/or delegated to the Chancellor. Each new appointee should receive written information which outlines the terms of employment. Each employee should receive an annual written evaluation by the employee’s supervisor and a copy shall be retained in the employee’s personnel file.
Guidelines
APPLIES TO: All personnel actions should conform to the following administrative guidelines and to any applicable collective bargaining agreements:
1. Each new appointee should receive written information regarding the terms of employment, which includes, at a minimum, such information as:
a. title of position and/or full academic rank (e.g., assistant professor of history)
b. general duties to be performed
c. beginning and ending dates of this appointment
d. terms of the appointment (probationary, temporary, etc.)
e. indication of amount, if any, of prior service to be counted toward probationary period.
2. Criteria for retention, reappointment, and promotion should be stated explicitly for each unit of the university, or for certain university-wide work groups. These criteria may vary among departments or units. The relevant criteria must be made known in writing to each new employee at the time of his/her initial employment. In addition, new employees should be advised in writing of the institution’s grievance procedures.
3. Each employee should receive an annual written evaluation by the employee’s supervisor and a copy shall be retained in the employee’s file. A record should also be retained of any notification to an employee that the needs of the particular unit may not require the continued employment in the future of the individual.
4. In the case of faculty members, each university shall establish procedures for peer evaluations to be considered in promotion and/or tenure decisions.
5. A non-reappointment decision must be communicated in writing to the employee.
December, 1974
(Summary of Policy)
In appropriate circumstances, two persons may be appointed to share a single full-time faculty position or a full-time non-represented faculty or professional and administrative staff position. A shared appointment involves a single, full-time regular appointment held by two people in the same department or academic grouping who divide full-time duties between them, each person being able to discharge all the duties of the position.
At the time an appointment is made to a shared position, the terms of the appointment shall be specified in a shared appointment agreement which shall be forwarded by the President for approval by the Chancellor.
Faculty
The duties of the position are the same as for a comparable full-time faculty member; each person assumes one-half of the duties of the position. The position shall have a least one vote in departmental affairs; each individual may be granted voting rights in accordance with departmental policies.
Procedures regarding reappointment, evaluation, promotion, and tenure outlined in the faculty collective bargaining agreement will be followed. Each faculty member will be evaluated separately; the shared appointment may continue with the individuals at different ranks if one is promoted. If the shared appointment ends because one party leaves for any reason, the remaining party has the option of retaining the half-time position or leaving. The department may also offer the full-time position to the remaining employee.
The complete policy specifies benefits for shared appointments, such as sabbatical eligibility, retirement and health benefits, research support and travel, disability leave, and overload and summer salary.
Non-represented faculty, professional and administrative staff
The shared appointment policy for this group is included in the Handbook for Non-Represented Faculty, Professional and Administrative Staff. It is very similar to the Board of Trustees policy for faculty shared appointments, summarized above. If you have any questions regarding this policy, please contact your university Human Resources/Personnel Office.
Revised 5/20/85
EMPLOYEE TRANSFER
Board Policy:
An employee at one University System institution or unit who accepts a position at another University institution or unit will be considered to have transferred to the new unit if there is no break in service between the appointments. In the case of employee transfer the former employing institution or unit is responsible for any accumulated unused vacation and holidays. The new institution or unit is responsible for accumulated unused sick leave.
Revised 11/98
GRIEVANCE PROCEDURES FOR NON-REPRESENTED EMPLOYEES
Board Policy Statement:
Non-represented employees must be allowed to bring complaints concerning their employment to their supervisors for informal discussion and resolution without fear of reprisal. If an informal discussion does not resolve the problem, the employee must have an opportunity to present a formal written grievance to the supervisor. A formal grievance shall identify the University policy or procedure which is alleged to have been violated.
Retaliation Prohibited
Retaliation against an employee for filing a grievance is strictly prohibited, whether or not the employee prevails in the original grievance. No university agent may harass, coerce, intimidate, or discriminate against an individual who has filed a grievance or participated in the grievance process. An allegation of retaliation will be treated separately from the original grievance.
Procedures
The University System has developed this procedure for filing and responding to grievances of non-represented employees throughout the University of Maine System. The procedure provides reasonable time limits for an employee to present a grievance. If an employee does not meet the deadline for filing a grievance or appeal, the matter will be considered to be resolved. The University will make every attempt to respond to grievances within the timelines in this procedure, but may extend the timelines at any step in the process as needed.
Any complaint alleging a violation of the Equal Opportunity Policy must be filed using the Equal Opportunity complaint procedure. If a grievance alleges violation of the Equal Opportunity Policy and other policies, the portion relating to the Equal Opportunity policy will be investigated under the Equal Opportunity complaint procedure.
Informal Complaints
An employee may bring any complaint regarding his or her employment to the immediate supervisor for informal discussion and resolution. If the supervisor is the subject of the complaint, the employee may instead choose to discuss it informally with the next level appropriate administrator. If informal discussion does not resolve the problem, the employee may file a formal grievance.
Formal Grievance Procedure
An employee who files a grievance may be accompanied by another employee at any meeting held to discuss the grievance.
1. Step One: The employee (grievant) completes a Non-Represented Employee Grievance form (attached to this procedure) providing the details of the complaint and gives it to his/her department director, dean, or next level appropriate administrator. The grievance must be filed within twenty (20) working days of the act or omission that is the subject of the grievance, or the date on which the employee reasonably should have known of the act or omission if that date is later. The written grievance must identify the University policy or procedure that has allegedly been violated.
The department director, dean or next appropriate administrator will respond in writing to the grievance within 20 working days. The written decision will be provided to the grievant and the person whose action has been grieved.
2. Step Two: If the written response does not resolve the grievance, the grievant may appeal the grievance to Step Two by completing a Non-Represented Employee Grievance Appeal form (attached to this procedure). The Step Two appeal must be filed with the appropriate Vice President (if the grievant is employed at a university) or Senior Staff member (if the grievant is employed in the System Office) within 20 working days of the date the Step 1 response is received or due. The Vice President or Senior Staff member will respond in writing to the grievance within 20 working days. The written decision will be provided to the grievant and the person whose action has been grieved.
3. Step Three: If the preceding steps have not resolved the grievance, the grievant may appeal the grievance to Step 3. The Step 3 appeal must be filed with the President (if the grievant is employed at a university) or Chancellor (if the grievant is employed in the System Office) in writing within 20 working days of the date the Step 2 response is received or due.
Within 20 working days the President or Chancellor will designate in writing an individual who will serve as an impartial investigator of the issues surrounding the grievance. The investigator will:
a. Review both sides of the grievance and investigate as needed in order to make findings of fact;
b. Attempt to mediate the dispute if possible; and
c. Issue an advisory report in writing to the President or Chancellor within 20 working days (or as soon thereafter as practicable) if a resolution has not been achieved and provide a copy of the report to the grievant and, where applicable, to the person whose action has been grieved.
If an administrative staff member with faculty rank who was acting in the capacity of a faculty member has not been reappointed and a violation of academic freedom is alleged, academic freedom applies only in the individual's capacity as a faculty member, not in his/her administrative capacity.
The burden of proof rests on the grievant except in cases of dismissal of tenured faculty members or of dismissal of a non-tenured faculty member or staff member prior to the expiration of the term of appointment. In these cases, the University must prove just cause.
The President or Chancellor within 20 working days will accept the written report of the investigator as the final institutional decision or issue his or her own decision which shall be the final institutional decision. The President's or Chancellor's written decision will be provided to the grievant and the person whose action has been grieved.
The employee may appeal the President's decision to the Chancellor if: (1) the findings include relevant factual errors or omissions, (2) relevant procedural errors are alleged, or (3) relevant issues concerning interpretation of University policy are raised. The appeal must be filed within 20 working days of receipt of the President's decision and must include the reasons for the appeal. If the Chancellor or designee finds that the employee has been substantially prejudiced by a violation of procedure, the case may be remanded to the President for reconsideration. The Chancellor or designee will review the written record and may request additional information. The Chancellor or designee will issue the final University decision in writing within 30 working days to the grievant and President. The final decision on an appealed grievance rests with the Chancellor or his/her designee.
In a grievance filed by an employee of the System Office, the Chancellor's written decision shall be final.
Revised HR 8/05
Click here for the Non-Represented Employee Grievance form. (pdf)
Board Policy:
It is the policy of the University of Maine System to comply with all Federal or State laws pertaining to the safety of University employees and the elimination of unnecessary safety hazards from the workplace. This policy includes requirements under Federal OSHA regulations, regulations issued by Federal and State agencies covering hazardous chemicals, asbestos, radioactive waste materials, and any other substance potentially harmful to employees or students.
The Chancellor is directed to take actions necessary to assure that all units of the University of Maine System are in compliance with this policy and with all pertinent Federal and State regulations.
The Chancellor or a delegated representative is authorized to review and approve plans developed by individual universities or other organizational units prior to their implementation to assure compliance with this policy.
Note: Supervisors should understand that implementation of this policy requires training of certain employees on
topics such as the safe use of video-display terminals and hazardous materials. Supervisors should allow and
encourage attendance at such training.
May,1986
Board Policy:
The University of Maine System Board of Trustees recognizes that substance abuse is a complex problem which is not easily resolvable solely by personal effort and may require professional assistance and/or treatment. Accordingly each university and System-wide Services shall designate an individual to assist employees who seek referral for assistance with a substance abuse problem. The universities shall take necessary steps to insure the confidentiality of all inquiries and referrals. All employees shall be informed periodically of the availability of help for substance abuse problems. Each University shall also make available to employees informational material regarding substance abuse.
Faculty and staff members with substance abuse problems are encouraged to take advantage of available diagnostic, referral, counseling, and prevention services. However, employees availing themselves of these services will not be granted special privileges and/or exemptions from standard personnel practices applicable to job performance requirements. The University will not excuse acts of misconduct committed by employees whose judgment is impaired due to substance abuse.
The possession, use, manufacture or distribution of illegal drugs as defined by federal, state, and local statutes is prohibited at any time on University property. Employees known to possess, use, manufacture or distribute illegal drugs are liable to public law enforcement sanctions and University disciplinary action. Use of alcoholic beverages on University property shall be in compliance with state laws and university regulations and procedures. Violation of such laws, regulations and procedures may result in disciplinary action, and, where applicable criminal proceedings.
The University maintains a program for conducting alcohol and drug testing of employees in safety-sensitive positions in accordance with the 1991 Omnibus Transportation Employee Testing Act. Contact your university Human Resources/Personnel Office for further information on the Drug and Alcohol Testing Policy.
Note: In compliance with Federal law, the University distributes a publication annually to all employees and students explaining this policy, state and federal law, and the effects of substance abuse. Specific individuals who offer assistance at each university are listed.
January, 1989
BOARD POLICY:
To ensure continued confidence of the people of Maine in the University and its personnel, individuals serving the University shall at all times act in a manner consistent with their public responsibilities to the University and shall exercise particular care that no real or perceived detriment to the University results from conflicts between personal interests and those of the University. Conflict of interest situations, or the appearance of conflicts of interests, have the potential to result in serious harm and direct losses to the University. The losses are often difficult to detect and include not only direct monetary losses and loss of confidence in the University, but also negative publicity and erosion of employee morale.
It is the policy of the University that its officers, faculty, staff and others acting on its behalf have the obligation to avoid ethical, legal, financial or other conflicts of interest and to ensure that their activities and interests do not conflict with their obligation to the University or to its welfare.
This policy applies to all University officers and employees. The policy also applies to persons affiliated or associated with the University, including members of advisory boards to the University. All provisions, except those relating to outside employment, apply to persons affiliated with the University. This policy does not apply to the Board of Trustees who are already covered by similar provisions in the Board’s Financial Code of Ethics and State Law.
The policy is to be interpreted and applied in a manner that will best serve the interests of the University and that distinguishes between those minor and inconsequential conflicts which are unavoidable and those conflicts which are substantial and material. A conflict of interest may exist when an employee, a close relative, or a person or organization with whom the employee is associated has an existing or potential financial or other interest which involves the employee’s University responsibilities.
The policy does not prohibit an employee from freely pursuing those teaching, research, and professional and public service activities which will not result in such a conflict, nor prohibit an employee from accepting pay, compensation, fees, honoraria, or reimbursement of expenses which may be offered in connection with such activities.
Disclosure and Consultation: The following procedures apply except in situations where a procedure is otherwise provided by a collective bargaining agreement. Each university shall develop its procedure for disclosure and consultation within the following parameters.
.
If an employee believes that he or she may have a conflict of interest, the employee shall promptly and fully disclose the conflict to the appropriate administrator (Chancellor or President’s designee) and shall refrain from participating in any way in the matter to which the conflict relates until the conflict question has been resolved.
1. When it appears that a material conflict may arise between the personal interest of an employee and his or her responsibilities to the University, the employee shall notify the appropriate administrator by submitting a written statement describing the nature of the possible conflict. If an apparent conflict comes to the attention of the administrator, that individual may request a written statement from the employee.
2. If an employee is in doubt as to whether he or she is confronted with a potential conflict of interest, the employee shall consult with the appropriate administrator to determine if the outside interests could conflict impermissibly with employee’s obligation to the University.
3. The appropriate administrator promptly shall notify the employee or associate in writing that: (a) there is no conflict and the employee may proceed; or (b) there may be a conflict and further consultation is necessary prior to reaching a determination; or (c) there is a conflict and the employee shall not proceed with his or her personal interest which results in the conflict. In some cases it may be determined that after full disclosure, the University’s interests are best served by participation of the employee despite the conflict or appearance of conflict.
4. The employee may appeal the administrator’s decision to the President (Chancellor for System Office employees).
5. The employee must report any significant changes in the outside interest that occur during the year and consult with the appropriate administrator if the undertaking of a new outside interest is considered.
6. Any significant violations of this policy shall be reported to the Chancellor for System Office employees and University Presidents, to the President for university employees and to the Human Resources and Labor Relations Committee of the Board of Trustees for the Chancellor.
Situations Which May Constitute A Conflict:
1. Personal Gain from University Position
a. An employee may not use or attempt to use, in a manner contrary to the interests of the University, his or her position or University property or services, to gain or attempt to gain anything for the private benefit of the employee.
b. An employee may not solicit or receive gifts or entertainment from suppliers of goods or services, or from persons associated with or seeking association with the University.
c. An employee shall not use confidential information acquired in connection with University related activities for personal gain or for other unauthorized purposes.
2. Contracting and Leasing
a. An employee may not enter into any contract or lease with the University if the employee is in a position to approve or influence, in his or her official capacity, the University’s decision to enter into the contract or lease, unless such contract is deemed in the best interests of the University and has the approval of the appropriate administrator.
b. If the employee is not in a position to approve or influence the University’s decision, the employee may enter into a contract or lease, provided the employee makes prior written disclosure of the nature and extent of any relationship to the appropriate administrator and obtains written approval. The administrator shall approve an employee’s interest in a lease or contract unless the administrator determines that the employee’s personal interest in the agreement will conflict substantially and materially with the employee’s discharge of his or her University responsibilities.
c. An employee may not contract with the University to provide a service which is the same as or similar to the service that the employee provides as a University employee. Such services may be provided only as a University employee in the course of University employment.
3. Outside Commitment
a. Employees are permitted to engage in outside consulting activities and other outside activities provided the employee meets his/her obligation to the University and complies with any applicable provisions of a collective bargaining agreement concerning outside employment.
b. An employee shall not accept any outside position that would impair the employee’s ability to fulfill the employee’s obligations to the university.
c. An employee with faculty rank shall not take on a teaching assignment in another post-secondary educational institution during the academic year except after obtaining written approval of the appropriate administrator.
d. An employee shall not engage in outside employment or activities which could be viewed as impairing the employee’s judgment in the performance of University duties and responsibilities.
4. Use of University Name and Resources
a. An employee shall not use the official title of the University or any of its parts, in whatever form that title may appear, except in connection with legitimate University purposes.
b. The University’s name, facilities, equipment, stationery, supplies, personnel and other resources are to be used only for the furtherance of the University’s mission. An employee shall not make unauthorized use of any University resources, including the services of University employees, for the personal benefit of the employee.
5. Nepotism
a. Close relatives may be employed in the same or different departments of the University. For purposes of this policy the term "close relative" shall include significant others in the household.
b. The fact that an employee is a close relative of another employee in the same or different department shall not be used as a basis for denying to the employee the rights, privileges or benefits of regular appointment or regular job status. Alternative arrangements for supervisory decisions must be made before employment of a close relative.
c. An employee shall not participate in institutional decisions involving a direct benefit to a close relative. Such decisions include, but shall not be limited to, initial appointment, retention, promotion, tenure, salary and leave of absence.
d. An employee may not give preferential or favored treatment in the supervision or management of another University employee who is a close relative.
e. The University reserves the right to reassign employees or duties when deemed a prudent business or management practice.
f. A close family relationship shall not be used as a basis for denying a student the rights, privileges or benefits of access to academic resources.
g. An employee shall not participate in institutional academic decisions involving a direct benefit to a close relative. Alternative arrangements for academic decisions must be made for close relatives.
Academic decisions include but are not limited to, acceptance to an academic program, evaluation of the honors, masters or doctoral thesis, and recommendation for awards or employment.
November, 1998
Board Policy:
Policy Statement:
Tenure . . . an arrangement under which faculty appointments are continued until retirement or disability, subject to dismissal for cause, termination due to financial reasons, and/or termination due to change in the University program offerings.
The decision to grant or not to grant tenure rests solely with the Board of Trustees. Nothing in the administrative procedures, or in the criteria developed under those procedures, or in the approval of the criteria, shall limit or restrict that discretionary authority of the Board.
Procedures for Awarding Tenure:
1. Each new appointee should receive a letter of appointment which includes, as a minimum, such data as:
a. academic rank and/or title of position;
b. general duties to be performed;
c. beginning and ending dates of appointment;
d. type of appointment – probationary, temporary;
e. indication of amount, if any of prior service to be counted toward probationary period;
f. salary.
2. The specific assignment of prior credit will be part of the letter received at the time of initial appointment. The time credited as probationary years with regard to service at other institutions of higher education, whether units of the University of Maine System or not, shall not exceed three years.
3. A probationary appointment shall not exceed 6 consecutive academic years in a full-time position at a single university. A leave of absence, sabbatical or teacher improvement assignment shall not constitute a break in continuous service, nor shall it be included in the 6 year period without prior written agreement between the faculty member and the President at the time of the request.
4. Individuals on probationary appointments shall normally complete the full term, i.e., the sixth year, before the Board awards tenure.
5. At the time of initial appointment, exceptionally qualified individuals may be awarded tenure at the rank of full professor, with the approval of the appointment by the Trustees. In other cases, as the institutions deem appropriate, full professors may receive an initial appointment without tenure but, with Trustee approval at the time of their appointment, may be given the opportunity to apply for tenure during the second year of their appointment.
6. Tenure shall not be awarded ordinarily below the associate professor level or its equivalent.
7. Each institution shall develop its criteria for promotion and tenure, and once developed, a statement of such criteria shall be forwarded to the Chancellor and the Trustees for review and approval and thereafter be made available by the campus administration to all faculty members in the institution. These criteria shall include reference to teaching, public service, research and scholarship activities as are appropriate to the University System and university missions. Criteria may vary among units or departments, but shall be in accord with the over-all university criteria.
8. Student input is a desirable and meaningful part of faculty evaluation, and the contribution students make to the evaluative process is essential to the improvement of instruction. Student evaluations are to be secured on a regular, systematic and equitable basis and made part of the official record.
9. Evidence should be obtained from outside the institution and from outside the University of Maine System, as appropriate, regarding the scholarship and research of candidates for tenure.
10. Tenured faculty, as well as nontenured faculty, shall be reviewed on an annual basis. Each university shall develop its criteria for faculty evaluation, and once developed, a statement of such criteria shall be forwarded to the Chancellor and the Trustees for review and approval and thereafter be made available by the university administration to all faculty members in the institution.
11. The tenure guidelines provide the policy framework for the process to be followed at each institution. Where exceptions are sought, it is necessary that the university present its request in detail, including the rationale for the exception, to the Chancellor and the Board of Trustees.
12. Tenure may be transferable among the institutions of the University of Maine System at the discretion of the Board of Trustees, consistent with the tenure policies of the institution to which transfer is sought.
13. Senior administrators shall not be awarded tenure as part of their administrative contracts. However, the Trustees will consider, on an exceptional basis, a nomination to tenure for an academic dean, when presented under these conditions:
a. the nominee will have been accepted by an appropriate academic department and accorded faculty rank, at the time of appointment as academic dean;
b. The nomination will have been duly evaluated through the university’s tenure processes.
14. A chief academic officer or other university employee in a position at the level of vice president may be considered for tenure to be effective upon assuming a full-time faculty appointment after completion of service in the administrative position. The employee must have been accepted by an appropriate academic department and accorded faculty rank at the time of appointment to the administrative position. Evaluation for tenure will occur under the university’s tenure process at the time of initial appointment, or, with approval of the President, during the final year of service in the administrative position. The final decision regarding the award of tenure is made by the Board of Trustees. If tenure is granted, it will not be effective until the date the employee assumes the full-time faculty position and the term in the administrative position ends.
July, 1990
STUDENT EVALUATION OF FACULTY
Board Policy:
The University of Maine System, like all institutions of higher education, aspires to faculty excellence. The realization of that aspiration depends in part on successful faculty evaluation and development programs; programs that are defined in their objectives, nonbiased in their administration, and multifaceted in scope. In an age of increased emphasis on systematic evaluation of faculty, it is critical that the goals of evaluation, and the methods employed to achieve those goals, be scrutinized.
Successful faculty evaluation, for the purposes of aiding in personnel decisions and faculty development, solicits information from across the academic community. A multidimensional picture of an instructor can only be drawn from the varied perspectives of students, administrators, faculty peers, and the instructor himself. The student observes the teaching ability of the instructor on a direct, daily basis. If one agrees that teaching is a vital ingredient of an instructor’s performance, the importance of student evaluation is clear. Student evaluation should not be used, however, as the sole basis for administrative decisions regarding faculty.
Administrative Procedures for Student Evaluation of Faculty
Each university shall establish procedures for student evaluations of faculty. These procedures shall be in accordance with Board policy mandating such evaluations and, where applicable, in accordance with the current collective bargaining agreement.
Academic Affairs Revised 11/98
Board Policy:
Recognizing that many citizens have differing views on the matter of whom and which groups should have an opportunity to express opinions and meet on our University of Maine System Campuses, the Board of Trustees of the University of Maine System affirms its commitments to the rights of free speech and assembly.
To that principle, there shall be no restrictions, on any of the System institutions, placed on the fundamental rights of free speech and assembly, except those necessary to preserve the order for the University System to function as an institution of higher learning.
The administration of each university is responsible for establishing appropriate procedures for the implementation of this policy and for the protection of the rights of individuals through adequate review of alleged violations of the policy.
Revised Legal Affairs 11/98
Board Policy:
The responsibility for the determination of the requirements which students must meet to be eligible for an academic degree rests with the faculties of each of the several units of the University of Maine System.
Members of the University faculty at the Instructor level, or above, may become candidates for advanced degrees from any College or School of the University of Maine System, other than the University of Maine System College or School in which they hold faculty appointments.
January, 1985
Board Policy:
The University of Maine System is a public institution devoted to teaching, research, service and other scholarly activities. Its faculty, staff, and employed students carry on research and other activities supported by the University System from their own resources or by contracts or grants with outside sponsors. The Board of Trustees encourages and supports the development of intellectual property, which is defined as any copyrightable or patentable materials, inventions, or discoveries, resulting from scholarly pursuits. Procedures will be developed to define and establish the respective rights, equities, and obligations of the University System and its scholars and employees regarding that intellectual property. The University System recognizes the interests of all parties involved, provides the mechanism for making a proper and equitable distribution of benefits, and assists scholars in benefiting from their creative efforts. Recognizing the many circumstances in which copyrights or patents may be produced, the need for equitable division of income with its scholars, and the prudent exercise of public trust, the University System will provide clear procedures for the disposition of income for intellectual property. A University System Patent and Copyright Committee, consisting of seven persons recommended by University Presidents and appointed by the Chancellor, shall be established to review the procedures periodically and hear appeals, and when appropriate, make recommendations to the Chancellor.
Administrative Procedures
This Board policy establishes the respective rights, equities and obligations of the University and its employees to any copyrightable or patentable materials, inventions or discoveries ("intellectual property"), resulting from their work.
Authors or inventors are responsible for timely disclosure of intellectual property subject to this policy. Such disclosure is made to the appropriate university Patent and Copyright Committee, following University procedures. Employees who believe that they have invented items outside the scope of this policy shall not file, or permit others to file in their name, patent applications without providing at least thirty days notice to the University.
Scholars planning to engage in consulting or business activities, and those charged with approving such plans on behalf of the University, are responsible for ensuring that any related agreements with external entities are not in conflict with this policy. Written approval must be obtained before tangible property associated with products of University research is transferred to any person or entity for commercial purposes.
When the University decides to exercise its rights to intellectual property, it will promptly make efforts to protect them legally and, with the assistance of the scholar, to take other steps to bring the development into commercial use. If the University chooses neither to exercise its rights through pursuit of legal protection and commercial development, nor to transfer the rights, nor to dedicate the rights to the public, they will be transferred or waived to the scholar, if a request is so made in writing. The scholar may also make such a request if the University chooses to protect an item, but does not arrange for its commercial development or dedication to the public within a reasonable time.
The Board policy distinguishes among five categories of intellectual property, depending upon criteria such as location and timing of research; use of University facilities, equipment or materials; and financial sponsorship. University rights and obligations are specified with respect to intellectual property resulting from:
• individual efforts
• university-assisted efforts
• university-assigned efforts
• outside sponsorship
• federal government sponsorship
If the university Patent and Copyright Committee waives University interest, or if the individual receives no report on an application within 90 days of its submission, the intellectual property shall be released to the inventor or author. Whenever the University determines that is has no proprietary interest in intellectual property or whenever the University releases the same to its scholars, they shall agree not to use the University’s name in any attempts of further commercialization.
Consult the University Counsel if you have any questions concerning this policy.
Legal Affairs November, 1998
Maine law requires the University of Maine System to establish or negotiate through the collective bargaining process, a written policy concerning smoking and nonsmoking by employees in all university facilities. The policy prohibits smoking except in designated smoking areas determined by each university, and requires the policy be posted and available to employees upon request. An employee can also receive assistance in the cessation of smoking through various programs and certain charges are covered through the University’s Group Health Plan. Consult your Human Resources/Personnel Office if you have any questions concerning this policy.
GUIDELINES FOR THE IMPLEMENTATION OF THE WORKPLACE SMOKING ACT OF 1985
Background and Summary
This law, requires that the University, as a covered employer, must:
• establish, or negotiate through the collective bargaining process a written policy concerning smoking and nonsmoking by employees in the workplace;
• post the policy and provide a copy to any employee upon request; and
• supervise the implementation of the policy.
The policy to be developed must prohibit smoking except in designated smoking areas and may prohibit smoking throughout the University’s facilities.
The Workplace Smoking Act of 1985 is not applicable to any facility where the employer and all employees have agreed upon policies concerning smoking.
*Maine’s law regarding smoking in public places was revised, effective January 1, 1994. The law restricts the kinds of areas in public places which may be designated as smoking areas. A public place is any place not open to the sky that the public is invited or allowed. Any designated smoking area in a public place must be an enclosed area (separated from other areas on all sides by walls, doors, windows, etc. that fill the space from floor to ceiling). A designated smoking area in a public place must be in an enclosed space where no services or public activities are conducted. The designated smoking area must be designated to minimize smoke escaping from the designated area into a public place. Smoking is prohibited in any rest room made available to the public.
Guidelines for Implementation
The authority for adoption of policies regarding smoking and nonsmoking at the facilities of each university shall reside in the President of the University, which policies shall be consistent with these guidelines. The President may delegate this authority as he or she deems appropriate. Authority for the determination of smoking policies applicable to employees who are located at a University but who report administratively at a different University or organizational unit shall reside in the President of the University in which facilities the employees are located, or that President’s designee.
The details of a policy which are applicable to a particular University shall be developed with the opportunity for involvement of all employees who currently work at that University, and should reflect a consensus among employees whenever possible. For the purpose of policy formulation and development, the University may be subdivided into a number of smaller areas by the President or his/her designees but the principle of opportunity for involvement of employees who work within the areas thus identified shall continue.
Where consensus cannot be obtained among employees, consideration should be given to reordering the work environment to separate smokers from nonsmokers if feasible.
Where a policy must be established for a University or an area, which policy does not represent a consensus among all participating employees, the policy shall include a prohibition regarding smoking except in designated and specifically described portions of the university or area.
Smoking by employees shall be prohibited throughout the University in classrooms, laboratories, libraries, gymnasiums, auditoriums and other similar areas routinely used by and for the education of students.
Policies regarding smoking in other large, enclosed, common use areas on a campus, such as hallways, lobbies and dining areas shall be developed with input from affected employees, including, where appropriate, a general opportunity for employees to comment.
Smoking in confined, general areas such as elevators shall be prohibited.
Smoking by employees on University property outside of enclosed structures is permitted, except to the extent that specific workplace rules are adopted for the protection of property or persons engaged in particular tasks where smoking may constitute an immediate safety hazard.
Smoking decisions by employees traveling together in a University vehicle shall be the responsibility of the travelers. If agreement cannot be reached, smoking in the vehicle shall be prohibited.
Where an employee who is represented by a bargaining agent desires that a representative of the bargaining agent participate in discussions regarding smoking policy, it shall be the responsibility of the employee to arrange for such participation in a timely manner.
Students and other non-employees who frequent a university or an area in which a smoking policy is being developed may also be invited to participate in policy formulation.
Smoking policies which are developed in accordance with these guidelines for a university or area shall be applicable to all current and future employees in the affected area. New employees shall be expected to comply with previously developed policies applicable to their university or area. Although inquiries about the intentions of a candidate for employment regarding compliance with smoking policies are permissible, selection decisions may not be based on an individual’s choice regarding smoking or not smoking as long as smoking is limited in a manner permitted under applicable policy.
Smoking policies, once developed, shall remain in effect for an indefinite duration. A university President, or his or her designee, may initiate reconsideration of policies through the process described herein for a university or area(s) where in their judgment, circumstances have changed sufficiently to warrant such reconsideration.
Smoking policies may not provide for "smoke breaks" from work. Rest and meal periods shall be such periods as are described in applicable collective bargaining agreements or personnel policies. Those groups of staff who do not have designated rest and meal periods must not allow smoking to interfere with normal productivity.
Policies must be effectively communicated to all occupants of and visitors to facilities if they are to accomplish their purpose of limiting smoking to designated areas. Such communication should include distribution and positing of notices and positing and maintenance of signs to employees and other persons.
Initial responsibility rests with each individual faculty and staff member for his or her compliance with smoking policies. Where non-compliance occurs, affected individuals should attempt to work out problems among themselves. When those attempts are unsuccessful, supervisory involvement should be sought. Enforcement of smoking policies shall be by counseling first, followed by discipline if necessary, consistent with the terms of applicable collective bargaining agreements or personnel policies.
Where resources permit, efforts should be made to provide to employees who smoke information about the dangers of the practice to themselves and others, and support if they wish to quit smoking.
Last Updated: November 3, 2006