City of St. Louis Department of Personnel Administrative Regulation NO. 103

EQUAL EMPLOYMENT OPPORTUNITY POLICY AND COMPLAINT PROCEDURE

Revised and Reissued Effective: June 7, 2005

This policy prohibits discrimination on the basis of race, color, national origin, ancestry, age, disability, religion, sex or sexual orientation, in connection with terms or conditions of employment covered by this administrative regulation. This policy prohibits retaliation against an employee who files a complaint and employees who report discrimination or who cooperate or participate in an investigation of a complaint of discrimination.

I. PURPOSE:

The Equal Employment Opportunity (EEO) Complaint Procedure serves the following functions:

A. To establish a system to assist the City of St. Louis with identifying and remedying those conditions that could result in legitimate complaints of discrimination based on race, color, national origin, ancestry, religion, age, disability, sex or sexual orientation, and retaliation;

B. To establish a procedure that will insure alleged acts of discrimination and/or retaliation are brought to the attention of supervisory and management personnel for timely investigation and resolution;

C. To provide a means by which an employee, in the classified service, a citizen and/or customer who believes he/she has experienced discrimination and/or retaliation can file a complaint.

It is the responsibility of supervisory and management personnel to identify and eliminate all situations and conditions that could result in legitimate complaints of discrimination on the basis of race, color, national origin, ancestry, religion, age, disability, sex, sexual orientation or retaliation. This complaint process provides alternate complaint routes, so that the complainant will have choices in reporting acts of alleged discrimination. The process encourages management to resolve complaints at the department level with immediate and appropriate corrective action, and provides for oversight and alternative resolution by the Department of Personnel.

II. GENERAL PROVISIONS:

A. The following definitions are applicable to the EEO Complaint Procedure:

1. Discrimination is unfair treatment based on race, color, religion, national origin, ancestry, age, disability, sex or sexual orientation as it relates to terms or conditions of employment covered by this administrative regulation;

2. Complainant is a person who has filed a complaint of discrimination or retaliation under this regulation;

3. Representative is the person chosen by the complainant to represent him/her;

4. Diversity Manager is an employee of the Department of Personnel who has been charged by the Director of Personnel with responsibility for administering the EEO Policy Complaint Procedure;

5. Diversity Counselor is an employee of the classified service of the City of St. Louis who has been designated by his/her appointing authority to serve as an advisor and counselor in equal employment opportunity. The departmental Diversity Counselors shall work with the assistance, and under the guidance of, the Diversity Manager to investigate and resolve complaints;

6. Agreement is a written document that resolves a complaint to the satisfaction of the complainant, and which has been documented, approved and signed by all parties.

B. The following complaints are addressed by this procedure:

1. Allegations of discrimination based on race, color, national origin, ancestry, religion, age, disability, sex or sexual orientation;

2. Allegations of retaliation based on an employee’s use or attempted use of this complaint process, participation, or cooperation in the EEO complaint process or reporting of a violation of this policy.

C. The following matters are addressed by other administrative appeal procedures or by direct appeal to the Civil Service Commission, and therefore are NOT covered by the EEO Complaint Procedure:

1. Complaints regarding the classification of positions;

2. Complaints regarding compensation and other benefits established by ordinance;

3. Appeals of official employee service ratings and management performance appraisals;

4. Complaints regarding the results of examinations;

5. Complaints that have been filed under and/or addressed by the Employee Grievance Policy established by Department of Personnel Administrative Regulation No. 51;

6. Appeals of layoffs, suspensions, demotions, dismissals, written reprimands or reductions of pays;

7. Any matters currently under appeal to the Civil Service Commission.

NOTE: Detailed information regarding the appropriate procedures to be used in the circumstances listed above may be obtained from supervisory and management personnel in the operating department or from the Department of Personnel.

D. Time limits under this procedure:

1. The complainant and/or the complainant’s representative shall present the complaint to the complainant’s immediate supervisor within ten (10) calendar days of the occurrence of the situation that is the subject of the complaint.

2. The failure of supervisory or management personnel to respond to complaints within ten (10) calendar days of receipt of the complaint will be considered a denial of the complaint and the complainant can proceed to the next step of the procedure;

3. Requests regarding extensions of time limits must be submitted to the Diversity Manager in the Department of Personnel, who has the authority to extend these limits if he/she believes circumstances warrant;

4. Employees who are required to participate in the investigation process by his/her appointing authority, his/her designee or the Diversity Manager will be paid their salary. If they are off duty and they would be entitled to overtime pay under the compensation ordinance, they shall be paid overtime.

E. The responsibility and authority of the Diversity Manager (or his/her designee) includes the following:

1. To terminate a complaint at any step of the EEO Complaint Procedure, if it is not timely filed, if it is determined that the complaint is not within the scope of this procedure, or if it is determined that the complaint is unsubstantiated or without merit;

2. To combine complaints for the purposes of review and resolution in those instances where a pattern of discrimination is alleged to exist, or where there are a number of complaints regarding a common employment practice;

3. To examine personnel records and files, to question witnesses or other City employees who may have relevant information, to review all information gathered by the operating department during the investigation of a complaint and to take all other appropriate action necessary to thoroughly investigate a complaint.

III PROCEDURE:

The EEO Complaint Procedure is available to all employees in the classified service. It should be used responsibly, and as soon as possible after an employee suspects that he or she has been the victim of discrimination or retaliation for using or attempting to use the EEO Complaint Procedure. All information, documentation and decisions pertaining to this procedure will be handled in as confidential a manner as possible. Any employee who violates this regulation or any unwarranted breach of confidentiality regarding a complaint will be considered a violation of the procedure and can result in disciplinary action up to and including dismissal.

Following are steps to be pursued in filing, investigating and resolving complaints under the EEO Complaint Procedure:

A. STEP 1 THE INFORMAL COMPLAINT PROCESS:

The complainant and/or his/her representative will report the complaint to one of the following:

1. The employee’s immediate supervisor; or

2. The employee’s appointing authority or department director; or

3. The designated Diversity Counselor in the employee’s department.

B. The department representative handling the complaint will conduct an investigation and report the results and a recommendation for resolution to the complainant within ten (10) calendar days. A written summary of the complaint, investigation and resolution should be kept in the department, and a copy filed with the Diversity Division in the Department of Personnel.

C. STEP 2 THE FORMAL COMPLAINT PROCESS:

1. If the complaint is not resolved satisfactorily at Step 1, or if the complainant prefers to file a written complaint in the Department of Personnel, he/she should contact the Diversity Manager (or his/her designee);

2. An "EEO Complaint Form" will be provided to the complainant by his/her supervisor, the Diversity Counselor, or the Diversity Division;

3. When completing an "EEO Complaint" form, employees are encouraged to provide as much detail as possible, including dates, times, witnesses, etc., in order to facilitate a prompt and thorough investigation. The form must include factual information and the reason(s) why the employee believes that the action(s) taken against him/her were in violation of this regulation. It must also include a recommendation for a resolution that is be satisfactory to the complainant;

4. The Diversity Manager (or his/her designee) will conduct an investigation and present a written recommendation for resolution to the complainant’s appointing authority with a copy to the Director of Personnel;

5. The Diversity Manager will notify the appointing authority and the director of the complainant’s department in writing of the allegations set forth in the complaint and the steps that will be taken in conducting the investigation;

6. If the Diversity Manager’s efforts are successful in resolving the complaint, he/she will document the resolution offered by the appointing authority or department director and agreed to by the complainant in an "EEO Agreement." This document will be signed by the appointing authority, department director or designated representative and the complainant. The Diversity Manager will sign the agreement, verifying the stipulation, and forward it to the Director of Personnel for review and approval. Copies of the agreement will be given to the signatories. The original document will be filed in the Diversity Division of the Department of Personnel, with a copy to the Director of Personnel;

7. If, after investigating the matter, the Diversity Manager finds that the complaint is unsubstantiated or without merit, or that it is not possible to remedy the complaint, he/she will report this in writing to the complainant, complainant’s appointing authority and department director and the Director of Personnel.

IV. PROTECTION AGAINST RETALIATION

A. The City of St. Louis prohibits retaliation against employees who file complaints of discrimination as well as employees who report discrimination of another employee, or who cooperate or participate in an investigation of a complaint of discrimination. Therefore:

1. Employees are required to immediately report any retaliation resulting from filing a complaint of discrimination, for reporting a violation of the regulation, or for cooperating or participating in an investigation of a complaint of discrimination;

2. Employees who make a complaint or report a violation of discrimination, report the discrimination of another employee, or assist in discrimination investigations will be protected against retaliation;

3. Complaints of retaliation under this procedure will be immediately investigated in as confidential manner as possible and appropriate corrective action will be taken;

4. Any individual who retaliates against any person making a complaint under this procedure, or assisting in a discrimination investigation will be subject to appropriate disciplinary action, up to and including dismissal;

5. Written documentation of any investigation conducted under this procedure shall be kept for a minimum period of five years;

6. Employees are prohibited from filing false discrimination or retaliation complaints, which if confirmed, will subject the employee to disciplinary action;

7. Appointing authorities are required to issue a copy of this regulation to every employee under their authority. Issuance of the regulation must be documented by having the employee and issuing supervisor sign the attached "Certification and Declaration" forms. One copy of the form must be filed with the Diversity Manager of the Diversity Division within 5(five) working days of issuance. One copy should be retained by the operating department or agency, and another copy given to the employee.

Questions regarding the EEO Complaint Procedure should be referred to the Diversity Division of the Department of Personnel 622-4081.

DEPARTMENT OF PERSONNEL

Richard R. Frank

Director

Copy to Employee

Copy to Department

Original to Department of Personnel

ACKNOWLEDGEMENT

I, (Print Name) __________________________________ HAVE READ AND RECEIVED A COPY OF THE EQUAL EMPLOYMENT OPPORTUNITY POLICY AND COMPLAINT PROCEDURE. I UNDERSTAND THAT AS A CONDITION OF EMPLOYMENT, I WILL REPORT ANY INCIDENT COVERED UNDER THE EEO POLICY AND COMPLAINT PROCEDURE THEREIN SPECIFIED.

SIGNED:_________________________________ DATED: ________________________

DEPARTMENT _________________________________ DIVISION:____________________

I certify that the employee named above was provided a copy of the City’s Policy on EEO Policy and Complaint Procedure and a copy of this form on the date indicated above.

___________________________________ ___________________________________

Supervisor’s/Manager’s Signature Class Title

__________________________________ ___________________________________

Department Date

This Certification and Declaration must be signed and dated by the employee and the issuing supervisor/manager and retained by the employee.

DEPARTMENT OF PERSONNEL

Richard R. Frank
Director

Revised and Reissued Effective: June 7, 2005

EEO Complaint Form

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