BASICS OF THE GRIEVANCE PROCESS

BASICS OF THE GRIEVANCE PROCESS

WHAT SUPERVISORS NEED TO KNOWPresented by Employee Relations

May 2011

What We will Accomplish Today

1. To have an overall understanding of the basic grievance process

2. To be able to help a supervisor prepare for a step 1 meeting and a step 1 response

3. To be clear on the differences between a PPSM grievance process and a bargaining unit contract grievance process

4. To be aware of the resources available where staff can go to address their concerns

Home Game Opener

What do you know about the grievance process?

On the Road (again)

What have been your personal experiences with the grievance process?

It can be a long season

What are the impacts on the grievant, the supervisor, and the University when a grievance is filed?

Where can staff direct their concerns?

Campus Complaint Portals:

1. Department:

Supervisor

Manager

DHRM

2. The Whistleblower Hotline

Contact EthicsPoint, a confidential means for reporting suspected misconduct. Visit the website at https://secure.ethicspoint.com/domain/media/en/gui/23531/index.html or report concerns by calling the hotline at 800-403-4744 to speak with an EthicsPoint representative.

3. Sexual Harassment or Investigation and Resolution of Sexual Harassment Complaints, contact The Campus Climate & Compliance Office (CCAC).

CCAC has the responsibility to provide prompt and effective responses to all complaints of sex discrimination and harassment for faculty, staff and students. Visit the CCAC website at http://ccac.berkeley.edu/ or contact DENISE OLDHAM, INTERIM TITLE IX OFFICER AND DIRECTOR, 643-7985.

4. Workplace Conflict Resolution

Contact: The Staff Ombuds Office, an independentdepartment providing informal/strictly confidential conflict resolution and problem-solvingservices for all staff, non-senate academicsand faculty who perform management functions.

Visit the website at http://staffombuds.berkeley.edu/ or call 642-STAF (7823).

5. Hate Crimes

Contact: The Gender & Equity Resource Center (Gen Equ.), a Cal community center committed to fostering an inclusive experience for all. GenEq is the campus location where students, faculty, staff and alumni connect for resources, services, education and leadership programs related to gender and sexuality.

Visit the website at http://geneq.berkeley.edu, or contact Gender & Equity Resource Center, 642-4786.

6. Disability and Access Issues

Contact the Office of Academic Compliance and Disability Standards (ACADS). One of ACAD’s main areas of responsibility is assisting the campus in meeting its obligations with respect to persons with disabilities.

Visit the website at http://acads.chance.berkeley.edu/ or contact 642-2795.

7. Worker’s Compensation/Disability Accommodation in Employment

Contact Vocational Rehabilitation Services.

Visit the website at HTTP://WWW.UHS.BERKELEY.EDU/FACSTAFF/DMS/CHAP6.SHTML OR CALL 642-8659.

8. Counseling and Referral Services

Contact CARE Services, the campus faculty and staff assistance program providing free, confidential problem assessment and referral forUC Berkeley faculty and staff.

Visit the website at http://www.uhs.berkeley.edu/facstaff/care/index.shtml or contact CARE Services, 643-7754.

9. Human Resources •Employee Relations Consultants

•Discrimination Complaint Resolution Coordinator (DCRC) responds to staff concerns regarding discrimination as covered by the University non-discrimination policies such as race, age, religion, and national origin. CONTACT DEREK COATES, DCRC, 643-8996.

•Grievance Complaint Resolution Process

10. GRIEVANCES

A complaint filed by a PPSM or contract employee alleging that specific policy or contract provisions have been violated.

Formal method of conflict resolution.

COMPLETING THE PPSM GRIEVANCE FORM:

A. Show attempt at informal resolution with supervisor or manager;B.Identify management act being grieved, when it occurred, how the act violates policy and how grievant is adversely affected;C.List specific policy provisions allegedly violated;D.State requested remedy.

Time Requirements for a Step 1 Grievance

Grievance must be filed within 30 days of the triggering event

Policy Coordinator has 10 days from filing date to gate

Grievant has 10 days to appeal gate keeping decision Assistant Vice Chancellor-Human Resources. The appeal must be received (not postmarked) within 10 calendar days from the date of gate letter.

Office of the President has final authority for interpreting PPSM 70. An appeal to the OP must include copies of the original grievance and related documents, and must be received within 20 calendar days of the date of the local decision.

GRIEVANCE STEPS- WHO DOES WHAT?PPSM POLICY – STEP 1

(FOR PPSM AND MSP EMPLOYEES)

PPSM OR MSPEMPLOYEE (GRADES 1-7)

DEPT HEAD STEP 1 REVIEWER

MAY APPEAL TO STEP 2 (WITHIN 10 CALENDAR DAYS OF THE DATE THE STEP 1 RESPONSE WAS GIVEN OR DUE, WHICHEVER IS EARLIER)

MAY CHOOSE TO REVIEW THE COMPLAINT—OR APPOINT A STEP 1 REVIEWER

MAY MEET WITH COMPLAINANT (AND REPRESENTATIVE)

IF WRITING THE RESPONSE, HAS 15 CALENDAR DAYS TO ISSUE WRITTEN RESPONSE W/PROOF TO COMPLAINANT, REPRESENTATIVE, LR ADVOCATE, AND POLICY COORDINATOR

MAY MEET WITH COMPLAINANT (AND REPRESENTATIVE)

IF WRITING THE RESPONSE, HAS 15 CALENDAR DAYS TO ISSUE WRITTEN RESPONSE W/PROOF TO COMPLAINANT, REPRESENTATIVE, LR ADVOCATE, AND POLICY COORDINATOR

Release Time

PPSM and contract grievants, contract reps, and witnesses are entitled to paid release time for attendance at grievance meetings so long as the meeting occurs within regularly scheduled work hours and advance request was made/approved by supervisor.

May be denied based on operational needs.

The Step 1 Grievance Meeting

The department’s role is to supply the factual information that supports the action being grieved and to listen for new information from the employee that could affect the department’s decision.

Be as forthcoming as possible so that the employee and the representative, if any, will fully understand the department’s position.

However, the department may choose to state that it will listen to the information provided, and respond in writing in the Step 1 response.

Strategies for a Successful Step 1 Meeting

Maintain an open, problem-solving approach Avoid taking the grievance personally

Stick to the subject Allow the representative some latitude

Maintain self control

Use resources- can always ask for a break (can caucus with LR Advocate) to discuss the contents of the meeting, and ask for guidance

Be willing to change your position if warranted by new information gained during the meeting.

Departmental Response to a Step 1 Grievance

Department’s written response should include:

•A statement of the grievance, referring to the PPSM policy or contract article alleged to have been violated;

•A brief recap of the allegations and evidence;

•Brief discussion of why department agrees or disagrees with the grievance;

•Language informing grievant of appeal rights to Step 2.

GRIEVANCE STEPS- WHO DOES WHAT?PPSM POLICY – STEP 2 (PPSM EMPLOYEE)

PPSMEMPLOYEE

PPSM ISSUES SUBJECT TO A FINAL DECISION AT STEP 3

Labor Relations

MAY REQUEST A FACTFINDER BE APPOINTED TO REVIEW THE COMPLAINT— IF THE ISSUE IS NOT SUBJECT TO A FINAL STEP 3 DECISION.

A. NON-DISCRIMINATION IN EMPLOYMENT (PERTAINING ONLY TO AN ALLEGED DISCRIMINATORY APPLICATION OF A PERSONNEL POLICY ISSUE LISTED BELOW)B. HOURS OF WORKC.OVERTIMED.SHIFT AND WEEKEND DIFERENTIALE. HOLIDAYSF. VACATION (EXCEPT SCHEDULING)G.SICK LEAVEH. LEAVE OF ABSENCEi.CORRECTIVE ACTION (ONLY TEMP OR INDEF WITHIN-RANGE SALARY DECREASE. CORRECTIVE DEMOTION, SUSPENSION WITHOUT PAY, AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS)J.MEDICAL SEPARATIONK.TERMINATION OF CAREER EMPLOYEES-(PSS AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS)L.LAYOFF AND REDUCTION IN TIME—(PERTAINING ONLY TO NOTICE, ORDER OF LAYOFF, RECALL OR PREF)M.REPRISAL FOR UTILIZING COMPLAIN RESOLUTION PROCESS

FORWARDS THE COMPLAINT TO UNIT HEAD W/10 CALENDAR DAYS OF RECEIPT OF THE APPEAL IN HR OFFICE.

A COPY OF THE LETTER FORWARDING THE COMPLAINT WILL BE SENT TO THE (COMPLAINANT AND REP) W/PROOFS OF SERVICE.


CONTROL UNIT HEAD STEP 2 FACTFINDER STEP 2 REVIEWER (IF THERE IS FACTFINDING)

STEP 2 REVIEWER (NO FACT-FINDING)

MAY CHOOSE TO REVIEW THE COMPLAINT—OR APPOINT A STEP 2 REVIEWER (W/10 CALENDAR DAYS OF RECEIPT OF COMPLAINT IN THE CONTROL UNIT HEAD’S OFFICE AND IT MUST BE IN WRITING)

COPIES OF THE ( LETTER DESIGNATING STEP 2 REVIEWER, AND FORWARDING THE COMPLAINT) SHALL BE SENT TO THE (COMPLAINANT, AND REPRESENTATIVE, W/PROOF OF SERVICE), AND TO GRIEVANCE COORDINATOR

(IF PPSM EMPLOYEE REQUESTED IT) --APPOINT A FACTFINDER (W/10 CALENDAR DAYS OF RECEIPT OF COMPLAINT)

INVESTIGATES GRIEVANCE

PREPARES WRITTEN REPORT SENT TO STEP 2 REVIEWER (W/30 CALENDAR DAYS OF THE DATE OF FACTFINDER’S APPT LETTER)

FACTFINDER’S REPORT SHOULD CONTAIN:-- CLEAR STATEMENT OF THE ISSUES UNDER REVIEW--ALLEGED VIOLATIONS OF POLICY, IF ANY--POSITIONS OF THE PARTIES--FINDINGS OF FACT--POLICY VIOLATIONS, IF ANY

ISSUES WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE FACTFINDING REPORT WAS SENT TO REVIEWER)

ATTACHES A COPY OF THE COMPLAINT FORM AND FACTFINDER’S REPORT TO STEP 2 RESPONSE

STEP 2 WRITTEN RESPONSE S SENT TO (COMPLAINANT AND REPRESENTATIVE ), AND GRIEVANCE COORDINATOR W/PROOFS OF SERVICE

STEP 2 DECISION IS FINAL

ISSUES A WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE COMPLAINT WAS FORWARDED TO REVIEWER)

SENDS THE RESPONSE W/A COPY OF COMPLAINT FORM TO (COMPLAINANT, AND REPRESENTATIVE, W/PROOFS OF SERVICE), AND TO GRIEVANCE COORDINATOR

IF NOT ELIGIBLE FOR STEP 3 REVIEW, THE STEP 2 DECISION IS FINAL


PPSMEMPLOYEE

PPSM ISSUES SUBJECT TO A FINAL APPEAL AT STEP 3

MAY APPEAL TO STEP 3 (WITHIN 10 CALENDAR DAYS OF THE DATE THE STEP 2 RESPONSE WAS GIVEN OR DUE, WHICHEVER IS EARLIER)—IF:-STEP 2 RESPONSE NOT ISSUED WITHIN THE TIME LIMITS (INCLUDING ANY EXTENSIONS),-OR, IF COMPLAINT NOT RESOLVED AT STEP 2-AND, IF COMPLAINT ALLEGES ONE OF THE ISSUES SUBJECT TO A FINAL APPEAL AT STEP 3

COMPLAINANT MUST STATE ON COMPLAINT FORM IF HE/SHE WANTS COMPLAINT REVIEWED BY CAMPUS HEARING OFFICER OR NON-UNVERSITY HEARING OFFICER

COMPLAINANT MAY PROPOSE EITHER A UNIVERSITY HEARING OFFICER [FROM THE APPROVED LIST], OR NON-UNIVERSITY HEARING OFFICER (FOR THE UNIVERSITY’S CONSIDERATION)

IF THE PARTIES DO NOT MUTUALLY AGREE ON A HEARING OFFICER, THE COMPLAINANT (OR REP) CONTACTS LABOR RELATIONS W/15 CALENDAR DAYS OF THE APPEAL TO STEP 3 TO SCHEDULE A MEETING TO SELECT A HEARING OFFICER. PARTIES MAY MUTUALLY AGREE TO EXTEND THE TIMEFRAME IN WRITING, STATING TIMEFRAME , SIGNED BY BOTH.

IF EITHER PARTY DOES NOT PARTICIPATE IN HEARING OFFICER SELECTION PROCESS—OR DOES NOT REQUEST A TIME EXTENSION– THE COMPLAINT IS WITHDRAWN AND RESOLVED AT STEP 2 RESPONSE.

A. NON-DISCRIMINATION IN EMPLOYMENT (PERTAINING ONLY TO AN ALLEGED DISCRIMINATORY APPLICATION OF A PERSONNEL POLICY ISSUE LISTED BELOW)B. HOURS OF WORKC.OVERTIMED.SHIFT AND WEEKEND DIFERENTIALE. HOLIDAYSF. VACATION (EXCEPT SCHEDULING)G.SICK LEAVEH. LEAVE OF ABSENCEi.CORRECTIVE ACTION (ONLY TEMP OR INDEF WITHIN-RANGE SALARY DECREASE. CORRECTIVE DEMOTION, SUSPENSION WITHOUT PAY, AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS)J.MEDICAL SEPARATIONK.TERMINATION OF CAREER EMPLOYEES-(PSS AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS)L.LAYOFF AND REDUCTION IN TIME—(PERTAINING ONLY TO NOTICE, ORDER OF LAYOFF, RECALL OR PREF)M.REPRISAL FOR UTILIZING COMPLAIN RESOLUTION PROCESS


DEPT HEAD [OR DEPT DESIGNEE- FOR UNIVERSITY]

HEARING OFFICER /HEARING PROCESS

PARTICIPATES IN SELECTION OF HEARING OFFICER

SELECTION PROCESS MUST BE COMPLETED W/30 DAYS [OR EXTENDED]

BOTH COMPLAINANT AND UNIVERSITY MAY PRESENT WITNESSES AND EVIDENCE, BE REPRESENTED, AND FILE BRIEFS

HEARING OFFICER ISSUES WRITTEN DECISION ON THE COMPLAINT W/30 CALENDAR DAYS OF THE CLOSE OF THE RECORD OF THE HEARING; DECISION IS FINAL AND BINDING

GRIEVANCE STEPS- WHO DOES WHAT?PPSM POLICY – STEP 2 (MSP EMPLOYEE)

MSP EMPLOYEE CONTROL UNIT HEAD

MAY REQUEST A FACTFINDER, OR MAY REQUEST AN EVIDENTIARY FACTFINDER ( IF THE ISSUE IS ONE OF THESE 3):

-A. NON-DISCRIMINATION IN EMPLOYMENT-B. MEDICAL SEPARATION-C.TERMINATION OF CAREER EMPLOYEES, MANAGERS AND SENIOR PROFESSIONALS SALARY GRADES I – VII

ORMAY CHOOSE NO FACTFINDING AT ALL

MAY CHOOSE TO REVIEW THE COMPLAINT—OR APPOINT A STEP 2 REVIEWER (WITHIN 10 CALENDAR DAYS OF RECEIPT OF COMPLAINT IN THE CONTROL UNIT HEAD’S OFFICE) AND BE IN WRITING

COPIES OF THE LETTER DESIGNATING A STEP 2 REVIEWER (AND FORWARDING THE COMPLAINT) SHALL BE SENT TO THE (COMPLAINANT AND REP) W/PROOFS OF SERVICE AND TO GRIEVANCE COORDINATOR.

(IF MSP EMPLOYEE REQUESTED IT) --APPOINT A FACTFINDER FROM OUTSIDE THE DEPARTMENT WHERE THE ALLEGED ACTION WAS TAKEN (WITHIN 10 CALENDAR DAYS OF RECEIPT OF COMPLAINT)

A COPY OF THE LETTER (APPOINTING THE FACTFINDER ) AND FORWARDING COPIES OF THE COMPLAINT SHALL BE SENT TO THE (EMPLOYEE AND REP) W/PROOFS OF SERVICE, AND THE GRIEVANCE COORDINATOR.

GRIEVANCE STEPS- WHO DOES WHAT?PPSM POLICY – STEP 2 (MSP EMPLOYEE)

STEP 2

FACTFINDER [IF EVIDENTIARY FACTFINDING]

[LIKE A HEARING]

STEP 2 REVIEWER

[IF FACTFINDING]

STEP 2 REVIEWER

[NO FACTFINDING; OR ISSUE NOT ELIGIBLE FOR EVIDENTIARY FACTFINDING]

THE FACTFINDER CONDUCTS AN EVIDENTIARY FACTFINDING-- WHERE EMPLOYEE AND MANAGER HAVE THE RIGHT TO:--APPEAR BEFORE THE FACTFINDER,-- PRESENT EVIDENCE, --BE PRESENT WHEN WITNESSES TESTIFY, AND EXAMINE AND CROSS-EXAMINE WITNESSES, --BE REPRESENTED BY COUNSEL OR A PERSON OF HIS/HER CHOOSING-- MAKE ORAL OR SUBMIT WRITTEN ARGUMENTS IN SUPPORT OF HIS/HER POSITION

FACTFINDER PREPARES WRITTEN REPORT [INC. CLEAR STATEMENT OF ISSUES; POSITIONS OF PARTIES; BRIEF SUMMARY OF INFO RECEIVED; FINDINGS OF FACT) SENT TO STEP 2 REVIEWER (W/30 CALENDAR DAYS OF THE DATE OF FACTFINDER’S APPT LETTER), OR W/30 CALENDAR DAYS OF EVIDENTIARY FACTFIINDING CONCLUSION

REVIEWS THE WRITTEN STATEMENT OF THE COMPLAINT, AND THE WRITTEN RESPONSES (IF ANY)

ISSUES WRITTEN RESPONSE TO THE COMPLAINT (WITHIN 15 CALENDAR DAYS OF THE DATE THE FACTFINDING REPORT WAS SENT)

ATTACHES A COPY OF THE COMPLAINT AND FACTFINDING REPORT TO STEP 2 RESPONSE; SENDS DOCUMENTS TO (COMPLAINANT AND REP), GRIEVANCE COORDINATOR,W/PROOFS OF SERVICE

STEP 2 DECISION IS FINAL; NO APPEAL TO STEP 3

ISSUES A WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE COMPLAINT WAS SENT)

THE STEP 2 DECISION IS FINAL; NO APPEAL TO STEP 3

GRIEVANCE STEPS- WHO DOES WHAT?CONTRACTS FILING A GRIEVANCE AND STEP 1

CONTRACT

EMPLOYEE DEPT SUPERVISOR

AFSCME, CUE, UPTE RX, UPTE TX

BEFORE GRIEVANCE IS FILED, MAY ATTEMPT TO RESOLVE MATTER WITH SUPERVISOR; OR REQUEST STEP 1 MEETING

FORMAL GRIEVANCE FILED W/LABOR RELATIONS WITHIN 30 DAYS OF THE EVENT

GRIEVANCE FORM TO INCLUDE:

• IDENTIFY SPECIFIC ARTICLE(S)/SECTION(S) VIOLATED

• DESCRIBE ACTION(S) WHICH VIOLATED SECTION(S)

• IDENTIFY DATE(S) OF THE ACTION (S)• LIST AFFECTED INDIVIDUAL(S) • DESCRIBE REMEDY REQUESTED

IF NOT RESOLVED AT STEP 1, MAY APPEAL TO STEP 2 W/ 15 CALENDAR DAYS (FROM STEP 1 DATE OF WRITTEN RESPONSE, GIVEN OR DUE)

HAS 15 CALENDAR DAYS TO ISSUE RESPONSE [AFTER MEETING IS HELD]

DEPT RESPONSE SHOULD INCLUDE:-A STATEMENT OF THE GRIEVANCE WITH REFERENCE TO THE CONTRACT ARTICLE ALLEGED TO BE VIOLATED-- BRIEF RECAP OF THE ALLEGATIONS AND EVIDENCE--BRIEF DISCUSSION OF WHY DEPT AGREES OR DISAGREES WITH THE GRIEVANCE--APPEAL RIGHTS TO STEP 2

GRIEVANCE STEPS- WHO DOES WHAT?CONTRACTS – STEP 2

CONTRACT EMPLOYEE LABOR RELATIONS SPECIALISTAFSCME, CUE, UPTE RX, UPTE TX

HAS APPEAL RIGHTS TO STEP 3 W/15 CALENDAR DAYS OF DATE THE STEP 2 RESPONSE WAS ISSUED.

IF GRIEVANCE ALLEGES VIOLATION OF DISCIPLINARY ARTICLE– UNION CAN APPEAL DIRECTLY TO ARBITRATION AND SKIP STEP 3

HOLDS A PRE-MEETING WITH (DEPT SUPERVISOR, DHRM, AND ER CONSULTANT)HOLDS FACT-FINDING MEETING WITH EMPLOYEEE AND EMPLOYEE’S REPRESENTATIVE AND (DEPT SUPERVISOR, DHRM, ER CONSULTANT) AND POSSIBLY WITNESSESWRITES CAMPUS RESPONSE W/15 DAYS AFTER MEETING

GRIEVANCE STEPS- WHO DOES WHAT?CONTRACTS – STEP 3

CONTRACT

EMPLOYEE UCOP OFFICE OF LABOR RELATIONS


HAS APPEAL RIGHTS TO ARBITRATION W/30 CALENDAR DAYS OF UNIVERSITY’S STEP 3 DECISION

ISSUES ANSWER W/30 CALENDAR DAYS OF THE RECEIPT OF THE APPEAL.

GRIEVANCE STEPSARBITRATION

CONTRACT ARBITRATION


FULL EVIDENTIARY HEARING BEFORE A NEUTRAL PROFESSIONAL ARBITRATOR

TESTIMONY UNDER OATH; WITNESSES MAY BE CALLED

BINDING, NON-APPEALABLE DECISION

EXTENSIONS TO TIMEFRAMES PPSM OR MSP COMPLAINANT MAY REQUEST AN

EXTENSION TO APPEAL TO STEP 2 OR STEP 3, PRIOR TO THE DEADLINE FOR APPEAL

SUBMITS WRITTEN REQUEST TO LABOR RELATIONS, STATING REASON AND PROPOSED NEW DEADLINE

EXTENSION REQUESTS SHOULD GO THROUGH LABOR RELATIONS – (AND THE PARTIES SHOULD HAVE MUTUALLY AGREED TO THE EXTENSION IN WRITING)

DEPT HEAD, CONTROL UNIT HEAD OR FACTFINDER MAY EXTEND TIMEFRAMES FOR MANAGEMENT ACTIONS [RESPONSES, FACTFINDER REPORTS]

EXTENSION MUST BE IN WRITING, WITH REASON AND NEW DEADLINE. COPIES OF EXTENSION SENT TO THE (COMPLAINANT AND REP), AND TO LABOR RELATIONS

EXTENSIONS BY A STEP 2 REVIEWER OR FACTFINDER SHOULD ALSO BE SENT TO THE CONTROL UNIT HEAD

CONTRACTS [IN GENERAL] EXTENSION REQUESTS SHOULD

GO THROUGH LABOR RELATIONS – (AND THE PARTIES SHOULD HAVE MUTUALLY AGREED TO THE EXTENSION IN WRITING)

Grievance Records Retention

Maintain all documents related to the grievance in a file separate from the employee’s personnel file.

University Records Disposition Schedule Manual advised retaining grievance for a period of 5 years after resolution of the grievance.

Coming Revisions to PPSM 70 Policy/Procedure….

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Documents

BASICS OF THE GRIEVANCE PROCESS