BASICS OF THE GRIEVANCE PROCESS WHAT SUPERVISORS NEED TO KNOW Presented 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/doma in/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 independent department providing informal/strictly confidential conflict resolution and problem-solving services for all staff, non-senate academics and 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 for UC 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 MSP EMPLOYEE (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) 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 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) PPSM EMPLOYEE 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 WORK C.OVERTIME D.SHIFT AND WEEKEND DIFERENTIAL E. HOLIDAYS F. VACATION (EXCEPT SCHEDULING) G.SICK LEAVE H. LEAVE OF ABSENCE i.CORRECTIVE ACTION (ONLY TEMP OR INDEF WITHINRANGE SALARY DECREASE. CORRECTIVE DEMOTION, SUSPENSION WITHOUT PAY, AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS) J.MEDICAL SEPARATION K.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. GRIEVANCE STEPS- WHO DOES WHAT? PPSM POLICY – STEP 2 (PPSM EMPLOYEE) CONTROL UNIT HEAD STEP 2 FACTFINDER STEP 2 REVIEWER (IF THERE IS FACTFINDING) STEP 2 REVIEWER (NO FACTFINDING) 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) INVESTIGATES GRIEVANCE ISSUES WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE FACTFINDING REPORT WAS SENT TO REVIEWER) ISSUES A WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE COMPLAINT WAS FORWARDED TO REVIEWER) 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) 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 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 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 GRIEVANCE STEPS- WHO DOES WHAT? PPSM POLICY – STEP 3 (PPSM EMPLOYEE) PPSM EMPLOYEE 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 A. NON-DISCRIMINATION IN EMPLOYMENT (PERTAINING ONLY TO AN ALLEGED DISCRIMINATORY APPLICATION OF A PERSONNEL POLICY ISSUE LISTED BELOW) B. HOURS OF WORK C.OVERTIME D.SHIFT AND WEEKEND DIFERENTIAL E. HOLIDAYS F. VACATION (EXCEPT SCHEDULING) G.SICK LEAVE H. LEAVE OF ABSENCE i.CORRECTIVE ACTION (ONLY TEMP OR INDEF WITHIN-RANGE SALARY DECREASE. CORRECTIVE DEMOTION, SUSPENSION WITHOUT PAY, AND WRITTEN WARNINGS PERTAINING TO SUCH ACTIONS) J.MEDICAL SEPARATION K.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 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. GRIEVANCE STEPS- WHO DOES WHAT? PPSM POLICY – STEP 3 (PPSM EMPLOYEE) DEPT HEAD [OR DEPT DESIGNEEFOR UNIVERSITY] HEARING OFFICER /HEARING PROCESS PARTICIPATES BOTH COMPLAINANT AND UNIVERSITY MAY PRESENT IN SELECTION OF WITNESSES AND EVIDENCE, BE REPRESENTED, AND FILE BRIEFS HEARING OFFICER HEARING OFFICER ISSUES WRITTEN DECISION ON THE COMPLAINT W/30 CALENDAR DAYS OF THE CLOSE OF THE SELECTION RECORD OF THE HEARING; DECISION IS FINAL AND BINDING PROCESS MUST BE COMPLETED W/30 DAYS [OR EXTENDED] 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): 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 -A. NON-DISCRIMINATION IN EMPLOYMENT -B. MEDICAL SEPARATION -C.TERMINATION OF CAREER EMPLOYEES, MANAGERS AND SENIOR PROFESSIONALS SALARY GRADES I – VII OR MAY CHOOSE NO FACTFINDING AT ALL 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 STEP 2 REVIEWER STEP 2 REVIEWER FACTFINDER [IF EVIDENTIARY FACTFINDING] [IF FACTFINDING] [NO FACTFINDING; OR ISSUE NOT ELIGIBLE FOR EVIDENTIARY FACTFINDING] REVIEWS THE WRITTEN STATEMENT OF THE COMPLAINT, AND THE WRITTEN RESPONSES (IF ANY) ISSUES A WRITTEN RESPONSE TO THE COMPLAINT (W/15 CALENDAR DAYS OF THE DATE THE COMPLAINT WAS SENT) ISSUES WRITTEN RESPONSE TO THE COMPLAINT (WITHIN 15 CALENDAR DAYS OF THE DATE THE FACTFINDING REPORT WAS SENT) THE STEP 2 DECISION IS FINAL; NO APPEAL TO STEP 3 [LIKE A HEARING] 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 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 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 HAS 15 CALENDAR DAYS TO ISSUE RESPONSE [AFTER MEETING IS HELD] 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) 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 AFSCME, CUE, UPTE RX, UPTE TX HAS APPEAL RIGHTS TO STEP 3 W/15 CALENDAR DAYS OF DATE THE STEP 2 RESPONSE WAS ISSUED. LABOR RELATIONS SPECIALIST 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) IF GRIEVANCE AND POSSIBLY WITNESSES ALLEGES VIOLATION WRITES CAMPUS RESPONSE W/15 OF DISCIPLINARY DAYS AFTER MEETING ARTICLE– UNION CAN APPEAL DIRECTLY TO ARBITRATION AND SKIP STEP 3 GRIEVANCE STEPS- WHO DOES WHAT? CONTRACTS – STEP 3 CONTRACT EMPLOYEE UCOP OFFICE OF LABOR RELATIONS AFSCME, CUE, UPTE RX, UPTE TX 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 STEPS ARBITRATION CONTRACT ARBITRATION AFSCME, CUE, UPTE RX, UPTE TX 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) CONTRACTS [IN GENERAL] 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 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…. QUESTIONS?? Your feedback is important to us…. please fill out the Class Evaluation! THANK YOU!