3 FAM 4720
INFORMAL GRIEVANCES
(CT:PER-917; 08-20-2018)
(Office of Origin: HR/G)
3 FAM 4721 FILING AN INFORMAL
GRIEVANCE
(CT:PER-917; 08-20-2018)
(State Only)
(Applies to Civil Service Employees)
a. Except as provided by 3 FAM 4727, an
informal grievance must be presented to a Responsible Official:
(1) Within 15 days of the act or occurrence giving
rise to the grievance or the date the employee did or reasonably should have
become aware of that act or occurrence; and
(2) Within 15 days of the most recent occurrence of a
continuing practice or condition.
b. An informal grievance may be presented to the
Responsible Official orally or in writing.
c. In presenting an informal grievance, the employee
must:
(1) Identify the matter of concern;
(2) Identify the corrective action sought; and
(3) Clearly state that the informal grievance process
is being invoked.
d. If the requirements above are not satisfied, the
matter of concern will not be considered as a grievance; however, it does not
preclude discussion and resolution of the issue between the employee and
Responsible Official.
e. The employee may request that the Responsible
Official consider Alternative Dispute Resolution (ADR) to address the matter of
concern.
3 FAM 4722 INITIAL RESPONSE TO AN
INFORMAL GRIEVANCE
(CT:PER-917; 08-20-2018)
(State Only)
(Applies to Civil Service Employees)
a. The Responsible Official should make every effort to
resolve the grievance. If the Responsible Official considers ADR appropriate,
the manager may suggest it to the employee or agree to the employees request
for ADR, if one was made. If the employee and Responsible Official agree to
seek ADR assistance, either may contact the Office of the Ombudsman to make
arrangements.
b. If the Responsible Official cannot resolve the
matter to the grievants satisfaction within 10 days, the Responsible Official
will provide a written notice that:
(1) Explains why the relief being sought by the employee
is not appropriate;
(2) Advises the employee of the right to elevate the
grievance; and
(3) Identifies the next level Responsible Official to
whom an elevated grievance must be directed.
c. The 10-day response period will be suspended for up
to 30 days in those cases where the Responsible Official and employee have
mutually agreed to pursue ADR. (See 3 FAM 4725 if
further extension is needed.) If successful resolution of the informal
grievance was not achieved through ADR, the Responsible Official will provide
the written notice described in sub-section 3 FAM 4722, subparagraphs b(1) through b(3), within 10
days of the conclusion of ADR.
3 FAM 4723 ELEVATING THE INFORMAL
GRIEVANCE
(CT:PER-704; 07-30-2013)
(State Only)
(Applies to Civil Service Employees)
a. An employee who is not satisfied with the informal
grievance resolution received under 3 FAM 4722, or
who has not received a response within the specified timeframe, and who wishes
to pursue it further must elevate the grievance.
b. An informal grievance under this section must be
presented within five days of:
(1) Receiving a response under 3 FAM 4722; or
(2) The date a response should have been received
under 3 FAM 4722,
if no response was received.
c. An employee elevating an informal grievance under 3 FAM 4723, paragraph a, must provide the following:
(1) A statement that the submission is to be
considered an informal grievance;
(2) The date and description of the act, incident, or
document, which gave rise to the grievance;
(3) If ADR was pursued, documentation reflecting the
election of ADR and the ADR close-out date, to establish compliance with the
formal grievance filing time limit;
(4) A copy of the written response received under 3 FAM 4722 or,
if no response was received, a statement to that effect;
(5) The names of persons who have knowledge of facts
relevant to the grievance;
(6) Evidentiary material relevant to the grievance;
(7) A copy of the document that is the subject of the
grievance (if applicable); and
(8) A statement as to what personal relief is desired.
d. If the requirements above are not satisfied, the
matter of concern will not be considered as a grievance; however, that does not
preclude discussion and resolution of the issue between the employee and
supervisor.
e. The employee may request that the Responsible
Official consider ADR to address the matter of concern.
3 FAM 4724 FINAL RESPONSE TO AN
INFORMAL GRIEVANCE
(CT:PER-917; 08-20-2018)
(State Only)
(Applies to Civil Service Employees)
a. The official who receives an elevated informal
grievance may suggest ADR to the employee if deemed appropriate, or agree to
the employees request for ADR, if one was made, provided the employee had not
previously participated in ADR at the lower level. If the employee and
Responsible Official agree to seek ADR assistance, either may contact the
Office of the Ombudsman to make arrangements.
b. The official must respond to the employee within 10 days,
informing the employee in writing of any proposed resolution or the reason(s)
that the resolution requested by the employee is not appropriate.
c. Where the requested relief is not granted, the
officials written response should include a summary of the grievance issues
and the attempts made to resolve them, as well as notice that the informal
grievance process is terminated.
d. The 10-day response period will be suspended for up
to 30 days in those cases where the Responsible Official and employee have
mutually agreed to pursue ADR. (See 3 FAM 4725 if
further extension is needed.) If successful resolution of the elevated
grievance was not achieved through ADR, the Responsible Official will provide
the written notice described in 3 FAM 4724, paragraph c, within 10 days of the conclusion
of ADR.
3 FAM 4725 EXTENSION OF TIME FOR
INFORMAL GRIEVANCE PROCESSING
(CT:PER-704; 07-30-2013)
(State Only)
(Applies to Civil Service Employees)
a. The Director of the Grievance Staff (HR/G) or
designated representative may grant an extension of the time limit for
initiating or completing the informal process, if the employee or Responsible
Official shows good cause.
b. A written request for an extension must be made
prior to the expiration of the pertinent time limit, absent good cause shown.
3 FAM 4726 ConcluDING THE informal
grievance processs
(CT:PER-704; 07-30-2013)
(State Only)
(Applies to Civil Service Employees)
a. The informal grievance process ends when:
(1) The employee withdraws the grievance;
(2) The Responsible Official grants the requested
relief;
(3) The Responsible Official denies the requested
relief in writing; or
(4) The Responsible Official does not respond to the
elevated grievance as provided by 3 FAM 4224.
b. An employee who is dissatisfied with the outcome of
the elevated informal grievance process, or who has not received a response
within the specified timeframe, may submit a written appeal (formal grievance)
to the Deputy Assistant Secretary (DAS) Bureau of Human Resources or the
Director of the Grievance Staff as provided by 3 FAM 4730.
3 FAM 4727 WAIVER OF THE INFORMAL GRIEVANCE
PROCESS
(CT:PER-917; 08-20-2018)
(State Only)
(Applies to Civil Service Employees)
a. The informal grievance process provided by 3 FAM 4720 is
waived and a formal grievance may be filed regarding:
(1) A disciplinary action (i.e., a letter of reprimand
or suspension of 14 days or less). In such case, the employee must file a
formal grievance within 15 days of the date the letter of reprimand was
received or the effective date of the suspension;
and
(2) A Performance Appraisal, provided that the rating
of record has been reviewed by a Reviewing Officer. The formal grievance must
be filed:
(a) Within 15 days of receipt of the reconsideration
decision, or
(b) Not later than 30 days after requesting
reconsideration if no reconsideration decision is received.
b. In rare circumstances, the Director of the Grievance
Staff (HR/G) or designated representative may waive the informal grievance
process and allow a formal grievance to be filed when the employee has
demonstrated good faith efforts to resolve the matter of concern which are
equivalent to the informal process described in this subchapter.
c. The Director of the Grievance Staff (HR/G) may
waive the informal grievance process and allow a formal grievance to be filed
when the employee alleges coercion, reprisal or retaliation within 15 days of
the act or occurrence.
3 FAM 4728 THROUGH 4729 UNASSIGNED