INFORMAL GRIEVANCES
(CT:PER-998; 06-09-2020)
(Office of Origin: GTM/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 employee’s 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 grievant’s 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 employee’s 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 official’s 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-998; 06-09-2020)
(State Only)
(Applies to Civil Service Employees)
a. The Director of the Grievance Staff (GTM/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-998; 06-09-2020)
(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 Global Talent Management or the Director of the Grievance Staff as provided by 3 FAM 4730.
3 FAM 4727 WAIVER OF THE INFORMAL GRIEVANCE PROCESS
(CT:PER-998; 06-09-2020)
(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 (GTM/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 (GTM/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