1. SCSEP Grievance Policies & Procedures
May 16, 2011

2. Presenters
Presenter:
Judith Gilbert, SCSEP National Office
Moderator:
Kathleen Dorcy, SCSEP National Office

3. Overview
Regulations
Grantee requirements
Process
Communicating policy
Elements of a grievance
procedure
Best practices

4. Regulations

5. Policy Requirement
Pursuant to regulations, grantees are required to have a written policy for resolving grievances.

6. Sec (a)
Each grantee must establish, and describe in the grant agreement, grievance procedures for resolving complaints… arising between the grantee, employees of the grantee, sub-recipients, and applicants or participants.

7. Sec (d)
Questions about, or complaints alleging a violation of, the nondiscrimination requirements of title VI of the Civil Rights Act of 1964; Sec. 504 of the Rehabilitation Act of 1973; Sec. 188 of the Workforce Investment Act of 1998; or their regulations, may be directed to:
Director, Civil Rights Center U.S. Department of Labor Room N Constitution Avenue, NW Washington, D.C

8. Sec (d)
In the alternative, complaints alleging violations of WIA Sec. 188 may be filed initially at the grantee level. See 29 CFR , In such cases, the grantee must use complaint processing procedures meeting the requirements of 29 CFR to resolve the complaint.

9. Sec (b)
The Department will not review final determinations made under paragraph (a) of this section, except to determine whether the grantee’s grievance procedures were followed, and according to paragraph (c) of this section.

10. Sec (c)
Allegations of violations of Federal law, other than those described in paragraph (d) of this section, which are not resolved within 60 days under the grantee’s procedures, may be filed with:
Chief, Division of Adult Services Employment and Training Administration U.S. Department of Labor Constitution Avenue, NW Washington, D.C

11. Sec (c)
Allegations determined to be substantial and credible will be investigated and addressed.

12. What Does This Mean for Grantees?

13. Grievance Procedures You must have a written policy in place
You must inform participants of their rights
All terminations must be subject to the grievance policy
You must follow your policy in handling all grievances – for employees, sub-recipients, applicants, and participants
You must document and keep on file all grievances and decisions rendered
Final decisions by grantees must inform complainants of their right of further appeal

14. Examples Denial of eligibility at application or recertification
Denial of paid training or supportive services
Disputes over wages, hours, assignments, IEPs, working conditions, approved breaks, compensation for necessary sick leave/federal holidays
Any discipline
All terminations, including for individual durational limits
Etc…

15. Communicating Your Policy

16. Communicating the Policy to Participants
Grantees must inform participants of their grievance policy during orientation. This is part of “participant rights and responsibilities.”
Sec (a)(1)
Any termination is subject to the grievance policy, and all termination notices must inform the participant of the grantee’s policy.
Sec (h)

17. What Happens When a Grievance Is Filed?

18. Process
Ask: Does the complaint allege discrimination in violation of civil rights law?
If YES, it must be filed with the Director of the Civil Rights Center at the U.S. Department of Labor
If NO, complainant must file a written grievance to the lowest level of authority according to the grantee’s policy; authority issues a response

19. Process
Ask: Does the complainant accept the response by the lowest-level authority?
If YES, grievance procedure is complete. Grantee maintains a copy of grievance and decision in its files.
If NO, the grievance progresses to the next highest level(s) according to the grantee’s policy

20. Process
Once the grantee makes a final determination at its highest level, it is communicated to the complainant, along with an explanation of the participant’s further right of appeal.

21. Process
Ask: Does the complainant accept the response of grantee’s highest level authority?
If YES, grievance procedure is complete. Grantee maintains a copy of grievance and decision in its files.
If NO, the complainant may appeal to the U.S. Department of Labor.

22. Process
The U.S. Department of Labor can only review the grantee’s final determination for:
Whether the grantee’s grievance procedures were followed
Allegations of violations of Federal law, other than civil rights law, which have not been resolved within 60 days under the grantee’s procedures

23. Elements of a
Grievance Procedure

24. Elements of a Grievance Procedure
A participant who has a complaint should take the following actions:
Discuss the issue with appropriate personnel at the lowest level at which the complaint occurred
If not resolved informally, put the complaint in writing as a formal grievance

25. Elements of a Grievance Procedure
Personnel responding to an informal complaint should take the following actions:
Encourage an informal resolution, where possible
If the participant is dissatisfied with the informal resolution, personnel must inform the participant of his or her right to file a formal grievance under the grantee’s policy

26. Elements of a Grievance Procedure
Personnel responding to a written grievance should take the following actions:
Document the grievance
Attempt to resolve the grievance within __ business days
Make and provide a written decision to the complainant within __ business days

27. Elements of a Grievance Procedure
If the complainant is not satisfied with this decision, he or she has the right to appeal it in writing to _____________ at _____________ within ___ days.

28. Elements of a Grievance Procedure
Higher-level personnel responding to an appeal should take the following actions:
Confer with the affected parties within ___ business days of receiving the appeal
Make and provide a written decision to the complainant within ___ business days
Decision should inform participant of their right to appeal within 30 calendar days to DOL
Maintain the grievance and decision in the grantee files

29. Components of a Good Policy
Easily understood by everyone
Specific timeline for each step
Responsibilities clearly outlined and parties identified
Policy communicated regularly to all
Policy implemented fairly and consistently

30. Best Practices
Have good and open communication with participants, so issues can be resolved informally and thus avoid formal written complaints
Final decision maker is someone not involved in the action being grieved
Grantee director is the final arbiter for terminations

31. Best Practice
Explore the resources of your organization:
Legal counsel
Human resources director
Hearing officer
Tap into professional staff to see what you can learn from standard labor relations complaint procedures