It is the policy of the Institute to establish and maintain an
appropriate environment for a sound employee-management relationship.
Consistent with this policy, employees are encouraged to discuss
problems arising from work situations with their supervisors and
higher levels of line management when necessary. Employees and
management are expected to make a reasonable effort to resolve
work-related problems in a timely manner at the lowest level of
management possible. A formal grievance procedure is available
to eligible employees to resolve grievable issues that cannot
successfully be resolved between an employee and line management.
Retaliation against an employee for filing a grievance or otherwise
participating in the Institute's problem resolution process is
strictly prohibited.
Employees, supervisors and line management personnel who may be
involved in a work-related problem are encouraged to consult with
Employee Relations. Early involvement by Employee Relations may
be helpful in resolving a matter, making a formal grievance unnecessary.
The formal grievance procedure is available to regular benefit-based
employees. Use of the grievance procedure by employees who have
not completed their initial probationary period is limited to
complaints of unlawful conduct. Employees who previously have
completed an initial probationary period but are in probationary
status following a promotion or transfer may utilize the grievance
procedure.
b. Grievable Issues
The Institute's grievance procedure is intended to provide employees
with a process for obtaining review of actions involving the interpretation
and application of Caltech policies and procedures, including
employee discipline and terminations.
Issues involving benefits (e.g., services provided by insurance
carriers), workers' compensation claims, probationary releases,
resignations in lieu of discharge for cause, conflicts between
co-workers (except for complaints of unlawful conduct), request
for discipline of another employee, security clearances, Institute
access, and actions such as garnishments and tax withholdings
are not subject to the grievance procedure.
The final decision as to whether an issue will be accepted as
a grievance rests with the Assistant Vice President for Human
Resources.
The grievance procedure is intended to be a problem resolution
tool, not an adversarial process. All participants are expected
to bear this in mind and to conduct themselves accordingly.
Specific time limits apply under the Institute's grievance procedure.
All parties are expected to comply with the applicable time limits.
Deviations from the time limits may be granted at the discretion
of the Assistant Vice President for Human Resources when deemed
warranted.
Grievances concerning involuntary terminations will be entered
at Step 2. Grievances concerning discharge for cause will be entered
at Step 3.
Step 1
a. In order to use the formal grievance procedure, the employee
must bring the matter to the attention of his or her immediate
supervisor or Employee Relations within ten (10) working days
of the occurrence or the employee's first awareness of the problem.
Within three working days, the employee and supervisor will meet
to discuss the matter, review the facts and attempt to resolve
the issue. This meeting will be held with other appropriate line
management if the circumstances of the complaint are such that
it would be inappropriate for the employee to meet with the immediate
supervisor. If requested, an Employee Relations representative
will attend the Step 1 meeting(s). The supervisor (or other line
manager) will provide the employee with management's decision
within ten (10) working days of the Step 1 meeting(s).
Step 2
a. If a work-related problem cannot be successfully resolved through
Step 1 discussions between the employee and line management, an
employee may file a formal grievance. To initiate a formal grievance,
the employee must submit to Employee Relations a statement of
the problem in writing on a Caltech grievance form (PM 13-1),
including the remedy sought, within three (3) working days of
the grievant's receipt of management's Step 1 decision .
Failure to file a formal grievance within this time limit will
result in the issue being resolved on the basis of management's
Step 1 decision. The remedy must be specifically related to the
issue grieved. If more than one issue is generated as a result
of a single event or set of events, the issues will be combined
and considered together. Grievance forms are available from Employee
Relations. Upon request, Employee Relations will assist employees
in preparing grievances.
b. When the grievance form is submitted to Employee Relations,
it will be dated and a copy will be given to the employee and
appropriate line management. Within three (3) working days, Employee
Relations will obtain a written statement of management's Step
1 decision and refer the grievance to the next level of management,
if appropriate. Within five (5) working days of receipt of the
grievance, the next level of management, the grievant and Employee
Relations will meet to discuss the grievance, review the facts
and attempt to resolve the matter. If the complaint remains unresolved,
the manager will provide the employee and Employee Relations with
a written response to the employee's grievance within five (5)
working days of the Step 2 meeting(s).
Step 3
a. The Step 2 decision may be appealed to the Grievance Appeals
Committee. The appeal must be submitted to Employee Relations
in writing on the appeal section of the Caltech grievance form
within five (5) working days of the grievant's receipt of the
Step 2 decision. Failure to submit an appeal within this time
period will result in the grievance being resolved on the basis
of management's Step 2 decision.
b. The Grievance Appeals Committee will consist of a Chairperson
(appointed by the President), two voting members (agreed to by
the grievant and line manager) and two (2) non-voting advisors
(the Assistant Vice President for Human Resources or designee
and the JPL Manager of the Human Resources Division or designee).
c. The President will assign a Grievance Appeals Committee Chairperson
within five (5) working days of the appeal being submitted to
Employee Relations. The Chairperson, with the assistance of Employee
Relations, will select twelve (12) potential committee members.
A list with the name, organization and job classification (i.e.
A, E, O, S, T) will be sent to the grievant and appropriate line
manager, who will be given the opportunity to select two (2) of
the three (3) voting members of the Grievance Appeals Committee.
The grievant and manager should strike the names of anyone on
the list whom they do not wish to serve on the committee. The
remaining names should be rank ordered according to their preference
with their first choice being listed as number one (1). The first
two names in order of preference that remain on both grievant's
and manager's list will be selected.
d. Employee Relations will be available to answer questions regarding
the panel members. Up to three (3) panel lists may be reviewed.
If less than two (2) individuals have been selected to serve on
the committee after three (3) lists have been reviewed, the Chairperson
will select the remaining voting committee member(s).
e. The committee selection process is to be completed within five
(5) working days of the assignment of the Chairperson. The persons
selected cannot be parties to the grievance or testify at the
grievance hearing.
Note: The President appoints a panel of approximately eighty (80)
prospective Grievance Appeals Committee members from staff and
thirty (30) prospective Chairpersons from faculty. Panel members
are selected based on recommendations by campus division and department
management, the Institute's Affirmative Action committees, the
Organization for Women on Campus and the Human Resources Department.
The panel will include a cross section of employees from different
divisions and departments, with a mix of job classifications and
levels and appropriate representation of women and minorities.
Human Resources Department employees and employees with law degrees
will not be considered for panel membership. The panel will receive
appropriate training concerning the committee's role in the grievance
process before serving on a committee.
a. An Employee Relations representative will be assigned to the
committee for the purpose of handling administrative matters such
as scheduling hearing dates, obtaining relevant documents, scheduling
witnesses, and assisting in the preparation of the committee's
report.
b. A confidential grievance hearing manual will be prepared by
Employee Relations and submitted to the Chairperson for review.
The manual will contain a copy of the grievance, management's
response(s) and other documentation relevant to the grievance.
Upon approval by the Chairperson, a copy of the manual will be
provided to the committee members. The manual will be used in
preparation for the planning meeting and throughout the hearing.
c. The Chairperson will convene a planning meeting within five
(5) working days of the date the manual is approved. The purpose
of the planning meeting is to review and clarify the issues involved
in the case and determine whether additional documents, witnesses,
or related information will be required for the grievance hearing.
The committee also will plan for hearing activity. At the conclusion
of the planning meeting, all additional documents/materials requested
by the committee will be added to the manuals. Thereafter, copies
of the manual will be provided to the grievant and the manager
involved.
d. All parties should retain their personal copies of the manual
and materials presented for use during the hearing. Upon the conclusion
of the hearing, all copies are to be returned to the Employee
Relations representative. Employee Relations will arrange for
proper retention or disposal of the material.
e. Following the planning meeting, the Chairperson will schedule
the necessary meetings to complete the hearing in a timely fashion.
Efforts will be made to complete the hearing within fifteen (15)
working days following receipt of the manual. The first hearing
meeting will occur within five (5) working days of the first planning
meeting.
f. The Chairperson will convene meetings as necessary and is responsible
for conducting the hearing, assuring that procedures are followed
and that a full and fair hearing occurs. No tape or video recordings
or transcripts will be made of the committee meetings. No external
representatives (such as attorneys), other than the assistant
as described below, will be permitted to attend the hearing on
behalf of either party.
g. The grievant and the manager involved may request the presence
of another Caltech campus employee (who is not an attorney or
corporate officer) to assist them with the proceedings. Such assistants
must be regularly assigned to the same geographical location as
the person whom they are assisting. The assistant must be a regular
benefit-based employee of Caltech who is on the active payroll
of the Institute. If the assistant is to be a witness at the hearing
he/she will be first in the order of testimony. If not available
to assist during the dates the hearing is scheduled, the meetings
will proceed without the assistant's presence.
h. The grievant and manager must respond promptly to all communications
and requests from the Chairperson. Both parties are expected to
attend all meetings in which they are scheduled to participate
and, if unable to do so, should notify the Chairperson. Failure
of the grievant to respond promptly to the Chairperson's request
or failure to participate in scheduled meetings may be grounds
for the Chairperson to dismiss the grievance. Failure of management
to respond promptly to the Chairperson's request or failure to
participate in scheduled meetings will be immediately reported
to the manager's superior for appropriate action and duly noted
in the grievance committee's report to the President. An employee's
waiver or failure to take advantage of any important right under
the grievance procedure (such as the right to be present and participate
at a hearing) shall be documented appropriately. Any grievance
that has not been heard within 60 days of the filing date, will
be dismissed unless an extension has been granted as provided
in Section 3 above.
i. At the onset of the hearing, the Chairperson will summarize
and verify the issue(s) involved and the remedy(ies) sought. The
Chairperson will assure that all parties are aware that only facts
and testimony bearing on the issue(s) will be considered. Throughout
the hearing, extraneous testimony or material should be excluded
from consideration as determined by the Chairperson.
j. The parties will be permitted to make opening statements (oral
or written); present evidence; and rebut testimony. The rules
for such presentation will be explained by the Chairperson at
the opening of the hearing. Generally, the grievant presents the
grievance first; however, in the case of a grievance in protest
of termination, the manager will proceed first.
Both parties are permitted to hear all testimony and receive copies
of all documents or written materials presented to the committee.
Both parties may ask questions of witnesses either directly, or
through the Chairperson by submission of written questions. Furthermore,
both parties may comment, either orally or in writing, on any
testimony presented to or written materials considered by the
committee. Individuals who testify before the committee are expected
to be forthright and honest. The Chairperson determines the order
of presentation, the method and extent of comments or questions,
and the procedures to be followed.
k. During the hearing, both parties will be permitted to submit
documentary evidence and written statements. The testimony of
other Caltech personnel and documentary evidence also may be requested
and considered by the committee, subject to the Chairperson's
approval. The Chairperson will determine the relevance, usefulness,
method, and length of presentation of all evidence. Either party
may seek assistance from Employee Relations in areas of documentation
or guidance related to the presentation of evidence to the committee.
l. The grievance proceedings are confidential. Confidentiality
is necessary to protect the privacy of the individuals involved
and to encourage a frank and candid review of the issues. The
Chairperson will advise all parties (including witnesses) to consider
all matters relevant to the grievance as confidential. The Chairperson
will instruct the participants to refrain from discussing or otherwise
disclosing information presented during the proceedings to outside
parties.
If necessary, the Chairperson or the participant from Human Resources,
may inform the offices whose duties require information related
to the grievance and its resolution.
These offices include:
Employee Relations Office
Caltech General Counsel's Office
Caltech Security Office
Public Relations Office
Caltech Internal Audit Department
Caltech Safety Office
m. At the conclusion of the hearing, the Chairperson will request
confirmation from both parties that a full and complete hearing
has occurred. If either party believes that the hearing was not
complete, that party may petition the Chairperson to consider
additional evidence.
n. Upon determining that the pertinent evidence and testimony
has been received, the Chairperson will excuse the grievant, the
manager involved and their respective assistants. All copies of
the manual and any notes are to be returned to the Human Resources
Department staff member for retention or disposal of the material
as appropriate.
o. Upon the conclusion of the hearing the committee will meet
to deliberate concerning the grievance. Deliberations of the committee
will be conducted in private. Advice of legal and other consultants,
where information substantive to the facts of a case is not involved,
may also be obtained by the committee in private. The committee
will prepare a written report reflecting its recommendations concerning
the disposition of the grievance including any recommended remedies.
p. The committee's report will be submitted to the President or
designee for consideration within ten (10) working days from the
conclusion of the hearing. The committee will orally brief the
President or designee concerning its recommendations.
q. The President or designee will make a decision concerning the
grievance and notify the parties, the committee and the Human
Resources Department of the decision within ten (10) working days
of receiving the committee's report. The President's or designee's
decision is final and binding on all parties.
Any exception to this policy requires the approval of the Vice
President for Business and Finance and Treasurer or designee.