GRIEVANCE COMMITTEE
REQUIRED DOCUMENTATION
Grievance TrackingGrievance Fact SheetI. Discipline A. Absenteeism B. Socialization C. Trafficking D. Felony Arrest and Conviction E. Total Disability F. Sexual Harassment G. Drug Related Infractions H. Non-Alert I. Insubordination, Negligence, Other misconduct not covered separately��10 II. Promotions��11 III. Evaluations��12 IV. Temporary Assignment Pay��13 V. Proof Status��14 VI. Overtime��15 VII. Unilateral Change in Bargainable Subject��16 VIII. Illness or Injury LOA��17 A. ABSENTEEISM
1. Copy of grievance and second level response. 2. Copy of the employee review hearing. 3. Copy(s) of A.D. or procedural rules allegedly violated. 4. Copy of grievant�s time sheet for period involved. 5. Copy of the grievant�s prior disciplinary record. 6. Copies of any pertinent doctor�s statement or other medical
documentation. 7. Identification as to whether grievant was on proof status, when
placed on proof status, and how long on proof status (Copy of
DC 710-1265 if used). 8. Was the grievant on a last chance agreement? If so, provide a
copy of last chance agreement. 9. Identification of any unusual circumstances involved or alleged
mitigating factors or aggravating conditions. 10. For those transactions which require a CMS-2, a copy of the
CMS-2 and charges. 11. If allegations of disparate treatment, copies of discipline
(CMS-2, charges, and employee review hearing) for named employees
and narrative as to whether such prior discipline is
distinguishable. Also, names of employees who have received
similar discipline as the grievant under similar circumstances. 12. Are there issues of credibility involved? If so, among
which employees?
B. SOCIALIZATION 1. A copy of grievance and second level response. 2. A copy of all incident reports (DC-434) and any other written
statements. 3. If internal investigation done, provide a copy of complete
investigation findings. 4. A copy of CMS-2 and charges. 5. A copy of the grievant�s prior disciplinary record. 6. A copy of the employee review hearing. 7. Statement as to the facility�s past practice with respect
to socialization. 8. If allegation of disparate treatment, names of employees,
copy of discipline imposed, and whether such cases are
distinguishable. Names of employees who received
similar discipline as the grievant under similar circumstances. 9. Identification of any unusual circumstances involved or alleged
mitigating factors. 10. Are there issues of credibility involved? If so, among which
employees and/or inmates? 11. Copies of A.D.�s or procedural rules allegedly violated. C. TRAFFICKING (often similar to socialization) 1. A copy of CMS-2 and charges. 2. A copy of the employee review hearing. 3. A copy of the grievant�s prior disciplinary record. 4. A copy of all incident reports (DC-434) and any other
written statements. 5. A copy of complete internal investigation report. 6. Identification of the facility�s past practice with
reference to discipline for similar infractions. 7. Copies of AD�s or procedural rules allegedly violated. 8. Are there issues of credibility involved? If so,
between which employees and/or inmates? 9. Identification of any unusual circumstances involved
or alleged mitigating factors. 10. A copy of the grievance and second level response. 11. If allegation of disparate treatment, names and dates
of employee(s) involved. Copy of discipline imposed and whether
such cases are distinguishable. D. FELONY AREST AND CONVICTION 1. A copy of CMS-2 and charges. 2. A copy of grievance and second level response. 3. A copy of the employee review hearing. 4. Copies of AD�s or procedural rules allegedly violated. 5. A copy of the grievant�s prior discipline. 6. A copy of the police report. 7. A copy of the court record verifying that grievant was
convicted of a felony. 8. Identification of facility�s past practice with respec
tto discipline for similar infractions. 9. If allegations of disparate treatment, names and dates
of employees involved. Copy of discipline imposed (CMS-2,
charges, and employee review hearing), and whether
such cases are distinguishable. 10. Copies of any newspaper articles regarding the
arrest/conviction. NOTE: If grievant is charged with a felony and the facility
is unable to prove the facts involved (i.e., happened
while grievant was off-duty), the appropriate vehicle to
impose after an employee review hearing is a �Suspension
Pending Judicial Verdict.� This is a non-paid
disciplinary suspension. E. TOTAL DISABILITY 1. A copy of CMS-2 and charges. 2. A copy of the grievance and second level response. 3. A copy of the employee review hearing. 4. A copy of all doctor�s statements and any other
pertinent medical documentation. 5. If request for light duty is involved, can we grant
light duty or other reasonable accommodations. If not, why not? 6. Has the employee requested involvement in the
Alternative Employment Program? If so, what was the outcome? 7. Has the employee petitioned for reasonable
accommodation under the Americans with Disabilities Act (ADA)?
If so, why was it denied? 8. Are there issues of credibility involved? If so,
between which employees or medical practitioners? 9. Identification of any unusual circumstances
involved or mitigating factors. F. SEXUAL HARASSMENT 1. A copy of CMS-2 and charges. 2. A copy of grievance and second level response. 3. A copy of the employee review hearing. 4. Copies of all incident reports (DC-434) or any
other written statements. 5. A copy of complete internal investigation report. 6. Copies of A.D.�s and procedural rules allegedly
violated. 7. Are there issues of credibility involved? If so,
between which employees? 8. Identification of the facility�s past practice
with reference to discipline for similar infractions. 9. If allegations of disparate treatment, names and
dates of employees involved, copy of discipline imposed (CMS-2,
employee review hearing, and charges only), and whether
such cases are distinguishable. 10. Identification of any unusual circumstances
involved or alleged mitigating factors. 11. A copy of grievant�s prior disciplinary record. G. DRUG RELATED INFRACTIONS 1. A copy of CMS-2 and charges. 2. A copy of grievance and second level response. 3. A copy of employee review hearing. 4. A copy of grievant�s prior disciplinary record. 5. Copies of A.D.�s, supplemental agreement, and
procedural rules allegedly violated. 6. Copies of all incident reports (DC-434) or other
written statements. 7. A copy of complete internal investigation report. 8. Copies of all medical evidences substantiating
the drug related charge. 9. Identification of the facility�s past practice
with reference to discipline for similar infractions. 10. Are there issues of credibility involved? If so,
between which employees? 11. If allegations of disparate treatment, names and
dates of employees involved, copy of discipline imposed (CMS-2,
charges, and employee review hearing), and whether
such cases are distinguishable. If discipline is the result of
grievance resolution, a copy of the resolution (specifically, was
settlement without precedent or prejudice). 12. Indication of any unusual circumstances involved
or alleged mitigating factors. 13. Copies of any newspaper articles regarding the
arrest/conviction. H. NON-ALERT (SLEEPING OR SIMILAR INFRACTIONS) 1. A copy of CMS-2 and charges. 2. A copy of grievance and second level response. 3. A copy of the employee review hearing. 4. A copy of grievant�s prior disciplinary record. 5. Copies of incident reports (DC-434) or other
written statements. 6. A copy of complete internal investigation report. 7. Identification of facility�s past practice with
reference to discipline for similar infractions. 8. Are there issues of credibility involved? If so,
between which employees? 9. Copies of A.D.�s and procedural rules allegedly
violated. 10. If allegations of disparate treatment, names
and dates of employees involved, copy of discipline imposed
(CMS-2, charges, and employee review hearing, and whether
such cases are distinguishable). If discipline was the result of
a grievance resolution, provide a copy of resolution
(specifically, was settlement without precedent or prejudice). 11. Indication of any unusual circumstances involved
or alleged mitigating factors. I. INSUBORDINATION, NEGLIGENCE OR OTHER MISCONDUCT NOT COVERED SEPARATELY 1. A copy of CMS-2 and charges. 2. A copy of grievance and second level response. 3. A copy of the employee review hearing. 4. A copy of grievant�s prior disciplinary hearing. 5. Copies of incident reports (DC-434) or other written statements. 6. A copy of complete internal investigation report. 7. Identification of facility�s past practice with reference to discipline for similar infractions. 8. Are there issues of credibility involved? If so, between which employees? 9. Copies of A.D.�s and procedural rules allegedly violated. 10. If allegations of disparate treatment, names and dates of employees involved, copy of discipline imposed (CMS-2, charges, and employee review hearing, and whether such cases are distinguishable). If discipline was the result of a grievance resolution, provide a copy of resolution (specifically, was the settlement without precedent or prejudice). 11. Indication of any unusual circumstances involved or alleged mitigating factors. II. PROMOTIONS 1. A copy of the grievance and the second level response. 2. A copy of the posting for the job. 3. A copy of the bid record. 4. A copy of any instrument used to assess applicants. 5. A copy of each interviewer�s scores for each item. Identification of the employee selected and the effective date of promotion. 6. A copy of the job application. 7. A copy of the last two performance evaluations for the person selected and the grievant. III. PERFORMANCE EVALUATIONS The general level of evidence for a performance evaluation is one of �reasonable basis.� While this is less of a burden than the �just cause� standard required for discipline, management must nonetheless lave some reasonable basis for their evaluation. However, the level of evidence necessary for management to justify a performance rating may vary in proportion to the degree of loss an employee can claim. For example, an employee who had three �Exceeds Expectations� in the previous year but only two this year has lost very little so management�s burden is very low. Any rating of �Needs Improvement,� however, needs to have some documentation. The withholding of an annual step increase requires an even greater burden of proof from management. Certainly, quarterly reviews will have to have been completed showing deficiencies which are substantial and cover more than one area or reflect a single incident. Documentation for grievances must include: 1. A copy of the CMS-201 being grieved. 2. A copy of the CMS-201 from the previous year, where applicable. 3. If discipline or counseling is cited in the CMS-201, a copy should be included. 4. Any other documentation which may support the rating, e.g., an employee time sheet where a �Needs Improvement� is given for �Use of Time.� IV. TEMPORARY ASSIGNMENT PAY 1. A copy of the grievance and the second level response. 2. A copy of the class specifications and job descriptions for both the position for which temporary assignment pay is requested and the grievant�s own title. 3. A narrative prepared by the grievant�s supervisor as to what duties were performed during the time period in question. Make sure dates for alleged temporary assignment pay are identified. 4. A narrative indicating the facility�s past practice of paying or not paying temporary assignment pay under similar circumstances. 5. Copies of DC-304A submitted by the employee. V. PROOF STATUS 1. A copy of grievance and second level response. 2. A copy of the grievant�s time sheet for both the current and the previous year. 3. Copy of the DC-710-1265 indicating the date proof status was imposed or extended. 4. Written rationale as to why grievant was placed on proof status. 5. A copy of attendance related discipline. 6. Latest performance evaluation. 7. Any relevant medical documentation. VI. OVERTIME A. Equalization Procedures 1. A copy of the grievance and the second level response. 2. Shift equalization chart if the employer did not have reasonable advance notice that overtime was required. 3. Master chart if reasonable advance notice was available. 4. If a dispute exists as to whether or not reasonable advance notice existed, a statement of management�s position along with any supporting documentation. B. Refusing Mandatory Overtime 1. A copy of the grievance and the second level response. 2. A copy of the employee review hearing and related documents. 3. A copy of the overtime equalization chart for the day and shift in question. 4. A copy of the roster for the day and time in question. VII. UNILATERAL CHANGE IN BARGAINABLE SUBJECT 1. A copy of the grievance and the second level response. 2. Send documents to verify that the subject was negotiated in good faith with union. Show number of times and dates the parties met and indicate outcome of each meeting. 3. Verify that issue was sent to CMS for negotiations with AFSCME and indicate date and reasons impasse was reached. 4. If change was implemented, when such change was made. 5. Identify nature of the emergency which caused the change in policy or procedure. Identify possible results of not implementing the change and benefits of change. VIII. ILLNESS OR INJURY LOA 1. A copy of the grievance and second level response. 2. A copy of any medical documents used by the employee including some indication as to why it was not acceptable. 3. A copy of any medical documentation from an impartial physician (second opinion) relied upon by management. 4. A copy of any medical documentation used by the parties to resolve a dispute (third opinion). 5. A copy of any incident reports written, particularly when a worker�s compensation claim has also been made. 6. If not addressed in the second level grievance response, a simple statement as to why the LOA was not granted or, in the opposite, why the employee was directed to return to work.
