(. ' 6. Metro. HUMAN RESOURCES Grievance (HR 48) 3 t

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1 politan TransportatMn Authority POLICY STATEMENT The Los Angeles County politan Transportation Authority (LACMTA) seeks to facilitate the resolution of employee grievances, complaints, disputes and discipline issues arising from employment with the LACMTA. Employees are encouraged to utilize the chain of command process through informal discussions with their management personnel, without the assistance of a third party, agency or court, prior to ffling a formal grievance. The grievance procedure is designed to address and resolve complaints and disputes involving interpretation or application of LACMTA policies, procedures, rules and regulations, harassment, and formal discipline which indudes written reprimands, suspensions, demotions, transfers, and discharge. This policy should not be construed as preventing, limiting, or delaying the LACMTA from assessing appropriate disciplinary action of any employee, up to and including discharge, where the LACMTA, in its sole discretion, deems such action appropriate. No employee shall be retaliated against for using or participating in the grievance process. PURPOSE The purpose of this policy is to establish LACMTA procedures for a consistent, fair and objective dispute resolution process. APPLICATION This policy applies to all regular, full-time and part-time non-represented employees who have completed their initial probationary period. Initial probationary, temporary, and at-wifi employees are not covered by this policy. Represented employees are directed to utilize their respective collective bargaining agreements for the applicable grievance procedure. (. ' 6. Department Head APPROVED: County Couns or N/A ADOPTED: CEO EffectiveDate: 3 t Date of Last Review:

2 politan Transportation Authority 1.0 PROCEDURES When an employee is unable to resolve a dispute through the chain of command, he/she may file a formal grievance in an attempt to resolve the dispute. All materials relating to the grievance process, including subsequent responses, will be retained in a departmental grievance file separate from the employee's personnel file maintained in the Human Resources Department. A discharged employee who wishes to appeal his/her discharge may begin at Step Three of the process (Section below). 1.1 Informal Process Employees are encouraged to discuss and attempt to resolve a dispute internally, in a timely manner, with their immediate manager or supervisor or at the lowest level possible. During the informal meeting(s), both parties (i.e. manager/supervisor and employee) shall review and discuss the issue(s) and make a good faith effort to resolve the matter. There may be instances when employees cannot discuss issues with their immediate manager or supervisor. In those instances, employees are encouraged to request a meeting with their Department Head. If the dispute cannot be resolved through informal discussion, the employee may pursue the formal grievance process. 1.2 Formal Process Employees who file a formal grievance may represent themselves or choose to have another LACMTA employee assist in preparing or presenting a grievance at the initial level of review and any subsequent level. Supervisory or Confidential employees shall not represent an employee. Extension of time limits at each step in the formal grievance process may only be granted upon authorization by the Chief Labor Relations Officer or designee Step One Employees must file an LACMTA Form (Attachment 1) within ten (10) working days from the date of the grieved incident or from the date of the informal discussion with the manager/supervisor or department head, Page 2

3 politan Transportation Authority whichever is later. Copies of the Form are given to the employee's immediate manager or supervisor and the Office of Employee & Labor Relations with the following information: a) the specific act(s) to be reviewed; b) how the employee was adversely affected; c) any individual with knowledge of the alleged adverse action; d) the remedy requested; and e) date(s) of attempts at informal resolution and the name of the persons contacted. Upon receiving the Form, the immediate manager or supervisor prepares a memo to the employee documenting his/her decision within twenty (20) working days from receipt of the grievance Step Two If the grievance is not resolved at Step One, an employee may appeal to the appropriate Department Head in writing (Attachment 2) within ten (10) working days of the date of the manager/supervisor's Step One response. If the Department Head is also the immediate manager/supervisor, the grievance shall be presented to the next higher level of authority in the chain of command. The Department Head shall respond to the employee's appeal in writing within twenty (20) working days after the date the formal grievance is provided to the Department Head and the Office of Employee & Labor Relations for processing Step Three A grievance that is not resolved at Step Two may be appealed in writing (Attachment 3) to the Office of Employee & Labor Relations. The Step Three appeal must be received by the Manager of the Office of Employee & Labor Relations within (10) working days of the date on which the written response to Step Two was issued. The Manager of the Office of Employee & Labor Relations or designee shall provide a written decision to the grievant within twenty (20) working days following receipt of the Step Three appeal. Page 3

4 politan Transportation Autflority Only issues that were accepted for review in the initial formal grievance may be introduced. The decision of the Manager of the Office of Employee & Labor Relations or designee will be final with no other levels of appeal. s not involving discharge will not be arbitrated Step Four A grievance involving discharge that is not satisfactorily resolved at Step Three may be appealed to arbitration. The appeal must be submitted in writing within ten (10) working days of the date of the Step Three decision to the Office of Employee and Labor Relations. 1.3 Arbitration The arbitrator shall convene a hearing in which each party shall have the opportunity to present evidence and cross-examine witnesses. Evidence may be verbal or written. The arbitrator shall have broad discretion regarding the admissibffity and weight of evidence and shall be guided by generally accepted standards regarding admissibility and weight of evidence. Offers of settlement of the grievance or statements made in the course of settlement discussions shall not be admissible as evidence. Each party shall, upon request, provide the other with copies of material to be introduced at the hearing and names of witnesses who will testifr on the party's behalf To the extent possible, such materials and names of witnesses shall be exchanged at least ten (10) calendar days prior to the hearing. The hearing shall be dosed unless both parties agree in writing to an open hearing. In the absence of such an agreement, the hearing shall be dosed to all persons other than the principal parties to the grievance, i.e. the manager, supervisor or Department Head, the grievant and one LACMTA representative and one Union representative. In addition, a representative of the Office of Employee & Labor Relations may be present to facilitate the process. Guidelines for a formal hearing are: Selection of Arbitrator The arbitrator shall be selected from a panel of external arbitrators (minimum of four). The terminated employee and LACMTA must mutually agree Page 4

5 politan Transportation Authority upon the selected arbitrator. The neutral arbitrator selected under this section shall serve as the Chairperson of the arbitration proceeding Arbitrator's Decision The arbitrator shall provide the parties with a written decision within thirty (30) calendar days of the dose of the hearing. The arbitrator shall not add to, delete from, or otherwise modif' the provisions of LACMTA Human Resources Policies or legislative/regulatory mandates. The hearing representative has the authority to issue subpoenas. The decision of the arbitrator shall be advisory only. The CEO reserves the right to adopt or reject the arbitrator's recommendation Cost of arbitration The arbitrator's fee and all fees incurred in obtaining a list of arbitrators shall be paid by LACMTA. Expenses for stenographic services shall be paid by the party requesting such services unless both parties agree otherwise iii advance. Copies of stenographic reports may be provided to a party only upon payment of one-half of the total cost of stenographic services. Cost of a court reporter will be paid by LACMTA. If the employee requests a copy of the transcript, he/she will pay the cost of the copy. 1.4 Pay status Upon advance request, the grievant (employee) who filed the formal grievance and the employee's representative, if any, shall be granted leave without loss of straight time pay to attend hearings and meetings convened by the LACMTA to consider grievances. Such leave with pay shall be considered time worked. Time spent by LACMTA employee-witnesses in meetings and hearings convened by the LACMTA within or outside the witnesses' regularly scheduled hours shall be leave with pay and considered as time worked. PageS

6 Lo Angeles County politan Transportation Authority 1.5 Remedy If the grievance is sustained in whole or in part, the remedy shall not exceed restoring to the employee the pay, benefits or rights lost as a result of the violation of the policy(s), less compensation from outside employment or awards arising from this grievance. Workers' Compensation payments for permanent disability are not considered as compensation when determining the amount of the grievance remedy. No interest shall be earned or paid on any amount restored to the employee. Compensation shall not be granted for any period of time resulting from an extension of time requested by or on behalf of the employee. 2.0 DEFINITION OF TERMS Confidential Employees are those persons responsible for negotiating, processing, handling and reviewing the grievance process or who assist and act in a confidential capacity to those who formulate, determine, and effectuate labor management relations policies. For the purposes of this policy, Confidential Employees include employees from the Office of Employee & Labor Relations and the Equal Employee Opportunity department. 3.0 RESPONSIBILITIES Arbitrator receives testimony from employee, representatives, witness(es), and management and provides a written decision within specified time frames. Department Heads receive, review and decide grievance at Step Two of the formal grievance process and respond within specifle4 time frames. Employee (Grievant) seeks the resolution of his/her complaint or dispute with his/her immediate manager or supervisor, or the lowest level possible, first; then files a formal grievance (if necessary) within specified time frames. Chief Labor Relations Officer shall approve all requests for time extensions. Manager of the Office of Employee & Labor Relations receives, reviews, and decides grievances at Step Three of the formal grievance process, and coordinates all arbitration arrangements. Page 6

7 politan Transportation Authority Office of Employee & Labor Relations assists and advises employees (upon request) regarding grievance procedures. Page 7

8 politan Transportation Authority 4.0 FLOWCHART Discuss Complaint/Dispute w/lmmediate Mgr/Supv or Dept Head Employee Respond to Employee Appeal Office of Employee & Labor Relations- Mgr STEP ONE File MTA Form to Initiate Formal Process Employee I I cen0 Involve Discharge? Prepare a Written Response to the Employee's Immediate Supervisor/Manager YES STEP TWO Appeal to Depaent Head Employee Appeal to Arbitration Employee I Remedy Employee LACMTA Respond to Employee Appeal Arbiator's Opon I Department Head END ] STEP THREE 4 Appeal to Office of Employee & Labor Relations Employee { END Page 8

9 politan Transportation Authority Discipline (HR 47) 6.0 ATrACHMENT(S) 1. MTA Appeal Form Step I 2. MTA Appeal Form Step II 3. MTA Appeal Form Step III 7.0 PROCEDURE HISTORY 02/03/95 Former LACTC and former SCRTD interim procedures Board-adopted 09/27/95 LACMTA policy adopted 11/01/95 New LACMTA policy implemented 11/01/95 Revised policy adopted 03/10/00 Revised MTA policy 6/13/11 Policy reviewed and updated into new template and record series renumbered from HR 3-11 to HR 48. Page 9

10 One Gateway Plaza Tel politan Transportation Authority Los Angeles, CA metro.net Aftachment 1 MTA Appeal Form Step I Name of Grievant: Badge: Job Title: Dept/Div.: Hire Date: Summary of Complaint: (state what occurred, when, and parties involved.) Remedy/Resolution Requested: Grievant Signature Date Date of informal meeting with Supervisor: Step I - Formal Appeal to Supervisor Date Completed Form was received by Supervisor: Supervisor Response: Supervisor Signature Date MIA Appeal Form Step 1 HR Page 1 of I

11 Los Angeles County One Gateway Plaza politan Transportation Authority Los Angeles, CA ) Tel metro.net Attachment 2 MTA Appeal Form - Step II Name of Grievant: Job Title: Dept./Div.: Hire Date: Summary of Complaint: (state what occurred, when, and parties involved.) Remedy/Resolution Requested: Grievant Signature Date Date of informal meeting with Supervisor: Step II - Formal Anneal to Denartment Head: Date Received by Department Head Department Head Response: Signature Department Head Date MTA Appeal Form Step II HR Page 1 of 1

12 Los Angeles County politan Transportation Authority One Gateway Plaza Los Angeles, CA Tel metro.net Attachment 3 MTA Appeal Form Step Ill Name of Grievant: Badge:_ Job Title: Dept./Div.: H ire Summary of Complaint: (state what occurred, when, and parties involved.) Remedy/Resolution Requested: Grievant Signature Date Date of informal meeting with Supervisor: Step Ill - Formal Appeal to the Office of Employee & Labor Relations Grievant Address: Acknowledgement of Receipt by Office of Employee & Labor Relations Date The response by the Office of Employee & Labor Relations will be mailed to the grievant within 20 working days of the date the grievance was received by the Manager of the Office of Employee & Labor Relations. MTA Appeal Form Step Ill HR Page 1 of 1