University of Pennsylvania
STAFF
GRIEVANCE PROCEDURE
MANUAL
INTRODUCTION
Regular and effective communication between supervisors and staff
members reduces the likelihood of misunderstanding and conflict in the
workplace. The University expects and encourages supervisors and staff
members to communicate openly and regularly so that the interests of both
the staff and the University are best served. In addition, the University
has Resource Offices such as the Division of Human Resources/Staff &
Labor Relations, Ombudsman, Affirmative Action & Equal Opportunity
Programs, African American Resource Center, Lesbian Gay Bisexual and
Transgender Center, and Penn Women’s Center which will assist staff
members in resolving issues or concerns. Staff members who have concerns
about the administration of University or departmental policy are
encouraged to try to resolve them by working with their supervisor,
department head or one of the Resource Offices.
The Staff Grievance Procedure is designed to provide for the fair and
equitable resolution of concerns related to terms or conditions of
employment that are not resolved to the staff member’s satisfaction
within the School or administrative unit. Retaliation against a staff
member for utilizing this Grievance Procedure violates University policy
and will result in appropriate disciplinary action, which may include
termination of employment. Any staff member who believes that s/he has
been retaliated against or treated unfairly for utilizing the grievance
procedure should contact the Division of Human Resources/Staff & Labor
Relations or another University Resource Office.
DEFINITION
A grievance is defined as an unresolved issue concerning the
application of University policy, practice, or procedure. This includes
disciplinary action, involuntary termination, allegations of
discrimination on the basis of race, sex, sexual orientation, gender
identity, religion, color, national or ethnic origin, age, disability, or
veteran status. Complaints regarding
performance appraisals, flexible work options decisions, reductions in the
size of the workforce, restructuring, change in reporting line and/or the
designation of individuals for redeployment or separation from a unit are
not matters subject to a grievance under this policy. Complaints regarding
compensation and classification are only grievable if a violation of
Federal, State or local equal opportunity or labor laws is alleged. Other
complaints of this nature are handled administratively. Questions
regarding the administrative review process should be directed to the
Division of Human Resources/Compensation.
NOTE: For the purpose of this procedure "staff
member" and "grievant" are used interchangeably.
ELIGIBILITY
This procedure may be used by regular, full-time and part-time, exempt
(monthly paid), non-exempt (weekly paid), and regular limited service
staff members, who have successfully completed their Introductory Period.
It is not applicable to faculty members, ungraded senior administrators,
university officers, health system clinicians, HUP staff, students, or
staff members covered by collective bargaining agreements (unions) who are
covered under different processes. Residents, occasional or temporary
workers are not eligible to file a grievance under this policy.
STATEMENT OF RIGHTS
1. All eligible University staff members have the right and are
encouraged to use the Staff Grievance Procedure to address unresolved work
related issues.
2. All grievances are treated confidentially by University Resource
Offices. In the event that it is necessary to consult with other
individuals in order to obtain information pertinent to the grievance, the
grievant and respondent will be notified.
3. The grievant, respondent and panelists will have access to all
information pertinent to the grievance. In cases where the information
contains confidential material and/or data that is not relevant to the
grievance, Staff & Labor Relations will provide the parties involved
with a written statement of the relevant information in order to maintain
confidentiality. In the event a grievant has concerns as to whether all
relevant material has been provided; the grievant may request in writing
that one of the University’s designated Resource Offices review the
materials to ensure that all relevant materials have been made available
to the panel.
4. Both the grievant and respondent have a right to be assisted by
another University employee or retiree during all phases of the grievance
procedure (See section on Employee Representative).
5. All participants are permitted a reasonable amount of release
time for grievance processes. The supervisor should be notified of the
need for release time and efforts made to arrange mutually convenient
times. A department may deny release time for a compelling reason, such
as, the employee’s absence constitutes an undue hardship. Concerns
regarding this issue should be directed to Staff & Labor Relations.
6. A representative from
Staff & Labor Relations will be
available to assist grievants and/or respondents during all steps of the
grievance procedure (See section on Administration for more details).
7. No staff member will be reprimanded, harassed, retaliated
against, discriminated against or adversely treated for utilizing or
participating in the Staff Grievance Procedure. The University considers
any such action(s) a serious offense and a violation of University policy.
Violators may be subject to disciplinary action, which may include
termination. Any staff member subjected to unfair treatment as a result of
utilizing the grievance procedure should contact Staff & Labor
Relations or another appropriate University Resource Office.
EMPLOYEE REPRESENTATIVE
In addition to the assistance provided by Staff & Labor Relations,
both the grievant and respondent may be assisted throughout this process
by an employee representative. These Representatives must be regular or
retired faculty or staff members. The head of the responding department
must approve all employee representatives for respondents. Neither of the
parties is required to have an employee representative. The University
encourages staff members to utilize all resources available to them in
order to facilitate a speedy resolution of problems and concerns.
NOTE: Each party to the grievance may select only one person
to serve as their Employee Representative.
A. ROLE OF EMPLOYEE REPRESENTATIVE
The role of the employee representative is to provide assistance
and support throughout the grievance process. This includes:
1. Assisting in gathering information and preparing for meetings
and discussions;
2. Attending scheduled meetings;
3. Presenting the position of the party s/he represents in the
dispute, if requested.
B. SELECTION OF EMPLOYEE REPRESENTATIVE
The grievant or respondent may select any regular or retired staff
or faculty member as their representative. Employee representatives
should be selected within five (5) working days of the initial meeting
with a Staff and Labor Relations representative. Staff and Labor
Relations should be notified of the name of the employee
representative.
ADMINISTRATION
Human Resources/Staff & Labor Relations has primary responsibility
for administering and coordinating the Staff Grievance Procedure. Also,
Staff & Labor Relations is the primary source of assistance for staff
members and supervisors who have questions or concerns pertaining to the
grievance process. The Office of Affirmative Action & Equal
Opportunity Programs assists in the administration of the Staff Grievance
Procedure when unlawful discrimination is alleged. Staff & Labor
Relations will ensure that the grievance process is fair and equitable. A
representative from Staff & Labor Relations or the Office of
Affirmative Action & Equal Opportunity Programs when applicable, will:
1. Discuss concerns with the staff member and/or supervisor;
2. Assist the staff member and/or supervisor in clarifying, facts,
issues and concerns;
3. Inform staff member and/or supervisor of University policy and
procedures relevant to the situation;
4. Inform the staff member and/or supervisor of their rights,
responsibilities, and relevant time frames;
5. Serve as facilitators in discussions between the staff member and
supervisor or other departmental/division representative;
6. Make suggestions for possible resolutions to the situation;
7. Investigate or coordinate the investigation of all issues relating to
the grievance;
8. Monitor implementation of agreed resolutions and/or president’s
decision;
9. Provide staff members with a list Panelists.
NOTE: Once notified of a problem, which indicates a violation of
law or University policy, Staff & Labor Relations must initiate an
investigation unless a Waiver of Investigation form has been signed. If
during the course of the investigation it is determined that a
University policy has been violated or not applied properly, Staff &
Labor Relations, after advising the staff member and supervisor, will
assist the parties in reaching an appropriate resolution.
TIME FRAMES
All time frames indicated in the procedure are computed in working
days. All parties involved in the grievance must adhere to the time frames
specified in the procedure unless the Division of Human Resources has
granted a waiver of that time frame. Requests for extensions should be in
writing and submitted to Staff & Labor Relations prior to the
expiration of the time frame for which the extension is sought. Exceptions
to this rule will be handled on a case by case basis.
TIME FRAME EXTENSIONS
Requests for extensions should be submitted, in writing, to the
chairperson of the panel, prior to the scheduled date of the hearing. If a
chairperson has not been identified, extension requests should be
submitted to the Manager of Staff & Labor Relations. The Panel Hearing
will normally be held within thirty (30) working days of the initiation
the request for a panel hearing. If either the grievant or respondent is
not available for the hearing within the thirty (30) day period, an
extension must be requested from the Vice-President of Human Resources. If
a panelist requires an extension beyond that period, the grievant and
respondent will be notified and an alternate panelist will be selected.
STAFF GRIEVANCE PROCEDURE
If the problem or situation is not resolved to the grievant's
satisfaction in using the Workplace Issue Resolution Program (WIRP) or the
issue is one that is not appropriate for the WIRP, the grievant may submit
a written request for a hearing (before a three member panel) to the
Manager of Staff & Labor Relations.
Staff members must initiate action within the following time frames in
order to reserve the right to request a panel hearing under the Staff
Grievance Procedure:
- If not utilizing the WIRP first: The grievant must submit a completed
grievance form within thirty (30) working days of the date of the event
giving rise to the grievance.
- If utilizing the WIRP first: The staff member must initiate action
under the WIRP within thirty (30) working days of the date of the event
giving rise to the grievance. If no resolution is reached through the WIRP,
the staff member then has ten (10) working days from the final attempt to
resolve the issue through the WIRP to submit a completed grievance form.
- If terminated from employment: The grievant has ten (10) working days
from notice of termination of employment to submit a grievance form.
The completed grievance form must be submitted to the Division of Human
Resources/Staff and Labor Relations at 3401 Walnut Street, Suite 527A,
Philadelphia, PA 19104-6228.
Every effort will be made to hold the
hearing within thirty (30) working days of receipt of the
request.
The hearing is a non-adversarial process that will review the facts and
provide an opportunity for the grievant to present his/her position fully
and thoroughly. The grievant and respondent will each have an opportunity
to present evidence and invite witnesses to appear at the hearing. A
representative from Staff & Labor Relations will be present during the
hearing and will advise the panel on human resource policies and
procedures. If the grievance involves an allegation of unlawful
discrimination, a representative from the Office of Affirmative Action
& Equal Opportunity Programs will advise the panel on affirmative
action/equal opportunity policies and procedures as well as any
investigation findings.
The panel’s findings and recommendation(s) will be transmitted, to
the President or her designee in writing within five (5) working days of
the completion of the hearing. The panel’s recommendations will be
submitted unchanged on a form that records all pertinent information and
findings. All panelists review and sign the form indicating their
agreement or disagreement with the decision. Dissenting opinions from
panelists are also transmitted. The President of the University or her
designee will then have ten (10) working days to accept or modify the
Panel’s recommendation(s). The President or her designee will notify the
grievant and respondent of the final decision in writing within that time
frame. This decision will be final and binding on all parties.
PANEL SELECTION
All panelists will be selected from a list of volunteers, regular or
retired University staff members (who have successfully completed their
Introductory Period) or faculty who have completed a training session. The
pool of panelists should be diverse (race, gender, sexual orientation,
disability, veteran status, ethnicity, etc.)
Persons who are affiliated with the department or school in question
will be deleted from the list of eligible panelists prior to the selection
process. From the remaining list of eligible panelists, the grievant and
respondent will each select six (6) names in priority order to serve as
panelists. The first two (2) of the six (6) who are available from each
list will compose the panel. Human Resources will contact the four (4)
persons, informing them that they have been selected, and schedule a
meeting. At that meeting, the four (4) panelists will select the
chairperson of the hearing and an alternate from among themselves. Before
the scheduled hearing, a representative from Staff & Labor Relations
(and a staff member from the Office of Affirmative Action & Equal
Opportunity Programs, if applicable) will meet with the panelists to
review the guidelines and procedures for conducting the hearing.
PANEL HEARING GUIDELINES
1. A set of rules and regulations for the management of the panel
hearing shall be disseminated to all parties and panelists prior to the
hearing.
2. The panel hearings will be held at a neutral location, designated by
the Division of Human Resources.
3. All information pertaining to the grievance must be kept
confidential by University Resource Offices in accordance with University
policy. Panelists are also expected to keep all information confidential.
4. The hearing will not be open to the public. Only those persons
directly involved with the grievance or that can provide relevant
information for reviewing the grievance will be permitted at the hearing.
This includes the grievant, employee representative(s), respondent(s),
witness (es), representative(s) from Staff & Labor Relations, and
representative(s) from the Office of Affirmative Action & Equal
Opportunity Programs (if the grievance involves allegations of unlawful
discrimination). The hearing may not be audio or video recorded.
5. The grievant and respondent will have access to read the panel recommendations
and/or findings submitted to the President.
6. Copies of all records and documentation relevant to the
grievance will be made available to the panelists for review at least five
(5) working days before the scheduled hearing. Copies will also be made
available to each party.
7. It is the responsibility of the chairperson to schedule
the hearing at a time that is convenient for all parties involved, and to
review any requests for time extensions.
8. The hearing will be conducted in a manner that will
provide all parties ample opportunity to present all relevant data, facts,
evidence and witnesses.
a. Both parties may make opening presentations that should
outline the facts of the grievance and any proposed resolutions.
b. The grievant will present his or her case first, including
the presentation of witnesses and any supporting evidence.
c. Witnesses presented by either party can be questioned only
by the person calling the witness and the members of the panel. However,
the respondent or grievant will be permitted to alert the chairperson to
relevant issues and may request that the panel explore an issue more
fully. All witnesses will be excluded from the hearing until needed for
questioning. Once a witness has been questioned, he or she will be
excused from the hearing.
9. The hearing is not to be conducted with the same degree of formality
as a trial or legal proceeding; therefore the introduction of legalistic
procedures is not permitted. The hearing is not to be conducted as an
adversarial proceeding, but rather in a manner that will allow all parties
to present their positions completely and in a non-threatening
environment. Therefore, it the responsibility of the chairperson of the
hearing to determine and/or establish rules of appropriate conduct.
10. The panel must be guided by University policy and procedures in
reviewing the facts of the grievance, presenting its findings, and
recommending an appropriate resolution. The recommendation of the panel
may not add to, or subtract from, modify or contradict stated University
policy. The recommendation of the panel must adhere to all Federal, State,
and local laws.
11. The grievant (or his/her Employee Representative) and the
respondent (or his/her employee representative) will submit names of
witnesses that will appear at the hearing to the chairperson at least five
(5) working days prior to the scheduled hearing date. Witness lists are
not shared between the parties.
12. The only persons who are authorized to participate in the decision
making process are the panelists, the President or designee, Staff &
Labor Relations, the Office of General Counsel and the Office of
Affirmative Action & Equal Opportunity Programs (if the grievance
involves an allegation of discrimination).
13. Within five (5) working days, the panel will make a recommendation
and submit it to the President (or designee). Each panel member will sign
the written findings prior to its submission to the President.
14. Once the panel has made a recommendation and it has been reviewed
by the President, the President (or designee) will forward copies of the
final decision and resolution in writing to all parties involved within
ten (10) working days following the receipt of the recommendation(s) from
the panel.
Any questions regarding this Grievance Procedure may be directed to
Staff and Labor Relations at (215) 898-6093 or
UNIVERSITY RESOURCE OFFICES
Division of Human Resources
Suite 527A 3401 Walnut St/6228
215-898-6093; 215-898-6019
http://www.hr.upenn.edu/
African American Resource Center
3537 Locust Walk/6225
215-898-0104
http://www.upenn.edu/aarc/
Lesbian Gay Bisexual Transgender Center at Penn
3907 Spruce Street/6031
215-898-5044
http://dolphin.upenn.edu/~center/
Office of the Ombudsman
113 Duhring Wing/6303
215-898-8261
Penn Women’s Center
3642 Locust Walk/6230
215-898-8611
http://www.upenn.edu/osl/pwc.html
Office of Affirmative Action & Equal Opportunity
Programs (OAA&EOP)
3600 Chestnut St., Sansom Place East, Suite 228/6106
215-898-6993
http://www.upenn.edu/affirm-action/