Grievance Process for Postdocs

Description

The University of Pennsylvania strives to promote an optimal training and educational experience for its postdoctoral trainee community through a professional and respectful environment. Open and routine communication between faculty mentors, supervisors, and postdoctoral trainees is encouraged throughout the postdoctoral appointment to clarify expectations, provide ongoing and timely constructive feedback, and identify, address, or resolve concerns as they arise.

It is expected that communication between faculty mentors, supervisors, and postdoctoral trainees occurs openly and regularly.

This grievance process provides a mechanism for resolving postdoctoral trainee grievances, including matters that may have resulted in a perceived or actual negative impact on the trainee’s training or educational experience. A matter is grievable only if it is not currently addressable through another University policy, office, or divisional procedure. For example, complaints of sexual misconduct must be addressed through the University’s Sexual Misconduct Policy.

At any point, if the postdoctoral trainee believes the matter has been resolved, they may discontinue the grievance process.

Postdoctoral trainees who are unsure where to begin may contact the Office of Postdoctoral Affairs (OPA) for general guidance. Depending on the nature of the concern, OPA may refer the matter to another University office or process.

Steps to Address a Grievance

Informal Resolution

Efforts should be taken to address a matter informally when possible and appropriate.

If possible, a discussion should occur between the parties directly involved in the dispute. The postdoctoral trainee may consult with individuals they feel comfortable discussing the matter with, such as trusted faculty members, advisors, departmental contacts, or programmatic resources.

Consultation with the Program Director, Division Chief, or Department Chair to discuss the matter is also encouraged.

Additional resources that may assist in resolving matters or providing confidential counseling include:

• Ombuds Office
• Office of Equal Opportunity Programs
• African American Resource Center
• Lesbian Gay Bisexual Transgender Center
• Office of the Chaplain and SPARC, the Spiritual and Religious Life Center
• Penn Women’s Center, Penn Women’s Center

Written Grievance

If informal steps have not resulted in resolution, a written grievance may be submitted to the Dean of Research or the Dean of the applicable school.

The grievance should include:

• a description of the matter;
• specific facts supporting the grievance;
• any available supporting documentation;
• the names of any parties involved;
• any known witnesses;
• the desired outcome.
• shall report its findings and conclusions to the Dean or designee.

The grievance should be submitted in a timely manner and no later than 90 days after the event giving rise to the grievance.

Dean or Designee Review

The Dean or the Dean’s designee will notify all involved parties of the grievance and review the matter.

The Dean or designee may:

• obtain information needed to evaluate and make a determination regarding the grievance;
• meet with the involved parties;
• refer any or all functions under this step to a committee of one or more persons convened for the purpose.

If a committee is convened, the committee will report its findings and conclusions to the Dean or designee.

The Dean or designee will provide the involved parties with a written response regarding the matter. This response will be provided in a timely manner, generally within 60 days, unless circumstances require a longer review period. The response will include a determination and a summary of the basis for that determination.

Appeal to the Office of the Vice Provost for Research

If the postdoctoral trainee believes the decision of the Dean is inappropriate, the postdoctoral trainee may submit a written appeal to the Office of the Vice Provost for Research (VPR) specifying the basis for disagreement with the decision.

Appeals are limited to complaints regarding policy or procedure.

The written appeal must be submitted no later than 30 days after receipt of the Dean’s determination.

General dissatisfaction with the decision is not sufficient grounds for an appeal. New issues may not be raised for the first time on appeal.

The VPR or a designee will review the Dean’s determination. Any or all functions to be performed by the VPR or designee may be referred to a committee of one or more persons convened for the purpose. If a committee is convened, the committee will report its findings and conclusions to the VPR or designee.

The VPR or designee will notify the parties to the grievance in writing of the decision and the grounds for the decision, generally within 45 days after receipt of the appeal, unless circumstances require a longer review period.

The decision of the VPR is final within the institution.

If a grievance is resolved without recourse to the VPR, the VPR should be notified of the grievance and resolution.

Additional Considerations

• University policy prohibits retaliation against any member of the community who participates in good faith in a University compliance, investigative, or review process. For more information, see Policy Against Retaliation (upenn.edu).
• At any point in the grievance process, formal proceedings can be put aside in favor of voluntary mediation agreed to by all parties directly involved in the matter. The University Ombuds Office may be of assistance in pursuing mediation.
• The time frames set forth in this process may be extended by the relevant administrative officer in their discretion for good cause.
• The Office of the Vice Provost for Research may periodically review past grievances to address recurring issues or consider modifications to this policy.

Questions concerning the grievance process should be directed to the Office of the Vice Provost for Research.