Inquiries and Complaints
Employee Inquiry and Complaint Procedures
Supervisors and employees should mutually strive to develop and maintain good
working relationships. The University encourages open and honest dialogue about
work standards and performance. If such discussion does not prevent or solve a
problem, additional actions may be taken, and more formal procedures are
available. The University prohibits retaliation against any employee for use
of, or participation in, such procedures.
If you have questions concerning policies and procedures affecting or likely to
affect your work, there are resources available for clarification. Therefore,
you are encouraged to seek answers to your work-related questions and concerns.
There are three methods available for addressing employee relations problems:
- General Inquiry
- Informal Complaint Procedure
- Formal Complaint Procedure
General Inquiry
If you believe that you have been inappropriately treated or you desire
clarification of University policies and procedures and are unable or prefer
not to talk to your departmental administrator about the questions, you are
encouraged to contact the Office of Human Resources, the Office of Affirmative
Action, or the Staff Association Council (SAC) for assistance.
Informal Complaint Procedure
If a problem remains unresolved after using the general inquiry process, you may
elect to initiate a request for redress through the informal complaint
procedure. You should attempt to first discuss the problem with your immediate
supervisor. The supervisor’s responsibility is to meet in a timely and
professional manner with you to discuss the applicable University policies.
Supervisors should consider reasonable solutions that would remedy the
situation consistent with University policy.
If you believe that you are not able to direct the particular work-related
concern to an immediate supervisor, you should discuss the matter with another
appropriate departmental administrator. You may also contact the Office of
Human Resources, the Office of Affirmative Action, or the Staff Association
Council (SAC) for additional assistance in resolving your complaint(s).
Formal Complaint Procedure
The term “formal complaint” refers to a written complaint concerning the
interpretation or application of a specific term or provision of University or
department policy, or concerning a disciplinary act alleging that the
application of such procedure or criteria was clearly erroneous, arbitrary, or
capricious. Formal complaints involving discretionary decisions will be
processed solely with respect to whether or not prescribed procedures were
followed and/or whether or not prescribed criteria, if any, were observed.
Formal procedures, when necessary, are available to staff members for the
efficient handling and equitable hearing of complaints. The following complaint
procedure covers only those regular University staff members in classified
positions who have successfully completed the initial provisional period of
employment. If a staff member is serving the initial provisional period or any
extension of it, the University’s formal complaint procedure may not be
invoked. The staff member is eligible, however, to use the informal complaint
procedure, unless and until the staff member is dismissed. The complaint
procedure outlined below is the only authorized procedure to be invoked for
resolving formal employee complaints.
Scope of the Formal Complaint Procedure
The formal complaint procedure is intended to resolve disputes concerning
application of policies and procedures governing personnel practices at the
University of Pittsburgh, including the University policy on docking of pay.
Certain matters, such as restrictions or limitations placed upon the University
by its insurance carriers or its retirement program providers or issues
regarding performance appraisal, job classification, or compensation of staff
members—other than improper docking claims—are not subject to the formal
complaint procedure. The complainant may not be accompanied by an attorney at
meetings in connection with a formal complaint prior to arbitration. However,
the complainant may be accompanied by any other individual of the complainant’s
choosing at any level of the formal complaint procedure. If you have questions
or concerns about the formal complaint procedure, you should contact the
Employee Relations Section of the Office of Human Resources, the Office of
Affirmative Action, or the Staff Association Council (SAC).
Processing a Formal Complaint
You may file a formal complaint only after a general inquiry and/or an informal
complaint fails to resolve the problem. The formal complaint procedure involves
three steps.
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Level I—Presentation of the formal complaint to the immediate supervisor
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Level II—Appeal to the dean, director, department chair, or other appropriate
second-level supervisor
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Level III—Formal Complaint Review Committee
The formal complaint must be in writing on the Formal Statement of Complaint
form and must be signed and dated by you. This form is available from the
Employee Relations Section of the Office of Human Resources. The Formal
Statement of Complaint must:
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explain the nature of the complaint and the specific circumstances at issue,
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identify the rights, procedures, or policies violated, and
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state the specific and complete remedy sought by you.
Once the complaint is written and submitted, no aspect of it can be expanded or
modified.
Level I—Immediate Supervisor
The complainant must submit the written formal complaint statement to the
complainant’s immediate supervisor, send one copy to the Employee Relations
Section of the Office of Human Resources, and keep a copy. This must be done
within 10 business days after the complainant became aware or should reasonably
have become aware of the circumstances causing the complaint.
The supervisor must schedule and hold a meeting with the complainant within 10
business days after receipt of the formal complaint. The supervisor must
respond to the complaint in writing within 10 business days after this Level I
meeting. The supervisor must send a copy of the Level I response to the
Employee Relations Section of the Office of Human Resources.
In cases where the complainant believes that the involvement of the immediate
supervisor would be inappropriate, the complainant may initiate the formal
complaint at Level II. In the event that the Level II supervisor is involved in
the complaint, the complainant may submit a written formal complaint at Level
III within 10 business days following the event that caused the complaint. The
complainant must specify why it is being submitted at Level II or Level III. A
copy of the written formal complaint must be sent to the immediate supervisor
and to the Employee Relations Section of the Office of Human Resources.
Level II—Dean, Director, Department Chair, or Other Appropriate Second-Level
Supervisor
If the complainant is not satisfied with the Level I response, it may be
appealed to Level II. The appeal to Level II must be filed within 10 business
days after the receipt of the immediate supervisor’s written Level I response.
To effectuate an appeal to Level II the complainant must submit:
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a copy of the formal complaint
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a copy of the written Level I response, and
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the written reason for disagreeing with the Level I response.
The complainant must submit these documents to the complainant’s dean, director,
department chair, or other appropriate second-level supervisor. In addition,
the complainant must submit a copy of the third item above to the Employee
Relations Section of the Office of Human Resources.
The dean, director, department chair, or other appropriate second-level
supervisor must schedule and meet with the complainant within 10 business days
after receipt of the appeal. A written response to the appeal must be made
within 10 business days following the Level II meeting. A copy of the Level II
response must be given to the complainant, and a copy must be sent to the
Employee Relations Section of the Office of Human Resources.
Level III—Formal Complaint Review Committee
If the complainant disagrees with the Level II response, the complainant may
appeal to the Formal Complaint Review Committee (the “Review Committee”) by
submitting to the Employee Relations Section of the Office of Human Resources
(“Employee Relations”) a copy of the Level II response and a written reason
explaining the disagreement with the Level II response. The complainant should
retain copies of all relevant documents. The appeal to Level III must be filed
within 10 business days from receipt of the Level II response.
The Review Committee shall be composed of: (1) an attorney from the University
Office of General Counsel; (2) a representative from Employee Relations who has
not been directly involved in advising the operating unit involved in the
situation at hand, who will preside at and is responsible for conducting the
Review Hearing; and (3) a representative from the Office of Affirmative Action.
Review Hearing
Within 20 business days of receipt of the appeal to Level III, the Review
Committee shall hold the review hearing for presentation of the formal
complaint by the complainant. The complainant may be accompanied by another
individual of the complainant’s choice (other than a member of a University
collective bargaining unit or the complainant’s immediate supervisor) to assist
the complainant. Attendance by University staff members at a review hearing
during normal working hours shall not result in any loss of time or pay.
Such other University faculty and staff members as are directly involved in the
subject matter of the formal complaint, including the complainant’s immediate
supervisor, shall also be invited to attend the review hearing. In addition,
the grievance chair or an officer of the Staff Association Council (SAC) will
be permitted to attend the review hearing so long as appropriate supervisory
approval has been granted.
If the complainant or supervisor(s) involved desire to present the testimony of
additional witnesses, they shall provide a witness list, stating the name and
purpose of the proposed testimony of each witness, to Employee Relations at
least five business days prior to the review hearing. The Review Committee
shall decide whether to call some or all of the witnesses from the list(s) so
provided.
Level III Response
The Review Committee will provide a written Level III response to the
complainant within 10 business days after the review hearing. If any one member
of the Review Committee does not agree with the proposed Level III response,
the member(s) may present their concerns to the appropriate senior
administrator of the University, or his/her designee, for review and possible
remand for reconsideration by the Review Committee. The appropriate senior
administrator or designee shall either affirm the proposed response or remand
the matter for reconsideration within 10 business days after receiving the
proposed Level III response. If the matter is remanded for reconsideration, the
Review Committee shall reconvene to reconsider the formal complaint, and a
final Level III response shall be issued within 10 business days of the remand.
General Provisions
The time limits for each level of the complaint procedure may be extended by
mutual consent of the parties. Any request for an extension of time must be in
writing and agreed to by the parties. Should the University fail to render a
decision within the specified time limits as established, the complainant may
appeal to the next level. Should the complainant fail to appeal a decision at
any level to the next level within the specified time limits as established,
the complainant will forfeit the right to further appeal.
In the event of a group complaint, each person in the group must sign the
formal complaint and the group must select one member of the group to act as
spokesperson. The spokesperson will initiate the complaint on behalf of the
group. Any resolution of the complaint is binding on all members of the group.
Each complaint is considered on its own merits. No previous complaint
resolution or arbitration recommendation is a precedent for future cases.
Disciplinary Guidelines
If an employee violates a University policy or rule or is not meeting
performance requirements, has been insubordinate, or has engaged in conduct
adversely affecting the workplace and/or other employees or students, a
supervisor may take disciplinary action. When taking such action, a supervisor
should consider the nature and seriousness of the infraction, all relevant
facts and information, and any mitigating circumstances. In addition, it is
recommended that a supervisor discuss the proposed corrective action with the
Employee Relations Section of the Office of Human Resources to ensure
appropriate applicability, documentation, and procedure. Generally, there are
four levels of discipline that may be applied, at the discretion of a
supervisor. Not all performance or conduct problems lend themselves to
progressive discipline. There are times when immediate and serious disciplinary
action, including suspension or dismissal, is warranted. Although the level of
discipline should be commensurate with the nature and severity of the problem,
any of the disciplinary actions below, other than dismissal, may be taken at
the discretion of a supervisor.
Warning
An oral or written warning may be given in cases in which a problem occurs
meriting corrective action. This is considered a departmental matter, with
records remaining in the department. This action, therefore, is not subject to
the Formal Complaint Procedure.
Written Reprimand
A written reprimand is a formal statement that becomes part of an employee’s
permanent personnel file. Examples of problems that may result in a written
reprimand include but are not limited to disruptions in the workplace, failure
to follow proper work procedure or business practice, chronic tardiness or
absenteeism, continued problems not remedied by warning, or where problems
could lead to suspension or dismissal if repeated.
Suspension
Suspension (with or without pay) may be imposed when an employee has failed to
perform to acceptable standards following a warning or other departmental
disciplinary action, or for other serious infractions as determined by
departmental supervision. Suspension may also be imposed when there is a need
to remove the employee from the workplace while an investigation is conducted
or to protect the health, safety, or welfare of others. It is strongly
recommended that supervisors consult with the Employee Relations Section of the
Office of Human Resources prior to imposing a suspension.
Guidelines—Written Disciplinary Actions
Written disciplinary action is a formal statement that becomes part of an
employee’s permanent personnel file. This action may be taken when a supervisor
determines that an employee has not responded to a verbal warning or when the
severity of a particular offense or incident warrants written disciplinary
action. It is recommended that the statement describe the specific
circumstances that prompted the disciplinary letter, the plan of action to
correct and resolve the situation, the time period in which the employee must
implement the necessary steps for corrective action, and the consequences for
failure to resolve the problem. In some instances, remediation may not be an
appropriate or desired course of action. When the disciplinary action is
suspension or dismissal, it is recommended that the reasons for the suspension
or dismissal be provided in a letter of suspension or termination to the
employee, normally to be reviewed by the Employee Relations Section of the
Office of Human Resources prior to notification of suspension or dismissal.
Dismissal
Dismissal may be imposed when the problem is sufficiently severe, after other
courses of action have been attempted, or if there is no reasonable expectation
of future improvement. However, it should be noted that dismissal may occur for
reasons not related to disciplinary action as Pennsylvania is an
employment-at-will state. Prior to dismissing a staff employee, a supervisor
must consult with the Employee Relations Section of the Office of Human
Resources.
The following examples illustrate situations that could result in immediate
suspension or termination of employment; however, there are other circumstances
not listed here that may result in immediate suspension and/or termination of
employment.
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Possessing or consuming intoxicants while on the job or violation of the
University’s Drug and/or Alcohol Policies.
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Possessing unlawful drugs or being under the influence of intoxicants or
unlawful drugs while at work.
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Theft, wrongful conversion or unauthorized use of funds or property of the
University or its faculty, staff, students, or vendors.
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Falsification of documents or records, including employment documents.
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Insubordination, including refusal to carry out work-related instructions or
tasks.
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Disruptive or harassing conduct such as the use of or threat of violence,
horseplay, practical jokes, physical abuse, or unlawful discrimination.
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Any conduct reasonably deemed by supervision to be detrimental to the
University’s interests.
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Destruction, alteration, abuse, or waste of the University’s or other’s
property.
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Intentionally or repeatedly creating unsafe work incidents or practices.
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Possession of weapons or explosives, or violation of criminal laws on
University premises.
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Violence or the threat of violence, including, without limitation, scuffling or
throwing objects.
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Leaving work before the end of the designated work hours without permission.
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Threatening or intimidating students, supervisors, other staff, or faculty.
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Using abusive, demeaning, profane, or threatening language to anyone.
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Offering, accepting, or seeking personal favors, money, or other valuable
consideration in exchange for a job, a better working assignment, or any
advantage in working conditions, or in connection with an outside contractor or
vendor.
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Off-duty misconduct that renders the staff member unavailable for work.
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Any grossly negligent or willful acts that result in personal injury, property
damage, or loss to the University.
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