Forms & Documents

PROCEDURE FOR SOLVING PROBLEMS IN THE WORKPLACE

PURPOSE

 This document describes the procedure for solving problems in the workplace.
The procedure recommends direct communication with your supervisor to resolve
problems. A formal review process has also been established for instances where
informal communication is not possible or practical.
 This document sets forth the applicability, Research Foundation policy,
definitions, and procedure for informal resolution and the formal review process.

APPLICABILITY

This procedure is available to all current and former employees of the Research
Foundation. Fellows and independent contractors are not covered by this procedure. In
the case of contractors, individual contractual agreements will cover disputes.
 Allegations of discrimination are subject to the Research Foundation “Procedure
for Resolving Allegations of Discrimination.” Situations other than a complaint of
discrimination are handled under this procedure.
 Where a complaint involves an issue such as misconduct in science or conflict of
interest, which is subject to review under established campus guidelines, those guidelines
must be followed.

POLICY STATEMENT

The Research Foundation of State University of New York is committed to
protecting the legitimate interests of its employees. Employees should not be subjected
to violation, misrepresentation or improper application of any laws, rules, procedures,
regulations, administrative orders, or work rules of the Research Foundation directly
affecting the terms and conditions of employment.

 It is Research Foundation policy to attempt to resolve problems that arise in the
course of employment quickly and fairly.
 An employee will not be retaliated against or treated adversely by reason of
initiating a complaint. Decisions that are made in accordance with this policy and related
procedure shall not add to, subtract from, or otherwise alter any other Foundation policies
or practices.

DEFINITIONS

This section provides definitions for some of the terms found within this
document.

Campus President: The person who is responsible for implementing this procedure at the
location.

Operations Manager: The person at a campus holding authority from the Research

Foundation’s Board of Directors to conduct RF business and financial affairs at the
location.

Complaint Manager: An office or person designated by the operations manager as
responsible for the management of the Research Foundation workplace complaint
procedure at the location.

Supervisor: The person who usually assigns and is responsible for an employee’s work.
The project director and the supervisor may be the same person.

Project Director: The person responsible for conducting a sponsored program. The
project director may be an employee of either the State University of New York or the
Research Foundation.

Fellow: An individual who is paid a stipend through the Research Foundation and is not
required to perform a service to receive the stipend.

Independent Contractor: Any individual or firm who offers services to the public in
return for an established fee and over whom the Research Foundation exercises no
control or direction as to the details or means by which a result is accomplished.

Working Days: In calculating working days for purposes of this procedure, Saturdays,
Sundays, and holidays are excluded.

PROCEDURE

 The review process for employee complaints provides a means for you to clarify a
situation that you perceive as a violation of the terms and conditions of your employment.
The review and resolution may be carried out informally or may, at your option, involve
the filing of a written complaint.

Informal Resolution

 You and your supervisor are encouraged to resolve on-the-job complaints in an
atmosphere of mutual respect. You should bring any work-related problems to the
attention of your immediate supervisor as soon as possible so the problem may be
resolved. Your supervisor should discuss those concerns with you in an effort to resolve
the problem in a timely fashion.

 If you wish, you and/or your supervisor may seek assistance from the complaint
manager at your location.

Formal Review Process

 The formal complaint procedure may be used at any time by an employee or former
employee to request the review of a complaint. The formal process allows you to file a
written complaint with your supervisor, provides for management review of your
supervisor’s decision, and provides for final review in an appeal process. Each complaint
filed must be made in the name of an individual employee.

1. Initial Written Complaint

 To initiate a formal review, you must notify your supervisor in writing within 40
working days of the occurrence on which the complaint is based. You should retain the
original written complaint and send a copy to your supervisor and to the complaint
manager (who will retain the copy at your location).

 The written complaint should contain the following information:
• Your name and address (home or work)
• Position
• Description in detail of the nature of the complaint
• The time and date when the basis for the complaint is alleged to have occurred
• The names and positions of all persons involved in the complaint
• Other supporting material
• Date submitted
• Your signature

 Within ten (10) working days after receiving the complaint, your supervisor will
confer with you to discuss the complaint. In addition, he or she may make additional
inquiry regarding the complaint.

 Within ten (10) working days after conferring with you, your supervisor will
render a decision in writing, furnishing a copy to you and to the complaint manager. If
you accept your supervisor’s decision in writing, the complaint is resolved. If your
supervisor does not render a decision on your complaint within the prescribed time limit,
the complaint will be considered denied, and you may ask for a review at the next
supervisory level.

 When your supervisor renders a decision in writing regarding the complaint, he or
she must provide a written decision to you and to the complaint manager. Your
supervisor will retain a copy of the decision.

2. Review of Supervisor’s Decision

If you are dissatisfied with your supervisor’s decision, you may request a review
of that decision by the next supervisory level. If your immediate supervisor is the project
director, Research Foundation operations manager, or an individual reporting to the
campus president, the review of the supervisor’s decision will be at the appeal level.

 You must submit a signed statement to the next supervisory or appeal level within
ten (10) working days after you are informed of your supervisor’s decision. The
statement should explain why you feel your supervisor’s decision should be overruled or
modified. You must forward a copy of this statement to the complaint manager and
should retain the original written statement for your files.

 The reviewer will consider your complaint and your immediate supervisor’s
decision, taking into account the initial formal complaint and all the material you
submitted. The reviewer may make additional inquiry regarding your complaint.
 Within twenty (20) working days after receiving a request for a review, the
reviewer will render a decision in writing to you with a copy to your supervisor and to
the complaint manager. The reviewer should retain a copy of the decision.

3. Appeal Process

 If you are dissatisfied with the review of your supervisor’s decision, you must
forward an appeal to the complaint manager within ten (10) working days. The appeal
will be in writing and include the reason(s) for the appeal. You should retain the original
written appeal. The complaint manager will notify the campus president (or delegate)
that a timely appeal has been received. A copy of all complaints involving appeal
reviews will be forwarded to the Research Foundation Central Office of Employee
Relations.

 The location’s operations manager or ad hoc review committee will conduct the
appeal proceeding within fifteen (15) working days and, within twenty (20) working days
after the conclusion of the proceeding, will render a final decision. The complaint
manager must notify you in writing of the final decision. A copy of the appeal decision
will be forwarded to the Research Foundation Central Office of Employee Relations.

The time limits specified in this complaint procedure will be observed and applied
strictly and will not be extended without the prior written consent of you and the
applicable level of supervision responsible for the review. If you fail to comply with any
time limit, the complaint will be automatically deemed withdrawn and the proceeding
terminated.

Procedure for Resolving Allegations of Workplace Discrimination

Review Process

The Research Foundation of State University of New York (the “RF” or “Research Foundation”)
has a review process for allegations of unlawful workplace discrimination (“discrimination”). This
procedure provides a means to address allegations of discrimination at the RF. An RF employee
may seek an informal or formal review. A formal review requires the complainant to file a written
complaint. This procedure describes the requirements for an informal and formal review process.

Requirements for an Informal Review Process

Resolution with the Supervisor

A Research Foundation employee should attempt to resolve concerns of alleged discrimination
by notifying his/her supervisor as soon as practicable after an alleged act(s) occur. If it is not
practical for the employee to discuss the situation with the immediate supervisor, the employee
should discuss the concerns of alleged discrimination with the next level of supervision or the RF
Office of Human Resources at the operating location (see next section).

When an employee brings an informal discrimination allegation to a supervisor’s/next level
supervisor’s attention, that supervisor should review the allegation and take steps to address the
situation, if and as required. Supervisors are encouraged to seek the assistance of the RF Office
of Human Resources at the operating location in resolving an informal discrimination
complaint(s).

Resolution with the Local RF Office of Human Resources

The RF employee should contact the local RF Office of Human Resources (the “local RF HR
Office”) if the employee feels it is inappropriate to discuss the informal discrimination allegation(s)
or is unable to reach resolution with his/her supervisor. The local RF HR Office will evaluate the
facts to determine the nature, extent, and period covered in the discrimination allegation.
Based on this evaluation and consultation as appropriate, the local RF HR Office may propose a
resolution to the employee and/or the supervisor. A result of this informal review process may be
the local RF HR Office’s determination that the complaint is more appropriate under the RF’s
Procedure for Solving Problems in the Workplace (“PSPW”). The local RF HR Office may then
refer the employee to the individual(s) responsible for the PSPW procedure at the operating
location.

The local RF HR Office will retain a copy of the document, if any (not required for informal
process), that informs the supervisor or local RF HR Office of receiving an informal complaint,
until the complaint is resolved.

If the supervisor or local RF HR Office is unable to resolve the allegation of discrimination via the
informal review process, the employee will be advised to seek a formal review under this
procedure. For the formal review process to be initiated, the person making the allegation(s) (the
“Complainant”) must file a written complaint (the “Complaint”) with the RF alleging discrimination.

Requirements for the Formal Review Process

General Requirements

The formal review process may be requested by an RF employee or former RF employee for an
investigation of an allegation(s) of discrimination. If a formal Complaint is against a non-RF
employee (e.g., State employee, vendor, independent contractor, student, etc.), the RF should
review the Complaint and refer the Complaint to the appropriate person(s) at the non-RF entity
with whom the non-RF employee is affiliated, if that is appropriate. See the Process Matrix, infra,
for additional information.

The formal review process generally consists of the following: (1) a written Complaint signed by
the Complainant, (2) a review and investigation by a fact-finder or an ad hoc committee appointed
by the operating location’s RF Operations Manager or designee, (3) a fact-finder’s report to the
RF’s Operations Manager or designee, (4) the RF Operations Manager’s recommended action to
the RF’s Executive Vice President or designee, and (5) a final RF determination.

The Required Process for Formal Complaints

1 The Complainant must submit a written, signed statement (the “Complaint”), detailing
the allegation of unlawful workplace discrimination to the local official assigned to
handle RF discrimination matters for the RF, usually either the Office of Human
Resources or the Affirmative Action Office for the RF at your campus (the “Local RF
Official”).

The written Complaint should contain the following information:

• The basis for the allegation of unlawful workplace discrimination and the facts
relating to the allegation;
• Name and preferred address (work or home) of Complainant;
• Name of person(s) against whom the allegation of discrimination is made;
• Approximate date of first act of alleged discrimination;
• Specific instances or examples of act(s) of alleged discrimination, including dates
and times, if known;
• Indication whether alleged discrimination continues (if not, date of last known
incident);
• Relief or resolution desired (if known);
• Signature of the Complainant and the submission date;
• Documents relevant to support the allegation; and
• Other information to support allegation (names of supporting witnesses, etc.).


A copy of the written Complaint detailing the allegation should be retained by the
operating location's Local RF Official in an RF file (not the employee’s personnel file).

2: Within 5 business days of receipt of the written Complaint, the Local RF Official will
submit a copy of the Complaint to the Operations Manager and the Office of Human
Resources (Office of Employee Relations) at Central Office.

3: Within 10 business days of receipt of the Complaint, the Operations Manager or
designee will appoint a fact-finder or an ad hoc committee (collectively “Fact-finder”)
established for the purpose of reviewing and investigating, as necessary, the Complaint.

4: The Fact-finder, on behalf of the RF, will discharge assigned duties and responsibilities
as set forth in this procedure, including the following: (a) notifying the person(s) against
whom the Complaint is made (the “Respondent(s)”); (b) obtaining a response from
Respondent(s) to the allegation(s); (c) reviewing all documents related to the Complaint;
(d) interviewing all relevant parties/witnesses associated with the Complaint; and (e)
issuing a confidential report to the Operations Manager or designee with relevant,
preliminary factual finding(s) and recommended action(s), if any.

5: The confidential report containing the Fact-finder’s preliminary finding(s) and optional
recommended action(s) will be submitted to the Operations Manager or designee within
60 business days from when the written Complaint was submitted to the RF. The
Operations Manager or designee may extend this report due date upon reasonable
request of the Fact-finder. The process and report must be completed by the final
deadline established by the Operations Manager or designee. The Operations Manager
or designee will develop findings and a recommended decision.

6: The Operations Manager or designee, within 30 days of receiving the confidential report,
will provide findings and a recommended decision to the RF Office of Human Resources
at Central Office for compliance review. The Office of Human Resources at Central
Office, in consultation with the Office of General Counsel and Secretary, will complete a
compliance and legal review within 10 business days of receipt and forward the
Operations Manager’s adopted findings and recommended decision to the Executive
Vice President and Chief Operating Officer for consideration.

7: The Executive Vice President and Chief Operating Officer or designee (the “Executive
Vice President”) will review the Operation Manager’s findings and recommended
decision and issue a final RF determination within 30 days of receipt. If the Executive
Vice President completely rejects the Operations Manager’s recommendation, then the
Executive Vice President should consult with the Operations Manager prior to taking final
action.

The Executive Vice President will communicate the RF’s determination to the Operations
Manager. The Operations Manager or designee will then communicate the final
determination with the Respondent and all others with a need to know such action within
5 business days from receipt of the final determination.

Responsibilities

Operating Locations

RF operating locations are responsible for ensuring that this Procedure for Resolving Allegations
of Unlawful Workplace Discrimination is implemented at the location.
Central Office

At the central office operating location, the Vice President for Human Resources or designee will
perform the role of Operations Manager under this procedure.
Cross-References

Discrimination Policy

Equal Employment Opportunity Policy
Employment of Disabled Individuals Policy
Employment of Special Disabled Veterans, Vietnam Era Veterans, and Other Eligible Veterans
Policy
Nonharassment in the Workplace Policy
Nondiscrimination on the Basis of Age Policy
Nondiscrimination on the Basis of Sexual Orientation Policy
Procedure for Solving Problems in the Workplace
Sexual Harassment Policy
Solving Problems in the Workplace Policy