Due Process and Grievance Guidelines

The Mailman Center will provide in writing the program's expectations related to professional functioning at the beginning of the training year including university and training program specific guidelines, and program competencies.

During program orientation, procedures for how informal and formal evaluations will be conducted. Evaluation includes ongoing individual and group weekly supervision discussions, informal program competency progress feedback at months 3 and 9 of the training year, and summative evaluations of competency behaviors at months 6 and 12 of the training program year.

Trainee deviations from program standard practices or university and program guidelines can include a wide range of behaviors including but not limited to: 

• Ongoing behaviors that are not consistent with program-based competencies
  
• Inadequate progress on expected program competencies at informal feedback reviews or at summative evaluations
  
• Noncompliance with the University’s or program’s policies, procedures, regulations and work rules or directives.

Within weekly supervision or at the time concerns are identified, supervisors will inform trainees when performance and problem behaviors are identified as truly problematic and how they will be addressed.

Informal Discussion

When issues or competency-based behaviors are initially identified which would not warrant immediate consultation with HR , the supervisor will meet with the trainee to have an informal discussion as it relates to the area of concern and work collaboratively with the trainee to develop an informal plan to remediate the problem or the area of growth needed to competency. If concerns are typically not resolved within 60 days of identification, an additionalremediation plan is typically recommended and implemented. As specified in the supervision contract, the trainee will be provided with an opportunity to respond to the concern including but not limited to:

• Identifying goals and tasks to achieve in supervision to attain specific competencies
• Disclosing errors, concerns, and clinical issues as they arise
• Raising issues or disagreements during the supervision process and moving toward resolution.

Notice of Informal Performance Enhancement Plan

In the event that an identified concern has not been resolved through ongoing supervision and training, the supervisor after discussing with the training director, will work toward the development of an informal performance enhancement plan. Typically, informal performance enhancement plans are implemented when the trainee is demonstrating some but not sufficient progress related to a specific area of concern.  The plan will include time-based benchmarks to monitor trainee progress and support from the supervising faculty member. The length of an informal performance enhancement plan can be 30 or 60 days. 

Notice of Formal Training Program Performance Enhancement Plan

In the event that the informal performance enhancement plan does not result in trainee’s improved performance, a formal Performance Enhancement Plan will be implemented which is a written summary of training goals/objectives with specific steps that the trainee needs to take with specific timeframes outlined for specific goals. The Training Program Performance Enhancement Plan is reviewed at a minimum on a monthly basis. However, the specified aspects of the plan may require benchmarks that need to be met on a weekly basis (e.g., submission of timely documentation) that require weekly review by the faculty supervisor. If the trainee meets the goals/objectives within the performance enhancement plan, the trainee will be informed in writing that he/she has successfully completed the plan and record of this will be kept in the trainee’s file. The length of a formal performance enhancement plan can be 30, 60, or 90 days and is dependent upon the scope of the plan. 

The training program will use input from multiple professional sources and supervisors to the extent that it is feasible when making decisions or recommendations regarding the trainee’s performance. All trainees are reviewed monthly at faculty/supervisor meetings.

Establishment and Monitoring of a Formal Performance Enhancement Plan

Plan Aspects

The plan will include a description of competency or problem behaviors that require remediation, trainee description of supports to assist remediation, anchored behavioral steps designed to promote remediation, summative progress updates at predetermined time points (e.g., weekly, monthly).

Timeline

Depending on the scope of competency or problem behaviors that require remediation, plans can be established for 30, 60, or 90 days. At a minimum, plans are reviewed and updated on a monthly basis. In addition, the director of training will meet with the trainee weekly to discuss progress and any needed supports. 

Results of Performance Enhancement Plan

Trainees may successfully complete plans or make inadequate progress toward plan goals within the specified time period. Results and next steps for due process include the following:

• Successful completion: If the trainee meets the goals/objectives within the plan, the trainee will be informed in writing that they have successfully completed the plan and record of this will be kept in the trainee’s file.
  
• Inadequate progress: If it is determined that remediation has not occurred within a previously agreed upon time period, the problem will be brought before the entire Training Clinical Faculty for review.  The Training Clinical Faculty will review previous actions and ask follow-up questions to the trainee, and will make a determination of one of the following:
  
  • No action is taken against the employee.
    
  • With the involvement of Human Resources, the trainee is placed on an additional 30, 60, or 90-day HR performance enhancement plan, with specific written goals and deadlines. Documentation requirements for subsequent plans will follow the same procedure for initial performance enhancement plans
    
  • With the involvement of HR, it is recommended that the employee is terminated from his/her position, and the trainee will be notified that he/she has failed the postdoctoral fellowship. In the event that a trainee is terminated, a summary letter will be provided to the trainee describing overall program progress achieved including evaluations of competency-based behaviors and training program progress (e.g., hours completed).

The trainee has the right to appeal any decision made by the training program at any step of due process, the hearing stage, and/or any decisions made by the training program or human resources. Appeals managed by the training director will be reviewed and discussed with the trainee within two weeks. Appeals managed by the Chief Psychologist or the Director/Associate Director of the Mailman Center will be reviewed and discussed with the trainee within one month, unless advised otherwise by the University’s General Counsel. Trainees will be informed in writing of all Appeals decisions and a copy of these communications will be maintained in the file of the trainee.

Grievances must be raised by trainees in good faith consistent with APA Ethics Standard 1.07, which states that psychologists do not file or encourage the filing of (ethics) complaints that are made with reckless disregard for or willful ignorance of facts that would disprove the allegation. Trainees who pursue grievances in good faith will not experience any adverse professional consequences.

For situations in which a trainee raises a grievance about a supervisor, staff member, trainee, or the training program, first the intern should raise the issue as soon as feasible and appropriate directly with the person or persons in an effort to resolve the problem informally consistent with APA Ethics Standard 1.04 on informal resolution.

Prior to filing a formal grievance, a trainee may choose to informally present their grievance to the person who is its subject or the supervisor or staff member who oversees the program area of the grievance. The parties should make a good faith effort to resolve the issue or issues that are the subject matter of the grievance. The Training Director is available to assist in an informal resolution. This step may be skipped if the trainee is not comfortable handling the issue informally and/or if the complaint may warrant immediate formal review by Human Resources.

If informal efforts to resolve the grievance are not successful or if this step is skipped due to the nature of the grievance, the trainee must present the grievance in writing within 30 days from the date of the action that is the subject of the grievance. The trainee’s statement of complaint must include the trainee’s recommendation(s) for resolution of the grievance. Relevant documents or any other information pertinent to the matter should also be provided.

Grievances should be directed to the appropriate administrator as follows: grievances against immediate supervisors, other staff, and/or any aspect of the training program should be directed to the Training Director; grievances against the Training Director should be directed to the Chief Psychologist; and those against the Chief Psychologist should be directed to the Associate Director or the Director of the Mailman Center for Child Development.  

The party against whom the grievance is brought will be provided a copy of the written grievance and will have the opportunity to respond to it in writing and to submit documents or materials in support of his or her position. The party against whom the grievance is brought will respond to the grievance within 14 calendar days of receipt of the copy of the grievance from the administrator in receipt of the grievance. 

Failure to respond to a grievance within the time limits allows the trainee to automatically submit the grievance to the next administrative level. Calculation of calendar days does not include holidays  as indicated on the published university calendar.

The appropriate administrator will then meet with the trainee and the individual being grieved within 14 calendar days of the response. In some cases, the appropriate administrator may wish to meet with the trainee and the individual being grieved separately first. The goal of a joint meeting will be to develop a plan of action to resolve the grievance. The plan of action will include the following: discussion of the behavior related to the grievance, collaboratively identified steps to resolve the problem, and a monitoring plan to determine whether progress has been made to resolve the identified grievance. Monitoring plans will be reviewed by the administrator with the trainee and the individual being grieved at one week, two weeks, and 30 days to determine the outcome of the grievance plan. If the grievance plan is collectively agreed upon as being successfully completed by the appropriate administrator, the trainee, and the individual being grieved, the grievance plan will be documented as being completed. 

If the grievance is not resolved to the satisfaction of the appropriate administrator, the trainee, and/or the individual being grieved, the trainee may appeal the grievance in the following order:

• Training Director
• Chief Psychologist
• Associate Director or Director of Mailman Center 

Appeals must be filed with the appropriate administrator within seven calendar days of receipt by the trainee of a response of the lower level decision. Appeals must be responded to in accordance within 14 days by the appropriate administrator. The Associate Director or Director of Mailman Center’s decisions related to grievance appeals are final as it relates to training program procedures. 

If the grievance procedure or appeal cannot be resolved within the training program or it is determined that it is not appropriate to be resolved internally, then the issue will be turned over to Human Resources Department to initiate the University Employee Due Process procedures. Human Resources will respond to the grievance within 14 calendar days. 

Upon completion of the grievance process, all recordings, documents and materials related to the formal grievance will be kept in the trainee’s file  and the individual who was grieved.