Employee Discipline Policy
Introduction
While all employees should recognize that their employment relationship with the University is terminable “at will” by either the University or individual employees, the University encourages open, honest communications between supervisors and their subordinates relating to job performance and related discipline.
Purpose
Identifying employee performance problems and/or inappropriate behavior, and the appropriate and most effective means of resolving them, can be complex and require a variety of considerations. Disciplinary actions are usually corrective and progressive in nature, however, serious misconduct and work performance problems, or violation of laws and/or University policies, procedures, and practices may warrant disciplinary action, including termination, outside of the corrective, progressive approach that is outlined below. These procedures serve as a guide for supervisors to help ensure that a fair approach is taken in dealing with employees with continuing and/or serious performance problems. In most instances, disciplinary actions should not come as a surprise to the employee, but should occur after other informal remedial and/or corrective measures such as ongoing performance feedback, coaching, counseling, training, etc., have not been successful.
Scope
This is applicable only to administrators of the university.
Full-time faculty members should refer to the Full-Time Faculty Handbook for information.
Definitions
Insubordination: Refusal to follow specific directives and otherwise submit to authority
Serious Misconduct: Conduct by an individual, while engaged in University business or on University premises, that includes, but is not limited to: violation of laws, and/or University policies, procedures, and practices; theft; assault or fighting; insubordination; dishonesty or other unethical conduct; safety violations; harassment; possession/concealment of weapons; possession, use, sale, or purchase of illegal drugs or illegal intoxicants; falsification or improper alteration of records, including time cards/records; damage or destruction of University property; being intoxicated and disclosure or misuse of confidential information
Unit: A department, college, school, program, division, or other entity of the University that is responsible for an individual’s employment
Policy
There are three types of disciplinary action that may be taken:
- Warning
- Suspension
- Termination
In determining the proper course of disciplinary action, however, the supervisor and/or Human Resources may repeat, modify, or omit a level of discipline based upon the facts of the specific case. For example, in the case of serious misconduct, a suspension or termination of employment of the first offense may be warranted.
Note: Although the university’s philosophy on improving performance and behavior is a corrective and progressive approach, there are situations when this approach is not appropriate. Some examples of this type of situation include, but are not limited to employees who fail to meet performance expectations in positions that require them to: 1) regularly and reliably exercise a high level of judgment and discretion; 2) consistently demonstrate effective supervision, management, and leadership; and, 3) productively participate in a confidential capacity as part of the management team, where the actions and inactions of such individuals may seriously impair the ability of a unit, college, division, or the University to carry out its mission. In these cases, as early as possible, the affected employee should be given a clear understanding of how his/her performance is not meeting expectations or the standards of the job. The supervisor should thoroughly discuss the concerns with the employee and allow him/her an opportunity to present his/her understanding of the situation. If a mutually agreeable resolution to the situation cannot be found, the University reserves the right to terminate the employee’s employment. Appropriate notice or pay in lieu of notice will be arranged.
Caution: Before imposing discipline, supervisors are expected to consult with Human Resources.
Disciplinary Actions
Warning
Initial disciplinary actions can be oral or written, depending upon the severity of the situation. The supervisor should meet with the employee to discuss the performance problem and/or inappropriate behavior and outline the steps necessary to correct it. The supervisor may make notes of this initial discussion and retain them for future reference.
If performance or behavioral problems continue, or if the severity of the initial offense warrants, the supervisor should meet with the employee and give a formal written warning to document the discussion. The written warning should include a description of the problem and the specific steps necessary to successfully correct it, the timeline for improvement, and a scheduled time to meet to review the employee's subsequent performance. The warning should also indicate that unless the unacceptable performance or behavior is corrected and the acceptable behavior maintained as discussed, further disciplinary action, including termination, may occur.
If there is no change or improvement in performance or behavior, further disciplinary action may include a second written warning, a final warning, a suspension, or termination, depending on the actual situation. Determination of which action is appropriate should be made after consultation with Human Resources. Written warnings should make clear to the staff that absent compliance and appropriate corrective action, further disciplinary measures, which may include termination, will follow.
Prior to issuance, all written warnings should be reviewed by Human Resources. The original is given to the employee and a copy is retained in the employee's HR personnel file.
Suspension
Suspension may be appropriate as a form of discipline. It may also be invoked to facilitate investigative actions.
Disciplinary suspensions are used to address serious misconduct/violations of procedures, practices, or laws. They also may be used when oral and written warnings have not corrected deficient work performance or behavior or when the performance/behavior warrants a more severe discipline in the first instance. Supervisors must discuss with Human Resources plans to suspend employees.
- Disciplinary suspensions of non-exempt employees: These suspensions are unpaid and, generally, range from one to three consecutive workdays in duration. In cases of severe infractions, longer suspensions may be given and scheduled at the discretion of the department.
- Disciplinary suspension of exempt employees: In accordance with the Fair Labor Standards Act, no exempt employee may be subject to a suspension without pay unless it is in increments of one or more full work days.
Investigatory suspensions may be used in situations where actions of an employee are being investigated. The employee is placed on a suspension, with or without pay, depending upon the circumstances of the case, while the investigation is being conducted. Based on the outcome of the investigation, the employee may be issued a disciplinary suspension, reinstated either with or without the imposition of a lesser disciplinary action, or terminated.
Prior to issuance of suspension, the department head and Human Resources must review all suspensions. Following the investigation and discussion with the employee, the individual should receive a letter documenting the reason for the suspension, whether the suspension is with or without pay, and the period of suspension. A copy of the letter is retained in the employee's HR personnel file. For more information, please contact Human Resources.
Termination
An employee's employment may be terminated for performance deficiencies that are not corrected, or for serious misconduct. Prior to initiating such action, the supervisor and/or unit head must consult with Human Resources. Supervisors must request the return of all University property, including keys, ID cards, procurement cards, parking permits, computer equipment, etc. For more information, please refer to Exiting Procedures.
Responsibilities
The major responsibilities each party has in connection with the Employee Discipline Policy (Excluding Academic and Bargaining Unit Staff), are as follows:
Human Resources Representative: Consult with the VP of Human Resources and the Supervisor and/or Unit Head to ensure that disciplinary procedures are conducted in accordance with this policy. Review all suspensions before their issuance.
Employee: Read and understand Disciplinary Actions (outlined above). When grieving a disciplinary action, do so in accordance with the Employee Grievance Policy.
Supervisor: Before invoking the terms of this policy, meet with the employee to discuss performance problems and/or inappropriate behavior and outline the steps necessary to correct them. Before invoking disciplinary procedures, consult with Human Resources. Issue verbal or written warnings and carry out disciplinary procedures fairly, and in accordance with this policy. Prior to issuance, have all written warnings reviewed by Human Resources. Give originals of all warnings to the employee. Retain a copy of all warnings. In cases of termination, request the return of all University property, including keys, ID cards, computer equipment, procurement cards, etc.
Additional Information
If an employee feels that discipline has been unduly imposed, s/he may contact Human Resources for assistance in trying to resolve the problem informally. Employees have the right to file a formal grievance whenever they believe they have been treated in a manner inconsistent with this policy. See Employee Grievance Policy for additional information.
Please see the Full-Time Faculty Handbook for disciplinary procedures related to full-time faculty.