I. PURPOSE
The University's SPA discipline procedure provides SPA employees and management
with a process for correcting and improving job performance problems and handling
instances of unacceptable personal conduct. The University administers a
successive disciplinary procedure by which discipline is administered only
for just cause and apportioned to the degree of severity and frequency of
the performance problem and/or conduct.
All disciplinary actions are to be administered consistently and equitably
without regard to race, sex, color, creed, age, political affiliation, disability,
religion or national origin, and are subject to the approval of the dean/department
head and the associate vice chancellor for Human Resources or designee. The
supervisor recommending disciplinary action should discuss the recommendation
with and receive the approval of appropriate management.
Employees are informed of the University's Disciplinary and Grievance Policies
and procedures during new employee orientation and through the Staff Employee
Handbook. All employees will be notified through university publications
and electronically via the Human Resources web site, of any changes to this
policy no later than 30 days prior to the effective date of the changes.
II. COVERED EMPLOYEES
A. SPA Employees
Any SPA employee of the university may be warned, demoted, suspended or dismissed
for just cause. However, SPA employees who have completed the probationary
period must receive successive discipline as prescribed in this policy.
B. Probationary SPA Employees
There is no requirement that the successive disciplinary process be applied
in the discipline and or dismissal of probationary SPA employees. Probationary
employees may be disciplined up to and including dismissal without prior warning
and without a pre-disciplinary conference.
III. CATEGORIES OF DISCIPLINE
A. Categories
The University recognizes three categories of discipline for SPA employees.
Some actions by an employee may fall under one or more categories of discipline.
B. Unsatisfactory Job Performance
- Unsatisfactory job performance is work-related performance that fails
to meet job requirements as set out in the relevant job description, work
plan, or as directed by management.
- Examples of unsatisfactory job performance include:
a) Absenteeism
b) Unsatisfactory quality of work
c) Insufficient quantity of work
d) Failure to met deadlines
e) Untimely performance of work
f) Faulty decision making or poor judgment
g) Inaccuracy of work
h) Poor work habits
C. Grossly Inefficient Job Performance
- Grossly inefficient job performance is a type of unsatisfactory job performance
in which the employee fails to perform job requirements as specified in
the job description, work plan, or as directed by management, and that failure
could result in the following:
a) The creation of the potential for death or serious bodily injury to
an employee(s) or to members of the public or to a person(s) over whom
the employee has responsibility.
b) The loss of or damage to state property or funds that has a serious
impact on the University or the State.
- Examples of grossly inefficient job performance include:
a) Negligence in operating equipment
b) Negligence in the care of persons or property
c) Work which results in non-payment of the University's fiscal
obligations
d) Loss of revenue, accrual of penalties, or other substantial costs
to the University
D. Unacceptable Personal Conduct
- Unacceptable personal conduct is conduct for which no reasonable person
should expect to receive prior warning. Such conduct may include but is
not limited to personal conduct that disrupts work or the work environment,
jeopardizes the safety of persons or property, or creates other serious
problems.
- Examples of unacceptable personal conduct include:
a) Insubordination (refusing to accept a reasonable and proper assignment
from an authorized supervisor)
b) Reporting to work under the influence of alcohol or illegal drugs,
or using alcohol or illegal drugs on the job
c) Stealing or knowingly misusing State property or funds
d) Willful violation of known or written department policies.
IV. DISCIPLINARY ACTIONS
A. Types of Disciplinary Actions
There are four types of disciplinary action governed by this policy for SPA
employees to be taken when deemed appropriate. They are Written Warning,
Suspension without Pay, Demotion, and Dismissal.
B. Unsatisfactory Job Performance
- The available disciplinary actions and required prerequisites for a current
unresolved incident of Unsatisfactory Job Performance are:
a) With no active prior disciplinary actions on file, a Written Warning
may be issued.
b) With one active prior disciplinary action (any type) on file, a Written
Warning, Suspension without Pay, or Demotion may be issued.
c) With two or more active prior disciplinary actions (any type)
on file, a Written Warning, Suspension without Pay, Demotion, or Dismissal
may be issued.
- A pre-disciplinary conference is required when Suspensions without Pay,
Demotion or Dismissal are under consideration. See Special Provisions for
requirements of the pre-disciplinary conference. No pre-disciplinary conference
is required to issue a written warning.
C. Grossly Inefficient Job Performance or Unacceptable Personal
Conduct
- For a current unresolved incident of Grossly Inefficient Job Performance
or Unacceptable Personal Conduct, no active prior disciplinary actions on
file are required to issue a Written Warning, Suspension without Pay, Demotion
or Dismissal.
- A pre-disciplinary conference is required when Suspensions without Pay,
Demotion or Dismissal is under consideration. See Special Provisions for
requirements of the pre-disciplinary conference. No pre-disciplinary conference
is required to issue a Written Warning.
V. WRITTEN WARNING
A. Unsatisfactory Job Performance
A supervisor should initiate a private discussion with an employee as soon
as a performance deficiency is observed. If satisfactory improvement is not
made, successive discipline should then be administered beginning with a Written
Warning. An employee may receive multiple Written Warnings for similar or
different infractions. Any Written Warning issued after the first warning
which is intended to be the final disciplinary action issued prior to dismissal,
must include notification to the employee that failure to make the required
job performance improvements may result in dismissal.
B. Grossly Inefficient Job Performance and Unacceptable Personal Conduct
A supervisor may elect to issue a written warning for a current incident
of grossly inefficient job performance or unacceptable personal conduct.
If the written warning is intended to be the final disciplinary action issued
prior to dismissal, the warning must notify the employee that failure to make
the required improvements or corrections may result in dismissal.
C. Requirements
1. Pre-disciplinary Conference
No pre-disciplinary conference is required for a supervisor to issue a written
warning. However, the supervisory should meet with the employee when providing
the written warning.
2. Written Notice
A written warning must :
a) Inform the employee that the action is a written warning and not another
non-disciplinary process such as counseling;
b) Include the specific issues that are the basis for the warning;
c) Inform the employee of what specific improvements /corrections
must be made to address these specific issues;
d) Inform the employee of the timeframe allowed for making the required
improvements/corrections. Immediate correction is required for grossly inefficient
job performance or unacceptable personal conduct. NOTE: If the
warning does not include an improvement or correction timeframe, the timeframe
is 60 days for Unsatisfactory Job Performance and immediately for Grossly
Inefficient Job Performance or Unacceptable Personal Conduct;
e) Inform the employee of the consequences of failing to make the required
improvements or corrections;
f) Include the employee's appeal rights and attach a copy of the
University's SPA Grievance and Appeal Procedure Policy #1202.
3. Example
See Appendix A for a template of a Written Warning.
4. Processing
The Division of Human Resources should review a copy of the written warning
prior to it being provided to the employee.
VI. SUSPENSION WITHOUT PAY
A. Definition
An employee who has been suspended for disciplinary reasons must be placed
on suspension without pay. The suspension for a non-exempt employee may extend
from one to five consecutive workdays (i.e., one workday to one workweek,
excluding university holidays). The suspension for exempt employees is one
full workweek (five consecutive workdays, excluding university holidays).
B. Unsatisfactory Job Performance
An employee may be suspended without pay for a current incident of unsatisfactory
job performance after having received one prior disciplinary action of any
type.
C. Grossly Inefficient Job Performance and Unacceptable Personal Conduct
An employee may be suspended without pay without prior disciplinary action
for a current incident for a current incident of unacceptable personal
conduct or grossly inefficient job performance,
D. Requirements
1. Pre-disciplinary Conference
The supervisor or designated management representative(s) must conduct
a pre-disciplinary conference when placing an employee on suspension without
pay. See Special Provisions for requirements of the pre-disciplinary
conference.
2. Written Notice
a) Following the pre-disciplinary conference, but not before the next
business day, the employee must be given written notice of the decision
to suspend.
b) The notice must :
(1) Inform the employee that the action is a suspension, not another
form of discipline;
(2) Include specific reasons for the action;
(3) Inform the employee of specific dates of suspension and that failure
to return to work at the requested time may be considered a voluntary
resignation;
(4) Inform the employee of the specific improvements/corrections that
are required;
(5) Inform the employee that failure to make the required improvements
or corrections may result in further disciplinary action, up to and
including dismissal;
(6) Include the employee's appeal rights and attach a copy of the University's
SPA Grievance and Appeal Procedure Policy #1202 .
E. Example
See Appendix B for a template of a written notice of suspension.
F. Processing
The Division of Human Resources must review copy of the written notice prior
to it being provided to the employee.
VII. DEMOTION
A. Unsatisfactory Job Performance
An employee may be demoted for a current incident of unsatisfactory job performance
after having received one prior disciplinary action of any type.
B. Grossly Inefficient Job Performance and Unacceptable Personal Conduct
An employee may be demoted without prior disciplinary action for a current
incident of unacceptable personal conduct or grossly inefficient job performance.
Disciplinary demotions may be accomplished in any one of three ways:
- An employee may be demoted to a lower pay grade with a reduction in salary
rate as long as the new salary rate does not exceed the maximum of the salary
schedule for the new lower pay grade; or
- An employee may be demoted to a lower pay grade without a reduction in
salary rate as long as the salary rate does not exceed the maximum of the
salary schedule for the new lower pay grade; or
- An employee may be demoted while retaining the same pay grade with a reduction
in salary rate. In no event will an employee's salary rate be reduced to
less than the minimum salary rate for the applicable pay grade or the special
entry rate, if in effect.
C. Requirements
1. Pre-disciplinary Conference
The supervisor or designated management representative(s) must conduct
a pre-disciplinary conference when demoting an employee. See Special
Provisions for requirements of the pre-disciplinary conference.
2. Written Notice
a) Following the pre-disciplinary conference but not before the next
business day, the employee must be given written notice of the decision
to demote.
b) The notice must :
(1) Inform the employee that the action is a demotion and not another
form of discipline;
(2) Inform the employee of the effective date;
(3) Advise employee of how and to what extent the demotion will affect
his or her salary rate or pay grade;
(4) Include specific reasons for the action;
(5) Inform the employee of the specific improvements/ corrections that
are required;
(6) Inform the employee that failure to make the required improvements
or corrections may result in dismissal;
(7) Include the employee's appeal rights and attach a copy of the University's
SPA Grievance and Appeal Procedure Policy #1202.
D. Example
See Appendix C for a template of a written notice of demotion.
G. Processing
The Division of Human Resources must review copy of the written notice prior
to it being provided to the employee.
VIII. DISMISSAL
A. Unsatisfactory Job Performance
- An employee may be dismissed for a current incident of unsatisfactory
job performance after having received two prior disciplinary actions of
any type. One or more written warnings must be followed by a written warning
or other disciplinary action that notifies the employee that failure to
make the required performance improvements/corrections may result in dismissal.
Disciplinary actions related to personal conduct may be included in the
successive system for performance-related dismissal.
- Upon dismissal for unsatisfactory job performance, an employee who has
completed the probationary period may be given up to two weeks notice.
In exceptional circumstances, and with the prior approval of Human Resources,
a payment of up to two weeks salary may be made in lieu of notice.
B. Grossly Inefficient Job Performance and Unacceptable Personal Conduct
- An employee may be dismissed for a current incident of grossly inefficient
job performance or unacceptable personal conduct, without any prior disciplinary
action.
- Employees dismissed for grossly inefficient job performance or unacceptable
personal conduct are not entitle to a working notice and should not receive
pay in lieu of notice. Additionally, such employees are not eligible for
rehire with the university.
C. Requirements
1. Pre-disciplinary Conference
The supervisor or designated management representative(s) must conduct
a pre-disciplinary conference when dismissing an employee. See Special
Provisions for requirements of the pre-disciplinary conference.
2. Written Notice
a) Following the conference, but not before the next business day, provide
the employee written notice of the decision to dismiss.
b) The notice must :
(1) Inform the employee that the action is a dismissal and not some
other form of discipline;
(2) Inform the employee of the effective date of dismissal;
(3) Include specific reasons for the action;
(4) Inform the employee, that they are not eligible for rehire with
the University.
(5) Include the employee's appeal rights and attach a copy of the University's
SPA Grievance and Appeal Procedure Policy #1202 .
D. Example
See Appendix D for a template of a written notice of dismissal.
E. Processing
The Division of Human Resources must review copy of the written notice prior
to it being provided to the employee.
IX. SPECIAL PROVISIONS
A. Resolution of Disciplinary Actions
1. All disciplinary actions, except Oral Warnings, existing on October
1, 1995, will remain in full force and effect until one of the following
occurs:
a) Management notifies Human Resources in writing that the reason for
the disciplinary action has been resolved or corrected; or
b) The purpose for a performance-based disciplinary action has been achieved,
as evidenced by a summary performance rating of level 3 (Good) or other
official designation of performance at an acceptable level or better and
at least a level 3 or better in the performance area cited in the
warning or disciplinary action, following the disciplinary warning or
action; or
c) Eighteen months have passed since the warning or disciplinary
action and management has not issued to the employee notice of the extension
of the period and the employee does not have another active warning or
disciplinary action which occurred within the last eighteen months.
2. Inactive disciplinary actions will be removed from the employee's main
personnel file and placed in an inactive file in Human Resources.
B. Extension of Disciplinary Actions
Any written warning or disciplinary action for an SPA employee may be extended
at any time within eighteen months of the effective date of the disciplinary
action. The employee and Human Resources must be given written notice of
the extension.
C. Transfer of Disciplinary Actions
When an SPA employee transfers to another campus department or State agency,
any active disciplinary action(s) will transfer with the personnel file of
the employee and will remain in full force at the new work unit until removed
by the new supervisor or made inactive by operation of this policy.
D. Pre-Disciplinary Conferences
Before an SPA employee is suspended, demoted, or dismissed, the following
must occur:
- A conference must be scheduled and held by a management representative(s)
with the employee. Advanced written notice of the pre-disciplinary conference
must be given to the employee noting the time, location, and the issue(s)
for which the disciplinary action has been recommended. The amount of advance
notice should be as much as is practical under the circumstances.
- Attendance at the pre-disciplinary conference should be limited to the
employee and the management representative(s) conducting the conference.
Exceptions should be referred to Human Resources.
If the employee is unable to attend the pre-disciplinary conference for
reasons beyond his/her control, the conference must be rescheduled. If
an employee fails to appear for the conference and does not notify the
supervisor of his/her intentions, or fails to provide sufficient reasons
for non-attendance, the supervisor may render a decision based on available
information.
If necessary, a Public Safety Office may be present at management's discretion.
Attorneys are not allowed to attend these conferences. Pre-disciplinary
conferences may not be tape recorded by either party.
- In the conference, the management representative must give the employee
oral or written notice of the recommendation for suspension, demotion, or
dismissal, including specific reasons for the proposed action and a summary
of the information supporting the recommendation. The employee must have
an opportunity to respond to, and/or refute, information provided by management,
and be allowed to offer information or arguments to support his/her position.
- Following the conference, management should review and consider the response
of the employee and reach a decision on the proposed recommendation. In
order to have sufficient time to review and consider all information, management
should not communicate the decision to the employee prior to the beginning
of the next business day following the conclusion of the conference or after
the end of the second business day following the conference. If the decision
remains to suspend, demote or dismiss the employee, a written letter containing
the specific reasons for the action, the effective date of the action, and
the employee's appeal rights must be issued to the employee in person or
by certified mail-return receipt requested, to the last known address of
the employee.
- Management's failure to conduct a pre-disciplinary conference will cause
the disciplinary action to be non-binding.
E. Credentials
- By statute, only persons who are duly licensed, registered or certified
as required by the relevant law may perform some duties assigned to positions.
All such requirements and restrictions are specified in the statement of
essential qualifications or recruitment standards for such classifications
established by the State Personnel Commission.
- Employees in such classifications are responsible for obtaining and maintaining
current, valid credentials as required by law. Failure to obtain or maintain
the required credentials is a basis for immediate dismissal without prior
warning. An SPA employee who is dismissed for failure to obtain or maintain
credentials must be dismissed under the procedural requirements applicable
to dismissals for unacceptable personal conduct or grossly inefficient job
performance .
- Falsification of employment credentials or other documentation in connection
with securing employment constitutes just cause for disciplinary action.
When credential or work history falsification is discovered prior to employment,
the applicant must be disqualified from consideration. If discovered after
employment the following will apply:
a) Confirmed falsification of required credentials will result in immediate
dismissal under the procedural requirements applicable to dismissals
for unacceptable personal conduct or grossly inefficient job performance.
b) Confirmed falsification of other credentials will result in some
form of disciplinary action, but the severity of the disciplinary action
will be at the discretion of management.
F. Investigatory Status with Pay
- In cases where an investigation is necessary to determine if disciplinary
action is warranted, an SPA employee may be temporarily removed from work
status and placed on investigatory status with pay. Management must notify
an employee in writing of the reasons for investigatory placement not later
than the second scheduled workday after the beginning of the placement. Placement
of an employee on investigatory status is not a disciplinary action and therefore
would not require a pre-disciplinary conference or carry appeal rights.
- Investigatory status with pay may be appropriately used to provide time
to schedule and hold a pre-dismissal conference. Also, management may elect
to use placement on investigatory status in order to avoid undue disruption
of work or to protect the safety of persons or property.
- Placement on investigatory status with pay cannot exceed 30 calendar days
without written approval of extension by the associate vice chancellor for
Human Resources and the State Personnel Director. If management by the end
of 30 calendar days has taken no action and no further extension has been
granted, management must either take appropriate disciplinary action on the
basis of the findings of the investigation, or return the employee to active
work status.
- Placement of an SPA employee on investigatory status cannot be used for
the purpose of delaying an administrative decision on an employee's work status
pending the resolution of a civil or criminal court matter involving the employee.
X. SPECIAL CONSIDERATIONS
A. Written Notice
Failure to give specific written reasons for suspension, demotion, or dismissal,
or failure to give written notice of applicable appeal rights will cause the
disciplinary action to be non-binding. Time limits for filing a grievance
do not start until the employee receives written notice of his/her appeal
rights, subject to the next paragraph.
B. Reasonable Effort
It is occasionally necessary to mail a letter of dismissal to an employee.
An agency is responsible only for making a reasonable effort to inform the
individual. In such instances, a dismissal letter should be sent by certified
mail to the employee's last known address. Time limits for filing a grievance
run from the time delivery was attempted if actual delivery is not achieved.
C. Comparability
In using the unsatisfactory job performance disciplinary process, the similarity
of treatment of persons in similar situations within the employing unit should
be an important consideration. Inconsistent use of discipline in similar
situations may lead to poor morale, grievances or lawsuits.
D. Employee Assistance Program (EAP)
Because of the University's strong commitment to ensure that all troubled
employees are given every opportunity to use the resources of the EAP, supervisors
are encouraged to consider that option when disciplinary questions arise.
The services of the Employee Assistance Program may be offered in conjunction
with a written warning. The supervisor may not offer the EAP as an alternative
to disciplinary action.
