SUBJECT: PERFORMANCE COUNSELING AND DISCIPLINE

APPLICABILITY: REGULAR STAFF 1. General Policy:

It is the policy of the university that supervisory efforts should be concentrated on the prevention of serious personnel problems rather than on disciplining employees for misconduct. However, with proper review by Human Resources supervisors shall have the right to discipline or summarily discharge an employee for cause. If disciplinary measures are imposed, it is essential that each problem be investigated so that the facts of the situation are known.

Except in cases of discharge, disciplinary action should be primarily corrective rather than punitive and be appropriate to the offense An employee being disciplined should be told what he/she has done wrong and should clearly understand what is expected of him/her. The employee should be given a reasonable period of time to improve performance or correct behavior.

An employee will be discharged when all other reasonably corrective or rehabilitative methods have failed or when the serious nature of the violation warrants immediate separation. In cases involving fraud, theft, or other serious allegations, an investigation would be appropriate before confronting the employee with the allegations. In these situations, it is recommended that the department official first notify the Assistant Vice President for Human Resources or his/her representative.

In all cases of discipline and/or discharge, the dignity of the employee should be respected. All Cases involving suspension or discharge require prior review by Human Resources (see also, Section 6.)

2. Policy Application:

This policy applies to all regular staff. The policy and procedure herein established may apply to dismissal during the probationary period. However, at any time during the probationary period an employee may be terminated (with prior review by Human Resources) without recourse to this policy, as long as the reason for termination is not an illegal reason. The University makes initial appointments on a six (6) month probationary basis.

3.  Definitions of Minor Rule Violations:

Rule violations of a minor nature have little or no effect on the continuity, efficiency, and safety of University work but cannot be tolerated if repeated. The following are a few examples of what may be termed minor rule violations which can result in either verbal or written warnings being entered into an employee's record. Continuation of an offense can result in stronger disciplinary action. This list is not intended to be inclusive.

1. Unexplained, inexcusable, or unauthorized absence or tardiness.
2. Failure to notify supervisor as soon as possible on first day of absence.
3. Failure to observe assigned work schedules (starting time, quitting time, rest and lunch periods).
4. Soliciting or collecting contributions for any purpose on University premises without management permission.
5. Selling or offering for sale, on University premises, any article or service without management permission. Employees may not use University time or equipment to profit from or promote a personal business.
6. Unsatisfactory work performance.
7. Loafing or other abuse of time during assigned working hours.
8. Interfering with any employee's work performance or duties by talking or other distractions.
9. Distributing written or printed matter of any description on University premises without management permission.
10. Leaving regularly assigned work location without notifying immediate supervisor.
11. Performing unauthorized personal work on University time.
12. Defacing bulletin boards or notices posted thereon.
13. Minor violations of safety rules.
14. Failure to punch time card or record card as instructed.
15. Discourteous treatment of the public or of other employees.
16. Improper political activity of a minor nature.
17. Behavior or activity on or off campus that is of such nature to cause minor discredit or embarrassment to the University.
18. Abusive, unruly, indecent or obscene conduct of a minor nature.
19. Minor violation of internal department work rules.
20. Engaging in excessive visiting, personal conversations, or use of the telephone for personal use.
21. Accepting any gifts or favors which influence or tend to influence the performance of duties or the granting of service or favors to other University personnel, applicants, clients, or other persons.
22. Failure to follow any reasonable instructions issued by supervisor related to performing job tasks and/or other duties.
23. Bringing or inviting visitors (not on official business) to the work place who interfere with any employee's ability to do his/her job.
24. Using personal, political, or religious beliefs to harass or intimidate others on University premises.

4.  Definitions of Major Rule Violations:

Major offenses are any serious, willful, deliberate, or negligent acts or violations of University policies or rules of such a degree that continued employment of the offending individual may not be desirable. The following are examples of some offenses which may subject an employee to a written warning, suspension or discharge. This list is not intended to be all inclusive.

1. Any act which might endanger the safety or lives of others.
2. Refusal or inability to perform work properly assigned by a supervisor.
3 Failure to perform a major assignment, task, or function in an effective and efficient manner.
4. Willful, deliberate, or repeated violation of University safety rules including but not limited to the following:
             a. Refusal or failure to wear University provided safety and protective apparel and/or equipment.
             b. Failure to follow safety guidelines and instructions.
             c. Repeated incidences of unsafe acts resulting in injury to self or others.

5. Willfully falsifying any University records.
6. Punching the time card for another employee or allowing yours to be punched by another employee.
7. Leaving University premises during working hours without permission from the supervisor.
8. Deliberately or negligently abusing, destroying, damaging, or defacing University property, tools, equipment, or the property of others on University premises.
9. Gambling on University premises.
10.Deliberately avoiding work, delaying or restricting work, or inciting others to avoid work, delay or restrict work.
11. Fighting on University premises (any employee directly involved).
12. Bringing liquor, marijuana, or narcotics onto the University campus; or consuming liquor or using marijuana or narcotics on University premises; or reporting for duty under the influence of liquor, marijuana, or narcotics. The same applies to any illegal, habit-forming or disabling substance not prescribed by a physician or abuse of or distribution of prescription drugs.
13. Carrying firearms or other dangerous weapons on University premises.
14. Failure to return to work on expiration of vacation or leave of absence, or when called back after a layoff or after a holiday.
15. Disclosure of confidential University information to unauthorized persons.
16. Dishonest or unethical actions, theft, misappropriation or unauthorized use of University funds or property, or failure to report knowledge thereof. (Knowledge is witnessing the dishonest or unethical act or receiving direct information regarding the act.)
17. Continued unsatisfactory work performance.
18. Unexplained, inexcusable, or unauthorized leave for more than three days.
19. Continued absences or excessive tardiness.
20 Physical, mental, or emotional inability to perform job satisfactorily (with reasonable accommodation, if covered by the Americans with Disability Act).
21. Failure to abide by University and/or departmental policies and rules.
22. Insubordination or willful disobedience.
23. Abusive, unruly, indecent or obscene conduct of a major nature.
24. Conviction of a felony or conviction of a misdemeanor involving moral turpitude.
25. Improper political activity of a major nature.
26. Behavior or activity on or off campus that is of such nature to cause major discredit or embarrassment to the University.
27. Flagrant or repeated minor rule violations.
28. Criminal conduct (including a change in driving status when driving is an essential job function) or employee's failure to report his/her criminal conduct, that would adversely affect an employee's work performance, impact the work environment, or cause major discredit or embarrassment to the University.
29. Failure to resolve and settle any indebtedness owed to the University.
30. Failure to exercise proper management controls and good judgement.

5.  Corrective Disciplinary Actions:

For repeated but relatively minor incidents of substandard performance, misconduct, or rule violations, corrective counseling and discipline should be progressive. The normal sequence of action is: (1) Initial discussion; (2) Oral Warning; (3) Written Reprimand; (4) Suspension; (5) Discharge. Depending on the severity of the case, the action may begin at any of these steps. Any action involving suspension or discharge requires prior review by the Director of Human Resources or his/her designated representative.

5.1. Initial Discussion : Normally, initial disciplinary action should be in the form of an oral discussion, especially for minor rule violations. If it appears that an employee has failed to perform his/her work or conduct him/herself according to requirements, the supervisor should first talk to the employee about the matter and informally inquire further into the situation. If facts indicate that the employee may have been at fault, the supervisor should discuss the matter with him/her and the expectations of the supervisor or steps needed for improvement. The supervisor should always seek to ascertain the employee's comments regarding the incident, behavior or poor performance.

5.2. Oral Warning : If the initial discussion fails to produce the desired results, an oral warning is normally the next step. With an oral warning, the supervisor should again discuss the matter with the employee. If the supervisor wishes, he/she may call on another person to be present as a witness, preferably another supervisor. The employee should understand the gravity of the situation. With an oral warning, the employee is put on notice that disciplinary action will be forthcoming if there is a repeated violation or if the situation does not improve. Supervisors should maintain a complete and accurate written notation of the warning.

5.3. Written Reprimand : A Written Reprimand involves both a formal interview with the employee by the supervisor and an official memorandum to the employee emphasizing the negative effect of the employee's conduct or work performance on his/her record. If the immediate supervisor does not have the authority to discharge, then such an interview should be conducted by or with the permission of the department official who does have discharge authority. A written reprimand should include: names of everyone involved, dates, description of incident or unsatisfactory performance, witnesses (if any), and action taken. It is recommended that Form UPO -19 Counseling Memo be used for this purpose, however, there may be occasions when the department official wishes to use a written memorandum instead. Reference should be made to dates and results of prior oral warning(s), or other written reprimand(s), if any. Also included should be action that will be taken if satisfactory improvement does not occur. It should be signed by the reprimanding official. It should also bear or request the employee's comments, if any, and his/her signature. The employee should be informed that his/her signature indicates receipt of a copy of the reprimand letter, but not necessarily mean that he/she agrees with its contents. If the employee refuses to or is unable to sign the reprimand, a witness, preferably another supervisor, should verify that the employee has received a copy of the reprimand. A copy of the letter of reprimand should be sent to the Associate Director of Human Resources for Employee Relations/Training. Written reprimands will be removed from an employee's permanent file and placed in a confidential file in the Human Resources Department if the employee has performed satisfactorily for a twelve-month period from the date of the last reprimand letter. In unusual circumstances, the department official may request, in writing, that the reprimand be removed from the file prior to the end of the twelve month period. The reprimand will remain a part of the employee's record.

 5.4 Suspension: "Suspension" means the interruption (without compensation) of the active employment status pending an investigation and decision as to the extent of disciplinary action; or suspension may be disciplinary action in itself. Before suspension action is taken the immediate supervisor must discuss the situation with the Assistant Vice President, Human Resources or his/her designated representative. The employee should be allowed to respond (preferably in writing) to the charges. If suspension is warranted, the employee should be presented with a completed UPO-19 indicating suspension, the number of days suspended, and the reasons for the suspension. Suspension involves removal from the payroll for a specified period of time, or in some cases, indefinitely. To suspend (dock) an employee from payroll, the supervisor who has discharge authority must forward a written memo to Payroll. The memo should stipulate the name of the employee being suspended, his/her social security number, the number of days suspended and that the employee is "being suspended as disciplinary action for violation of a major work rule (Reference UPO-19, Counseling Memo, on file in the Human Resources Department.)" A Payroll Authorization Form HRM-6 should be completed, removing the employee from the payroll if the suspension is for an extended or indefinite period of time (usually two weeks or more).

If the management official believes it is improper to leave the employee on duty until approval for removal can be obtained, he/she should consult with Human Resources to see if administrative leave is appropriate (see section 5.6 below.)

NOTE: Disciplinary suspensions of FLSA exempt employees for less than a full week are not permitted unless the suspension is "imposed for infractions of significant safety rules relating to prevention of serious danger to the workplace or other employees."

5.5. Discharge or Release : In cases other than serious offenses, release from employment should be used as a last resort. When it becomes necessary to release an employee, the employee, in effect, will have been released by the record he/she has established. The supervisor/manager who has the authority to employ also has the authority to discharge. Since the most extreme disciplinary measure is discharge, before the discharge the supervisor or management official who initiates this action must review with the Assistant Vice President, Human Resources or his/her designated representative, the procedure that has been followed. This review will assure that the case for dismissal has been objectively investigated and is both justified and properly documented. Regular non-probationary staff who are being considered for discharge for major rule violations shall be given an opportunity to respond to the allegations (preferably in writing) prior to the decision to discharge. This may be accomplished in a meeting with the employee or by providing the employee a written letter for his or her response. If after reviewing the response, and discharge is in order, an employee should be presented with a completed Form UPO-19 indicating discharge, the reasons for the discharge, and the date of the discharge. As with every step outlined in this policy, the manager must allow for and seek to ascertain the employee's comments regarding the situation. Since discharge requires prior consultation and approval, it should not be done "on-the-spot". If the management official believes it is improper to leave the employee on duty until such approval can be obtained, he/she should consult with Human Resources to see if administrative leave is appropriate. This also allows time for an investigation which may be necessary.

5.6. Immediate Suspension: In extremely serious cases involving fraud, theft or other criminal conduct, or unruly behavior, violence or the imminent threat to personal safety or property, the Senior Vice President for Administration or the Assistant Vice President for Human Resources may approve, subject to subsequent concurrence by the appropriate Vice President, an immediate suspension or leave without pay. Also, the individual's named above or the supervisor and/or Police Department may determine the need for immediate arrest or removal from University property of an employee.

6.  Alternative Disciplinary Actions:

Other forms of disciplinary action may be appropriate in some cases. These may include making up lost time, docking, withholding salary increases, demotion, transfer to more suitable work, or compensating the University for damage. These alternative disciplinary actions require prior review by the Director of Human Resources or his/her designated representative.

7.  Discharge for Cause:

An employee being discharged for cause under the provisions of this policy shall not be allowed to voluntarily terminate, unless he/she does so prior to notification of the discharge or unless agreed to by the University. The official personnel record will reflect that the employee was discharged for cause or resigned during pending disciplinary action. This is required because of rehire policies, possible legal actions, unemployment compensation liability, etc.

8.  Involuntary Terminations Other Than Discharge:

It is not the intent of this policy hereby established to prohibit, or in any way restrict, the University and its administrative officials from the right to terminate any employee for any non-disciplinary reason if it is in the best interest of the University to do so. An employee so terminated shall not have recourse through this policy or the Grievance Policy. However, an employee may utilize the Complaint Policy. Examples of termination for non-disciplinary reasons include, but are not necessarily limited to probationary terminations, terminations due to lack of work or funds, terminations due to redesigning jobs and changes in the organizational structure due to compliance with University policies and rules (i.e., retirement, nepotism, etc.), and the termination of coaches as a result of their coaching ability, ineffective public relations or performance record. These terminations require prior review by the Assistant Vice President, Human Resources or his/her designated representative.