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Disciplinary Action and Complaint Resolution

A. Disciplinary Actions

Discipline is a serious matter, and the level of discipline should take into consideration the conduct/behavior of the employee and its impact upon the working environment. Discipline may vary depending upon the nature and severity of the offense. There are various forms of discipline, including but not limited to, the following:

  1. Written Warning: Notice that an employee’s performance, actions and/or behavior is unacceptable. A written warning shall be documented and placed in the employee’s personnel
  2. Probation: Notice that an employee’s performance, actions and/or behavior over a period of time, or for a serious incident, is unacceptable. Generally, probation does not exceed ninety days. At the beginning of the probationary period, notice is provided that the employee’s continued employment is in jeopardy due to unsatisfactory job performance, repeated violations of policies, procedures, rules or standards, and/or the seriousness of the violation. A decision to place an employee on probation shall be documented and placed in the employee’s personnel
  3. Suspension: Notice that an employee has engaged in a serious violation or repeated violations of policies, procedures, rules or standards resulting in disciplinary leave with pay. A decision to suspend an employee without pay shall be documented and placed in the employee’s personnel
  4. Dismissal: Termination of the employment relationship is governed by Policy 4 for staff members and academic employees in positions for which tenure may not be awarded.

Faculty members, and other academic employees in positions for which tenure may not be awarded, may be terminated for convenience at any time or dismissed for cause by written notice by the chief academic officer or other senior designee of the campus, division or unit, following verbal or written notice and opportunity to respond. Although a dismissal for cause may be effective immediately, employees under this section may seek review of a for-cause dismissal in accordance with the review policies of the campus, division or unit. If no review policy applies, these employees shall have the opportunity to seek, within five working days of dismissal, review of the matter to the chief executive of the campus, division, or unit, or a designee selected by the chief executive, who shall make a final decision on the for-cause termination. Termination for convenience is affected by giving written notice at least 30 days in advance of the date the employment is to cease.

B. Grievance Procedures

INFORMAL

Employees should make every attempt to resolve problems encountered at work informally through discussion with the other persons involved and in a spirit of goodwill and cooperation. If potential problems are addressed early, they are less likely to escalate into grievances.  The supervisor or department head may be able to help resolve complaints and other problems with as little disruption and distress as possible.

Unless excluded below, a grievance is a complaint of a staff employee against the university concerning: the interpretation, application or claimed violation of a specific term or provision of university policy, or other matters that affect the employment relationship of the employee to the university.

Excluded from the procedure are complaints relating to:

  • wages and salaries;
  • falsification of application materials;
  • retrenchment of employees pursuant to Board Policy 5;
  • matters involving reappointment, performance evaluation and promotion that do not concern a claimed failure by the university to follow established policy;
  • Termination for convenience.

FORMAL

All employees are provided a grievance process in an effort to resolve internal conflicts. Prompt and impartial consideration shall be given to such grievances. An employee who submits a grievance may do so without fear of penalty or reprisal. Probationary and extra-help employees do not have grievance rights.

In the event that a problem cannot be resolved informally, the following grievance procedures are available for Non-Academic and Academic employees.

C. Non-Academic Grievance Procedures

As part of affirmative action processes, non-academic employees are provided a grievance process in an effort to resolve internal conflicts. Prompt and impartial consideration shall be given to such grievances. An employee who submits a grievance may do so without fear of penalty or reprisal.

Step 1: An employee who has a grievance concerning the terms and conditions of employment should discuss the matter with his/her immediate supervisor. Within five working days following the date the grievance is presented to the supervisor, the supervisor shall attempt to resolve the grievance. In the event the grievance concerns the immediate supervisor, the employee shall submit the grievance to his/her dean or director.

Step 2: If the grievance is not satisfactorily resolved within five working days following the date it is presented to the supervisor, the employee may submit a written grievance and a copy of the Step 1 decision to the next level supervisor. The supervisor shall review the grievance and render a decision within five working days following receipt of the grievance. Copies of the decision shall be furnished to the employee and immediate supervisor.

Step 3: Depending upon the number of supervisors within the chain of command, Step 2 shall be repeated with each increasing level of supervision through the appropriate vice chancellor.

Step 4: The employee may appeal the decision of the supervisor to the appropriate vice chancellor by forwarding the grievance, in writing, together with a copy of the Step 1, 2 and 3 decisions within five working days following its receipt. The appropriate vice chancellor shall review the matter and render a decision within five working days following receipt of the grievance. Copies of the decision shall be furnished to the employee and supervisors.

Step 5: If the grievance is not satisfactorily resolved through the preceding steps, the employee may submit the written grievance and preceding decisions to the chancellor. The chancellor may elect to convene a committee to review the grievance, or may decide the grievance in the absence of a committee. The decision of the chancellor shall be rendered within ten working days following receipt of the grievance. Copies of the decision shall be furnished to the employee, appropriate vice chancellor and supervisors.

In the event the chancellor determines that the grievance will be addressed by a committee, the chancellor shall forward the grievance, along with all relevant materials, to the chair of the Employee Hearing Committee with a written request that the Committee consider the grievance.

D. Employee Grievance Committee

The Employee Hearing Committee is a standing appeals committee. Its jurisdiction covers cases involving appeals from a dismissal for cause, suspension or demotion. It also exercises authority over grievances that allege discrimination on the basis of race, national origin, sex, age and disability. There is no grievance right for an employee who has received notice of termination upon written notice of at least thirty days in accordance with Board of Trustees Policy 405.4, except for allegations of discrimination.

The Committee shall be appointed by the chancellor and is comprised of five full-time employees – two staff members, two faculty members, and an administrator. The chair shall be appointed by the chancellor.

In instances where the chancellor refers a grievance to the Committee, the Committee may hear the grievance only after all steps of the informal grievance procedure have been exhausted. The grievance must be filed with the chancellor’s office no later than five working days after the informal stages of the grievance procedure have been exhausted. In those instances, where the chancellor refers a grievance to the Committee, every effort will be made to present a recommendation to the chancellor within fifteen calendar days after receipt of the grievance. An additional period of time may be granted by the chancellor. The director of the work unit in which the grievance originated and the aggrieved employee, shall be notified of the hearing date by the chair of the Committee. The parties may present witnesses and information to the Committee. The hearings will be recorded. An advisor may be permitted to assist the parties, but may not directly participate during the hearing. Upon request of the Committee, the supervisor shall arrange for designated employees to be present for the hearing.

The Affirmative Action Officer, Director of Human Resources, or other UAPB officials may be requested to act in an advisory capacity to the Committee.

The Committee will summarize its written recommendation to the chancellor within five working days subsequent to conclusion of the hearing. After reviewing the Committee’s recommendation, the chancellor will make a final decision concerning the grievance.