KCTCS Human Resources Procedures #3 Progressive Disciplinary Action Procedures

KCTCS Human Resources Procedures #3 Progressive Disciplinary Action Procedures Relates to: KCTCS Board of Regents Policies 2.0 Kentucky Community and Technical College System Employment 2.8.2 Termination 2.18.7.1 Kentucky Community and Technical College System Policy on Continued Employment Status 3.1 Equal Employment Opportunity KCTCS Administrative Policies and Procedures 2.0.1.1 Employment Status Categories 2.0.2.1 Kentucky Community and Technical College System Employment 2.14.2.4.1 Temporary Disability (Sick) Leave for Faculty 2.14.2.4.2 Temporary Disability (Sick) Leave for Staff 2.14.3 Unauthorized Absences or Leaves 2.15.2.11 Demotion 3.3.1 Harassment Based on Race, Gender, Age, National Origin, Color, Religion, or Disability 3.3.13.1 Substance Abuse 4.2.5 Policy Governing Access to and Use of Kentucky Community and Technical College System Computing Resources Note: KCTCS reserves the right to apply the terms of this KCTCS Human Resources Procedure pertaining to a violation of any and/or all other policies, regulations, and rules in effect within the organization. Effective date: October 17, 2002 Supersedes: KCTCS recognizes that situations may occur which require appropriate disciplinary action to facilitate either improvement of an employees job performance and/or conduct, or if appropriate, to result in termination. If corrective disciplinary action becomes necessary, it is the intent of KCTCS to discipline employees only when there is just cause. KCTCS employees who have successfully completed their Introductory Period have earned Continued Employment Status. Continued Employment Status, as well as Continuing Employment Status previously earned under KRS Chapter 151B, and Status previously earned under KRS Chapter 18A all ensure that any disciplinary action taken against an employee must be for just cause and the employee must have due process rights. This due process includes an opportunity for the employees to provide their own information/account to college officials

regarding any incident involving possible violations, prior to a determination to administer disciplinary action. Just cause means there is proper and sufficient reason for disciplinary measures imposed on employees by management, as a result of poor work performance and/or conduct. Just cause includes unsatisfactory work performance, misconduct, or violations of any of the workplace rules, policies, or regulations contained in the KCTCS Policy Manual or any of the policies or regulations applicable to the employee. Supervisors have the responsibility to manage the employee s work performance with a goal to reach and maintain the employee s performance at a productive and acceptable level. The necessary work performance management steps to be completed by the supervisor include the following: 1) Designate and communicate (preferably in writing) the employees job responsibilities and expected standards of performance; 2) Provide ongoing and continuous feedback to employees regarding their work performance. This includes evaluation and feedback during the formal performance evaluation, as well as informal and/or formal assessment and feedback as needed throughout the performance year. 3) Address performance deficiencies immediately and directly with the employee as they occur. 4) When the employee exhibits unsatisfactory job performance, provide feedback to the employee of his/her unsatisfactory performance and communicate methods and standards for improvement. 5) Provide an opportunity for improvement and give continued feedback. KCTCS will not take disciplinary action against employees without conducting an objective investigation, which includes an opportunity for employees to explain their actions. KCTCS will utilize a progressive disciplinary action model, in which less severe disciplinary action steps are normally taken for initial violation(s). For repeated violations, more serious disciplinary steps are normally taken in a progressive sequence. For certain serious policy/rule violations for example, including but not limited to theft, threat of or assault on another employee, or a willful violation of a safety rule that could produce a life-threatening situation KCTCS might find it necessary to discharge an employee for a first offense, or to otherwise skip various steps and move directly to the more severe steps in the process. Types of incidents or behaviors that may warrant discipline are listed toward the end of this Human Resources Procedure. During the Introductory Period, supervisors are also encouraged to provide continuous feedback and communicate standards for improvement, and to provide a structured opportunity for improvement. However, failure to satisfactorily perform in the Introductory Period may result in termination during the Introductory Period. During the Introductory Period, an employee may be terminated at any time, with or without cause. HR Procedure #3 2

Progressive Discipline Procedures Supervisors should consult the college Human Resources staff to discuss potential disciplinary action, particularly prior to taking actions outlined in steps 3 and 4 below. Prior to taking disciplinary action in steps 3 and 4 below college Human Resources staff and supervisors in the KCTCS System office must consult with personnel in the KCTCS Human Resources- Employee Relations office and follow the steps outlined in the document entitled Disciplinary Action/Termination Process Steps (Attachment A). Disciplinary action shall normally be carried out in accordance with the progressive disciplinary steps below: 1. Verbal warning. The first notification to the employee of a specific problem shall be verbal. This warning describes the problem, specifies the improvement that is expected, establishes a time period for improvement, and advises the employee that more serious discipline will be rendered if the employee fails to correct the problem within a specified time period. The supervisor must make and keep a written record of the verbal warning for future reference, but no record of this warning is placed in the employee s official personnel file. The supervisor must make sure the employee understands the workplace rules and standards. The supervisor and employee must agree on a plan or objectives for improving the worker s conduct or performance. 2. Written warning. In the case where verbal notice of a problem has not resulted in correction or identifiable progress toward correction that is satisfactory to the supervisor, or in the case where the employees conduct is more severe than would warrant a verbal warning, a written warning is the next step in the disciplinary process. A meeting shall be held as soon as practicable after the supervisor determines that discipline is needed. At the meeting, the employee shall be presented with a written warning describing the problem including dates of incidents or meetings to discuss the matter, specifying the improvement that is expected, establishing a new time period for improvement and advising the employee that more serious discipline will be rendered if the employee fails to correct the problem. At the meeting, the employee will be given an opportunity to respond to the alleged violations. If the supervisor determines that disciplinary action shall occur, a copy of the written warning is given to the employee and placed in the employee s official personnel file. 3. Suspension and/or Probation. If the employee s misconduct or poor work performance continues, the next step is a suspension without pay. After an employee is suspended for the first time, should the employee misconduct or poor work performance persist, a second suspension of a greater number of working days without pay may be rendered. An employee will have an opportunity to present his or her side of the case before a suspension without pay is rendered. Notices of suspension are placed in the employees personnel file and remain there indefinitely. Disciplinary Probation may be instituted in lieu of or in conjunction with a suspension. Probation is a program instituted for a designated period of time that is designed to notify an employee of deficiencies in behavior/performance and to develop a plan of action to improve those identified deficiencies. During the disciplinary probation period, the employee and the immediate supervisor shall undertake a series of counseling sessions or other appropriate activities designed to bring about the desired behavior/performance. Periodic HR Procedure #3 3

behavior/performance reviews shall be performed at least every 30 to 60 days to monitor the employee s progress. 4. Termination. When all efforts to correct the employee s deficiency have failed, the employee may be terminated from employment. The employee has an opportunity to participate in a pre-termination hearing to determine if termination is warranted. (see Attachment B KCTCS Guidelines for Conducting a Pre-termination Hearing ). Alternate Action. If the employee s misconduct or poor work performance continues, the supervisor may demote the employee to a position of a lower grade. A Show Cause Hearing will be held before an employee is demoted. (See Attachment C- Guidelines for Conducting a Show Cause Hearing ) Violations- Grounds for Progressive Disciplinary Action KCTCS hires employees to work on a continuous basis once an employee successfully completes an introductory period. Any dismissal, suspension, or discipline of an employee shall be for just cause, or proper and sufficient reasons. Disciplinary action normally should occur in a progressive way if performance problems continue in accordance with the progressive steps, such as oral warning, written warning, suspension and/or probation, and termination. However, based on the nature of a violation. KCTCS may skip lower disciplinary actions steps and move to more severe disciplinary action steps in the process, including termination for a first offense, if the serious nature of the violation warrants it. Grounds for disciplinary action and or termination for misconduct, which may be immediate with due consideration to the nature and severity of the act or problem, include, but are not limited to, the following: Insubordination, which includes, but is not limited to unwillingness to perform assigned duties; Violation of KCTCS policies or department rules/procedures; Falsification of the application for employment, time records, or other KCTCS records; Any act which serves to defame or malign the reputation of KCTCS; Dishonesty on the job; Imperiling the safety of KCTCS employees or the public, or possession of a firearm on KCTCS property other than by a staff employee authorized to possess a firearm, i.e., police or security or military personnel; Gambling on KCTCS property; HR Procedure #3 4

Drug abuse, or the influence thereof, or the unauthorized use or consumption of, while on the job or while on KCTCS property (See KCTCS Administrative Policies and Procedures Number 3.3.13.1); Alcohol abuse, or the influence thereof, or the unauthorized use or consumption of, while on the job or while on KCTCS property (See KCTCS Administrative Policies and Procedures Number 3.3.13.1); Acts which constitute a violation of local, state, or federal law on KCTCS property; Incarceration in jail following a conviction of a misdemeanor or felony by a court of competent jurisdiction, which results in missing at least five (5) consecutive working days; Legal conviction of an offense of a nature that is related to the employee s job; Job Abandonment (See KCTCS Administrative Policy and Procedures 2.19.7); Any action or creation or participation in a situation which recklessly or intentionally endangers mental or physical health or involves the forced consumption of liquor or drugs for the purpose of initiation into or affiliation with any organization; Fighting and/or physical assault on KCTCS property and/or while on the job; Other misconduct on KCTCS property; Failure, neglect, or inability to perform assigned duties; Unprofessional behavior; Inappropriate use of KCTCS technology resources, vehicles, and any other KCTCS property; Excessive absences or tardiness (See Administrative Policies and Procedures 2.14.2.4.1, Faculty Sick Leave, Administrative Policies and Procedures 2.14.2.4.2, Staff Sick Leave, and Administrative Policies and Procedures 2.14.3.1 Unauthorized Absences or Leaves); Failure to appropriately inform the department head or supervisor of absences or expected tardiness; Failure to act in a courteous or cooperative manner toward the public or KCTCS employees; Inappropriate or unsuitable job performance; Acts of statutorily prohibited discrimination, including sexual harassment and HR Procedure #3 5

harassment based on race, color, national origin, religion, age, gender, disability, veteran status, sexual orientation, creed, ethnic origin, political affiliation, and smoking status. (See KCTCS Administrative Policies and Procedures Number 3.3.1). If performance problems continue, disciplinary action normally should occur in a progressive way in accordance with the progressive steps listed in the Progressive Discipline Procedures section of this Procedure. However, based on the serious nature of a violation, KCTCS may skip lower disciplinary actions steps and move to more severe disciplinary action steps in the process, including termination for a first offense, if the serious nature of the violation warrants it. Glossary of Disciplinary Action Terms Administrative Leave: An employee may be placed on an administrative leave with pay pending the conclusion of an investigation into an alleged violation or disciplinary issue. Continued Employment Status: KCTCS employees who have successfully completed their Introductory Period have earned Continued Employment Status. Continued Employment Status ensures that any adverse employment actions taken against an employee must be for just cause and the employee must have due process rights in contesting any planned adverse employment action. Counseling: Discussion between the supervisor and the employee in which the supervisor makes the employee aware of a performance problem and impresses upon the employee the importance and necessity of correcting the problem. Demotion: An involuntary movement to a position of a lower grade. Discipline: Corrective action taken by the supervisor/management that is intended to facilitate or improve job-related performance or behavior. Discipline is progressive in nature, i.e. it becomes increasingly stronger if the problem is not corrected over a period of time following counseling and prior disciplinary action. Documentation: A written record of information regarding an employee s actions related to a violation. This includes 1) supporting documentation that is a specific account of the reported incidents involving the violation; and 2) formal disciplinary correspondence to the employee and/or for the employee s record that states that a violation occurred and the specific disciplinary action (being) taken, as well as any previous related violations and disciplinary action. Due Process: Due process requires the employee be given notice of the alleged wrongdoing and an opportunity to respond to the allegation. It may include notice of names and the nature of testimony of witnesses against the employee, a hearing before administration personnel and a review of the correctness of the reason for disciplinary action. Check with Human Resources- Employee Relations staff before releasing information to anyone. HR Procedure #3 6

Just Cause: Proper or sufficient reasons for disciplinary measures imposed on employees by management. The just cause standard is necessary to safeguard employees from disciplinary action which is unjust, arbitrary, capricious, or which lacks some reasonable foundation for its support. Introductory Period: A trial period of employment in which the employee receives formal training and orientation to the position and the organization/department. The employee s work performance is monitored and measured during this time against department policies, procedures, work rules, standards, and their job description. An Introductory Period performance evaluation is completed and reviewed with the employee just prior to or at the end of the Introductory Period. The supervisor and administration make a decision immediately prior to the end of the Introductory Period regarding whether to retain the individual as an employee and grant continued employment status. An employee may be terminated with or without just cause during their Introductory Period. See KCTCS Policy 2.18.7 for specifics. Past Practice: A reasonable uniform response to a recurring situation over a substantial period of time that has been recognized, implicitly or explicitly. Past practice may be confined to a division or department, an operation, or small work group of employees. Pre-termination Hearing: A formal meeting between an employee, his/her representative if applicable, supervisor, the institution CEO or CAO and college human resources representatives in which an employee is given the opportunity to state why he/she should not be terminated. Such meeting is prompted by a formal notice issued to the employee from the institution CEO/CAO. Also called a Show Cause Hearing. Pre-deprivation Show Cause or Hearing: A formal meeting between an employee, his/her representative if applicable, supervisor, the institution CEO or CAO and college human resources representatives in which an employee is given the opportunity to state why he/she should not be demoted. Such meeting is prompted by a formal notice issued to the employee from the institution CEO/CAO. Also called a Show Cause Hearing. Disciplinary Probation: A program instituted for a designated period of time that is designed to notify an employee of deficiencies in behavior/performance and to develop a plan of action to improve those identified deficiencies. During the disciplinary probation period, a series of counseling sessions or other appropriate activities designed to bring about the desired behavior/performance shall be undertaken by the employee and the immediate supervisor. Periodic behavior/performance reviews shall be performed at least every 30 to 60 days to monitor the employee s progress. Suspension Without Pay: A progressive step of disciplinary action taken due to an employee s violation (or repeated violations) of a policy, rule, regulation, or statute, in which the employee is placed on a disciplinary leave of absence for a designated period of time, and the employee receives no pay for those days of absence. Suspension is typically the last progressive step of disciplinary action taken prior to a decision to terminate or discharge the employee. Verbal Warning: To orally state to an employee that they have acted or performed work in a way that is in violation of any of the workplace rules, policies, or regulations contained in the KCTCS Policy Manual or any of the policies or regulations applicable to the employee. HR Procedure #3 7

Violation: To act in a manner contrary to any of the workplace rules, policies, or regulations contained in the KCTCS Policy Manual or any of the policies or regulations applicable to the employee. Written Warning: A written record documenting an employee s behavior or work performance that is a violation of any of the workplace rules, policies, or regulations contained in the KCTCS Policy Manual or any of the policies, regulations, or statutes applicable to the employee. The warning is in the form of correspondence that is given to the employee. The provisions of this Human Resources Procedure remain in effect unless and until a KCTCS policy or procedure or a Human Resource Procedure is subsequently established or reissued to state other provisions. HR Procedure #3 8