Staff Personnel Manual (SPP)
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| Effective: 7/1/1978 |
Revised: 1/22/2008 |
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SPP 809: Discipline |
Purpose
To provide employees the opportunity to improve job performance and comply with departmental and university policies and procedures
Source
University policy
Applicability
Regular classified employees (nonprobationary)
Policy
Employees are expected to follow the instructions of their supervisors and to abide by the established policies and procedures in the department and the university. To enable them to do this, administrative officials must:
- develop clear and reasonable departmental policies and procedures
- instruct all employees about what is expected of them in observance of policies, procedures, and established standards of job performance
- give regular constructive feedback to employees about how well they are following policies and procedures and meeting standards of job performance
- investigate the circumstances of each apparent violation of policy or procedure or instance of unsatisfactory performance before taking any disciplinary action
- ensure that prompt, consistent disciplinary action is
administered by the employee’s immediate supervisor after an
investigation has occurred
and
- consult Human Resources (HR) for assistance.
Arizona certified police officers of the ASU Police Department (ASU PD) are also subject to the rules and regulations of the Arizona Peace Officers Standards and Training (AZ POST).
The university follows a progressive discipline policy in order to provide sufficient feedback, including reprimands, if necessary, before a decision to terminate employment. The employee’s supervisor is responsible for carrying out a progressive discipline policy. Exceptions to progressive discipline are:
- failure to possess a valid and current Arizona driver’s license if required as a job qualification and/or condition of employment
- falsification of résumé or application materials or omission of material factual information
- cases of grave offense
and
- unlawful discriminatory conduct that has been substantiated by the Office of Diversity, Human Resources.
A grave offense is normally one that could result in injury or loss of life, limb, or property, or impairment of university operations, or one of willful, malicious, or serious disregard of university policies or rules. A grave offense may result in administrative leave with pay (SPP 704–06, “Administrative Leave of Absence with Pay”), a second written reprimand, suspension without pay, demotion, or involuntary termination if authorized in advance by the director of HR or designee.
The department administrator in consultation with the director of HR or designee has authority to impose any of the following sanctions for failure to possess a valid and current Arizona driver’s license if required as a job qualification or condition of employment:
- involuntary termination
- suspension without pay for a period not to exceed 30 days,
during which time the employee shall obtain a valid and current
Arizona driver’s license or be involuntarily terminated at
the end of the 30-day period
or
- reassignment to other employment responsibilities, if available and appropriate, the performance of which does not include driving or the need for a valid and current Arizona driver’s license as a job qualification or condition of employment.
If involuntary termination, demotion, or suspension without pay is recommended to be imposed, the employee has a right to a hearing before the recommended disciplinary action takes effect. The hearing body will consist of only the employee, the supervisor or other department representative, and the hearing officer, who will be the director of HR or designee. The supervisor and employee will present their facts to the hearing officer. The hearing officer will hear the facts presented and then make a recommendation to the supervisor based on the hearing. All proceedings will be audio recorded and kept for three years from the date of the hearing. The employee has the right to a grievance hearing in accordance with SPP 901, “Grievance Process,” if the action is sustained.
Procedure
Progressive Disciplinary Steps
Step 1: First Written Reprimand
When an employee’s performance, actions, or behaviors indicate a need for improvement, normally the supervisor should counsel the employee and may follow-up in writing with the employee. If the employee does not respond to the counseling approach, step one of progressive discipline is a First Written Reprimand. The first progressive discipline document must be a first written reprimand, except for failure to possess a valid and current Arizona driver’s license if required as a job qualification and/or condition of employment, cases of grave offense, or cases in which unlawful discrimination have been substantiated by the Office of Diversity, Human Resources.
The supervisor should hold a private discussion with the employee concerning the specific problem and the specific corrective action required of the employee. The discussion should be a positive, cooperative attempt at determining and overcoming the source of difficulty.
The employee should be informed that the meeting and first written reprimand are the initial step in progressive discipline.
The supervisor must give a written summary, or letter, of the discussion to the employee.
The first written reprimand is retained in departmental files; it is not placed in the employee’s official file in HR. The employee has the right to submit a rebuttal for the department file.
Step 2: Second Written Reprimand
Following a reasonable time for improvement, when the first written reprimand does not result in the employee’s changed performance, actions, or behaviors, the next progressive discipline step is a Second Written Reprimand. Certain behaviors, including but not limited to leaving before the end of the assigned shift, continued absenteeism, insubordination, or physical or verbal abuse of others, must cease immediately. Repetition following the first written notice or reprimand may result in an immediate second written reprimand. A second written reprimand also may be used as discipline for a grave offense.
The second written reprimand should clearly address performance problems, corrective action required, and the progressive discipline consequences of not correcting the problem, which may include termination, within a reasonable time. Both the supervisor and the employee should sign it. A copy of the second written reprimand must be given to the employee and an additional copy should be sent to HR to be placed in the employee’s official file. The employee has the right to submit a rebuttal for the official file.
Upon request of a department head, a second written reprimand may be purged from an employee’s record at any time. An employee may request in writing to HR that a second written reprimand that is inactive for one year be removed from the record.
In either case, removal is at the discretion of the director of HR or designee.
Optional Step: Suspension without Pay
Suspension without pay may be imposed for serious infractions, or when previous disciplinary steps have not corrected the problem, as a consequence of the commission of a grave offense, or as a consequence of substantiated discriminatory conduct. Exempt employees may not be suspended without pay except for violating a safety rule of major significance, which includes only the safety rules relating to the prevention of serious danger to facilities or other employees.
Suspension without pay may be authorized with prior approval of the director of HR or designee.
When it has been determined by the supervisor, with advance approval of the administrative official and the director of HR or designee, that a pre-suspension without pay is appropriate, the director of HR or designee will schedule a suspension hearing before the proposed suspension date. The supervisor will then notify the employee in writing of the proposed suspension without pay and the right to a suspension hearing.
| Note: | An employee may waive the right to a hearing by so indicating on the hearing notification letter. Failure to appear at the hearing will also constitute a waiver of the right to a hearing. If this right is waived, the decision of the supervisor will take effect as stated. |
An employee who is suspended without pay has a right to a grievance hearing under SPP 901, “Grievance Process.”
Optional Step: Demotion
Demotion for cause is an optional progressive disciplinary action that results in a permanent change of the employee’s assignment from a position in one classification to a position in another classification with a lower pay grade. The salary of a demoted employee may be reduced to a rate of pay within the lower pay grade. Demotion for cause without previous progressive disciplinary steps may be initiated if it is based on a grave offense.
Demotion may be used when an employee is unable to perform successfully in his or her current position, but may be capable of performing satisfactorily in another position. The administrative official is responsible for identifying an appropriate position within the work unit for the individual.
When it has been determined by the supervisor, with advance approval of the administrative official and review by the director of HR or designee, that a demotion is recommended, the supervisor will immediately notify the director of HR or designee so that a demotion hearing can be scheduled before the proposed demotion date. The employee to be demoted has a right to a pre-demotion hearing.
| Note: | An employee may waive the right to a hearing by so indicating on the hearing notification letter. Failure to appear at the hearing will also constitute a waiver of the right to a hearing. If this right is waived, the decision of the supervisor will take effect as stated. |
The salary of an employee who has been demoted following a demotion hearing will be set at a rate of pay that is within the lower pay grade range. The new salary must be approved in writing by the director of HR or designee. An employee who is demoted has a right to a grievance hearing under SPP 901, “Grievance Process.”
Step 3: Involuntary Termination
Involuntary termination may result for any of the following:
- failure to possess a valid and current Arizona driver’s license, if required as a job qualification and/or as a condition of employment
- commission of a grave offense, which is normally one that could result in injury or loss of life, limb, or property; impairment of university operations; or willful, malicious, or serious disregard of university policies or rules
- failure of classified employees to respond to progressive discipline
- unlawful discriminatory conduct including sexual/racial harassment that has been substantiated by the Office of Diversity, Human Resources
or
- any falsification, misrepresentation, or omission of requested information for employment.
The supervisor, after ensuring that all proper progressive discipline steps have been followed, if necessary, and with the advance approval of the administrative official and the director of HR or designee, will schedule a pre-termination hearing before the proposed termination date.
The supervisor will then notify the employee in writing of the proposed involuntary termination, the effective date, whether the employee is to continue working or is relieved of duty immediately and placed on administrative leave with pay, and the right to a termination hearing.
| Note: | An employee may waive the right to a hearing by so indicating on the hearing notification letter. Failure to appear at the hearing will also constitute a waiver of the right to a hearing. If this right is waived, the decision of the supervisor will take effect as stated. |
Under SPP 901, “Grievance Process,” an employee also has a right to a grievance hearing, which may occur after the effective date of termination.
Employees who are terminated for cause (or resign in lieu of termination) will not be considered eligible for rehire, absent an administrative determination by HR in consultation with the terminating department.
Cross-References
For information on unlawful discriminatory conduct, see the Academic Affairs Policies and Procedures Manual—ACD 401, “Equal Opportunity/Affirmative Action.”
For additional information on administrative leave with pay, see SPP 704–06, “Administrative Leave of Absence with Pay.”
For related information, see:
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