EIU Office of Internal Auditing

#35 - Civil Service Disciplinary Management

Approved: February 13, 2012

Monitor: Vice President for Business Affairs

In accordance with existing Civil Service rules and generally expected standards of employee conduct, what follows are some types of behavior that may result in disciplinary action up to and including discharge. This list is not intended to be all inclusive, but should function as a guide to both the employee and supervisor.

Unauthorized and unexcused absence

Leaving work without authority

Habitual lateness

Key duplication and/or unauthorized possession of keys

Misrepresentation of absence

Falsification of records

Refusal or neglect to do work assigned

Failure to follow work schedule

Failure to follow time schedules

Insolence

Failure to adhere to departmental regulations

Insubordination

Smoking in prohibited areas

Disregard of safety regulations

Careless workmanship resulting in spoilage, waste, or delay

Theft

Unauthorized use of institutional property

Gambling on institutional property

Creating or contributing to unsanitary conditions

Horseplay or scuffling

Fighting

Sleeping during working hours

Drinking intoxicating liquors on institutional time or property

Inability to perform satisfactorily assigned duties as a result of drinking alcoholic beverages

Malicious damage to property, tools, or equipment

Immoral or indecent conduct

Conviction of an offense involving moral turpitude

Illegal use or possession of controlled substances, drugs and/or narcotics

Criminal drug statute convictions for a violation occurring in the workplace

The University subscribes to the principle of the use of discipline to correct employee conduct and/or behavior. Such discipline will normally be issued in a progressive manner dependent upon the facts and circumstances of individual cases. Prior discipline may be considered dependent upon the individual circumstances of the instant case (or under such time limits as prescribed within individual collective bargaining agreements).

The appropriate forms of disciplinary action shall include:

Oral Reprimand

Oral reprimand involves a discussion between the supervisor and the employee regarding the infraction with an emphasis on correcting the employee's behavior. A confirmation of an oral reprimand may be kept in the employee's personnel file.

Written Reprimand

For more serious or repeated cases of rules infractions, the supervisor shall counsel the employee as to the correct and expected behavior as well as record the circumstances of the violation in memorandum form, giving the original to the employee and placing a copy in the employee's personnel file.

Suspension

The suspension of an employee shall be based on the recommendations of the supervisor and shall be subject to the approval of the Director of Human Resources, or designee, to ensure consistency of action throughout the institution. The Director of Human Resources will issue all suspensions.

Discharge

When less severe actions fail in correcting an employee's job-related behavior, or when the offense requires immediate separation from employment, a "discharge action" shall be taken. The supervisor shall normally recommend the action which shall then be subject to the approval of the Director of Human Resources, who shall issue the discharge.

Appeal and Grievance Procedure

The employee shall have the option to provide a written rebuttal or clarification at any step in the disciplinary process. The employee's statement will be added to the employee's personnel file. Appeals of disciplinary action shall be made in accordance with the Grievance Procedures for Civil Service Employees. The employee will be informed of procedures for appeal of a suspension greater than thirty days or of discharge.

Responsibilities

Supervisor:

• To initiate, upon consultation with the Director of Employee and Labor Relations (ELR Director), oral and/or written reprimand action. 
• To counsel the employee and provide assistance to correct the issue that resulted in the disciplinary action.
• To recommend to the appropriate Department Head, Dean, Director or Vice President, after consultation with the ELR Director, employee suspension and/or discharge.

Department Head, Dean, Director, Vice President:

• To review Supervisor's suspension and/or discharge recommendation.
• To provide a recommended action to the ELR Director and the Director of Human Resources.

Director of Human Resources:

• To provide consultation as needed to the ELR Director and others.
• In collaboration with the ELR Director, assist in ensuring appropriateness and consistency of disciplinary action.
• To provide final University approval to suspend or discharge.

GUIDELINES FOR SUPERVISORS

When a possible infraction has been observed and/or reported the immediate supervisor should record observations or reports of alleged infraction(s) and proceed with an investigation and review of the matter which shall include:

1. Meeting with any individuals who observed or reported the possible infraction,
2. Obtaining witness statements, if any, in writing, and securing any physical evidence related to the infraction,
3. Communicating with the ELR Director to obtain the employee's prior disciplinary history for determination of progressive and corrective nature of any contemplated discipline,
4. Communicating with the ELR Director who will review any applicable collective bargaining agreement and/or University policy on implementation of specific disciplinary action and
5. In coordination with the ELR Director, meet with the employee who allegedly committed the infraction.

Decision by Supervisor

1. A supervisor may impose an oral or written reprimand after consulting with the ELR Director. Any written communication to the employee shall be provided to the ELR Office for the employee's personnel file.
2. A supervisor may recommend a suspension by contacting the ELR Director and supplying all relevant information on which the recommendation is based.
3. A supervisor may recommend a discharge by contacting the ELR Director and supplying all relevant information on which the recommendation is based.
4. A supervisor should advise and/or seek approval of all appropriate administrative staff on disciplinary action to be taken.
5. No completed action should be taken without advice, consultation and assistance from the Office of Employee Labor and Relations.

Office of Employee and Labor Relations (ELR)

1. When oral or written reprimands are issued, the ELR Director shall review the disciplinary action for progressive and corrective nature of discipline.
2. If suspension or discharge is recommended, the ELR Director must conduct a review of all information provided by supervisor.
3. The ELR Director may conduct an independent investigation.
4. The ELR Director shall review employee's personnel file.
5. The ELR Director shall ensure that all requirements of applicable collective bargaining agreements and/or University policy have been met.

Role of Director of Human Resources

1. The Director shall be notified of any recommended discipline appropriate for the infraction.
2. The Director shall provide signature approval of any suspension or dismissal action.

Consultation With Others

1. The ELR Director will contact the University Legal Counsel and, when a suspension or discharge is implemented, the appropriate area Vice President on discipline matters to advise of facts of case and recommended actions.
2. In the event of discharge, the ELR Director shall contact the University Legal Counsel concerning contemplated action with focus on: (a) facts relevant to proving the infraction and (b) assistance in the writing of charges.

Notification To Employee

If notice of intent to discharge is issued and employee requests a meeting pursuant to a State University Civil Service System rule, a meeting shall be held and the following actions taken:

1. Purpose of meeting shall be stated.
2. Rights of employee shall be stated.
3. Charges as stated in notice of intent shall be read and employee shall be asked if he/she has anything to state concerning the facts of the case or matters in justification or mitigation.