3.41 DISCIPLINARY ACTION AND GRIEVANCE PROCEDURES
Effective: August 15, 2024
Purpose: The purpose of this policy is to establish guidelines and procedures for addressing various employment matters, such as grievance resolution, progressive discipline, and appeals for demotions, dismissals, and performance reviews, with the goal of ensuring fairness, accountability, and procedural justice for University Support Staff (USS) employees at Emporia State University.
Scope: This policy applies to all University support staff.
Responsible Office: Human Resources
Policy Statement: Progressive discipline is the application of discipline in a series of steps that gradually increase in severity as employees progress through the steps. Supervisors are required to consider the seriousness of the offense and the previous record of the employee. An employee's past record does not have to include a prior offense of the same rule to be issued a more severe disciplinary action than would be given for only one (1) minor infraction. Employees may be disciplined for just cause. Supervisors have the responsibility to discipline employees in a consistent manner and to invoke disciplinary action whenever employees do not follow the rules.
Employees are entitled to have representation, selected by the employee and at the employee’s expense, during the grievance procedures. The employee is responsible for advising the University if a representative is present.
All disciplinary action should be reasonable, timely, and related in severity to the seriousness of the offense. Employees should be properly warned that past behavior has been unacceptable and advised of the desirable behavior which is expected. Proper warning should follow these progressive steps:
- 1st infraction - oral warning (official documentation form is completed and maintained in the unit file for at least one (1) year). Not subject to appeal.
- 2nd infraction - written warning (official documentation form is completed and maintained in the official personnel file for at least five (5) years). Not subject to appeal.
- 3rd infraction - dismissal (official letter is written and maintained in the official personnel file permanently).
The level of disciplinary action depends on the severity of the offense.
University policies provide for hearing and/or appeal procedures in matters of discrimination, suspensions, demotions and dismissals. Employees in permanent status may appeal their performance review within seven (7) calendar days of receiving the review.
PERFORMANCE APPEALS
An employee’s performance appeal should be in writing and addressed to the Affirmative Action Officer.
Within seven (7) days of receipt of the written appeal, HR will select a panel to hear the appeal. Time to participate in the hearing for university employees is considered “work time” and is compensated as such.
Witnesses have a choice to participate in the hearing. Witnesses will not be subjected to any form of intimidation or retaliation by any party for their decision to participate or to not participate in the hearing. Attempts at intimidation or retaliation should be reported to the Affirmative Action Officer. Any complaint alleging intimidation or retaliation will be appropriately investigated and appropriate disciplinary action will be taken if intimidation or retaliation is determined to have occurred.
Performance Appeals are not legal proceedings, and as such, may not be recorded by any party, and the order of business and other considerations will be developed and published in the procedures related to this policy.
Within fourteen (14) calendar days of the hearing date, the Appeals Panel will prepare and sign a review for the employee, which is not subject to further appeal. The Appeals Panel shall give the rating to the Affirmative Action Officer, who, within five (5) calendar days, shall send copies to the employee and the supervisor who originally reviewed the employee.
FORMAL GRIEVANCES
For employees covered by any memorandum of agreement, grievance matters and grievance procedures are those defined by the current agreement. For permanent USS employees not covered by any memorandum of agreement, the processes to file and resolve a formal grievance may be requested should an employee so desire.
INFORMAL GRIEVANCES
Employees should always attempt to resolve job-related problems through and with their immediate supervisors.
Most questions and problems can be and generally are resolved by informal discussion. Some situations, including discipline or discrimination, have specific procedures, which are described in the Progressive Discipline Policy. If the problems persist or are a matter not under the authority of the immediate supervisor, employees are free to consult their unit’s administrative supervisor and then HR to try to solve the problem formally.
GRIEVANCE APPEALS
Permanent employees have the right to appeal demotions, dismissal, and performance reviews to the University Appeals Board (Appeals Board) up to thirty (30) calendar days after the effective date of the disciplinary action.
Appeals Board members will be required to attend training presented by the University.
Witnesses will not be subjected to any form of intimidation or retaliation by any party for their decision to participate or to not participate in the hearing. Attempts at intimidation or retaliation should be reported to the Affirmative Action Officer. Any complaint alleging intimidation or retaliation will be appropriately investigated and appropriate disciplinary action will be taken if intimidation or retaliation is determined to have occurred.
Each party to the appeal shall have an equal opportunity to present arguments to the Appeals Board. The evidentiary phase of the appeal hearing is open only to those directly participating in the hearing. At the hearing, the burden of proof shall be upon the employee to establish by preponderance of the evidence that the disciplinary action taken was arbitrary, unreasonable, or without factual basis. After the hearing, the Appeals Board will adjourn to a closed session to deliberate on the personnel matter of disciplinary action against the employee.
The Appeals Board shall prepare its findings of fact and recommended determination within fifteen (15) calendar days from the last date on which the hearing was conducted.
The Appeals Board will make written findings based on the information presented by the parties at the hearing and recommend whether the appealed action was reasonable and should be upheld, modified, or overturned. The written findings and recommendations must be supported by statements of fact and conclusions based on the application of University rules. The written findings and recommendations shall be provided to the parties to the appeal and to the University President or the President’s designee.
The University President, or the President’s designee, will provide a written decision to the parties within fifteen (15) calendar days of receiving the Appeals Board’s written findings and recommendations. The President’s, or the President’s designee’s, decision is a final agency action, and judicial review of the decision made be made pursuant to the Act of Judicial Review and Civil Enforcement of Agency Actions (K.S.A. 77-601 et seq.).
Definitions: All words and phrases shall be interpreted utilizing their plain meanings unless otherwise defined in University or Board of Regents policy or by statute or regulation.
Procedures: All procedures linked and related to the policies above shall have the full force and effect of policy if said procedures have first been properly approved by the University’s administrator in charge of Human Resources.
[Human Resources procedures - coming soon]
Related Policy Information: N/A