UAMS ADMINISTRATIVE GUIDE

NUMBER: 4.4.02
DATE: 09/14/00
REVISION:

SECTION: HUMAN RESOURCES
AREA: EMPLOYEE RELATIONS
SUBJECT: EMPLOYEE DISCIPLINARY NOTICE

PURPOSE

The purpose of this policy is to notify departments within the University of Arkansas for Medical Sciences (UAMS) of the procedures to be followed for handling notices to employees who have demonstrated or displayed on-the-job conduct or performance which does not meet acceptable standards. These procedures follow an orderly process designed to help employees correct or improve work-related problems, performance or attitudes.

POLICY

All Employee Disciplinary Notices must be issued for just cause and should specifically address deficiencies such as substandard job performance, unacceptable or uncooperative behavior, lack of dependability, misconduct or infraction of UAMS rules, regulations or policies. {See Admin Guide 4.4.01 Basic Code of Conduct} A warning notice should be issued to the employee as soon as possible after the incident(s) giving rise to the notice so that prompt corrective action may be taken. Decisions to place an employee on disciplinary notice must be made without regard to race, religion, sex, age, national origin, disability or veteran status.

PROCEDURE

  1. Departments must complete all Employee Disciplinary Notice forms in triplicate. The form may be ordered through the UAMS Stockroom (Item #73-115). The original must be sent to the Office of Human Resources, the issuing department for their records must retain the 2nd copy, the 3rd copy must be given to the employee. All Employee Disciplinary Notice forms received by the Office of Human Resources (OHR) will be reviewed for inclusion in their personnel file.

  2. Departments issuing a first-time disciplinary notice to an employee should do so orally, on the Employee Disciplinary Notice form. All oral notices stay in the department. Oral notices are for documentation purposes only (complete Section 1. of the Employee Disciplinary Notice form only) and DO NOT require the signature of the employee. It is advisable to document the essence of the discussion and what was concluded at the meeting.

  3. Departments issuing a second or third disciplinary notice to an employee for the same or related infraction must do so in writing by completing the Employee Disciplinary Notice form Section 1 and Section 2.

  4. Issuance of a third notice (second written notice) for the same or related infraction may be grounds for immediate dismissal without notice. Cause for dismissal may exist if, within a 12 month period, the problem continues after the issuance of a related oral and written notice, or after the issuance of three unrelated written notices.

  5. Some employees may refuse to sign the notice. If so, the supervisor should state in the comment section, "Employee refused to sign". If the employee desires that an issue be advanced to grievance proceedings, it is their responsibility to contact the Assistant Vice Chancellor of Employee Relations for processing.

  6. Immediate dismissal for cause, and without prior oral or written notice, should be either within the probationary period or for acts of gross misconduct. Acts of gross misconduct must be considered individually and cannot be listed in simple form. Acts generally considered as gross misconduct include provable theft of University property or money; carrying of unauthorized firearms on the premises; use of drugs or alcohol on the premises; physical violence directed at another employee, visitor or patient; violating employee, patient confidentiality; acts or omissions which seriously jeopardize patients; or propping open external doors after they have been locked for the evening by UAMS Police Department and falsification of records. There may be some instances where the supervisor can advance to a written warning, depending on the severity of the incident; where immediate dismissal is inappropriate for the particular instance.

  1. Department supervisors may decide to place an employee on "administrative leave" while investigating issues of gross misconduct. This delaying action should be exercised only in cases which cannot be immediately decided, and where it will be in the best interest of both the employee and the University not to have the employee present while an investigation is being conducted. Once a decision is reached, the employee will either be dismissed, effective on the last day worked, or will be reinstated without the loss of pay while in a status of suspension.
  2. Clinical Programs should consult OHR prior to taking disciplinary action up to and including termination.
  3. Immediate dismissals, written warnings and administrative leave should be discussed with the Employee Relations Manager or the Asst. Vice Chancellor of Employee Relations.

EMPLOYEE DISCIPLINARY NOTICE INSTRUCTIONS

COMPLETING THE FORM

  1. Employee: Enter the full name and SSN of the employee being issued the disciplinary notice.

  2. Date: Enter the date the notice is being issued.

  3. Work Telephone Extension: Enter the work telephone number of the individual initiating this notice.

  4. Employee's Position: Specify the employee's position or job title.

  5. Department: Enter the name and number of the department where the employee being disciplined works.

  6. Oral, Written & Immediate Dismissal (Employee’s last day will be): Check the appropriate box which describes what disciplinary action is being taken. If the employee is being terminated, then the date of the employee's last day of work must be entered. (oral warnings remain in the department, completion of Section 2. is NOT required)

  7. Purpose of the Warning : A detailed explanation of the reason for the notice is required in the space provided. If more space is needed, write or type the additional comments on blank paper and attach copies to each copy of the form.

  8. Supervisor & Department Director's Signature: The employee's supervisor and department director must sign and date the form in this space.

  9. Employee Signature and Comment Section: The employee must indicate agreement or disagreement by checking one of the two statements listed and sign and date theform.

  10. Comments: If the employee refuses to sign this form, the employee's supervisor must state so in this section and also sign and date the form in the space provided.

REFRENCES

UAMS Policy 4.4.01, Basic Code of Conduct