PURPOSE:      

To provide guidelines for Clerical/Technical/Service/Nursing employees with respect to general rules of conduct and performance expectations and to provide supervisors with procedures for applying corrective action in instances of unacceptable conduct or unsatisfactory performance. This policy does not alter the "employment-at-will" relationship or provide any contractual obligation to follow the steps outlined. 

 POLICY:

Employees are expected to maintain standards of professional conduct and performance as required by the employing department and the University. This policy is intended to serve as a guide for addressing unacceptable conduct and unsatisfactory performance problems of employees who have completed their probationary period (see Probationary Period Policy, B080). 

Corrective action, as described below, should be used as appropriate when instances of unacceptable conduct or unsatisfactory performance occur. Unacceptable conduct including, but not limited to, manifest neglect of duty, fraudulent or egregious acts, moral turpitude, demonstrated incompetence, or personal conduct which adversely affects the work environment and/or the employee’s ability to perform University responsibilities may be grounds for immediate termination of employment. Termination due to unacceptable conduct will prohibit reemployment with the University. A list of general infractions is attached; however, should not be considered all-inclusive.    

RESPONSIBILITY FOR DISCIPLINE

Supervisors are expected to implement disciplinary action when appropriate. With the exception of oral counseling/warning, disciplinary actions should be reviewed by the Human Resources office (HR) prior to the implementation of disciplinary actions.

In situations where unacceptable conduct or unsatisfactory performance has occurred and an HR representative is unavailable, the supervisor may suspend the employee and then notify HR as quickly as possible. HR is responsible for ensuring that disciplinary actions are handled consistent with University policies and applicable law.    

PROGRESSIVE DISCIPLINE

Procedure: Violation of University policy, procedure, standard, or work rules will subject an employee to disciplinary action up to and including termination. The level of disciplinary action taken will be determined by management based upon the severity and/or repetition of the violation and the applicable circumstances. All terminations must be approved in advance by the Associate Vice President for HR (Medical) or the Director of HR (Coral Gables/RSMAS).

FORMS OF DISCIPLINE

Oral Counseling/Warning is used to focus attention on the problem that must be corrected. The supervisor should review the incident with the employee, and may state what action will be taken if another problem occurs or if the unsatisfactory and/or unprofessional behavior continues. The supervisor providing the oral counseling/warning should keep a record of the date, time, and place of the meeting, the details of the events(s) necessitating the meeting, the nature of the oral counseling/warning, and the employee’s response.

Written Warning is written communication initiated by the supervisor to the employee identifying the reason for the warning, the required improvement, and the consequences if the problem or behavior continues or if another problem occurs. An action plan detailing the required behavior or performance change and time frame in which such change must occur may be developed. The supervisor will provide the written warning to the individual and will meet with the individual, informing them of the next disciplinary action to be taken if the identified problem(s) is/are not corrected, or if another problem occurs. The supervisor is to forward a copy to HR for inclusion in the employee’s personnel file.

Final Warning is written communication initiated by the supervisor to the employee stating the reason for the final warning, what action is required and may provide a date or time frame by which the problem or behavior is to be corrected. Failure to take the steps directed, failure to improve the performance problem or if there are any other performance problems or if the employee engages in unacceptable behavior in the future, will result in the immediate termination of employment.

At the time an employee receives a final warning, the supervisor is to provide the employee a written statement identifying the reason(s) for the final warning, steps to be taken, and a reference that termination is likely if the problem(s) is/are not corrected or if there are other problems.  An action plan to assist in correcting the problem(s) may be developed.  The final warning is to be approved by HR prior to being given to an employee. The supervisor is to forward a copy to HR for inclusion in the employee’s personnel file.

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Suspension removes an employee from duty for a defined period of time.  It may be imposed for disciplinary purposes or during an investigation. Suspensions should be reviewed by HR in advance.  However, emergent circumstances may dictate that the supervisor remove an employee from duty immediately.  In those cases, the supervisor is to discuss the action with HR immediately following the removal of the employee.

Suspensions generally will not exceed ten (10) working days without prior approval of HR. All suspensions should be approved by the Associate Vice President or Director of HR (Coral Gables/RSMAS). Suspensions may be part of a progressive disciplinary process, or may be imposed without any prior discipline depending upon the severity of the problem(s).

Suspensions will be confirmed in writing to the suspended employee and include: the reason for the suspension, the date and time the suspension begins as well as the date and time the individual is to return to work. A copy of the suspension is to be sent to HR for inclusion in the employee’s personnel file. Failure to return to work upon the expiration of the suspension period will result in termination.

Suspensions pending an investigation must result in one of the following actions:

If the investigation results support that termination of employment is warranted, the employee will be notified of their termination.

If the investigation results support reinstatement, but the problem is serious, Human Resources will determine if the individual is to be paid for the suspension period and if other disciplinary actions should be taken.

If the investigation results determine the suspension was not warranted, the employee will be paid for the suspension period and notices related to the suspension removed from the individual’s personnel file.

Terminations fall into two (2) categories where the University determines that the employee’s: 1) performance is unsatisfactory, or 2) conduct is unacceptable.   Termination for unsatisfactory performance is due to the failure to improve performance problems or due to a severe performance problem. Termination for unacceptable conduct may be for reasons including, but not limited to, any of the following reasons:    

This list of actions warranting termination is not meant to be all inclusive and may change at the discretion of the University at any time. The University may impose discipline, including immediate termination, for behavior not covered by this list if it determines the behavior may be harmful to the operation of the University or to the rights and safety of University staff, students, patients, or visitors.

Terminations must be reviewed and approved by HR and the applicable associate or assistant vice president prior to implementation.

1. Excessive and/or unauthorized or patterned tardiness or absenteeism.             
2. Failure to comply with University or departmental policy or regulations.           
3. Refusal to follow instructions of the duly assigned supervisor; i.e., insubordination.             
4. Use of vile, intemperate or abusive language, fighting, pushing, making a threat, or acting in a threatening manner to any University employee, student or visitor, or in the presence of a patient, student or visitor.           
5. Negligence resulting in damage or defacement of University property.              
6. Destruction of, falsifying, or omitting information on employment records, University records, or non-University records.               
7. Sleeping while on duty.               
8. Illegal or immoral conduct on or off University premises which would bring unfavorable attention to the University.               
9. Failure to disclose an arrest or conviction occurring after the date of hire. Please see Arrest Section further back in this policy.
10. Unauthorized possession, use, copying, or reading of University records or unauthorized disclosure of information contained in such records to persons without direct need to have this information.     
11. Unauthorized access or use of University computing, telephone/voice mail systems, hardware or software, or any other violations referenced in University policies A045 , A046, A047 or A055 in the Information Technology section of the University Policy and Procedure Manual.      
12. Absence for three consecutive working days without properly notifying the University.
13. Obtaining a leave of absence under false pretenses.               
14. Failure to report to work upon expiration of an approved leave of absence.  
15. Concealing or having possession of any weapons, firearms, or explosives while on University premises.               
16. Unauthorized use, possession or distribution of intoxicants, illegal drugs, designer drugs, controlled substances; use of or possession of other drugs which would adversely affect an employee's performance on University premises.  Reporting for, or being in the workplace, while work under the influence of drugs or alcohol, or the unlawful manufacturing, distribution, dispensation, possession and/or use of a controlled substance in the workplace as per the Drug Free Workplace Policy, B026.               
17. Unauthorized removal or theft of University property or that of other employees, patients, visitors or students.               
18. Any willful act, careless act, or conduct detrimental to University operations or the safety and rights of other persons on University premises.               
19. Excessive or unauthorized use of University telephones for other than University business (e.g. long distance codes).               
20. Unauthorized use, willful destruction, defacement, or misuse of University vehicles or property, or property of another person on University premises.          
21. Unsatisfactory work performance.               
22. Unauthorized use of University stationery as stated in Policy A030.               
23. Failure to work assigned schedule.  
24. Failure to cooperate in or impeding a University conducted investigation.
25. Unauthorized use, disclosure, viewing, or accessing of patient information and/or protected health information as defined in applicable state and federal laws, including the Health Insurance Portability and Accountability Act (HIPAA), or as dictated by the University's privacy policies and procedures.
26. Violations of Federal, State or Local laws or ordinances.
27. Improper application for, misuse of, or converting a University benefit or privilege for personal gain of employee, or others not entitled, not eligible for the benefit.  
28. Failure to disclose a Consensual Relationship as described in University Policy A007.
29. Any action adversely affecting a license or other credentials necessary to perform the responsibilities of one’s position.
30. Loss or failure to obtain and maintain all necessary licenses, privileges, or the suspension or limitation of such.
31. Failure to comply with all University HIPAA Security Policies and Procedures. Sanction Policy HSA 1.3.

Deans, directors and department heads are authorized to administer disciplinary actions up to and including written reprimands.  In the event disciplinary suspension, demotion or dismissal is considered for regular, temporary or probationary employees, such action must be discussed with the appropriate Director of Human Resources or designee.

 PROCEDURE:

The following procedure should be utilized in cases of unprofessional conduct or unsatisfactory performance except in instances when an offense may be of such magnitude as to require immediate suspension or discharge for the first occurrence:               

UNPROFESSIONAL CONDUCT OR SUBSTANDARD PERFORMANCE               

1. The supervisor should discuss the conduct/performance with the Clerical/Technical/Service/Nursing employee in private conference. The supervisor should clarify the standards of performance and professional conduct expected of the Clerical/Technical/Service/Nursing employee and may issue a verbal warning (a written confirmation of a verbal warning may be issued to the employee) or a formal written summary of the meeting prepared and issued to the employee with a copy placed in the employee's personnel file. The employee is to be given an opportunity to sign the original written formal summary acknowledging he or she has read the document.               
2. When unacceptable conduct or unsatisfactory performance continues despite a supervisor's written warning, additional corrective action should be taken up to and including termination of employment. The supervisor is to discuss problems of conduct/performance and suggested corrective action with the next level of authority and with the Director of Human Resources before taking further action. If appropriate, the employee may be given a final written warning and/or suspension without pay, or termination depending upon the nature of the offense. Documentation of all such actions should be maintained in the official personnel file.             
3. When a decision has been made to dismiss the Clerical/Technical/Service/Nursing employee, the supervisor must review the case with the Director of Human Resources. Following the review, if the decision is to proceed with the termination, a notification to that effect is forwarded through normal channels to appropriate vice president, dean or division head. A letter of termination is to be given to the employee (see Terminations Policy B100).     

The following procedure is to be utilized in instances of serious misconduct leading to an arrest on or off University property. The procedure provides for review of the employment status of an employee who is arrested for illegal or immoral conduct on or off University premises which would bring unfavorable attention to the University.               

ARREST - UNIVERSITY RELATED AND NON-UNIVERSITY RELATED            

1. When an employee is arrested on or off University premises for a University related matter (either a felony or misdemeanor), or is arrested for a non-University related felony or misdemeanor after the date of hire, the employee must disclose such arrests or any convictions to the Director of Human Resources or designee.  Upon this disclosure, or if the University discovers an arrest or conviction has occurred, the employee may be suspended immediately (Mandatory Leave) without pay pending further review. Possible suspensions without pay will be reviewed on a case by case basis.
2. This review may be conducted by police officials and/or internally by University officials. All reviews must be coordinated by the Director of Human Resources or designee.               
3. At the conclusion of this review (which may be prior to a trial or other legal adjudication of the matter), a decision to extend the suspension, reverse the suspension, terminate employment or otherwise discipline the employee will be made by the Director of Human Resources or designee. In both arrest situations where the review has been concluded but the employee remains in custody (or otherwise unavailable for work) a decision to continue the Mandatory Leave or terminate the employment of the employee will be made by the above parties.   If the review is concluded within 30 days or less and the University's decision is to reinstate the employee, the employee will receive his/her previous position, as per the Mandatory Leave of Absence Policy. If the review is concluded after 30 days and prior to 91 days and the University's decision is to reinstate the employee, the employee will be eligible for reinstatement to his/her previous position if available or a similar University position if available, depending on job requirements and employee skills. If the position is unavailable, the employee will be placed on layoff. (Layoff and Rehire, Policy B050)