Free Sample Disciplinary Action Policy
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Sample Disciplinary Action Policy


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Disciplinary Action

FORM OF DISCIPLINARY ACTION

Disciplinary action can be a verbal or written warning, suspension without pay, demotion, or termination.  The action taken will depend on the offense, the circumstances and the employee's previous record.  Suspending an employee with pay is not disciplinary action.  ABC reserves the right to take action it deems appropriate.  Copies of written warnings must be forwarded to Human Resources.

Any action to suspend or terminate an employee must be reviewed by Human Resources before any action is taken.  In cases of termination, a pre-termination hearing will be conducted in Human Resources.

OFFENSES

Employees may be disciplined for the following:

·         Violating any of ABC’s policies, procedures and/or rules;

·         Violating local, state, or federal law;

·         Theft of ABC property or the property of other employees;

·         Unlawful manufacture, distribution, possession, or use of a controlled substance in the workplace;

·         Drug or alcohol-induced intoxication at work or during working hours;

·         Immoral conduct;

·         Insubordination;

·         Neglect of or refusal to perform the duties of one’s job;

·         Discourteous treatment of other employees or clients;

·         Excessive absences or lateness;

·         Misuse or unauthorized use of ABC property;

·         Intentional disruption of ABC computer systems, unauthorized modification, disclosure, or damage of ABC computer systems and/or improper access to ABC computer files and systems;

·         Unauthorized release of confidential information;

·         sexual harassment;

·         Racial, ethnic, cultural, or religious intolerance and/or harassment;

·         Knowingly creating false, misleading, or incomplete information or reports;

·         Acts or failures to act in the workplace that contribute to the harm of or the unacceptable risk of harm to individuals or property; or

·         Any other act or omission that in the opinion of ABC threatens ABC or any of its employees.

TIMING OF DISCIPLINE

Disciplinary action shall be taken within  workdays from the date of the alleged infraction, unless ABC decides an investigation is required to protect the individual or ABC.  If ABC decides an investigation is required, disciplinary action will be taken within  workdays from the completion of the investigation.

REMOVAL FROM RECORD 

A written warning is removed from the employee's personnel file  months after the date of the warning if no other written warning or disciplinary action is issued to the employee during that -month period.

Unlawful Discrimination

POLICY

An employee who believes he or she is the victim of unlawful discrimination may make a formal complaint by filing a grievance or appeal.  ABC encourages prompt informal action to resolve discrimination problems.

PROCEDURE

An employee may first request an informal review of the problem by Human Resources.  HR will investigate the complaint, counsel the employee and supervisor, and file a report with the Vice-President of Human Resources that includes a recommendation for action.

The Vice-President of Human Resources will notify the employee of any remedial action in writing.

The rights of an employee under this policy are in addition to his or her rights under federal and state civil rights laws.  The time limit for filing a grievance or appeal for an informal review is  workdays from receipt of the report from the Vice-President of Human Resources.

Grievances

POLICY

Any employee who believes that a condition of employment is unjust or inequitable can file a formal grievance.  The first step must be an attempt to resolve the problem through informal discussion with the immediate supervisor.

GRIEVANCE OFFICER

The Grievance Officer consults with staff members during each step of the grievance process.  The Grievance Officer does not serve as an employee advocate but may work closely with employees, departments, and Human Resources to seek resolutions of grievances.

PROCEDURES

If the grievance is not resolved informally, the following procedures apply:

·         The employee files a written grievance with the immediate supervisor and forwards copies to the Vice-President of Human Resources, within  workdays of the incident.  The written grievance details the basis for the grievance and the solution that is being sought.

·         The supervisor responds to the grievance in writing within  workdays of receiving the grievance.  The response outlines the actions that will or will not be taken to resolve the grievance.  Copies of the response shall be sent to the Vice-President of Human Resources.

·         If the employee is not satisfied with the supervisor's response, he/she can submit copies of the grievance and the supervisor's response to the next level of supervision.  If the employee is still dissatisfied with the response at each succeeding level of supervision, the CEO will review the grievance and render a final decision.

In each step, the employee submits the grievance and all responses within  workdays of receipt of the response.

If the supervisor fails to respond within  days or fails to request an extension, the employee can forward the grievance to the next level of supervision.

In every instance except the CEO, the supervisor shall provide the employee with a written reply within  workdays of receipt of the grievance and will send a copy of the response to the Vice-President of Human Resources.

The CEO will provide the employee with a written reply within  workdays of receipt of the grievance and will send a copy of the response to the employee's supervisors and the Vice-President of Human Resources.

EXTENSION OF TIME

Anyone involved in the grievance may contact the Vice-President of Human Resources to request (in writing) an extension of time in which to respond.  The Vice-President of Human Resources may grant such an extension at his or her discretion and will notify all involved.

Appeals

POLICY STATEMENT

An employee may appeal a suspension without pay, an involuntary demotion, or a dismissal.

GRIEVANCE OFFICER

The Grievance Officer consults with employees during the entire appeal process, including the initial drafting of the written notice of appeal.  The Grievance Officer does not serve as an employee advocate.  The officer does work closely with employees, departments, and Human Resources to seek equitable resolutions to all appeals.

STANDARD FOR REVIEW

An appeal may be reversed on appeal for only two reasons: (1) there was no reasonable basis for ABC’s action; or (2) there was a substantial deviation from ABC’s procedures which prejudiced the employee against whom the action was taken.

PROCEDURES

Notice of Appeal

·         The employee shall submit a written Notice of Appeal to the Vice-President of Human Resources within  workdays of the receipt or date of postmarking of the notice of action taken.  The Notice of Appeal must be submitted  workdays from the date that the notice of action taken was received by the employee or postmarked.  The Notice must be delivered to the Office of the Vice-President of Human Resources.

 

·         The Notice of Appeal shall include the basis for the appeal, the facts on which the appeal is based, and the remedy sought.

 

·         The Vice-President of Human Resources shall forward a copy of the Notice of Appeal to the employee's supervisor.

Determination of Eligibility

·         After receiving the Notice of Appeal, the Vice-President of Human Resources shall, within  workdays, notify the employee and his/her supervisor stating (in writing whether the employee can file an appeal.

·         If the employee cannot file an appeal, the Vice-President of Human Resources will dismiss the Notice of Appeal.  The written determination will outline the reason(s) for the ineligibility.

Hearing Facilitator

·         The Vice-President of Human Resources will notify, in writing, the employee, his/her supervisor, and other appropriate individuals of the name of the Hearing Facilitator who will hear the employee's appeal.

Pre-Hearing Conferences and Hearings

·         There will be a pre-hearing conference where the parties shall decide the issues to be addressed in the appeal and any other relevant procedures.  The Associate Vice-President for Human Resources has the final decision on these and all other procedural matters.

·         The employee and ABC will have the opportunity to present evidence, including testimony of witnesses.  The hearing shall be informal; strict rules of evidence shall not apply.

·         The Vice-President of Human Resources will attend all hearings and pre-hearings.  The Grievance Officer may attend all meetings at his or her discretion.

·         The employee and the appropriate supervisor may each have an advisor present at all pre-hearings and hearings.

·         An advisor may only be a:

·         Licensed attorney; or

·         Employee.

·         If an employee cannot locate an advisor, the Grievance Officer will help the employee locate an employee to act as the employee's advisor.

·         The advisor may not participate in the pre-hearings unless:

·         He/she is an attorney; or

·         The employee has received permission to have the advisor present from the Vice-President of Human Resources.

Hearing Facilitator's Report

The Hearing Facilitator will issue a written report that: (1) summarizes the evidence presented at the hearing; (2) states his/her findings and the basis for those findings; and (3) states his/her recommendations.  This report shall be submitted to the Vice-President of Human Resources  workdays from the completion of the hearing.  The Vice-President of Human Resources can extend this time period at his/her discretion.

The Vice-President of Human Resources will submit the report to the CEO within  workdays from the receipt of the report.

Appeal Decision

The Hearing Facilitator's Report becomes the “Appeal Decision”  workdays after the Report has been submitted to the CEO unless the CEO decides that the Report, in whole or in part, is not in the best interest of ABC.  If this is the case, the CEO shall issue an revised Appeal Decision within  workdays from receipt of the initial report.

The Vice-President of Human Resources will distribute the Hearing Facilitator's Report and/or Appeal Decision, to the employee, the employee's supervisors, and any other appropriate individuals.

Human Resources shall implement the Appeal Decision.

The Appeal Decision is final.


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