Proposed Changes
Disciplinary, Grievance, & Appeal Policies
Sam Connally
Vice President for Human Resources
Performance Management
Effective Performance management
consists of communicating job duties,
establishing performance standards,
coaching, reinforcing positive
performance & behavior; correcting
unsatisfactory behavior; and period
evaluation & feedback.
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Disciplinary & Grievance Policies
A subset of performance management.
Promote a culture where staff employees
and supervisors may engage in
constructive conversations regarding job
performance or work-related conduct
with a shared objective of improving
unsatisfactory job performance or
correcting unacceptable work-related
behaviors.
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Disciplinary Policy Changes
Distinguish between Job Performance and
Personal Conduct .
Job Performance = Quality & Quantity of Work
Personal Conduct = Job related behaviors
Establish commitment to Progressive
Discipline.
Discipline should be progressive whenever a
reasonable person would expect opportunity to
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improve.
Disciplinary Policy Changes
Discipline is a Four-Step Process for
Supervisors; with Three Opportunities for
Employees to Improve:
1) Clarification of Expectations > 1st Opportunity
2) Written Warning > 2nd Opportunity
3) Final Written Warning or Suspension w/o Pay
> 3rd Opportunity to Improve
4) Reduction in Salary, Demotion, or Termination
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Disciplinary Policy Changes
Define Disciplinary Standard.
Decisions must be reasonable & fact-based.
Define Disciplinary Authority.
Two levels removed from employee
At least at level of department head or director.
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Disciplinary Policy Changes
Create pre-disciplinary conference for
Suspensions, Reductions in Salary, Demotions.
Supervisor recommending these actions must
meet with employee in advance.
Employee must have opportunity to respond.
Discipline is a structured process; but does not
follow any fixed time line.
Adopt & publish guidelines for pre-termination
conferences.
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Disciplinary Policy Changes
Examples Where Progressive
Discipline Is Appropriate for
Job Performance
I. Job Performance (Progressive)
Examples where Immediate
Discipline May be Imposed for
Job Performance
II. Job Performance (Immediate)
I.A. Unsatisfactory job performance
(related either to quality or quantity of
work).
I.B. Negligence resulting in incidental
loss of productivity or property, but no
injury to other persons.
II.A. Refusal to perform reasonably
assigned work task (insubordination).
I.C. Failure to follow university policies &
procedures, including college, school,
division, or departmental guidelines or
work rules.
II.C. Willful disregard of university
policies & procedures, including college,
school, division, or departmental
guidelines or work rules.
II.B. Gross negligence resulting in
material loss of productivity or property or
injury to other persons.
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Disciplinary Policy Changes
Examples Where Progressive
Discipline Is Appropriate for
Personal Conduct
III. Personal Conduct (Progressive)
III.A. Time and attendance problems;
excessive absences or tardiness.
III.B. Failure to safeguard university
property or funds, including failure to
make timely disposition or report of loss,
with limited adverse impact to the
University.
III.C. Inappropriate or unauthorized use
of university property or resources.
See Additional Examples in Draft Policy
@ http://louisville.edu/hr/itemsofinterest
Examples Where Immediate
Discipline May be Imposed for
Personal Conduct
IV. Personal Conduct (Immediate)
IV.A. Walking off the job during an
assigned shift.
IV.B. Failure to safeguard university
property or funds, including failure to
make timely disposition or report of loss,
with significant adverse impact to the
University.
IV.C. Use of university property or
resources for personal gain or political
advocacy.
See Additional Examples in Draft Policy
@ http://louisville.edu/hr/itemsofinterest
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Grievance Policy Changes
 Provide Examples of Grievable / Non-Grievable Issues
– Examples of Grievable Actions:
• Working conditions
• Written warnings (New)
• Suspension without pay (in lieu of appeal)
(New)
• Unsatisfactory performance evaluation (New)
• Incorrect application of University policy
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Grievance Policy Changes
 Provide Examples of Grievable / Non-Grievable Issues
– Examples of Non-Grievable Actions:
• Organization and definition of work, unit assignment,
and work hours
• Performance expectations (unless alleged to be
arbitrary, capricious, or not reasonably attainable)
• Oral counseling or non-disciplinary “letters of
instruction” to clarify performance or personal conduct
expectations
• Position classification, salary grade, or salary
• Allegations of EEO-related discrimination or harassment
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Grievance Policy Changes
 Reduce number of steps in the grievance process.
 1st Line Supervisor
 2nd Line Supervisor
 Director/Department Head (or 3rd in Chain of command)
 Grievance Committee is available between 2nd & 3rd
level of review.
 Publish grievance committee guidelines.
 Permit Grievance Officer to serve as personal
representative.
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Grievance Policy Changes
 Provide that HR (instead of employee) will notify
managers of Step 2 & 3 grievances.
 Require supervisors & managers to respond in writing
to grievances within specified time frames.
 Failure of 1st or 2nd line supervisor to respond to a
grievance will create a presumption of
reasonableness in favor of employee going forward.
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Appeal Policy Changes
 Move suspension without pay from Appeal Policy to
Grievance Policy .
 Clarify the role of personal advisors in appeal process.
 Personal Advisor may be any one to advise employee in
private.
 Legal counsel is required to participate actively.
 Codify delegation of responsibility from President to
VPHR to review hearing officer reports and adopt
final appeal decisions for the University.
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