LEADERSHIP ACADEMY
Principles of Progressive Discipline
Disciplinary Guidelines
Disciplinary Matrix
and
Sample Documents
Presented By:
Art Alcaraz
RIVERSIDE COMMUNITY COLLEGE DISTRICT
DISCIPLINARY PROCEDURES
TABLE OF CONTENTS
I.
Objectives of Course
4
II.
Disciplinary Pre Quiz
6
III.
Discipline
10
IV.
What is a Supervisor
11
V.
Skelly Process
13
VI.
Proactive Steps to Prevent Disciplinary Problems
15
VII. Steps of Progressive Discipline
16
a. Types of Disciplinary Action
b. Other Means to Address Deficiencies
VIII. Determining Level of Discipline
17
IX.
The Meaning of Just Cause
18
X.
Essential Elements of a Disciplinary Document
20
XI.
Physical Evidence and Describing Behavior in Documentation
22
XII. Disciplinary Matrix
24
2
RIVERSIDE COMMUNITY COLL
RIVERSIDE COMMUNITY COLLEGE DISTRICT
DISCIPLINARY PROCEDURES
TABLE OF CONTENTS
XIII. Index of Template Letters
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
30
Conditional Offer of Employment
Acknowledgement of Written Notice of Resignation
Conference Summary #1
Conference Summary #2
Written Counseling
Counseling Memo for Attendance & Punctuality
Directive Memorandum
Notice of Proposed Suspension (Skelly 1 Letter)
Notice of Proposed Termination (Skelly 1 Letter)
Paid Administrative Leave Letter
32
34
35
36
37
38
39
40
44
47
XIV. ABC’s of Documentation
48
XV. Notes
50
3
RIVERSIDE COMMUNITY COLLEGE DISTRICT
Leadership Academy 2011
Objectives of this Session
 Understand basic fundamentals of progressive discipline and what considerations
go into determining levels of discipline.
 Understand what the Skelly Process is.
 Learn the importance of specificity in preparing disciplinary documents.
 Review resource document that serves as a valuable reference guide in
determining appropriate levels of discipline.
4
5
RIVERSIDE COMMUNITY COLLEGE DISTRICT
II. DISCIPLINE PRE-QUIZ
Disciplinary Matrix and Disciplinary Guidelines
Pre
Post
1. Managers and supervisors are the most important link between
policy makers and people.
T
F
T
F
2. Management has the burden of proof in employee discipline
hearings.
T
F
T
F
3. Generally speaking, employee discipline is intended to be
corrective and not punitive.
T
F
T F
4. During a disciplinary interview or conference, the employee has
no right to have a union representative present.
T
F
T
F
5. Non-probationary and non-at-will District employees, who are
subject to termination, have a property interest in their job.
T
F
T
F
6. The Education Code mandates a “Demand for Hearing” process
for Classified employees being disciplined.
T
F
T
F
7. Photographs cannot normally be used as evidence in a
disciplinary hearing.
T
F
T
F
8. In the documentation of the use of an obscene four-letter word by
an employee against a co-worker or supervisor, it is better to use
the phrase “Employee used an inappropriate obscene word in
public,” than to insert the exact inappropriate language in the
document.
T F
T
F
6
DISCIPLINE PRE-QUIZ
Disciplinary Matrix and Disciplinary Guidelines
(continued)
Pre
Post
9. All violations of rules by employees must be written up in a
disciplinary memorandum.
T
F
T F
10. Employees failure to meet standards leaves supervisors with no
alternatives but to implement discipline.
T
F
T
F
11. Most discipline should come as no surprise to an employee.
T
F
T
F
12. Effective interpersonal communication between employees and
supervisors is a key to effective discipline.
T
F
T
F
13. All employees have the legal right to see the contents of their
personnel files.
T
F
T
F
14. Union representatives have the legal right to inspect employee
personnel files.
T
F
T
F
15. At a disciplinary hearing, the supervisor is on trial.
T
F
T
F
16. All written public complaints should be included in an
employee’s personnel file.
T
F
T F
17. There are minimum procedural safeguards that must be provided
to employees before discipline can be imposed.
T F
T F
18. Employees have a legal choice to refuse to answer management’s
questions which can be used as evidence against them in a
disciplinary action.
T
F
T
F
19. Supervisors have no obligation to conduct an investigation into
sexual harassment unless a formal complaint has been filed.
T
F
T
F
20. Racial or ethnic jokes told by minorities are not considered racial
harassment.
T
F
T
F
7
DISCIPLINE PRE-QUIZ
Disciplinary Matrix and Disciplinary Guidelines
(continued)
Pre
Post
21. If no employee complains about racial, sexual or religious joke
telling, it is not against the law.
T
F
T
F
22. Passionate kissing in the work place by mutually consenting
employees can constitute sexual harassment.
T
F
T
F
23. The employer has a legal obligation to protect employees from
threats and violence at work.
T
F
T
F
24. No disciplinary action shall be taken for any cause that arose prior
to the employee’s becoming permanent, or for any cause that
arose more than two years preceding the date of the filing of the
notice of cause, unless the cause was concealed or not disclosed by
the employee when it could be reasonably assumed that the
employee should have disclosed the facts to the employing district.
T
F
T
F
25. Once employees have concluded probation it is impossible to
discipline them.
T
F
T
F
8
Conflict is neutral
What you do with it makes it
positive or negative
RIVERSIDE COMMUNITY COLLEGE DISTRICT
9
III. DISCIPLINE
1)
Training that develops and maintains correct behavior to be consistent
with the mission, vision, goals, objectives and standards of the
Riverside Community College District.
2)
A system of rules governing conduct and behavior which have been
communicated to employee with a check to assure understanding.
3)
Positive conclusion to a problem or need for improvement.
……………………………
Definitions:
Discipline – Training that corrects, molds or perfects; a system of rules
governing conduct. Actions taken by supervision to correct conduct,
behavior and/or performance which fall below acceptable standards and/or
which violate rules, regulations, laws and policies of the District, Campus, or
other governing bodies.
Progressive Discipline – The corrective process of applying penalties short of
termination, or long-term demotion or suspension where conduct is of a less
serious nature and the employee has not repeatedly engaged in such conduct.
The nature of such discipline should be appropriate to the conduct and need
not begin with the least serious disciplinary action. Acceptance of the
principle of progressive discipline does not limit the District’s authority to
take appropriate action including termination, demotion or suspension for
serious offenses which cannot and will not be condoned.
RIVERSIDE COMMUNITY COLLEGE DISTRICT
10
IV. WHAT IS A SUPERVISOR?
According to National Labor Relations Act:
“Any individual having authority, in the interest of the employer, to hire,
transfer, suspend, lay off, recall, promote, discharge, assign, reward,
discipline employees, or responsibility to direct them or to adjust their
grievances or effectively recommend such action, if . . . such authority is not
merely of a routine or clerical nature, but requires the use of independent
judgement.”
From My Experience:
“A person caught in the middle.”
Cartoon from Fred Pryor Seminars
Accountable to management and accountable to staff
“Don’t get fired on the job”
11
The role of supervisor is vital to the success or failure of any disciplinary action.
Supervisors are expected to set a good example in performance, leadership, dress,
behavior and work habits. Their role is to instill proper performance and behavioral
standards on the job. The supervisor who applies discipline promptly, with
consideration, uniformity, and relative sensitivity to the offense will minimize losses
from ineffective work habits or performance. Supervisors are expected to work with
employees to correct problems before formal discipline becomes necessary and to
communicate expectations of performance, behavior and consequences.
12
RIVERSIDE COMMUNITY COLLEGE DISTRICT
V. SKELLY PROCESS
(Disciplinary Appeal Procedure)
As a result of a California Supreme Court Decision in the case of John F. Skelly vs. State Personnel
Board (Skelly vs. State Personnel Board, 1975, 15 Cal.3d 194) there were a number of mandates in the
procedures for disciplining, and in the Skelly case, terminating governmental employees.
Dr. Skelly was a medical consultant for the State Department of Health Care Services who was
terminated for 1) intemperance; 2) inexcusable absence without leave; and 3) other failure of good
behavior during duty hours which caused discredit to the department.
Dr. Skelly’s case was heard by the Department’s Board which upheld the termination but Dr. Skelly
challenged the decision with the local superior court. The Court’s findings were: 1) the State’s
dismissal of Dr. Skelly constituted “an abuse of discretion in view of the record’s failure to show that
these deviations adversely affected public service” and 2) the physician had been denied due process.
The court decision basically mandated that property rights are owed to any public agency employee
who has completed an initial probationary period and is being disciplined (i.e., demotion, suspension,
reduction in compensation, termination, or any action which affects wages, hours or working
conditions of the employee). Employees are afforded minimum procedural safeguards before
discipline can be imposed. The due process protections of Skelly for employees are that notice of
proposed discipline is required with a statement of reasons for the discipline; a copy of the charges and
materials on which the action is based and an opportunity to appeal either orally or in writing. Actions,
such as warnings or written reprimands and unsatisfactory or improvement needed performance
evaluations, are not administered under this process. In our system the Skelly process is administered
in the manner described below:
THE “SKELLY” PROCESS, AS WE APPLY IT, INCLUDES:
I.
II.
Intent Letter: Skelly 1
A.
The employee must receive written notice of the proposed action stating 1) the proposed action
against the employee and, 2) the specific ground(s) and particular facts upon which the action
will be taken.
B.
The employee must be provided with any known written materials, reports, documents or other
evidence upon which the action is based.
C.
The employee must be given the right to respond either orally, in writing, or both forms to the
proposed charges.
D.
This letter typically comes from a department manager or key supervisor and the appeal is to a
higher level manager/administrator in the chain of command.
Action Letter: Skelly 2
13
A.
On or before the effective date of any proposed action, the employee must receive written notice
of the action to be taken. This is presented sometime after the appeal opportunity offered in the
Skelly 1 Letter. This letter may modify the proposed discipline or it may uphold the proposed
discipline.
B.
The INTENT LETTER with all previous attachments should be attached to the Skelly 2
ACTION LETTER.
C.
The employee must be given adequate time file an appeal (written or verbal) with the
Chancellor or designee.
The 5th amendment states that no person shall be deprived of Life ,Liberty or Property without due process of law.
Who administers a Skelly 1 letter? Supervisor or above
Who does the appeal go to? - Someone in the chain of command of the employee and supervisor who
has authority in the matter and can uphold, modify or eliminate the discipline in the Skelly 1 letter.
Who administers a Skelly 2 letter? The person who heard the appeal in the Skelly 1 process.
Suggestions in presenting and hearing Skelly appeals.
When presenting a Skelly 1 letter, the meeting should be brief, to the point and factual. There should
be no discussion of the merits of the case or the level of discipline recommended. This meeting is only
to present the notice. The appeal meeting is the employee’s opportunity to share their concerns and
comments about the disciplinary action and to mitigate the charges.
In an appeal meeting, a manager should be an active listener and take the opportunity to allow the
employee, who may be represented by their union representative, ample time to present reasons that
they believe the discipline is not appropriate. The manager should remain objective and fair.
After the meeting the manager will need to decide whether the level of discipline was too harsh or fair
and whether the discipline will be upheld, modified or rescinded. Timely notice needs to be provided
to employees. A sample Skelly 2 letter is included in the template letter portion of this handbook.
In the event the manager determines that the discipline proposed was not severe enough and there is a
need to consider additional charges, the letter and a new set of appeal dates may need to be established.
Consult with Diversity and Human Resources if this is the case.
It is critical in a Skelly process that all facts and information related to the case are weighed objectively
to assure no action is based on irrational judgment, emotion, past concerns with an employee which
have never been handled, frustration with process of documentation, fear of taking action against
employees or any “halo” perceptions a manager may have toward an employee.
The Disciplinary Matrix offers guidance in identifying levels of discipline which may be followed in
personnel matters. These serve as a guide for managers and supervisors. Applying the Skelly process
should be done with full knowledge and support of the manager’s chain of command and in
consultation with the Diversity and Human Resources Department to assure that all steps are being
followed correctly.
RIVERSIDE COMMUNITY COLLEGE DISTRICT
14
VI. PROACTIVE STEPS TO PREVENT
DISCIPLINARY PROBLEMS
A.
Careful Selection
B.
Good Reference Checking Process
C.
Initial Assessment of Competencies
D.
Orientation program
E.
Department/Division Specific Training
F.
Define Tasks and Expectations (within 1st 30 days)
G.
Desk Procedures (sign off)
H.
Policy Manuals
I.
Proof That Employee Understands Rules and Tasks
J.
On the Job Training
K.
Regular Staff Meetings
L.
Help the Group Establish and Respect Norms
M.
Respect Issues of Confidentiality
N.
Move Around, Observe, Talk to Employees to Sense What the
Environment is in the Workplace
O.
Talk to Employees; Listen to What They Say
P.
Be Inclusive, Talk to Everyone
Q.
Evaluations
R.
Probationary Period (Extension)
S.
Talk to Your Diversity & Human Resources Department, Trust that
We Will Be Confidential, Objective and Consistent
15
RIVERSIDE COMMUNITY COLLEGE DISTRICT
VII. STEPS OF PROGRESSIVE DISCIPLINE
A. Types of Disciplinary Action:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Informal Actions
a. Discussions
b. Coaching
c. Employee Needs:
1. Tell me what you want me to do. Be specific and explain desired results.
2. Provide me with good training and ongoing guidance.
3. Let me do the job.
4. Let me know how I am doing.
5. Remember I am a person; treat me with dignity and respect.
Verbal Counseling
a. Develops skills, clarifies standards, evaluates work, solves problems, gathers information, and
provides corrective feedback.
Verbal Warning
a. Advises employee of performance or behavior in relation to expectations, notice to improve in
specific areas, provides resources and ways to achieve goals and correct problem.
Directive Memo
Written Conference Summary/Counseling
a. Used when oral notice has failed to achieve standard expectations, and when employee is likely to
incorrectly recall verbal information. This is also effective in summarizing any meeting with an
employee on a variety of behavioral/performance topics in which the issue has not reached the
reprimand level.
Written Reprimand
a. Official, severe notice that performance or behavior has not improved, performance still
unsatisfactory after one or more written warnings – typically comes from Division Manager – copy
to personnel file.
Suspension (short-term or long-term)
a. Often used for misconduct or dishonesty
b. Reduction in Compensation (short-term or long-term) – Usually used for work habit issues.
Currently this is not an available option in our system.
Demotion
a. Used for employees who have moved up through the ranks, used in probationary promotion cases,
and used in cases where employee can no longer perform at the higher level.
Discharge
a. Serious violation, final action in progressive discipline, employee has been given every opportunity
to improve deficiencies.
Resignation
a. Alternative to discharge, employee loses appeal rights, but clear record, must be voluntary, not
coerced.
Last Chance Agreement
B. Other Means to Address Deficiencies:
1.
2.
3.
4.
5.
Employee Formal and Follow Up Evaluations
a. Formal evaluation based upon documents reflecting employee’s deficiencies; documents should be
subsequent to employee’s last appraisal.
Merit Increase Denial (Not done with RCCD)
Medical Certification
EAP – in this District this is currently only available via health plans
Job Abandonment
16
RIVERSIDE COMMUNITY COLLEGE DISTRICT
VIII. DETERMINING THE LEVEL OF DISCIPLINE
A.
Probationary/Permanent
B.
Length of Service/Service Record
C.
Prior Warnings/Counseling/Disciplinary Actions
D.
Time Elapsed Since Prior Discipline
E.
Hearsay vs. Specific and Accurate Facts
F.
Severity of Offense
G.
Preponderance of Evidence
H.
Job Relatedness
I.
Investigative Results, Including Employee’s Response to Charges
J.
Consequence of Error
K.
Action Taken in Similar Cases
L.
Documentation in Evaluation
1.
Were deficiencies noted on most recent evaluation?
2.
Were evaluations conducted timely?
3.
Have there been work improvement plans, where applicable?
4.
Has there been follow-up work on improvement plan?
M.
Documentation of Performance between Evaluation Periods
Note: Per California Education Code Section 88013(d):
No disciplinary action shall be taken for any cause that arose prior to the employee’s becoming permanent, or for
any cause that arose more than two years preceding the date of the filing of the notice of cause, unless the cause
was concealed or not disclosed by the employee when it could be reasonably assumed that the employee should
have disclosed the facts to the employing district.
17
RIVERSIDE COMMUNITY COLLEGE DISTRICT
IX. JUST CAUSE
1.
The terms of discharge or discipline for cause, just cause, good cause and good and sufficient
cause, have been defined by the “common law” of labor relations, the decisions of arbitrators
and administrative tribunals as being synonymous. Use of the just cause standard protects the
employee from disciplinary action by the employer which is arbitrary, capricious, unrealistic,
or discriminatory to such an extent that it constitutes an abuse of managerial discretion, and
warrants the substitution of the judgment of a third party, be it an arbitrator or governmental
agency, for the judgment of the employer in determining appropriate action be taken. Here are
the seven criteria for establishing just cause:
a.
Did you give to the employee forewarning or foreknowledge of the possible or probable
disciplinary consequences of the employee’s conduct?
i.e., oral or written communications of rules and penalties, except not required where
offenses are so serious that any employee in industrial society is expected to know that
the acts are punishable (intoxication, gross insubordination, theft).
b.
Were the District’s rules and managerial orders reasonably related to (a) the orderly,
efficient and safe operation of the District’s business; and (b) the performance that the
District might properly expect of the employee?
i.e., wearing protective glasses is reasonably related to safety.
c.
Did you, before administering discipline to an employee, make an effort to discover
whether the employee did in fact violate or disobey a rule or order of management?
i.e., giving the employee his day in court before positions harden, by putting your
decision on trial and securing all evidence except under unusual circumstances before
discipline is administered.
d.
Was the investigation conducted fairly and objectively?
i.e., impartial judgment by management official higher up than charging supervisor.
e.
At the investigation did the “judge” obtain substantial evidence or proof that the
employee was guilty as charged?
i.e., evidence must be truly substantial and not flimsy.
18
JUST CAUSE
(continued)
f.
Has the District applied its rules, orders and penalties evenhandedly and without
discrimination to all employees?
i.e., has discipline been lax or inconsistent?
g.
Was the degree of discipline administered by the District in the particular case
reasonably related to (a) the seriousness of the employee’s proven offense; and (b) the
record of the employee in his service with the District?
i.e., trivial offense does not merit harsh discipline.
2.
To implement disciplinary action under the just cause principle, here are six general principles
or guides to follow:
a.
Make instructions simple and understandable.
b.
Know the rules and be certain that the employees under your supervision know them.
c.
Move in promptly on violations.
d.
Get all the facts.
e.
Permit the employee an opportunity to explain.
f.
Decide what action to take:




Know the principles of corrective discipline.
Determine if it is a “major” or “lesser” offense.
Determine the rule or rules violated.
Consider basic factors.
 Guilt
 Prior conduct record
 Length of service
 Period of time since the last penalty
 Local practices or policy
 Mitigating or aggravating circumstances
19
RIVERSIDE COMMUNITY COLLEGE DISTRICT
X. ESSENTIAL ELEMENTS
OF A
DISCIPLINARY DOCUMENT
Any supervisor or manager preparing a disciplinary document must be sure that the
document is explicitly clear to the reader. Directives must be clear as to expectations,
conduct, or level of performance expected. The directive must not leave room for
interpretation by the reader. Following are examples of statements supervisors have
documented in correspondence to employees. Which are clear and which are vague?
1. When you get a chance will you deliver that report to . . .
2. Would you mind responding by . . .
3. Please do the following by Thursday . . .
4. Do not . . .
5. When you are in the area will you . . .
6. I would appreciate it if . . .
7. I expect your report hand delivered to me by . . .
8. You are required to . . .
9. Perhaps you should . . .
10. You are directed to . . .
11. Per Policy #____ you may not . . .
12. You may wish to . . .
13. The quarterly statement is due by . . .
14. You need to improve your interaction with students and other customers . . .
20
ESSENTIAL ELEMENTS
OF A
DISCIPLINARY DOCUMENT
(continued)
15. It would be nice if you would . . .
16. Safety rules require that you . . .
17. I insist you consider the following . . .
18. It is important that you . . .
19. Why don’t you . . .
20. Please return the completed questionnaire to me by . . .
21. I can see no reason why you should . . .
22. I encourage you to avoid . . .
23. You should try to make the 10:00 a.m. meeting on time . . .
24. You should answer the phone promptly . . .
25. I expected fewer errors in the letter you typed for me . . .
26. You have been absent too many times . . .
21
RIVERSIDE COMMUNITY COLLEGE DISTRICT
XI. PHYSICAL EVIDENCE AND
DESCRIBING BEHAVIOR IN DOCUMENTATION
Physical Evidence
In most disciplinary documents physical evidence needs to be gathered to substantiate or verify any
information related to the case. Physical evidence gathered must identify:
Who
What
When
Where
Why
How
How Many
Examples of Physical Evidence
-
Work Activity Logs
Sign-in Sheets
Receipt Records
Time Cards
Work Schedules
Policies
Pages from Calendars Showing Dates and Times
Training Manuals
-
Signed Statements From the Public
Witness Statements From Employees
Instructions
Computer Records
Phone Records
Pictures
Memos and Letters
Signed statements from students
Physical evidence is often used as an attachment to a disciplinary document so it should be presentable
and free of any unnecessary notes or comments.
Describing Behavior
Conclusions presented in documentation must be supported by specific facts. Conclusions which are
not supported by factual descriptions, or clear statements will not support documentation against an
employee and will be difficult to uphold at any appeal or arbitration level hearings. In describing
behavior we are communicating what was seen, heard, tasted, smelled and touched. In describing a
disciplinary incident we must transmit these senses to writing. Which of the following are clear
statements or descriptions of behavior—versus general conclusions?
1.
I smelled a burning cigarette and saw cigarette ashes on the corner of the desk.
2.
It was reported to me that Jeff used profanity so I counseled him about it.
3.
Mary just doesn’t get it and I can’t have that in the workplace, not in this College District.
22
X. PHYSICAL EVIDENCE AND
DESCRIBING BEHAVIOR IN DOCUMENTATION
(continued)
4.
John made three addition errors in preparing invoice order B-2000 which resulted in an error
of $1245.00.
5.
Cindy has a bad attitude.
6.
James failed to submit his staff report by the noon deadline on May 25th.
7.
Eddie is late to work often, always leaves work early and always takes extended lunch periods.
8.
Priscilla is a negative person and is often hostile to the customers.
9.
Patrick failed to make it to the mandatory 10:00 a.m. staff meeting on May 4th, and did not
notify his supervisor of his inability to attend.
10.
On Tuesday, April 25th, Steve failed to trim the hedges at the intersection of Magnolia and
Ramona as he was instructed to at 6:30 a.m. by John Doe to do by the end of his shift.
11.
Mindy gets along well with the clerical staff but has trouble relating to the professional staff.
12.
Chris does his job very well.
13.
Fred confuses the customers because he doesn’t always follow procedures.
14.
I observed Janice touching Jim on his buttocks and I saw Jim’s startled reaction. I heard him
tell her, “Please do not touch that again!”
15.
On Friday, May 12th, the conference room was full of marijuana smoke.
16.
Sonya reported that Bill brushed up against her inappropriately.
17.
Last Tuesday Charles was drunk at work.
18.
On Tuesday, May 2nd, Charles smelled of alcohol, his speech was slurred, his eyes were
bloodshot and his equilibrium was off as he stumbled into the desk at his workstation.
19.
On May 18th, in the conference room, I accidentally picked up and sipped Joan’s coffee. It had
the distinct taste of alcohol.
20.
When I questioned you about the students concerns you were uncooperative.
21.
When I questioned you about the students concerns, you folded your arms, you turned your
back to me, you rolled your chairs away from me and you didn’t respond to my questions.
23
RIVERSIDE COMMUNITY COLLEGE DISTRICT
XII. DISCIPLINARY MATRIX
DIVERSITY & HUMAN RESOURCES DEPARTMENT
RIVERSIDE COMMUNITY COLLEGE DISTRICT
DISCIPLINARY GUIDELINES
Introduction to Disciplinary Matrix
Attached is a disciplinary matrix containing a listing of offenses which employees might commit with a range of
recommended levels of disciplinary action for each. These disciplinary recommendations are based on the nature and
severity of the offense, and also reflect a philosophy and practice of objectively implementing disciplinary measures
of increasing severity, when problems have recurred or persisted despite previous corrective action(s). The matrix is
not an exhaustive list, but attempts to categorize the types of issues that supervisors and managers may have to deal
with in carrying out their roles. The matrix lays out recommended progressive disciplinary steps.
The purpose of this disciplinary matrix is to serve as a tool to help Division Managers and Human Resources
recommend and implement discipline that is appropriate to the severity of the offense, and that is also fair and
consistent throughout the Riverside Community College District. Remember that these are matrix documents only
created to assist in implementing personnel rules and regulations. It must be cautioned that individual cases vary
greatly in terms of the clarity of issues involved, the level of proof obtained, and the nature and extent of any
mitigating circumstances. In addition to the nature and severity of the offense, factors which will be considered in
determining recommended and final disciplinary measures include:












job-relatedness
most recent Employee Evaluation rating
investigation results, including employee’s response to charges
evidence of misconduct or performance problems
employee’s performance history, including performance appraisal documentation and length of service
prior corrective and/or disciplinary measures
prior notifications of disciplinary consequences
amount of time elapsed since last corrective/disciplinary measure
frequency or repetitiveness of offense (e.g., time elapsed since prior offense)
consequence of error
action taken in similar cases
the employee’s honesty and acceptance of responsibility relating to the incident(s)
With the above factors in mind, this matrix is to be viewed as a recommended framework for minimum and
maximum disciplinary actions. Actual recommendations for a particular case can only be determined once the facts
have been obtained, reviewed, and discussed with Human Resources. It is mandatory that formal disciplinary actions
be reviewed by the Diversity and Human Resources Department.
Because of the technical, often complex nature of the disciplinary process, managers are strongly encouraged to
consult with their Department Head/Diversity and Human Resources as early in the process as possible in order to
discuss the facts and review any related documentation to develop corrective strategies when appropriate, and to
determine the need for formal or informal disciplinary measures.
Following this introduction is a Disciplinary Matrix outlining suggested progressive steps to follow in disciplinary
cases. Please read the introduction to the Disciplinary Matrix. At the end of the Matrix Guidelines is a master list of
template letters followed by a sample of each. The Matrix and template letters will prove to be valuable reference
tools for you.
24
PROGRESSIVE DISCIPLINARY GUIDELINES MATRIX
RIVERSIDE COMMUNITY COLLEGE DISTRICT
August 2007
CODE:
DM
= Directive Memo
S
= Suspension
CS
= Conference Summary
D
= Dismissal
VC
= Verbal Counseling
EPP
= Employee Performance Plan
FW
= Formal Warning
EAP
= Employee Assistance Program
WC
= Written Counseling
MC
= Medical Certification
WR
= Written Reprimand
(from supervisor or manager)
= Policy review
DE
= Demotion
PR
DM’s To Working File
MC To Working File or
Personnel File
WC’s To Working File
WR and Above to Personnel File
CS’s to Working File or
Personnel File
FW to Personnel File
Please note in some cases the matrix indicates possible ranges of action in one box. For
example, WR to D. This means that the range of discipline could be from a Written Reprimand
to a Dismissal, or any level in between. There are variances within the range of disciplinary
outcomes and these guidelines are not intended to be mandatory or binding, but offer
reasonable progressive steps in dealing with employee behaviors on the job. The final outcome
has to be determined based upon specifics of the case and review of the case with the Diversity
and Human Resources Department.
INCIDENTS/OCCURRENCES
Violation
Comments
1st
2nd 3rd
4th
5th
6th
7th
CS
to
WR
VC
or
FW
VC
or
FW
VC
to
CS
WR
to S
S to
D
D
CS
WC
WR
WR2
to S
S
D
CS
or
WC
WR
and/
or
MC
CS
and/
or
MC
WR
WR
WR2
S
D
WR2
WR3
to D
S to
D
D
WC
WR
WR2
S
D
S
D
CS
WC
WR
WR2
S
D
A. Attendance/Time Use Problem
1. No call/no show or absence
from work without approval.
Evaluation
2. Poor attendance.
Evaluation
3. Excessive or unexcused
tardiness without authority.
Evaluation
4. Misuse of sick leave.
Evaluation
5. Excessive use of sick leave.
Evaluation
VC
or
FW
6. Failure to submit required
medical off-work slips.
7. Abuse of break periods.
Evaluation
WC
Evaluation
8. Failure to follow
procedures for requesting
Evaluation
VC
or
FW
DM
25
D
leaves of absence.
Violation
Comments
1st
2nd
3rd
4th
5th
Evaluation
CS
or
DM
D
WR
WR2
S
D
11. Leaving work area without
permission.
Evaluation
WC
WR
WR2
S
D
12. Failure to return as
scheduled from an approved
leave of absence.
Evaluation
VC
or
FW
CS
to
WR
WC
to
WR
WR2
or S
WR2
to S
S to
DE
D
S
D
D
9. Unauthorized overtime.
10. Abandonment of position.
6th
B. Performance Deficiencies
1. Poor performance
(incompetence or inefficiency,
negligence, neglect).
2. Failure to carry out a work
assignment or instruction.
Evaluation
VC
CS
Evaluation
WC
WR
3. Failure of supervisor to
document and refer
disciplinary issues.
Evaluation
CS
WC
to
WR
WR
to S
S to
D
C. Behavioral Issues/Unsatisfactory Personal Habits
1. Displays loss of temper or
use of profanity which impairs
working relationships or
ability to represent the
department/division (yelling,
door slamming, walking out,
etc.).
Evaluation
WC
to S
WR
to D
S to
D
D
2. Discourteous, offensive or
abusive treatment of the
public, students, or other
employees (e.g. rude behavior,
workplace harassment).
3. Verbal argument with other
employee(s) which impairs
working relationships or
ability to represent the
department/division.
Evaluation
WC
to D
WR
to S
S to
D
D
Evaluation
WC
WR
WR2
to S
D
4. Insubordination (including,
but not limited to, refusal to do
assigned work).
5. Conduct during or outside
duty hours which adversely
affects the employee’s
performance or operation of
the department in which they
are employed. Any conduct
inimical to the welfare f the
District, the students, or the
employees thereof.
Evaluation
WR
to D
S to
D
D
Evaluation
VC
to D
CS
to D
WC
to D
26
WR
to D
S to
D
D
7th
Violation
Comments
1st
2nd
3rd
6. Acts which may be
construed as discrimination or
insult on the basis of race,
color, religion, sex, age,
physical disability, national
origin, medical condition,
mental disability, pregnancy,
marital status, or other
protected class.
7. Consumption or possession
of alcoholic beverages or
illegal drugs while on duty, or
while subject to duty (standby).
8. Reporting to work under
the influence of alcohol or
illegal drug.
9. Sleeping on duty.
10. Gambling on RCCD
property or during business
hours.
11. Sexual harassment,
immoral or indecent conduct
(i.e. lewd and obscene
comments, groping, etc.)
12. Bringing children to work
without authority during
business hours.
Evaluation
WR
to D
S to
D
D
4th
5th
6th
S
D
D
Last Chance
Agreement
EAP
D
Last Chance
Agreement or EAP
Evaluation
Evaluation
WR
WR
S
S to
D
D
D
Evaluation
WR
to D
S to
D
D
Evaluation
CS
or
DM
WR
S
D
Evaluation
CS
to
WR
WR
to S
S to
D
D
Evaluation
WR
WR2
to S
S to
D
D
D. Policy Violations
1. Willful or persistent
violation of the Education
Code or policies of the Board
of Trustees.
2. Failure to complete
required in-service training.
3. Failure to maintain
licensure, etc.
4. Driving on RCCD business
on a suspended or revoked
Driver’s License.
5. Carelessness with tools,
keys and equipment causing
damage or danger to life,
property or public safety.
6. Non-compliance with
safety guidelines or
regulations.
7. Dress Guideline violations.
D
Evaluation
WR
to D
S to
D
D
Evaluation
WR
to S
S to
D
D
Evaluation
WR
to S
S to
D
D
Evaluation
FW
to
WR
CS
to
WR
WR
27
WR2
7th
Violation
Comments
1st
2nd
3rd
4th
5th
8. Unauthorized and/or
excessive personal use of
RCCD copiers, phones,
computers, tools, machinery or
equipment.
9. Failure to report use of or
being under the influence of
prescribed drugs on the job or
other violations of RCCD Drug
Free Workplace.
10. Violation of smoking/nonsmoking policy.
Evaluation
CS
to D
WR
to D
WR2
to D
S to
D
D
VC
&
PR
FW
to
WR
FW
to
WR
FW
to
WR
WR
or D
WR
to D
WR
to S
S to
D
D
CS
to
WR
CS
to
WR
CS
to
WR
S to
D
S to
D
WR
to S
WR2
or S
to D
WR2
or S
to D
WR2
or S
to D
S or
D
D
S or
D
D
S or
D
D
Evaluation
WR
to D
D
S to
D
D
Evaluation
VC
to D
CS
to D
WC
to D
WR
to D
WR2
to D
WR2
or S
to D
Evaluation
Evaluation
12. Engaging in political
activity during assigned hours
of employment.
13. Distributing unauthorized
materials on RCCD time.
Evaluation
14. Unauthorized use of RCCD
vehicle.
15. Violation of traffic code in
RCCD vehicle, or in private
vehicle while on RCCD
business (includes violation of
criminal law).
16. Confidentiality violation.
Evaluation
17. Intentional mis-use or
removal of confidential
material.
18. Violation of RCCD
specific policies/procedures and
regulations.
19. Carrying of
firearm/weapon on person, in
workplace or vehicle on RCCD
property.
7th
D
Last Chance
Agreement
11. Unauthorized soliciting of
contributions.
6th
Evaluation
Evaluation
D
E. Theft/Damage/Legal Issues
D
1. Theft of RCCD property
(e.g. equipment, tools, supplies,
etc.)
2. Theft of personal property
(e.g. co-workers, volunteers).
3. Conviction of a felony or
any crime involving moral
turpitude.
D
D
28
WR
to S
WR
to S
D
D
D
Violation
4. Willful misrepresentation of
application (degree, license, length of
experience, etc.)
5. Calling in sick while working
another job.
6. Fighting or deliberately striking a
supervisor, another employee or
member of the public.
7. Deliberate destruction/damage to
RCCD property, property of
employees, or members of the
general public.
8. Attempting to provoke a fight.
Intimidating others through the threat
of physical force.
9. Criminal violation/reckless
operation or driving under the
influence while operating a RCCD
vehicle or a private vehicle on RCCD
property.
10. Willfully falsifying or violating
the Oath of Allegiance or other
District document (timecard, records,
etc.)
11. Intentional misuse of public
funds (i.e. using money for own gain,
using money for improper purposes.
12. Accepting bribes in the course of
carrying out assigned duties.
13. Dishonesty.
14. Workers’ Compensation fraud.
15. Felony eavesdropping or
electronic recording of a confidential
communication without parties’
consent.
16. Unlawfully restricting work
efficiency and productivity.
17. Taking for personal use from any
person in connection with work, any
fee, gift or other valuable thing when
such fee, gift or valuable thing was
given in hope or expectation of
receiving a favor or better treatment
than that accorded other persons.
18. Inducing or attempting to induce
any person, firm or corporation doing
business with the District to give
employment to any person.
19. Inducing or attempting to induce
an employee of the District to
commit an unlawful act or to act in
violation of any lawful and
reasonable department or official
regulation or order.
Comments
1st
2nd
3rd
D
D
D
Evaluation
S to
D
D
Evaluation
WR
to S
S to
D
Evaluation
S to
D
D
D
D
D
D
D
D
D
Evaluation
Evaluation
Evaluation
WR
to D
WR
to D
S to
D
S to
D
D
WR
to D
S to
D
D
D
29
D
4th
5th
6th
7th
30
RIVERSIDE COMMUNITY COLLEGE DISTRICT
XIII. INDEX OF TEMPLATE LETTERS
RIVERSIDE COMMUNITY COLLEGE DISTRICT
Diversity & Human Resources Department
MEMORANDUM
August 1, 2007
To:
Department Heads/Division Managers
From:
Art Alcaraz, Director of Diversity & Human Resources
Subject:
Documentation/Discipline and Template Letters
Dealing with interpersonal and disciplinary matters is a challenging task for most managers and supervisors.
While a manager’s job involves considerable time interacting with employees, communication about
disciplinary matters is not a duty most look forward to. Memorializing in writing performance and/or
behavioral problems is likewise challenging. The Riverside Community College District and the Diversity and
Human Resources Department are committed to offering educational in-services and learning materials to
provide managers and supervisors with the necessary tools to effectively handle employee relations, motivate
employees and when necessary, administer discipline. As an aid to better assist you in the disciplinary process,
I am enclosing a series of template letters dealing with a variety of topics for your use. I have also prepared a
disciplinary matrix for your review and use.
The template letters are included in this training manual. Additionally, they are available via e-mail from Rosa
Espinosa-Leal in the Diversity and Human Resources Department (DHR) and will soon be available on the
DHR web page. Rosa can be reached at (951)222-8797.
Consistent with appropriate personnel guidelines, all formal disciplinary actions requiring Skelly notice
(suspensions, demotions, and dismissals) must be routed to Diversity and Human Resources (DHR) for
approval. I will personally work with you in reviewing, and assisting in the preparation of your final draft
documents in these cases.
The preparation of formal Skelly notices requires detailed facts and exhibits. DHR coordination is critical to
assure that progressive disciplinary measures have been met, that documentation and appropriate exhibits are
included and that our preparation will support the proposed level of discipline. These documents have the
potential to become Arbitration and Court Exhibits and their accuracy and attention to detail is essential.
I trust that this information is helpful to you and request that you work closely with your chain of command and
Diversity and Human Resources staff in applying this material to specific employee cases in your work area.
Should you have any questions or require additional information please discuss with your chain of command
and/or Diversity and Human Resources.
31
SAMPLE
DISCIPLINARY MATRIX TEMPLATE LETTERS
PROVIDED TO MANAGERS
Conditional Offer of Employment Letter
Acknowledgement of Written Notice of Resignation
Conference Summary #1
Conference Summary #2
Written Counseling
Counseling Memo for Attendance & Punctuality
Directive Memorandum
Notice of Proposed Suspension (Skelly 1 Letter)
Notice of Proposed Termination (Skelly 1 Letter)
Notice of Placement on Administrative leave
32
CONDITIONAL OFFER OF EMPLOYMENT LETTER
January 3, 2008
Jane Doe
1234 Five Street
Riverside, CA 92222
Dear Jane:
Congratulations!
Per our telephone conversation on ______, _______ __, 2007, this letter serves to confirm the
Riverside
Community College District’s conditional offer of employment made to you for the position of
________ __________ ______ with the ________ ________ Department of the District. The
__________ ________ __________ position being offered to you is a full-time, permanent status
position. (If possible if at-will we would specify that here i.e. the position being offered to you is a fulltime at-will status position. At any time during your employment period you may be dismissed for
cause.) It is in the _____ bargaining unit. Salary placement will be at Step__ of the Salary Range
which is $__.__ per hour ($___per month, __,___.__ annually).
As we discussed, out target date for commencing your employment with us is _____, ______, 2008. I
am so pleased to have you joining our team in ________.
Our conditional offer of employment is based upon your successful completion of the following
requirements:
1.
You must pass the District’s per-employment medical examination (if applicable)
2.
You must complete required LiveScan Testing
3.
You must submit to a TB skin test with Employee Health Office of District
4.
You must pass the District’s Drug and Alcohol test (if applicable)
5.
You must provide documentation necessary for us to complete the required I-9 for that
validates your right to work in the United States.
6.
You must schedule an appointment with the Diversity and Human Resources Department to
meet with them prior to your first day of employment. The purpose of this meeting is to assure
completion of required paperwork and enrollment forms. This appointment must be scheduled
with _____ at 222-____.
7.
You must successfully complete a probationary period of __ months (if applicable)
33
CONDITIONAL OFFER OF EMPLOYMENT LETTER
Page 2
Your date to attend New Employee Orientation is ________, _______ _, 2008, 8:00 a.m. in the _____
_____ ______.
You will be on a regular 40 hour per week schedule. (if applicable – you will be on a flexible work
schedule). Your schedule is ________ . On your first day of work you will report to ____ at ______
time.
I am glad to welcome you as a new employee of the Riverside Community College District (RCCD)
and look forward to your contribution to our Department and the RCCD. Again, congratulations to
you. For additional information or to discuss additional details of the position or this letter, please
contact me at (951)___-____.
Sincerely yours,
Hiring Authority
Title
Cc:
Diversity and Human Resources Department
Attachments:
Copy of Job Announcement
Copy of benefits (if applicable)
34
ACKNOWLEDGEMENT OF WRITTEN NOTICE OF RESIGNATION
October 12, 2007
John Doe
12345 Garcia Lane
Hemet, CA XXXXX
Dear Mr. Doe,
This letter is to formally acknowledge receipt and acceptance of your notice of resignation tendered on
Friday, October 12, 2007. Your resignation will be effective at the end of the work day on Friday,
October 26, 2007.
Your contributions to the Riverside Community College District and the ______________ function
specifically are appreciated.
We wish you the best of luck in your endeavors after October 26.
Sincerely,
Manager or supervisor
Department
cc:
Department Head
Diversity and Human Resources
35
CONFERENCE SUMMARY #1
DATE:
November 9, 2007
TO:
[employee’s name and title]
FROM:
[supervisor’s name and title]
RE:
CONFERENCE SUMMARY [FOLLOW-UP MEETING] of [date]
REGARDING [BEHAVIOR/PERFORMANCE]
[NOTE: When a problematic pattern of behavior or performance exists, the Conference Summary memo is most often used
after a follow-up meeting with an employee, when it has been determined that the initial verbal counseling has not yielded
successful results. A copy of this memo is normally placed in the employee’s working file, which is retained by the
supervisor. The employee should receive the original copy of the memo.]
On [date of meeting], we met to discuss [specifically describe work habit or performance problem]. [If applicable
include: “present at the meeting were . . .”]. I expressed my concerns to you and provided you an opportunity to discuss
why this deficiency was occurring. Specific concerns I brought to your attention included (list concerns) . . .


When I asked you what was causing these problems, your response was [include employee’s explanation/response and a
brief summary of the dialogue that took place between you and the employee]. I emphasized that this behavior pattern
must be corrected, since it otherwise could adversely affect the work unit, resulting in [cite negative consequences which
were discussed, such as other staff having to cover for the employee, dissatisfied customers, compromising the quality of
product, etc.].
You indicated that you would take the following steps to correct the problem:
[Describe steps employee committed to taking to solve the problem.]
I agreed I would do the following to assist you in improving your [performance or work habits]:
[Describe steps supervisor committed to taking to help employee solve problem.]
We agreed that we would meet again in [specify time period] or on [specify date] to review your progress in correcting this
[behavior pattern, area of your performance]. I will notify you of a subsequent meeting date and time.
Reiterate that this problem must be corrected.
I will be monitoring your [conduct or work performance] by [describe how you will monitor]. I am confident that you
have the ability to correct this problem and meet the expectations that we have discussed.
36
CONFERENCE SUMMARY #2
Date: September 28, 2007
To: Employee
From: Supervisor’s name and title
Re: Conference summary regarding (behavior/performance)
On ___, __, 2007, we met to discuss several concerns I have related to job behaviors and performance.
This memo services to summarize our conference and to re-affirm the expectations I shared with you.
Specific items we discussed included (summarize your discussion bullet points):



I indicated that your (behavior/performance) concerns me because (list specific concerns you have and
be specific, i.e. deadlines not being met such as ___, ____ and ____, morale impacted, overtime
created to cover for you, etc.)
I advised you that the situation must improve and I asked you for your input and ideas to solve the
problem. Your response was _________. My expectations of you in future similar situations are:
_____
_____
_____
(Summarize any action that you agreed upon from the above information). We agreed that you will
_____ and I will _____. (Add here what consequences might be of continued problems of a similar
nature). I expect that you will be able to make improvement I highlight in this letter. Should you fail
to meet these expectations, you will be subject to the implementation of progressive disciplinary
measures.
(If you agree to, indicate follow up date for another meeting or indicate to employee how you will be
monitoring their improvement.) I am confident that you can meet my expectations as outlined above
and trust that we will not have to meet on this matter again.
37
WRITTEN COUNSELING
November 9, 2008
TO:
Employee’s Name and Title
FROM:
Supervisor’s Name and Title
RE:
Written Counseling regarding _____ [behavior/performance problem].
On [date], we met to discuss the following ______(incident or performance issue):
1. Describe the situation or infraction.
Address the following questions in describing the situation:
When did it happen? Cite date(s).
Where did it happen?
What rules, policies, procedures, laws have been violated?
State how the employee should handle the situation in the future.
2. Describe the effects of the behavior on the operation of the work unit.
3. Cite previous counseling [verbal or written] or discipline which they have received
for this problem, if applicable.
4. State the specific expected behavior required to correct the problem.
Summarize the steps you and the employee agreed to take to try to resolve the
problem.
5. State the consequences if the problem is not corrected.
We agreed to meet again on [date] at [time], [place] for a follow-up meeting.
38
RIVERSIDE COMMUNITY COLLEGE DISTRICT
COUNSELING MEMO FOR
ATTENDANCE & PUNCTUALITY
DATE:
November 2, 2007
TO:
[Name, Title]
FROM:
[Manager/Supervisor Name, Title
RE:
Written Counseling Regarding Attendance & Punctuality
The purpose of this memo is to review concerns regarding your attendance and punctuality, as discussed with you in our
meeting on [date].
If Applicable: Prior to our [date], meeting, you were verbally counseled regarding your attendance and punctuality on
[date].
The following is a record of your attendance and punctuality during the time period of _____ to ______.
SAMPLE
DATE
DAY
TIME OFF
REASON
10/2/07
10/3/07
10/5/07
10/9/07
10/12/07
10/15/07
10/17/07
10/25/07
Tuesday
Wednesday
Friday
Tuesday
Friday
Monday
Wednesday
Thursday
20 minutes late
10 minutes late
15 minutes late
30 minutes late
20 minutes late
25 minutes late
15 minutes late
20 minutes late
2 hours 35 minutes
Car wouldn’t start
Had to park by Lovekin
Alarm didn’t go off
Caught by train
Couldn’t get kids going this morning
Train again
Traffic congestion
phone call right before I left house
Your reaction when we met about this was ___________________________________________________________
____________________________________________________________________________________________.
(add any other comments the employee may offer regarding their attendance here.)
Your pattern of tardiness and absenteeism is unacceptable, and it is negatively impacting the morale of your co-workers and
the productivity of our work unit [offer specific examples]. You are directed to take whatever steps are necessary to
improve your attendance and punctuality. Additionally, you are directed to comply with the following procedures:
1.
If you are ill, you are to contact me no later than ____a.m. If I am unavailable, you are to speak directly to
[supervisor’s name/title].
2.
You are to arrive to work promptly at [____a.m./p.m.] each morning. If a late arrival or absence from work
can be anticipated, you are to give me ample notice, so that staffing arrangements can be made. Ample
notice is defined as ____________.
It is essential that you understand that failure to improve your record of attendance and punctuality, and/or failure to
comply with the above procedures, will result in the implementation of progressive disciplinary measures.
I have read and received a copy of this memo. I understand and agree to its contents.
Employee Name
Date
39
RIVERSIDE COMMUNITY COLLEGE DISTRICT
DIRECTIVE MEMORANDUM
DATE:
November 15, 2007
TO:
[Name of Employee, Title]
FROM:
[Supervisor]
SUBJECT:
Use of <title of policy> Policy
On [date], [describe precipitating incident in a chronological narrative. Include all known
related facts and dates…i.e. on 11-14-07 you failed to properly lock the front door and set the
alarm. This could potentially result in intruders to the office who could vandalize our work
area.].
This action was in violation of _____ [cite policy/regulation/procedure] which specifically states . . .
“[quote applicable section of policy].”
Attached is a copy of [dept.] policy # [number] entitled [title].
Keep this policy/procedure in a convenient place and refer to it to refresh your memory about this
policy/provision/procedure.
In our meeting of [date], we review the policy together and I answered your questions. You said you
understood the policy.
In the future, you are expected to follow the policy/procedure on <topic – quote name of document>.
It is essential that you understand that failure to comply with the above procedure(s), will result in the
implementation of progressive disciplinary measures up to an including termination.
I have read and received a copy of this memo. I understand and agree to its contents.
________________________________
Employee Name
________________
Date
40
Skelly #1 Letter
November 6, 2008
Employee Name
Job Title
Department
Riverside Community College District
(If not presenting in person mail to employee’s home address)
NOTICE OF PROPOSED SUSPENSION
Dear Mr./Ms ______:
I am writing to notify you of my intent to recommend that the Board of Trustees (“Board”) suspend
you from the position of _______________ with the (Office/Department) of the Riverside Community
College District (“District”). It is proposed that this suspension be for _____ (_) working days.
Your suspension is based on the following specific listed grounds and charges both collectively and
individually as outlined in the Riverside Community College District’s Personnel Handbook for
Classified Employees (“Handbook”):
(List only the specific sections below that apply. You may also add any sections of any Board
policies or other District rules and regulations that might apply.)
Classified Employee Handbook Section IV, Termination and Disciplinary Action
100
Dismissal, suspension or Demotion of Permanent Employee (E.C. Section 88013; Article II,
Section A of the Agreement)
A.
Causes for Disciplinary Action
The continued employment of permanent classified employees is contingent upon proper performance of
assigned duties and personal fitness. A permanent employee may be demoted, suspended, or dismissed
for cause, which shall include, but not be limited to, the following:
1.
2.
3.
Unsatisfactory fulfillment of job responsibilities, such as:
a.
Incompetence or inefficiency.
b.
Insubordination (including, but not limited to, refusal to do assigned work).
c.
Willful or persistent violation of the Education Code or policies of the Board of
Trustees.
Unsatisfactory attendance, such as:
a.
Abuse of leave privileges.
b.
Absence or repeated tardiness without authority.
c.
Abandonment of position.
Unsatisfactory personal habits, such as:
41
a.
Consuming alcoholic beverages or illegal drugs while on duty
b.
Reporting to work under the influence of alcohol or illegal drugs.
c.
Immoral conduct while on duty.
d.
Conviction of a felony or any crime involving moral turpitude.
e.
Dishonesty or theft while on duty.
f.
Discourteous, offensive or abusive conduct or language toward other employees,
students or the public while on duty.
g.
Any conduct inimical to the welfare of the District, the students or the employees
thereof.
h.
Falsification or violation of the Oath of Allegiance or any other District document.
i.
Engaging in political activity during assigned hours of employment.
j.
Taking for personal use from any person in connection with work, any fee, gift or other
valuable thing when such fee, gift or valuable thing was given in hope or expectation of
receiving a favor or better treatment than that accorded other persons.
k.
Inducing or attempting to induce any person, firm or corporation doing business with
the District to give employment to any person.
l.
Inducing or attempting to induce an employee of the District to commit an unlawful act
or to act in violation of any lawful and reasonable departmental or official regulation or
order.
(After these cites add any other policies that the employee violated)
As an employee of the District, you are expected to complete your assignments in a timely manner
within procedures prescribed by policies of the Riverside Community College District. You are
expected to be responsible and able to carry out your assigned duties and responsibilities efficiently.
Your proposed suspension is based on the specific charges, and supporting facts as set forth below.
CHARGES
1. On October 1, I discovered ………….
2. You failed to ………………...
3. List specific acts or omissions by the employee here, being very specific as to date, time, and
nature of infraction.
4. ETC.
(In addition to the above charges cite any previous mention of deficiencies.) A review of your
work record reflects some of the following deficiencies:
A.
B.
C.
42
D.
Your repeated inefficiencies and failures must be improved on a consistent basis.
RIGHT TO BE HEARD CONCERNING THE GROUNDS AND CHARGES
You have a right to be heard on the grounds and charges, at which time you may present reasons,
written and/or oral, as to why the suspension should not be carried out. This procedure is known as a
“Skelly hearing” and will be conducted by ________, Title______, who will serve as the Skelly
Officer.
If you wish to have an opportunity to be heard, a Skelly hearing will be held on ____ _, 2008 at 9:00
a.m. in _______ Office which is located in ___________at the campus of _________College. You
have the right to be represented at the Skelly hearing by a person of your choice.
You will be notified in writing of the decision of the Skelly Officer, and of the requirements for a
proper and timely appeal.
You must notify Art Alcaraz, Director Diversity and Human Resources (222-8797), by 4:00 p.m. on
______ ), 2008 if you wish to be heard on the grounds and charges. Failure to provide notice by this
deadline will constitute a waiver of your rights for this Skelly hearing.
RIGHT TO APPEAL
If the Skelly Officer agrees with the proposed suspension, you will have the right to appeal your
suspension to an independent Hearing Officer who will be selected by the Chancellor in accordance
with Section IV.100.C of the Handbook. The hearing will be conducted in accordance with the
requirements of Sections IV.100.C. and D of the Handbook and Section 88013 of the California
Education Code.
The Hearing Officer’s findings and/or recommendations will be forwarded to the Chancellor who will
make the final decision and provide you with written notice.
Sincerely,
Name
Manager/Supervisor
cc:
Art Alcaraz, Director of Diversity and Human Resources
Department Head
Personnel File
Enclosures:
1.
2.
3.
4.
Classified Employees Handbook, Section IV
California Education Code Section 88013.
Copy of supporting documents (be specific in naming them here)
Copy of supporting documentation
43
5.
6.
Copy of supporting documentation
Copy of supporting documentation
44
Skelly #1 Letter
November 6, 2008
Employee Name
Job Title
Department
Riverside Community College District
(If not presenting in person mail to employee’s home address)
NOTICE OF PROPOSED TERMINATION
Dear Mr./Ms ______:
I am writing to notify you of my intent to recommend that the Board of Trustees (“Board”) terminate
you from the position of _______________ with the (Office/Department) of the Riverside Community
College District (“District”). It is proposed that this termination will be effective on _____.
Your Termination is based on the following specific listed grounds and charges both collectively and
individually as outlined in the Riverside Community College District’s Personnel Handbook for
Classified Employees (“Handbook”):
(List only the specific sections below that apply. You may also add any sections of any Board
policies or other District rules and regulations that might apply.)
Classified Employee Handbook Section IV, Termination and Disciplinary Action
100
Dismissal, suspension or Demotion of Permanent Employee (E.C. Section 88013; Article II,
Section A of the Agreement)
A.
Causes for Disciplinary Action
The continued employment of permanent classified employees is contingent upon proper performance of
assigned duties and personal fitness. A permanent employee may be demoted, suspended, or dismissed
for cause, which shall include, but not be limited to, the following:
2.
4.
5.
Unsatisfactory fulfillment of job responsibilities, such as:
a.
Incompetence or inefficiency.
b.
Insubordination (including, but not limited to, refusal to do assigned work).
c.
Willful or persistent violation of the Education Code or policies of the Board of
Trustees.
Unsatisfactory attendance, such as:
d.
Abuse of leave privileges.
e.
Absence or repeated tardiness without authority.
f.
Abandonment of position.
Unsatisfactory personal habits, such as:
m.
Consuming alcoholic beverages or illegal drugs while on duty
45
n.
Reporting to work under the influence of alcohol or illegal drugs.
o.
Immoral conduct while on duty.
p.
Conviction of a felony or any crime involving moral turpitude.
q.
Dishonesty or theft while on duty.
r.
Discourteous, offensive or abusive conduct or language toward other employees,
students or the public while on duty.
s.
Any conduct inimical to the welfare of the District, the students or the employees
thereof.
t.
Falsification or violation of the Oath of Allegiance or any other District document.
u.
Engaging in political activity during assigned hours of employment.
v.
Taking for personal use from any person in connection with work, any fee, gift or other
valuable thing when such fee, gift or valuable thing was given in hope or expectation of
receiving a favor or better treatment than that accorded other persons.
w.
Inducing or attempting to induce any person, firm or corporation doing business with
the District to give employment to any person.
x.
Inducing or attempting to induce an employee of the District to commit an unlawful act
or to act in violation of any lawful and reasonable departmental or official regulation or
order.
(After these cites add any other policies that the employee violated)
Your proposed suspension is based on the specific charges, and supporting facts as set forth below.
CHARGES
1. list specifics ………….
2. You failed to ………………...
3. List specific acts or omissions by the employee here, being very specific as to date, time, and
nature of infraction.
4. ETC.
(In addition to the above charges cite any previous mention of deficiencies.) A review of your
work record reflects some of the following deficiencies:
A.
B.
C.
D.
Your repeated failure to perform at a consistent and satisfactory level compel the District to take this
termination action against you. You have been give repeated opportunities to improve you
deficiencies but you have failed to do so.
46
RIGHT TO BE HEARD CONCERNING THE GROUNDS AND CHARGES
You have a right to be heard on the grounds and charges, at which time you may present reasons,
written and/or oral, as to why the termination should not be carried out. This procedure is known as a
“Skelly hearing” and will be conducted by ________, Title______, who will serve as the Skelly
Officer.
If you wish to have an opportunity to be heard, a Skelly hearing will be held on ____ _, 2008 at 9:00
a.m. in _______ Office which is located in ___________at the campus of _________College. You
have the right to be represented at the Skelly hearing by a person of your choice.
You will be notified in writing of the decision of the Skelly Officer, and of the requirements for a
proper and timely appeal.
You must notify Art Alcaraz, Director Diversity and Human Resources (222-8797), by 4:00 p.m. on
______ ), 2008 if you wish to be heard on the grounds and charges. Failure to provide notice by this
deadline will constitute a waiver of your rights for this Skelly hearing.
RIGHT TO APPEAL
If the Skelly Officer agrees with the proposed termination, you will have the right to appeal your
termination to an independent Hearing Officer who will be selected by the Chancellor in accordance
with Section IV.100.C of the Handbook. The hearing will be conducted in accordance with the
requirements of Sections IV.100.C. and D of the Handbook and Section 88013 of the California
Education Code.
The Hearing Officer’s findings and/or recommendations will be forwarded to the Chancellor who will
make the final decision and provide you with written notice. In cases of termination, such as this one,
the Board of Trustees will make the final decision. The employee will be provided with a written copy
of the decision.
Sincerely,
Name
Manager/Supervisor
cc:
Art Alcaraz, Director of Diversity and Human Resources
Department Head
Personnel File
Enclosures:
1.
2.
3.
4.
5.
7.
8.
9.
Classified Employees Handbook, Section IV
California Education Code Section 88013.
Copy of supporting documents (be specific in naming them here)
Copy of supporting documentation
Copy of supporting documentation
Copy of supporting documentation
Copy of supporting documentation
Copy of supporting documentation
47
PAID ADMINISTRATIVE LEAVE LETTER
September 24, 2007
John Doe
Job Title
Department
Specific Campus
Riverside Community College District
Dear Mr. XXXX:
Effective immediately, and until further notice, you are being placed on paid administrative leave pending
resolution of issues relating to allegations of inappropriate behavior on your part.
While on paid administrative leave you will receive full pay with no charge of time to your benefit banks.
During your paid administrative leave, you are to refrain from entering any Riverside Community College
District property or buildings. You are also to refrain from contacting any District staff members or co-workers
at work with the exception of the Diversity and Human Resources Director or the District Director of Equity and
Compliance. This instruction is mandatory and it is essential that you comply with this directive.
Also, your administrative leave status requires that you be available for telephone and mail contact and meetings
with your employer during normal business hours. You are required to notify the Diversity and Human
Resources Director if you move, change your telephone number or plan to be out of town for more than one (1)
day.
As a routine security precaution, all individuals being placed on administrative leave must turn in their
identification badge, key card and keys. Any paychecks you have coming to you during this paid administrative
leave period will be mailed to your last known address on file with the Diversity and Human Resources
Department unless alternative arrangements are made by you with the Diversity and Human Resources Director.
This Paid Administrative Leave will remain in effect until further notice.
During the time period in which you are on paid administrative leave, if you have questions or concerns, you
may contact Art Alcaraz, Diversity and Human Resources Director, or Chani Beeman, District Director of
Diversity and Human Resources. They can be reached at (951) 222-8590.
Sincerely,
XXXXXXXXXXXX XXXXXXXXX
Title
Specific Campus
cc:
Diversity and Human Resources Director
Director of Diversity, Equity and Compliance
Personnel File
48
RIVERSIDE COMMUNITY COLLEGE DISTRICT
XIV.
A B C’s of Documentation
49
A =
ACCURATE
Factual & Specific
Job Related
Direct Observations
B = BEHAVORIAL
C =
Document Specific Behaviors
Avoid Attitude Comments
CONSISTENT
Format & Detail The Same For All
Consistent Application of Rules
50
RIVERSIDE COMMUNITY COLLEGE DISTRICT
NOTES
51
RIVERSIDE COMMUNITY COLLEGE DISTRICT
NOTES
52
53