608 Disciplinary Procedures
 
The University’s policies and regulations are intended to facilitate productive and harmonious working relationships. However, should the need arise for disciplinary action to be taken against an employee for misconduct, the University provides for five levels of disciplinary procedure. The level at which disciplinary action begins is determined by the immediate supervisor, based upon the facts related to the conduct in question. The goal of progressive discipline is to retain employees and to improve performance while at the same time documenting the efforts of the University in the event of termination of an employee’s service. For disciplinary actions under Levels I, II, III, and IV use the on-line form at www.troy.edu/humanresources/forms.htm.

LEVEL I FORMAL DISCUSSION
   
  In cases of minor misconduct and offenses, supervisors should utilize the formal discussion level of the disciplinary procedure. Proper documentation concerning the discussion should be kept on file by the supervisor.
   
LEVEL II ORAL WARNING
   
  The oral warning level of the disciplinary procedure should be utilized for misconduct that occurs after the formal discussion. An oral warning may be issued without a formal discussion should the misconduct warrant such action. A summary of the oral warning should be documented on the disciplinary form and signed by the employee being issued the warning and the supervisor issuing the warning. A copy of this document will become part of the employees official personnel file.
   
LEVEL III WRITTEN WARNING
   
  The written warning is issued for misconduct that occurs after an oral warning. A written warning may be given instead of an oral warning should the misconduct warrant such action. A written warning should be documented using the disciplinary form. Should a written warning be issued as an extension to a previous warning, the prior warning should be referenced. The written warning should be signed by the employee being issued the warning and the supervisor. A copy of the warning will become part of the employee's official personnel file.
   
LEVEL IV SUSPENSION
   
  A suspension (with or without pay) may be imposed should misconduct continue after a written warning has been issued. A suspension may be the first level in the disciplinary procedure should the misconduct warrant such action. The employee should be notified of a suspension in writing using the disciplinary form, with terms of the suspension clearly stated. The notice should be signed by the employee and submitted to the Office of Human Resources for inclusion in the employee's official personnel file. No annual or sick leave will be earned during any suspension.
   
LEVEL V  TERMINATION
   
  While the University may use any of the above levels prior to termination, termination may also be the first level of the disciplinary procedure. In this event, an Intent to Terminate will be issued. The Intent to Terminate may be the first level in the disciplinary procedure should the misconduct warrants such action.
 

608.1 Resignation

All employees are required to notify their supervisors of their resignation as early as possible, normally a minimum of four weeks prior to the final working day. Notification should be in writing, with a copy to the Human Resources Office. Additional separation paper work may be required from the employee (for details see Section 8.3). Resigning employees may collect their checks during the next regularly scheduled pay period.

608.2 Dismissal

608.2.1.General

All recommendations regarding dismissal are made at the Senior Vice Chancellor level or above, after consultation with the immediate supervisor and discussion with the effected employee. The University recognizes that dismissal for any reason is a serious matter. In cases of termination of any employee because of lack of funds or re­organization, the employee is to be notified at least four weeks in advance if circumstances and advance knowledge permit. Reorganization includes, but is not limited to, the elimination, combination, restructuring or alteration of a service division as well as contracting services to a vendor. If dismissed for cause, the employee shall lose any and all accrued University benefits.

608.2.2 Procedures Ensuring Intent to Terminate

Before a non-probationary, regular full-time employee may be terminated for cause, the immediate supervisor must notify the employee with a written Notice of Intent to Terminate, in which the reasons for the intent are cited. The immediate supervisor must present the intent to terminate in person, if at all possible; if not, by certified or registered mail at the employee's last known residence. The immediate supervisor shall simultaneously inform the employee of the right to a hearing as outlined below in Section 8.2.3. Moreover, the immediate supervisor has the option in any such instance to suspend with pay any employee who requests a hearing.

608.2.3 Hearing

An employee entitled to a hearing by virtue of a Notice of Intent to Terminate shall have two working days from the date of receipt of the notice of intent to request a hearing before an appeals committee. If the employee does not request a hearing, the employee's salary ceases at the end of the second working day following the receipt of the notice of intent. If the employee requests a hearing, the hearing shall occur within five working days of the receipt of the notice of intent to terminate. The decision of the committee (to uphold or reverse the intent) will be presented to the Office of the Chancellor, or to the appropriate campus Vice Chancellor as a recommendation regarding the termination. In matters of dismissal, final authority resides in the Office of the Chancellor.

A committee of impartial employees with no direct relationship to the situation involved will be appointed by the Chair of the Personnel Advisory Committee. The appellant may select another University employee to appear with him/her before the Appeals Committee. The committee may discuss the appeals with the employee's supervisors or other University employees. The committee will accumulate and study the statements of fact in the case. The employee(s) and the supervisor will be notified, in writing, at least three (3) working days before the case will be heard by the committee. The appeals hearing is an internal and informal procedure, but the appellant may bring a representative to the hearing for advisement purposes only. If this person is an attorney, he/she will act solely in an advisory capacity to the employee and will not be permitted to take a direct role in the proceedings.

A reasonable time shall be set aside to conduct the hearing in order to provide ample time for presentation of all materials by both parties. Pertinent materials should be made available to the subcommittee at the scheduled hearing. A general outline of the order of procedure should be provided by the Chair of the sub-committee. A list of all involved persons, such as witnesses, will be distributed to the members of the subcommittee.

The University reserves the right to have its attorney(s) present. Also, if he/she wishes, the employee may have a maximum of two (2) witnesses. The committee reserves the right to call additional witnesses if the situation warrants this action. The parties interested will be notified as to the time and place of the meeting. Failure of either party to appear shall not prejudice the case nor prevent the committee from hearing the case and rendering a decision. If the proceedings concern a group appeal, no more than three (3) members of the group may be present at the review.

The Appeals Committee will submit a written report and recommendations, which are advisory only, to the Office of the Chancellor. The Office of the Chancellor will provide a final determination of each appeal reaching that level. Copies of the decision will be provided to the appellant and all parties involved within ten (10) working days (unless a longer time is mutually agreed upon).

NOTE: When warranted by unusual circumstances (illness, extended absence, etc.) the Human Resource Director may extend or modify time limits in this procedure and the committee may waive the limits set by the procedure as it pertains to the number of witnesses in unusual circumstances.

608.2.4 Immediate Dismissal

The following actions by an employee may result in a written notice of intent to terminate (this list is not intended to be all inclusive):
  1. Inability or unwillingness to perform assigned duties in an acceptable manner.
     
  2. Excessive absenteeism or tardiness.
     
  3. Deliberate or careless misuse of University property.
     
  4. Possession or transmittal of any weapon or dangerous object in the workplace.
     
  5. Falsification of any information.
     
  6. Excessive garnishments.
     
  7. Possession, usage, transmittal of unauthorized drugs or alcohol.
     
  8. Theft.
     
  9. Causing or attempting to cause physical injury to another.
     
  10. Leaving premises during scheduled hours of work without supervisor’s permission.
     
  11. Sleeping on the job.
     
  12. Willful violation of rules, regulations, or policies.
     
  13. Any other acts considered by the University as major misconduct, insubordination, gross negligence, or gross disregard of obligation to the University as an employee. Such acts shall include violation of another employee’s rights concerning discrimination or harassment.

608.2.5 Separation Procedures

All terminating employees (except for retirement) are required to complete separation forms, which will be provided by the supervisor or the Office of Human Resources. Upon completion, these forms must be submitted to the Office of Human Resources before the final payroll can be processed.

608.2.6 Service Retirement

Employees should notify the supervisor and the Office of Human Resources at least three months prior to the scheduled retirement date. Retirement policies and procedures are prescribed by the Teachers' Retirement System.

608.2.7 Disability Retirement

Employees should notify the supervisor if a disability retirement is requested. Upon notification, the supervisor should contact the Office of Human Resources to initiate retirement administration. Disability retirement is administered in accordance with the policies of the University’s disability insurance carrier, the Teachers' Retirement System, and/or Social Security Administration. The University reserves the right to require documentation from a physician in validating claims of disability.