Procedure 18-16 - Disciplinary Process (Non-Unionized Administrative and Support Staff)

Responsible Service:
Human Resources

Date and Instance of Approval:
August 18, 2023
Vice-President, Finance and Administration

PURPOSE:
1. This Procedure is established pursuant to Policy 2 b)– Discipline (Non-Unionized Administrative Support Staff) (referred to in this Procedure as “Policy 2b”) and is intended to outline the operational means by which the Supervisor and/or Human Resources administers Policy 2b.
DEFINITIONS:
1. Capitalized words or expressions that are not defined in this Procedure are defined in Policy 2b). The following words and expressions have the corresponding meaning for the purposes of applying this Procedure:
  1. Discipline Letter:is the written letter from the employee’s Supervisor to the employee informing the employee of the Misconduct, the Disciplinary Measure imposed on the employee due to the Misconduct and detailing the following, as applicable:
    1. the duration and conditions of the Disciplinary Measure,
    2. expectations for improved conduct,
    3. further corrective measures expected of the employee,
    4. the consequences of further Misconduct, including the imposition of more serious Disciplinary Measures, such as suspension or termination,
    5. the effective date of termination of the employee’s employment, if the Disciplinary Measure is termination with cause.
  2. Disciplinary Measure: means any one of the measures imposed on an employee as described in Section 6 of this Procedure as a consequence to an employee’s Misconduct.
  3. Investigative Interview: means meeting(s) or communications, occurring as part of the Investigative Process, with the employee who is the subject of an allegation of Misconduct and/or with other individuals to obtain information relevant to the alleged Misconduct in order to determine the facts of the alleged Misconduct. The Investigative Interview is conducted by the Supervisor, Human Resources Personnel and/or a third party retained by the Supervisor or Human Resources Personnel to conduct the investigation into the alleged Misconduct.
  4. Investigative Process: means the fact-finding process undertaken by the Supervisor, Human Resources Personnel and/or external third party to determine whether an employee has engaged in the alleged Misconduct.
INTERPRETATION:
1. This Procedure should be read in conjunction with Policy 2b.
2. The Associate Vice-President of Human Resources and/or delegate is responsible for interpreting this Procedure.
APPLICATION:
1. This Procedure applies to alleged Misconduct by University employees holding a non-unionized administrative and support staff position.
2. If there is a University policy and/or procedure applicable to addressing the type of alleged Misconduct at issue, the alleged Misconduct will be dealt with under the relevant provisions of that applicable University policy and/or procedure. If there is a conflict between this Procedure and such other University policy and/or procedure applicable to addressing the type of alleged Misconduct at issue, the more stringent provision will apply. Where there is no applicable University policy and/or procedure, the alleged Misconduct will be handled in accordance with Policy 2 b) and this Procedure.
INVESTIGATIVE PROCESS:
1. Human Resources Personnel accompanies the Supervisor throughout the Investigative Process. When alleged Misconduct is brought to the attention of the Supervisor he or she is responsible for looking into the matter, for consulting with Human Resources Personnel and for proceeding as follows (unless circumstances warrant that Human Resources Personnel appoints a separate internal or external investigator as per Policy 2b), Section 5.1):
  1. reviews the allegation and if needed, seeks clarification from the person who brought the allegations to the Supervisor’s attention;
  2. conducts Investigation Interviews by sending the employee who is the subject of the alleged Misconduct and any other person who may have information relevant to the alleged Misconduct written notice of the date, time, location, and purpose of the meeting; and
  3. ensures that throughout the Investigative Process, the employee, who is the subject of the alleged Misconduct, has been given an opportunity to know the allegations of Misconduct made against them and an opportunity to be heard and to respond to such allegations.
2. Employees and those participating in the Investigative Process are expected to co-operate fully and promptly. This may include providing written statements, the names of any relevant witnesses, disclosing any relevant documents, and attending Investigative Interviews.
3. In consultation with Human Resources Personnel, the Supervisor may decide to suspend an employee with pay for the duration of the Investigative Process pursuant to Section 5.2 of Policy 2b). The Supervisor or Human Resources Personnel will send the employee written notice of the suspension pending the outcome of the Investigative Process.
4. The Supervisor will inform the employee in writing of the outcome of the Investigative Process.
DISCIPLINARY MEASURES:
1. Each one of the following is considered a Disciplinary Measure under this Procedure, and prior to deciding on and imposing any one of them on an employee, the Supervisor must consult with Human Resources Personnel:
  1. Verbal warning: Where prior progressive discipline is not a factor, minor incidents of employee Misconduct can be addressed by an employee's Supervisor through a verbal warning. The Supervisor will identify the employee's Misconduct and communicate expectations for improved conduct. The Supervisor should file a note recording the details of the verbal warning in the employee's personnel file kept at Human Resources
  2. Written warning: In cases of serious Misconduct or those involving repeated employee Misconduct following earlier progressive discipline warnings, an employee’s Supervisor can decide to give an employee a written warning.
  3. Suspension: In cases of serious employee Misconduct or those involving repeated employee Misconduct following earlier progressive discipline warnings, an employee's Supervisor can decide to impose a paid or unpaid suspension for a period appropriate in the circumstances and after the end of such period, the employee returns to work.
  4. Termination with cause: A termination of employee with cause is the final step in progressive discipline. The Supervisor may decide to terminate the employee with cause where:
    1. The employee has engaged in repeated Misconduct despite progressive discipline interventions and despite the provision of a written warning; or
    2. An incident of serious employee Misconduct that is severe, and it is incompatible with continued employment at the University.
  5. Other: In appropriate cases and after consultation with Human Resources Personnel, the Supervisor can impose other measures as a consequence to the Misconduct (alone or in combination with a disciplinary measure) such as, training, demotion, transfer to another job in another University faculty, service or unit, loss of remuneration or compensation.
DISCIPLINE LETTER
1. If after consultation with Human Resources Personnel, the Supervisor decides that a Disciplinary Measure is warranted, the Supervisor will meet with the employee and must provide the employee with a Discipline Letter.
2. Despite Section 7.1 of this Procedure, if the Disciplinary Measure is a verbal warning, the Supervisor is not required to provide the employee with a Discipline Letter.
3. If the Disciplinary Measure is a suspension or is a termination with cause, the Discipline Letter must be reviewed by Human Resources Personnel prior to meeting with the employee and giving it to the employee.
4. A copy of the Discipline Letter must be filed in the employee’s personnel file maintained within Human Resources.