Employee Concerns

Guidelines on progressive action, employee complaints, access to personnel records, etc.

703 - Progressive Corrective Action

Section: U703

Date: October 17, 2003


 

PURPOSE:

To define the University’s policy on Progressive Corrective Action and to establish guidelines for the Corrective Action Process.

POLICY:

Corrective action is a process designed to identify and correct problems that affect an employee’s work performance and/or the overall performance of the department. The progressive corrective action process should be handled consistently within each unit and for each problem.

GUIDELINES:

  1. The Progressive Corrective Action Process refers to the following actions:
    • counseling or verbal warning;
    • written reprimand and warning;
    • suspension;
    • suspension pending investigation and final determination;
    • specific warning of discharge; and
    • discharge.
  2. Depending on the situation, any step may be repeated, omitted, or taken out of sequence; however, the University reserves the right to effect immediate termination should the situation be warranted. Each case is considered on an individual basis by the department and Employee Labor Relations.
  3. Typically, a preliminary meeting is held with the employee to allow the employee an opportunity to understand the nature of the concern and to explain his/her position on the matter. If necessary, the corrective action documentation would then be put together which would summarize the issue, taking into account any additional information the employee may have provided during the preliminary meeting.
  4. When issuing corrective action, there should be clear and direct communication between the employee and his/her immediate supervisor (or other University official with responsibility for the unit in which the employee works). This communication should include a meeting between the employee and the supervisor (usually after an investigative meeting described in (3) above is held between the employee and the supervisor). The supervisor should discuss the nature of the problem and how it affects the employee’s overall performance and/or the overall performance of the department. During the meeting, the supervisor should make it clear to the employee that there are specific performances/behavioral expectations of the position, that he/she has failed to meet the outlined expectations, and a corrective action is being issued. It should also be clearly established that the employee must work on correcting the problem within a defined time period to avoid more serious progressive discipline.
  5. Disciplinary action should be taken within a time frame that will allow for a positive change in the employee’s behavior or work performance. All disciplinary actions should be documented in writing, preferably on the Notice of Corrective Action form, which includes instructions for the approval and routing process.
  6. Except for serious offenses, the progressive corrective action ordinarily should not be advanced if six (6) months or more have elapsed since the previous corrective action. The employee’s prior disciplinary record is never expunged from his or her personnel file. However, when the progressive correction action occurs six (6) months or more after the previous discipline, the last disciplinary step taken should be repeated.
  7. In the case of serious misconduct, an employee may be suspended and/or discharged on the first offense. Serious workplace misconduct includes, but is not limited to:
    • theft (to include unauthorized removal and/or use of University property);
    • sleeping on the job;
    • fighting;
    • behavior/language of a threatening, abusive or inappropriate nature;
    • misuse, damage to or loss of University property;
    • falsification, alteration or improper handling of University-related records;
    • unsatisfactory customer service (mishandling of or unsatisfactory service to the public, students, patients, staff or faculty) as defined by the department;
    • disclosure or misuse of confidential information, including government-mandated regulations that outline the treatment of confidential information (i.e., HIPAA, Medicare compliance, etc.);
    • unauthorized possession or concealment of weapons;
    • possession, use, sale, manufacture, purchase or working under the influence of non-prescribed or illegal drugs, alcohol, or other intoxicants; refusal to submit to a required drug screen; and tampering with the drug testing process in any manner;
    • insubordination (e.g., refusal to carry out a direct assignment); and
    • misuse of the University’s electronic information systems, including:
      • deleting or altering electronic information without authorization;
      • generating false, misleading or defamatory information;
      • disregarding copyright and other intellectual property rights;
      • unreasonable use of available information technology which is not relevant to the employee’s assigned task or to core University purposes; and
      • other actions that conflict with ITS’s Policy on Information Technology Use and Access.
  8. Supervisors initiating corrective action should consult with their own immediate supervisor and/or their divisional Human Resources representative prior to issuing discipline. HR Employee and Labor Relations Office personnel should be contacted in order to give measured feedback, suggest alternative action(s) or approve the impending corrective measure.
  9. In cases of suspension, suspension pending investigation/outcome or of termination, HR Employee and Labor Relations’ approval is required prior to any action being taken against the employee. Disciplinary action that is issued may be reversed, amended or negated by HR Employee and Labor Relations, pending a review with the appropriate supervisor or departmental Human Resources representative.

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

704 - Employee Complaint Resolution Procedure

Section: U704

Date: September 21, 2007


PURPOSE:

To provide a means for non-union and non-probationary staff employees to bring formal internal employment-related complaints to the attention of the University’s administration for resolution.

POLICY:

The University encourages employees and supervisors to resolve work standards and performance issues. If serious complaints and concerns cannot be resolved, a more formal process that non-union employees may utilize is available. Such complaints/concerns will be dealt with in accordance with the procedures and guidelines outlined below.

GUIDELINES:

  1. To be eligible to initiate the complaint resolution procedure, an individual must be an active non-union staff employee and must have successfully completed their probationary period.
  2. In view of HR Employee Relations or Labor Relation’s prior involvement in the determination of a suspension or discharge, any individual who has been suspended or discharged will not be eligible to invoke this complaint procedure
  3. Any complaint which also is the subject of an external process or venue shall not be processed through the University’s Employee Complaint Resolution Procedure. “External process or venue” includes, for example, situations where an employee has retained an attorney, filed a lawsuit or complaint with an administrative agency or threatened to do so.
  4. If the employee’s complaint involves an issue of Affirmative Action (AA) or Equal Employment Opportunity (EEO) or issues involving faculty, the University may elect to refer the matter for resolution to the University’s Affirmative Action Officer and/or may consult the section, department, or academic unit head, relevant dean’s office and/or the Office of the Provost for resolution.
  5. The University prohibits retaliation against any employee who initiates a complaint or participates in an investigation of a complaint under this policy.
  6. The University encourages an earnest effort be made to resolve these issues as promptly as feasible.
  7. The University reserves the right to consolidate sequential employee complaints when deemed appropriate.

PROCEDURES:

  1. An employee’s formal complaint must be in writing and signed by the employee. The complaint must:
    • Explain the nature of the complaint and the specific circumstances at issue;
    • Identify the rights, procedures, or policies violated; and
    • State the specific complete remedy sought by the employee.
  2. The employee should initiate the written complaint with his/her immediate supervisor within two (2) weeks of the incident that gave rise to the employee’s concern. The supervisor will meet and discuss the matter fully with the employee and provide a written response to the employee regarding the complaint within two (2) weeks (if feasible) of being informed by the employee. If there is no response or if the response is not satisfactory to the employee, he/she may advance the complaint to the next step.
  3. In the event the matter is not satisfactorily resolved at the supervisor’s level, the employee may submit a written appeal to the department head or the departmental HR/administrative representative within one (1) week of the supervisor’s response. To initiate the appeal the employee must submit:
    • A copy of the formal complaint;
    • A copy of supervisor’s response; and
    • Reason(s) for disagreeing with the supervisor’s response.

    The department head or HR Administrative representative will investigate as appropriate, will meet to discuss the matter fully with the employee and other relevant parties, if applicable, and will provide a written response to the employee within two (2) weeks of being notified of the issue by the employee. If there is no response or if the response is not satisfactory to the employee, he/she may advance the complaint to the next step.

  4. If the employee still believes the matter has not been satisfactorily resolved at the department level, he/she may submit a written appeal to the HR Employee Relations / Labor Relations representative within one (1) week of receiving the department’s written response. All information and documentation from the initial complaint and previous appeals should be included.
  5. The employee appeal will then be referred to an Employee Complaint Review Panel consisting of three (3) members. In order to ensure the Panel members have no personal relationship, University business dealings or other significant knowledge of or dealings with the employee or the department, the Director of Employee/Labor Relations will select the individuals to serve on the Panel.
  6. The HR Employee Relations / Labor Relations representative should facilitate the complaint appeal procedure by first presenting the Employee Complaint Review Panel with all relevant documents, including but not limited to the following:
    • A copy of the staff employee’s written complaint and
    • A copy of the written response(s) from the department.
  7. The Employee Complaint Review Panel will determine whether the complaint requires a formal hearing to include the complainant and/or relevant staff or whether it can be fairly decided based upon the written documents of the complaint.It is recommended that the employee have the opportunity for a hearing with the Employee Complaint Review Panel. However, the Panel may make its decision based upon the written documents and recommendations of E/LR without meeting with the employee.
  8. The Employee Complaint Review Panel will make the final decision on the submitted complaint within three (3) weeks of the hearing (or of the receipt of the complaint materials from E/LR), whichever is applicable. The Panel’s written decision will be final and binding upon the department and the employee.
  9. It is expected that the time frames outlined in this procedure be adhered to. However any unforeseen delay will be promptly communicated to the complainant.
  10. Working time lost by the employee(s) at a complaint meeting should be considered as time worked for pay purposes.

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

705 - Employee Access to Personnel Records

Section: U705

Date: October, 2016


PURPOSE:

To provide guidance regarding personnel document retention and to provide employees, upon proper request, the right to inspect their personnel records. Generally, personnel records are University documents that capture an employee’s qualifications for employment, promotion, transfer, compensation, discharge or other disciplinary action.

POLICY:

There is one university personnel file housed within University HR. Personnel documents should not be stored in the department or unit.

Current or former employees or their representatives may review certain personnel records twice per calendar year at reasonable intervals, upon making a request to University HR. Former University of Chicago employees have access to their personnel records for one year after separation, according to Illinois state law. The University of Chicago complies with applicable Illinois state laws.

PROCEDURES:

Personnel Document Retention

Effective January 1, 2015 and after, personnel documents should be stored only in Workday, the University’s HRIS, using the relevant Workday document categories. Documents dated prior to January1, 2015 are stored in the University’s personnel record management system. Personnel documents should not be stored anywhere other than these two locations.

Employee Access to Personnel Records

  1. Personnel records that are accessible for review by current or former employees are any documents which have been used or which are intended for use in determining the employee’s qualifications for employment, promotion, transfer, additional compensation, discharge or other disciplinary action.
  2. Certain documents are not subject to employee access.
  3. A current employee who wants to inspect his/her personnel records must make a written request to Workdaysupport@uchicago.edu, which will coordinate the granting of access to the personnel records through the university’s secure HR Information System (Workday), generally within seven working days of the request. A former employee or their representative has the option to (1) have their personnel records securely emailed, (2) have the records delivered via home address or (3) can arrange for the records to be picked up from Human Resources.
  4. An employee who is involved in a current grievance can designate, in writing, a representative to inspect the employee’s personnel records which may have bearing on the resolution of the grievance.
  5. Valid identification must be presented by the employee and/or the employee’s representative before being allowed access to the employee’s personnel records, unless the records are being accessed through the university’s secure HR Information System by the employee.
  6. An employee may have single photocopies of any documents inspected. The University may charge a reasonable fee for copies, if a large number of copies are requested.
  7. To correct or remove information from a personnel record, there must be a mutual agreement to do so between the employee and the employee’s unit or HR.
  8. An employee may attach an explanatory statement to any disputed document in his/her personnel records.

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

706 - Nursing Mothers in the Workplace

Section: U706

Date: June 8, 2011


PURPOSE:

To provide guidance regarding break time and locations for nursing mothers to express breast milk while in the workplace.

POLICY:

Supervisors, colleagues, and co-workers should be supportive, respectful, and sensitive to an employee’s choice to nurse. The University will provide suitable private locations and reasonable break time for employees to express breast milk. The University prohibits discrimination against and harassment of nursing employees who exercise their rights under this Policy.

GUIDELINES:

  1. An employee who plans to express milk during the workday should discuss her plans with her supervisor or the department/unit Human Resource Administrator (HRA) in advance to allow adequate time to plan and identify a suitable private location.
  2. Reasonable break time will be provided for expressing milk. Employees may use their regular rest and meal break time for this purpose. Employees should discuss scheduling with their supervisors, and supervisors are encouraged to be flexible.
  3. The supervisor or HRA will identify a private room or other suitable location, other than a restroom, in close proximity to the employee’s work area for the employee to express milk. The supervisor or HRA should contact HR – Employee Relations if assistance is needed to identify a suitable private location.
  4. Employees may report any concerns related to this policy to their supervisor, HRA, Human Resources (staff employee related), or the Office of the Provost (faculty or other academic appointee related).

Employees represented by a union may be governed by the appropriate bargaining unit agreement.