Appendix B: Sanctions

Faculty

The potential sanctions, specified in Section III(F) of the Faculty Handbook, are:

  • A warning not to repeat the offending conduct and/or special monitoring of teaching or research;
  • Separation of the parties involved;
  • Required participation in an educational program (for example, about discrimination);
  • A letter of reprimand;
  • Removal from a research project (including long-term disbarment), suspension of access to laboratories, or other reassignment of duties;
  • Loss of office, travel funds, research funds, etc.;
  • Denial of a pay increase;
  • Reduction in rank, salary or loss of endowed chair;
  • Probation;
  • Suspension (administrative leave) with or without pay; or
  • Dismissal.[1]
Staff

Sanctions for staff are dependent on the employee type: classified or operational, professional/professional faculty, executive, or other.  Misconduct is typically addressed by one or more primary sanctions and secondary sanctions/remedial actions.  Certain sanctions may be either primary or secondary.  Sanctions are informed by relevant circumstances including disciplinary history.  Any sanction short of termination typically includes a written warning regarding disciplinary consequences of another incident of misconduct.

For Classified or Operational Employees:  The governing policy is DHRM Policy 1.60, Standards of Conduct.   Potential primary and secondary sanctions are:

Primary Sanctions: 

  • One of the following:
    • For findings of harassing or inappropriate conduct not rising to the level of a policy violation or similar: Written counseling memorandum.  
    • For a minor violation and/or a violation with significant mitigating factors: A Group I Notice.  Note that under the Standards of Conduct, failure to comply with written policy typically results in a Group II Notice and in certain circumstances, a Group III Notice. 
    • A Group II Notice. 
    • For serious violations, such as discrimination, harassment or retaliation by a supervisor of an employee or repeated or knowing violations, a Group III Notice.
  • Accompanied by, where appropriate, one or more of the following:
    • Suspension without pay.
    • Demotion, transfer with reduced responsibilities, or transfer to an equivalent position in a different work area.
    • Reduction in salary or denial of future pay increase(s).  
    • Termination.

Secondary Sanctions/Remedial Actions:

  • Separation of the parties involved, typically through a unilateral no-contact order;
  • Required participation in an educational program (for example, about discrimination) or training;
  • Modification of supervisory responsibilities;
  • Consideration of the violation in future awards, recognition, honors or opportunities;
  • Limitation or monitoring of relevant responsibilities or work activities; for example, requiring supervisory approval of leave requests could be an appropriate sanction/remedy for a finding of discrimination relating to treatment of leave requests.

Note a finding of a violation by a probationary employee (a classified or operational employee within the probationary period) typically will result in termination. 

For Professionals and Professional Faculty: The governing policy is the Policy on Appointments and Terminations of Professional Faculty.  Primary sanctions typically are accompanied by one or more secondary sanctions/remedial actions.  Potential primary and secondary sanctions are:

Primary Sanctions: 

  • For findings of harassing conduct not rising to the level of a policy violation or similar, a written counseling memorandum;
  • For a minor violation and/or a violation with significant mitigating factors, a written reprimand;
  • Suspension without pay, reduction in salary, and/or or denial of future pay increase(s);
  • For serious violations, such as discrimination, harassment or retaliation by a supervisor of an employee or repeated, severe, or knowing violations, demotion or termination.

Secondary Sanctions/Remedial Actions:

  • Separation of the parties involved, typically through a unilateral no-contact order;
  • Required participation in an educational program (for example, about discrimination) or training;
  • Removal or modification of supervisory responsibilities;
  • Additional monitoring or supervision;
  • Relocation of office or work location;
  • Reassignment/transfer;
  • Consideration of the violation in future awards, recognition, honors or opportunities;
  • Limitation or monitoring of relevant responsibilities or work activities; for example, requiring supervisory approval of leave requests could be an appropriate sanction/remedy for a finding of discrimination relating to treatment of leave requests.  

For Executive Employees: The governing policy is the Employment Policy for Executives.  Primary sanctions typically are accompanied by one or more secondary sanctions/remedial actions.  Potential primary and secondary sanctions are:

Primary Sanctions:

  • Reduction in salary or denial of future pay increase(s);
  • Unpaid administrative leave;
  • Limitation or monitoring of relevant responsibilities; for example, requiring supervisory approval of leave requests could be an appropriate sanction/remedy for a finding of discrimination relating to treatment of leave requests;
  • Demotion; or  
  • Termination.

Secondary Sanctions/Remedial Actions:

  • Separation of the parties involved, typically through a unilateral no-contact order;
  • Required participation in an educational program (for example, about discrimination) or training;
  • Reduction in salary or denial of future pay increase(s);
  • Removal or modification of supervisory responsibilities; or
  • Consideration of the violation in future awards, recognition, honors or opportunities. 


[1] Faculty Handbook Section III(F)(k).