Research Corporation of the University of Hawaiʻi

Research Corporation
of the University of Hawai‘i
3.420 RCUH Adverse/Corrective and Disciplinary Action Policy
I. Policy
All RCUH employees are required to meet certain standards of work performance and workplace conduct. When employees do not meet specified standards, corrective and disciplinary actions may be warranted. It is the RCUH’s policy to address employee work performance and conduct with corrective and disciplinary action(s). Its purpose is to correct the issue(s) and encourage employees to improve their conduct or performance for continuation of employment.
This policy will provide Principal Investigators with guidelines relating to the corrective and disciplinary action process.
II. Responsibilities
A. RCUH Employee
1. Maintain established standards of employee workplace conduct and satisfactory work performance.
B. Principal Investigator
1. Address performance and/or conduct issues in a timely manner.
III. Applications
This policy applies to all Principal Investigators who employ RCUH regular-status employees. The actions described in the policy apply to all non-probationary regular-status employees, regardless of FTE.
IV. Details of Policy
A. Principal Investigators May Use Various Types of Corrective and Disciplinary Actions – Principal Investigators may use any of the following actions (as applicable) to correct an employee’s behavior or work performance:
1. Informal Counseling: An informal (not documented) meeting between the employee and his/her immediate supervisor and/or Principal Investigator.
2. Formal Counseling: A formal (documented) meeting between the employee and his/her immediate supervisor and/or Principal Investigator.
3. Disciplinary Reprimand (Warning): A verbal or written reprimand may be issued for poor or unacceptable behavior and/or poor or unsatisfactory work performance.
4. Disciplinary Suspension Without Pay: A suspension without pay may be imposed on an employee for a serious violation or repeated/continued behavior or

performance problems. Length of the suspension will be dependent upon the circumstances, as deemed appropriate by the RCUH Director of Human Resources.
5. Performance Probation: An employee may be placed on probation for poor or unsatisfactory work performance or for poor or unacceptable behavior. Probation will serve as a “last warning” and will remain in effect until rescinded. The length of the probationary period will be of sufficient duration to give the supervisor an opportunity to do a final evaluation of the employee’s performance or behavior. The RCUH reserves the right to take necessary employment action against the employee on probation before the probation duration expires if the circumstances justify such an action.
6. Termination of Employment: An employee may be terminated from employment due to poor behavior or unsatisfactory work performance.
B. Disciplinary Actions Need Not Follow a Progressive Scheme – Disciplinary steps may be omitted or repeated, depending on the nature and circumstances of the employee’s work performance and/or workplace conduct, as deemed appropriate by the RCUH Director of Human Resources.
C. Confidentiality of Disciplinary Actions – All corrective and disciplinary actions will be kept confidential.
V. Procedures
A. Procedures for Principal Investigator/Designees Issuing Disciplinary Action to an Employee
1. Principal Investigator Must Notify RCUH of Performance or Conduct Issues: The project’s Principal Investigator or authorized designee will advise the RCUH Director of Human Resources of all work-performance and/or workplace-conduct issues for guidance.
2. Principal Investigator Must Consult With the RCUH Director of Human Resources on Certain Disciplinary Actions: Before proceeding with the following disciplinary actions, Principal Investigators/designees must first consult with the RCUH Director of Human Resources prior to taking any action. The RCUH Director of Resources must approve the following actions:
a. Disciplinary reprimands
b. Disciplinary suspensions
c. Terminations of employment
B. Procedures for Documenting Disciplinary Actions
1.
2. Formal Counseling: Documentation in the form of meeting minutes or a summary of the meeting is required for this formal meeting. The employee should be
Informal Counseling: Documentation of the meeting is not required but is
Comment [DE1]: Above, the sole distinction between informal and formal counseling was the presence or lack of documentation. By this definition, if informal counseling is documented, it becomes formal counseling. Therefore, this recommendation concerning informal counseling is that it is not recommended; formal counseling is recommended instead.
recommended.
However, the date(s) and parties involved in the informal meeting should be noted.

provided a copy of these minutes/summary. A copy of this documentation should also be provided to the Director of Human Resources for the employee’s personnel file.
3. Disciplinary Reprimand (Warning): For verbal and written reprimands, documentation is required, in the form of a memo to the employee, notating the date of issuance, the name of the issuing party, the performance/conduct that is being addressed, and the corrective measures taken. The reprimand must be provided to the employee and the Director of Human Resources for the employee’s personnel file.
4. Disciplinary Suspension Without Pay: A written notice explaining the duration and reasons for the suspension must be provided to the employee and to the Director of Human Resources for the employee’s personnel file.
5. Performance Probation: A written notice explaining the following: (1) duration of performance probation, (2) reason(s) for the performance probation, (3) expectations during performance probation period, and (4) consequence(s) if employee is not able to pass performance probation must be provided to the employee and the Director of Human Resources for the employee’s personnel file.
6. Termination of Employment: The employee will be provided a written notice of his/her termination (specifying the reason for the termination and effective date of the termination). The employee will also be provided an opportunity to appeal the termination (via a written appeal to the RCUH Director of Human Resources). See Policy 3.285 RCUH Termination of Employment.
Advise the RCUH Director of Human Resources of all work-performance and/or workplace-conduct issues for guidance.
VI. Contact
Nelson Sakamoto, Director of Human Resources: (808) 956-6965
[email protected]
VII. Relevant Documents
Policy 3.285 RCUH Termination of Employment
Date Revised: 4/25/17