PERSONNEL PROCEDURES FOR UC IRVINE STAFF MEMBERS

A. References

Personnel Policies for Staff Members

Policy 62, Corrective Action
Policy 63, Investigatory Leave
Policy 64, Termination of Career Employees - Professional and Support Staff
Policy 65, Termination of Career Employees - Managers and Senior Professionals

Personnel Procedures for UCI Staff Members

Procedure 62, Corrective Action
Procedure 64, Termination of Career Employees - Professional and Support Staff
Procedure 65, Termination of Career Employees - Managers and Senior Professionals

B. Authority and Responsibility

The department head is responsible for placing an employee on investigatory leave, in consultation with Human Resources.

C. Guidelines

1. Overview
a. Investigatory leave is a tool available to management in situations when it may be necessary to immediately remove from the premises an employee whose continued presence would potentially disrupt operations or otherwise endanger University interests.

b. It is to be used only when possible/actual misconduct issues are involved and the presence of the employee(s) at work may interfere with the investigation or may further expose the University (e.g., to financial loss, danger to other employees, or poor public relations).

c. The employee initially remains on pay status during the investigatory leave. Based on the results of the investigation, the paid leave may subsequently be converted to a suspension without pay.

2. Suggested Guidelines for Conducting an Investigation
a. Investigations should commence immediately.

b. In the course of the investigation, the investigator should attempt to answer the following questions:

1) What was the incident that was observed/reported?

2)Who observed/reported the incident?

3) What was the employee's alleged involvement?

4) What work rule, policy, or standard is alleged to have been violated?

5) When was the work rule, policy, or standard implemented?

6) When was it last reviewed and/or discussed with staff?

7) What was the effect or consequence of the employee's action?

8) When did the incident occur (date and time)?

9) Where did the incident occur (department, building, and room number)?

10) Who was on duty when the incident occurred?

11) Who was in charge when the incident occurred?

12) Why? Why? Why?

c. Objective, open-ended questions should be prepared in advance that are directly relevant to the issue(s) under review.

d. The investigator should take notes during the interview and then review them with the interviewee for accuracy.

e. Parties who provide oral and/or written statements are to be informed that their names and statements must be given to the employee/representative, if requested, if corrective or disciplinary action is a possibility.

f. If obtained, written statements should be signed and dated by the investigator and the interviewee.

g. Relevant information, documents and records are to be identified and included in the review.

h. All written records are to be maintained by the department head.

D. Procedures

a. A department head may place an employee on investigatory leave without prior notice, for periods not to exceed 15 calendar days, in order to review or investigate actions including but not limited to dishonesty, theft or misappropriation of University property, fighting on the job, insubordination, acts endangering others, or other conduct or unusual circumstances which warrant removing the employee from the premises.

b. Exceptions to the 15-calendar-day limit must be approved by Human Resources.

c. The department head should:

1) Tell the employee that s/he is being placed on investigatory leave, and that an investigation will occur,

2) Inform the employee of the reasons for the leave,

3) Request the return of University property (e.g., keys, electronic equipment, files, records, etc.),

4) Direct the employee to leave the work site.

d. The leave must be confirmed in writing to the employee, normally not later than 5 working days after the leave is effective (see Exhibit A). The notice must:

1) Include the reasons for the investigatory leave;

2) State the expected dates of the leave (The leave may be extended, if necessary.);

3) Direct the employee to remain available for interviewing;

4) Include a Proof of Service prepared by someone other than the department head and who is not a party to the issue under investigation (see Exhibit B and Exhibit C).

e. A copy of the letter, with a copy of the Proof of Service, should be placed in the employee's personnel file. At the conclusion of the investigation, a decision will be made whether to retain this letter in the file or to remove it.

f. The department head, in consultation with Human Resources, will conduct or will appoint a person to conduct a thorough investigation of the incident (see Suggested Guidelines for Conducting an Investigation).

g. Upon conclusion of the investigation, the department head will determine if the period of the investigatory leave is to be converted to a suspension without pay or dismissal. The department head shall inform the employee in writing of the decision in conformance with the provisions of Policy 62, Policy 64, and/or Policy 65, as appropriate.

1) For exempt employees only, suspension without pay may be imposed only in increments of a standard work week.

2) Suspension of an exempt employee without pay in increments other than a standard work week may be permitted when the infraction is a violation of a significant safety rule relating to prevention of serious danger to the work place or to other employees. The department head must consult with Human Resources regarding appropriate alternatives.

E. Applicability

All staff members, except employees who are in a bargaining unit that has an exclusive representative (union) and are covered by the applicable provisions of the collective bargaining agreement.

Procedure 63: EXHIBIT A

Sample Notice of Investigatory Leave

Date

Name
Title

RE: Notice of Investigatory Leave

This is to inform you that you are being placed on investigatory leave effective _______________ through_______________ for (state reason(s).

While on investigatory leave, you may not enter the work site, including (specify locations) for any purpose, unless you have made prior arrangements with me. You may not interact with any (department) employees nor access any University or (department) resources, including, but not limited to, (computer resources). You may not destroy or in any way alter files or materials, including computer files.

You are required to return your (Select appropriate items: keys and access cards for building(s), office(s) vehicle(s), laboratories; service and/or administrative gate pass; employee identification card, files, computer disks and/or software, books, library photocopy cards, voice mail codes, AdCom Services password(s), computer account(s) passwords, PAL (purchasing) card, American Express corporate card, University calling card, safety goggles/apparel purchased by the University, etc. ) to me immediately.(If applicable:) You are required to immediately return all University property provided for your work use at home: (including but not limited to: computer, modem, fax, printer, typewriter). (Optional:) _______________will accompany you to your home immediately to retrieve this property.

I expect the investigation will require no longer than (time frame) to complete, during which time you will remain on pay status. Upon conclusion of the investigation, I will determine if the period of the investigatory leave will remain a paid leave or will be converted to a suspension without pay or dismissal.

During the investigation, you will be contacted to arrange meetings and to discuss the findings. Therefore, I expect you to remain available to meet with the investigator. You have the right to representation at these meetings.

If you have any questions or concerns about any of the issues raised in this letter, please contact me at (campus phone number).

Department Head

c: Human Resources

Attachment: Proof of Service dated_______________

Procedure 63: EXHIBIT B

Sample Proof of Service: Delivery by U.S. Mail

PROOF OF SERVICE

Delivery by U.S. Mail

I declare that I am over the age of eighteen years and am not a party to the issue described in the attached notice. My work address is University of California, Irvine, Department/Unit Name, Room Number + Building Name + Zot Code, Irvine, California, 92697-Zot Code. On (date), I served the attached Notice of Investigatory Leave by placing a true copy enclosed in a sealed envelope with postage fully paid in the United States mail, addressed as follows:

(Name of Recipient)
(Street Address)
(City, State, Zip Code)

I declare under penalty of perjury that the foregoing is true and correct and that this declaration was executed on (date) at Irvine, California.

Signature
Name Typed Here

Procedure 63: EXHIBIT C

Sample Proof of Service: Personal Delivery

PROOF OF SERVICE

Personal Delivery

I declare that I am over the age of eighteen years and am not a party to the issue described in the attached notice. My work address is University of California, Irvine, Department/Unit Name, Room Number + Building Name + Zot Code, Irvine, California, 92697-Zot Code. On (date), I personally delivered the attached Notice of Investigatory Leave to:

(Name of Recipient)
(Location)

I declare under penalty of perjury that the foregoing is true and correct and that this declaration was executed on (date) at Irvine, California.

Signature
Name Typed Here