Administrative Policies and Procedures Manual - Policy 3215: Performance Improvement

Date Originally Issued: 07-30-1982
Revised: 11-01-1991, 05-19-1995, 10-15-1995, 08-01-2006, 03-01-2011, 02-20-2015, 06-11-2018, 04-14-2023

Authorized by RPM 6.3 ("Privileges and Benefits")
Process Owner: Vice President of Human Resources

1. General

All employees have a valuable and critical role in helping the University fulfill its mission. To that end, employees should work together collaboratively and treat each other with mutual respect. Employees who are supervisors have added responsibilities to train and support their staff in fulfilling job requirements, to act fairly, to provide feedback on performance, and to assist their staff in improving performance and addressing issues that negatively affect the workplace.

To promote employee success, the University encourages the use of non-disciplinary, performance improvement actions (See Section 5) and progressive discipline (See Section 8), when applicable. Certain situations may be too serious to address with non-disciplinary measures or progressive discipline and may warrant immediate actions. In accordance with applicable laws and University policies, the University retains the right to determine the methods, means, and personnel required to maintain efficient operations. This includes the right to hire, promote, transfer, assign, discipline, and retain employees in positions within the University.

2. Applicability

For purposes of this policy, "employees" includes regular staff, term, and contract employees who only can be disciplined for proper/just cause as described in and/or limited by Sections 2.1, 2.2, 2.3 and 8.

This policy does not apply to temporary, on-call, or probationary employees. The employment of temporary, probationary, and on-call employees is for an indefinite period of time and is subject to termination by UNM, with or without proper/just cause, with or without notice, and at any time.

See UAP 3210 (“Recruitment and Hiring”), UAP 3200 (“Employee Classification”), and UAP 3225 (“Separation of Employment”) for more information relating to the types of employee classification at UNM.

This policy also does not apply to individuals specifically appointed as faculty, undergraduate and graduate student employees, School of Medicine house officers, and independent contractors.

2.1. Regular Employees (Post-Probationary)

As permitted by Section 6 below, supervisors are encouraged to implement non-disciplinary performance improvement actions to address employee performance issues before commencing the disciplinary process. Post-probationary employees may be disciplined only for proper/just cause (See Section 7).

2.2 Employees Hired on a Term Appointment (Post-Probationary)

Employees hired on a term appointment who have satisfied a probationary period may be discharged only for proper/just cause (See Section 7) during the term appointment. Separation at the end of the original or extended term appointment shall not constitute discharge and does not require proper/just cause.

2.3. Contract Employees

Contract employees may be suspended or discharged only for proper/just cause (See Section 7) prior to the expiration of the contract period, unless the plain language of their employment contract allows for suspension or discharge on other grounds. The University reserves the right to not renew these contracts when they expire. Terms, conditions, and notification requirements for employees hired under contract are described in UAP 3240 ("Contract Employees"). Additional language in individual contracts may apply. Unless otherwise provided for in the contract, supervisors may use progressive discipline (See Section 8) when resolving disciplinary problems involving contract employees during the term of the contract, but may use higher levels of discipline depending on the seriousness of the issues. Separation at the end of the original or extended contract period shall not constitute discharge and does not require proper/just cause.

3. Definitions

In accordance with federal law and/or in an effort to maintain efficient operations, this policy draws a distinction between misconduct that includes but is not limited to matters which involve allegations of violations of UNM’s civil rights policies and matters which do not. These two types of matters are defined below:

Any Matter Involving Allegations of Civil Rights Violations: This phrase means any matter in which an employee is alleged to have violated one or more of UNM’s civil rights policies, which follow below:

(collectively, “UNM Civil Rights Policies”). This phrase also means those matters that include allegations of violations of one or more UNM Civil Rights Policies and any other UNM policy. For example, this phrase would include any matter alleging sexual assault in violation of UAP 2740 and violation of UAP 2240 ("Respectful Campus").

Any Non-Civil Rights Matter: This phrase means any matter in which an employee is alleged to have engaged in misconduct that is non-discriminatory in nature and does not implicate UNM Civil Rights Policies set forth above. For example, this phrase would include any matter alleging attendance issues or impairment in the workplace.

For any questions regarding whether a particular situation is a Matter Involving Allegations of Civil Rights Violations or a Non-Civil Rights Matter, contact the UNM Division of Human Resources (“Division of Human Resources”).

4. Responsibilities and Rights

4.1. Supervisors

Supervisors are responsible for promoting a productive, safe, and effective work environment, including ensuring that each employee's job performance meets or surpasses expectations. Supervisors should make concerted efforts to ensure that employees understand job requirements and expectations, and have the skills necessary to fulfill those requirements and expectations; they should address problems that may impact performance in a timely, constructive, and corrective manner. See Section 5 for guidance on non-disciplinary actions which may be implemented to improve performance and Section 8 for information on progressive discipline.

4.2. Employees

Employees are responsible for following established University policies and procedures, laws, and other applicable standards that pertain to their work. They should work in an efficient, safe, competent, and cooperative manner to fulfill their job requirements and should reach out to supervisors when assistance or guidance is needed. Bargaining unit members may have additional rights and responsibilities under their collective bargaining agreement and should refer to the applicable agreement for more information.

4.3. Resources for Supervisors and Employees

Supervisors and employees may consult or seek guidance within their units and with next level managers. The University also provides resources to address job performance and to help build communication and collaboration for successful employees. The Human Resources website provides extensive information for both supervisors and employees on training, performance improvement discussions, and the disciplinary process. Human Resources Consultants are available as a resource in their assigned areas for both supervisors and employees. An employee may request to confer with a different Human Resources Consultant if desired. Following is a list of additional resources for supervisors and employees:

UNM Ombuds Services; refer to UAP 3220 ("Ombuds Services");
University Counseling, Assistance, and Referral Service (CARS); and
Employee and Organizational Development (EOD)
Environmental Health and Safety (EHS)

5. Non-Disciplinary Performance Improvement Process

The University recognizes that performance improvement discussions have the potential to correct many performance deficiencies and lead to successful employees. Good “coaching,” including performance improvement discussions, requires continuous feedback to employees. Supervisors should evaluate performance, identify issues, and when appropriate require employee training to address weaknesses. Except in Any Matter Involving Allegations of Civil Rights Violations, supervisors should use a problem-solving approach to resolve performance problems and other issues negatively affecting the workplace.

Some useful tools for performance improvement are available on the Human Resources website for Performance Improvement and Discipline, and include the performance review process (See UAP 3230 (“Performance Review and Recognition”)), consultation with next level managers, coaching and performance improvement discussions, and communication guides and training.

In Any Matter Involving Allegations of Civil Rights Violations, use of the non-disciplinary, performance improvement actions set forth in this Section may only be implemented in consultation with the UNM Title IX Coordinator if a report of a civil rights violation/discrimination has been made.

Nothing in this section shall be interpreted as relieving any supervisory/managerial employee from reporting complaints of civil rights violations/discrimination or harassment in accordance with UAP 2720 (Section 10. Mandatory Reporting Responsibility) and/or suspected sexual harassment in accordance with UAP 2740 (Section 10. Reporting Sex Discrimination). Such matters should be promptly reported to the Office of Compliance, Ethics & Equal Opportunity (“CEEO”) as specified in these policies to allow CEEO to institute applicable processes as set forth in its Discrimination Grievance Procedure.

5.1. Lateral Transfers and Demotions

When an employee is not suited to a specific position, a manager may wish to suggest a transfer to a lateral or lower level position (demotion) that appears to be better suited to the employee in lieu of performance management. A transfer in either of these cases may be appropriate when there is a position open within the department and such a transfer is reasonably predicted to result in improved performance.

Any change in position resulting in a demotion can be done only with the employee’s agreement and approved, in advance, by the Assistant Vice President (AVP) for Human Resources.

6. Overview of UNM Disciplinary/Sanctioning Processes

UNM provides two separate disciplinary processes for employees who are alleged or found to have violated UNM policy. The applicable process depends on the nature of the alleged policy violations as described below in Sections 6.1 and 6.2. See Section 2 for more information regarding the classes of employees to whom these processes are applicable.

If discipline is implemented, bargaining unit employees should refer to the applicable collective bargaining agreement for information regarding their ability to grieve the discipline or non-disciplinary performance improvement actions imposed .

Nothing in this section should be interpreted as providing bargaining unit employees the right to grieve non-disciplinary, performance improvement actions set forth in Section 5 through the grievance or arbitration provision of any collective bargaining agreement beyond that which is provided in the relevant collective bargaining agreement.

6.1 Sanctioning Process for Any Matter Involving Allegations of Civil Rights Violations

This process applies to Any Matter Involving Allegations of Civil Rights Violations (http://policy.unm.edu/common/documents/3215-exc.pdf).

When a UNM employee has been found responsible for misconduct in any Matter Involving Allegations of Civil Rights Violations, the employee may be subject to a level of formal discipline set forth in Section 8, as well as the non-disciplinary performance improvement actions set forth in Section 5, including but not limited to coaching and training (“Sanctions”). In accordance with Section 10.1, the employee will have an opportunity to appeal any and all proposed Sanctions.

6.2 Disciplinary Process for Any Non-Civil Rights Matter.

Where a UNM employee has been found responsible for having engaged in misconduct that is non-discriminatory and does not implicate UNM Civil Rights Policies, the employee may be subject to discipline as set forth in Section 8.

When the discipline imposed is suspension or discharge, the employee may appeal the action in accordance with Section 10.2. For more information on the process for suspension or discharge see http://policy.unm.edu/common/documents/3215-exb.pdf. Employees in a bargaining unit represented by a union should refer to the grievance and arbitration procedure in the applicable collective bargaining agreement for their right to grieve disciplinary action arising from Any Non-Civil Rights Matter.

7. Proper/Just Cause for Disciplinary Action

Proper/just cause is generally significant, substantial, or cumulative misconduct or uncorrected performance relating to the employee's work that is inconsistent with the employee's obligation to the University and that violates policy, procedure, law or other standards.

Examples that could constitute proper/just cause for disciplinary action are shown below, but should not be considered an all-inclusive list.

Attendance issues (unsatisfactory attendance including tardiness).
Abuse of sick leave. See UAP 3410 (“Sick Leave”).
Violation of departmental or University policy on confidentiality, or the release of confidential information in violation of law.
Conviction of a felony or misdemeanor during employee’s tenure of employment, depending on the nature of the conviction, offense and type of position the employee holds, consistent with the New Mexico Criminal Offender Employment Act.

Discovery of pre-employment felony or misdemeanor conviction, depending on the nature of the conviction, offense and type of position the employee holds, consistent with the New Mexico Criminal Offender Employment Act.

Violations of UAP 2720 (“Equal Opportunity and Prohibited Discrimination and Related Misconduct (Interim)”) and/or UAP 2740 (“Sex Discrimination Including Sexual Misconduct (Interim)”).
Providing false information on employment applications, resumes, timesheets, or other University records by act or omission.
Impairment in the workplace, in violation of UAP 3270 (“Suspected Impairment at Work”).
Illegal or inappropriate use of drugs or alcohol, including possession of substances or related paraphernalia. See RPM 2.6 (“Drug-Free Environment”).
Possession of or distribution of obscene or pornographic material unrelated to business needs or University research.
Unacceptable computer use. See UAP 2500 (“Acceptable Computer Use”).
Inability to perform the job according to expectations, after documented performance coaching, disqualification for the job (i.e. loss of license, medical disqualification) or failure/refusal to comply with health or safety protocols, including but not limited to vaccination or inoculation requirements.
Safety issues (violation of safety protocol).
Sleeping during work hours.
Theft, embezzlement, or fraud. Misappropriation or personal use of University funds, property, possessions, or resources. Failure to follow purchasing protocols. See UAP 7205 (“Dishonest or Fraudulent Activities”).
Insubordination – intentional or willful failure to obey a lawful and reasonable request of a supervisor.
Inappropriate/unprofessional behavior. See UAP 2240 (“Respectful Campus”)
Violation of Employee Code of Conduct. See UAP 3720 (“Employee Code of Conduct and Conflicts of Interest”).
Vehicle use policy violation. See UAP 7780 (“Use of University Vehicles”).
Violence or threat of violence, such as assault, battery, or stalking of individuals on the University campus. See UAP 2210 (“Campus Violence”).
Violation of University policies or procedures.

Concerns about progressive discipline being misused or non-compliant with this policy may be reported to the AVP for Human Resources or according to UAP 2200 (“Reporting Suspected Misconduct and Whistleblower Protection from Retaliation”).

See Section 10 for information regarding UNM’s formal appeal processes for determinations of discipline/Sanctions.

8. Progressive Discipline

The University uses progressive discipline for employees, when appropriate. Progressive discipline is designed to allow an employee a reasonable opportunity to meet the requirements of the job, comply with applicable standards, and improve performance. “Performance” for purposes of this policy is used broadly and includes all aspects of being successful in a job.

Progressive discipline may not be appropriate in all instances, such as when health or safety is at risk or a crime has been committed. It does not bar a supervisor from imposing more severe discipline depending on the individual circumstances. Some violations are of such a serious nature that they warrant severe disciplinary action, including but not limited to suspension or discharge without affording prior progressive discipline.

Progressive discipline may include the use of letters for improvement, written warnings, suspension, and discharge. Discipline should be administered equitably and consistently. See the Human Resources website for tools to assist in ensuring appropriateness of actions. Depending on the nature of the matter, a supervisor may start progressive discipline at any appropriate point in the process. The following sections describe in detail the actions associated with the progressive discipline process.

Nothing in this section is intended to create an entitlement to a specific level of progressive discipline. Rather, UNM retains the right to issue progressive discipline that is proportionate to the nature, severity, or pervasiveness of the conduct for which it is issued.

8.1. Letter for Improvement

The letter for improvement is the lowest level of disciplinary action. It informs employees of the issues of concern and their supervisors’ expectations for improvement. It is expected that such discussions will result in improved performance. A letter for improvement is not documented in an employee’s official personnel file maintained by the Division of Human Resources. However, the supervisor shall maintain a record of any letter for improvement in the departmental file. This document may be referred to in any further disciplinary action.

In Any Non-Civil Rights Matter, it is recommended that supervisors seek guidance from their Human Resources Consultant prior to issuing a letter for improvement.

In Any Matter Involving Allegations of Civil Rights Violations, prior to issuance of a letter for improvement the supervisor, manager, chair or director must consult the University’s Title IX Coordinator or designee and the Division of Human Resources to determine the appropriate level of discipline, if any.

8.2. Written Warning

The written warning is the next level of disciplinary action and is used for more severe issues or for situations where issues have continued despite being given an opportunity to improve. A written warning is documented in the employee’s official personnel file maintained by the Division of Human Resources.

In Any Non-Civil Rights Matter, supervisors must consult with their Human Resources Consultant before issuing a written warning.

In Any Matter Involving Allegations of Civil Rights Violations, prior to the issuance of a written warning, the supervisor, manager, chair or director must consult the University’s Title IX Coordinator or designee and the Division of Human Resources to determine the appropriate level of discipline, if any.

After an employee has received at least two (2) positive performance evaluations following the issuance of a written warning, an employee may petition the applicable vice president, dean or equivalent to have the written warning removed from the employee’s official personnel file.

8.3. Suspension

A suspension is the third level of possible disciplinary action. It may be issued to an employee due to performance problems that have not been satisfactorily corrected through the use of prior discipline or for serious violations of policy, procedure, other applicable standards or law. Suspensions are normally one (1) to five (5) business days in length, but may be longer depending on the severity of the issue.

An employee whose suspension is being considered will be provided notice of this contemplated disciplinary action that sets forth the basis for the suspension. The employee also will be provided an opportunity to respond to the contemplated suspension before the final decision is made.

For information regarding notice of the contemplated disciplinary and opportunity to respond see Sections 9.1 and 9.2. Compliance with the process is mandatory for both the supervisor and the employee.

In Any Non-Civil Rights Matter, the supervisor and/or manager must receive approval in advance for the contemplated and final action for suspension by the appropriate chair, director or department equivalent and the AVP for Human Resources.

In Any Matter Involving Allegations of Civil Rights Violations, prior to the issuance of a suspension without pay, the supervisor, manager, chair, director or department equivalent must consult with the University’s Title IX Coordinator or designee and the AVP for Human Resources to determine the appropriate level of discipline, if any.

8.4. Discharge

A discharge is a permanent involuntary separation of employment from the University for disciplinary reasons and is reserved for the most serious infractions or for continued issues that previously have been addressed with the employee, but have not been corrected.

An employee whose discharge is being considered will be provided notice of this contemplated disciplinary action that sets forth the basis for the discharge. The employee will be provided an opportunity to respond to the contemplated discharge before the final decision is made.

For information regarding notice of the contemplated disciplinary action and opportunity to respond see Sections 9.1 and 9.2 and the processes cited therein. Compliance with the process is mandatory for both the supervisor and employee.

In Any Non-Civil Rights Matter, the supervisor and/or manager must receive approval in advance for the contemplated and final action for discharge by the appropriate chair, director, or department equivalent and the AVP for Human Resources.

In Any Matter Involving Allegations of Civil Rights Violations, the supervisor, manager, chair, director or department equivalent must consult with the University’s Title IX Coordinator or designee and the AVP for Human Resources to determine whether discharge is the appropriate level of discipline, if any.

9. Notice to The Employee

Although the disciplinary processes described in Sections 6.1. and 6.2 contain fundamental differences, they share key similarities which are set forth below:

9.1. Notice of Allegations Against Employee and Contemplated Discipline/Sanction

For Any Matter Involving Allegations of Civil Rights Violations, an employee for whom Sanctions are being considered should receive an Administrative Hearing Notice which contains certain information, including, but not limited to, the following:

A description of the allegations against the employee;
A list of all policies the employee is alleged to have violated;
A description of the formal grievance procedures applicable to such alleged violations, including but not limited to a live hearing to determine whether policy was violated; and
A statement that Sanctions may be issued, up to and including discharge.

For Any Non-Civil Rights Matter, the employee will receive a Notice of Contemplated Action (“NCA”) in matters where the contemplated disciplinary action is either suspension or discharge. The NCA must state that such contemplated discipline may be appealed through the appeal process noted in Section 10.2 for non-bargaining unit employees or through the grievance and arbitration procedure in the relevant collective bargaining agreement for bargaining unit employees.

For more information regarding the contents of this notice and related requirements please refer to the Sanctioning Process for Any Matter Involving Allegations of Civil Rights Violations (http://policy.unm.edu/common/documents/3215-exc.pdf) or the Disciplinary Process for Any Non-Civil Rights Matter (http://policy.unm.edu/common/documents/3215-exb.pdf), whichever is applicable.

9.2. Employee Response to Notice

The employee may respond to the notice issued. The nature of the alleged policy violation(s) dictates the form of employee response.

For Any Matter Involving Allegations of Civil Rights Violations, the employee response is in the form of a live hearing before a Hearing Officer who will determine whether a policy violation occurred based on relevant evidence submitted by the employee and other party/parties to the hearing. For more information regarding the live hearing, please refer to Section 2 of the Sanctioning Process for Any Matter Involving Allegations of Civil Rights Violations (http://policy.unm.edu/common/documents/3215-exc.pdf).

For Any Non-Civil Rights Matter, the employee response is in the form of an oral and/or written submission to the employee’s supervisor. For more information regarding the employee response, refer to the Disciplinary Process for Any Non-Civil Rights Matter (http://policy.unm.edu/common/documents/3215-exb.pdf) and/or the relevant collective bargaining agreement for bargaining unit employees. In these matters, the supervisor should consider the employee’s explanation for the problem prior to deciding on whether to take formal disciplinary action.

9.3. Determinations of Sanctions/Discipline

After the employee has had an opportunity to respond to the notice issued, a determination will be rendered as to whether discipline/Sanctions will be imposed, and the employee will receive a notice of the determination.

For Any Matter Involving Allegations of Civil Rights Violations, a written determination will be issued by the Hearing Officer after completion of the live hearing and will include the Sanction to be imposed, if any. A Notice of Final Action (NFA) will be issued by the employee’s supervisor in accordance with the approval process set forth in Section 5 or Section 8, whichever is applicable. For more information regarding these forms and their related requirements, please refer to Sections 2 and 3 of the Sanctioning Process for Any Matter Involving Allegations of Civil Rights Violations (http://policy.unm.edu/common/documents/3215-exc.pdf).

For Any Non-Civil Rights Matter, a Notice of Final Action (NFA) will be issued by the employee’s supervisor and will include the disciplinary action to be imposed, if any, in accordance with the approval process set forth in Section 8. For more information regarding the form of notice and related requirements, please refer to Section 3 of the Disciplinary Process for Any Non-Civil Rights Matter (http://policy.unm.edu/common/documents/3215-exb.pdf) and/or the relevant collective bargaining agreement for bargaining unit employees.

10. Appellate Review Process

10.1. Appellate Process for Determinations of Discipline/Sanctions Issued via the Sanctioning Process for Any Matter Involving Allegations of Civil Rights Violations

Parties to the hearing may appeal the Hearing Officer’s determination, including the proposed discipline/Sanctions, if any, and the grounds therefor in accordance with the process set forth in Section X of the Office of Compliance, Ethics & Equal Opportunity Disciplinary Grievance Procedure.

10.2 Appellate Process for Discipline Issued via the Disciplinary Process for Any Non-Civil Rights Matter

This appellate process is only available to a non-bargaining unit employee who has been issued an NFA for suspension or discharge.

This appellate process is not available to members of a bargaining unit who are subject to a collective bargaining agreement that includes a final and binding grievance and arbitration procedure. Employees in a bargaining unit represented by a union should refer to the grievance and arbitration procedure in the applicable collective bargaining agreement for their procedures to grieve discipline issued via the disciplinary process for Any Non-Civil Rights Matter.

10.2.1 Live Hearing Appeal

A post-probationary regular, term, or contract employee who is in a non-bargaining unit position only may appeal an NFA for suspension or discharge via this appellate procedure. The appeal is in the form of a live hearing. The appealing employee may elect to have an advisor and/or a process observer present during the hearing. See the Procedure for Live Hearing Appeals of Discipline Issued in Non-Civil Rights Matters (http://policy.unm.edu/common/documents/3215-exa.pdf) for information regarding the roles of advisors/process observers.

The non-bargaining unit employee who wishes to appeal a suspension or discharge must submit a request to the Hearing Office within ten (10) business days from the date of delivery of the NFA. The employee should include in their request a copy of the NFA at issue and shall state the reason(s) for the appeal.

For more information regarding the appeal via live hearing for non-bargaining unit employees and support persons, see Section 5.1 of the Disciplinary Process for Any Non-Civil Rights Matter (http://policy.unm.edu/common/documents/3215-exb.pdf) and the Procedure for Live Hearing Appeals of Discipline Issued in Non-Civil Rights Matters (http://policy.unm.edu/common/documents/3215-exa.pdf).

10.2.2 Appeals to the University President

If the written determination upholds the supervisor’s decision to suspend or discharge an employee, the suspended/discharged employee may request a review by the President. The President has discretion to accept the appeal for review. Normally, review is accepted only in extraordinary cases, such as those where proper procedures have not been followed, where the determination appears to be unsupported by the facts, or where the determination appears to violate University policy.

The employee’s request to the President shall be made in writing, and must include the alleged facts, what happened in the proceedings to date, the reasons justifying extraordinary review, and must identify whether the employee believes the determination did not follow proper procedures, the determination appears to be unsupported by the facts, or the determination appears to violate University Policy. Such requests must be delivered to the President's Office within ten (10) business days of the date of the written determination. For more information regarding the appeals to the President for non-bargaining unit employees and support persons, see Section 5.2 of the Disciplinary Process for Any Non-Civil Rights Matter (http://policy.unm.edu/common/documents/3215-exb.pdf).

10.2.3 Appeal to the Board of Regents

A discharged/suspended employee who is dissatisfied with the President’s decision, under Section 10.2.2, may appeal to the Board of Regents in accordance with Regents Policy Manual, Section 1.5: Appeals to the Board of Regents.

11. Pay Status

Post-probationary regular and term employees and contract employees will remain on paid status at all times pending delivery of discipline.

Post-probationary regular and term employees and contract employees may continue working or may be placed on administrative leave with pay pending completion of the investigative and/or disciplinary process. Requests for paid administrative leave must be submitted and approved in accordance with Section 3.7 of UAP 3415 ("Leave With Pay").