316     DEMOTION AND DISMISSAL FOR SUBSTANDARD PERFORMANCE

I. POLICY
II. PROCEDURES
III. REFERENCES

I.    POLICY

1. Demotion is a reduction in academic rank and/or step. Demotion is a disciplinary action that may be taken when an individual no longer meets the performance expectations of his or her rank and step.
   
2. Inherent in the concept of demotion is the assumption that the individual who is demoted does have the capacity to improve his or her substandard performance, and that the organization is willing to recognize this capacity and to give the individual an opportunity to improve.
   
3. Dismissal is the termination of the individual's appointment. Dismissal is appropriate in cases where no improvement in the individual's substandard performance has been demonstrated, or where an initial improvement has not been sustained.

    For additional grounds for corrective action or dismissal see APM 150.

II.     PROCEDURES

        The procedures for determining whether demotion or dismissal based on poor performance is warranted are as follows:

1. The demotion or dismissal action must be preceded by at least two written evaluations by the supervisor. These evaluations must have resulted in the conclusion that the individual is performing at a level below his or her current rank and/or step. The evaluations should be accompanied by evidence that the supervisor and the employee, working together, developed and discussed a reasonable improvement plan and established a schedule for effecting that plan. No more than one calendar year should intervene between the two evaluations, but they may occur at a shorter interval, such as six months. At the time of the second written evaluation of substandard performance, the individual must be advised in writing that lack of improvement may lead to demotion or dismissal.
   
2. Once the supervisor has made the decision to initiate the demotion or dismissal process, the individual shall be notified in writing of the possible action. He or she shall be asked to submit a standard Program Review (PR) dossier covering his or her career since initial appointment, together with supporting documentation and exhibits. If the individual is unwilling to submit a PR, the supervisor should compile relevant documentation and exhibits for review.
   
3. The supervisor reviews the PR and makes a written recommendation based on the evidence in the PR and on any other substantiating evidence that he or she deems pertinent. For CE Advisors, the recommendation is forwarded to the Regional Director. For all other employees, it is forwarded to the next administrative level.
   
4. The Regional Director or other appropriate administrator conducts his or her own review of the PR, the accompanying documents, and the supervisor's recommendation. He or she then prepares a written recommendation of action to be taken.
   
5. The PR and the accompanying documents, together with the administrative recommendation, are forwarded to the Division's Assembly Council Personnel Committee, which nominates an ad hoc review committee.
   
6. The ad hoc review committee reviews the PR, the accompanying documents, and the administrative recommendations and then prepares a written recommendation for the Assembly Council Personnel Committee.
   
7. The Assembly Council Personnel Committee reviews the PR and the entire file for adherence to procedures, and prepares its written recommendation for the Regional Director or other appropriate administrator, who determines, based on the complete file, whether to proceed with demotion or dismissal.
   
8. If a decision is made to proceed with demotion or dismissal, the individual shall be given a written notice of intent and further notices as set forth in detail in APM-150c, d, and e.
   
9. If an individual is demoted in rank and/or step, he or she shall have the opportunity to be reviewed for advancement following the normal number of years of service in the new rank and/or step. The review for such advancement requires submission of a new PR and progression through the normal advancement procedures.

III.     REFERENCES

          See APM-150 for additional information on demotion and dismissal.

October 1999

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