Employee Discipline
There are times when an employee may not meet expectations and corrective action may be necessary. In all instances where you believe that formal disciplinary action may be appropriate, please contact your HR Business Partner for assistance.
This process may not be appropriate in every situation. The level, nature, and seriousness of the situation will be reviewed by HR when the situation is initially discussed and during the review of the discipline documentation. The disciplinary process consists of these steps:
- Have an understanding of the facts and circumstances before assessing appropriate discipline.
- Discuss the situation with your HR Business Partner.
- Complete the Discipline Submission Form. Your HR Business Partner will draft the formal dicispline document for your review.
- Conduct a disciplinary conversation (PDF) with the employee and present the formal discipline documentation provided by HR.
- Provide signed discipline document to your HR Business Parnter to be added to the employee’s personnel file.
Generally, an employee should not be surprised by disciplinary action. Supervisors should proactively communicate issues to employees, rather than waiting until the performance problems reach a critical point or until performance reviews are conducted.
Non-Exempt Employees
A progressive discipline process is used for regular administrative, service, and support staff who have completed the probationary period. This process may include a Verbal Warning, Written Warning, Suspension, or Termination as outlined in HR-601 Discipline Guidelines.
The objectives of the progressive discipline process include:- Notifying the employee of unsatisfactory behavior or performance.
- Clarifing expectations of satisfactory behavior or performance.
- Instructing the employee on what action must be taken to correct the unsatisfactory behavior or performance.
- Informing the employee about the consequences if expectations are not met in the future.
Exempt Employees
Exempt employees are not typically subject to progressive discipline.The discipline process for exempt employees may vary by department, depending on the behavior exhibited and performance concerns. This process may include a Coaching Session, Performance Improvement Plan, or Memo-to-File.
Coaching
The first step to correcting Exempt Employee behavior or performance is coaching, which consists of having an intentional conversation with the employee to point out what expectations are not being met and to reiterate what is expected of the employee. The coaching session (PDF) is typically a private conversation between the supervisor and employee. During this conversation, it is important to make sure that the employee understands the expectations and to ask what you, as a supervisor, can do to help the employee meet the expectations. Once the coaching session is completed, it is recommended for the supervisor to send a follow-up email (PDF) to the employee summarizing the conversation.
Performance Improvement Plan
The Performance Improvement Plan (PIP) serves as a coaching tool to communicate to employees that their performance or behavior is not meeting expectations. It outlines the necessary steps for improvement and includes specific dates for reevaluating performance or behavior.
Memo-to-File
The Memo-to-File is the primary method of disciplinary action for exempt employees. This action provides the employee with a memo stating that the employee's behavior or performance is not meeting expectations and failure to improve will result in termination of employment.
Part-Time Employees
Part-time employees will adhere to all department and university guidelines and policies. Should any policies be violated or should any minor issues arise that disrupt visitor or staff safety, the visitor experience or another staff member’s ability to perform their job effectively or exhibit dishonesty, employees will be held accountable for their actions.
A coaching meeting will be held between the employee and their supervisor to discuss the undesired behavior and provide support.
A written warning (PDF) will be presented for major or repeated occurrences that violate the university and department guidelines and policies, including but not limited to, instances that disrupt a visitor’s experience, failure to adhere to safety procedures, and impeding a staff member’s ability to perform their job effectively.
Written warnings include a description of the specific problem or offense and an outline of the expectations for the employee’s performance or personal conduct moving forward. A meeting to discuss the documentation is held between the employee and their supervisor. Employees that receive two written warnings within a two-year period may be subject to additional disciplinary action up to and including termination of employment.
Summary discharge may become necessary when incidents which in and of themselves are so serious as to justify immediate summary discharge, or performance problems that are determined to be due to skill deficiency rather than rule violations or neglect of duty. In cases where reasonable attempts at training fail to correct the problem, the employee may be discharged without prior disciplinary action.