Disciplinary Guidelines
Disciplinary Action Guidelines
The supervisor plays a key role in correcting problem performance. Most problems can be prevented or corrected by communicating clear and reasonable expectations and providing feedback through the coaching process. More difficult problems may require a more intensive approach to coaching, however. If performance problems continue despite intensive coaching, the supervisor may need to take a more serious action.
What is Progressive Discipline?
It is the process of using increasingly severe steps or measures when an employee fails to correct a problem after being given a reasonable opportunity to do so. The goal is to modify the unacceptable behavior or improve the performance. The goal is not to punish the employee, but to more strongly alert the employee of the need to correct the problem.
Discipline, or corrective action, may be appropriate and necessary for some continuing or serious performance problems. While corrective action can have negative consequences and must warn about possible future consequences, it can be a powerful motivator for positive change. By approaching discipline as a strategy of corrective instruction in which the supervisor and employee respectfully work together to improve the employee's performance, it can become a problem-solving process. Such an approach also allows for two-way accountability, with both employee and supervisor having an integral part in achieving success.
Prior to implementing any disciplinary or corrective action, The Office of People Relations (OPR) should be consulted. Any actions taken should be on university approved forms/documents. Employees who have continuing performance problems can expect their supervisor to follow progressive discipline procedures as outlined ARP 10.10 Staff Disciplinary Action/Involuntary Termination and ARP 10.50 Faculty Alleged Misconduct, Investigation, Discipline, and Appeals Processes. Progressive discipline is not appropriate for more serious problems, so a supervisor may take a more serious corrective action, up to and including termination, the first time such a problem occurs. The supervisor may request action appropriate to the nature and severity of the offense or unacceptable performance.
Possible Corrective Action Steps
A demotion provides an employer with the opportunity to retain an employee while allowing the employee to be successful in a role more conducive with the knowledge, skills or abilities they have.
Demotions may be proposed for a number of different reasons, including poor employee performance, disciplinary actions, position elimination or organizational restructuring, and at times an employee-desired reduction in responsibility. Each circumstance should be carefully considered prior to determining that demotion is the appropriate action.
Employers should thoroughly examine if a demotion can truly achieve the desired purpose. Start with these questions: Will the employee be successful in the demoted role? How will the demotion affect the employee, team or the department? If the demotion is for performance-related issues, have all other performance improvement options been explored? Did the position entail supervisory responsibilities? Will the demotion result in a pay reduction?
The most serious action is termination of employment for the employee. All requests for termination must submitted to The Office of People Relations, for review/approval by the AVP-Human Resources Services (or designee). Termination is usually recommended when all other attempts to correct performance/behavior have not been successful. However, a termination can be recommended on a first offense depending on the violation or act committed by the employee.
A termination requires a period of notice for regular employees, 10 days for exempt employees and 5 days for non-exempt employees. It is recommended the employee be placed on Administrative Leave with pay during this notice period.
Note: Non-Regular employees (temporary, seasonal, term, emergency hire, probationary) have no entitlement or expectation of continued employment. And while they may be subject to disciplinary action, and an approval process for termination of employment, there is no required notice period and no appeal rights.
What is the appropriate level of discipline?
In order to determine the appropriate level of disciplinary action, the supervisor must investigate and document the problem and consider a number of factors. These factors include the results of the investigation, the employee's record, the severity of the problem, etc. The investigative process can be done by the supervisor, by OPR, or a collaboration of both. If during the investigation the employee's presence in the workplace may aggravate the situation or impede the investigation, the supervisor may place the employee on administrative leave with pay. All requests for administrative leave with pay are submitted to OPR for approval by the AVP-Human Resource Services. During this paid leave, the employee must follow the Paid Administrative Leave Guidelines (For Staff, For Faculty).
Once the supervisor determines the appropriate level of discipline, and consults with The Office of People Relations, a meeting should be scheduled with the employee to communicate the decision and to provide the employee with documentation of the action. Every formal disciplinary action for a regular employee must include the employee's right to appeal. OPR can assist with preparation and review of proposed actions and can provide university approved forms.
Supervisor Tips
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Thoroughly investigate the situation which includes obtaining the employee’s explanation or response prior to administering discipline.
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Document the process and results of your investigation.
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While usually unnecessary, it is acceptable to have a witness or note taker present when meeting with the employee during the process. Your witness/note taker should never be a peer of the employee. It can be another manager, or your unit’s HR Liaison/Coordinator.
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Consult with The Office of People Relations prior to implementing any actions, as policy and Collective Bargaining Agreements dictate specific language in the documents.
Level of Discipline Decision Factors
When deciding on the appropriate level of discipline, supervisors should consider the following factors:
- What are the facts and circumstances of the problem--who, what, when, where, why?
- How severe is the problem or infraction? What was the impact, or possible impact, of the employee's action?
- What is the employee's past disciplinary record, and how long has it been since the last disciplinary action?
- What is the employee's length of service?
- Are there any aggravating/mitigating circumstances?
- Were there legitimate obstacles to proper performance?
- What has department management done in like or similar situations? Has there been consistency in applying discipline in similar situations with other employees?
- Did the employee receive advance warning of the possible or probable consequences of the employee's conduct/performance?
- Was there sufficient time to show correction?
- Was the rule or policy reasonable?
- Was the investigation objective and complete?
- What level of discipline will the results of the investigation support?
Essential elements of each step
Disciplinary actions can be overturned completely or reduced to a lesser level on appeal, when any of the essential elements of progressive discipline are missing. These four essentials need to be present at each step of progressive discipline.
- The employee is explicitly informed of the unacceptable behavior or performance and is given specific examples. It is not sufficient to assume that the employee knows what the problem is.
- The employee is made aware of the consequences of the unacceptable behavior or performance and how the operations, efficiency, and work environment (for example) have been impacted.
- The employee is provided an explanation of acceptable behavior or performance standards and given a reasonable time to comply. This may be a longer time frame if a skill needs to be learned or a shorter time frame (or immediate) if it is a behavior to be changed.
- The employee is informed of the consequences of failing to comply. This is not a threat, rather it gives the employee reasonable expectations of the consequences if change does not occur.
