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 objectives of the 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, and informing the employee about the consequences if expectations are not met in the future.

The disciplinary process includes the following steps:

1. Have an understanding of the facts and circumstances before assessing appropriate discipline.
2. Discuss the situation with your HR Business Partner.
3. Complete the Discipline Submission Form. Your HR Business Partner will draft the formal dicispline document for your review. 
4. Conduct a disciplinary conversation (PDF) with the employee and present the formal discipline documentation provided by HR.
5. 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. A coaching session is one way to communicate expecations to employees.

A Coaching Session 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.

Non-Exempt Employees

The discipline process used for benefit-eligible Non-Exempt (hourly) administrative, service, and support staff who have completed the probationary period may include a Verbal Warning, Written Warning, Suspension, or Termination as outlined in HR-601 Discipline Guidelines.

Verbal Warning

An employee may be issued a verbal warning to bring a performance or behavior concern to the employee’s attention. The employee should be informed that the discussion is being conducted to issue a verbal warning. Written documentation summarizing the verbal warning, (e.g., email communications letter or discipline template form) should be placed in the employee’s file within a reasonable time; this is meant as a best practice, not a strict requirement.

Written Warning

An employee may be issued a written warning to document a performance or behavior concern. Written warnings provide a description of the specific problem or offense and outline expectations of the employee going forward.

Suspension

An employee may be suspended without pay for a period of one or more full workdays.

Exempt Employees

The discipline process used for benefit-eligible Exempt (monthly) administrative, service, and support staff who have completed the probationary period may vary by department, depending on the behavior exhibited and performance concerns. This process may include a Performance Improvement Plan, Memo-to-File, or Terminaiton.

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. Once the employee is consistantly meeting the expectations outlined in the plan, the PIP can be closed and the supervisor should notify the employee of completion.

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

Non-benefit-eligible, part-time administrative, service, and support staff must adhere to all department and university guidelines and policies. Should any policies be violated or should any issues arise, part-time employees will be held accountable for their actions. This discipline process may include a Written Warning, or Termination.

For policy violations or minor issues, the supervisor should schedule a coaching session with the employee to address any undesirable behavior or performance concern. 

For repeated policy violations or major issues such as dishonesty, disruptions to visitor or staff safety, hindrances to visitor experience, or impeding another staff member's effectiveness in their role, a written warning (PDF) will be presented to the part-time employee. Part-time employees that receive two written warnings within a two-year look-back period may be subject to additional disciplinary action up to and including termination of employment.

Termination

An employee may be terminated based on the seriousness or repeated performance or workplace behavior concerns. While employment may be terminated at any time without cause, examples of conduct that may result in termination without prior warnings (“Summary Termination”) include:

• Theft;
• Intoxication on the job;
• Violence or threat of violence;
• Conviction of a felony;
• Negligent, careless or intentional performance that results in damage to property or individuals or the risk thereof;
• Sleeping during working hours;
• Falsification of timekeeping records and other university records; or
• Violations of University policies prohibiting discrimination, harassment, or retaliation

Summary termination may also be needed for performance problems that are determined to be due to skill deficiency rather than rule violations or neglect of duty. In cases where reasonable training attempts fail to correct the performance issue, the employee may be terminated without prior notice.