POLICY NO. 621
EFFECTIVE DATE: 05/17/1999
PERFORMANCE IMPROVEMENT/DISCIPLINE
Frequently Asked Questions and Answers on the
Performance Improvement/Discipline
This policy on discipline has been created to encourage the use of informal counseling
and progressive disciplinary measures to correct unsatisfactory job performance or
misconduct. The policy applies to all regular staff members at the University. Staff
members are expected to consistently meet and maintain the established performance
expectations for the position.
Nothing contained in this policy is intended to alter the at-will employment
relationship between the University and its employees or to create legally enforceable
contractual rights.
Disciplinary or corrective action for unsatisfactory job performance or misconduct is
normally imposed on a progressive basis and in consultation with a representation of the
Division of Human Resources/Staff and Labor Relations. Steps may be omitted or repeated
depending on the frequency, severity and/or nature of performance or misconduct exhibited.
Progressive discipline or corrective action may not be imposed in situations involving
serious misconduct. Cases of serious misconduct could result in termination of employment.
The normal procedure to follow when disciplining an employee is outlined below.
621.1 ORAL WARNING
The initial step in the application of progressive discipline is the oral warning and
discussion. The supervisor must meet with the staff member to discuss the unsatisfactory
performance or misconduct, and outline the appropriate corrective action. The staff member
should be informed that this is the first step in the disciplinary process and that
failure to correct the performance or misconduct may result in further disciplinary
action. The supervisor should keep a written record that an oral warning has been given
and what corrective action was discussed with the staff member. A copy of this document
should be shared with the staff member.
621.2 WRITTEN WARNING
The second step in the disciplinary process is the written warning and discussion. The
supervisor, in consultation with a representative of DHR/Staff and Labor Relations,
initiates a written warning and discussion. The written warning document to the staff
member specifies:
(a) the unsatisfactory performance or misconduct; (b) the corrective action to be taken
by the staff member; (c) notice that continued unsatisfactory performance or misconduct
may result in further disciplinary action, including termination of employment.
When the staff member is given the written warning, the supervisor should discuss the
problem with the staff member. A copy of the warning is forwarded to DHR/Staff and Labor
Relations for inclusion in the staff member’s official personnel record and the staff
member is so advised.
The staff member should be advised that he/she may request counseling with a Staff
Relations Specialist concerning the problems with performance or conduct.
621.3 PROBATION
If unacceptable performance or misconduct continues or recurs, the supervisor, in
consultation with a representative of DHR/Staff and Labor Relations, may place the staff
member on probation. The supervisor should give the staff member a document which
outlines:
(a) the unsatisfactory performance or misconduct; (b) the corrective action to be taken
by the staff member; (c) the period of time in which to demonstrate acceptable performance
(see below); (d) the date of the follow-up review; (e) notice that continued
unsatisfactory performance or misconduct may result in termination of employment; (f) the
name and telephone number of the Staff Relations Specialist assigned to that unit or
school.
Note: The length of the probation period should be determined in consultation with a
representative of DHR/Staff and Labor Relations.
When the staff member is given the probationary letter, the supervisor should discuss
the problem with the staff member. A copy of the probationary letter is forwarded to
DHR/Staff and Labor Relations for inclusion in the staff member’s official personnel
record and the staff member is so advised.
During the probationary period, the supervisor should make every effort to assist the
staff member in attaining the desired level of performance or conduct.
621.4 TERMINATION
If during, at the conclusion of, or subsequent to the probationary period, the staff
member’s performance or conduct is still unacceptable, the supervisor, in
consultation with a representative of DHR/Staff and Labor Relations, will determine if
termination is appropriate. The decision to terminate will be based on a review of the
facts and circumstances, the documentation and whether or not University policy has been
followed. If the decision is made to terminate, the supervisor should give the staff
member a letter outlining the reason for the termination and the effective date of the
termination.
This policy does not apply in situations involving serious misconduct, including, but
not limited to, criminal behavior, assault, insubordination, misappropriation of funds,
harassment, discrimination, etc. It is imperative that DHR/Staff and Labor Relations or
the Vice President for Human Resources (or designee) is contacted in such cases.
621.5 UNIONIZED EMPLOYEES
University employees who are covered by collective bargaining agreements should refer
to the appropriate contract article.
Applicability: All Regular Staff Members
Cross-reference: Policy 001, Policy 002, Policy 003, Policy 622, Policy 623, Policy 629, Policy 701, Policy 705, Policy 706, Policy 714
Supersedes Policy Number(s): 621 (02/01/1990)